Administrative RecordCal. Super. - 6th Dist.March 19, 2018 1 ADMINISTRATIVE RECORD IN SUPPORT OF HEARING ON WRIT OF ADMINISTRATIVE MANDATE 18CV325170 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 RICHARD DOYLE, City Attorney (88625) NORA FRIMANN, Assistant City Attorney (#93249) ARDELL JOHNSON, Chief Deputy City Attorney (95340) KENDRA MCGEE-DAVIES, Senior Deputy City Attorney (260459) Office of the City Attorney 200 East Santa Clara Street, 16th Floor San José, California 95113-1905 Telephone Number: (408) 535-1900 Facsimile Number: (408) 998-3131 E-Mail Address: cao.main@sanjoseca.gov Attorneys for RICHARD TENG, As administrator of San Jose Police Department Division of Gaming Control, CITY OF SAN JOSE POLICE DEPARTMENT SUPERIOR COURT OF CALIFORNIA STATE OF CALIFORNIA UNLIMITED JURISDICTION FRANCIS SMALLWOOD, Plaintiff, v. RICHARD TENG, As Administrator of the San Jose Police Department Division of Gaming Control; CITY OF SAN JOSE POLICE DEPARTMENT, and DOES 1- 100, inclusive, Defendants. Case Number: 18CV325170 ADMINISTRATIVE RECORD IN SUPPORT OF HEARING ON WRIT OF ADMINISTRATIVE MANDATE Date: May 3, 2019 Time: 9:00 a.m. Dept.: 10 Judge: Helen E. Williams VOLUME 26-28 BATES STAMPED SJ004153 - SJ004319 by Superior Court of CA, County of Santa Clara, on 4/9/2019 5:36 PM Reviewed By: Yuet Lai Case #18CV325170 Envelope: 2739024 E-RECEIVED SJ004153 Jan.13‘ 2016 4:36PM No‘3532 P. 1 January 13, 2016 Phung Nguyen DDS ' . _ j 2114 senterad.,3uirc 25 16 CH 00 20 U Ev SanJoseCAQSHZ A Re: Mai Le Dear Doctor Nguyen: Please find attached a rcce‘ipt from Oral Surgeon Dr. Chung Yen 'Ln the amount of g $698.75 for the bone grafl (thc' extraction of tooth #13 may have been covered by Delta W Dental insurancc) pcrformcd on Mai le on January 3, 2016; and a receipt frdm Kaiser (out of pocket cxpense for the amoxicillin) .At this point please reimburse mo in the amount of $708.75. When Mai is ready for the dental implant sometime in April I will inform you of the eXpanse at that time. It'Is anficipatcld to bc approximately $3,000. Thank you and l look forward to your reimbursement per your agreement on January 5, 2016. Sincerely, (MM Le I - " d- V i, ~ L»; hav e m O‘L par A . \Az ‘r’ J l [p I . a SM ,4QWLB’YY“ . M O _ Om. w . \{w :81093 afivd 2* swz ‘Iz Immatdss ~ . - SLESVLUIEOZvaoooo #mv NaAnBN wm NNNNNNNNNNNN ' QlQQZ €00 LOO GHQ 69100 .FS 001903 SJ004154 .Fs 00mm: SJ004155 Jan. 26. 2016 11:47AM 7‘ Nu. 3575 ‘ "P. January26,2016 1 6 CHUUT HUB Phung Nguyen DDS 21 14 Senter Rd, Suite 25 San Jose CA 95 1 12 Re: Mai Le - Tooth #13 Dear Doctor Nguyen: Please find attached a dcntal benefits 'étatemcnt from Delta Dental: which shows the- amount of $48. 60 due the dental provider Chung ch. Since w; have" n’a‘t received the previously requested $698.75 fiom you relating to the hone grafi p'erfomi'ed on Mai on Januarys, 2016; and $10 for out ofpocket expcnse for the amoxicillin, you now owa us a total nf$757.35 as oftoday's dais. Again, when Mai is ready for the dcntai implant sometime in April 2016A will inform you of the actual expense at that time. 11 i3 anticipated to b: approximately $3,000. I hope you know we are serious in pursuing this matter and We Will stop at nothing to show that you provided sub--s:a.nda.rd cam, which resulted in pain and suffering, in addition to time loss Thank you and I look forward to the outstanding amount 0f $75135. ‘. 'x I Sincerely, , iv O +1fo gum L3; Owl”? PS A5 per our agrccment on Januaryi 2016 that] would only ask you EDI lhu amount nut covered by insurance. FS 001905 SJ004156 FS 001906 SJ004157 F‘ROMQ‘ DR. PHUNG NGUYEN T0: RICHARD TENG 2! I4 Semer Road, Suite #25 San Jose Police Department San Jose, CA, 95112 Tet: (408) 794 £481 1 é CH U B 7' U U § Phone: (408}279-21 I4 Division ofGaming Control Fax: (408)-279-1828 Cefl: (498) 210 9928 Fax.- (408) 298 9763 210 N. 4‘” street, Same 202, San Jase, CA, 951 12 January 29": 2016 Dear Richard Teng and Mai Le, This is Dr. Phung Nguyen. Today, I write this letter and fax to you with the purpose I explain t0 you that you should not bother me any more. I already called your wife Mai Le 0n January 6th 2016 and January 91h 2016. I did explain to her that the tooth # 13 I did R001 Canal Treatment completed for her on the day 10/23/2015. It was 0k, not infected, not perforated. You should think that if I did the root canal treatment # 1311perforated and the root was crack like the x-rays y0u showed me 0n the day January 5 2016 fiom Dr. EDWARD CHAN. You know what the result for Mai Le vas very horribie. This tooth would be serious infected and her face would be big swollen look like a blanket and she haé really painful, the only way she had to take care of her face at the emergency hospital. She could not cavalier going 011 Vietnam. I did not hear anything fi'om her at the time she was still in The U.S. before she has visited Vietnam. You have to think that if the root canal # 13 I did fail like that your Insurance Delta Dental would not approve for doing a post and crown on that tooth. Because when I sent out for approval, I had to send her x-rays. A11 the research Dentist Doctors would exam and study the real and mature before deciding to allow doing post and crown for tooth # 13. My receptionist ijAnh Nguyen called Mai Le several times for coming back to the office t0 do these but she did not answer. She visited Vietnam. Because she wanted to save money from the co-payment on your insurance for the crown, she tried to do a post and crown in Vietnam. Another Dentist working in Vietnam made wrong for her tooth. She was so scare of you, she hide this problem. You did not know anything about this, you blamed the wrong cures on me. I am so sorry for you if that problem would be right. I did explain to Mai Le everything, the risk for doing root canal before I did. If anything bad happens, this tooth has to be extracted and there is no blame to Dr. Phung Nguyen. Your wife Mai Le is over 18 years 01d, she does not need your commands. I told her if she wanted lo ask for compension, she had t0 come back to see the Dentist in Vietnam who did wrong for her tooth. I did call Dr. Edward Chan to explain the x-Iays sent t0 me - C a4 Jams \mcrlbvw WW7 f WaS 50mg) +vbiwnmv (Mmm Mat rm, «04* 417 * Page I 0f2 FS 001907 SJ004158 FS 001908 SJ004159 ‘ MCHUWUUB that they are not exactly like my Hays. That means there is another Dentist in Vietnam did wrong in there. 1 did talk to my lawyer about you attitude on the day January 5‘" 2016. You did take my advantage when l was wwk. lonely 1n the private room. - You had humiliated me. not allow me 10 ask the opinions 0f Mrs. KimAnh. - You tried to force me to admit the mistakes of others. threatening me to do the wil} ofyou. - KimAnh Nguyen and Nguu lluynh know than 1 did Lin: root canal treatment for Mai Le and everything I did for Mai Le, l wrote in her chart. 1. Why did you prevent me 10 retrieve her records and ask for their opinions? 2. I did not hire you to come to my office for massages, smoothing, caressing for me, why you gripped my hands and Spoiled massage, caress, rubbed up and down? I was not your mistress. 3, [ did not authorize you t0 kiss me, why you kissed me on cheeks two times? I was not your wife 0r your kids. You made me really ashamed and embarrassed that I could not d0 anything. My body and my mind numb, become stupid. i only know t0 follow you. By the way, I did write a letter and Faxed t0 you 0n the day January Sm 2016 because you humiliated me. Sincerely, ._., JW- W f/ Phung Nguyen DDS riff i ’l I XL: H3 Page 2 ()1‘2 FS 001909 SJ004160 FS 001910 SJ004161 OFEiCE 0F THE INDEPENDENT fibLICE AUDITOR 152 North Third Street, Suite 502 SanJosé,CA95112 ‘ iécHUGTUUE TEL (408) 794-6226 - FAX (408) 977-1 053 www.sanjosecagov/ipaf 4114,0016 Phung Nguyen 21 14 Senter Road #25 San Jose, CA 95112 RE: COMPLAINT NO. I201 6-0087 Dear Ms. Nguyen, The Office of the Independent Police Auditor (IPA) is an altematc‘location for you to file a complaint against a San Jose police officer. The complaint that you filed at om" ofice on April 14, 2016 was forwarded to the Internal Affairs Unit (IA) ofthe San Jose Police Department for investigation. Included is a copy of . the complaint for your records. The IPA wii] monitor the investigation and may participate in interviews of witnesses and police‘officers. If you become aware of any new information or evidence concerning your complaint, please contaqt our office or the LA office at (408) 277-4094. If IA requests to interview you, please know that you may bring a support person. The support person can be either a family member or a close friend. The support person cannot participate in the interview and must not, in any way, influence What you say at the interview. Also, ifEnglish is not your first language and you need an interpreter, you may bring someone to interpret for you. The interpreter must not, in any way, influence what you say at the interview. [fyou bring an interpreter, then that person will also serve as your support person. The IPA reviews the final investigation to ensure that it was done fairly, obj ectively and completely. Once The investigation has been completed IA will notify you of the findings. Should you have any questions about how the 1A an-ived at the disposition of your complaint, please contact Lieutenant Randall Schriefer, IA Commander. If you still have additional questions afier discussing the investigation of your complaint with the IA Commander: you may contact our office. ' - Sincerely, (0‘0 a KP ' Walter Katz - d;A V Independent Police Auditor i XMA/ Erin O‘Neial, IPA Analyst 11 By: Cum»... OM ?{Oagdlm Wk W FS 001911 SJ004162 FS 001912 SJ004163 OFEiCE 0F THE INDEPENDENT fibuce AUDITOR 152 North Third. Suite 602 San José, CA 951 12 TEL (406) 794-6226 ' FAX (408) 977-1053 www.sanjosecmgov/ipa/ 1 6 CH U U 7 U U 6 Summary of Complaint IA No: 12016-0087 Received: April 14, 2016 Occurred: January 05, 2016 Complainant: Phung Nguyen, 2114 Senter Road #25, San Jose, CA 951 12 Summary: Dr. Nguyen came to the IPA office on 4/1 3/16 to file a complaint, and this conversation was recorded with her consent. The interview was conducted in both English and Vietnamese. Vivian Do from the IPA office translated. Dr. Nguyen is a dentist and SIPD Gaming Administrator Ricth Tang has been a patient for 6 years. A few years ago, Officer Teng married Mai Le in Vietnam and Ms. Le became Ms. Nguyen‘s patient. On 10/16/15, Dr. Nguyen performed a root canal. Dr. Nguyen's staff called Ms. Le to schedule a follow-up appointment to put a crown on her tooth. Ms. Le did not return these phone calls until December, when she apologized to Dr. Nguyen's staff, but she had been in Vietnam in November. While in Vietnam, she saw a dentist who looked at her tooth and said it was "broken." She did not tell her husband, Officer Tang, that she saw a dentist while in Vietnam. On 1/5/16, Dr. Nguyen was With a patient when Oflicer Teng called and wanted to speak with Dr. Nguyen about something personal. Dr. Nguyen could not take the call at the moment, so Officer Tang went to her ofiice. Dr. Nguyen came out to speak with Officer Tang, and Officer Tang pushed her on the backfshoulders into a room and said, "I want to talk to you privately," and he closed the door. Officer Tang showed Dr. Nguyen an x-ray of Ms. Le's teeth. He said, "You did this wrong. You're going to pay the cost for the new tooth.“ DI. Nguyen said, "Let me get the patient's file" and opened the door and called for her assistant. Ofiicer Tang closed the door and said, "No, you‘re going to pay the money for her new tooth. Ifyou don't, I will sue you and you'll lose your license." Dr. Nguyen said that Officer Teng took both ofher hands in his hands and started rubbing her forearms and hands. He said, "Don't say anything to anybody else about this; this is private." He then kissed her twice on the cheek. Before leaving, Officer Teng told Dr. Nguyen, "You're going to write a letter agreeing to pay for the cost of this tooth repair, and you're going to send it to me by 4pm." Officer Teng lefi his SIPD business card with her. DI. Nguyen had her assistant write the letter and send it to the ofiiccr. She was scare'd, confused, and embarrassed. Officer Teng has since wrote three more letters demanding payment. A11 of the letters are attached here. Dr. Nguyen is complaining that she is being blackmailed by the officer and his actions with her on 1/5/16 were inappropriate. Ofi‘lcer Tang Allegations: CUBO Officetfs): Richard Tang (01029N) FS 001913 SJ004164 FS 001914 SJ004165 Allegations: ' 1 {a EH U 0 7 U 0 B (CUBO) Conduct Unbecoming an Officer Witnesses: ‘ Kim Nugyen, (408) 279-21 I4, Kim Nugyen, (408) 279-2114, Ngoc Huynh, (408) 279-21 14, Ngoc Huynh, ( Report Created 0n: 4/14/2016 By: Erin O’Neill, [PA Analyst II FS 001915 SJ004166 FS 001916 SJ004167 MCHUUTUUS COM PLAINT PROCESS SUM MARY The misconduct complaint process involves two independent City departments - the Internal Affairs (IA) Unit of the Police Department, and the Office of the Independent Pollce Auditor (IPA). Complaints may be filed at either the IPA office or at Internal Affairs. After a complaint has been filed, each department serves separate functions: > Internal Affairs classifies and investigates complaints; > The IPA reviews the investigations completed by the Internal Affairs Unlt. EMS. o You (the complainant) contact the IPA office and tell us why you have concerns about an officer(s)' conduct. - We (the IPA office) write and mail to you a summary of your compiaint. It includes a case number for tracking purposes. c Internal Affairs sends you a letter that tells you that they have received the complaint. It includes the name of the officer assigned to investigate your complaint. You should receive this letter approximately 30 days after you file your complaint. MIDDLE - Internal Affairs investigates the complaint. - Internal Affairs may contact you to get additional details about the incident. They may ask you to sign a medical release if you said you were injured by the police, or Internal Affairs may ask you to visit their office to look at photographs to help them identify officers at the incident. o It is hard to estimate how long an investigation will take. It depends on how complicated the case is. Generall'y Internal Affairs must complete its investigation within one year. - If you have any questions about your complaint or if you have more detail or documents to pass along, please contact Internal Affairs for the investigator assigned to your complaint, {408) 277-4094. Internal Affairs completes its investigation and forwards it to the IPA office for review. We examine the Internal Affairs investigation to see whether it was complete and fair. o If we believe that more investigation should be done, we may discuss it with Internal Affalrs and/or the Police Chief. If we do not believe further investigation is necessary, both Internal Affairs and IPA will close the case. o Once Internal Affairs and the IPA close the case, you will get a letter from Internal Affairs with a conclusion (“finding") for each of your concerns (“allegations"). Soon after receiving this closing letter, you wi1l get a separate cioslng letter from the IPA. - If you have questions about the IPA review process, piease contact the IPA office at (408) 794-6226. - If you have questions about the investigation of your complaint, please contact Internai Affairs at (408) 277-4094. Complaint Process Summary in brief 5-16-12 FS 001917 SJ004168 FS 001918 SJ004169 CITY 0F SAN JosE, CALIFORSIIA 201 W. MISSION S'I'REET PD. BOX 270 SAN JOSE CA 9S |U3-0270 (408) 277- 42 l 2 168H007005 (‘llll‘l’ ()J- POLICE I'DQARDO GARCIA April 28, 2016 Dr. Phung Nguyen 2114Sentcr Road #25 San Jose, CA 95112 Dr. Nguyen: The San Jose Police Department makes every effort to investigate allegations of misconduct against our officers. Your input is important and assists us in providing better services [0 the community, Recently, you contacted the Independent Poiice Auditor’s Office to make a complaint about the conduct 0f one of our employees. Currently, details 0f your complaint are incomplete. Additional information is necessary t0 properly investigate your complaint, Please contact me at the Internal Affairs Unit in order to schedule an interviaw. Your cooperation in this inwgstigation is greatly appreciated. You may contact me at the Internal Affairs Unit at (408) 277-4094, Monday through Thursday, between 8 am. and 4 pm. ., 1201 6-0087 Sincerely, Officer Mark Mabanag #3446 Juvestigator Internal Affairs Unit FS 001919 SJ004170 FS 001920 SJ004171 m-roRNEV on Pam"! wm-Iourm-ro RNEY (Name. Stare Barn. -. andamvm}: ‘ FOR coum' use ONLY -- Your Legal Name: FHUN'Cr lq‘ M I‘W‘XLMW a I" .1. :4. canal RA #135“YourAddress. 11-1 ?MNJE M q r“ 2 ELEPHoNENo.::-sg.. ‘ J. FAXNO; " .' " fl j-l AATToaNEY Fonmame): SeIf-Repl'esented E D SUPERIOR count 0F CALIFORNIA, coug‘rv 0P Santa Clara STREHADDRESS:191 North First Streetmmmmsnm North First Street JUN 14 201W: Ncn'vANn ZIP cone: Sal] JOSE, CA 951 1 3 QUyEEamon me; CiVIl Courthouse DA ' _ ‘ AK] 9’? CASE NAME: mg EN ‘ U g. ' TEN? BY - - MMCIQDII CIVIL CASE COVE_R §HEET Complex Case Designation mmfg: ' flag? D $23; a Counter D Jofnder demanded demanded is Filed with first appearance by defendant JUDGE: exceeds $25,000) $25,000.0r less) (Cal. Rules of Court, mla 3.402) Dem Items 1-6 below must be completed (see Instructions on page 2). 1. Check one box below for the case type that best descnbes this case: Auto Tort Contact Provisionally Complex Civil Litigation a Auto (22) Breach of contrawwarranty (cs) CaL Rules of Court, rules 3,400.3.403}Uninsured motorist (46) Rule 3.740 oolleclians (09) Antihustl‘t'rade rsgulation (03) Other PHPDMD (Personal Injurylpmpefly lOther oollectigns (09) Construction defec1 (1U) Damagemengl'ul Death) Tort nsurance coverage (1 B) Mass P11 E9) . Other contract (37) Secuntlas lmgatlun {23)ASbBS‘DS (04) r Environmentalfl'oxic tort (30)Fromm liability (24) Real Pmperty Insurance mvem a claims arisin from theMedical malpractice (45) D Eminent domainllnverse b0 r ted vigiona" 00m leg caseOther PIIPDIWD (23) _ condemnation (14) 396:?” pm y p Wrongful eviction (33)Non'gupprwn (omen To". . Other real pmperty (26) Enlorcamem of Judgmentusmess tofifun‘falr busmess practice (D7) D Enforcement of judgmem (20)Ctvil righm (05) Unlawful Detainer Defamation (13) Commercial (31) Miscellaneous Civil Complaint Frain (16) Residenual (32) RICO (27) Intellectual property (19) Drugs (38) Other complaint (not specified above) (42) Efigffli'ggmg'fifig) Judicial Review Misceilaneous Civil Penman Asset forfeiture (05) Partnership and corporate governance (21) Employment Petition re:_ arbitrafion award (1 1) Other pefiu‘on (not specified above) (43) Wrongful termination (36) Writ 0f mandate (02} Other employm ent (1 5) Other judlcia] review (39) Z. This case D is m is not complex under rule 3.4m] of the California Rules of Court. If the case is complex, mark the factors requiring exceptionaljudioial management: a. Large number of separateiy represented parties d. a Large number of witnesses ‘b. Extensive motion practice raising difficufl or nave! e. Coordination with related actions pending in one or more courts Issues that will be tlme-consuming ta resolve in other counties. smtes, or cnuntn'es. or in a federal court c. D Substantial amount of documeniary evidence E a Substantial posfiudgment judicial supervision Remedies sought (check an thatapply): a. D moneiary b‘ m nonmonetary; declaratory orinjuncfive relief c. D punlfive Number of causes of actiongecr‘fy): This case a is is not a class action sun. _ , ifthere are any known related cases, file and serve a nolice of related case-.(You may use form CM-015.) Date: 6’9 ”[6 wuuznyu [TYPE 0R P [WWPHuw-zsr gin ”@5511! } W NOTICE u Plaintiff must file this cover sheet with the first paper filed in the action or proceeding (except small claims cases or cases filed .undar the Probate Code, Family Code. or Welfare and Institutions Code). (Cal. Rules of Court. rule 3.220.) FaIIura m file may result in sanctions. u File this cover sheet I'n addition to any cover sheet required by local court rule. o If this case Is complex under rule 3.400 et seq. of lhs California Rules of Court! you must serve a copy of this cover sheet on all other partias la the action or proceeding. o Unless this is a collections case under rule 3.740 or a cbmplex case, this cover sheet will be used for stafistical purposes only. . Paga 1 af2 assassagkgctamasm $5)M C'V'L CASE COVER SHEET w %§?gu%agar§3é§a.afiafinma%‘$¢%i U:,Mmol .July 1. 2mm 3mm”. mam... mmmroxagav FS 001921 SJ004172 ZZfiIfll}SJ CM-U1U INSTRUCTIONSONHOWTOCOMPLETETHECOVERSHEET a_niaintlffsandpthersFillingFirstPapaya,Ifyau‘arelfiiinga_firstpaper{funexamplgh amphete'afi'dfile,alongwithyourfirstpaer,the-Civfl"Ca_s_eGc‘nirérSheer‘conbaine‘d'dn‘euse’dto"compilé ' agcomplaiqi)jna_plyleaseI,gmmust ‘age1;Thisinformatapnwlll atisiicsaboutthetyp‘esandnumbersocasa'sfiled,.Ypumustcampleteitems11hraug6onIhesheet.Initem1,youmustcheck - naboxforjthacasetype-‘tnatbestde‘$cribe_§.the'casef-theicase’fitsbotha,‘efi'érajfanclamerefspecifictypeoffca'selisted-infiem1,,.‘‘ I. 1e6k'th'e'more’sp’etijficone.Ifthe’c’as’e’"h'as"mulflp1'eéaUsés'ofadtihh’,checké-bo'xthat'ib‘est‘indicatesmeprimarycauseofaction. ' aasslstyouincompl'tingthe'sheet,ex'an-iple‘softh'écése‘sthatbelongundereachcase'fype‘fir‘nitem1.areprovidedbé1o'w.Acover Ieetmustbefiledonlywithyourinitialpaper.Failuretofileacoversheetwiththefirstpaperfiledinacivilcasemaysubjectaparty, scounsel,orbothtosanctionsunderrules2.30and3.220oftheCaliforniaRulesofCourt. oPartiesinRule3.740CoilectionsCases.A“collectionscase"underrule3.740isdefinedas-anactionforrecoveryofmoney wed'Inasumstatedtobecertain111a!Isnot_morethan$25,000,exclusiveofinterestandattorney‘sfees,arisingfromatransactionin hichproperty,services,ormoneéwasacqutredoncredit.Acollectionscasedoesn01includeanactionseekingthefoliowing:(1)tort amages.(2%gunitivedamages. rtachment. )recoveryofrealproperty.(4}recoveryofpersonalproperly,or(5)aprajudgmentwn'tof eidentificationofacaseasarule3.740collectionscaseonthisformmeansthatitwilIbeexemptfromthegenera! ne-for-servicerequlrementsandcasemanagementrules.unlessadefendantfil'esaresponsivepleading.Arule3.740collections asewillbesub]ec1totherequirementsforserviceandobtainingajudgmentinrule3.740. {Excasesonly,partiesmustalsousethe0foCaseCoverSheettodesignatewhetherthe ecaseiscomplexunderrule3.400oftheCaiiforniaRulesofCOLIN,thismustbeIndicatedb laintiffdesignatesacaseascomplex,thecoversheetmustheservedwithe DPaflies"inComplexCases.Incom‘ aseiscomplexIfaplainu'ffbelieves :mpletingtheappropriateboxesinitems1and2.Ifa omplaintona]!partiestotheaction.AdefendantmayIlelandservenoIaterthanthetimeofitsfirstappearanceajoinderinthe Iaintiff‘sdesignation.acounier-designationthatthecaseIsnotcomplex,or.iftheplaintiffhasmadenodeslgnation.adesignaiionmat lecaselscomplex. moTan Auto(22}PersonatInjuryIPropea-ty DamageJWrui-ugfulDeath UninsuredMotorist(46)(Ifthe casefnvoNesanuninsured motoristcrefmsubjectto arbitration,checkthisilern insteadofAufo) ItherPUPDIWD'lPa‘rs'ora'alInjury! ropeflyDamageJWrongfulDeath) ort r Asbestos(o4) ' ' AsbestosPropertyDamage AsbestosFarsnna‘Injury! WrongfulDeath ProductLlability(notasbestosor toxic/emdrunmenlalj(24) MedlcalMalpractlce(45) MedicalMalpractice- Physicians8:Surgeons OtherProfessionalHealthCare Maipradlce OtherPIIPDIWD{23) PremisesLiability{e.g..slip .andfail) IntentionalBodilylnjurylPDM'D (9.9..assault.vandalism) Intentionallnfliclionof EmotionalDistress Negiigentinflictionof EmotionalDistress OtherPllPDfWD Ion-PIIFDMID(Other)Tort BusinessTomUnfairBusiness Practice(D7) CivilRighls(e.g..dlscriminalion‘ falsearres!)(norCM! harassment}(OB) Defamafion(e.g.,slander.libel) (13) Fraud(16) IntellectualProperty(19) ProfessionalNegligence(25) LegalMalpractice OtherProfesslonalMalpractice (normedicalortags!) OtherNon-PIIPDIWDTort(35) Employment WrongfulTermination(36) OtherEmployment(15) CASETYPESANDEXAMPLES Contract BreachofContractIWananty(06) BreachoiRentaifLease_ Contract(notunfawfiJIdefainer _orwrongfurevicfion) ContracerarrarityBraach-Seller Piainfifi(notfi‘audornegligence) NegligentBrushDileract’ Warranty 0thé‘r‘Bré’a'fihdfC'Bfih-é'cUWé'rréhly ' Collections(9.9.,moneyowed,open bunkaccounts)(09) CollectionCase-SellerPLaianfi OtherPromissoryNoteICollectinns .Case InsuranceCoverage{notprovisionally complex)(1B} AutoS'ubrogation Ofi-IerCoverage, OtherContract(37) ContractualFraud - OtherContractDispute RealProperty EmlnentDomainilnverse Condemnation(14) WrongfulEvicfion(33} OtherRea!Property(e.g.,quiettifie)(26) wmofPossessionofRealProperty MortgageForeclosure QuietTitle OmarRealProperty(noteminent domain,Jandford/tenant,or foreclosure) UnlawfulDetainer Commemial(31) Resldenflal{32) Drugs{38)(ffthecaseinvahresiergaf Idrugs,checkthisitém.‘othemriss, reportasCommercialorResidentiafl JudicialReview AsselForfeiture(05} PefitionRe:ArbllratlonAward(11} WritofMandate(02) Wrii-AdmlnistrativeMandamus Writ-MandamusonLimitedCourt CaseMatter WriI-OtherLimitedCourtCase Review OtherJudlcialRevlew(39) ReviewofHealthOfficerOrder NoticeofAppeal-Labor CommissionerAppeals ProvisionallyComplexCivilLlfigaiion(Cal. RulesofCourtRules3.400-3A03) AntitrusthtadeRagulatlon(DB) ConstructionDefect(1O) ClaimsInvolvingMassTort(40} SecurifiesLifigation(25) Environmentaln'axicTort(30) InsuranceCoverageClaims -----(arisingrframpmvisfanalhtcomprex casefypelistedabove){41} EnforcementofJudgment EnforcementofJudgment(20) AbStractofJudgment{Outof County) ConfessionofJudgment(non- .ubmesficrelations) SisterStaieJudgment AdministrdiiveAgencyAward ‘(notunpaidtaxes)‘ PetitiomCartificationofEniryof - JudgmentonUnpaidTaxes OthelEnforcementofJudgment Case MlsceilaneousCIVILComplaint Rico(27) omerComptaini(no:specified ‘ above)(42) DeclaratoryReliefOnly lnjunctiveReliefOnly(non- harassment) MeohanisUen OtherCommercialComplaint ' Case(non-mfl/non-compiex) OtherCivilComplaint (non-torb‘non-complex) MiscellaneousCivilPetition PaflnershipandCorporate Governance(21) OtherPetition(notspecified abov'e)(43) ‘CivilH'afass'rhent ' . WorkplaceViolenCs'‘ EIdarlDéfiend‘enmdyjt.‘ Abusie ' ' " ElectionContest PetitionforNameChange PetitionforReliefftomLate Claim - ‘ OtherCivilPetition ragesu:a. SJ004173 ATTACHMENT CV-5014 ATTORNEY 0R P‘ARTY MTHOUT_A1TGRNEY (Nam; Slate Hai‘zvumher. and addfessj: FDR EDURT USE ONLY VCUR LEGAL NAME P_H U [\YG’ [<4- M RKT’WETU voumnnnass: itl‘i ?ENTEF‘ K0! #F 15‘ ( 821113036 a 94‘? 5W”. ( DB) 17 Vi? ' TELEPHONE Mo- 409; g? 85x5 7L, rAxno (optima: 4 4.. 1 EMAILAnnRessmpnanau. ,[z ,h : ATrURNEYFOR (Namer Seif-Represerfim Ma) jam F ' I L E D SUPERIOR COURT 0F CALIFORNIA, COUNTY 0F SANTA CLARA STREETADDRESS. 191 North First Street JUN 1 4 2013 KMAILING ADDRESS: 191 North First Street ' cm AND ZIP coma: San Jose, CA 951 13 BRANCH NAME: Civil Division N9 Iyer' PersonJEntity Seeking Protection: PHUW Ki n1 Ward Person From Whom Pratecfion is Sought 24‘ch Tag} CASE N DEPT, iDECLARATION IN SUPPORT OF EX PARTE APPLICATION FOR CIVIL RESTRAINING ORDERS mi 6 CH G 0 7 D D 5 l. the undersigned, declare: ‘1. I am {choose one): D attorney for Person or Entity Seeking Protectionm self-represented Person or Entity Seeking ProtectionD other (explain): 2. The opposing party Is represented by an attorney: DYes -No (lfyou checked“ yes". fill'In the attorney“ s name. address. and telephone number. If you checked "no". fih'In ihe other party’ s name address, and telephone number.) Restrained Party or Attorney name: RA CH MU) TEN? -' VAN TBS; P014 LE DE PARA M EN T AddressJTelephone number: wafi‘w O F 6.1m“ Fm. wk”): .2: h Em “l 4m Infra: T fl gag .33: CA qrflz‘ 3. 0TH ER GASES: Have the parties to this case been involved in litigation with each other in another Civil. Family. Probate a 05’) ?ql’ ”f 9 Juvenile. or Criminal Coutt Case? UYes QNO If “yes", case(s) number(s): 4. NOTICE a. I HAVE given notice to the opposing party andfor their afiorney by the following meflmd:a Personal delivery DOvem‘Ight Carrier D First Class Mail DOther. Date: Time: I have received confirmation that the other party has received my papers as follows: (describe) b. l HAVE NOT given notice of the request for orders because (Check all that apply. You must explain below): Ends is an application for Civil Harassment Prevention Act, Elder Abuse, Private Postsecondary School Violence. Transitional Housing Misconduct. or Workplace Violence Act restraining orders and:a Great or irreparable injury will result before the matter can be heard on notice.a It i5 impossible to give notice. DThe other party agrees to the orders requested.D Other: c. Explanation: DA hearing between the parties is already.se_t l am asking that this motion be heard at the same time. DI am unable in serve the other party in the time required by law.m I fear for my physical safety (and that of others. if appficable).D Other: l declare under penalty of perjury ihat 1119 forgoing is true and correct. U‘ M‘ W PHerzr MM WW 7 ‘Waa/ Date Print Name Declarant's Signature I f CV50“ nzvmroma DECLARATION IN SUPPORT 0F EX PARTE APPLICATION FOR mumW)-mnmnmx CIVIL RESTRAINING ORDERS'- BSEHIIII TERMS" FS 001923 SJ004174 vZSIflflSJATrACHMENTcv-smfl INSTRUCTIONS I_Ple_asarefert_o_Sa_nmClamCountyL_o__c_a[Clr_‘S‘fvrm159tf0:P?w- rfia‘k'eimmediateo-rdéréwithdLit' ''- theotherpattybeingpresentforahearingTheseordersarecalledexpartsorders.Thisformmustbe completed'Inanycasewhereexparfeordersarerequested.Ifyouhavegivennoticeto-theothersideofx yourcase.youmuststatemeformofnoticegiven.Noticemeansprovidingtheothersideofthecageeither thea'itomeyorasefl-repreaeniadpartywithcopiesofanypaperslhatyouwanttheJudgeIoreviewand anyo'rders_thatyouarerequesiingIfyouhavenolgivennotice,youmustexplainwhyyouhavenotgiven notice,Therearesomecircumstanceswhenngticemaybewaived.suchascasesinvolvingallegationsof domesticviolencewherethesafetyofapartyorachildmightbeai_riskifnoticeisgiven.Itisuptoihe Judgeinyourcasetodeterminewhethernoficewillberequiredornot. SECTION#1 StatewhetheryouarethePetifi'onerortheRespondentInthecase.Onceacaseisfiled,thepartieskeep thesamestatusinthecase.YoudonotchangefromlheRespondent“)ahaPetitionerbyfilinganew motioninthecase.If‘youdonothaveanattorney,youareconsideredself-represented. SECTION#2 lftheotherpartyisrepresemedbyanattorney.youmustprovidetheCourtwiththeattorney'snameand address.lftheotherpartyisnotrepresentedbyanattorney,youmustprovidetheCourtwiththeother party’saddress SECTION#3 ItIsyeryi_mporta_n:_10listalla_then_ca__s__esinwhichyouandtheotherpattyhavebeeninvolvedwith_thecourts. ThiswouldincludeotherFamilyLaw.ProbateJuvenile.Rest'ainingOrderChildSupport,Civil,orCriminal matters.llyoudonoihavelhe_casenumber.pleaseputunknownandIisithecountyandtheyearofthe filing,Ifpossible. SECTION#4A UnlessnoticeIsexcusedbymeCourt,youmustprovidenoticeofmismotiontotheotherparty beforeyoudeliveracopytoE19Court.Whenyougivesuchnotice,specifyhowyoudidit(by courierorperspnally,forexample)andatwhfltimeanddata.‘Also,pléaseexplainhowyouknow thattheothersidéreceivedcopiesofyourpapersandwhatresponseyouweregiven. SECTION#43 . Ifyoudidnotgivenoticeofthisapplication,explainwhy'Inthissection.Checkasmanyboxesas apply.Youmayalsowriteoutanyfurtherexplanationofyourreasonsfornotgivingnotice. Aflerthisfon-n'Iscompleted,attachittoyourrestrainingorderapplimiionandsubmitthemasfollows: OIfCivilHarassmentWorkplace:Violence.PrivatePostsecondarySchool\flolenoeorTransitional HousingMisconducttotheCivilDiwsionClerk’sOffice oIfElderorDependentAdultAbusetotheProbateDivisionClerk'sOffice BnlhClerks’OfficesareatSantaClaraCountySuperiorCourt,191N.Firs!Street.SanJosé.CA95113 cmmeummDECLARATMNWm Mamwm:f'94CIVILRESTRAININGORDERS._ wBsrumtfnms"z SMALLWOOD EXHIBIT SJ004175 FS 001925 SJ004176 CALIFORNIA FORM 700 FAIR POLl'HCAL PRACIICES COMMISSION AMENDMENT Plaase type or pn'nl in Ink. STATEMENT 0F ECONOMIC INTERESTS RECEiVE‘ifiWfiSSJXS“ COVER PAGE A Public Document San Jose City Cisr'y: 2013i'if1fi 2| Fi-‘i 2= 2| NAME os FILER (usn (nnsn (moms) Téng Richard 1. Office. Agency, or Court Agency Name San Jose Pollée Depaflment Dlvislon, Board. Department, Dlsuia, If applicable Your Poslllon I Dlvlslon of Gaming Control Gamlng Administrator > If filing for multiple posilbns. list below or on an attachment. Agency. Position: 2. Jur'lsdiction of Office (Check atleaseone box) D Slate D Judge (Slalewide Jurisdiction) D Mullwounly D County of City a! sa" Jose D Other 3. Type of Statement {Check at least ans box) Annual: The period covered is January 1. 2010, Ihrough December 31. D Leavlng office: Date Lefl _J__J_ 2010. _°r_ (Check one) Th3 period cove,“ is _/_‘/_‘ mmugh December 31' O The period covered Is January 1, 2010, through lhe date of 2010. ieaving office. D Assummg omce; Da‘e __/_J_ O The period covered is _I_/_. through lhe dale o! leaving office. D Candidate: Eecnon Year Office sought. If EMerenl lhan Parl 1: 4. Schedule Summary 5Check applicable schedules or "None.” Schedule A-1 - Inveslments - schedule attached E Schedule A-z - Imeglmenrs - schedule attached U Schedule B - Real Properly - schedule attached .or. > Tolal number oi pages including lhls cover page: m Schedule C - Income. Loans. & Business Positions - schedule attached D Schedule D - Income - Gifis - schedule attached D Schedule E - Income - Gifls - Travel Payments - schedule attached D Nona - No reportable Interests on any schadule Verification9' MAILING ADDRESS STREET CITYMm: uAgencyAddes: Recommmded - Puub Memena STATE ZF WE ea - DAYHIE WHONE NUMBR EMAIL ADDRESS ( 408 )794-1474 flchard.teng@san]oseca.gov | have used all reasonable dfligence in preparing this slalemenL | have Iaviemd this statement and lo the best of my knowledge me information oonlained herein and in any allached schedules Is lrue and complete. | acknowledge this is a public documenl. _l certify under penalty of perjury under the laws of the Stats of Callfomla that the loregolng ls true and co ct. 3-20-1 a c Date Signed (mm. day. your) Signature (m ma mysmapmnw mwm‘gom; \ FP c Form 7uo (2010/2011)FPPC Toll-Frae Halpll ' 866 5-3172 www.lppc.ca.qov FS 001926 SJ004177 CALIFORNIA FORM 7 0 0 Hm I‘uLIlImL Immunea t Ursa'rstlrn A M E N D M E N T ' D NAME OF BlBlNESS ENTITY SCHEDULE A-1 Investments Stocks, Bonds, and Other Interests (Ou'mership Inteljest ls Less Than 10%) Do no! attach brokerage or financial statement. . >_ NAME W BUSNESS ENTITY Clflgmup Inc. Intel Corp GENERAL Disclaimer: cs ausausss Acnvn'v GENERAL mum 0F ausmaas ActM'rv Banking ' High Tech ma wet VALUE ma mm VALUE ' E $2.000 . 31mm D 310.001 - mom: 32m - 310.000 D 310.001 . smpao D 3100.001 - “mom: U 0m smooma D 5100.001 - "momma D 0m shonum Mirna: or Misusmem ' N'Amne OF INVESTMENT r2 3m emu p3 M mm (nacho) D M)fl Pam-wp ommnmmadso-unOhmkmddssoouummmmq r mmmLE. us‘r one _J_IJ.0_. 4440.. mem OIdeu-sm ' Olmmdmummmwa IF APPIJGABLE. LIST DATE .4449. _/_J.1i Acauman msroseo ACQUIRED msposan m: or ausuess 5mm ‘ p NAME or nusmsss emrnr Federal National Momage Assoclauon IBM GENERAL oescnwnou or ausmess Acnvm 6mm oescnlpnou or ausmess Acmrrv Mortgage Banklng High Tech mu met VALUE FAIR MARKET VALUE E noon - 310.000 D 510.001 - 3mm D noon - 51mm 310.00! - mama fl $100,001 - a1.ooo,oou fl Over :moomo D mum - «memo D M simomo ulawna or Investment u-Amna or mvgmem Ks SM Gnu >2 Shut marD (0mm D Pmnhlp olnum Rmnuoiso~uodolnmkculwddssooorummmma irmnucmLausnmE: _/_IL°_ _J_J_1L Acaumsu nlsvoseq > mus cs wsxusss 941m Freddie Mac Gaasm osscnwnou 0F ausmess Acmm Momage Banking ma ma VALUE D moo - sumo D 510.001 - 3100.000 D mum - ammo D aver ammo NKTURE OF INVESTMENT m 8M 0mmI D , D mm onmnmaw-smOlmflwuamummmmq IF APPLICABLE. LIST DATE _./_J_1.o_ _/__/L‘ MUIRED DISPNED M0) D PM olmnmdw-uaOlmnmmdmoumwmama |F- APFUGABLE. LIST DATE“ _l_l_19_ _I'_l._1L ACQUIRED mspossu Verification Punt Nlmo ”Ohm Tong $me SJPD - Division of Gaming Cannon smommwp- .201012011 Annual Emma DunnDTanI ucamato I hm used all mmnabh dfllgom In mpaflna lhls Imminent I hm mhwed 01h alalumm Ind lo mo host o! my Immune lhe’ Infomflon eonlalmd hamln and In any anaehad schedules ls m and mm. I army under penalty cl perjury under tho Inw- o! tho 8m. cl Gulnomln that tho (ongoing II lruo and comet. Comment: om 5mm l 3-20-13 Q Slanqmn I \ FPPG Form 100 ondm (m1mo11) Sch. A4 FPPc TolI-Fno Helpline: 172 mfppuagov FS 001927 SJ004178 SCHEDULE A-1 Investments Stocks, Bonds, and Other Interests (Ownership Interest is Less Than 10%) CALIFORNIA FORM 700 rum puuncflL PRMIHCES C Smut! AMENDMENT Do no! attach brokerage or flnandal statements > NAME 0F MNESSm Mlaosofl Corp calm oescmwnou oi nusmsssvam High Teen FAIR Wynn: 32.0w - $10,000 D 310.001 - sioomo D 3100.001 - smoomo D 0m a1,ooo.’ooo MATURE OF mvesmam "4 aha omI D ) D PM Olmmnmwmuan- useOhmnmmuuoaarmmmmq IFAPPUCABLE. “Sf DATE _I__JJD_ _I_IJ9. mmsan > mus o; ausmesa 5mm Hines REIT GENERAL DESCRIPTION OF lUSlNE$ ACTMTY Real Estate Trust ma mam VALUE U 82.0w - 3mm E stmom - 3100.000 D 3100.001 - 31.4mm D Over 31.0mm Em” '"Vamflsmres In Managed RE TtustM» -D Pm» 0mm waaw-uwOlnm MddMuMMu-sma IF mama. us? nave ._I_J_19_ _I_I1_° Acoulnen unspea- > NAME or ausmass amw Intand Western REITmmDmmofl G BUSKNBSm Real Estate Trust FAIR Mum VALUE . D mm - «0.0m 810.001 - mama D 3100.001 - 31.0mm D 0m $1,000,000 Egg“ mmShares In Managfd RE Trust fl Mum» ofimRmmuu~un , OmnmmddsmorMu-Mmmq IF APHJWLE. LIST DATE ' _I_l1_° _I_IL women ‘ nisaosED y NAME 0F ausmess mm Inland Weslam REIT SHEEN. DmRtPflON G BUSINEfi ACTIVITY Real Estate Trust . mam VALUE D moo - mum «0.0M - mama D mom: - 31.0mm D aver 31.0mm Egg“ ‘WfiTgflTShares In Managed RE TrustM) D Putnam; olmmdso-ma01mm Rewmdsmuummmmc) IF APPLICABLE. LIST DATE _/_/_19_ _J_I.J.L mums» Disposso Commons: > um: o: ausmeas-amw Ganworth Ufa and Annuity Insurance Co. GENERAL DEERIPTION OF BUSINESS MHWI'Y Annulty ma MARKET VALUE . D um - homo E 519.001 - 3100.000 D 8100.001 - 31.0mm D 0m smuomo E‘Tlfi“ ‘Wff'gjf Variable annuity (Duh) D amt» olmmnmdw- «a ‘ Olnmnmddsmwuommwmmq Ir mum: List ME: __J__I_10_ _J.._/J2_ Acnumen Dispossn Verification M"! Nam Richard Teng . om". Agency or Conn SJPD ' 0M8!” 0f Gaining Canto! swam 1w. I 2010/2011 Annual DAmman D Loam D.m- Annual Deamflm I have um ail nuombb mamas In prepaflng lhls slalanem. I have mimd lhls Ilalemenlmd lo Ibo bed! ofmy lambda: Mumbmflm ounlllned he'dn and In any Ifladud sdlodtdal ls lme and compleu. I canny under malty ol perjury under 1M lam o! tho sm- cl Camomh (Ml Ina hngolng ls mm and comet. Du. 8m“ 3-20-13 alumnus ' I \ FPPC Form 700 Am imam ( 10m") Sch. A4 FPPc Tou-Fvo. Helpline: IS m.fippcngw FS 001928 SJ004179 FPPC Form 700 A endmenl (2 10/2011) Sch. C FPPC TolI-Frae Helpline: a [275-3772 .fppc.ca.gov . ' ‘ ' ' . ‘ ' V, I 'V ‘ ADDRES (BuslnussAddmssAccaptable) 2 Donovan Road. Pennlnglon, NJ 3150 N. Tenaya Way #680. Las Vegas, NV BUSINESS Acnvrrv. IF ANY. 0F SOURCE BUSINESS ACTIVITY. IF ANY. 0F souace Business Consultancy Medlcal Office YOUR BUSINESS POSITION YOUR ausmess POSITION Independent Sub-Contractor Independent Contractor GRoss INCOME RECEIVED eRoss Income RECENED D ssoo . $1,000 D $1.0m - $10,000 U ssoo - $1.000 D $1.0m - $10,000 E 310.001 - s1pu,uuo D OVER 5100.000 s1a,au1 - $100,000 D OVER 51,00,000 CONSIDERATION FOR wmcH INCOME WAS RECEIVED CONSIDERATION FOR WHICH INCOME WAS RECEIVED D Salary D Spousa's ur mglslared domestic partner's Income D Salary D Spauae's ar mglsmmd dcmuallc pamnr': Incomu D Lam repayment D Partnership U Loan mpaymunl. D Paflnemhip D Sale or D Sela or I (Pmpeny, car, bosl. etc.) {Hwy mr. boat. am) D Gammlnlon or D Rama! Income. Its! each samw olsvaooa armors D Commlsslan or U Rental Income. Its! sach source ols1o,aaaarmom OM Compllance/Flnanclal Revlew E om" Set up Computerized Accounting System {Dascflbcl (Descdbej Comments: > 2. LOAN RECEIVED You are no! required lo r'eport loans from commercial lendlng Institutions, or any indebtedness created as ‘part of a retail installment or credil- card transaction, made in the lender's regular course of business on terms available to members of the public without regard to your official status. Personal loans and loans received not In a lender's regular course of business musl be disclosed as follows: NAME OF ENDER (NTEREST RATE TERM (MonlhilYeavs) 'A D NanaADDRESS {Business Addmss Acceptable) SECURITYFOR LOAN U None D Personal IesldanmBUSINESS ACTIVITY, IF ANY, OF LENDER D Raul Property WW-fi. s: HIGHEST BALANCE DURING REPORTING PERIOD ‘ D ssna - $1.000 -_GWI-_ D $1.001 - 510.000 - D p D $10,001 - 5100.000 D OVER $100,000 , D omer Mum) Verification Richard Teng ' SJPD - Dlvlslon of Gaming ControlPrlnl Name Office. Agency or Court Statement Type 2010/2011 Annual DT Annual fl Assuman D Leaving D Candidate | have used all reasonable dlligence In preparing lhls slalemenl. I have reviewed lhls statement and lo |ha besl of my knoMedge the lnfonnallan wnlalned herein and In any attached schedules ls [rue and complete. I cenlfy under penalty of perjury under the laws of the Stale of Californla lhal the foragol g la true and cor 3-20-1 3 (munlh. day, year) SlgnaturaDale Signed FS 001929 SJ004180 SCHEDULE A-2 Investments, Income, and Assets of Business EntitieslTrusts (Ownership Interest ls 10% or Greater) Richard Teng, CPA Name 505 Canyon Greens Drive, Las Vegas, Nevada 89144 Address (Business Address Acceptable) Check mu D Trust. w Io 2 Business Enmy, cumplale ma box. man go Ia 2 GENERAL osscmpnou 0F ausmsss Acnvmr Business Consultancy FAIR MARKET VALUE D $2,000 - $10,000 IF APPLICABLE. LIST DATE: $104101 - 3100.000 ‘ __/_I1_0 __/__/10_ $100,001 . 51,000,000 ACQUIRED DISPOSED D bver 51,000,000 NATURE 0F INVESTMENT .Sale r r ‘r D Fm 'r D om“ VOUR BUSINESS Posrnon 5°15 Pracmloner > 2‘ IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE VOUR PRO RATA SHARE OF THE GROSS INCOME IQ THE ENTITYITRUST) D so - $493 D 510,001 - 3100.000 E' ??%‘L; ‘Lf‘lfiioa- W “°“'°°° > 3. LIST THE NAME OF EACH REPORTABLE SINGLE SOURCE OF INCOME OF 510.000 0R MORE (much .1 mama slum iI nucmm Spectrum Gamlng Group, LLC, Pennlngton. NJ Advanced Surgical Care, Las Vegas, NV Comments: CALIFORNIA FORM 700 FAIR PDLIYICAL PRACTICES COMMISSION AMENDMENT > 4. INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD fl THE BUSINESS ENTITV 0R YRUST Check one box: D INVESTMENT . D REAL PROPERTY Name o! Bushes: Emily 91 Sues! Mares: orAsaessar'a Fame! Number o! Real Prapmy Dasa‘ipllon ol Business Acllvlly n: City or Olhar Precise Locaum M Raul Property FAIR MARKET VALUE D :2,oou - $10,000 D $10.00! - 5100.000 IF APPLICABLE. LIST DATE: __/___/_1L _/_/fl $100,001 - $1,000,000 ACQUIRED DISPOSEU Over $1,000,000 NATURE 0F INTERE§T D Praperiy OwnershlpIDeed al Trust D Sled D Partnership D Leasehold -. U Olhar Yrs. runalnhg Checx box l addlficnal mhadulaa mpomng hwesu-nenl: or ma! propeny are attached Verification Pm Name Richard Tang office. Agency or cam San Jose Police Depanmant Statement Type 201M011 Annual D m. Annual D A5§umlng D Leaving D Candidate l have used an reasonable diligence in preparing this slalemenl. I have reviewed lhls slalemenl and (o the besl of my knowledge the lnfnnnah'on contained hereln and ln any attached schedules Is true and complete, I certify under penalty o! perjury under the laws of (he Slate of calilomla [hag (he foregoing ls true and correct. 3-20-13 Date Signed v {MONA day. WM Signature ”‘ «é r2“ :\ I FPPC Form 700 A andrne l (201W2011) Sch.,A-2 FPPC Toll-Free Helpline: 66/215- 772 www.fppc.ca.gov FS 001930 SJ004181 SCHEDULE c CALIFORNIA FORM 700 Income, Loans, & BUSlneSS FAIR POLITICAL PRAcnces cowmssxon Positions (Other than Gifts and Travel Payments) A M E N D M E N T > 1. Income Recalvso > 1. mcome RECEIVED NAME or SOURCE 0F mcous NAME 0F SOURCE OF mcoME Spectrum Gaming Group. LLC Advanced Surgical Care ADDRESS (Business Address Amplable) ADDRESS (Business Addmss Acceptabla) 2 Donovan Road. Pennlngton, NJ 3150 N. Tenaya Way #680. Las Vegas. NV BUSINESS AcnvrrY. IF ANY. 0F souace ausINess Acnvn'v. IF ANY. 0F SOURCE Business Consultancy Medical Office YOUR BUSINESS POSITION YOUR BUSINESS PosmoN Independent Sub-Contractor Independent Contractor Gnoss INCOME RECEIVED GRoss INCOME RECEIVED D ssaa - $1.000 D sum . $10,000 D ssuo - 51.000 D $1.001 - s1n,oon E $10.00! - 5190.000 D OVER $100,000 $10,001 - $100,000 E] OVER 3190.000 CONSIDERAnoN FOR WHICH INCOME WAS RECEIVED CONSIDERATION FOR WHICH INCOME WAs RECEIVED D Salary D Spouu's cr mgiafsrad domestic pannar'a Imam: D Salary D Spouse's or reglalared damask partner's Income D Loan repayment D Pamarshlp D Lunn mpaymanl. D Partnership D Sale ol D Saia o!' (PM car, boat. ac) (mpeny car. boat. am D eommlsalan or D Rental Incama. as: each source 01310.net; amen D Commission or D Rania: Income. moan mm mama um OM CompllancelFlnanclal ReVIew E OM Set up Computerized Accounting Systemmama) (Deacnne) Comments: > 2‘ LOAN RECEIVED You are not required to r‘eport loans from commercial lending institutions, or any indebtedness created as ‘part of a retail installment or credit- card transaction, made in the lender's regular course of buslness on terms available (o members of the public without regard to your official status. Personal loans and ioans received not in a lender's regular course of business must be disclosed as follows: NAME 0F LENDER INTEREST RATE TERM (Monthllers) “A U NanaADDRESS (Buslnsss Address Amplabla) SECURITY ,FOR LOAN D Nona D Pannnal rasldenuausmsss Acnvnv, u= ANY. 0F LENDER D Rul PmpeflyWm- HIGHEST BALANCE DURING REPORTING PERIOD D $500 - $1.000 -th_- D $1.0m - 510.com ~ D D $10,001 - $100,000 D OVER $100,000 . U Other ( w Verification Richard Teng omce' Agency or Com SJPD - Dlvlslon of Gaming ControlPrlnt Name Statement Type E 2010I2011 Annual D WMnual D Assumlng D Leaving D Candidate I have used all reasonable dnigence In preparing this slalemenl. l have reviewed lhls statement and lo the besl o! my knowledge Ihe Informallon conlalned herein and In any attached schedules Is true and complete. I certify under penalty of perjury under tho laws of me Slaw of California (ha! the foregolw and co 3'20‘13 Signature 5 (mum day, yea!) ' \ FPPC Farm 700 A endment (2 10/2011) Sch, C FPPC Toll-Frea Helpline: 8 [275-3772 .fppc.ca.gov Dale Signed SMALLWOOD EXHIBIT SJ004182 City of San Jose City Administrative Policy Manual Personal Use of City Equipment 1.6.2 Revised Date: 1/10/2005 Original Effective Date: 7/01/1989 Page 1 of 2 PURPOSE Virtually all City employees have access to some City-owned equipment that helps them perform their prescribed duties. The purpose of this policy is to define appropriate and inappropriate uses of City-owned equipment. The policy expands on the general discussion of the subject found in the Code of Ethics for Officials and Employees of the City of San Jose, Chapter 1.2.1 of the City Policy Manual. For the purpose of this policy “City-owned equipment” is defined as any City-owned piece of equipment made available to employees for use in accomplishing assigned tasks. City-owned pieces of equipment include but are not limited to: Telephones City issued cellular phones Pagers Computers Printers Computer hardware/software Copiers Calculators Office equipment Furniture Office supplies Athletic equipment “For personal use” is defined as any task not related to official City business. For additional information regarding Internet and computer usage, please see CPM Chapter 1.7.1, Use of Email, Internet Services and Other Electronic Media. For additional information regarding City vehicle usage, please see CPM Chapter 1.8.1, Use of City and Personal Vehicles. For additional information regarding use of City issued cellular phones, please see CPM Chapter 1.7.4, Cellular Telephone Policy. POLICY 1. General Policy It is the policy of the City of San José that use of City equipment, issued or made available to employees is intended solely for use in performance of authorized City tasks and official City purposes only. Use of City equipment for personal use or private business is prohibited and FS 001931 SJ004183 City of San Jose City Administrative Policy Manual Personal Use of City Equipment 1.6.2 Revised Date: 1/10/2005 Original Effective Date: 7/01/1989 Page 2 of 2 violators of this policy will be subject to disciplinary action. Employees who are uncertain whether a specific task constitutes City use or personal use should consult their supervisors or the Office of Employee Relations. Employees are responsible for exercising due care in securing and maintaining City equipment in their possession. City equipment that is lost or damaged while assigned to an employee must be reported to the employee’s department. The employee must write a memorandum that includes the details of the situation or event that resulted in the loss or damage to the assigned equipment. If City issued equipment is stolen while in the possession of an employee, the employee must file a police report and submit a copy of the report to the department for review. Reports of lost, stolen, or damaged City issued equipment will be reviewed and assessed on a case-by-case basis. 2. Exception City equipment including telephones is provided to employees to aid them in carrying out their official duties. It is recognized that from time to time employees need to make/receive personal calls. (Please refer to CPM Chapter 1.7.4, Cellular Telephone Policy, for information on Cell phone usage.) It is appropriate to use City landline phones for such calls within the following guidelines: A. Personal calls may be a distraction from the employee’s assigned duties. Accordingly, such calls should be of short duration and infrequent. Supervisors are responsible for ensuring that personal calls do not negatively impact services to the public or departmental operations. B. Calls of a personal business nature (e.g. selling goods or services) shall not be made or accepted on City phones. C. City telephone numbers should not be listed in want ads, sales offers, bulletin boards, newspapers or any electronic media form in conjunction with personal use and/or personal business. D. City telephones should not be used for personal long distance calls. A long distance call is any call that is itemized on the department’s monthly bill from the telephone service provider. All such calls should be made collect or billed to the employee’s home phone or to a credit card/phone card. Employees are required to pay for any personal long distance/toll calls appearing on the department’s monthly bill, and may be subject to disciplinary action. Approved: /s/ Alex Gurza 1/10/2005 Director of Employee Relations Date FS 001932 SJ004184 SMALLWOOD EXHIBIT SJ004185 SJ004186 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES The Casino MBtrix Internal Controls for the TabIe Games department detalled herein are intended to meet the San Jose Police Depanment and California Gambling Control Commission Minimum Internal Control Standards A. General Standards B. Department Responsibilities C. Table Games Drop Box Removal Standards D. Table Games Count Standards E. Key Control Standards F. Gaming Equipment control G. Gaming Table Movement Control H. Table Games Rules and Dealing l. Table Games AccountinglRevenue Audit Procedures J. Tournaments K. Statistics L. Supervision M. Storage N. Card Table Tracking Device A. General Standards 1‘ The tabie games department is supervised by a cardroom employee holding a key empioyee’s license with the positon of Casino Manger 2. The Casino Manger is responsible for the entire table games department and shall report directly to the Chief Executive Officer (General Manger) regarding administrative matters and daily operations. B. Department Responsibilities Casino M8tn‘x's table games department shah be responsible for, without limitation, the following: 1. The operations and conduct of permissible games that Casino Matrix is authorized to play pursuant to Title 16 of the San Jose Municipal Code. 2. Supervision of dealers. chip runners and other floor personnel. 3. Ensuring that a written description of how each game is conducted on the premises is played, the game rules are posied in a conspicuous place. and the game ruies are made available 'In English, Korean, Spanish, Vietnamese, and Mandarin andfor Cantonese-Chinese. as required by Section 16.18.060 of the San Jose Municipal Code. Revised £015 Revised -2016 Page 1 FS 001933 SJ004187 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 4. Maintaining a log and record of the tables that are open. moved, and the games played at each table by date and shift. 5. The maintenance of a log or record of the personnel assigned to the table games department by table. date. and shift. 6. The conspicuous posting of game fees and table Iimits applicable to each tabla C. Table Game Drop Box Removal Standards 1. Drop collection fees shall be deposited into a secure container known as a "drop box” that shall be securely attached to the gambling table. A drop box shall be constructed and controlied in a manner tn provide for the security of its contents. The setting out of empty drop boxes at card tables and the removal of drop boxes from the card tables is a continuous process. The drop box removal process begins with the removal of the first card table drop box. Surveillance will continuously monitor and record the entire table games drop box removal I exchange ("drop") process beginning from the time empty drop boxes are retrieved from the count room to the time the full drop boxes are removed from [he tables and secured in the count room. 2. The following procedures shall be implemented lo ensure that unauthorized access to empty drop boxes does not occur from the time the boxes leave the storage carts until they are placed on the card tables. (Referto paragraph 8 a-i. below). Empty drop boxes are stored in double locking drop box siorage carts in the count room until the drop box removal process begins. Keys to the drop box storage carts are secured in the Drop Box Cart Key Box in the count room which requires two keys to open. One key to open the Box Cart Key Box is secured in the Casino Shift Manager Key Box and one key to open the Box Cad Key Box is secured in the Security Lead Key Box. The Security Lead and Casino Shift Manger will unlock the double locking Box Cart to allow access to the empty drop boxes and subsequent storage of pulled drop boxes. Immediately after unlocking the appropriate box cart, the box cart key is returned to the lock box‘ The Box Catt Key Box keys are then returned to the Shift Manager Key Box and Security Lead Key Box and secured. Once the storage cart is removed from the count room the Security Lead maintains close observation of the officer assigned to pull the boxes at all times and officer(s} assigned to carry the drup- boxes (two boxes per cam: maximum) from box cart to tables do so in numericai order beginning with drop-box #1 to ensure uninterrupted surveillance monitoring and only while being accompanied by the Casino Shift Manger. The Security Officers assigned to “stack" the drop-boxes in the drop box storage cart are always stationed with the cart and in a manner that does not obstruct the view of the drop boxes and cart from the surveillance cameras. Unauthorizedfl Effective August 7, 2012 Revised -2015 Revised -2016 Page 2 FS 001934 SJ004188 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES access to empty drop boxes shall not occur from the time the boxes leave the siorage cams until they are placed on the card tables. 3. At the end of each shift, the drop box removal team (see # 6 below), which is independent of the table games department. shah remove all locked drop boxes from the card tables. 4. 1f drop boxes are not placed on all card tables, the table games department Casino Shift Manger shaH document which card tables were open during the shift. All such documentation must be forwarded to the accounting department at the end of each shift. 5. Upon removal from card tables, drop boxes are safeguarded in the drop box storage cart. Upon completion of the drop box removal process. the box cart will be double locked and the count room will be double locked by the Security Lead and Casino Shit Manger until the count takes place. 6. The transporting of drop boxes is performed by a team consisting of at least three individuals from at least two departments. one of whom is an in-coming Casino Shift Manger (who is independent of the shift being dropped). The remainder 0f the drop team must consist of individuals independent of the table games department. The drop box remova! team wiil consist of: a.On-duty Security Lead b.In-coming Casino Shift Manager c. Minimum of 2 Security Officers d. In the event of a shortage of security personnel, the in-coming Casino Shlfl Manager may assign another employee independent of the table games department. e. In the event that there is no on-coming Casino Shift Manager available, a key employee, independent of the shift being dropped. may substitute after Casino MBtrix provides immediate notice via facsimile to the Administrator. Division of Gaming Control of the San Jose Police Department, stating the reason and the time 0f the drop box removal. 7. The term “shift" as used in these standards refers to an 8-hour interval unless otherwise approved by the Division of Gaming Control. Effective August 7. 2012 Revised -2015 Revised -2016 Page 3 FS 001935 SJ004189 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 8. The following procedures are followed when beginning the drop box change; a. The on duty Security Lead notifies the on-corning Casino Shift Manger of his intent to commence drop-box change. Access to the count room is necessary for box change. Three (3) departments are necessary to come together to obtain the keys needed to access the count room for box change and drop count. Keys to access the count morn are secured in two (2) separate key boxes. One double locked key box is located at the Employee Cage and another locked key box is located in the Director of Security office. Each locked key box contains a key to unlock the count room door. The keys must be used simultaneously to unlock the count room. The Security Lead will sign out one (1) count room door key and one(1) master release key from the office of Director of Security. The Master Release Key used by the Security Lead for box change is used when the drop box release lock does not return to a neutral position where the lock lines up with the notch carve out of the lock. The Master Release Key is a completely round tubular key with no top pin which allows ‘rt to fit into the release took when the lock does not return t0 the neutral position. The standard release key is a tubular key with a top pin that must fit into the notch carve out. Access to the Director of Security Office is only accessible by Key Card. Access to the office is limited to the Director 0f Security and Security Leads. The additional keys needed for box change and drop count are secured in the Employee Cage double locked key box. The Employee Cage double locked key box can only be unlocked with two keys. 1. One key from the Casino Shift Manager which is kept secure in the General Manager Office and i5 only accessible by Key Card Access. Access to the office is limited to the General Manager and Casino Shift Managers and the key is signed out as needed. 2. One key from the Security Lead which is kept secure in the Director of Security Office and is only accessible by Key Card Access. Access to the office is limited to the Director of Security and Security Leads and is signed out as needed. b .The Casino Shifi Manager and Security Lead both go to the employee cage and each gives to the cage cashier a key to open the double lucked key box. Both keys are needed to unlock the key box which contains the keys used for accessing the count room, box change, and drop count. The Casino Shift% Effective August 7. 2012 Revised -2015 Revised -2016 Page 4 FS 001936 SJ004190 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES Manager signs out the Number 1 Count Room Key, and the Shift Manager Key Box key required to perform box change. c. The Security Lead signs out the Security Lead Key Box key. d. Upon arrival at the count room. the Security Lead and on-coming Casino Shift Manger simultaneously unlock the count room since two keys are required to access the count room (accompanied by those Security Officers assigned to drop box change), and proceed to open the Security Lead Lock Box which contains the drop box release key(s). and one (1) Drop Box Carl Key Box key. The Shift Manager opens the Shift Manager Key Box which contains a Drop Box Cart Key Box key. Both the Casino Shift Manger and Security Lead open the double locked Drop Box Cart key box, which contains the Drop Box Cad key to open the Drop Box Storage Cart. e, Using the Drop box Cart key, the Security Lead unlocks the appropriate drop box storage cart possessing those empty boxes applicable for the particular shift. Immediately after uniocking the appropriate drop box storage cart, the drop box cart key is returned to the box cart key lock box. f. It requires the involvement of the Cage, Casino Shift Manager and the Secun'ty Lead Io sign out the Security Lead Key Box key; The Security Lead. in the presence of the Casino Shift Manger and under camera surveillance. opens the Security Lead Key Box and removes the drop box release key(s) and hands it to the security officer(s) assigned t0 pull and replace the drop boxes at each table. g. During the box change process the Security Lead maintains close observation of the officer assigned to pull. h. The Security Officers assigned to "stack" the drop-boxes in the box can are stationed with the box cart in a manner the does not obstruct the view of the drop boxes and cart from the cameras. 1'. The Security Officeds) assigned to carry the designated drop-boxes (two boxes per carry maximum) from box cart to tables and vice versa do so in numerical order beginning with drop-box # 1 and only while being accompanied by the Casino Shift Manager. j. Drop boxes, full or empty. are not left unattended at any time. 9. The Security Officer assigned to pull the drop boxes: Effective August 7. 2012 Revised -2015 Revised 2016 Page 5 FS 001937 SJ004191 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES a. Waits until both the Security Lead and Casino Shlft Manager are present. b. Goes in numerical order beginning wiih tabie # 1 and ending with table 54. c. Exposes both hands palms up, in overhead camera view, for each table after each drop-box is changed. d. Returns the b0x release key to the Security Lead immediately after releasing the last drop box. 10. Security Officers assigned t0 carry: a. Never carry more than two boxes. full or empty. b, Never transport drop boxes. full or empty, without being accompanied by the Casino Shift Manger. c‘ Transport drop boxes in numerica] order from, and to the box cart. 11 Upon removai from card tables, drop boxes are safeguarded in the box cart, or transported directly to the count room if no box cart is available, by the drop box removal team. Prior to transport to the count room, security will secure the back area around the count room entrance by notifying non cage casino employees in the cage back of house to temporarily exit the immediate area where the cart will be transported into the count room. Once security verifies that the casino employees have exited the transport area, the drop box cart will be transported to the count room. A drop box removal team member will be posted at the entrance to insure there is no unauthorized entry, The drop box removai ieam will lock the boxes in the box cart. and then secure the count room. The drop boxes will remain locked in a secure manner until the count takes place. Once the count room is secured. casino employees may return to the cage back 0f house area. 12. During the drop box removal process the Security Lead will vlsually and physically examine each drop box to verify that each drop box has been properly installed and locked into place. 13. When securing the count room: a. Once all drop boxes have Deen changed out. the Security Lead and the Casino Shift Manager verify that all drop-boxes have been properly placed in the respective drop box cart and are accounted for. Effective August 7, 2012 Revised -2015 Revised -2016 Page 6 FS 001938 SJ004192 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES b. The Security Lead returns the drop box release key(s) lo the Security Lead Key Box. NOTE: When the count team is present the box cart will need to be unlocked at the conctusion of box change. Additionally for each count t0 take place the box cart will need to be unlocked when the count team returns from breaks. The Drop Box Can keys will then be returned to the Drop Box Cart Key Box and the Drop Box Cart Key Box keys will then each be returned one key in the Shift Manger Key Box and one key in the Security Lead Key Box. Each time after the box cart is unlocked. c. The Security Lead and the Casino shift Manager verify that all drop-box carts are secure ( if the count team is not present lo count ) before securing the count room door. The Casino Shift Manager and Security Lead then return to the Employee Cage and return the Shift Manager Count Room door key. Shift Manager Key Box Key and Security Lead Key Box key. The cashier locks up the count room keys in the double lock key box and returns each key of the key box back to the Shirl Manager and Security Lead. The Casino Shift Manager then returns the Employee Cage key box key to the General Manager Office and signs the key log and the Security Lead returns the Security Lead Count Room Door key, Master Release key and Employee Cage key box key to the Director of Security Office and signs the key log. NOTE. Wham i a 22h r1 Managir isw Hui iaumlsbik; Ir: asszlm 11w Swazmiw Lied Ml. -:_‘;ui-_‘rl:l'g ‘hie .f'uunt Hocurri dam 1H gillrvw 131% L'MJrI‘ 'T'EHFH T r-i-mm fr-;.m t'Ir-iIi: -': l'ae‘; E:’T’1:;\.’J-,'-:+-£ AH bf: (LEM Ed Upon t-L- 3:35-51 511:1 El‘rjn udt tr‘h’i Comm? Hoar)! 191V; 'mm H11." Er1‘p‘r:‘\--c;:-:--_ (4-19.; 14. During the drop box removal process. if a chip spill occurs, the security officer witnessing the loose chip(s) will immediately summon the Security Lead. The fact that a chip spill occurred is immediatefy reported to the Surveillance Room by the Security Lead. The number and denomination of the chips are determined by the Security Lead and the Casino Shift Manager for inclusion in their reports as well as notification to the Surveillance Room. The Security Lead shall spread Ur expose the chips to the camera, then drop the chip(s) into the newly installed drop box and expose hands palms up to the overhead camera. 15. In lhe event a drop box needs to be changed out of a table at other than scheduied box change, Casino Matrix wil1 provide immediate notice via facsimiie to the Administrator, Division of Gaming Control of the San Jose Police Department. stating the reason for and the time of the drop box removal and a spare box will be used. The spare drop boxes are created with permanent marking to indicate the shift D (day) S (swing) G (grave) and table number. Spare boxes are created in the count room as needed by security.H Effective August 7, 201 2 Revised -2015 Revised ’2016 Page 7 FS 001939 SJ004193 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES a. A Box Change Report will be filled out by security and signed by the Security Lead and Casino Shift Manager and placed inside the box. The change will be documented on the Daily Activity Report by Surveillance. The box change report is kept on file with the Accounting Depaltment along with the daily drop count reports. b1 The Box Change Report lists the reason for the change and shift and box number that was changed out. 16. Boxes that are not installed in the tabies are securely stored inside the count room in locked drop box carts. The count room access procedures, which require the physical involvement of, the Cashier from the Cage Department, the Casino Shift Manager from Tabie Games Department and Security Lead from the Security Department, will be followed in order to obtain stored empty drop boxes. D. Table Games Count Standards 1. The count begins with the opening of the first card game drop box and ends when a member of the cage/vault department signs the count sheet/summary and assumes accountability of the proceeds. 2. From the time the first drop box is opened until the cage accepts the drop proceeds into the cage accountability, transfer 0f chips and or any other iiems in/out of the count room is strictly prohibited. 3. Casino Matrix does not have different revenue centers, but if they ever do. the following procedures shall be followed: Counts from different or various revenue centers shall not be allowed to occur simultaneously in the count room. Each revenue center count shall be counted separately and be completed before any other revenue center is counted. 4. The count is performed by a count team consisting of at least three employees who are independent of transactions being reviewed and counted and the subsequent accountabifity of drop proceeds (Le‘, independent of the card games, cage and accounting departments). The count team consists of two counters and a lead. Count team members work only in the count room and are therefore independent of transactions being reviewed and counted and the subsequent accountability of drop proceeds. Effective August 7, 2012 Revised ~2015 Revised -2016 Page 8 FS 001940 SJ004194 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 5. At no time during the count will there be a count team fewer than three empicyees in the count room until the monies (chips) have been accepted into the cagefvault accountability. 6‘ Count Team members are rotated on a routine basis. The count team weekly schedule is prepared by the Count Room Manager and he/she ensures that the same three count team members do not work more than four days per week together. (Rotation is such that the count team recorder is not consistently the same three individuals more than four days per week.) 7. The drop boxes are individually emptied and counted in such a manner that will prevent the commingling of funds between boxes until the count of the box has been recorded. T0 ensure the funds of the boxes are never commingled until the count of a box has been recorded. at each counting station of the counting table, each drop box is opened, emptied. counted, and recorded before opening another drop box. The counter removes all chips from the drop box then the counter shows the empty box to the camera and to the lead who is stationed at the lead station, which is located between the two count stations, but is not a count station, to confirm it is empty before opening another box. B. The count of each box is recorded in ink or other permanent form of recordation. Casino Matrix permanently records the count of each box in the computer. The counter counts and racks the chips and notes the Drop Box # to those chips, enters the amount in the computer and sets them aside for the lead. The lead performs a second count of the chips and enters his/her total into the computer. If the totals match, the lead will place the chips in the chip cart. If the totals do not match, the correction ls made and the chips are racked and stacked onto the chip cart. 9, After ail of the boxes have been counted and the racks placed in the chip cad, the lead performs a second count using a manual Count Transfer Sheet. Any corrections to information originaliy recorded by the count team on manual count documentation are made by crossing out the error. entering the correct figure. and then obtaining the initials of at least two count team members who verified the change. Note: the correction of the error and the verification/attestation by the count team Members must take place contemporaneously. 10. The count sheet is independently reconciled to the entire count by the count team lead who only verifies the counts made by the counters and does not function as the recorder for that count. Effecti ve August 7, 2012 Revised -2015 Revised -2016 Page 9 FS 001941 SJ004195 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 11. All members of the count team attest by signature on the count documentation to the accuracy of the games drop count; Three verifying signatures on the count sheet are adequate if all additional count team members sign a supplemental document evidencing their involvement in the count process. 12. Prior to all monies (chips) being turned over to the cage/vault. a cage/vauit cashier (who is independent of the count team) independently counts and verifies the entire drop that is being turned over to the cagefvault department and reconciles it to the drop amount recorded on the count document. Any variance is reconciled by the count team Iead and cage cashier by recounting, checking the written numbers and checking the math. then documented by the count team and lead cage/vault cashier. If the variance cannot be resolved, the Count Room Manager will be notified and an investigation conducted and documented. 13. The cageNauH cashier certifies by signature on the count documentation the accuracy of the monies (chips) and assumes accountability of the drop proceeds. 14. All monies (chips) that were counied are then turned over to the oagefvaull after standard #12 above has been completed. 15. Access to stored drop boxes, full or empty. is restricted to authorized members of the drop and count teams. 16. Access io the count room during the count is restricted to members of the drop and count teams. excluding authnrized observers, supervisors for resolution of problems, and authorized repair personnel under an emergency repair situaiion with all such repair work documented and maintained for five (5) years. Any exclusion must be authorized by the Count Room Manager and documented in the Surveiliance Daily Activity Repon. 17. At the conclusion of the count. a count team member and a cage cashier will deposit the Count Documents for each count into a Iockecl and secure box only accessible by accounting personnel. The locking box is currently located in the Empioyee Cage area. One (1) key to the locking box has been issued to the Accounting Department. The key to the 1ocking box is maintained in the Accounting Office, Access to the Accounting Office is by key card access only. Access to the Accounting Office is limited to the CFO and accounting staff. A spare key to the locking box is maintained in the Director of Security Office. 18. The counting of drop box contents at other than the designated count time is prohibited unless:@ Effective August 7, 2012 Revised £915 Revised -2016 Page 10 FS 001942 SJ004196 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES a. Casino M8trix‘s Count Room Manager, who is the key employee in charge of the count room personnel. provides 24-hour advance written notice to the administrator of a change in times; or b. The Administrator requires a change of authorized time. 19. Within 10 days after the end of each calendar quarter. Casino Matrix's Count Room Manager submits to the Division of Gaming Control a list of employees authorized to participate in the count and those employees who are authorized to be in the count room during the count (“count personnel list") during and as of the end of the calendar quaner. The count personnel list will indicate those persons, if any, who hold an ownership interest in Casino MBtrix and will indicate what relationship by blood or marriage, if any, exists between any person on such list or any interest holder or employee of Casino Matrix. The count personnel list will also indicate the SJPD work permit number of each count employee and the job position held by each count employee. The Count Room Manager is also authorized to Gaunt per the quarterly count personnel list in case a need exists. 20, The opening of the first drop box and continuing through completion of the count sheet shall be continuously recorded by video surveillance. From the time the first drop box is opened until the cage accepts the drop proceeds into the cage accountability. transfer of chips and/or any other items infout of the count room is strictly prohibited. 21 . The count room is an integral part of the casino operations. and only counts the revenue generated from the table games. 22. A1 least three count team members are required to be present from the time table games count room and other count keys are issued for the table games count until the time of their return. 23. The door t0 1he count room is double locked and requires the use of two keys to gain access. A key used by the Casino Shift Manager which is signed out at the Employee Cage and a key used by the Security Lead which is signed oui from the Director of Security Office are needed. Before accessing the count room to start the daily chip count the Casino Shift Manager, Security Lead, Count Room Lead, and count team are to be present at the cage to sign for their count keys. The keys for the count team and count room door access are secured in a double locked key box at the employee cage. a. One key from the Casmo Shift Manager which is kept secure in the General Manager Office and is only accessible by Key Card Access. Access to the office is limited t0 the General Manager and Casino Shift Managers and the key is signed out as needed. Effective August 7, 2012 Revised -2015 Revised ~2016 Page 11 FS 001943 SJ004197 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES b. One key from the Security Lead which is kept secure in the Director of Security Office and is only accessible by Key Card Access. Access to the office is limited to the Director of Security and Security Leads and is signed out as needed. 24. The shift manager and security lead each gives a key to the key box to the cage cashier. The cashier then opens lhe double locked key box with the keys provided and gains access to the keys needed to open the count room and Count Team Lead key box keys. The Casino Shift Manager signs out a Count Room key #1. and the Shift Manager Key Box key. The Count Team Lead signs out the Count Team Lead Box key. The Security Lead signs out the Security Lead Key Box Key. When signing the keys out and in, the Casino Shift Manager, Security Lead. and Count Team Lead will complete the key log. \JUTE ‘I'J‘hen :2 Eiw-fz r-Jv-rlag-ix‘ H? r m a-«i‘i-itile l-n 255.9% ‘IvL-z :Tw-rruully l (-zar‘. wxih Hpening [hie Illrmm FEC'unm dun)" ‘ alizw.‘ ' i= 3mm Team m I'F-«mm frif‘ITr lfizl'Ealn ‘r‘. Kg}; Emp‘: 3H L‘w? tuna: UHuI' t-IJ i3:';‘.l‘;.‘. aw} 33M] n m," Un’- ILQIJm RQDH‘ Rwy f-‘v::n‘ Nu:- Efi IIt-lrwfi Cay”; 25. This process to open the Count Room requires four (4) departments: Security, Cage, Table Games, and Count Room. 26. The Casino Shift Manager and Security Lead will open the entrance door for the count team, then the Count Room Lead will open the lock box labeled Count Room Lead to access the count team's keys (which are drop box release and drop box contents keys), and chip cart keys. 27. The Shift Manager and Security Lead will access the drop box cart keys from the double locked cad key box and unlock the box cart for the count team and return and secure the box cart keys in the key box. 28. The count team signs the count room keys log in the count room acknowledging they have received the count room keys. the Casino Shift Manager and Security Lead vacate the count room and the door automatically locks when shut. The Shift Manager and Security Lead then return to the Employee Cage to return the Shift Manager count keys and Security Lead count keys and retrieve the Employee Cage Key Box keys. The Employee Cage Key Box keys are then returned to General Manager's office and Director of Security Office. Except as otherwise authorized by Casino Matrix policies and procedures (i.e. cagelvault cashier), no person shall be permitted to enter or leave the count room, except during a normal work break or in an emergency, until the entire counting. recording. and verification process is completed. 29. When all the drop boxes for a shift have been counted. the count team lead, who only verifies the counts made by the two counters during the actual count and does not Effective August 7, 2012 Revised 72015 Revised -2016 Page 12 FS 001944 SJ004198 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES function as the recorder for that count, will cond uct the cart count which is another count of all the chips in the can and a reconciliation of the computer count sheet. The results of the cart count are recorded on a Count Transfer Sheet. If it balances to the actual computer count, the count is ready to be verified by the cage/vault cashier and transported to the cage. If it does not baIance, more counts are made by the count team to reconcile to the computer count. Any discrepancies require an investigation to be conducted by the Count Room Manager and documented. 30. All three (3) members of the count team attest by signature on the Count Transfer Sheet to the accuracy 0f the games drop count. 31 . At the conclusion of the count. a cage or vault cashier (who is independent of the count team) shall independently count the chips being turned over to the cage and verify the accuracy and reconcile it to the amount recorded on the Count Transfer Sheet. Any variance is reconciled and documented by the cashier and count team lead. 32. If the cashier‘s count agrees to the count team. the cashier certifies by signature on the Count Transfer Sheet the accuracy of the chips and assumes accountability of the drop proceeds The cage cashier transports the chips to the vault. Surveillance is notified of the chip transport. The count team and cage cashier will sign the Count Documents and printed reports. At the conc1usion of the count. a count team member and a cage cashier will deposit the Count Documents for each count into a locked and secure box only accessible by accounting personnel. The locking box is currently located in the Employee Cage area. One (1) key to the locking box has been issued to the Accounting Department. The key to the locking box is maintained in the accounting office. Access to the Accounting Office is by key card access only. Access to the Accounting Office is limited to the CFO and accounting staff. A spare key to the locking box is maintained in the Director of Security Office. 33. Any discrepancies that cannot be resolved require an investigation to be conducted by the Cage Manager and Count Room Manager. 34. Full custody of all monies (chips) that were counted is then taken by the cashier and placed into the cagelvauit inventory. 35. At the conciusuon of the count, a count team member wilt depOSit Count Documents for each count into a locked and secure box onIy accessible by accounting personnel. The locked box is currently located in the Employee Cage area. The count information shall be maintained and controIled by the Accounting Department. One (1) key to the Effective August 7, 2012 Revised -2015 Revised -2016 Page 13 FS 001945 SJ004199 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES locking box has been issued to the Accounting Department. The key to the locking box is maintained in the Accounting Office. Access to the Accounting Office is by key card access only. Access to the Accounting Office Is limited to the CFO and accounting staff. A spare key to the locking box is maintained in the Director of Security Office. 36. Access to stored drop boxes, full or empty. Is restricted to authorized members of the drop and counl teams. 3?. ln the event an emergency occurs during count procedures that requires the count room to be evacuated, count procedures will be suspended and all count team members will immediately evacuate (employee safety is the priority). The count team will report immediately to the Count Room Manager to advise status of the count procedures. The Count Team will keep custody 0f any count keys not secured in the count room. The Division will be notified of any suspension of count procedures. (A power failure where no lighting and or camera coverage is available shall be considered an emergency). E. Key Cantroi Standards 1. The table games drop box release keys are separately keyed from the table game drop box contents keys. Keys associated with count room access. chip cart access. drop box contents. drop box cart(s) are all separaiely keyed. 2. The physical involvement of at least two individuals independent of the cage department is required t0 access stored empty drop boxes 3. Drop box release keys shall be maintained as follows: a. Drop box release key are maintained by a department independent of the table games department. b. Only the drop box removal team members authorized to remove drop boxes from the tables are alIowed access to the release keys. Note: The count team members may have access to the release keys during the count in order to reset the drop boxes.M, Effective August 7, 2012 Revised -2015 Revised -2016 P333 14 FS 001946 SJ004200 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES c. Employees authorized to remove and transport the table games drop boxes are precluded from having access to drop box contents keys. Only the Count Team Lead has access to the drop box contenls keys which are locked in the Count Team Lead Key Box located in the count room. d. Drop box release keys are only accessible to the count team during the count in order lo reset the drop boxes. e. The drop box release keys are secured in the Count Team Key Box. Security Lead Key box, and Spare 1nventory Key box, located in the noun: room. Entry into the count room to access the keys requires two (2) different keys to be signed out separately by the Casino Shift Manager and the Security Lead, as previously stated in this Chapter. Spare Reiease keys are also stored in the Director of Security Office. 4. Drop Box Cart Keys: a. The Drop Box Cart Keys are secured in the count room in a dual locked key box labeled Drop Box Cart Key Box. One key to open the cart key box is secured in the Shift Manager Key Box, and one key to open the cart key box is secured in the Security Lead Key Box. The Shift Manager and Security Lead will unlock the Drop Box Can Key Box and obtain the drop box cart keys and unlock the box cart for the count team and then return the cart keys back to the cart key box and secure them. The box cart will be unlocked for each count. The Shift Manager and Security Lead will then each return their Drop Box Cart Key Box Keys to their respective key boxes and secure them. b. employees authorized to obtain drop box storage cart keys are precluded from having access to drop box contents keys ( With the exception of the count team). c. The drop box storage cart keys are secured in a double locking key box located in the count room labeled Drop Box Cart Key Box which requires the Casino Shift Manager and the Security Lead to access. One key to access the double Iocklng key box is secured in the Shift Manager Key Bax and one key is secured in the Security Lead Key Box. 5. Drop Box Contents Keys a. At least three count team members are required to be present when table games count room and other count keys are issued for the table games count until the of their return . Effective August 7, 20 12 Revised -2015 Revised -2016 Page 1 5 FS 001947 SJ004201 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES b. Access to the contents keys at other than scheduled count time requires the involvement of at least three (3) persons from three (3) separate departments, including management. These persons are the Security Lead, Casino Shift Manager, and the Count Team Lead or Manager. The Casino Shift Manger will prepare a separate report which will be maintained for 5 years in accounting, including the dale. time, table game number, reason for access, and signature or electronic signature of employees signing outfin the table games drop box contents key. The Security Lead and Casino Shift Manager, who are from two separate departments, are required to accompany the table games contents key from the time of their issuance untiI the time of their return. Note: “Electronic Signature" includes a unique employee PIN or card. or empioyee biometric identification validated and recorded through a computerized system. c. The drop box contents keys are secured in a locking key box located in the count room which requires the Count Team Lead or Count Room Manger to access. The key to access this key box wili be checked out from the Cage by the Count Team Lead or Manger at the same time the Casino Shift Manager signs for one of the keys required to open the count room. The second key to open the Count Room is checked out from the Director of Security Office by the Security Lead. 6. Count Room Keys: a. At least three count team members are required to be present from the time table games count room and other count keys are issued for the tabie games count until the time of their return. b. The door to the count room is doubIe locked and requires the use of two separate keys simultaneously to gain access. A count room door key used by the Casino Shift Manager. which is signed out at the Cage, and a Count Room door key used by the Security Lead. which is signed out at the Director of Security Office, are both needed. MCI 1 t ‘v‘u‘hu w a Shin rviarmgur 1:; ml (w.:;il.+:mi»- m nasal, WE: (Security Lead wih L'vfmerhrtgx Tm: (LVMHI Hotjm mom 1.0 a'I-J- njmm fmm hmala a Rey Ermmlg-yee; rzgm t: ‘ 0an! Rngm d(njr Mme fmm 'i'uj; Finl‘njgz the chm Team Lr: " “gr: Limflr‘. 10 :ismsi and Siqv Out 1112’. 7. Duplicate Keys: Effective August 7, 2012 Revised ~201 5 Revised -2016 Page 16 FS 001948 SJ004202 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES a. All duplicate keys associated with the count room are maintained in a manner which provides the same degree of control over drop boxes, count room, and other sensitive gaming related areas as is required for the original keys. The duplicate Drop Box Release Key, Drop Box Storage Can key. Count Team Lead Box key and Shift Manager Box key and Security Lead Box key are kept in a doub1e locking Spare Inventory Box located in the count room. One key to open the Spare Inventory box is kept locked in the Shift Manager Key Box and one key required t0 get into the Spare Inventory box is kept locked in the Security Lead Key Box. The duplicate count room door keys are kept separate from one another. one locked in the cage and one locked in the Director of Secun‘ty Office. Duplicate Contents keys are secured in a separate dual locked key box in the count room. One key to open the Spare Drop Box Contents Key Box is secured in the Shift Manager Key Box and one key to open the Spare Drop Box Contents Key Box is secured in the Count Team Lead Key Box. b. Records are maintained by the Security Department for each key duplicated which indicate the date of key manufactured or receipt of the duplicate key, number of keys made and signature of person(s) authorizing the duplication. c. Records are maintained by the Security Department for each key destroyed 0r cancened which indicate the key number. date, of destruction and signature of person(s) authorizing the destruction or cancellation. d. Spare-Once notification by the count room lead is made to the count room manger that spare contents keys are needed, access to the keys is as follows: i. Spare content keys are secured in the count room in a double locked key box labeled Spare Drop Box Contents key. Access to these keys requires the presence of the Count Team Lead, Security Lead and the Casino Shift Manager. ii. The Casino Shift Manager and Security Lead sign out the count room access keys from the cage and Director 0f Security Office. They access the count room with the count team lead and access the Shift Manager Key Box and Count Team Key Box to obtain the keys to access the Spare Drop Box Contents Key Box. iii. The double locked key box is accessed by the Count Team iead. Security Lead and the Casino Shift Manager. The new replacement spare contents keys are obtained and signed into operation and handed over to the count room lead to secure in the Count Team lead key box and the old contents keys logged out of operation, and secured in Effective August 7. 2012 Revised -2015 Revised -2016 Page 17 FS 001949 SJ004203 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES the double locked key box to await future destruction and disposal. The key log is updated. iv. All count room keys are returned to their respective lock boxes, the count room is vacated, unless the count is still in process. and secured. All keys are then returned to their proper place of storage and signed back in. F. Gaming Equipment Control 1. "Gaming Equipment" as defined under this section shall include gaming tables. table fayouts, drop boxes, drop slides, playing cards, card-dispensers (shoes), dice and dice cups, card shufflers, deck checkers and Paigow tiles. 2. New and used gaming equipment shall be maintained and perpetually inventoried by a department independent of the table games department (the gaming equipment control room) to prevent unauthorized access and thus reduce the possibility of tampering. The gaming equipment room perpetual inventory must be reconciled to other subsidiary logs (i.e., podium logs) at least monthly. by the Gaming Equipment Control Room employees. a. The gaming equipment control room employee must record and maintain the inventory logs which document the activities such as the transaction date, time, shift. the number and type of gaming equipment placed in service. received, transferred. destroyed, or returned to vendor. and the signature of the employees involved in the transaction. etc. b. If the gaming equipment is defective or unusable. the gaming equipment control room employee shail coordinate destroying the defective or unusable gaming equipment, and complete the appropriate form. (See 50 below) c. If there is a variance between inventory indicated on the logs and the physical inventory counts, the gaming equipment control room employee must notify the gaming equipment supervisor to investigate the variance. 3. Playing cards and Paigow tile control: Before new or used cards and tiles (set-ups) are placed in service, the following procedures must be performed: a. A gaming equipment control employee must first inspect the piaying cards and tiles to ensure that all cards and tiles are accounted for and there are no defects (i.e., cracks. tears, fading. signs of wear and tear. any signs of marking and inconsistent coloration). Effective August 7, 2012 Revised -2015 Revised ~2016 Page 18 FS 001950 SJ004204 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES b. Any card or tile that has a defect 0f any kind, whether intentional or accidental must be rejected and replaced. c. New 0r used cards and tiles, when determined to be defective or unusable, shall be destroyed with records maintained for five (5) years and must include the reason for destruction. date and method of destruction. signatures of the gaming equipment room supewisor, general manager or his/her designee and security shift supervisor authorizing and witnessing the destmction. d. New or used cards and tiles must be cleaned. if deemed necessary, and arranged into a complete set-up and then inspected to verify thai there are no missing or duplicate cards or tiles in the set-up before being placed in service. e. Investigations must be performed by a casino supervisory personnel (Le‘, Casino Shift Manager or above), if evidence of tampering is noted. The resuits of such investigations must be documented in writing and maintained for a minimum offive (5) years. f, Once inspected, cleaned and verified, all new (secured) set-ups must be placed in a carrying case or bag and secured with a tamper resistant seal. A Gaming Equipment Control Log will be affixed to the carrying case or bag and the log is signed by the gaming equipment control room employee verifying the set-up. g. The gaming equipment employee shall transport the new set-up from the gaming control room as follows: i. Directly to and secured in a designated gaming equipment control area of the gaming podium (hereafter referred to as podium} The podium shall be under lock and key at all times; or ii. Directly to the gaming table where the equipment is turned over t0 the floor supervisor to be placed into service at the table. iii. As necessary. a floor person may pick up new set-ups from the gaming equipment control room and deliver used set-ups or broken equipment directly to the gaming equipment control room for the purpose of exchange. h. An inventory log and the gaming equipment are maintained in the gamlng equipment room (or me podium if applicable), which must show. at a minimum. the following:® Effective August 7, 2012 Revised -2015 Revised ~2016 Page 19 FS 001951 SJ004205 CASINO MSTRIX SYSTEM 0F INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES i. Date, time. shift and signature of the gaming equipment control room employee delivering the new (secured) set-ups to and retrieving the used set-ups from the podium. ii. Date, time, shift and signature of the floor supervisorlgame attendant or a gaming equipment control room employee (or floor supervisor) releasing the new set-ups to the floor supervisor at the gaming tables. iii. Date, time, shift and signature of the floor supervisor/game attendant or a gaming equipment contra! room employee returning the used set-ups from the gaming tables. iv. Total number of decks (new and used set-ups) stored in the game equipment room or podium. v. If a podium is utilized, it shail be under lock and key at all times i. The new set-ups must be retrieved from the gaming room or podium by the floor supervisor (game attendant) or the gaming equipment control room employee and the inventory log will be updated before the set-ups are taken to the gaming tables. j. The floor supervisor (game attendant) must verify in full view of the patrons that the new set-up contains an unbroken tamper resistant seal before the new set-up is released to the dealer at the gaming table. Upon receipt 0f the new set-up, the used set-up will be placed on the layout to be picked up by the floor supervisor. k. Upon receipt of the new set-up. the dealer will break the tamper resistant seal over the table layout and under camera coverage. The dealer must verify that the new set- up is complete by spreading and counting the cards on the table layout prior to the first hand being dealt. Upon receipt of the new set-up, the dealer will place the used set-up on the table layout for return to the floor supervisorlgame attendant or floor person. Exception: If an electronic shuffler exists on a table a fresh set-up may be put directly into the shuffler. 1A If the new set-up contains no apparent markings and the cards or tiles are properly accounted for, the new set-up will be placed in service. Otherwise, the set-up will be returned to the floor supervisor and the process of replacing the used set-up with a new set-up must start over. If after examination or during play a set-up is or becomes unacceptable for play. the set-up will be taken out 0f service immediately and returned to the floor supervisorlgame attendant or floor person and the process of replacing the used set-up with a new set-up must start over‘ The gaming equipment controI room will be alerted immediately anytime a set-up is found to be unacceptable for play. Effective August 7a 2012 Revised -2015 Revised -2016 Page 20 FS 001952 SJ004206 CASINO MSTRIX SYSTEM OF INTERNAL. CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES m. The used set-up will be immediately verified by the floor supervisor or the gaming equipment control room employee for completeness and the pod'tum inventory log will be updated. n. Ali used set-ups must be reirieved from the podium to the gaming equipment control room by the gaming equipment control room employee at #east once every two (2) hours for inspection. o. When used set ups are removed from a podium t0 be returned t0 the gaming equipment control room, the inventory log wiil be updated by the gaming equipment control room employee. p. The set-ups (new and used) maintained in the podium and the inventory log maintained in the podium must be examined and verified by the gaming equipment control room employee at least once per 8-hour shift to ensure accountability. q. If there are missing cards or tiIes in the used set-up, the gaming equipment control room employee must immediately notify the Casino Shift Manager and surveillance department and an investigation is initiated and the results of such investigation Shall be documented in writing and maintained for a minimum of five (5) years. r. A tamper resistant seal must be placed on the computer chip(s) that governs the random selection process of all deck checkers, shufflers. and any other electronic gaming or gaming related equipment to ensure the integrity of the device. Note 1: Standards k, | and m do not app1y to those games played with multiple decks (1.3.. Super Pan 9. No Bust 215' Century BlackJack, etc.) Procedures for routing new playing cards and retrieving used playing cards for those games played with multiple decks are described under Standards s through v as follows: s. The new set-ups shall be transported directly from the gaming equipment control room to a floor supervisor at the gaming table by a gaming equipment room employee. i. As necessary, a floor person may pick up new set-ups from the gaming equipment control room and deliver used set-ups or broken equipment directly to the gaming equipment control room for the purpose of exchange. t. The floor supervisor must verify that the tamper resistant seal is un-broken before releasing the new set-up to the dealer. Effective August 7, 20] 2 Revised 4015 Revised ‘2016 Page 21 FS 001953 SJ004207 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES u. The dealer will break the tamper resistam seal of the new set-up over the table layout and under camera coverage. v. Used cards for those games played with multiple decks are turned over to the gaming equipment room employee to be returned t0 the gaming equipment room for inspection. Note 2: During dealer rotations, playing cards (used set-ups) must be counted and verified for completeness by the in-coming dealer priorto the first hand being dealt. This applies to tables without shufflers or inoperable shufflers 4. Before new or used dice are placed in service. the following procedures must be performed: a. A gaming equipment control employee must first inspect the dice to ensure that all dice are accounted for and there are no defects (La. cracks, missing spots or excessive chipping). b. Any dice that has a defect of any kind. whether intentional or accidental must be rejected and replaced. c. New or used dlce, when determined to be defective or unusable, shall be destroyed. 5. Only authorized empioyees are a1|owed to enter the Gaming Equipment Control Room. G. Gaming Table Movement Control When a gaming table is t0 be relocated from one area to anoiher area 0n the gaming floor or replaced by another gaming table, the following procedures are required: 1. Prior to relocating or replacing a gaming table a Casino Shift Manager will notify surveillance of the movement and the entire movement shall be recorded with pan/tiltlzoom coverage. Additionally. the entire movement shall be noted on the surveillance log and a copy of the log is forwarded to the Division at least once daily. Notation wili include date. time, table number and personnel involved. 2. Priorto removing the gaming tabIe from the casino floor. the drop box shall be removed and safeguarded using the drop procedures established under section C of this chapter (Drop Boxes Removal Standards). Effective August 7, 2012 Revised -2015 Revised -2016 Page 22 FS 001954 SJ004208 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 3. The contents of the drop box shall be counted using the couni procedures established under Section D ofthis chapter (Table Games Count Standards). 4. Prior to placing the relocated or replaced gaming table into service. the Casino Shift Manager shall verify with surveillance that the gaming table after the relocation or replacement is under proper camera coverage, which allows a clear view of the tab1e layout. cards or tiles‘ chips. dice and dice cup. 5. After the verification has been made a new drop box shalt be installed at the gaming table using drop procedures established under section C of this chapier (Drop Boxes Removal Standards). 6. The Casino Shift Manager shall document the tab1e games movement procedures including date, time. table number, area of casino floor. reason forthe movement and name of personnel involved in the transaction. The documentation shall be maintained for a minimum of five (5) years. 7. Gaming Table Movement Control Procedures must be adhered to with respect to all instances 0f card table layout change, unless the card table layout is changed on the cardroom floor per Section O. Table Layout Change. H. Table Games Rules and Dealing Procedures 1. “Tabie game rules" for purposes of this section are defined as the manner in which game is played, odds if any, card and tile dealing procedures including shuffle. collection of fees. collection and payment methodology. etc. 2. Table game rules shall be submitted to the Division for review and approval prior to being placed into service. 3. Tabie game rules shall not be modified unless prior written approval fmrn the Administrator has been obtained. 4. Playing cards, tiles. dice. and dice cups shall remain on andlor over the gaming table and in plain view of the patrons: dealers, and supervisors. No playing cards, tiles. dice and dice cups shail be allowed to be removed past the padded rail or outer edge of the gaming table during the play of the permissible game. 5. Dealers shall comply with dealing policies and procedures established by Casino MBtrix to ensure efficiency. accuracy, and maintain the integrity of both the dealer and the game. These policies and procedures are contained in the games rules and in the Casino Matrix training curriculum. Effective August 7. 2012 Revised -2015 Revised ~2016 Page 23 FS 001955 SJ004209 CASINO MBTRIX SYSTEM OF !NTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 6. The method 0f collection and deposit of tab1e fees at each Casino MBtrlx game will be conducted according to the following procedure: a. The fees will be placed “spread" in front of the drop slide under camera coverage. Any conversion must keep number of chips and value in plain view. The dealer will place the chips onto the drop slide, show an open hand and then promptly deposit “drop" the table fees into the locked table drop box. b. A1 no time during [he preparation of the next hand (i.e., shuffling 0f the cards, making change, eta), shall any of the previously collected table fees be kept on the table layout, drop slide or any other area 0f lhe card table. l. Table Games AccountingiRevenue Audit Procedures 1. Revenue audit function is separate and apart from the 1nternal Audit function. 2. The table games accounting and revenue audit procedures are performed by personnel independent 0f the table games operations. 3. Accountinglaudit personnel (Revenue Audit Clerk) shall perform the foilowing procedures on a dai1y basis: a. Reconcile the dollar amount of count proceeds on the master games summary to the dollar amount recorded in the transfer form. if applicable, indicating all transfers inlout of the count room, at the end of the count. Investigate and document any variance noted. b. Recalculate count proceeds in total and by shift. c. Verify that the correct total of count proceeds is recorded in the accounting records used to prepare the Casino Matrix Tax Monthly Statement that is submitted to the City of San Jose Finance Department. 4. A daily recap is prepared for the day and month-to-date which includes the total dmp count 5. Accounting/revenue audit employees (Revenue Audit Clerk) review exception reports for a1l computerized table games systems. if applicable, at least monthly for propriety of transactions and unusual occurrences Casino Matrix will not be using a playertracking system. Effective August 7, 2012 Revised -2015 Revised -2016 Page 24 FS 001956 SJ004210 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 6. Ali noted improper transactions or unusual occurrences are investigated with the results documented and maintained for five (5) years‘ T. Evidence of table games revenue audit procedures and any follow-up performed shall be maintained for a minimum of five (5) years. J. Tournament Procedures 1. AII funds contributed by players into tournaments are returned when won (i.e., prize poo!) in accordance with the posted rules with no commission withheld except for initial administrative fees authorized and approved by the Administrator. 2. No administrative fees may be deducted from re-buys. 3, A full accountability of all administrative fee collection and expenditures for each tournament shall be documented on the Tournament Recap Sheet and maintained for five (5) years. 4. Rules governing each tournament shall be clearly posted in the gaming area and shall designate the following: a. The tournament buy-in and re-buyladd-cn amounts. b. The limit on number and amount of re-buysladd-ons that are allowed for the tournament and the re-buy andlor add-on schedule. (i.e., two $40 re-buys after the 5'“ and 9‘“ Iimit change or one $25 re-buy at the end of the first hour. eta). c. The betting limits for the specific tournament, as well as limit increase schedule/policy. d. The toumament's payout rule (l.e., number of places to be paid and the percentage of the prize pool that ls paid t0 each piace). The number of places paid out may be determined on the day of the tournament based on the number of participants at the discretion of the tournament director. e. The total fees collected for the prize pool shall be posted within the first hour of the tournament. For a tournament with re-buys or add-ons, the total prize pool shall be updated at the time when the re-buyfadd-on period has expired. f. Tournament rules will also be printed onto tournament informational sheets and made available to all players. Effective August 7; 2012 Revised -20‘l 5 Revised -2016 Page 25 FS 001957 SJ004211 CASINO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 5. All initial buy-in transactions shall be conducted at the casino cage. Re-buy transactions may be conducted at the casino cage or al the tournament tabies. The Tournament Directon’Facilitator or game attendant will go to the cashier's cage to get tournament chips for the initial buy-ins. The cage wili count and log the amount of chips checked out and a cage form will be initialed by the Tournament Director or game attendant. The Tournament Director is responsible for the chips. The Tournament Director or game attendant will put the tournament chips on the toumamenl iables. 5. If re-buy transactions are allowed at the tournament tables. the re-buyladd-on procedures are as follows: a. The Tournament DirectorlFacilrtator or game attendant assistant will set up re- buy/add-on containersibags (e.g. 100 green tournament chips 8. $100 cash for change, if applicable). at the cage. b. The Tournament DirectorlFacilitator or game attendant assistant will distribuleldocument one re-buyfadd-on container bag to each floorperson selling re- buys/add-nns. If a re-buyladd-on containen'bag is sold out, the floorpersun may be issued a fresh container/bag from the Tournament DirectorlFacilitator or game attendant assistant. c. Re-buyiadd-on containerslbags are turned into the cage by the floorperson issued the bag as they are sold out and when the re-buy/add-on period has ended. The re- buyiadd-on containers/bags will be piaced under camera surveillance and remain unopened until counted as in paragraph below. dA Within one hour after the re-buyladd-on period the rebuyladd-on containerslbags will be opened in the presence of a cage cashier and either the Tournament Directon'Facilitator or game attendant assistant, and the funds counted, verified and recorded by the cage cashier before it is accepted into cage accountability. e. The Tournament Director or game attendant assistant will maintain a record and dollar amount of all re-buy/add-on transactions. f. At the conclusion o€ a tournament the original re-buy/add-on transaction record, if applicable, wili be deiivered to the Accounting Dept. A copy of the transaction record will be retained by the Tournament Director or game attendant assistant. T. A tournament log must be maintained at the casino cage and this log shall reflect the following information: a. The total number of tournament participants and total buy-in fees collected. Effective August 7, 2012 Revised -2015 Revised -2016 Page 26 FS 001958 SJ004212 CASINO MBTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES b. The totai number of re-buys made and the amount of total re-buy fee collected c. The amount of the payout to each winner. d. The name of each participant including the dollar amount of the initia1 buy-ln, and verified name of each participant receiving payouts in excess of $3.000, Note: The casino cashier 0r tournament director or designee is responsible for the verification of all such information and attest by signature. K. Statistics 1. Revenue records for each type of permissible game are maintained by day, shift. cumuiative month-to-date. cumulative year-to-date and cumulative life-to-date. 2. Revenue records are presented to and reviewed by the controller who is independent of the table games department on at least a monthly basis. 3‘ The controller investigates any unusual statistical fluctuations with table games supervisory personnel. 4. At a minimum, investigations are performed for a1l statistical percentage fluctuations from the base level (for same types of table games) for a month in excess of +I’ 10%. The base level is defined as the drop records per hour (daily average gaming revenue) for the previous business year or previous 12 months. All procedures pen‘ormed during the investigation will be documented and a report will be furnished to management. 5. The resutts of such investigations are documented in writing and maintained for a minimum of five (5) years. L. Supervision 1. Tab1e games supervisory personnel shall provide adequate supervision of all tabie games. 2. There shall be at least one Casino Shift Manager per each eight (8) hour shift. This manager must supervise the entire shift including tame games supervisors, floor supervisors/game attendants and dealers. 3. Each table game supervisorfgame attendant in lhe California gaming area shall supervise no more than 4 card tables. The supervisorigame attendant seated at the high limit games can only supervise me table to which they are assigned. Note: California games are those PlayeriBanker games defined under SJMC, Title 16. §1 6.02.480.M Effective August 7; 2012 Revised -2015 Revised -2016 Page 27 FS 001959 SJ004213 CASINO M8TRIX SYSTEM OF iNTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES 4. Each table game supervisor shall supervise in the traditional poker area sha1l supervise n0 more than 8 card tables. NOTE: Casino Matrix utilizes Game Attendants for the game supervision requirements of "floor supervisor" in accordance with the San Jose Police Department’s Division of Gaming Control's MICS and Casino Matrix System of Internal Control Document. M. Storage All original source documents generaled in the table games area and/ortable games department including but not limited to books, records. logs. forms. ledgers, etc, must be routed to and maintained by the accounting department for a minimum of five (5) years, N. Card Table Tracking Device 1. Casino Matrix will not utilize any Card Table Tracking Device ai this time. If Casino Matrix decides to utilize any Card Table Tracking Device, Casino MBtrix will notify the Division of Gaming Control. Per the Cardroom Permit Amendment, Casino Matrix will provide full disclosure 0f the nature and purpose of the tracking system and Casino Matrix sha1| also be requlred to provide initial training and ongoing training to the Division with respect to the operations of the system and provide any and all reports generated by the system,m Effective August 7', 20 12 Revised -2015 Revised -2016 Page 28 FS 001960 SJ004214 CASI NO MSTRIX SYSTEM OF INTERNAL CONTOLS DOCUMENT CHAPTER 3 TABLE GAMES m Effective August 7, 2012 Revised -201 S Revised -2016 Page 29 FS 001961 SMALLWOOD EXHIBIT SJ004215 SJ004216 M a B A S H N E } T R I X ' G a r d e n C i t y , I n c . d b a C a s i n o M B t r i x M A N A G E M E N T O R G A N I Z A T I O N A L C H A R T B o a r d o f _ D f r e c m r s I n t e r i m é e m l ‘ I : A s fi l s m n t m t h e M a n a g e r ! " ' : W a l d e n ! E . 1 ' ..II. . E I I I _ I I I I I l ’ C F U / m s l n o G a u n t R o o m C a s i n o M a n a g e r ‘ D i r e m r o f F m d - a E ' w e m g s - 9 m m , o f ' D l m a a r p f s e c u n t y ‘ ' D i r e g t u r n f D A ? ? ? - [ C o m m l l e f ‘ - M a n a u a " ] [ . F a c i l i t i e s " t . G e n e m l S U W Q M E I ' ' C o m p i l i n g " M a n a g e r " * D E N O T E S S T A T E K E Y E M P L O Y E E * * D E N O T E S C I T Y K E Y E M P L O Y E E S u b m i t t e d t o D G C 0 6 / 0 3 / 2 0 1 6 S u p e r s e d e s C h a r t o f 0 4 / 0 7 / 2 0 1 6 E X H I B I T : A 2 P A G E 1 D i r e m r d f fl fl . “ l P u b l i c R e l a fl o n s D l r e c m r J F S 0 0 1 9 6 2 SJ004217 E A S i N D B T R I X G a r d e n C i t y , I n c . d b a C a s i n o M 8 t r i x C O U N T R O O M O R G A N I Z A T I O N A L C H A R T1 B O A R D 0 F D I R E C T O R S \ _ . I n t e r i m G e n e r a l M a n a g e r ’ “ \ _ . I _ N [ C o u n t R o o m M a n a g e r * [ . c o u ' n t R o o m L e a d [ - C o u n t R o o m C o u n t e r s * D E N O T E S K E Y E M P L O Y E E S u b m i t t e d t o D G C 0 6 / 0 3 / 2 0 1 6 S u p e r s e d e s C h a r t o f 0 7 / 0 1 / 2 0 1 3 E X H I B I T : C 2 P A G E : 3 F S 0 0 1 9 6 3 SJ004218 M c : A s r N D B T R I X G a r d e n C i t y , I n c . d b a C a s i n o M a t r i x C O U N T R O O M O R G A N I Z A T I O N A L C H A R T * D E N O T E S K E Y E M P L O Y E E S u b m i t t e d t o D G C 0 7 / 0 1 / 2 0 1 2 E X H I B I T : C 2 P A G E : 3 F S 0 0 1 9 6 4 SMALLWOOD EXHIBIT SJ004219 SJ004220 Garden City, Inc. dba Casino M8trix {ob Defamation San Jaw. ELIE ce Depwimem Casmo Squt Manager Dixisicm of Garmng C0541 o-l Iuly 10, 2015 DIVISION: Gaming FLSA CODE: Exempt EXHIBIT: B2-2 DEPARTNEENT: Gaming JOB CODE: 111760 PAY GRADE: E-3 REPORTS T0: Casino Manager and W/C CODE: 9069 Assistant Casino Manager SU'PERVISES DIRECTLY: Tournament Facilitator, Game Attendants, Dealers, Chip Runners, Lead Card Control Person, and Cald Control Persons. SUPERVISES THROUGH SUBORDINATES: N/A JOB SUNIMARY: This‘position serves as the direct link t0 the Assistant Casino Manager and Casino Manager. In the absence of an Assistant Casino Manager 01' Casino Manager, the Shift Manager is responsible for the smooth running of the entire Casino operation and has final authority for all disputes and the intérprétation ofrules 0n the casino floor- unless referred t0 upper management for later resolution. Wiil handle 91] employee problems 0n the spot and will vase infomafinn rm tu‘ the appropriate dqalinmni ma:- m :upu15130: fur aL 11:11. Ensures that all”uarcic» Gig, Mg“ dba Casino M8trix policies and procedules, as well as Title 16 0fthe San Jose Mumcipal Code and the Regulations and Minimum Internal Control Standards Regulations promulgated by the Division age followed by all personnel, and monitors overall Operation for good customer relations. UNIQUE JOB REQ UIREMENTS: Must be able to interpret, maintain knowledge 0f, and ensure compliance with all applicable Title I6, Minimum Internal Control Standards, State Gaming Regulations, and other City/Statchederal la'ws/regulations. Must maintain knowledge of and ensura compliance with all Garden City, Inc. dba Casino MBtrix Operating poiicies/ proceduresfpractices, and internal control protocols. Must have a thorough knowledge of the gaming industry with particular knowledge of all types ofPoker and California style games. Requires supervisory experience and the ability to communicate with all levels of employees. Ability to read and understand numerous financial reports and summaries. SJ0272 FS 001965 SJ004221 SEE”.J.USQ POUR Di‘Pflrtmc-rjf. Elvis“! u o 1“ {Ia mimg Ce g (TU; JOBTASKS: 1) Oversee the entire Garden City, Inc. dba Casino MStH'x Operation and ensure that it is functioning as effectiveiy as possible‘ 2] RaviBWS any reports and memos and share any information with the appropriate people. 3) Reports and documents any unusual situations or incidents. 4) Inspects Garden City, Inc. dba Casino M8trix for cleanliness and take appropriate actions as nesded. ' 5) Makes recommendations to upper management for improvements in the operation. 6) Greet customers, handles any problems and ensures general customer satisfaction. 7) Provides leadership direction as assigned in accordanca with the company organizatienal structure. 8) Determines work procedures, prcpares work/break schedules, and expedites workflow. 9) Issues written and oral instructions. 10) Assigns duties and examines work for exactness, neatness, and conformance to policies and procedures. 11) Studies and standardizes procedures to improve'efficiency of subordinates. 12) Maintains harmony among workers and resolves grievances. 13) Maintains daily personal contact with staff so as t0 be aware 0f any problems, situations 01' Operational difficulties. l4) Completes performance reviews as necessary, evaluates, counsels, and disciplines employees as needed. 15) Monitors activities in casino area t0 ensure compliance with all company policies as well as all local and state ordinances. 16) Perfoms otherrrelatedduties as may be assigned by reporting senior. _ ‘ RELATIONSHIPS: INTERNAL All Garden City, Inc. dba Casino M8trix employees. x EXTERNAL All customers of Garden City, Inc. dba Casino MStrix as well as vendors, contractors, police, or others are requiring assistance whilc at the club. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelor of Science Degree in Business Administration or equivalent combmation of education and experience. Four or more years 0f experience in leadership positions; preferably With casino or hospitaiity operations. SJ0273 FS 001966 SJ004222 KNOWLEDGE/SKILLS/ABILITIES Ability to read, analyze, and interpret reports, and legal documents. Ability to respond to inquiries from regulatory agencies. Ability to write Ln a prescribed style and format. Ability to effectively prescnt information t0 customers and employees. Ability t0 define problems, collect data, establish facts, and draw valid conclusions. Moderate level of computer skills to utilize Windows operating systems. PHYSICAL REQUIREMENTS Employee is regularly required t0 sit; use hands and fingers t0 handle, feel} 0r reach with hands and arms. Understand, listens and communicates in English. Must be able to stand; walk; climb or balance; and stoop, Emeel, crouch, or crawl. The employee must occasionally lift andfor move up t0 25 pounds. Specific Vision abilities required by this job include 01056 vision; distance vision, color Vision, peripheral vision, depth perception, and ability to adjust focus. Employee is regularly exposed to risks associated with travel between buildings and back and forth to other areas as may be required due to business demands. The employee is occasionaily exposed to fumespr airborne particles. The employee may be exposed t0 the risks aésociated in attempting to resolve issues with extremely irate or difficult guests or staff members. LICENSES/PERMITS San Jose Pofice Key Employee License and State Key Employee License. AUG ’c~a- a Pu: w L'W Sgnfiase Police Department Dlwzsmn 0f Gaming ComtmI SJ0274 FS 001967 SMALLWOOD EXHIBIT SJ004223 Garden City, Inc. dba Casino M8trix Job Description Count Room Manager/Health & Safety Officer July 1, 2013 DIVISION: Count Room FLSA CODE: Non-Exempt EXHIBIT: C2-1 DEPARTMENT: Count Room JOB CODE: 450600 PAY GRADE: D-2 REPORTS TO: General Manager W/C CODE: 9069 SUPERVISES DIRECTLY: Count Room Lead and Count Room Counters. SUPERVISES THROUGH SUBORDINATES: N/A JOB SUMMARY: Instructs personnel involved in providing safety and emergency assistance to all operations of the casino and to enhance positive customer service and relations. Perform safety inspections of work areas for compliance with General Industry Safety orders and Codes of Safe Practices. Supervises and coordinates the Count Room Operations. Oversee daily drop chip count operations to comply with Division of Gambling Control Minimum Internal Control Standards and Garden City, Inc. dba Casino M8trix internal control documents. Other duties as directed by management. To include administration, management, compliance, education on the following programs: Workers Compensation; Employee Safety; Problem Gambling; & Injury Illness Prevention. UNIQUE JOB REQUIREMENTS: Must be able to maintain knowledge of, and ensure compliance with all applicable Title 16 Minimum Internal Control Standards, State Gaming Regulations, and other City/State/Federal laws/regulations. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino M8trix operating policies/procedures/practices, and internal control protocols including a thorough knowledge of cash and chip control procedures. Must have safety and health background preferably in the hospitality industry. Excellent communication skills. Should have experience in training of personnel, particularly in the areas of security and safety. Able to develop and publish specific instructions & procedures that assist with the compliance of all State, Federal, City MICS, Title 16, and local government. FS 001968 SJ004224 JOB TASKS: 1) Confers with management to present information and respond to questions from staff, customers and outside agencies. 2) Analyzes employee injury reports to identify trends or problem areas, recommends safety training to managers conducts safety training on behalf of managers and develop the Health Dealing Program. 3) Responsible for the instruction of Medical Emergency Response personnel in accordance with American Red Cross course “First responder” as revised in 1997 to meet with DOT standards. 4) Ensures required certification of Medical Emergency Response personnel is kept current. 5) Schedule training sessions to ensure adequate medical care for patrons and employees and coordinate/ manage general liability insurance issues. 6) Recommend the purchase of emergency equipment needed to provide adequate medical care for patrons and employees. 7) Enforce medical protocols that comply with the Red Cross curriculum and the Santa Clara County department of Emergency Medical Service. 8) Convene Risk Management committee meetings and conduct safety inspections in accordance with the IIPP. 9) Assist in the development of written plans for inclusion in the IIPP, as well as oversee the IIPP and all safety programs 10) Oversee daily operations of the Count Room to ensure compliance with Division of Gaming Control MICS and Garden City, Inc. dba Casino M8trix internal control documents (no authority to hire or fire count Room personnel) 11) Recommends to owners and General Manager changes with respect to Count Room procedures 12) Reports to owners and General Manager any performance issues of the Count teams with respect to their required duties and responsibilities and compliance with Division of Gaming Control MICS and Garden City, Inc. dba Casino M8trix Internal Controls. 13) Oversees the maintenance, marking, repair, ordering and destruction of drop boxes. 14) Provides training to entire staff on Problem Gambling and ensures compliance. New hire training, and annual training. 15) Performs other related duties as may be assigned from time to time by reporting senior. RELATIONSHIPS: INTERNAL All Garden City, Inc. dba Casino M8trix staff, specifically, Owners, General Manager, HR Director, Compliance Director, Security & Surveillance Director, and other management. EXTERNAL Garden City, Inc. dba Casino M8trix guests and customers, Civil Emergency Response personnel, American Red Cross personnel, representative of government agencies, and Division of Gaming Control. FS 001969 SJ004225 QUALIFICATIONS: TRAINING AND EXPERIENCE Emergency Response Instructor certification and CPR for the Professional Rescuer Certification. Medical certification as Emergency Medical Technician preferred. Understanding and knowledge of Division of Gaming Control Minimum Internal Control Standards and Garden City, Inc. dba Casino M8trix internal control documents. KNOWLEDGE/SKILLS/ABILITIES Knowledge of general accounting practice and transactions. Must practice due diligence at all times and must be detail oriented with good work load organizational skills. PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers to handle, feel or reach with hands and arms. Communicate clearly, listen and understand in English. The employee is occasionally required to stand; walk; climb or balance; and stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability to adjust focus. Employee is regularly exposed to risks associated with travel between buildings and back and forth to other areas as may be required due to business demands. The employee is occasionally exposed to fumes or airborne particles. The employee may be exposed to the risks associated in attempting to resolve issues with extremely irate or difficult guests or staff members. LICENSES/PERMITS San Jose Police Key Employee License and State Key Employee License. FS 001970 SJ004226 SMALLWOOD EXHIBIT SJ004227 SJ004228 EMPLOYMENT AGREEMENT This Employment Agreement (the “‘Agreement”) is made and entered inte by and be tween Garden City} Inc. dba Casino Mfltrix (“CM"), a California Corporation with its principal place ofbusiness located at 1887 Matrix Blvd, San Jose, California, 951 10 and Hector Ayala (“Employee”) (collectively “Parties”), effective May 18, 20] 5 (“Effective Date”). I. TERNI 0F EMPLOYMENT Re dac ted FS 001971 SJ004229 Redacted III. OBLIGATIONS OF EI‘rIPLOYEE 3.1 Licensing and Qualifications CM is licensed and regulated under various laws in the state, county andfor city in which it conducts business. Employee understands that Employee must hold, at a minimum, the licenses and/or permits applicable Io Employee, issued by the California Gambling Control Commission andfor the San Jose Police Department, Division 0f Gaming Control, while employed at CM. Employee is responsible for obtaining and maintaining such licenses andfor permits us required by law. Employee has mpresented that Employee shall not practice any duties in which one is required to be licensed and/or permitted, unless Employee holds the appropriate licenses andfor permits to perform such duties. 3.2 RegulatoryCompliance Employee shall perform Employee’s duties under this Agreement in accordance with applicable federal, state and local laws, regulations and practice standards, as amended from time to time, including but not limited to the Gambling Control Act (Business & Professions Code §§ 19800 e! seq), the state Gambling Regulations (Title 4, Division 18 and Titie 115 Division 3 of the Caiifomia Code ofRegulations), Title 16 of the San Jose Municipal Code, and [ha Minimum Internal Control Standards issued by the San Jose Police Department Division 0f Gaming Control. Red. aCte Zofll FS 001972 SJ004230 Redacted Sofll FS 001973 SJ004231 Rel da cIe 40f11 FS 001974 SJ004232 qu-npgckcnja Sofll FS 001975 SJ004233 Reda cted ' 60f11 FS 001976 SJ004234 Re; dac ted 70f11 FS 001977 SJ004235 Redacted 80f11 FS 001978 SJ004236 Re dac ted Redacted Red acte 90f11 FS 001979 SJ004237 Redacted 100f11 FS 001980 SJ004238 Reda ; cted Executed on “DAL: - /f ¥20liat qu 3'0 3-! (‘fi‘ California s EMPLOYER: EMPLOYEE: Garden City, Inc. dba Casino MStrix Hector Ayala By: iig/g/ //Zr’r/ By: U M KKKAlan Kakimoto General Manager llofll FS 001981 SJ004239 STATE 3F CALIFORNM _ Edmund G. Brown. Jr.. Gavernor ‘ ' L TIFFANY E CONKUNGAMBLING QONTHD COMMISSION h LAUREN HAMMOND 239g 092m? 0am Dr-«a snag m ‘ RIOHAHU ECHUETz Sacramenlo. CA 95833-4231 ‘ E9183 569-6700 Wlano {91512635499 Fax 7 www.bgocsa‘gw June 4, 2015 Mr. Hector Ayala 2300 Bourbon Dr. Hayward. CA 94545 R9: Interim Egg Emplofie License Dear Mr. Ayala: The California Gambling Control Commission (Commission) received notification from the Bureau of Gambling Control that your Apph‘cation for lnten'm Key Employee License has been received. Enclosed is your Interim Personal Portable Key Employee Ucense (GEKE-002104) that expires on . two years from the date of issuance. Additionally, an application package for an initial portahie personal key employee license as required in subsection (c) oi Section 12350 01’ the California Code of Regulations must be submitted to the Bureau within 30 days cf aSSurning a Key employee posltion at the following address: Bureau of Gamming Control P.O. Box 158024 Sacramento, CA 95816 Please submit the following documentation to the address identified above, including any required fees: nu late: man July 4, 2015. Application for Gambiing Establishment Key Employee License. BGC-031 Key Empioyee SUpplementa! Background Investigation Information. BGC-AFP-O‘ISA Authorization to Release Information. BCG-APP-OOB $750 nonrefundable application fee $2.400 background investigation deposit Request for Live Scan Service. BCII 8016 .conoo Please make all checks payable t9 Bureau of Gambling Con'urol. FS 001982 SJ004240 NOTICE TO EMPLOYEE Labor Code section 2810.5 EMPLOYEE F Emptoyee Name: W mw_ Stan Date: S" \% ' \S' EMPLOYER Legal Name of Hiring Employer: same” City [n°- Is hiring employer a staffing agencyibusiness (e.g.. Temporary Services Agency; Employee Leasing Company; or Professional Employer Organization [PEO])? I: Yes u No Other Names Hiring Employer i5 “doing business as" (if applicable): Casino Matrix Physical Address ol Hiting Empbyer’s Main Office: 1537 Matrix Blvd. San Jose. CA 95110 Hiring Employer's Mailing Address (if different than above); Hiring Employer’s Telephone Number: (405) 2443333 Ifthe hiring employer is a staffing agenwfbusinesa (above box checked “Yes"}, the following is the other entity for whom this employee wili perform work: Name: Physical Addresa of Main Office: Mailing Address: Telephone Number: WAGE INFO RMATJON a fig - Rate(s) of Pay: 5 1% 6"” Overtime Rale(s) of Paymz 9'; " M: 3L0 Rate by (check box): fiHour n Sh'rft a Day I: Week n Salary D Piece rate n Commission I: Other (provide specifics): ”1A 7 __ Does a written agreement exist providing the rate(s) of pay? (check box} a Yes n N0 If yes, are all rate(s) of pay and bases thereof contained in that written agreement? D Yes n No Allowances. if any. claimed as part of minimum wage (including meal or lodging allowances): NIA (\f the employee has signed Ihe adcnowledgment of receipt below, it does not constitute a "voluntary written agreement" as required under the raw between the employer and employee in order to credit any meals or lodging against the minimum wage. Any such voluntary written agreement must be evidenced by a separate document.) Regular Payday:W p{a DLSE-NTE {rev 11.2014) FS 001983 SJ004241 WORKER‘S COMPENSATION Insurance Carrbr's Name: Applied Underwriters Inurance Address: P.0 Box 3247 Omaha NE 68103-0247 Telephone Number: €877) 234-4420 Policy No: 73-889409-01-01 a Self-Insured (Labor Code 3700) and Certificate Number for Consent to Self-Insure: PAVE SICK LEAVE Unless exempt, the employee identified on this notice is entitled to minimum' requirements for pa'ld sick leave under staie law which prow‘des that an employee: a‘ May accrue paid sick leave and may request and use up to 3 days or 24 hours of accrued paid sick heave per year; b‘ May not be terminated or retaliated against for using or requestwng the use of accrued paid sick leave; and c. Has the rlght to file a complaint against an employer who retaliaies or discn'minates against an employee for requesting or using acaued sick days; aflempting ta exercise me right to use accrued paid sick days; filing a complaint or afieging a violation of Article 1.5 section 245 et seq, oftne Cai'rfnrnia Labor Code; cooperating in an investigation or prosecution of an alteged violation of this Artide or opposing any policy Dr practice or act that is prohibited by Artiste 1,5 section 245 e1 seq, of the California Labor Code. éwwd The fol‘owing applies Io the employee identified on this notice: (Check one box) u 1. Accrues paid sick leave only pursuant to the minimum requirements slated in Labor Code §245 et seq. with no ulher employer policy providing additional or different terms for accrual and use of paid sick leave. u 2. Accrues paid sick leave pursuant to the employers policy which satisfies or exceeds the accrual, carryover, and use requirements 0f Labor Code §246, u 3. Employer provides no less than 24 hours (or 3 days) of paid sick leave at the beginning of each 12-month period. u 4. The employee is exempt from paid sick leave prateclion by Labor Code §245.57 {State exemption and specific subsection for exemption): ACKNOWLEDGEMEN? 53F RECEIPT (Optional) 7.77 i Cairoh W \§€> can?" 3X fixmy‘u (PRINT NAME or Employer representative) \ (PRINT MAKE of Employee;W gwxmfix \\£ Am (SIGNATU RE of Employer Representative) ‘J (SIGNATURE of EmpioyeE)’ “a546w; xwmraaD a5 (Dam) (Dam) -J The employee's signature on this notice merely constituies acknowledgement of receipt. Labor Code secti 2310.503) requires that the employer notify you in writing of any changes to the information set forth in this Notice within seven caiendar days after the time of the changes. unless one of 1he following applies: (a) All changes are reflected on a timely wage statememfurnished in accordance with Labor Code section 226: (b) Notice of all changes is provided in anotherwriting required by law within seven days ofthe changes. DLSE-NTE (rev 11f2014) FS 001984 SJ004242 _ - _ P A V R O L L C H A N G E N O T I C E T 0 : P A Y R O L L l J n P A R T R L E N T ( P L E A S E E N T E R T H E I ‘ U L L U W I N G C H A N G E S ) T 0 Y O U R R E C O R D S T A H N G E F F E C T O N : D A T E . fl T I M E - , . ‘ I " _ \ : m E M P L O Y E E N A M E L y » ) \ . ‘ ' 3 " ; S O C I A L S E C U R I T Y N O \ l | H H ' W ‘ | ‘ ~ ' l C L O C K N 0 . T H E C H A N G E S ) : C a n w h h h a w u . . . U D E P A R T M E N T U J O B U S l - [ l F l ' ‘ E R A T E U O T H E R D O T H E R T H E R E A S O N F O R T H E C H A N G E S ) : E l H I R E D E l P R O B A T I O N A R Y P E R I O D C O M P L E T E D U R E - H I R E D E l L E N G T H 0 P S E R V I C E [ N C R E S E fl _ P R O M O T I D N E l R E - E V A L I J A ‘ I ' I O N 0 F E X I S H N G J O B D n E M o r I O N D R E S I G N A T I O N E l T R A N S F E R I ] R E T I R E M E N T D M E k u ‘ r I N C R E A S E D L A Y O F F U U N I O N S C A L E D D I S C H A R G E L l L E A V E 0 F A B S E N C E F R O M U N T I L ( D A T E ) ( D A T E ) D O T H E R ( E x p l a i n ) J A U T H O R I Z A T I O N : . R E C O M M E N D E D B Y D A T E f 7 I ' a y ; \ ‘ a z Q . . r ‘ ' 7 W A U T H O q u E D B Y ’ , ‘ D A T E ‘ , _ k 7 3 % , ; r . - ’ 1 » . , / / . I ’ I ‘ J F S 0 0 1 9 8 5 From: Byron Gregory To: Nicole Clowdsley Subject: FW: count room manager Date: Monday, May 22, 2017 11:43:37 AM From: Ramos, Edward [mailto:EDWARD.RAMOS@sanjoseca.gov] Sent: Friday, June 26, 2015 12:33 PM To: 'fsmallwood@casinom8trix.com' Cc: Alan Kakimoto ; Teng, Richard Subject: count room manager Good afternoon Frank Has Hector Ayala received his Interim Key Employee license from the State for the count room Manager position? If not, who are the count room employees reporting to until he gets it? Ofc. Ted Ramos San Jose Police Dept. Division of Gaming Control 210 N. 4th st , suite 202 San Jose, CA 95112 (408) 794-1478 FS 001986 SJ004243 From: Byron Gregory To: Nicole Clowdsley Subject: FW: permit processing Date: Monday, May 22, 2017 11:47:40 AM From: Murphy, Troy [mailto:TROY.MURPHY@sanjoseca.gov] Sent: Tuesday, June 02, 2015 10:22 AM To: Frank Smallwood Subject: Re: permit processing Hi Frank, Has anyone answered this for you yet? Our computers are finally connected to the internet again. Troy Officer Troy Murphy #3085 Division of Gaming Control San Jose Police Department 200 East Santa Clara Street, W-251 San Jose, CA 95113-1905 (408) 794-1484 From: Frank Smallwood Sent: Thursday, May 28, 2015 12:22 PM To: Ramos, Edward; Murphy, Troy Cc: Teng, Richard Subject: permit processing Hi Ted and Troy. FS 001987 SJ004244 Do you have a date when the Division will be ready to process work permits ? M8trix has immediate need in the count room. A new count room counter applicant has accepted the position and is in need of a title change. The applicants name is Paul Guevara permit number 3398. His current position is porter/ housekeeping. He will be doing a permanent change to count room counter. Can he start the training process with his current work permit or does he need to wait until the title change can take place? Additionally the Count Room Manager position will be filled by Hector Ayala. He has applied for his CA Interim Key Employee License and should be receiving it soon. When he receives his interim license he will be sent to the Division to process for his San Jose Temporary License. Thank you, Frank… FS 001988 SJ004245 SMALLWOOD EXHIBIT SJ004246 Resume Personal Information William A. "Bill" Zender Henderson, NV. 89012 www.billzender.com wzender@aol.com Business Cellular: (702) 423-5734 Educational History Institution Location Years Degree/Certification University of Phoenix Online Las Vegas, Nevada 2002-2004 Masters in Business Administration (MBA) University of Nevada, Las Vegas Las Vegas, Nevada 1972-1976 Bachelor of Science (BS) in Hotel Administration State of Nevada Peace Officer Standard Training Carson City, Nevada 1979 Nevada Peace Officer Accreditation Work History (last 24 years) Business Location Position Years Bill Zender & Associates LLC 296 Doe Run Circle Henderson, NV Consultant 1982-Present Ladbrokes Casino San Pablo 13255 San Pablo Ave San Pablo, CA Interim General Manager 1998-1999 JMJ, Inc. (dba Aladdin Hotel and Casino) 3667 Las Vegas Blvd. S. Las Vegas, NV Licensee/Executive VP, Director of Gaming Operations 1992-1998 Artichoke Joe’s Casino 659 Huntington Ave. San Bruno, CA Asian Games Manager 1991 Maxim Hotel and Casino 160 E. Flamingo Las Vegas, NV Casino Manager 1989-1990 Personal references upon request FS 001989 SJ004247 Areas of Special Interest Spent two years with the Nevada Gaming Control Board as an agent with the Enforcement Division. Author of "Pai Gow - Without Tears," a book about the Chinese domino game; "Card Counting for the Casino Executive," concerning the protection of the game of twenty-one against the knowledgeable players, "Pai Gow Poker-Understanding Strategies and Procedures", regarding the card game variation of pai gow, "How to Detect Casino Cheating at Blackjack" and a fifth book titled “Advantage Play for the Casino Executive”. Authored a two-book series on casino management titled, “Casino-ology, and Casino-ology 2.” Lectured in the area of game protection concerning the games of twenty-one, craps, roulette, baccarat, poker, pai gow, pai gow poker and slot/video machines. Lectured to numerous casinos and law enforcement agencies, including; State of Illinois Gaming Control Board, State of Iowa's Racing and Gaming Commission, State of Colorado's Division of Gaming, Northwest law Enforcement Strike Force, Oregon Attorney General's Office, State of Montana's Attorney General's Office, and the Federal Bureau of Investigation. Qualified as an expert gaming witness in district courts in the counties of Alameda and Santa Clara, California; in the counties of Clark, Douglas, Carson and Washoe in the state of Nevada; Lane County in the state of Oregon, the state of Wisconsin, and US District Court in Las Vegas. Also qualified as an expert gaming witness in Queensland, Australia, and Singapore. Owned, operated, and instructed at "Personalized Casino Instruction", a dealing school in Las Vegas. The school instructed students how to deal the games of blackjack, craps, roulette, mini baccarat, pai gow poker and pai gow. Participated as an adjunct instructor at the Clark County Community College from 1985 till 1992. Taught classes in game techniques, general casino management, and card counting. Also participated as guest lecture at the Hotel College, UNLV. Presently lecturing in casino mathematics, table games marketing, card counting, and blackjack advantage play for the Extended Education department at University of Nevada, Reno. Received a gaming and liquor license at the Aladdin Hotel and Casino in 1995 and 1997 as owner, operator, director, and board member by both the State of Nevada and the County of Clark. Have specialized in maximizing live game earning potential through time and motion, and customer service issues. While taking courses with University of Phoenix Online MBA program, have specialized in project management and strategic planning. Also, qualified as an expert in Asian games and Asian gaming. http://en.wikipedia.org/wiki/Bill_Zender FS 001990 SJ004248 List of Publications 1. Pai Gow Without Tears; self-published (1989) 2. Card Counting for the Casino Executive; self-published (1990) 3. Pai Gow Poker: Understand Strategies and Procedures; self-published (1991) 4. How to Detect Casino Cheating at Blackjack; RGE Publishing (1999) 5. Advantage Play for the Casino Executive; self-published (2006) 6. Casino-ology; Huntington Press (2009) 7. Casino-ology 2: Huntington Press (2012) 8. Various articles on gaming for Casino Enterprise Management Magazine (2005-2015) FS 001991 SJ004249 SMALLWOOD EXHIBIT SJ004250 SJ004251 Garden City. Inc, dhn Casinn MRtrix ' i- ' Z. ‘ “" Job Description Casino Manager June 3, 2016 ; [IL " :J‘j',‘ f? DIVISION: Gaming FLSA CODE: Exempt EXHIBIT: Bl-l DEPARTMENT: Gaming JOB CODE: l 10700 PAY GRADE: F.-3 REPORTS TU: General Manager WIC CODE: 9069 SUPERVISES DIRECTLY: Assistant Casino Manager, Casino Shift Managers. A(Iminimrative Assislnnr, and Risk and Safety Coordinator. SUPERVISES THROUGH SUBORDINATES: Lead Card Comm] Parson, Tournament Fauilltaiur. Pmposihonal Players, Game Altcndants, Deniers‘ & Chip Runners, Training Specialist Lead, and Coal Check. JOB SUMMARY: Directs all aspects of the casino and i; teaponsible for the overall direction; administration, decisions on disputes, mnployse discipline um] management issues. UNIQUE JOB REQUIRE MENTS: Must b6 able 10 inlcrprct, maintain knowledge of, and ensure compilance with all applicable Title 16, Minimum [mama] Control Smnclards, Slut: Gaming Regulations, and olhar CitnymIefFederal lawsfregululions. Must nm'mtain knowicdg: 0f and ensure compliance wilh ail Garden City, Inc. dba Casino MStrix operating pouches! procudurcs/practices, and internal uonlml protocols. Must have a thorough knowledge of tho: gaming industry wiih particular knowledge of all types of Pokcz’ and California style games. Requires supewisory experience :md lhc ability lu communicate with all levels ofemployem Ability to read 21nd unclel'sland numerous financial reports and summaries. JOB TASKS: The [allowing duties nre typical fm- this claSSificaIion. Incumbents may n01 perform all ofthe listed duties mullor may bi: required t0 p'urlbrm additional 01' different dutles from those set [0th below to address business needs and changing business practices. l) Provides leadership direction as assigned in accordance with the company m-ganimlionnl structure, Page I 42 Slmml I Inu'm Dbt'ma 0.! 2mg FS 001992 SJ004252 2) Determines work procedurcs, prepares work schedules, and expedites workflow. 3) Issues written and m'nl ms1ruclious. 4) Asgigns duties and examines work For examuess, nealness, and conformance lo policies and procedlu‘as. 5) Studies 21ml standardizes procedunes to improve efficiency ofsubordinatcs. (1) Maintains harmony among workars and resolves grievances. 7) Reads daily shift reports and sel in motion any processes m‘aciion. 8) Oversees employee schedules t0 ensure proper coverage. 9) Maintains daily personal contact wilh staff so as lo be aware uf any problems, situati’uns ur operalinnal di t'fimlllies. 10) Maintains positive customer Coniact. 11) Ensures that status ofemployccs i5 cun'enl. 12) Completes performance reviews as necessary. l3) Evaluates. counsels, disciplines: employees as needed. l4) Monitors activitiss in casino lo ensure compliance with :11] company policies as well as all local and state ordinances. 15) Meets on a regular basis with other managers am! staff [o ensure the smumh overall mnning at" the entire operalion RELATIONSH IPS: INTERNAL All Garden City, hm. dba Casino Mfilrix employees. EXTERNAL AH Garden City, Inc. dba Casino MBtl'ix customers, vendors and contractors and consultants, as well as local}, slate and federal agency official, QUALIFICATIONS: TRAINING AND EXPERIEN CE Bachelor of'Sclence Degree in Busincss Admmlsiranon or equivalent combination ot'education and experience. Seven or more years oi‘expuriuncc in lumlcrship posflions within casino operations or card rooms. KNOVVLEDGE/SKILLSIABILITIES Ability lo read. analyze, aml interpret technical jwmnls, financial rcpurls, mad legal document: Ability to respond t0 inquiries fi'om regulatory agencies. Ability t0 wrile in n prescribed style aml fommt Abiiity lo effectively pregent information tn 10p management, public groups, andw’ur boards oftlu'eclors. Ability to apply concepts such as fractions, pcl‘cclltagc51 I'uuos. and prnpnrliuns m practical simmimls, Ability Io define problems, collect dam, usinblish facts, and Llruw mild conclusions. Page | 43 stmwnnu mnemommoln FS 001993 SJ004253 PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers lo handle, feel, or reach with hands and anus. Undermnd, listens and connmmicntes in Engiish. Must be able Io stand; walk; climb or balance; and sloop, kneel, crouch, or crawl. The employee must occasionally lift and/or mova up t0 25 pounds. Specific vision abilities required by this job include, close vision, distance vision, color vision, peripheral visinn, depth perception, and ability to ndjust focus. Employee is regularly cxpused l0 risks associated wilh travel between buildings and back and forth to other areas as may be required due t0 business demands. The employee is occasionally exposed to fumes or airborne parucles. The employee may he exposed t0 the risks associated in auempting lo resolve issues with extremely irate or difficult guests 0r Sta fftuembers. LICENSESIPERNHTS San Jose Police Key Employee License and State Key Employee License. m mm. “H,“ .' .,: .r.- '-_ 5.\]‘-_‘1 ”Huh"... Ml] n . :Ir IHJ Page l 44 >UBMI‘I r:-:n m DGC; Immum FS 001994 SJ004254 Garden City, Inc. dba Casino M8t1'ix Job Description Casino Manager December 1, 2014 D1 VISION: Gaming FLSA CODE: Exempt EXHIBIT: 82-1 DEPARTMENT: Gaming JOB CODE: 110760 PAY GRADE: E-2 REPORTS TO: General Manager W1C CODE: 9069 SUPERVISES DIRECTLY: Casino Shjfi Managers. Administrative Assistant. SUPERVISES THROUGH SUBORDINATES: Lead Card Control Person, Tournament Facilitator, Propositional Players, Game Attendants, Dealers, & Chip Runners. JOB SUMMARY: Directs all aspects of the casino and is responsible for file overall direction; administration, decisions on disputes: employee discipline and management issues. UNIQUE JOB REQUIREMENTS: Must be able to interpret, maintain knowledge of, and ensure compliance with all applicable Title 16, Minimum Internal Control Standards, State Gaming Regulations, and other Citnytate/Federal laws/regulations. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino MStrix operating policies! procedures/praclices, ‘and intema] control protocols. Must have a thorough knowledge of the gaming industry with particular knowledge of all types of Poker and California style games. Requires supervisory exparience and the ability to communicate with all levels ofemployees. Ability to read and understand numerous financial reports and summafies. JOB TASKS: l) Provides leadership direction as assigned in accordance With the company organizational sh‘ucture. 2) Determines work procedures, prepares work schedules, and expedites workflow. 3) Issues written and oral instructions. 4) Assigns duties and examines work for exactness, neatncss, and ccnfomlance 10 policies and procedures. SUBMITTED T0 DGC; n mmmls Page | 34 FS 001995 SJ004255 5) Studies and standardizes procedures t0 improve etficicncy of subordinates. 6) Maintains harmony among workers and resolves grievances. 7) Reads daily shifi reports and set in motion any processes of action. 8) Oversees employee schedules to ensure proper coverage. 9) Maintains daily persona] contact with staff so as to be aware of any problems. situations or operational difficulties. 10) Maintains positive customer contact. 11) Ensures that status of employees is current. 12) Completes perfunnance reviews as necessary. 13) Evaluatw, counsels. disciplines employees as needed. 14) Monitors activities in casino to ensure complimmce with all company policies as well as al] local and state ordinances. 15) Meets on a regular basis with other managers and staffto ensure the smooth overall running 0f Lhe entire operation. RELAT!ONSHIPS: INTERNAL All Garden City, Inc. dba Casino MStrix employees. EXTERNAL AI] Garden City, Inc. dba Casino MStrix custmners, vendors and cmltractors and consultants: as well as local, state and federal agency official. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelor of Science Degree in Business Administration or equivalent combination of education and experience. Seven or more years 0f experience in leadership positinns within casino operations 0r card rooms. KNUWLEDGE/SKLLLSIABILITIES Ability to read, analyze, and interpret technical journals, financial reports, and legal documents. Ability to respond to inquiries fiom regulatory agencies. Ability to write in a prescribed style and format. Ability to effectively present information to top management, public groups, aud/or boards 0f directors Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations. Ability to define problems, collect data, establish facts, and draw valid conclusions, sumvuTrEDTo Doc: ououznis Page | 35 FS 001996 SJ004256 PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers to handle, feel, or reach with hands and arms. Understand, listens and communicates in English. Must be able to stand; walk; climb 0r balance; and stoop, kneel, crouch. or crawl. The employee must occasionally lift andfor move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability to adjust focus. Employee is regularly exposed to risks associated with travel between buildings and back and forth to other areas as may be required due to business demands. The employee is occasionally exposed t0 filmes or airborne particles. The employee may be exposed tn the risks associated in attempting to resolve issues with extremely irate or difficult guests or staffmembers. LlCENSES/PERMITS San Jose Police Key Employee License and State Key Employee License. SUBMITTED To DGC omvzoxs Page l 36 FS 001997 SJ004257 Garden City, Inc. dba Casino MBtrix Jab Description General Manager July l. 2012 DIVISION: General Manager FLSA CODE: Exempt EXHIBIT: AZ-l DEPARTMENT: General Manager JOB CODE: 110700 PAY GRADE: E-l REPORTS TD: Board 0f Directors W/C‘ CODE: 9069 SUPERVISES DIRECTLY: Management information Systems, Cummller, Cage Manager, Count Room Manager, Casino Manager. Director nf Facilities, Food & Beverage General Manager. Director of Surveillance, Director of Security, Director of Compliance, and Director of Human Resources, SUPERVISES THROUGH SUBORDINATES: Lead Card Control Person, Tournament Facilitator, Propositional Piayers, Game Atlendants, Dealers, Sc Chip Runners. JOB SUNIMARY: Directs all aspects ofthe business and is responsible for the overall direction; administration, decisions on disputes. employee discipline and management issues. UNIQUE JOB REQUIREMENTS: Must be able to intcrpret, maintain knowledge of, and ensure compliance with all applicable Title 16, Minimum Internal Control Standards, State Gaming Regulations, and other City/StatefFederal laws/regulations. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino MStIix operating policies! prucedures/practiues, and internal control protocols. Must have a thorough knowledge of the gaming industry with particular knowledge of a1] types of Poker and California style games. Requires supervisory experience and the ability t0 communicate with all levels of employees. Ability to read and understand numerous financial repons and summaries. JOB TASKS: l) Provides leadership direction as assigned 'Ln accordance with the company organizational structure. 2) Determines work procedures. prepares work schedules, and expedites workflow. 3‘) Issues written and oral instructions. SUBMiTI'EI) T0 Dar" 07m I120]: Page \ 104 FS 001998 SJ004258 4) Assigns duties and examines work for exactness, neatness. and conformance to policies and procedures. 5) Studies and standardizes procedures tn improve efficiency of subordinates. 6) Maintains harmony among workers and resolves grievances. 7) Reads daily shjfi reports and set in motion any processes of action. 8) Oversees employee schedules to ensure proper coverage. 9) Maintains daily personal contact with staff so as to be aware ol’any problem s, situations 0r operational difficulties. 10) Maintains positive customer contact. 1 1) Ensures rules, procedures, job descriptions and forms are current. 12) Ensures that status oi‘employces is current. l3) Completes performance reviews as necessary. 14) Evaluates, counsels, disciplines employees as needed. 15) Monitors activities in casino to ensure compliance with all company policies as well as a1] local and state ordinances. 16) Meets on a regular basis with other managers and staff‘to ensure the smooth overall running of the entire operation. i7) Stays current with trends in the industry and make recommendations for changes and improvements in the operation of Garden City, Inc. dba Casino MSITix l8} Makes all final decisions on disputes and employee disciplinary matters and management issues. 19) Performs other related duties as may be assigned by reporting senior. RELA'I‘IONSHII'S: INTERNAL All Garden City, [nc. dba Casino Mfiuix employees. EXTERNAL A1] Garden City, Inc. dba Casino MSLrix customers, vendors and contractors and consultants, as well as local, state and federal agency officials. QUALIFICATION S: TRAINING AND EXPERIENCE Bachelor of Science Degree in Business Administration or equivalent combination of education and experience. Seven or more years of experience in leadership positions within casino operations or cam rooms. KNOWLEDGEISKILLSIABILITIES Ability to read. analyze, and interpret technical journals, financial reports, and legal decumems. Ability t0 respond to inquiries from regulatory agencies. Ability to write in a prescribed style and format. Ability tn effectively presem information to top management, public groups, and/Dr SUBMITTED T0 DGC 0710mm! Page | 105 FS 001999 SJ004259 boards of directors. Ability to apply concepts such as fractions. percentages, ratios, and proportions lu practical situations. Ability tn define preblems. cullect data. establish Facts. and draw valid conclusions. PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers to handle, feel, or reach with hands and arms. Understand, listens and communicates in English. Must be able. l0 stand; walk; climb 01' balance; and stoop. kneel. crouch. 0r crawl. The employee must occasionally lift and/or move up t0 25 p0 unds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability to adjust focuS. Employee is regularly exposed to risks associated with trawl between buildings and back and forth to other areas as may be required due to business demands. The employee is occasionally exposed to fumes or airborne particles. The employee may be exposed 10 the risks associated in attempting to resolve issues with extremely irate 0r difficult guests or staff members. LICENSES/PERMITS San Jose Police Key Employee License and State Key Employee License. SUBMITTED ‘I'O DGC: OWUI .‘Zull Page I 106 FS 002000 SJ004260 Garden City. Inc. dba Casino M8trix Job Description Director 0f Human Resources July I, 20 12 DIVISION: Human Resources FLSA CODE: Exempt EXHIBIT: Kl-l DEPARTMENT: Human Resources JOB CODE: 480700 PAY GR ADE: B-2 REPORTS T0: General Manager WIC CODE: 8810 SUPERVISES DIRECTLY: HR Representative, HR Specialist. and Performance Mgmt. lraining SpeciaIiSL SU PERVISES THROUGH SUBORDINATES: NM JOB SUM MARY: Develops policy and directs and coordinates Human Resource activities, such as employment, compensation, labor relations, benefits. training, and employee services by performing the duties personally or through subordinate supervisors. UNIQUE JOB REQUIREMENTS: Must be able to interpret, maintain knowledge of. and ensure compliance with all applicable Title 16, Minimum Internal Cunlrol Standards‘ State Gaming Regulations. and other City/Stale/Federal laws/regulations. Must maintain knowledge ofand ensure compliance with all Garden City, Inc. dba Casino MBtrix operating policies/procedures/practiccs. and internal control protocols including a thorough knowledge of cash and chip control procedures. Must possess a great deal 0f tact; above average communication skills; ability lo work wcl! with both employees and managers; ability to convey a positive and professional image to applicants and employees; must be able t0 maintain strict confidence. Bi-lingual helpful. .IOB TASKS: l) Oversee lhc recruiting, interviewing and selection, as well as the processing and orientation of new employees. Writes directives advising department heads on company policy, which may include topics such as: EEOC, compensation, benefits and disciplinary matters. 3) Consults with legal counsel to ensure that policies comply with federal and stats law. 7) SUHMHTED T0 DGC mmmmz Page | 72 FS 002001 SJ004261 4) Oversees the benefit functions, as well as Worker‘s Compensation. 5) Oversees the analysis, maintenance, and communication of personnel records required by law 0r local governing bodies, or other departments in the organization. 6) Develops and maintains a human resources system that meets top management information needs. 7) Analyzes wage and salary reports and data to determine competitive compensation plau‘ 8) Prepares budget for the Human Resources department. 9) Reviews all employee disciplinary procedures and makes recommendations t0 ensure that they comply with acceptable employee relations principles. Make final recommendations to Casino Manager & President/General Manager in termination proceedings. [0) Oversees lhc proper processing of employee separation notices and related documentation and represents the organization a1 hearings and investigations l UServe as a conduit ofinformation for Executive Management and present recommendations for greater efficiency of the organization. 12) Counsel management and stafi‘ on employee relations and legal issues. l3) Merit with employees and help resolve grievances or concerns that may arise, and to serve a5 a facilitator when needed. 14} Assist as needed 0r requested in the investigation 0f incidents or complaints. I 5) Assist management in various pmjects such as job descriptions. performance evaluations, compensation issues, etc. 16) Assist President as reque sted or as needed. I7) Able t0 follow detailed procedures and ensure accuracy in documentalion and data; carefully monitor processes; concentmte 0n routine work details and organize and maintain a system of records. RELATIONSHIPS: INTERN A L Owners, management and all Garden City, inc. dba Casino MStrix employees. EXTERNAL Government and Agency officials, job applicants and. general public through various meetings and organizations. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelors Degree in Business Administration or Human Resources, or equivalent combination of education and experience required with a minimum 0f 10 years ofHuman Resources and Management function. SUBMITTED T0 DGC (momma Page L 73 FS 002002 SJ004262 KNOWLEDGEISKILLSIABILITIES Knowledge of sound HR practices and Labor law. Ability- to read, analyze, and imerpret common scientific and technical jow‘nals. financial reports, and various legal documents. Ability to respond to common inquiries or complaints from various levels of staff. regulatory agencies, or members of the business community. Ability t0 write and present speeches, articles for publication that conform to prescribed style and format. Ability to pIESEnt information t0 top management, public groups, andjor Boards of Directors. Ability to apply principles of logic or scientific thinking l0 a wide range of intellectual and practical problems as well as deal with a variety of abstract and concrete variables. PHYSICAL REQUIREMENTS The employee is regularly required to sit; use hands and fingers to handle. feel, or reach vn'th hands and arms. Able to clearly communicate, listen and understand in English. The employee is occasionally required to stand: walk; climb or balance; and stoop, kneel, crouch, ur crawl. The employee must occasionally lifi and/or move up to 25 pounds. Specific vision abilities rcq aired by this job include close vision. distance vision, color vision, peripheral vision, depth perception. and ability to adjust focus. While performing the duties 0f this job. the employee i5 regularly exposed to risks associated with travel belWeen buildings and back. and forth to other areas as may be required due to business demands. The employee is occasionally exposed t0 fumes or airborne particles. Able to work with a vaIiety of Windows Operating systems. including Outlook. Able to review various tapes and film. LICENSESI'PERMITS San Jose Police Key Employee License. SUBMiTrED m DGC uwuuzmz Page | 74 FS 002003 SJ004263 Garden City. Inc. dba Casino MStfix Job Description Human Resources Representative July l, 20l2 DIVISION: Human Resources FLSA CODE: Excmpl EXHIBIT: [(2-2 DEPARTMENT: Human Resources JOB CODE: 480500 PAY GRADE: B-3 REPORTS TO: Director ot‘Human W/C CODE: 8310 Resources SUPERVISES DIRECTLY: NJA SUPERVISES THROUGH SUBORDINATES: N/A JOB SUMMARY: Assist the department director with the coordination of Human Resource activities. such as employment, compensation, employee relations, benefits administration, payroll support services, training, and employae services hy meeting goals and objectives personally or through subordinate supervisors. UNIQUE JOB REQUIREMENTS: Mus! be able to interpret, maintain knowledge of, and ensure compliance with all applicable Title l6, Minimum Internal Control Standards, State Gaming Regulations, and other City/SLate/Federal laws/regulalions. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino M8trix operating policies} procedures/practices, and internal control protocols. Must possess a great deal oftacL above average communication skills, ability to work well with both employees and managers. Ability to convey a positive and professional image to applicants and employees. Must be able to maintain strict confidence. Bi-l'mgual preferred. JOB TASKS: l_) Interviews and screens applicants and arrange follow-up interviews with department managers. 2) Maintains applicant log, files and track applicants. SUBMITTED T0 DGC. omuznlz Page | 111 FS 002004 SJ004264 3) Reviews paperwork, ensure proper [-9 materials and authorize drug screen procedure for newly hired employees. 4) Reviews and processes Police Dept. applications for new hires. 5) Completes required paperwork for new hires, prepare Lime sheet and time card and lbrward to appropriate person and issue uniforms. 6) Maintains and processes employment requisitinns; assists with recruitment and job fairs. 7) Tracks various employment authorizations and ensure compliance (Police permits. 1-9‘5. etc.) 8') Conducts telephone and written reference checks 0n qualified applicants. 9') Prepares1 and distributes weekly, a list ofopenjobs and prepares list for HR Director. I(J') Consults with department managers as to current openings and the status of interviewed candidates. I 1) Respond to employment verifications. I2) Processes and interviews employees requesting transfers and maintains appropriate records. I3) Process initial state EDD claims. l4) Performs various clerical duties as needed. 15) Maintains bulletin boards. 16) Maintains logs t0 check billings for drug screenings and employment ads. 17) Prepares badge employee termination report for Compliance Director and Police Department. 18) Performs other duties as may be assigned by reporting Director ofHR 01' Exec ulivc team. RELATIONSHIPS: INTERN AL Al] Garden City, an. dba Casino MStfix employees. EXTERNAL General public, customers of Garden City. Inc. dba Casino Mfitrix, candidalgs for mnployment. organizations. consultants. lawyers, government agencies, insurance brokers, banks, payroll services. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelors chree in Business Administration or Human Resources, 01' equivalent cambination of education and experience required with a minimum of 1 year of Administration 0r Human Resources. KNOWLEDGE/SKJLLSIABILITIES Knowledgeable of HR Labor law practices. Ability to read. analyzes, and interprets common scientific and technical journals: financial reports, and various legal documents. Ability m SUBMITIEDTO 115E mmuzolz Page | 112 FS 002005 SJ004265 respond to common inquiries or complaints from various lcvcis of staff, regulatory agencies. or members ofthe business community. Ability to wn'te and present speeches, articles for publication that conform to prescribed style and format. Ability t0 present information t0 top management, public groups, andfor boards of directors. Ability to apply principles of logic or sciemi fic thinking to a wide range of intellectual and practical problems as well as deal with a variety of abstract and concrete variables. PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers tn handle, feel‘ or reach with hands and arms. Able to clearly communicate, listen. and understand in English. The employee is occasionally required to stand; walk; climb or balance; and stoop. kneel: crouch, or crawl. The employee must occasionally lifi :mdfor move up to 25 pounds. Specific vision abilities required by [his job include close vision. distance vision. color vision, peripheral vision, depth perception, and ability Lo adjust focus. Employee is regularly exposed t0 risks associated with travel between buildings and back and forth to other areas as may be required due lo business demands. The employee is occasionally exposed t0 fumes 0r airborne particles. The employee may be exposed t0 the risks associated in attempting tu resolve issues with extremely irate Dr difficult guests or staff members. LICENSESIPERMITS San Jose Police Work Permit. SIIHMII IHD‘I'U DGCJO'HFIUZOIZ Page L 113 FS 002006 SJ004266 Garden City, Inc. dba Casino MBIIix Job Description Human Resources Specialist July 1, 20l2 DIVISION: Human Resources FLSA CODE: Exempt EXHIBIT: K23 DEPARTMENT: Human Resources JOB CODE: 480400 PAY GRADE: 8-4 REPORTS TO: Director of Human Resources WfC CODE: 88 IO SUPERVISES DIRECTLY: N/A SUPERVISES THROUGH SUBORDINATES: N/A .IOB SUMMARY: Assist the department director with the coordination of Human Resource activities. such as employment, compensation, empioyee relations, benefits administration, payroll support services. trailfiflg. and Employee services by meeting goals and objectives personally 0r through subordinaic supervisors. UNIQUE JOB REQUIREMENTS: Must be able to interpret. maintain knowledge of, and ensure compliance with all applicable Title 16, Minimum Internal Control Standards. State Gaming Regulations: and other Citnytate/Federal lawsfregulations. Must maintain knowledge ofand ensure compliance wilh all Garden City, Inc. dba Casino M&Iix operating policies! procedures/practices, and intern al control protocols. Must po ssess a great deal of tact, above average communication skills‘ ahilily to work well with both employees and managers. Ability LU convey a positive and professional image to applicants and employees. Must be able to maintain strict confidence. Bi-linguai preferred. JOB TASKS: 1) Interviews and screens applicants and arrange follow-up interviews with department managers. 2) Maintains applicant log, files and track applicants. 3) Reviews paperwork, ensure proper [-9 materials and authorize drug screen procedure for newly hired employees. SUBMHTED Tu DC.c- mmmflu Page I 114 FS 002007 SJ004267 4) Reviews and processes Police Dept. applications for new hires. 5) Conducts initial Cmnpliance orientation for new hires and schedule them fur Lheir Safety orientation. 6) Completes required paperwork for new hires, prepare lime sheet and time card and forward to appropriate person and issue uniforms. 7) Maintains and processes employment requisitions. 8) Tracks various employment authorizations and ensure compliance (Police permits, 1-9‘5, etc.) 9) Conducts telephone and written reference checks on qualified applicants. 10) Prepares, and distributes weekly, a list of openjobs and prepares list for HR Director. 1 l) Consults with department managers as to current openings and the status of interviewed candidates. 12) Respond 10 employment verifications. i3) Processes and interviews employees requesting transfers and maintains appropriate records. 14) Process initial stale EDD claims. 1 5) Performs various clerical duties as needed. 16) Maintains bulletin boards. 17') Arranges for monthly administrative birthday party. 18) Maintains iogs to check billings for drug screenings and employment ads. 19) Prepares badge employee termination report for Compliance Director and Police Departmem. 20) Relieves receptionist of phone responsibility in order-to provide rest and meal breaks. 2 l ') Performs other duties as may be assigned by reporting Director ol’HR or Executive team. RELATIONSHIPS: INTERNAL All Garden City, Inc. dba Casino MBtrix employees. EXTERNAL Government and Agency officials, job applicants and genera! public through various meetings and organizations. Consultants. Lawyers. Government Agencies: Insurance Brokers, Banks, Payroll Services. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelors Degree in Business Adminislralicm or Human Resources, or equivalent combination 01' education and experience required wilh a minim um ofS years of Human Resources or supervisury functions. :UBMITTED TU DGC: nmmou Page | 115 FS 002008 SJ004268 KNOWLEDGESKLLLSIABILITIES Knowledge 0f sound HR and Labor law practices. Ability L0 read, analyzes, and interprets common scientific and technical journals, financial reports, and various legal documents. Ability t0 respond to common inquiries or complaints from various levels of stafi', regulatory agencies. or members of the business community. Ability {o write and present speeches, articles for publication that conform to prescribed style and format. Ability to present information to top management, public groups, and/or hoards 0f directors. Ability to apply principles 0f logic 0r scientific Thinking to a wide range of intellectual and practical problems as well as deal with a variety 0f abstract and concrete variables. PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers to handte, feel, or reach with hands and arms. Able t0 cleariy communicate, listen, and understand in English. The employee is occasionally required to stand; walk; climb or balance: and stoop, kneel, crouch. or crawl. The employee must occasionally lifi and/or move up lo 25 pounds. Specific vision abilities required by thisjob include close vision, distance vision, color vision, peripheral vision! depth perception, and ability m adj usl focus. Employee is regularly exposed t0 risks associated with travel betwean buildings and hack and forth to other areas as may be required clue to business demands. Thu: employee is occasionally exposed 10 fumes 01' airborne particles. The employee may be exposed t0 the risks associated in attempting to resolve issues with extremely irate or difficult guests 0r staffmembers. LICENSESIPERMI'I‘S San Jose Police Work Permit. SUBMI'I'j'EDTODGC nwnmnll Page | 116 FS 002009 SJ004269 Garden City, Inc. dba Casino M8trix Job Description General Manager June 20, 20] 6 DIVISION: General Manager FLSA CODE:EXempt EXHIBIT: A2-l DEPARTMENT: General Manager JOB CODE: 497000 PAY GRADE: E-Z REPORTS T0: Board 0f Directors W/C CODE: 9069 SUPERVISES DIRECTLY: Management Information Systems, Controllen Cage Manager, Count Room Manager, Casino Manager, Director of Facilities, Food & Beverage General Manager, Director 0f Surveillance. Director of Security, Director of Compliance, and Director of Human Resources. SUPERVISES THROUGH SUBORDINATES: Lead Card Control Person, Tournament Facilitator, Propositional Players. Game Attendants, Dealers, .5: Chip Runners. JOB SUMMARY: Directs all aspects of the business and is responsible for the overall direction; administration, decisions on disputes. employea discipline and management issues. UNIQUE JOB REQUIREMENTS: Must be able to interpret, maintain knowledge of, and ensure compliance with all applicable Title l6, Minimum Internal Control Standards, State Gaming Regulations, and other Cily/StatefFederal lawsfregulatiuns. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino M8trix operating policies/ procedures/practices, and internal control protocols. Must have a thorough knowledge of the gaming industry with particular knowledge of all types of Poker and California style games. Requires supervisory experience and the ability to communicate with all Ievels of employees. Ability t0 read and understand numerous financial reports and summaries. JOB TASKS: 1) Provides leadership direction as assigned in accordance with the company organizational structure. 2) Determines work procedures, prepares work Schedules, anti expedites workflow. Paw \ 'ky' SUBMITTED To DGC: 031159016 FS 002010 SJ004270 3) Issues written and oral instructions. 4) Assigns duties and examines wm'k for exactness, neamess, and confonnance t0 policies and procedures. 5 ) Studies and standardizes procedures to improve efficiency of subordinates. 6) Maintains harmony among workers and resolves grievances. 7) Reads daily shift reports and sat in motion any processes of action. 8) Oversees employee schedules to ensure proper coverage. 9) Maintains daily persona! contact with staff so as to be aware 0f any problems. situations or operational difficulties. 10) Maintains positive customer contact. inlinsures rules, procedures. job descriptions and forms are current. 12) Ensures that status of employees is current. 13) Completes performance reviews as necessary. 14) Evaluates, counsels, disciplines employees as needed. 15) Monitors activities in casino to ensure compliance with all company policies as well as all local and state ordinances. 16) Meets on a regular basis With other managers and staffto ensure Ihe smooth overall running of the entire operation. l7) Stays current with trends in the industry and make recommendations fur changes and improvements in the operation 0f Garden City. Inc. dba Casino M8trix 18) Makes all final decisions m1 disputes and employee disciplinary matters and managcmom issues. 19) Performs other related duties as may be assigled by reporting senior. RELATIONSHIPS: INTERNAL All Garden City, Inc. dba Casino M8lrix employees. EXTERNAL A11 Garden City, Inc. dba Casino Mfltrix customers, vendors and contractors and consultants, as weli as local, state and federal agency officials. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelor of Science Degree in Business Administration 0r equivalent combination of education and cxperi ence, Seven or more years ol‘cxpcricncc in leadership positions within casino operations or card rooms. Page 12D SUBMITTED TO DGC: DEHSJ‘ZDlS FS 002011 SJ004271 IGVOWLEDGEISKILLSIABIIJTIES Ability 10 read. analyze! and interpret technical journals, financial reports, and legal documents Ability 10 respond to inquiries from regulatory agencies. Ability lo write in a prescribed style and fonnat. Ability t0 effectively present infm-mau‘ou Lo top management, public groups, and/or boards nf‘ directors. Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations Ability tn define problems, collect data, establish facts, and draw valid conclusions. PHYSICAL REQUIREMENTS Employee is regularly required :0 sit; use hands and fingers to handle, feel, ur reach with hands and arms. Understand, listens and comnunicatcs "m English. Must be able t0 stand; walk; climb or balance; and stoop, kneel, crouch. or crawl. The employee must occasionally lift andfor move up to 25 pounds‘ Specific vision abilities required by this job include close vision, distance vision, color vision. peripheral vision. depth perception, and ability to adjust focus. Employee is regularly exposed to risks associated with travel between buildings and back and forth to other areas as may be I'equired due m business demands. The employee is occasionally exposed to fumes or airborne panicles. The employee may be exposed m 1hr: risks associated in attempting Io resolve issues with extremely irate or diflicull‘ guests or staffmembers. LICENSESIPERMITS San Jose Police Key Employee License and State Key Employee License. Page 121 SUBMITTED TD DGC: 0511512016 FS 001012 SJ004272 Garden City. Inc. dba Casino MSIrix Job Description Human Resources Representative December 1. 20I4 DIVISION: Human Resources FLSA CODE: Exempt EXHIBIT: J2-3 DEPARTMENT: Human Resources JOB CODE: 430500 PAY GRADE: B-3 REPORTS TO: Director ofHuman W1C CODE: 8810 Resources SUPERVISES DIRECTLY: N/A SUPERVISES THROUGH SUBORDINATES: N/A JOB SUMMARY: Assist the department director with the coordination ofHuman Resource activities, such as employment, compensation, employee reiations, benefits administration, payroll support services, training, and employee services by meeting goals and objectives personally 0r through subordinate supervisors. UNIQUE JOB REQUIREMENTS: Must be able to interpret, maintain knowledge of, and ensure compliance with all applicable Titie 16, Minimum Internal Control Standards, State Gaming Regulations, and other City/Stale/Federal lawsfregulaliuns. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino MStrix operating policies/ proceduresfpractices, and internal control protocols. Must possess a great deal 0f tact, above average communication skills. ability to work well with both employees and managers. Ability to convey a positive and professional image to applicants and employees. Must be able- to maintain strict confidence. Bi-Iingual preferred. JOB TASKS: l) Interviews and screens applicants and arrange follow-up interviews with department managers. Page 128 SUBMtTTED TO DGC: 08(15f201 6 FS 002013 SJ004273 Garden City: Inc. dba Casino MStrix Job Description Director of Human Resources Dacember 1, 2014 DIVISION: Human Resources FLSA CODE: Exempt EXHIBIT: 12-1 DEPARTMENT: Human Resources JOB CODE: 430700 PAY GRADE: B-2 REPORTS T0: Genel'ai Manager W/C CODE: 8810 SUPERVISES DIRECTLY: HR Representative, HR Specialist, and Performance Mgmt. Training Specialist. S UP ERVISES THROUGH SUBORDINATES: N/A JOB SUMLIARY: Develops policy and directs and coordinates Human Resource activities, such as employment, compensation. labor relations! benefits, training, and employee services by performing the duties pcrsnnally m‘ through subordinate supervisors. UNIQUE JOB REQUIRENIENTS: Must be able to intelpret, maintain knowledge of. and ensure compliance with all applicable Title 16, Minimum Internal Control Standards, Slate Gaming Regulations, and other Cily/Slatc/Ffideral lawsfrcgulations. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino M8trix operating policies/procedures/practices, and iniernal control protocols including a thorough knowledge of cash and chip control proceduras. Must possess a great deal Oftact; above average communication skills; ability to work well with both employees and managers; ability to convey a positive and pmfessiunal image to applicants and employees: must he able to maintain strict confidence. Bi-lingual hclpfiJL JOB TASKS: l ) Oversee the recruiting. interviewing and selection, as well as the processing and orientation of new employees, Page 74 SUBMITTED TO DGC: DEI15-‘201S FS 002014 SJ004274 2) Writes directives advising department heads on company policy. which may include topics such as: EEOC, compensation, benefits and disciplinary matters. 3) Consults with legal counsel to ensure that policies comply with federal and stale law. 4) Oversees the benefit functions, as well as Warker’s COmpensaIion. .5} Oversees the analysis, maimenance, and communication ofpersonnel records required by law 01‘ local governing bodies, 01' other departments in the organization. 6) Develops and maintains a human resources system that meets top management information needs. 7) Analyzes wage and salary reports and data m determine competitive compensation plan. 8) Prepares budget for the Human Resources department. 9) Reviews a1] employee disciplinary procedures and makes recommendations to ensure that Lhcy comply with acceptable employee relations principles. Make final reconunendations to Casino Manager & President/General Manager in termination proceedings. 10) Oversees the proper processing 0f emplnyce separation notices and related documentation and represents the organization a1 hearings and investigations. 11') Sea've as a conduit of information for Executive Management and present recommendations ['01' greater efficiency of the organization. 12) Counsel management and staffon employee relations and legal issues. l3) Meet with employees and help resolve grievances or concerns that may arise, and to serve as a facilitator when needed. l4) Assist as needed or requested in the investigation of incidents or complaints. 15) Assist management in various projects such as job descriptions, performance cvaiualions, compensation issues, etc. 16‘) Assist President as requested or as needed. l7) Able to follow detailed procedures and ensure accuracy in documentation and data: carefully monitor processes; concentrate on routine work details and organize and maintain a system of records. RELATIONSHIPS : INTERNAL Owners, management and al] Garden City. Inc. dba Casino MStrix employees. EXTERNAL Government and Agency officials: job applicants and genera] public through various meetings and organizations. QUALIFICATIONS: page 75 SUBMITTED TO DGC‘ 03’1512015 FS 002015 SJ004275 'I'RALNING AND EXPERIENCE Bachelors Degree in Business Admim' stration or Human Resources, 01' equivalent combination of Education and Experiancc requirad with a minimum 0f 10 years ofHuman Resources and Management fimction. KNOWLEDGE/SKJLLSIABILITIES Knowledge of sound HR practices and Labor law. Ability to read, analyze, and interprel common scientific and technical journals, financial reports, and various legal dncuments. Ability to respond I0 common inquiries 01' complaints from Various levels of Sta IT, regulatory agencies, 01' members of the business coxnmunity. Ability lo wrila and present speethfis. articles for publication that conform to prescribed style and fmmat. Ability tn present information 10 10p management. public groups, and/or Boards of Directors. Ability to apply principles ol‘logic m- scientiflc thinking to a wide range nf intellectual and practical problems as well as deal with a variety of abstraci and concrete variables PHYSICAL REQUIREMENTS The employee is regularly required to sit; use hands and fingers to handle. feel, 0r reach with hands and anus. Able to clearly communicates listen and understand in English. The employee is occasionally required tn stand; walk; climb or balance; and stoop, kneel, crouch, Dr crawl. The employee must occasionally ijt and/or move up t0 25 pounds. Specific Vision abilities required by this job include close vision, distance vision, color visiom peripheral vision, depth perception: and ability 10 adjust focus. While performing the duties ol‘ this job, the employee is regularly exposed to risks associated with travel between buildings and hack and forth to other areas as may be required due to business demands. The employee is occasionally axposed to fumes or airborne pmficles. Able to work with a variety ofWindows Operating systems, including Outlook. Able Io review various tapes and film. LICEN SESIPERMITS San Jose Police Key Employee License. Page 7B SUBMI'I'I'ED TD DGC UBI‘1512016 FS 001016 SJ004276 2) Maintains applicant log, files and track applicants. 3) Reviews paperwork, ensure proper 1-9 materials and authorize drug screen procedure For newly hired employees. 4] Reviews and processes Police Dept. applicafions fur naw hims. 5'} Completes required paperwork for new hires, prepare time sheet and time card and [brw ard Lo appropriate person and issue uniforms. 6) Maintains and processes employment requisitions; assists with reeluitment andjob fairs, 7) Tracks various employment authorizalions and ensure compliance (Police permits, 1-9’3. elc.) 8) Conducts telephone and written reference checks on qualified applicants 9} Prepares, and distributes weekly, a list of open jobs and prepares list for HRDireclor. 10) Consults with department managers a5 to current openings and the status of interviewed candidates. 1 ”Respond t0 Employment verifications. 12) Processes and interviews employees raquesting transfers and maintains appropriate records‘ I3) Process initial state EDD claims. 14) Performs various clerical duties as needed. 1 5] Maintains bulletin boards. 16) Maintains logs to check billings for drug screenings and employment ads. 17) Prepares badge employee termination report for Compliance Director and Police Dcpamncnt. 13) Performs other dmies as may be assigned by repom'ng Director of HR m Executive team. RELATIONSHIPS: INTERNAL All Garden City, Inc. dba Casino Mgtrix employees. EXTERNAL General public, customers of Garden City. Inc. dba Casino MSmx, candidates for empioymenn organizations, consultants, lawyers, government agencies, insurance brokers. banks, payroll services. QUALIFICATIONS: TRAINING AND EXPERIENCE Bachelors Degree in Business Administration or Human Rescumm‘ m equivalent combination of education and experience required with a minimum of 1 year 0f Administration or Human Resources. Page 129 SUBMI‘I‘I’ED TD DGC. 0811512016 FS 002017 SJ004277 KNOWLEDGEISKILLSIABTLITIES Knowledgeable ofHR Labor law practices Ability to read, analyzes, and interprets common scientific and technical journals, financial reports, and various legal documents. Ability t0 respond to common inquiries or complaints from various levels of staff, regulatory agencies, or members of the business community. Ability to write and present speeches, anicles for publication that conform t0 prescribed style and format. Ability t0 present information 10 tap management. public g'oups! and/or boards of directors. Ability to apply principles of logic or scientific thinking l0 a wide range of intellectual and practical problems as well as deal with a vmiety ofabstram and concrcle vafiables. PHYSICAL REQUIREMENTS Employee is regularly required to sit; use hands and fingers to handle, feel, or reach with hands and arms. Able to clearly communicate, listen, and understand in English The employee is occasionally required t0 stand; walk; climb 0r balance; and stoop. kneel. crouch. or crawl. The employee must occasionally lifi andfor move up t0 25 pounds. Specific vision abilities required by this job include clesc vision, distance vision, color vision, pelipheml vision: depth perception, and ability to adjust focus. Employae is regularly expnsed to risks associated with travel between buildings and back and {'0th to other areas as may be required due to business demands. The employee is occasionally exposed to Fumes or airborne particles. The employee may be exposed to the risks associated in attempting to resolve issues with extremely irate 01' difficult guests or staff members. LICENSESWERMITS San Jose Police Work Permit. Page 130 SUBMITTED T0 DGC: 08"1512015 FS 002018 SJ004278 Garden City, Inc. dba Casino M8trix Job Description Human Resources Specialist December 1. 2014 DIVISION: Human Resources FLSA CODE: Exempt EXHIBIT: 12-3 DEPARTMENT: Human Resources JOB CODE: 480500 PAY GRADE: 3-4 REPORTS T0: Director of Human Resources W/C CODE: 88 10 SL‘ PERVISES DIRECTLY: NIA SUPERVISES THROUGH SUBORDINATES: N/A JOB SUMMARY: Assist the department director with the coordination of Human Resource activities, such as empioymem, compensaxion, emptoyeu relations, benefits administration, payroll support services, training, and employee services by meeting goals and objectives personally 0r through subordinate supervisors. UNIQUE JOB REQUIREMENTS: Must be able to interpret, maintain knowledge of. and ensure compliance with all applicable Title |6. Minimum Internal Controi Standards, State Gaming Regulations. and other CitnytatefFedcral lawsfregulations. Must maintain knowledge of and ensure compliance with all Garden City, Inc. dba Casino MSLn'x operating policies} proceduresfpraclices, and internal control protocols. Must possess a great deal 0f tact, above average comm unication skills, ability to work well with both employees and managers. Ability to convey a positive and professional image to applicants and employees. Must be able m maintain strict confidence. Bi-lingual preferred. JOB TASKS: I) Interviews and screens applicants and arrjnnge follow-up interviews with department managers. 2) Maintains applicant log, files and track applicants. Page 131 SUBMITTED TO DGC; 0311512016 FS 002019 SJ004279 3} Reviews paperwork, ensure proper I-9 materials and authorize drug screen procadure for newly hired employees. 4) Reviews and processes Police Dept. applications For new hires. 5) Conducts initial Compliance orientation For new hires and schedule them lbr their Safely orientation. 6) Completes required paperwork for new hires, prepare time sheet and time card and forward Io appropriate person and issue uniforms. 7) Maintains and processes employment requisitions. 8) Tracks various employment amhorizations and ensure compliance (Police permits, 1-9 ‘s, etc) 9) Conducts telephone and written reference checks on qualified applicants. 10) Prepares, and distributes weekly, a list 0f openjobs and prepares list for HR Director. 1.1)Consults with department managers as to current Upcnings and [he status of interviewed candidates. 12) Respond to employment veflfications. 13) Processes and interviews employees requesting transfers and maintains appropriate records. 14) Pmcess initial state EDD claims. 15) Performs various clerical dulies as needed. 16) Maintains bulletin boards, l7) Arranges for monthly administrative birthday party. 18) Maintains logs lo check billings for drug screenings and employment ads. 19) Prepares badge employee termination repon for Compliance Director and Police Department. 20) Relieves receptionist 0f phone responsibility in ordeI to provide rest and meal breaks. 21)Performs other duties as may be assigned by reporting Director of H'R or Executive team. RELATIONSHIPS: INTERNAL All Garden City, Inc. dba Casino MSm'x employees. EXTERNAL Government and Agency officials, job applicants and genera] public through various meetings and organizations. Consultants, Lawyers, Government Agencies, Insuranca Brokers, Banks, Payroll Services. QUALIFICATIONS: Page 132 SUBM‘TTED TO DGC. UBi15I'201E FS 002020 SJ004280 TRAINING AND EXPERIENCE Bachelors Degree "m Businass Administration or Human Resources, or equivalent combination of education and experience required with a minimum 0f 5 years 0f Human Resources or supervisory functions. KNOWLEDGEISKILLSIABLLITIES Knowledge 0f sound HR and Labor law practices. Ability to read. analyzes, and interprets common scientific and technical journals, financial reports, and various legal doeuments. Ability to respond to common inquiries or complaints from various levels of staff, regulatory agencies. or members oflhe business community. Ability t0 write and present speeches. articles for publication that confonn 10 prescribed style and fomlat. Ability to present information t0 lop management, public groups, andJor boards of directors. Ability to apply principles Oflogic or scientific thinking lo a wide range of i ntellectual and practical problems a3 well as deal with a variety of abstract and concrete variables PHYSICAL REQUIREMENTS Employee is regularly required 10 sit; use hands and fingers m handle, feel, or reach with hands and arms. Able t0 clearly communicate: listen, and understand in English. The employee is occa sionally required to stand; walk; climb or balance; and stoop, kneel, crouch, 0r crawl. The employee must occasionally lift and/or move up lo 25 pounds. Specific Vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability t0 adjust focus. Employee is regularly exposed to risks associated with travcl between buildings and back and forth to other areas as may be required due t0 business demands. The employee is occasionally exposed to Fumes or airborne particles. The employee may be exposed 10 the risks associated in attempting 130 resolve issues with extremely irate or difficult guests or staff members. LICENSESITERMITS San Jose Police Work Permit. Page 133 8U BMITTED T0 DGC: 081159016 FS 002021 CAPITAL OF SILICON VALLEY San Jose Police Department Division of Gaming Control KEY EMPLOYEE LICENSE This license certificate is issued pursuant to the requirements of Title 16 of the San Jose Municipal Code.* Francis M. Smallwood License No. 039 Term of this City Key Employee License 3/1/2012-2/28/2014 Job Title: Count Room Manager Garden City, Inc. d.b.a. Casino M8trix 1887 Matrix Blvd. San Jose, CA 95110 Larry Esquivel, Chief of Police * This Certificate only certifies that the Chief of Police has issued a License to the named person or entity. Any conditions, terms, and limitations on this License are set out in the Administrator’s Final Report and Recommendation to the Chief of Police. In the event that this License has been issued after a Licensing Hearing, any conditions, terms, and limitations on this License are set out in the Statement of Decision of the Chief of Police. Licensee shall notify the Division of Gaming Control of the Licensee’s intent to apply for renewal not less than one hundred twenty calendar days prior to the expiration of the License. FS 002022 SJ004281 SAN JOSE POLICE DEPARTMENT DIVISION OF GAMING CONTROL FINAL REPORT ON KEY EMPLOYEE LICENSE APPLICATION APPLICANT: Francis M. Smallwood APPLICATION FOR: KEY EMPLOYEE LICENSE • LOCATION: Garden City, Inc., dba Casino M8trix RECOMMENDATION TO THE CHIEF OF POLICE On February 25, 2012, Mr. Francis M. Smallwood filed a key employee license application with the Division, as a Count Room Manager. On March 14, 2012, a temporary City Key Employee License was issued to Mr. Smallwood. The Division had made a request to the California Gambling Control Commission (“Commission”) and received confirmation that the Commission has issued a State Key Employee License to Mr. Smallwood, which expires on February 28, 2014. Pursuant to SJMC Section 16.32.020 (D) which states, in relevant part, as follows: Notwithstanding any contrary provision of this Chapter regarding licensing procedures, within ten working days after the Gaming Administrator receives written notice from the California Gambling Control Commission that the Commission has issued a state Key Employee License to an Applicant, the Gaming Administrator shall submit a final written report and recommendation to the Chief of Police recommending granting a City issued Key Employee License, with or without limitations and conditions. Also pursuant to SJMC Section 16.32.020 (E) which states as follows: Notwithstanding the California Gambling Control Commission’s issuance of a state key employee license, the Chief of Police retains the authority to place limitations and conditions on the city license pursuant to Section 16.32.160. Based on the foregoing and consistent with public policy, I recommend that the application of Francis M. Smallwood for a Key Employee License at Garden City, Inc., dba Casino M8trix be approved with the following terms, limitations and conditions: FS 002023 SJ004282 APPLICANT: Francis M. Smallwood APPLICATION FOR: KEY EMPLOYEE LICENSE LOCATION: Garden City, Inc., dba Casino M8trix 1. Mr. Smallwood’s City Key Employee License shall be valid only as the Count Room Manager at Garden City, Inc., dba Casino M8trix. 2. Mr. Smallwood shall not begin work in any other position at Garden City, Inc., dba Casino M8trix or at any other Cardroom in San Jose unless and until he/she applies for and receives a written approval from the Chief of Police. 3. Mr. Smallwood shall serve the Division with a true and correct photocopy of any and all notices, executed applications or other written or electronic correspondence or communication sent by the Licensee to either the California Gambling Control Commission or the Bureau of Gambling Control of the California Department of Justice no later than two working days after the Licensee serves the Commission or Bureau. Mr. Smallwood shall serve the Division with a true and correct photocopy of any and all notices, forms, orders, determinations, or other written or electronic correspondence or communication received by the Licensee from either the California Gambling Control Commission or the Bureau of Gambling Control of the California Department of Justice no later than five (5) working days after the correspondence or communication was served upon the Licensee by the Commission or Bureau. 4. The term of this City Key Employee License shall begin on March 1, 2012 and end on February 28, 2014, consistent with the term of the State issued Key Employee License. SAN JOSE POLICE DEPARTMENT DIVISION OF GAMING CONTROL FINAL REPORT ON KEY EMPLOYEE LICENSE APPLICATION ^-27 -13 Date FS 002024 SJ004283 San Jose CAPITAL OF SILICON VALLEY San Jose Police Department Division of Gaming Control KEY EMPLOYEE LICENSE This license certificate is issued pursuant to the requirements of Title 16 of the San Jose Municipal Code.* Francis M. Smallwood License No. 039 City Key Employee License Expiration Date: 2/29/2016 Job Title: Count Room Manager Garden City, Inc. d.b.a. Casino M8trix 1887 Matrix Blvd. San Jose, CA 95110 Larry Esquivel, Chief of Police * This Certificate only certifies that the Chief of Police has issued a License to the named person or entity. Any conditions, terms, and limitations on this License are set out in the Administrator’s Final Report and Recommendation to the Chief of Police. In the event that this License has been issued after a Licensing Hearing, any conditions, terms, and limitations on this License are set out in the Statement of Decision of the Chief of Police. Licensee shall notify the Division of Gaming Control of the Licensee’s intent to apply for renewal not less than one hundred twenty calendar days prior to the expiration of the License. FS 002025 SJ004284 San Jose Police Department DIVISION OF GAMING CONTROL February 21, 2014 VIA U. S. MAIL Francis M. Smallwood 5231 Adalina Ct San Jose, CA 95124 Re; Notice of Final Report and Recommendation on City Key Employee License Application Dear Mr. Smallwood: On September 11, 2013, a City Key Employee License #039, expiring on February 28, 2014, was issued to you. On February 19, 2014 you filed an application with the Division for a Key Employee License as a Count Room Manager. The Division had made a request to the California Gambling Control Commission and received confirmation that you have been issued a state key employee license with a term that will begin on March 1, 2014 and end on February 29, 2016. Pursuant to SJMC, Section 16.32.020 (D), the Administrator submitted the enclosed Final Report and Recommendation to the Chief of Police recommending that a City Key Employee License be granted to you with the specified limitations and conditions. The Administrator's Final Report and Recommendation becomes a final decision, and the license referenced in the enclosed license certificate will become effective, twenty-one calendar days after the date of service noted on the enclosed Proof of Service, unless you file a written request for a license hearing within twenty days of the date of service as more fully described in San Jose Municipal Code Section 16.32.020 (D). If you currently have a City Key Employee license, and you filed a timely application for renewal of that license, the expiration date on your current license will be extended until your new license becomes effective or, if you request a hearing, there is a decision thereafter on your renewal application. (SJMC Section 16.32.190 (D).) CITY OF ^ '-3 SAN JOSE CAPITAL OF SILICON VALLEY 200 East Santa Clara St.,W-251, San Jose, CA 95113 tel (408) 794-1474 fax (408) 298-9768 www.sjpd.org FS 002026 SJ004285 Mr. Francis M. Smallwood Notice of Final Report and Recommendation on City Key Employee License Application February 21, 2014 Page 2 . Please note that you have no right to contest limitations and conditions imposed by the California Gambling Control Commission on your State key employee license that the Administrator has recommended for your City issued Key Employee License. If you have any questions or concerns about this notice or the attached Final Report and Recommendation, please feel free to contact Supervising Auditor Debi Yip at 408 794-1480. Sincerely, Proof of Service CC: Lance Dombroski Scott Hayden Larry Esquivel, Chief of Police (via email only) Steve Dippel, Senior Deputy City Attorney (via email Only) Key Employee Permanent File SJ004286 SAN JOSE POLICE DEPARTMENT DIVISION OF GAMING CONTROL FINAL REPORT ON KEY EMPLOYEE LICENSE APPLICATION APPLICANT: Francis M. Smallwood APPLICATION FOR: KEY EMPLOYEE LICENSE LOCATION: Garden City, Inc., dba Casino M8trix RECOMMENDATION TO THE CHIEF OF POLICE On September 11,2013, a City Key Employee License #039, expiring on February 28, 2014, was issued to Mr. Smallwood. On February 19, 2014, Mr. Smallwood filed a key employee license application again with the Division, as a Count Room Manager after he received a renewed State Key Employee License. The Division has made a request to the California Gambling Control Commission (“Commission”) and received confirmation that the Commission has issued a State Key Employee License to Mr. Smallwood, which expires on February 29, 2016. SJMC Section 16.32.020 (D) states, in relevant part: Notwithstanding any contrary provision of this Chapter regarding licensing procedures, within ten working days after the Gaming Administrator receives written notice from the California Gambling Control Commission that the Commission has issued a state Key Employee License to an Applicant, the Gaming Administrator shall submit a final written report and recommendation to the Chief of Police recommending granting a City issued Key Employee License, with or without limitations and conditions. SJMC Section 16.32.020 (E) states: Notwithstanding the California Gambling Control Commission’s issuance of a state key employee license, the Chief of Police retains the authority to place limitations and conditions on the city license pursuant to Section 16.32.160. Based on the foregoing and consistent with public policy, I recommend that the application of Francis M. Smallwood for a Key Employee License at Garden City, Inc., dba Casino M8trix be approved with the following terms, limitations and conditions: FS 002028 SJ004287 APPLICANT: Francis M. Smallwood APPLICATION FOR: KEY EMPLOYEE LICENSE LOCATION: Garden City, Inc., dba Casino M8trix 1. Mr. Smallwood’s City Key Employee License shall be valid only as the Count Room Manager at Garden City, Inc., dba Casino M8trix. 2. Mr. Smallwood shall not begin work in any other position at Garden City, Inc., dba Casino M8trix or at any other Cardroom in San Jose unless and until he/she applies for and receives a written approval from the Chief of Police. 3. Mr. Smallwood shall serve the Division with a true and correct photocopy of any and all notices, executed applications or other written or electronic correspondence or communication sent by the Licensee to either the California Gambling Control Commission or the Bureau of Gambling Control of the California Department of Justice no later than two working days after the Licensee serves the Commission or Bureau. Mr. Smallwood shall serve the Division with a true and correct photocopy of any and all notices, forms, orders, determinations, or other written or electronic correspondence or communication received by the Licensee from either the California Gambling Control Commission or the Bureau of Gambling Control of the California Department of Justice no later than five (5) working days after the correspondence or communication was served upon the Licensee by the Commission or Bureau. 4. The City Key Employee License shall expire on February 29, 2016, when Mr. Smallwood’s State issued Key Employee License expires. SAN JOSE POLICE DEPARTMENT DIVISION OF GAMING CONTROL FINAL REPORT ON KEY EMPLOYEE LICENSE APPLICATION FS 002029 SJ004288 CITY OF san Jose CAPITAL OF SILICON VALLEY San Jose Police Department Division of Gaming Control KEY EMPLOYEE LICENSE This license certificate is issued pursuant to the requirements of Title 16 of the San Jose Municipal Code.* Francis M. Smallwood License No. 039 City Key Employee License Expiration Date: 2/29/2016 Job Title: Compliance Director Garden City, Inc. d.b.a. Casino M8trix 1887 Matrix Blvd. San Jose, CA 95110 * This Certificate only certifies that the Chief of Police has issued a License to the named person or entity. Any conditions, terms, and limitations on this License are set out in the Administrator’s Final Report and Recommendation to the Chief of Police. In the event that this License has been issued after a Licensing Hearing, any conditions, terms, and limitations on this License are set out in the Statement of Decision of the Chief of Police. Licensee shall notify the Division of Gaming Control of the Licensee’s intent to apply for renewal not less than one hundred twenty calendar days prior to the expiration of the License. FS 002030 SJ004289 SAN JOSE POLICE DEPARTMENT DIVISION OF GAMING CONTROL FINAL REPORT ON KEY EMPLOYEE LICENSE APPLICATION APPLICANT: Francis M. Smallwood APPLICATION FOR: KEY EMPLOYEE LICENSE LOCATION: Garden City, Inc., dba Casino M8trix RECOMMENDATION TO THE CHIEF OF POLICE On March 3, 2014, a City Key Employee License #039, expiring on February 29, 2016, was issued to Mr. Smallwood as the Count Room Manager. On October 14, 2014, Mr. Smallwood submitted an application to the Division for a City key employee license as the Compliance Director. The California Gambling Control Commission (“Commission”) issued a State Key Employee License to Mr. Smallwood, which expires on February 29, 2016. San Jose Municipal Code (“SJMC”) Section 16.32.020 (D) states, in relevant part: Notwithstanding any contrary provision of this Chapter regarding licensing procedures, within ten working days after the Gaming Administrator receives written notice from the California Gambling Control Commission that the Commission has issued a state Key Employee License to an Applicant, the Gaming Administrator shall submit a final written report and recommendation to the Chief of Police recommending granting a City issued Key Employee License, with or without limitations and conditions. SJMC Section 16.32.020 (E) states: Notwithstanding the California Gambling Control Commission’s issuance of a state key employee license, the Chief of Police retains the authority to place limitations and conditions on the city license pursuant to Section 16.32.160. Based on the foregoing and consistent with public policy, I recommend that the application of Francis M. Smallwood for a Key Employee License at Garden City, Inc., dba Casino M8trix be approved with the following terms, limitations and conditions: FS 002031 SJ004290 SAN JOSE POLICE DEPARTMENT DIVISION OF GAMING CONTROL FINAL REPORT ON KEY EMPLOYEE LICENSE APPLICATION APPLICANT: Francis M. Smallwood APPLICATION FOR: KEY EMPLOYEE LICENSE LOCATION: Garden City, Inc., dba Casino M8trix 1. Mr. Smallwood’s City Key Employee License shall be valid only as the Compliance Director at Garden City, Inc., dba Casino M8trix. 2. Mr. Smallwood shall not begin work in any other position at Garden City, Inc., dba Casino M8trix or at any other Cardroom in San Jose unless and until he applies for and receives a written approval from the Chief of Police. 3. Mr. Smallwood shall serve the Division with a true and correct photocopy of any and all notices, executed applications or other written or electronic correspondence or communication sent by the Licensee to either the California Gambling Control Commission or the Bureau of Gambling Control of the California Department of Justice no later than two working days after the Licensee serves the Commission or Bureau. Mr. Smallwood shall serve the Division with a true and correct photocopy of any and all notices, forms, orders, determinations, or other written or electronic correspondence or communication received by the Licensee from either the California Gambling Control Commission or the Bureau of Gambling Control of the California Department of Justice no later than five (5) working days after the correspondence or communication was served upon the Licensee by the Commission or Bureau. 4. The City Key Employee License shall expire on February 29, 2016, when Mr. Smallwood’s State issued Key Employee License expires. FS 002032 SJ004291 Chapter 4.77 - CARDROOM TAX 4.77.010 - Purpose and intent. This chapter is enacted solely to raise revenue for municipal purposes and is not intended for regulation. (Ord. 24037.) 4.77.020 - Definitions. For the purpose of this chapter, the words and phrases used in this chapter shall have the meaning ascribed to them in Title 16 of this Code unless they are specifically defined in this chapter or unless the context clearly requires to the contrary: A. "Average number of employees" means the average number of employees employed in the city in the applicant's business in the one year immediately preceding the commencement of the year for which the tax is being collected, and shall be determined in accordance with the provisions of Section 4.76.030 and 4.76.040 of the San Jose Municipal Code. B. "Employee" means each and every person engaged in the operation or conduct of any business, whether as owner, member of the owner's family, partner, associate, agent, manager or solicitor, and each and every other person employed or working in such business for a wage, salary, commission or room and board or any other remuneration. C. "Permittee" means a person who has been issued a cardroom permit under Title 16 of this Code. (Ord. 24037.) 4.77.030 - Payment of tax. A. Each permittee operating a cardroom shall pay an annual minimum tax of one hundred fifty dollars per year, plus an additional tax in the amount of eighteen dollars per employee based on the average number of employees, not to exceed a maximum of twenty-five thousand dollars (hereinafter the "base tax"). B. In addition to the base tax, each permittee operating a cardroom with total annual gross revenues in excess of ten thousand dollars shall pay a monthly tax in an amount equal to fifteen percent of total monthly gross revenues. (Ords. 24037, 24142, 24519, Measure K (Ord. 2010.1), adopted by electorate, 6-8-10.) 4.77.040 - Statement of revenue. A. The permittee shall file a statement, under penalty of perjuny, showing the true and correct amount of gross revenue derived from the card game business subject to the permit for the preceding calendar month with the city finance director before the tenth day of each calendar month. B. Such statement shall be accompanied by the payment of the correct amount of taxes imposed hereunder due and owing in accordance with the provisions of Section 4.77.030, as applicable. (Ord. 24038.) Page 1 FS 002033 SJ004292 4.77.050 - Audit of reports. A. The city shall have the right to audit the matters referred to in the statement and to determine the correctness of the figures set forth in such statement and the amount payable to the city pursuant to the provisions of Section 4.77.050. B. The books, records and accounts of any permittee may be inspected and audited by the city. C. Such an inspection and audit may be performed by the director of finance, city auditor or a qualified accountant or city official who shall be selected by the director of finance. D. Any failure or refusal of any permittee to make and file any statements as required within the time required, or to pay such sums by way of taxes when the same are due and payable in accordance with the provisions of this chapter, or to permit such inspection of such books, records and accounts of such permittee shall be and constitute full and sufficient grounds for suspension or revocation of any cardroom permit issued to the permittee pursuant to Title 16 of this Code. (Ord. 24038.) 4.77.060 - Payment - Time limits. A. All taxes imposed by this chapter shall be due and payable as follows:(1) in the case of the base tax, annually on the first day of the calendar quarter in which the tax was first paid; (2) in the case of monthly taxes, on the tenth day of the month immediately following the month for which the tax is payable. B. In the case of a cardroom which is discontinued, dissolved or otherwise terminated before the expiration of a tax period, the due date for any taxes accrued and owing to the city under the provisions of this chapter shall be the date of termination of the cardroom business. (Ord. 24038.) 4.77.070 - Payments and communications made by mail. A. Whenever any payment, statement, report, request or other communication received by the director of finance is received after the time prescribed by this chapter for the receipt thereof, but is in an envelope bearing a postmark showing that it was mailed prior to the time prescribed in this chapter for the receipt thereof, the director of finance may regard such payment, statement, report, request or other communication as having been timely received. B. If the due day falls on Saturday, Sunday or a holiday, the due day shall be the next regular business day on which city hall is open to the public. (Ord. 24038.) 4.77.080 - When taxes deemed delinquent. Unless otherwise specifically provided under other provisions of this chapter, all taxes required to be paid pursuant to this chapter shall be deemed delinquent if not paid on or before the due date specified in Section 4.77.060. (Ord. 24038.) 4.77.090 - Notice not required by city. Page 2 FS 002034 SJ004293 The director of finance is not required to send a delinquency or other notice or bill to any person subject to the provisions of this chapter, and failure to send such notice or bill shall not affect the validity of any tax, interest or penalty due under the provisions of this chapter. (Ord. 24038.) 4.77.100 - Penalty and interest for delinquency. In addition to any other penalties or fines, civil or criminal, any person who fails or refuses to pay any tax required to be paid pursuant to this chapter on or before the due date shall pay, in addition to the tax, penalties and interest as follows: A. A penalty equal to ten percent of the amount of the unpaid tax in addition to the amount of the tax, plus interest on the unpaid tax calculated from the due date of the tax at a rate established by resolution of the city council; and B. An additional penalty equal to twenty-five percent of the amount of the tax if the unpaid tax remains unpaid for a period exceeding one calendar month beyond the due date, plus interest in the unpaid tax and penalties calculated at the rate established by resolution of the city council. (Ord. 24038.) 4.77.110 - Rules and regulations; apportionment. For purposes of apportionment of the tax as may be required by law and for purposes of administration and enforcement of this chapter generally, the director of finance may from time to time promulgate administrative rules and regulations. (Ord. 24038.) 4.77.120 - Tax deemed debt to city. The amount of any tax, penalties and interest imposed by the provisions of this chapter shall be deemed a debt to the city, and any permittee carrying on any business without having paid the tax under this chapter to the city shall be liable to an action in the name of the city in any court of competent jurisdiction for the amount of the tax, and penalties and interest imposed on such business. (Ord. 24038.) 4.77.130 - Deficiency determinations. A. If the director of finance is not satisfied that any statement filed as required under the provisions of this chapter is correct, or that the amount of tax is correctly computed, the director may compute and determine the amount to be paid and make a deficiency determination upon the basis of the facts contained in the statement or upon the basis of any information in the director's possession or that may come into the director's possession. B. One or more deficiency determinations of the amount of tax due for a period or periods may be made. C. When a person discontinues engaging in a cardroom business, a deficiency determination may be made at any time within three years thereafter as to any liability arising from engaging in such business whether or not a deficiency determination is issued prior to the date the tax would otherwise be due. D. Whenever a deficiency determination is made, a notice shall be given to the person concerned in the same manner as notices of assessment are given under Section 4.77.140. Page 3 FS 002035 SJ004294 (Ord. 24038.) 4.77.140 - Tax assessment; nonpayment; fraud. A. Under any of the following circumstances, the director of finance may make and give notice of an assessment of the amount of tax owed by a person under this chapter: 1. If the person has not filed any statement or return required under the provisions of this chapter; 2. If the person has not paid any tax due under the provisions of this chapter; 3. If the person has not, after demand by the director of finance, filed a corrected statement or return, or furnished to the director of finance adequate substantiation of the information contained in a statement or return already filed, or paid any additional amount of tax due under the provisions of this chapter; 4. If the director of finance determines that the nonpayment of any tax due under this chapter is due to fraud, a penalty of twenty-five percent of the amount of the tax shall be added thereto from the date the tax is due in addition to penalties and interest otherwise stated in this chapter. B. The notice of assessment shall separately set forth the amount of any tax known or estimated by the director of finance to be due, after full consideration of all information within his or her knowledge concerning the cardroom business and activities of the person assessed and shall include the amount of any penalties or interest accrued on each amount to the date of the notice of assessment. (Ord. 24038.) 4.77.150 - Tax assessment; notice requirements. The notice of assessment shall be served upon the permittee either by handing it to the permittee personally, or by a deposit of the notice in the United States mail, postage prepaid thereon, addressed to the permittee at the address of the location of the business appearing on the face of the permit issued under Title 16 to the permittee or to such other address as he or she shall register with the director of finance for the purpose of receiving notices provided under this chapter. For the purposes of this section, a service by mail is complete at the time of deposit in the United States mail. (Ord. 24038.) 4.77.160 - Tax assessment; hearing. A. Within ten days after the date of service, the person may apply in writing to the director of finance for a hearing on the assessment. B. If application for a hearing before the director of finance is not made within the time herein prescribed, the tax assessed by the director of finance shall become final and conclusive. C. Within thirty days of the receipt of any such application for hearing, the director of finance shall cause the matter to be set for hearing before him or her not later than thirty days after the date of application, unless a later date is agreed to by the director of finance and the permittee requesting the hearing. D. Notice of such hearing shall be given by the director of finance to the permittee requesting such hearing not later than five days prior to such hearing. At such hearing said permittee may appear and offer evidence why the assessment as made by the director of finance should not be confirmed and fixed as a tax. E. After such hearing the director of finance shall determine and reassess the proper tax to be charged and shall give written notice thereof to the permittee in the manner prescribed in Section 4.77.140 for giving notice of assessment. Page 4 FS 002036 SJ004295 (Ord. 24038.) 4.77.170 - Conviction for chapter violation; taxes not waived. A. The conviction and punishment of any person for failure to pay the required tax shall not excuse or exempt such person from any civil action for the tax debt unpaid at the time of such conviction. B. No civil action shall prevent a criminal prosecution for any violation of the provisions of this chapter or of any state law requiring the payment of all taxes. (Ord. 24038.) 4.77.180 - Amendment or repeal. Chapter 4.77 of Title 4 of the San Jose Municipal Code may be repealed or amended by the city council without a vote of the people. However, as required by Chapter XI11C of the California Constitution, voter approval is required for any amendment provision that would increase the rate of any tax levied pursuant to this section. The people of the City of San Jose affirm that the following actions shall not constitute an increase of the rate of a tax: A. The restoration of the rate of the tax to a rate that is no higher than that set by this section, if the city council has acted to reduce the rate of the tax; B. An action that interprets or clarifies the methodology of the tax, or any definition applicable to the tax, so long as interpretation or clarification (even if contrary to some prior interpretation or clarification) is not inconsistent with the language of this section; C. The establishment of a class of person that is exempt or excepted from the tax or the discontinuation of any such exemption or exception (other than the discontinuation of an exemption or exception specifically set forth in this section); or D. The collection of the tax imposed by this section, even if the city had, for some period of time, failed to collect the tax. (Measure K (Ord. 2010.1), adopted by electorate, 6-8-10.) Page 5 FS 002037 SJ004296 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 2 0 21 22 23 24 25 INTERVIEW: Chip count THE INTERVIEWER: Okay. It is July 7th, 11:25 a.m., Officer Ramos here speaking with new cage manager Hector Aialla. THE WITNESS: Ayala (phonetic). THE INTERVIEWER: Sorry. I am bad with pronunciation and stuff like that. So when did you receive your internal license from the state? Do you remember ? THE INTERVIEWEE: Probably about I am going with something like that, yeah, June, June 4th, something around there. THE INTERVIEWER: June 4th. Did you notify Casino M8trix right away once you received it? THE INTERVIEWEE: Probably like couple days later when I got in. THE INTERVIEWER: Who did you notify? THE INTERVIEWEE: My supervisor Frank Smallwood. THE INTERVIEWER: Frank Smallwood is your supervisor? THE INTERVIEWEE: Yes, my supervisor. THE INTERVIEWER: Frank Smallwood? THE INTERVIEWEE: Uh-huh. THE INTERVIEWER: The compliance director? THE INTERVIEWEE: Uh-huh, yeah. 1 Salois & Associates (408) 279 3376 FS 002038 SJ004297 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWER: Did you notify anybody else? THE INTERVIEWEE: No . THE INTERVIEWER: Did you talk to a Carol Lambert ? THE .INTERVIEWEE: I talk to her later, but I mean not right away. I don't think so. Everything was through Frank at the moment. THE INTERVIEWER: Everything is through Frank? THE INTERVIEWEE: Through Frank, yes. THE INTERVIEWER: Did you talk to anybody else? Do you report to anybody else? THE INTERVIEWEE: Maybe another, I called the other day, from Alan. THE INTERVIEWER: Alan Kakimoto? THE INTERVIEWEE: Yes. THE INTERVIEWER: What did he te 11 you? THE INTERVIEWEE: Because Frank was on vacation When Frank is not availabl e I have to rep ort to him. THE INTERVIEWER: Does anybody e 1 s e report to Frank? THE INTERVIEWEE: Probably the r est of the crew from the coun t room only. THE INTERVIEWER: From the count room only? THE INTERVIEWEE: Yes, because r ight now we are still in the process to ge t familiar with the system and Salois & Associates - (408) 279-3376 FS 002039 SJ004298 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 everything so, you know. THE INTERVIEWER: are there now with you guys THE INTERVIEWEE: with myself, and we are in one . THE INTERVIEWER: names out. Let me know if they are currently -- a lot pronounce. THE THE this Antenna THE THE Hay (pho INTERVIEWEE: INTERVIEWER: Worta (phoneti INTERVIEWEE: INTERVIEWER: Was s an correct ? THE INTERVIEWEE: THE INTERVIEWER: (phonetic)? THE INTERVIEWEE: THE INTERVIEWER: How about a Phon Reels (pho THE INTERVIEWEE: THE INTERVIEWER: (phonetic) ? Right. How many chip counters ? Right now we are 2, 3, 4, 5 the process to hire another Okay. I am going to give some they still work there or if of their names are hard to netic)? Wassan Hay. He is there. Okay. Obviously c), he is gone. He's gone. He was the prior manager, Yes, correct. How about Samora Yuth Still there. Hector Ayala. That is you. netic)? Still there. And a Roje' Adelsanay 3 Salois-& Associates - (408) 279-3376 FS 002040 SJ004299 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWEE: No. He is not there. He is in the cage, but he is not in the counter. There is a new guy . THE INTERVIEWER : Paul Guevara ? THE INTERVIEWEE : Yes. He is the new hire. THE INTERVIEWER : So it is just -- you guys are the only four ? That is f our ? THE INTERVIEWEE : Four. THE INTERVIEWER : I am sorry, 5, 1, 2, 3, 4, 5? THE INTERVIEWEE : Uh-huh. THE INTERVIEWER : Five including yourself? THE INTERVIEWEE : Uh-huh. THE INTERVIEWER : Is there anybody else in the works that is in the pipeline that is going to get hired? THE INTERVIEWEE: Right now we are still in the process of hiring someone. I guess we hired somebody this morning, but he didn't show the guy. But I know that the other comments from the crew we need to hire some guy because we are working too many overtime so. THE INTERVIEWER: Okay. Let's go back to Frank Smallwood. So he is your supervisor. So anything that happens regarding the cage or anything like that gets reported to him? THE INTERVIEWEE: Umm. THE INTERVIEWER: Not the cage, the count room. 4 Salois & Associates - (408) 279-3376 FS 002041 SJ004300 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 if he is there, yeah, I call him and let him know. But you know, with each incident that happens two months ago in May. THE INTERVIEWER: Regarding Antenna? THE INTERVIEWEE: I approached to this shift manager at the moment on the floor. THE INTERVIEWER: The casino shift manager. THE INTERVIEWEE: Shift manager, yes. THE INTERVIEWER: That was Val, right? THE INTERVIEWEE: Yes. THE INTERVIEWER: Okay. THE INTERVIEWEE: Casino, at the moment I wasn't sure how to handle it or, you know, which of the say. I was not hundred percent sure either to bring up something that, I wasn't hundred percent sure what he was doing. I just see he doing kind of wait for me. So I approaching him, you know, how I see things in the count room so. THE INTERVIEWER: So when you got your state license, interim license, you notified Frank, correct? THE INTERVIEWEE: Yes, pretty much. THE INTERVIEWER: Did you notify anybody else or was it just Frank? THE INTERVIEWEE: Just Frank to my knowledge, yes . THE INTERVIEWEE: Pretty much, yes. I would say Salois & Associates - (408) 279-3376 FS 002042 SJ004301 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE that one. Be house . Sol kind of lette THE thought here. time, were yo THE was in the pr these things too. So we w handed and pe he is in char THE THE THE was in charge THE the moment. THE THE on we have a the position They offer me THE INTERVIEWEE: Because he asked me if I got cause that one I think was delivered to my was expecting letter, but I wasn't sure what r. So I let him know, yeah. INTERVIEWER: Okay. Just lost my train of When you notified Frank were you at that u now acting as the count chip manager? INTERVIEWEE: Not 100 percent because still I INTERVIEWER: Just Frank. oce s s to get familiar with the sy stem and a 11 I have to do . He has been pretty much busy anted him to come in and since we were shor t ople, s o, you know, best thing is pretty mu ch ge . INTERVIEWER: INTERVIEWEE: INTERVIEWER: of the count INTERVIEWEE: He was in charge. Yes. So as soon Antenna was gone who room? At the moment Frank is still at INTERVIEWER: Frank is and still is. INTERVIEWEE: Yes. He was, yes. From then meeting. I sit down with him. They offer me to me. But I don't remember what day it was. the position which I accept it, you know. 6 Salois & Associates - (408) 279-3376 FS 002043 SJ004302 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 But Frank is still in charge because since I am new and I have to learn a few things, so pretty much he was in charge, yes. THE INTERVIEWER: Okay. I am going to go back to on - where is the E-mail. Okay. I was E-mailed on June 25th, a Thursday, by one of the surveillance people. This is what they tell me. They say at 1328 hours which is military time for 1:28 p.m. it says that the surveillance was notified by the count room that a count room counter was feeling ill and needed to leave the count room. Security officer replaced -- THE INTERVIEWEE: That is correct. I was there, ye s THE INTERVIEWER: So this count happened at 1:28; is that right? THE INTERVIEWEE: Around that time, yes. It was the second count. I was there. I just have a discussion with them. I spoke to them right now because I went to the office right now. They were talking about, you know, how to handle when the key, when somebody needs to leave the room at the moment because they had an incident right now . So they told me now they have to collect all the keys, put them in the box we have there and everybody has to step out of the count room. In the mean time I 7 Salois & Associates - (408) 279-3376 FS 002044 SJ004303 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 approached them about this incident, which my, one of my co-workers or my employees, he was really wasn't feeling good. THE INTERVIEWER: Do you remember his name? THE INTERVIEWEE: Phon Reed. THE INTERVIEWER: Got it. THE INTERVIEWEE: He doesn't feel good. He needs to leave . I t took awhile , maybe like ten minutes or maybe little more. THE INTERVIEWER: Who did you notify? THE INTERVIEWEE: Surveillance. Usually we cal 1 the surveillance. THE INTERVIEWER: Do you remember who you talked t o ? Female or male? THE INTERVIEWEE: It was a male. THE INTERVIEWER: Rob Berry. THE INTERVIEWEE: Maybe Dennis, Dennis. THE INTERVIEWER: Dennis . THE INTERVIEWEE: Yeah . THE INTERVIEWER: I think I know Dennis. THE INTERVIEWEE: I think it was almost hundred percent sure it was him. I reported to him even couple times becaus e this guy he looked like he didn't feel good . THE INTERVIEWER: You called couple times then? THE INTERVIEWEE: Yes. He wants to leave. That 8 Salois & Associates - (408) 279-3376 FS 002045 SJ004304 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 is why - that is the discussion to him right now because he is uncomfortable for me to see this guy. Kind of he wants to fall. The shift manager who was in charge at the moment, I don't remember who was it -- THE INTERVIEWER: If I give you a name would you know him by name or just - THE INTERVIEWEE: I believe Eddie because I spoke to someone on the floor. I don't know who was in charge. I know he can't open the door. THE INTERVIEWER: Eric? Eric Harris? THE INTERVIEWEE: Yes. THE INTERVIEWER: Okay. THE INTERVIEWEE: So they came into the count room until they found someone to replace him so they don't have to go back and forth, you know. THE INTERVIEWER: Right, right. THE INTERVIEWEE: So -- and this guy wasn't feeling good. So you know what, when this approaches how can I handle this. He needs to go out. So they mention next time just collect all the keys and just leave. Call them and you just have to go. You cannot keep waiting for a replacement. THE INTERVIEWER: Right. THE INTERVIEWEE: You know. So that is what happened, you know. 9 Salois & Associates - (408) 279-3376 FS 002046 SJ004305 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 in -- THE INTERVIEWER: Now, whose idea was it to bring THE INTERVIEWEE: The new guy? THE INTERVIEWER: Yeah . THE INTERVIEWEE: (Unintelligible). THE INTERVIEWER: You have no idea who made that THE INTERVIEWEE: No. Since he wasn't here I am decision? inside, I told Frank call Samora. He is the closest one We don't have nobody available anymore. I said call Samora to see if he can come in. That is how we handle it, you know. Since -- basically they have it that way. We call chip manager. They were in charge to bring s omeone. THE INTERVIEWER : Shift manager. THE INTERVIEWEE : Yeah, or security. They decide because we are inside. We don't know what is going on, you know, outside. THE INTERVIEWER: Did you ever question why they would bring in a security person? THE INTERVIEWEE: At the moment, no. I didn't question. The only thing I said was - THE INTERVIEWER: Was he wearing a jump suit? THE INTERVIEWEE: No. THE INTERVIEWER: He was wearing just regular 10 Salois & Associates - (408) 279-3376 FS 002047 SJ004306 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 security outfit? THE INTERVIEWEE: Secur there, yes. I ask him - becaus there everything goes exactly th He is the -- because Frank is -- it, you know, from the beginning THE INTERVIEWER: Do yo security officer? THE INTERVIEWEE: I don believe was a tall guy who was o Bald guy too. THE INTERVIEWER: S e cur o f ficer that helped count the ch THE INTERVIEWEE: His n Ye s . That i s the one we jump in THE INTERVIEWER: S o th very tall director of security? THE INTERVIEWEE: That outside. Because when they open thing I see. My employee step o when they opened the doors. He there. He went home. THE INTERVIEWER: Okay, shift was done did they - did a down on the security officer sin Salois~& Associates - ity outfit. He jump in e usually when Frank is e way, by the book, ABC. that is how I understand u remember the name of the ' t know his name, but I n the security. Tall guy. ity officer. The security ips . ame is Jose Hernandez, there. e security guy was the was that guy, Eddie Harris ed it that is the only ut . The other one came in wen t out. We stayed Did they - after the nybody perform like a pat ce he wasn't wearing the 11 (408) 279-3376 FS 002048 SJ004307 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 jump suit? Did they check his pockets or anything like tha t ? THE INTERVIEWEE: No, no. Probably since the incident that happened before with the other guy sometimes he joke around, you know, like outside I go check your pockets. We don't have pockets. Like sometimes like jokes like that. So probably couple times he just like joking "check me," you know. But not really. THE INTERVIEWER: Okay. So you don't know whether or not, you don't know if somebody above Eric Harris was notified? THE INTERVIEWEE: No. THE INTERVIEWER: Because you were in the room the whole time? THE INTERVIEWEE: Yes. THE INTERVIEWER: It was Eric Harris there was the security director. His name is Stepanopovich or something like that. THE INTERVIEWEE: Probably, yeah. I and also Greg didn't pay attention to his name, yeah. THE INTERVIEWER: will show a picture inside picture and see if that is happened before where they counter to count the chips? Okay. Let me. see if I can - I the -- in there. I will pull a the guy. Okay. Has this ever used somebody other than a chip 12 Salois & Associates - (408) 279-3376 FS 002049 SJ004308 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWEE: Yes. It happened. Yes . I believe on a Monday. THE INTERVIEWER: The Monday prior? THE INTERVIEWEE: It happened the Monday. THE INTERVIEWER: Monday prior. What happened? THE INTERVIEWEE: The guy didn't show up. F or some reason he called sick Since we short of people r Antenna was gone, one of the other persons was out f o r a month. He supposed to come back next Monday. S o we didn't have nobody to call The shift manager at the moment and the security lead, they say to put one of the security guy s inside. He went to get a suit at the t ime THE INTERVIEWER: He put on a suit. THE INTERVIEWEE: Yeah . THE INTERVIEWER: Do you remember what his n ame was ? THE INTERVIEWEE: I believe Juan Cortez. THE INTERVIEWER: Juan Cortez. THE INTERVIEWEE: Yes. THE INTERVIEWER: That was the Monday prior to this Thursda y? THE INTERVIEWEE: Yes, yes . THE INTERVIEWER: What shift was it? THE INTERVIEWEE: Same time, first count. THE INTERVIEWER: About - what time. 13 Salois & Associates - (408) 279-3376 FS 002050 SJ004309 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWEE:: First time is seven o ' clock. THE INTERVIEWER:: So that happened at 7 : 00 a.m.? THE INTERVIEWEE:: Yeah. So he work all day . THE INTERVIEWER:: Okay. Do you remember which wa s supposed to work but he called in s i ck? THE INTERVIEWEE:: Samora. THE INTERVIEWER: Was it Samora? THE INTERVIEWEE: Yes. He is the one wh o called sick. THE INTERVIEWER: Has that ever happened, I mean that is the second time. Did it happen before? THE INTERVIEWEE: Probably happened, but just we call by ourselves. I never seen in such short time so many things happen. Especially since now the incident. But usually we call each other. Hey, can you call me. But we never called somebody outside. THE INTERVIEWER: Right, right. I am asking other than these two has there ever been an incident where somebody outside the chip count was actually in there counting chips? This time it was security officers. What has there been a third time where a security officer or anybody else outside? THE INTERVIEWEE: Let me think. No. I think that is it. THE INTERVIEWER: So these are the only two? 14 Salois & Associates - (408) 279-3376 FS 002051 SJ004310 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWEE: Only two. THE INTERVIEWER: Got it. THE INTERVIEWEE: Yeah . THE INTERVIEWER: And do you remember who the shift manager was at - I mean who made that call? Do you remember that Monday? THE INTERVIEWEE: That Monday was, his name i s, I believe, Ken . I don't know his last name. Ken Louie or . THE INTERVIEWER: Ken Louie? THE INTERVIEWEE: He was in charge. I believe he leaves u sually around that time. He was in charge to open the door , along with Alfon so Mongaro. THE INTERVIEWER: He is a security lead. THE INTERVIEWEE: Security, yeah. They were the only two at the moment. THE INTERVIEWER: Who did you call? THE INTERVIEWEE: I didn't call nobody. Usua iiy they took the decision. Because I was in the process to THE INTERVIEWER: So you had an idea that someone was -- so they made the decision to bring in security guy. THE INTERVIEWEE: Because when I got there they told me he called already. He called already. He knows we only -- you know, have three people for that day. Sometimes we are four. 15 Salois & Associates - (408) 279-3376 FS 002052 SJ004311 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWEE: No. He was still on vacation. THE INTERVIEWER: What about Alan Kakimoto? THE INTERVIEWEE: He wasn't there. THE INTERVIEWER: He wasn't there. So Ken Louie was the top guy there? THE INTERVIEWER: Was Frank still on vacation? THE INTERVIEWEE: At the moment. THE INTERVIEWER: Do you know if Ken Louie made a call to anybody? THE INTERVIEWEE: I don't know. Right there, on the spot, maybe through surveillance. THE INTERVIEWER: That is where they do their thing. THE INTERVIEWEE: Yeah. THE INTERVIEWER: Okay. When does Frank come back from vacation? THE INTERVIEWEE: He came last Friday. He was on Friday, yeah, because usually nobody was working. I saw him there. THE INTERVIEWER: So would it be safe to say now you are act in g as the count room manager? THE INTERVIEWEE: No . We can say that, yes. THE INTERVIEWER: When did you first start working at that capacity? THE INTERVIEWEE: Probably maybe a week ago like, 16 Salois & Associates - (408) 279-3376 FS 002053 SJ004312 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 you know, like 100 percent Still I have to go -- I still in the process - that working on that, yeah. THE INTERVIEWER: ■ Who do you report to now? THE INTERVIEWEE: I believe Frank. THE INTERVIEWER: You still report to Frank? THE INTERVIEWEE: Frank. THE INTERVIEWER: How often do you deal with Frank? He is back -- THE INTERVIEWEE: Like today because we are hiring a new person but and see a new problem for the time card and clicking all the system so right now maybe in the next, I would say in the next month maybe 2, 3 times a week I see him. THE INTERVIEWER: Count room, is this -- THE INTERVIEWEE: Not count room. Other than that, no. Like talking about the count room, no. Basically I don't speak too much about the count room. Just getting in the process about - right now they are putting in place a new way to clock in and clock out. THE INTERVIEWER: Okay. THE INTERVIEWEE: So all these little things that have to attend and -- I have couple letters that I have to send to, who it was, I just have E-mails from just because they just say my E-mail last week. So that is why I sent them in maybe from the last week to now start getting 17 Salois & Associates - (408) 279-3376 FS 002054 SJ004313 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 more really taking over the place. THE ever reported THE last time tha him. THE THE THE week and mayb the other chi would come to THE now, yes. THE THE THE you ever cont THE THE THE THE know what Fra THE THE to Alan Kakimoto? INTERVIEWER: How often did you - have you INTERVIEWEE:: Not really at all until the t he called about the three o f us speak to INTERVIEWER: INTERVIEWEE: INTERVIEWER: e even prior p counters, you ? INTERVIEWEE: You don't sp Not very muc So pretty mu would it be f if they ever h eak to him at all? h, no . ch for t h e last air to s a y that all ad an i s s ue they They would come to me right INTERVIEWER: You would contact Frank? INTERVIEWEE: Frank, yes, correct, yes. INTERVIEWER: You would never contact -- have acted Alan Kakimoto yourself? INTERVIEWEE: No . INTERVIEWER: No? INTERVIEWEE: No . INTERVIEWER: Who told you, I mean do you nk Smallwood' s official title is? INTERVIEWEE: No . INTERVIEWER: What made you - - who told you 18 Salois & Associates - (408) 279-3376 FS 002055 SJ004314 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 that you had to report to him? me see if I can help. I took my -- picture on the THE INTERVIEWEE: When they see the what's -- let wa s in charge and everything I believe his name So I believe he is still in charge. THE INTERVIEWER: You have t hat picture? THE INTERVIEWEE: Let's see . That is it for me. ur e other program so when pe ople call me. THE INTERVIEWER: Is it post ed somewhere? THE INTERVIEWEE: It is not posted, no. THE INTERVIEWER: Where did you take the picture from? THE INTERVIEWEE: From the computer. When we log into the computer program I check my hours and all that stuff it shows there. Everybody is able to see it. But I took a picture for something. I don't remember. THE INTERVIEWER: Is it still there? THE INTERVIEWEE: Oh, yeah, it should be there, yeah. I don't remember my password. THE INTERVIEWER: Let me get something real quick. See if you can dig it up while I am not here. (Silence) THE INTERVIEWER: It is not there? THE INTERVIEWEE: No. THE INTERVIEWER: Not a big deal. What are the 19 Salois~ & Associates --(408) 279-3376 FS 002056 SJ004315 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 days that you usually work? THE INTERVIEWEE: Right now I was - I been working six days . THE INTERVIEWER: Six days ? THE INTERVIEWEE: And today i s supposed to be my day off only Tuesday right now. THE INTERVIEWER: How often do you work with the same guys? THE INTERVIEWEE: Pretty much every day because it is small room. We work for four people, three - during the week is four now. Eventually five. Four on the weekends. So basically one guy is only off pretty much on the crew all the time. THE INTERVIEWER: So it would be pretty safe to say that you are working with the s ame guys four like consecutive days in a row all the t ime ? THE INTERVIEWEE: At least three days. At least THE INTERVIEWER: At least So it could be 4 or 5? THE INTERVIEWEE: At least four. Minimum four. At the most, I am sorry, at the most, yes. They have to take two days off. I have to take two days off. But this month since we are short people. I am working six. But next week or maybe next month -- THE INTERVIEWER: Now when you guys work a shift, 20 Salois & Associates - (408) 279-3376 FS 002057 SJ004316 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 you are working the entire day, right? THE INTERVIEWEE: Yes. THE INTERVIEWER: So you are counting all three count s. THE INTERVIEWEE: From the seven to I think we finish there is around four or five o'clock. THE INTERVIEWER: Got it. All right. I think that is all the questions that I have right now. THE INTERVIEWEE: Just to say all this is I am not really aware of all this. Even when Frank handed over me the position I accepted, right. But when I got all the information that I have to figure out, the city, for the money I want to making. For me it is too stressful. as . THE INTERVIEWER: How much are they paying you? THE INTERVIEWEE: $18, you know. THE INTERVIEWER: As a shift manager THE INTERVIEWEE: Yes. THE INTERVIEWER: How much were you making just THE INTERVIEWEE: $15 . THE INTERVIEWER: $3 more an hour. THE INTERVIEWEE: $3 more. I would go to a rate for my insu ranee. So I would be paying nsurance now. So after all these things I wasn really, you know, like excited. 21 Salois- & Associates - (408) 279-3376 FS 002058 SJ004317 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWER: Wh THE INTERVIEWEE: Ri own scheduli ng. We take adva THE INTERVIEWER: So THE INTERVIEWEE: I to Frank, ye s . THE INTERVIEWER: Wh THE INTERVIEWEE: Th THE INTERVIEWER: Wa THE INTERVIEWEE: Fr THE INTERVIEWER: Wa THE INTERVIEWEE: Ca pretty much all the time. Th shift manage r in the coun t r o was doing it Now he is gone THE INTERVIEWER: Yo arrested, ri ght? THE INTERVIEWEE: Uh THE INTERVIEWER: Ho offered the position? THE INTERVIEWEE: Ho believe to my knowledge maybe THE INTERVIEWER: A THE INTERVIEWEE: At THE INTERVIEWER: Wh o does your scheduling? ght now I would be doing my ntage. you do the scheduling, would be doing that according o was doing it prior to you? e guy who got fired, s there a time - ank between, s Frank that guy? use Frank was in charge en they decide to have a om which that is why Antenna Sol j ump on it. u were there when Antenna got -huh. w many days after were you w many days after that? I after I am a month, month ? least a month went by. o offered you that position? 22 Salois & Associates - (408) 279-3376 FS 002059 SJ004318 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 THE INTERVIEWEE: That was Frank, Carol and the accounting guy in the room when they offered me. But Frank was the one talking, making the - THE INTERVIEWER: Frank give you that position? THE INTERVIEWEE: Yes. THE INTERVIEWER: And then -- okay. THE INTERVIEWEE: It was like this. Something like this. Like they call me. How about -- one option they call also was about Antenna since I was the one who ended up on that stuff. But my reason wasn't because I wanted to know. It never went to my head that stuff. But they asked me a few questions about the issue with Antenna, what happened, you know. I talked to Bob. Then he decided to offer me the position the same day. THE INTERVIEWER: Okay. THE INTERVIEWEE: But like I say after I see all these papers it is like - when I become my citizenship I have so much paperwork. THE INTERVIEWER: Since becoming the manager what kind of issues would you bring up to Frank? THE INTERVIEWEE: Right now the first one I bring right now about this incident that happened when -- the week he wasn't here. I think that is pretty much the first one right now: But eventually will become a few that we want to discuss. 23 ________ ■_____ Salois & Associates - (408) 279-3376 FS 002060 SJ004319