Mr. ark Nichols, ~riba.i CEO. . 

Cabazon Band of Mission Indians 

84-245 Indio Springs Drive 

Indio, ~alifornia 92201 

Dear Mr.. Nichols: 

This letter responds to your request to review and approve the 

tribal gaming ordinance adopted by the Cabazon Band of Mission 

Indians (the Band) on January 27, 1994. This letter constitutes 

such approval under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian Gaming 

Commission (NIGC), the Chairman'is directed to review ordinances 

with respect to-the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that.may be included in a tribal 

ordinance are not subject to review and approval. Also, such 

approval does not constitute approval of specific games. 

It is important to note that the gaming ordinance is approved for 

gaming ..-,. only on Indian lands as defined in the IGRA: 

With the Chairman's approval of the Band's gaming ordinance, the 

Band is now required to conduct background investigations on its 

key employees and primary management officials. The NIGC expects 

to receive a completed application for each key employee and 

primary management official pursuant to 25 C.F.R. S 556.5(a) and 

an investigative report on each background investigation before 

issuing a license to a key employee or primary management 

official pursuant to 25 C.F.R. S 556.5(b). 

Thank you for submitting the ordinance of the Cabazon Band of 

Mission Indians for revlew and approval. The NIGC staff and I 

look forward to working with you and the Band in implementing the 

IGRA. 

sincerely yours, 

Anthony J. Hope 

Chairman 

cc: Glenn M. Feldman, Esq. 

- -- ---- --- 

1850 M STREET N W. SUITE 250 \I'ASt!I'J:;!, !?I L)C 20U,>ii - TLL. 2~2 13.12 7003 FAX 202.632.7066 
CEAZON BAND, OF MISSION INDI~ 

TRIBAL CODE 

TITLE 5: GAMING 

CHAPTER 4: INDIAN GAMING REGULATORY ACT COMPLIANCE 

Section 5-401. Purpose 

The Cabazon Band of Mission Indians (hereinafter "Tribe1'), 

empowered by the Tribe's Articles of Association to enact 

ordinances, hereby enacts this ordinance in order to ensure that 

Class I1 and Class I11 gaming operations on tribal lands are 

conducted in accordance with the Indian Gaming Regulatory Act. 

Section 5-402. Gamins Authorized 

Class I1 gaming as defined in the Indian Gaming Regulatory 

Act, P.L. 100-447, 25 U.S. C. Section 2703 (7) (A) (I1IGRAlt) and Class 

I11 gaming as defined in Section 2703 (8) of IGM are hereby 

authorized. 

Section 5-403. Ownership of Gaminq 

The Tribe shall have the sole propriety interest in and 

responsibility for the conduct of any gaming operation authorized 

by this ordinance. 

Section 5-404. Use of Gamins Revenue 

A. Net revenues from Class I1 and Class I11 gaming shall be 

used only for the following purposes: to fund tribal government 

operations and programs; provide for the general welfare of the 

Tribe and its members; promote tribal economic development; donate 

to charitable organizations; or help fund operations of local 

government agencies. 

B. If the Tribe elects to make per capita payments to tribal 

members from gaming revenues, it shall authorize such payments only 

upon approval of a plan submitted to the Secretary of the Interior 

under 25 U.S.C. § 2710(b)(3). 

Section 5-405. Audit 

A. The Tribe shall cause to be conducted annually an 

independent audit of gaming operations and shall submit the 

resulting audit reports to the National Indian Gaming Commission. 

B. All gaming related contracts that result in the purchase 

of supplies, services, or concessions in excess of $251000.00 

annually, except contracts for professional legal and accounting 

services, shall be specifically included within the scope of the 

audit that is described in subsection A. above. 
Section 5-406. ~rwection of the Environment &fl Public Health and 

Safety 

Class I1 and Class I11 gaming facilities shall be constructed, 

maintained and operated in a manner that adequately protects the 

environment and the public health and safety. 

Section 5-407. Licenses for Key Employees and Primarv Manasement 

Officials 

The Tribe shall ensure that the policies and procedures set 

out in this section are implemented with respect to key employees 

and primary management officials employed at any Class I1 or Class 

I11 gaming enterprise operated on Indian lands: 

Definitions 

For the purposes of this section, the following 

definitions apply: 

1. Key em~loyee means 

a. A person who performs one or more of the 

following functions: 

Bingo caller; 

Counting room supervisor; 

Chief of security; 

Custodian of gaming supplies or cash; 

Floor manager; 

Pit boss; 

Dealer; 

Croupier; 

Approver of credit; or 

Custodian of gambling devices including 

persons with access to cash and 

accounting records within such devices; 

b. If not otherwise included, any other person 

whose total cash compensation is in excess of 

$50,000 per year; or 

c. If not otherwise included, the four most 

highly compensated persons in the gaming 

operation. 

Primarv manaaement official means 

a. The person having management responsibility 

for a management contract; 
b.b' Any perso? who has authorwy: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming 

operation; or 

c. The chief financial officer or other person 

who has financial management responsibility. 

A~plication Forms 

1. The followinq notice shall be placed on the 

application form for a kef employee or a management 

official before that form 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 employed in a gaming 

operation. The information will be used by 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 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 National 

Indian Gaming Commission in connection with the hiring or 

firing of an employee, the issuance 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's being unable to hire you in 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. Existing key employees and primary management 

officials shall be notified in writing that they shall either: 

a. Complete a new application form that contains 

a Privacy Act notice; or 

b. Sign a statement that contains the Privacy Act 

notice and consent to the routine uses 

described in that notice. 
U' v 

3. The following. notice shall be placed on the 

application form for a key employee or a primary official before 

that form is filled out by an applicant. 

A false statement on any part of 

your application may be grounds for 

not hiring you, or for firing you 

after you begin work. Also, you may 

be punished by fine or imprisonment. 

(U.S. Code, Title 18, Section 1001) 

4. The Tribe shall notify in writing existing key 

employees and primary management officials that they shall either: 

a. Complete a new application form that contains 

a notice regarding false statements; or 

b. Sign a statement that contains the notice 

regarding false statements. 

C. Backsround Investisations 

1. The Tribe shall request from each primary management 

official and from each key employee all of the following 

information: 

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

social security number(s) , birth date, place 

of birth, citizenship, gender, all languages 

(spoken or written) ; 

b. Currently and for the previous 5 years: 

business and employment positions held, 

ownership interests in those businesses, 

business and residence addresses, and drivers 

license numbers; 

c. The names and current addresses of at least 

three personal references, including one 

personal reference who was acquainted with the 

applicant during each period of residence 

listed under paragraph (1) (b) of this section; 

d. Current business and residence telephone 

numbers ; 

e. A description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 

businesses; 
v f .b' A description of any exl.;ting and previous 

business relationships with the gaming 

industry generally, including ownership 

interests in those 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 and disposition, if any; 

i. For each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor 

traffic violationsj , within 10 years of the 

date of the application, the name and address 

of the court involved and the date and 

disposition; 

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 

paragraph (1) (h) or (1) (i) of this section, 

the criminal charge, the name and address of 

the court involved and the date and 

disposition; 

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; 

1. A current photograph; 

m. Any other information the Tribe deems 

relevant; and 

n. Fingerprints consistent with procedures 

adopted by the Tribe according to 25 C.F.R. 

§ 522.2 (h). 

2. The Tribe shall conduct an investigation sufficient 

to make a determination under subsection D below. In conducting a 

background investigation, the Tribe or its agent shall promise to 

keep confidential the identity of each person interviewed in the 
w w 

course of the investigation. * 

D. Eliqibilitv Determination 

The Tribe shall review a person's prior activities, criminal 

record, if any, and reputation, habits and associations to make a 

finding concerning the eligibility of a key employee or primary 

management official for employment in a gaming operation. If the 

Tribe determines that employment of the person poses a threat to 

the public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, a 

tribal gaming operation shall not employ that person in a key 

employee or primary management official position. 

E. Procedures for Forwardins A~~lications and Reports for 

Key Em~lovees and Primary Manasement Officials to the 

National Indian Garnina Commission 

1. When a key employee or primary management official 

begins work at a gaming operation authorized by this ordinance, the 

Tribe shall forward to the National Indian Gaming Commission a 

completed application for employment and conduct the background 

investigation and make the determination referred to in 

subsection D of this section. 

2. The Tribe shall forward the report referred to in 

subsection F of this section to the National Indian Gaming 

commission within 60 days after an employee begins work or within 

60 days of the approval of this ordinance by the Chairman of the 

National Indian Gaming Commission. 

3. The gaming operation shall not employ as a key 

employee or primary management official a person who does not have 

a license after 90 days. 

F. Report to the National Indian Garnina Commission 

1. Pursuant to the procedures set out in subsection E 

of this section, the Tribe shall prepare and forward to the 

National Indian Gaming Commission an investigative report on each 

background investigation. An investigative report shall include 

all of the following: 

a. Steps taken in conducting a background 

investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions. 
. . 2. ~h\d~ribe shall submit, with tye report, a copy of 

the eligibility determination made under subsection D of this 

section. 

3. If a license is not issued to an applicant, the 

Tribe: 

a. Shall notify the National Indian Gaming 

Commission; and 

b. May forward copies of its eligibility 

determination and investigative report (if 

any) to the National Indian Gaming Commission 

for inclusion in the Indian Gaming Individuals 

Records System. 

4. With respect to key employees and primary management 

officials, the Tribe sbal?. retain applications for employment and 

reports (if any) of background investigations for inspection by the 

Chairman of the National Indian Gaming Commission or his or her 

designee for no less than three (3) years from the date of 

termination of employment. 

G. Grantins a Gamins License 

1. If, within a thirty (30) day period after the 

National Indian Gaming Commission receives a report, the National 

Indian Gaming Commission notifies the tribe that it has no 

objection to the issuance of a license pursuant to a license 

application filed by a key employee or a primary management 

official for whom the tribe has provided an application and 

investigative report to the National Indian Gaming Commission, the 

Tribe may issue a license to such applicant. 

2. The Tribe shall respond to a request for additional 

information from the Chairman of the National Indian Gaming 

Commission concerning a key employee or a primary management 

official who is the subject of a report. Such a request shall 

suspend the 30-day period under paragraph G.1. of this section 

until the Chairman of the National Indian Gaming Commission 

receives the additional information. 

3. If, within the thirty (30) day period described 

above, the National Indian Gaming Commission provides the Tribe 

with a statement itemizing objections to the issuance of a license 

to a key employee or to a primary management official for whom the 

Tribe has provided an application and investigative report to the 

National Indian Gaming Commission, the Tribe shall reconsider the 

application, taking into account the objections itemized by the 

National Indian Gaming Commission. The Tribe shall make the final 

decision whether to issue a license to such applicant. 
H. License Suspension 

1. If, after the issuance of a gaming license, the Tribe 

receives from the National Indian Gaming commission reliable 

information indicating that a key employee or a primary 

management official is not eligible for employment under subsection 

D. above, the Tribe shall suspend such license and shall notify in 

writing the licensee of the suspension and the proposed revocation. 

2. The Tribe shall notify the licensee of a time and a 

place for a hearing on the proposed revocation of a licen.;~.. 

3. After a revocation hearing, the Tribe shall decide to 

revoke or to reinstate a gaming license. The Tribe shall riotify the 

National Indian Gaming Commission of its decision. 

Section 5-408. License Locations 

The Tribe shall issue a separate license to each place, facility, or 

location on Indian lands where Class I1 or Class 111 gatmilip is 

conducted under this ordinance. 

Section 5-409. Repeal 

To the extent that they are inconsistent with this ordinance, the 

inconsistent provisions of all prior gaming ordinances are hereby 

repealed. 

CERTIFICATION 

BE IT FURTHER RESOLVED THAT we th undersigned, duly electcd mcmbers of 

the Cabazon Business Committee do cert~fy that the forcgo~ng 

resolution was adopted by the Bus~ness C)mmiltcc at a duly called meeting on 

January 27, 1994 by a vote of 5 

C_-- 

1st Vice Chairperson 2nd V~ce Cha~rperson 

..................... 

Elisa Welmas-Wildman John Wclmas 

Liaison to the Gen'l Council 5,lcrnber at Larfc