March 17, 2017 

BY FIRST CLASS MAIL 

Jeff L. Grubbe, Chairman 

Agua Caliente Band of Cahuilla Indians 

540 I Dinah Shore Drive 

Palm Springs, CA 92264 

Re: Ordinance No. 15 Concerning Gaming, Amendment No. 1-A 

Dear Chairman Grubbe: 

This letter responds to your request on behalf of the Agua Caliente Band of Cahuilla 

Indians (Tribe) for the National Indian Gaming Commission to review and approve the Tribe's 

Ordinance No. 15 Concerning Gaming, Amendment No. l ·A. This ordinance was adopted by the 

Tribe's Council on December 20, 201 6, and supersedes Ordinance No. 15 Concerning Gaming, 

approved by the Nl GC Chair on November 15, 1993. 

The Ordinance No. 15 Concerning Gaming, Amendment No. 1 ·A is approved as it is 

consistent with the requirements of the Indian Gaming Regulatory Act and the NIGC's 

regulations. If you have any questions, please feel free to contact Maria Getoff, Senior Attorney, 

at 202-632-7003. 

Sincerely, 

cc: John T. Plata, via email 

NEW MAILING ADDRESS: NIGC/ DEPARTMENT Of THE INTERIOR 18.49 C Street NW, Moil Stop II 1621 Wo~hington, DC 20240 Tel: 202.632.7003 fax: 202.632.7066 

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AGUA CALIENTE BAND OF CAHUILLA I NDIANS 

TRIBAL COUNCIL 

JEFF L. GRUBBE CHAIRMAN • LARRY N. OLINGER VICE CHAlRMAN • V1NCEN1' GONZALES III SECRETARY/TREASURER 

ANTHONY }.ANDREAS Ill MEMBER. REID D. MILANOVICH MJ:Mlltl}( 

I. INTRODUCTION 

ORDINANCE N0.15 

CONCERNING GAMING 

AMENDMENT NO. 1-A 

A. Title. This Ordinance shall be titled and cited as the "Gaming Ordinance." 

B. Purpose. The Tribal Council of the Agua Caliente Band of Cahuilla Indians empowered 

by Sections (a), (b), (f), and (i) of Article V of the Tribe's Constitution and By-Laws, as 

amended, to enact ordinances, hereby enacts this Ordinance in order to regulate Class II 

and Class ill Gaming Operations on the "Indian lands" of the Agua Caliente Indian 

Reservation, as defined in 25 U.S.C. § 2703(4). 

II. DEFINITIONS 

Unless a different meaning is set forth below, the terms used in this Ordinance shall have 

the same meaning as defined in the Indian Gaming Regulatory Act, Public Law 100-497, 

102 Stat. 2467 (Oct. 17, 1988), 25 U.S.C. 2701 et seq., any lawful regulations 

promulgated thereunder by the National Indian Gaming Commission, and the Compact. 

All references to "days" in this Ordinance shall refer to "calendar days" unless otherwise 

noted. 

A. Applicant. "Applicant" shall mean an individual or entity that applies for a Gaming 

License. 

B. Association. "Association" shall mean an association as that term ifi defined by the 

Compact. 

C. CGCC. "CGCC" shall mean the California Gambling Control Commission, or any 

successor agency of the State of California. 

D. Commission. "Commission" shall mean the Tribal Gaming Agency estahlishcd pursuant 

this Ordinance. 

E. Compact. "Compact" shall mean the Class III gaming Tribal-State Compact entered into 

between the Tribe and the State of California pursuant to the IGRA, including any 

Appendices thereto. 

F. Class II gaming. "Class II gaming" shall mean Class II Gaming as defined at 25 U.S.C. 

§2703(7), and any lawful regulations promulgated thereunder by the National Indian 

Gaming Commissio_____ n. _ , _________ _ 

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Ordinance No. 15 Amendment No. 1-A 

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G. Class III gaming. "Class III gaming" shall mean Class HI Gaming as defined at 25 

U.S.C. § 2703(8), and any lawful regulations promulgated thereunder by the National 

Indian Gaming Commission. 

H. Class II Gaming Device. "Class II Gaming Device" shall mean any "electronic, 

computer or other technologic aid" as defined by 25 C.F.R. § 502.7, as may be amended, 

renumbered, or re-designated from time to time. 

I. Class III Gaming Device. "Class III Gaming Device" shall mean any "Gaming Device" 

as defined in the Compact. 

J. Gaming Asset. "Gaming Asset" shall mean cash or cash equivalents including 

documents, financial instruments other than cash, or anything else of representative value 

to which the gaming operation has assigned a monetary value. A cash equivalent 

includes, but is not limited to, tokens, chips, coupons, vouchers, payout slips and tickets, 

and other items to which a gaming operation has assigned an exchange value. 

K. Gaming Employee. "Gaming Employee" shall mean any natural person who (a) 

conducts, operates, maintains, repairs, accounts for, or assists in any Gaming Activities, 

or is in any way responsible for supervising such Gaming Activities or persons who 

conduct, operate, maintain, repair, account for, assist, or supervise any such Gaming 

Activities, (b) is in a category under federal or tribal gaming law requiring licensing, (c) 

is an employee of the Tribal Gaming Agency with access to confidential information, or 

( d) is a person whose employment duties require or authorize access to areas of the 

Gaming Facility in which any activities related to Gaming Activities are conducted but 

that are not open lo the public. 

L. Gaming Facility or Facility. "Gaming Facility" or "Facility" shall mean any building in 

which Gaming Activities or any Gaming Operations occur, or in which business records, 

receipts, or funds of the Gaming Operation arc maintained (excluding off site facilities 

primarily dedicated to storage of those records and financial institutions), and all rooms, 

buildings, and areas, including hotels, parking lots, and walkways, the principal purpose 

of which is to serve the Gaming Activities of the Gaming Operation and facilitate the 

provision of Gaming Activities rather than providing them with an incidental benefit. 

M. Gaming License. "Gaming License" shall mean a license issued to an Applicant who 

has completed a background investigation and determined to be eligible for a Gaming 

License by the Conunission. 

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Ordinance No. 15 Amendment No. 1-A 

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N. Gaming Operation. "Gaming Operation" shall mean the business enterprise that offers 

and operates Gaming Activities, whether exclusively or otherwise. 

0. IGRA. "IGRA" shall mean the Indian Gaming Regulatory Act (25 U.S.C. §§ 2701 et 

seq.), as may be amended, renumbered, or re-designated from time to time. 

P. Indian lands. "Indian lands" shall mean Indian lands as defined by 25 U.S.C. § 2703(4), 

and any lawful regulations promulgated thereunder. 

Q. Key employee. "Key employee" shall mean key employee as defined by 25 C.F.R. 

§ 502.14, as may be amended, renumbered, or re-designated from time to time. 

R. Licensee. "Licensee" shall mean any person or entity who has been issued a valid and 

current license pursuant to the provisions of this Ordinance. 

S. MICS. "MICS" shall mean the Minimum Internal Control Standards adopted by the 

NIGC and promulgated in 25 C.F.R. Part 542 as they existed on October 10, 2008, and 

25 C.F.R. Part 543, as both may be amended, renumbered, or re-designated from time to 

time. 

T. NIGC. "NIGC" shall mean the National Indian Gaming Commission. 

U. Patron. "Patron" shall mean any person who participates in Class II or Class III gaming 

or who is physically present on premises where Class II or Class III gaming is conducted. 

V. Primary management ofticial. "Primary management official" shall mean primary 

management official as defined by 25 C.F.R. § 502.19, as may be amended, renumbered, 

or re-designated from time to time. 

* 

W. Regulation. "Regulation" or "Regulations" shall mean the authoritative rule or set of 

rules governing Class II and Class III gaming on tribal lands adopted and implemented by 

the Commission pursuant to this Ordinance. 

X. Temporary License. "Temporary License" shall mean a license issued to an Applicant 

who is seeking employment in the Gaming Operation which allows the Applicant to be 

eligible for employment if he or she has passed a preliminary background check and is 

waiting for the results of a fuJl background check. 

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Ordinance No. 15 Amendment No. 1-A 

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Y. Tribal Gaming Agency or TGA. "Tribal Gaming Agency" or "TGA" shall mean the 

Commission. 

Z. TICS. "TICS" shall mean the Tribal Internal Control Standards that the Commission 

establishes and implements to regulate Class II and Class Ill gaming pursuant to this 

Ordinance. 

AA. Tribe. "Tribe" shall mean the Agua Caliente Band of Cahuilla Indians, a federally 

recognized Indian tribe acting through its duly constituted Tribal Council. 

BB. Vendor Gaming License. "Vendor Gaming License" shall mean a license issued to a 

person or entity supplying gaming machines, gaming equipment or gaming supplies, or 

providing advertising and consulting services directly related to gaming at the Gaming 

Operation. 

CC. Vendor Non-Gaming License. "Vendor Non-Gaming License" shall mean a license 

issued to a person or entity furnishing non-gaming related goods or services with a value 

that exceeds twenty-five thousand dollars ($25,000) annually to the Gaming Operation. 

DD. Vendor One-Time Use License. "Vendor One-Time Use License" shall mean a license 

issued to a person or entity engaged in one-time or emergency transactions with the 

Ganling Operation that have value of less than twenty-five thousand dollars ($25,000) 

annually. 

III. GAMING AUTHORIZED 

Class II and Class III gaming is hereby authorized. 

IV. OWNERSHIP OF GAMING 

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of 

any Gaming Operation authorized by this Ordinance. 

V. TRIBAL GAMING COMMISSION 

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Ordinance No. JS Amendment No. J~A 

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A. Established. There is hereby created a Tribal Gaming Commission to be the primary 

regulator of the Tribe's Gaming Facilities, Gaming Operations and Class II and Class III 

gaming activities. 

B. Composition. The Commission shall consist of five (5) members who shall be appointed 

by the Tribal Council. The Commission shall include at least two (2) Tribal Members, if 

available. 

C. Chairman and Officer Appointment. The Tribal Council may designate a Chairman, 

Vice Chairman, and a Secretary. 

D. Appointment; Terms. Each member of the Commission shall be appointed for a term of 

three years, commencing on the date each is appointed to the Commission. 

E. Key Employee Designation. Each member of the Commission shall be deemed a "key 

employee" for the limited purpose of background investigations, eligibility determination, 

and issuance of a gaming license. 

F. Compensation. The Tribal Council, from time to time, shall establish the current 

compensation of the members of the Commission. 

G. Removal. The Tribal Council by a vote of no fewer than four (4) of its members may 

remove any Commission member at any time for the following: · 

1. Indictment for or conviction of a felony; 

2. Embezzlement; 

3. Filing of personal bankruptcy; 

4. Any behavior deemed by the Tribal Council to be inappropriate for a member of 

the Commission such that it would adversely affect the integrity, smooth 

functioning, or reputation of the Conunission, Gaming Operations, Gaming 

Facility, or Tribal organization. 

H. Vacancy. The Tribal Council shall, by a vote of no fewer than four (4) of its members, 

fill any vacancy on the Commission, within thirty (30) days of such vacancy, for the 

balance of the three (3) year term of any member whose position on the Commission 

becomes vacant for any reason. 

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Ordinance No . .IS Amendment No. 1-A 

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I. Powers and Duties of the Tribal Gaming Commission. The powers, responsibilities 

and duties of the Commission shall include, at a minimum, the following: 

1. Promulgate Regulations governing the conduct of Class H and Class III gaming 

activity. 

2. Issue orders of temporary and permanent closure of Class II and Class ill gaming 

activities for violations of this Ordinance, Regulations, the Compact, IGRA and 

its implementing regulations and any other applicable law. 

3. Initiate civil and criminal actions in court to enforce provisions of this Ordinance, 

the Regulations, and the IGRA and its implementing regulations and any other 

applicable law. 

4. Issue, deny, suspend, and revoke licenses in accordance with this Ordinance. 

5. Make eligibility determinations. 

6. Impose fines or sanctions upon any licensee, subject to the hearing process set 

forth in Section XI. 

7. Monitor all Class n and Class III gaming activity conducted on the Tribe's Indian 

Lands on a continuing basis. 

8. Ensure that background investigations are conducted as required by this 

Ordinance, the Compact, and the IGRA and its implementing regulations. 

9. Demand access to and inspect, examine, copy and audit all papers, books and 

records concerning activities and revenues of any Class U and Class III gaming 

conducted on the Tribe's Indian Lands and any other matters necessary to carry 

out its duties under this Ordinance. 

10. Conduct such hearings as the Conunission may deem appropriate in carrying out 

its duties, including administering oaths or affirmations to witnesses and issuing 

subpoenas for documents and/or to compel witnesses to appear at such hearings. 

11. Approve all auditing standards applicable to the Gaming Operations. 

12. Adopt a Tribal Gaming License application. 

13. Within the limits of its budget, employ and fix the salaries of, or contract for the 

services of, such professional, teclmical and operational personnel and consultants 

as the execution of the Commission's duties may require. 

14. Establish a regulation which identifies those Gaming Operation employee 

positions that are "Key Employee" or "Primary Management Officials". 

15. Hire, supervise and direct the Executive Director; remove the Executive Director, 

with or without cause. 

16. Delegate any of its duties to the .Executive Director. 

17. Approve the organizational structtrre of the Commission and TOA. 

18. Supervise the activities of the TGA. 

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Ordinance No. 15 Amendment No. 1-A 

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19. Conduct any necessary investigations into violations of this Ordinance, 

Regulations and the Compact, including the ability to hire and consult with 

external professionals and external third parties as part of its investigations. 

J. Regulation of <;;-aming Activity. The Commission shall regulate in such a manner as to: 

1. Protect the Gaming Assets of the Tribe. 

2. Assure that the Tribe's Gaming Operations are conducted fairly and honestly to 

protect gaming Patrons. 

3. Protect the Tribe and the Tribe's Patrons from any dishonest or corrupt practices. 

4. Protect the health and safety of the Tribe's employees and Patrons. 

5. Ensure compliance with the Compact, rules and regulations adopted by the 

Commission and the final rules and regulations adopted by the Association and 

the CGCC pursuant to the Compact. 

K. Operational Duties of Tl'ibal Gaming Commission. The Conunission shall be 

responsible for the following, which it may delegate, in whole or in part, to the Executive 

Director: 

1. Implement and enforce all applicable rules, procedures, policies, regulations 

adopted by the Conunission, NIGC MJCS, and all final rules and regulations 

adopted and published by the Association and CGCC pursuant to the Compact. 

2. Adopt an annual operating budget and submit to the Tribal Council for approval. 

3. Oversight of all Commission employees and taking appropriate personnel action. 

4. Take all licensing actions including issuance, renewal, suspension, and revocation 

for any Applicant or Licensee. 

5. Coordinate with local, County, State and Federal law enforcement agencies and 

public health and safety agencies as required by the Compact and the final 

published rules and regulations of the NIGC. 

6. Cooperate with the Gaming Operation's internal and external auditors to assure 

full compliance with the Compact and final MICS and/or TICS adopted by the 

Commission. 

7. Create a system for the Tribe's Gaming Facilities and operations to best prevent or 

discover employee and/or Patron dishonesty. 

8. Work with the Gaming Operation's primary management officials to make 

surveillance a management tool. 

9. Work with the NIGC and CGCC on their audits of each Gaming Facility. 

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Ordinance No. 15 Amendment No. 1-A 

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10. Alert appropriate Gaming Operation primary management officials of any 

suspicious, improper and/or dishonest activities by Gaming Facility employees, 

vendors and/or Patrons. 

11. Ensure compliance of all Gaming Facilities wilh the Regulations and the Compact 

relating to public health and safety requirements, including food safety. 

12. Review and approve all plans and signs for the evacuation of employees, Patrons 

and the public from each Gaming Facility. 

13. Review, revise and approve all plans and surveillance systems for the gaming 

floor, gaming devices, electronic, computer, or other technologic aids, table 

games, cage, and Gaming Facilities. 

14. Establish and implement TICS that shall: (i) provide a level of control that equals 

or exceeds those set forth in NIGC Regulations at 25 C.F.R. Part 500; (ii) contain 

standards for currency transaction reporting that comply with 31 CFR part 103; 

(iii) establish standards for games that are not addressed in NIGC Regulations; 

and (iv) establish deadlines for compliance with the TICS in accordance with 

NIGC regulations. 

15. When information is received through audits or other investigations that indicates 

a violation of Tribal, or applicable federal law or state law, to treat as confidential 

and provide such information to the appropriate law enforcement officials. 

L. Civil and criminal actions. In its own name, or in the name of the Tribe, tbe 

Commission may bring any civil action in any court of competent jurisdiction to enforce 

the provisions of this Ordinance or of any approved tribal-state compact governing the 

Tribe's gaming activities, or to enjoin or prevent any violation of this Ordinance, of 

federal law, or of applicable state law occurring on the Tribe's Indian lands. Similarly, 

the Commission, either in its own name or in the name of the Tribe may request 

appropriate federal or state authorities to bring criminal charges for violations of 

applicable federal or state law occurring on the Tribe's Indian lands. 

M. Operating Budget. The Commission shall adopt an annual operating budget which shall 

be subject to the approval of the Tribal Council. The Commission may, in accordance 

with the budget, employ a staff as it deems necessary to fulfill its responsibilities under 

this Ordinance and may retain legal counsel, ~onsultants, and other professional services, 

including investigative services, to assist the Commission with its responsibilities under 

this Ordinance. The expenses of the Commission identified in the annual operating 

budget shall be appropriated by the Council from the net revenues of the Gaming 

Facility. 

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Ordinance No.15 Amendment No. I-A 

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N. Orders. The Conunission may issue any order or decision, which the Commission has 

the power to issue, to any Gaming Facility, licensee, or to any other person within the 

jurisdiction of the Tribe, to take any action or cease and desist from any action as may be 

required to protect to the public interest in gaming. 

O. Procedures of Tribal Gaming Commission. 

1. Regular Meetings. Regular meetings of lhe Commission may be held upon such 

notice, or without notice, and at such time and place as shall from time to time be 

fixed by the Commission. Unless otherwise specified by the Commission, no 

notice of such regular meetings shall be necessary. 

2. Special Meetings. Special meetings of the Commission may be called by the 

Chairman of the Commission or may be held by teleconference or by polling. 

The Chairman shall fix the time and place of the special meeting. Neither the 

business to be transacted at, nor the purposes of, any regular or special meeting of 

the Commission need to be specified in the notice of the meeting. 

3. Quorum. Three (3) Commission members shall constitute a quorum for the 

transaction of business. The concurrence of a majority of the Commissioners 

shall be required for any final determination by the Commission. The 

Commission may act in its official capacity, even if there are vacancies on the 

Commission. The Chairman shall preside at alJ meetings of the Commission 

unless the Chairman designates another member to preside in his or her absence. 

Approval of action by telephone or by polling is also authorized. 

VI. USE OF GA1\.1ING REVENUE 

A. Authorized Uses. Net revenue from Gaming Activities shall be used only for the 

following purposes: 

1. To fund Tribal government operations and programs. 

2. To provide for the general welfare of the Tribe and its members. 

3. To promote Tribal economic development. 

4. To donate to charitable organizations; or 

5. To help fund operations of local government agencies, all in such amounts and on 

such terms as the Tribal Council may determine. 

B. Per Capita Payments. Should the Tribe elect to make per capita payments to Tribal 

members, it shall authorize such payments only upon approval of a plan submitted to the 

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Ordinance No. 15 Amendment No. 1-A 

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Secretary of the Interior pursuant to 25 U.S.C. § 27lO(b)(3), as such section may be 

amended, renumbered, or re-designated from time to time. 

"II. i\lJill'f 

A. Annual Audit. The Tribe shall cause to be included independent audits of Gaming 

Operations annually and shall submit the results of those audits to the NIGC. 

B. Inclusion of Gaming Related Contracts in Annual Audit. All gaming-related 

contracts that result in the purchase of supplies, services or concessions in excess of 

$25,000.00 .in any year, except contracts for professional legal and accounting services, 

shall be specifically included within the scope of the audit that is described in Section 

VII.A. above. 

"Ill. LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGElVIENT 

OFFICIALS 

A. Confidentiality. The Commission shall ensure that all records and information obtained 

as a result of an employee background investigation shall remain confidential and shall 

not be disclosed to any persons who are not directly involved in the licensing and 

employment processes. Information obtained during the course of an employee 

background investigation shall be disclosed to members of management, human resource 

personnel and/or others employed by the Tribal Gaming Operation on a need-to-know 

basis, for actions taken in their official capacities. The confidentiality requirements of 

this Section do not apply to requests for such records or information from any Tribal, 

federal, or state law enforcement or regulatory agency, or for the use of such records or 

information by the Commission and staff in the performance of their official duties. 

B. Granting a Gaming License. 

1. Responsibility. The Commission shall have the authority and duty to issue 

licenses to key employees and primary management officials. 

2. License Required. All key employees and primary management officials shall 

obtain a license from the Commission to work in the Tribe's Gaming Operation. 

3. Types of licenses. 

i. Temporary License. 

11. Gaming License. 

iii. Vendor Gaming License. 

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Ordinance No. 15 Amendment No. 1-A 

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iv. Vendor Non-Gaming License. 

v. Vendor One-Time Use License. 

C. License Application. 

1. The following notice shall be placed on the Commission license application form 

for a key employee or a primary management official before it is filled out by an 

applicant: 

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

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

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

determine the eligibility of individuals to be granted a gaming license. 

The information will be used by the Tribal gaming regulatory authorities 

and by the National Indian Gaming Commission members and staff who 

have need for the information in the performance of their official duties. 

The information may be disclosed by the Tribe or the NIGC to appropriate 

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

agencies when relevant to civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by a tribe or the 'NIGC in 

connection with the issuance, denial, or revocation of a gaming license, or 

investigations of activities while associated with a tribe or a Gaming 

Operation. Failure to consent to the disclosures indicated in this notice 

will result in a tribe being unable to license you for a primary management 

official or key employee position. 

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

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

2. The following additional notice shall be placed on the application form for a key 

employee or a primary management official before it is filled out by an applicant: 

"A false statement on any part of your license application may be grounds 

for denying a license or the suspension or revocation of a license. Also, 

you may be punished by fine or imprisonment (U.S. Code, title 18, section 

1001)." 

3. Existing Employees. The Conunission shall notify in writing existing key 

employees and primary management officials that they shall: (1) complete a new 

application form that contains a Privacy Act Notice or sign a statement that 

contains the Privacy Act Notice and consent to the routine uses described in that 

Notice; and (2) complete a new application form that contains the False Statement 

Notice or sign a statement that contains the False Statement Notice. 

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Ordinance No. 15 Amendment No. 1-A 

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D. License Fees. 

The Commission may charge a license fee to cover its expenses in investigating and 

licensing. 

E. Fingerprints. 

The Commission shall perform a background investigation for each primary management 

official and key employee of lhe Gaming Operation. The Commission shall request 

fingerprints from each primary management official and key employee. Fingerprints 

shall be taken by the Commission. Fingerprints will then be forwarded to the NIGC for 

processing through the Federal Bureau of Investigation ("FBI") and the National 

Criminal Information Center to determine the applicant's criminal history, if any. 

F. Background Investigations. 

1. The Commission shall perform a background investigation for each primary 

management official and key employee in its Gaming Operation. 

2. The Commission is responsible for conducting the background investigations of 

primary management officials and key employees. 

3. The Commission shall obtain from each primary management official and key 

employee all of the following information: 

a. Full name, other names used (oral or written), social security number, 

birth date, place of birth, citizenship, gender and all languages spoken 

and/or written). 

b. Currently, and for the previous five (5) years, business and employment 

positions held, ownership interests in those businesses, business and 

residential addresses, and driver's license numbers. 

c. The names and current addresses of at least three (3) personal references, 

including one (1) personal reference who was acquainted with the 

applicant during each period of residence listed under paragraph 3.b. of 

this Section. 

d. Current business and residential telephone numbers, and all cell phone 

numbers. 

e. A description of any existing and previous business relationships with 

other tribes, including any ownership interests in the businesses. 

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Ordinance No. 15 Amendment No. 1-A 

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f. A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in the businesses. 

g. The name and address of any licensing or regulatory agency with which 

the person has filed an application for a license or permit related to 

gaming, whether or not such license or permit was granted. 

h. For each felony for which there is an ongoing prosecution or a conviction, 

the charge, the name and address of the court involved, and the date of 

disposition, if any. 

1. For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations) within 10 years of the date of the 

application, the name and address of the court involved and the date of 

disposition, if any. 

j. For each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge is within 10 years of the date 

of the application, and is not otherwise listed pursuant to paragraphs 3.h. 

or 3.i. of this Section, the criminal charge, the name and address of the 

court involved, and the date of disposition, if any. 

k. The name and address of any licensing or regulatory agency with which 

the person has filed an application for an occupational license or permit, 

whether or not such license or permit was granted. 

l. A photograph. 

m. Any other information the Commission deems relevant; and 

n. Fingerprints obtained in accordance with procedures adopted by the Tribe 

pursuant to 25 C.F.R. § 522.2(h) , as may be amended, renumbered, or redesignated from time to time. 

4 . When a primary management official or key employee is employed by the Tribe, 

a complete application file, containing all of the information listed in Section F.3., 

shall be maintained. 

G. Procedures for Conducting Background Investigations. 

l. The Commission, or its agent, shall employ or engage an investigator to conduct a 

background investigation of each Applicant for a primary management official or 

key employee position. The investigation must be sufficient to allow the 

Commission to make an eligibility determination under Section VIII.I of this 

Ordinance. The investigator shall: 

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a. Verify the Applicant's identity through items such as a social security 

card, driver's license, birth certificate or passport. 

b. Contact each personal and business reference provided in the license 

application, when possible. 

c. Conduct a personal credit check. 

d. Conduct a civil history check for past or outstanding judgments, current 

liens, past or pending lawsuits, and any other information deemed to be 

relevant. 

c. Conduct a criminal history records check by submitting the applicant's 

fingerprints to the NIGC or to another law enforcement agency for 

forwarding to the FBI to perform a criminal history records check utilizing 

the FBI's data base. 

f. Based on the results of the criminal history records check, as well as 

information acquired from an Applicant's self-reporting or from any other 

source, obtain information from the appropriate court regarding any past 

felony and/or misdemeanor convictions or ongoing prosecutions within 

the past 10 years. 

g. Inquire into any previous or existing business relationships with the 

gaming industry, including with any tribes with Gaming Operations, by 

contacting the entities or tribes. 

h. Verify the Applicant's history and current status with any licensing agency 

by contacting the agency. 

i. Take other appropriate steps to verify the accuracy of the information, 

focusing on any problem areas noted. 

H. Investigative Reports. 

1. The Commission shall create aQd maintain an investigative report for each 

background investigation of a primary management official or key employee. 

2. Investigative reports shall include all of the following information: 

a. Steps taken in conducting the investigation; 

b. Results obtained; 

c. Conc.lusions reached; and 

d. The basis for those conclusions. 

I. Eligibility Determinations. 

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1. Before a license is issued to a primary management official or key employee. the 

Conunission shall make a finding concerning the eligibility of that person for 

receiving a Gaming License by reviewing the Applicant's prior activities, criminal 

record. if any, and reputation, habits and associations. 

2 . If the Corrunission in applying the standards adopted in this Ordinance, 

determines that licensing the person poses a threat to the public interest or to the 

effective regulation of gaming, or creates or enhances the dangers of unsuitable, 

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

or she shall not license that person in a key employee or primary management 

official position. 

3. Copies of the eligibility determination shall be included with the notice of results 

that must be submitted to the NIGC before the licensing of a primary management 

official or key employee. 

4. Any felony convictions will find the Applicant ineligible for a Gaming License. 

J. Notice of Results of Background Investigations. 

1. Before issuing a license to a primary management official or key employee, the 

Comm.is.sion shall prepare a notice of results of the Applicant's background 

investigation to submit to the NIGC. 

a. The notice of results must be submitted to the NCGC no later than sixty 

(60) days after the Applicant begins working for the Gaming Operation. 

2. The notice of results shall include the following information: 

a. The Applicant's name, date of birth, and social security number. 

b. The date on which the Applicant began, or will begin, working as a 

primary management official or key employee. 

c. A summary of the information presented in the investigative report, 

including: 

i. Licenses that have previously been denied; 

ii. Gaming Licenses that have been revoked, even if subsequently 

reinstated; 

iii. Every known criminal charge brought against the applicant within 

the last ten ( 10) years of the date of the application; and 

iv. Every felony offense of which the applicant has been convicted or 

any ongoing prosecution; and 

d. A copy of the eligibility determination made in accordance with Section 

VIII.I. 

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K. Granting Gaming Licenses. 

1. 

2. 

3. 

4 . 

5. 

6. 

7. 

8. 

All primary management officials, key employees and gaming employees of the 

Gaming Operation must have a Gaming License issued by the Tribe. 

The Commission is responsible for granting and issuing Gaming Licenses to 

primary management officials and key employees. 

The Commission may license a primary management official or key employee 

applicant after submitting a notice of results of the Applicant's background 

investigation to the NIGC, as required by Section VIIl.J. 

The Commission shall notify the NIGC of the issuance of a Gaming License to a 

primary management official or key employee within thirty (30) days of issuance. 

The Tribe shall not employ an individual in a primary management official or key 

employee position who does not have a Gaming License after ninety (90) days of 

beginning work at the Gaming Operation. 

The Commission must reconsider a license application for a primary management 

official or key employee if it receives a statement of itemized objections to 

issuing such a license from the NIGC, and those objections are received within 

thirty (30) days of the NIGC receiving a notice of results of the applicant's 

background investigation. 

a. The Conunission shall take the NIGC's objections into account when 

reconsidering a license application. 

The Commission will make the final decision whether to issue a license to an 

Applicant for a primary management official or key employee position. 

If the Conunission has issued a license to a primary management official or key 

employee before receiving the NIGC's statement of objections, notice and a 

hearing shall be provided to the Licensee, as required by Section VIILM. 

L. Denying Gaming Licenses. 

l. The Commission shall not license a primary management official or key 

employee if an authorized Tribal official determines, in applying the standards in 

Section VIII.I for making a license eligibility determination, that licensing the 

person: 

a. Poses a threat to the public interest; 

b. Poses a threat to the effective regulation of gaming; or 

c. Creates or enhances the dangers of unsuitable, unfair or illegal practices, 

methods and/or activities in the conduct of gaming. 

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2. When the Commission does not issue a license to an Applicant for a primary 

management official or key employee position, or revokes a previously issued 

license after reconsideration, it shall: 

a. Notify the NIGC; and 

b. Forward copies of its eligibility determination and notice of results of the 

Applicant's background investigation to the NIGC for inclusion in the 

Indian Gaming Individuals Record System. 

M. Gaming License ~uspensions and Revocations. 

1. If, after a license is issued to a primary management official or a key employee, 

the Commission receives notice from the NIGC that the primary management 

official or key employee is not eligible for employment, the Commission shall do 

the following: 

a. Immediately suspend the license; 

b. Provide the Licensee with written notice of the suspension and proposed 

revocation; and 

c. Provide the Licensee with notice of a time and place for a hearing on the 

proposed revocation of the license. 

2. The right to a revocation hearing vests only after a license is granted under this 

Ordinance. 

3. Following a revocation hearing, the Commission shall decide whether to revoke 

or reinstate the license at issue. 

4. The Commission shall notify the NIGC of its decision to revoke or reinstate a 

license within fo11y-five (45) days of receiving notification from the NIGC that a 

primary management official or key employee is not eligible for employment. 

N. Records Retention. 

1. The Commission shall retain, for no less than three years from the date a primary 

management official or key employee is terminated from employment with the 

Tribe, the following documentation: 

a. Applications for licensing; 

b. Investigative Reports; and 

c. Eligibility Determinations. 

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IX. FACILITY LICENSES 

A Individual Facility Licenses. The Commission shall issue a separate license to 

each place, facility or location on Indian lands where Class lI and/or Class III 

gaming is conducted under this Ordinance. 

X. PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND 

SAFETY 

Class II and Class III Gaming Facilities shall be constructed, maintained, and operated in 

a manner that adequately protects the environment and the health and safety of the public. 

· XI. ENFORCEMENT AND HEARINGS PROCEDURES. 

A Any person who violates any provision of this Ordinance shall be subject denial, 

suspension or revocation of a Gaming License, and/or exclusion from attendance 

at any Gaming Facility. The Commission shall have the jurisdiction to enforce 

the provisions of this Ordinance on any person within the jurisdiction of the Tribe. 

B. Notice of Commission action. No action of the Commission to revoke a Gaming 

License shall be valid unless the person or entity affected is given written notice 

of the proposed action and the opportunity to appear and to be heard before the 

Commission, either in person or through a representative or legal counsel and to 

submit such evidence as the Commission deems relevant to the matter at issue at 

least nine (9) days before the hearing. No notice is necessary to suspend a 

Gaming License, but a revocation hearing must be held within thirty (30) days or 

the suspension shall be discharged automatically. These deadlines may be 

extended in the discretion of the Commission due to extenuating circumstances. 

C. Notice of Violation. 

1. The Commission may issue a notice of violation to any person or entity for a 

violation of any provision of the Ordinance, Regulations, Compact, IGRA or 

other applicable Tribal or federal law or implementing regulations. 

2. A notice of violation shaJI contain: 

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a. A citation to the Tribal or federal requirement that has been or is being 

violated; 

b. A description of the circumstances surrounding the violation, set forth in 

common and concise language; 

c. Measures required to correct the violation; 

d. A reasonable time for correction, if the respondent cannot take measures 

to correct the violation immediately; and 

e. Notice of rights of appeal. 

D. Order of Temporary Closure. 

1. Simultaneously with, or subsequent to, the issuance of a notice of violation, the 

Commission may issue an order of temporary closure of all or part of a Gaming 

Operation for substantial violations of Tribal and/or federal law. 

2. The operator shall close the Gaming Operation upon service of an order of 

temporary closure, unless the order provides otherwise. 

3. Informal expedited review. Within one (1) day after service of an order of 

temporary closure, the respondent may request, orally or in writing, informal 

expedited review by the Commission. 

a. The Commission shall complete the expedited review provided for by this 

paragraph as soon as is practical and no later than one (1) day after receipt 

of a timely request. 

b. The Commission shall, as soon as is practicable and no later than one (1) 

day after the expedited review provided for by this paragraph, decide 

whether to continue an order of temporary closure and provide the 

respondent with an explanation of, and the factual basis for, that decision. 

c. Whether or not a respondent seeks informal expedited review under this 

paragraph, within thirty (30) days after the Commission serves an order of 

temporary closure, the respondent may appeal the order to the full 

Commission under Section IX.F. Otherwise, the order shall remain in 

effect unless rescinded by the Commission for good cause. 

E. Civil Fine Assessments. 

1. The Commission may impose a fine of not more than $2,500.00 for each 

violation. 

2. The Commission shall review each notice of violation and order of temporary 

closure to determine whether a civil fine will be assessed, the amount of the fine, 

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and, in the case of continuing violations, whether each daily illegal act or 

omission will be deemed a separate violation for purposes of the total civil fine 

assessed. 

3. Within fifteen (15) days after service of a notice of violation, or such longer 

period as the Commission may grant for good cause, the respondent may suhmit 

written information about the violation to the Commission. The Commission 

shall consider any information so submitted in determining the facts surrounding 

the violation and the amount of the civil fine. 

4. The Conunission shall serve a copy of the proposed assessment on the respondent 

within thirty (30) calendar days after the notice of violation was issued, when 

practicable. 

5. The Commission may review and reassess any civil fine, if necessary, to consider 

facts that were not reasonably available on the date of issuance of the proposed 

assessment. 

6. If the respondent fails to request a hearing as provided in Subsection F of this 

Section, the proposed civil fine assessment shall become a final order of the 

Commission. Civil fines assessed under this Section shall be paid by the person 

assessed and shall not be treated as an Operating Expense of the Gaming 

Operation. 

F. Appeals Before the Commission. 

l. A respondent may request a hearing to contest a notice of violation, order of 

temporary closure, civil fine assessment or order of exclusion by submittfog a 

notice of appeal to the Commission within thirty (30) days after service of: 

a. A notice of violation; 

b. A proposed civil fine assessment or reassessment; 

c. An order of temporary closure; or 

d. An order barring a person or employee from one or more Gaming Facility. 

2. A notice of appeal shall reference the notice or order from which the appeal is 

taken. 

3. Within five (5) days after filing a notice of appeal, the Commission shall schedule 

a hearing for no later than thirty (30) days from date of notice of appeal. Notice 

of hearing shall include the time, date and place of the hearing and shall be served 

to the respondent by first class mail at his or her last known address. 

4. At the hearing, the respondent is entitled to call witnesses and present evidence. 

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5. Within ten (10) days after the respondent receives notice of the hearing, the 

respondent shall file with the Conunission a supplemental statement that states 

with particularity the relief desired and the grounds therefor. 

a. The supplemental statement should include, when available, supporting 

evidence in the form of affidavits. If the respondent wishes to present oral 

testimony or witnesses at the hearing, the respondent shatl include notice 

of this in the supplemental statement. 

1. The notice shall specify the names and job titles of proposed 

witnesses, and state whether a closed hearing is requested and, if 

so, why. 

6. The respondent may waive in writing his or her right to an oral hearing and 

instead elect to have the matter determined by the Conunission solely on the basis 

of written submissions. 

7 . The full Conunission shall decide the matter by majority vote. A written decision 

by the Conunission shall be issued to all parties within thirty (30) days from the 

hearing date. The decision of the Conunission shall be based upon the whole 

record and shall include findings of fact and conclusions of law upon each 

material issue of fact or law presented on the record. · 

8. In deciding such appeals, the Commission shall apply a preponderance of the 

evidence standard. 

9. The decision of the Commission on the appeal shall be final and not subject to 

judicial review. 

G. License Hearings. 

1. The Commission can take the following licensing actions: 

a. Suspension of any license; 

b. Revocation of any license; 

2. The Executive Director shall summarily suspend the tribal Gaming License of any 

employee or vendor if the Commission determines that the continued licensing of 

the person or entity could constitute a threat to the public health or safety or may 

summarily suspend the license of any employee or vendor if the Commission 

determines that the continued licensing of the person or entity may violate the 

Tribal Gaming Agency's licensing or other standards and shall notify the holder of 

the suspended license in writing about proposed licensing action and heru:ing date, 

time and location within twenty-four (24) hours from suspension. 

3. For licensing actions other than the summary suspension addressed in G.2 above, 

the Executive Director shall provide the Licensee or Vendor written notice of the 

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proposed suspension or revocation within three (3) days of the decision to take 

such licensing action. The notice shall include the date, time and location of a 

License Hearing to review the proposed licensing action no later than thirty (30) 

days from date of notice to suspend or revoke a gaming license. 

4. The Licensee or Vendor shall be given at least nine (9) days written notice of the 

License Hearing. 

5. The notice shall be sent by regular mail to the Licensee at their last known 

address and shall contain the date, time and location of the bearing a detailed 

statement of the allegations that are the basis for the suspension and proposed 

licensing action, and identify any evidence that the Commission intends to 

consider during the hearing, including the identity of all witnesses who will testify 

before the Commission concerning the proposed action. 

6. The Licensee shall be given the oppo1tunity to review the evidence and take notes 

at the Commission premises. No material shall be removed from those premises. 

7. The Conunission may issue subpoenas. 

8. The Licensee may appear in person or be represented by an attorney or other 

representative. 

9. The Licensee may submit written briefs, argument or relevant evidence prior to 

or at the Hearing. 

10. Requests for a continuance or to reschedule the Hearing shall be granted at the 

Commission's discretion. Such permission shall not be urueasonably withheld. 

11. At the hearing, the Licensee or Representative shall have an opportunity to 

present evidence and arguments concerning the proposed revocation and cross 

examine witnesses. 

12. If either party fails to testify on their behalf in response to any question, the 

Conunission may infer that such testimony or answer would not support that 

party's position. 

13. Failure to appear at the hearing without obtaining a written waiver of appearance 

shall constitute admission of aH allegations contained in the notice. The 

Commission may take further action without additional notice to the Licensee. 

14. Except for good cause shown, the Commission shall reach a decision within five 

(5) business days of the License Hearing and mail the written decision to the 

Licensee at their last known address. 

15. The decision of the Commission shall be final and is not subject to judicial 

review. 

16. All adverse licensing decisions shall be reported to Gaming Operation 

management. 

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XII. PATRON DISPUTES 

A. Patrons with complaints against the gaming establishment shall have as their sole remedy 

the right to file a petition for relief with the Tribal Gaming Commission. 

B. Any Patron may file an oral or written complaint concerning the play and operation of 

any gaming activity at any Gaming Facility. This includes any refusal by the Gaming 

Operation to pay a Patron any alleged winnings from any Gaming Activities. 

C. The Patron shall have three (3) days from the date of the incident giving rise to the 

complaint to file an oral or written complaint with the Gaming Operation. · 

D. The General Manager or designee is responsible for contacting the Patron with any 

proposed resolution or set~lement. If the proposed resolution or settlement is accepted by 

the Patron. the General Manager or designee and Patron shall execute a final Release and 

Settlement and all parties shall receive a signed copy. 

E. If the Patron's Initial Complaint is not resolved to the Patron's satisfaction by the Gaming 

Operation's management, the Patron shall be given written notice by the Gaming 

. Operation that the Patron has the right to request in writing resolution of their complaint 

by the Tribal Gaming Agency. The Patron must make their request to the Tribal Gaming 

Agency within fifteen (15) days of receiving the Gaming Operation's written notification. 

F. If the Patron is not provided with the required written notice of their right to request 

resolution by theTGA by the Gaming Operation within thirty (30) days of the Patron's 

submission of the Initial C0mplaint, then the Patron may seek resolution of the complaint 

by the Tribal Gaming Agency up to one hundred eighty (180) days after submission of 

the Initial Complaint. 

G. If the Patron is dissatisfied with the Tribal Gaming Agency's resolution, the Patron may 

seek resolution in either the Tribe's tribal court system. once established, or through 

binding arbitration of the dispute. 

H. An explanation of the dispute resolution process shall be posted or otherwise made 

available in each Gaming Facility. 

I. Upon receipt of the Patron's written request for a resolution of the Patron's complaint, the 

Tribal Gaming Agency shall conduct an appropriate investigation, shall provide to the 

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Patron a copy of any regulations concerning Patron complaints, and shall render a 

decision in accordance with industry practice. 

J. The decision shall be issued within sixty (60) days of the Patron's request, shall be in 

writing, shall be based on the facts surrounding the dispute, and shall set forth the reasons 

for the decision. 

K. If the Patron is dissatisfied with the decision of the Tribal Gaming Agency issued 

pursuant to subdivision (b), or no decision is issued within the sixty (60) day period, the 

Patron may request that the dispute be settled either in the Tribe's tribal court system, 

once established, or by binding arbitration before a JAMS arbitrator, in accordance with 

the Streamlined Arbitration Rules and Procedures of JANIS (or if those rules no longer 

exist, the closest equivalent) (hereafter "JAMS Streamlined Arbitration"). Resolution of 

the Patron's dispute before the tribal court system, once established, shall be at no cost to 

the Patron (excluding Patron's attorney's fees). The cost and expenses of the JAMS 

Streamlined Arbitration shall be initially borne equally by the Tribe and the Patron (for 

purposes of this section, the "parties'') and both parties shall pay their share of the 

arbitration costs at the time of election of the arbitration option, but the arbitrator shall 

award to the prevailing party its costs and expenses (but not attorney's fees). 

L. Upon a Patron's request, the Tribe and its Gaming Operation shall consent to tribal comt 

adjudication or JAMS Streamlined Arbitration of the matter, and agree to abide by the 

decision of the JAMS arbitrator; provided, however, that if any alleged winnings are 

found to be a result of a mechanical, electronic or electromechanical failure and not due 

to the intentional acts or gross negligence of the Tribe or its agents, the tribal court or 

JAMS arbitrator shall deny the Patron's claim for the winnings but shall deem the Patron 

the prevailing and shall award reimbursement of the amount wagered by the Patron 

which was lost as a result of any said failure. 

M. Any party dissatisfied with the award of the tribal court or JAMS arbitrator may at the 

party's election invoke the JAMS Optional Arbitration Appeal Procedure (and if those 

rules no longer exist, the closest equivalent); provided that the party making such election 

shall bear all costs and expenses of JAMS and the JAMS arbitrators associated with the 

JAMS Optional Arbitration Appeal Procedure, regardless of the outcome. 

N. To effectuate its consent to the tribal court system, once established, or JAMS 

Streamlined Arbitration and JAMS Optional Arbitration Appeal Procedure, the Tribe 

shall, in the exercise of its sovereignty, waive its right to assert sovereign immunity 

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solely in connection with the tribal court's jurisdiction and the JAMS arbitrator's 

jurisdiction and only in any action to (i) enforce the Tribe's or the Patron's obligation to 

arbitrate, (ii) confirm, coITect, modify, or vacate tribal court award or the arbitral award 

rendered in the arbitration, or (iii) enforce or execute a judgment based upon the award. 

XIII. PROHIBITED ACTS 

It shall be a violation of this Ordinance for any person to: 

A. Conduct or participate in any gambling on Tribal lands other than at an authorized and 

Licensed Gaming Facility. 

B. Receive, distribute, apply or divert any property, funds, proceeds, or other assets of a 

Gaming Facility, except as authorized by this Ordinance No. 15, IGRA, the Compact, 

and/or any regulations or requirements approved by the Commission. 

C. Tamper with any Class III Gaming Device, Class II Gaming Device, or gaming 

equipment used in the conduct of any gaming activity . . 

D. Do any other act in connection with the conduct of a Gaming Facility, Gaming Operation 

and/ or gaming activity to affect, in any manner, the outcome of any wager. 

E. To alter or misrepresent the outcome of other events on which wagers have been made 

after the outcome is made sure but before it is revealed to the players. 

F. To place, increase or decrease a bet or to determine the course of play after acquiring 

knowledge, not available to all players, of the outcome of the game or any event that 

affects the outcome of the game or which is the subject of the bet or to aid anyone in 

acquiring such knowledge for the purpose of placing, increasing or decreasing a bet or 

determining the course of play contingent upon that event or outcome. 

G. To claim, collect or take, or attempt to claim, collect or take, money, property, assets or 

anything else of value in or from any Class III gaming device, Class II Gaming Device, 

table game, or gaming equipment, without having made a wager thereon, or to claim, 

collect or take an amount greater than the amount won. 

H. To place or increase a wager or bet after acquiring knowledge of the outcome of the game 

or other event which is the subject of the bet, including past-posting and pressing bets. 

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J. To reduce the amount wagered or cancel the bet after acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet, including pinching 

bets. 

J. To manipulate any component of a Class III gaming device or Class II gaming device, in 

a manner contrary to its design and its normal operational purpose including, without 

limitation, manipulating a gaming device or Class II gaming device, to affect the outcome 

of the gaming activity. 

K. To use other than currency approved by the Conunission and lawful coin and legal tender 

of the United States of America. 

L. To possess and/or use at a Gaming Facility any device, tool, instrument or means to 

dishonestly affect any game, gaming device and/or gaming activity: 

M. To attempt to either persuade or induce, or to either induce or persuade another person to 

go to a Gaming Facility to engage in activities prohibited by this Ordinance. 

N. Commit any act of theft or dishonesty. 

XIV. AGENT FOR SERVICE OF PROCESS 

The Tribe designates the Tribal Chairman as the agent for service of any official 

determination, order or notice of violation. 

XV. REPEAL 

Any and all prior gaming ordinances or interim ordinances are hereby repealed, and 

superseded by this Ordinance. If any TICS, Commission regulation or policy or 

procedure conflicts with this Ordinance, the terms of lhis Ordinance shall control. 

XVI. SOVEREIGN IMMUNITY 

Nothing said or not said in this Ordinance is intended to waive, in any manner, the 

sovereign immunity of the Tribe with the sole exception of the Patron Dispute Section 

XII. 

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XVII. AMENDMENTS 

This Ordinance may be amended only by a majority vote of the Tribal Council. 

BE IT ADOPTED AND ENACTED by the Triba the Agua Caliente Band of 

Cahuilla Indians, this 201h day of De 16. 

hairman 

I, the undersigned, the Secretary-Treasurer of the Agua Caliente Band of Cahuilla 

Indians, hereby certify that the Tribal Council is composed of five members of whom 5, 

constituting a quorum, were present at a meeting whereof, duly called, noticed, convened 

and held on this 20111 day of December 2016; that the foregoing ordinance was duly 

adopted at such meeting by the affirmative vote of 4-0-0 and that said ordinance has not 

been rescinded or amended in any way. 

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