5.

8.
9.

10.

11.

12.

13.

14,

15.

Conducting background investigations;

Identifying of a law enforcement agency that will take finger prints
and describe procedures for conducting a criminal history check by
a law enforcement agency;

Reporting the results of background investigations to the NIGC
and the State Gambling Control Commission;

Obtaining and processing fingerprints, or designating a law
enforcement agency to obtain and process fingerprints;

Making licensing suitability determinations, which shall be signed
by the Chairman of the Gaming Commission;

Issuing tribal licenses to Primary management officials and key
employees;

Issuing gaming licenses to management officials and employees of
the operation, consistent with the suitability determination;

Establishing standards for licensing Tribal gaming operations;
Issuing facility gaming licenses to Tribal gaming operations;
Inspecting, examining and monitoring all gaming activities, with
immediate access to review, inspect, examine, photocopy and audit

all records of the gaming establishment;

Ensuring compliance with all applicable Tribal, State, and Federal
laws, rules, and regulations regarding Indian gaming;

Investigating any suspicion of wrongdoing associated with any
gaming activities;

Holding hearings on patron complaints, in compliance with
procedures established in the gaming ordinance and other Tribal
gaming regulations;

Complying with any and all reporting requirements under the
IGRA, the Tribal-State compact to which the Tribe is a party, and
any other applicable law;

Promulgating and issuing regulations necessary to comply with
applicable internal control standards;

Page 13 of 14


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.

b.

Complete a new application form that contains a notice
regarding false statements; or

Sign a statement that contains the notice regarding false
statements.

Cc. Background Investigations

1.

The Tribe shall request from each primary management official
and from each key employee all of the following information:

a

g.

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

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;

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;

Current business and residence telephone numbers;

A description of any existing and previous business
relationship with Indian tribes, including ownership
interests in those businesses;

A description of any existing and pervious business
relationships with the gaming industry generally, including
ownership interests in those businesses;

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;

Page 4 of 14


2.

and must have proof of High School Diploma or equivalency.
Preference will be given to qualified members of the Tribe for all
positions and vacancies on the Commission. In addition:

a. At least one Commissioner shall have five (5) or more
years of law enforcement experience or casino gaming
security experience, or a bachelor’s degree in criminal
justice or related field and at least three years of law
enforcement experience or casino gaming security
experience;

b. At least one Commissioner shall have at least five (5) years
management or regulatory experience within the private
sector, a gaming facility, or a governmental agency;

c. At least one Commissioner shall have no less than a
bachelor's degree in accounting or a related field and at
least five years of accounting experience.

Prior to any Tribal Gaming Commission member taking office as a
member of the Commission, the Tribal Council shall perform or
cause to have performed a comprehensive background
investigation on each prospective member. To avoid potential
conflicts of interest between the operation and regulation of the
gaming facility, the Tribe hereby finds that, at a minimum, no
person shall serve as a Commissioner if:

a. The individual’s criminal record, if any, reputation, habits,
or associations:

(1) poses a threat to the public interest;

(2) threatens the effective regulation and control of
gaming; or

(3) enhances the dangers of unsuitable, unfair, or illegal
practices, methods, or activities in the conduct of
gaming;

b. The individual has been convicted of, or entered a plea of
nolo contendere to a felony or to a misdemeanor involving
dishonesty or admission of embezzlement in any
jurisdiction; or

c. The individual has a direct or indirect financial interest or

relationship to a person or entity holding a valid
management contract with the Tribe or Tribal enterprise; or

Page 9 of 14


2.

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.

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.

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.

Report to the National Indian Gaming 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.

The Tribe shall submit, with the report, a copy of the eligibility
determination made under subsection D of this section.

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.

With respect to key employees and primary management officials,
the Tribe shall retain applications for inspection by the Chairman

Page 6 of 14


For each felony for which there is an ongoing prosecution
or a conviction, the charge, the name and address of the
court involved, and the date and disposition if any;

For each misdemeanor conviction or ongoing misdemeanor
prosecution (excluding minor traffic violations), within 10
years of the date of the application, the name and address of
the court involved and the date and disposition;

For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge
is within 10 years of the date of the application and is not
otherwise listed pursuant to 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:

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 was granted;

A current photograph;

Any other information the Tribe deems relevant; and

Fingerprints consistent with procedures adopted by the
Tribe according to 25 C.F.R. § 522.2(h).

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
course of the investigation.

Eligibility 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.

Procedures for Forwarding Applications and Reports for Key Employees

and Primary Management Officials to the National Indian Gaming

Commission

Page 5 of 14


VIII. License Locations

Ix.

The Tribe shall issue a separate license to each place, facility, or location on
Indian lands where Class III gaming is conducted under this ordinance.

Reserved

TORRES MARTINEZ TRIBAL GAMING COMMISSION

A. Establishment. The General Council hereby creates and establishes the
Torres Martinez Desert Cahuilla Indians Tribal Gaming Commission as an
agency of the Tribal Government.

1. The Torres Martinez Desert Cahuilla Indians Tribal Gaming
Commission shall be referred to throughout this Ordinance as the
“Tribal Gaming Commission” or “Commission”.

2. The Tribal Gaming Commission is authorized to regulate all
gaming on the Indian lands of the Torres Martinez Desert Cahuilla
Indians.

3. The Tribe recognizes the importance of an independent Tribal

Gaming Commission in maintaining a well-regulated gaming
operation. The Commission shall be and act independently and
autonomously from the Tribal Council in all matters within its
purview. No prior or subsequent review by the Tribal Council of
any actions of the Commission shall be required or permitted
except as otherwise provided in this Ordinance.

4, The Tribal Council of the Torres Martinez Desert Cahuilla Indians
shall serve as the Tribal Gaming Commission until the Tribal
Council appoints the members of the Tribal Gaming Commission
pursuant to the guidelines of this Ordinance.

B. Organization and Personnel

1. The Tribal Gaming Commission shall consist of five (5)
individuals. The members of the initial Commission shall be
recommended by the Gaming Commission Development
Committee and affirmed by a majority vote of the Tribal Council.
The members of subsequent Commissions shall be appointed by a
majority vote of the Tribal Council. There shall be at least three (3)
enrolled members of the Torres Martinez Desert Cahuilla Indians
on the Tribal Gaming Commission. All Tribal Gaming
Commission members must be at least 21 years of age, must be
deemed suitable after completion of a background investigation,

Page 8 of 14


1,
x %y
a z
x x
VG comm

APR - 9 2008

Thomas Weathers, Esq.

Alexander, Berkley, Williams & Weathers LLP
2030 Addison Street, Suite 410

Berkeley, California 94704

RE: Torres Martinez Desert Cahuilla Indians

Dear Mr. Weathers:

This letter is in response to your request for the National Indian Gaming Commission
(NIGC) to review and approve Resolution # TM-04-08-005, adopted and approved by the
Torres Martinez Desert Cahuilla Indian Tribal Council on April 3, 2008. This Resolution
amends the AMENDED CLASS III GAMING ORDINANCE by including Class II as
authorized gaming.

This letter constitutes approval of your submission under the Indian Gaming Regulatory
Act (IGRA). It is important to note, however, that the approval is granted for gaming only
on Indian lands, as defined in the IGRA, over which the Tribe has jurisdiction.

NATIONAL HEADQUARTERS — 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


Commissioners may hold other non-elective and non-managerial
tribal positions but may not engage in business with or gamble in
any Tribal gaming operation.

Commissioners shall be compensated at a rate established annually
by the Commission and approved by the Tribal Council.
Commissioners shall receive reasonable payment for attending
meetings, trainings, and conferences and shall be reimbursed for
actual expenses incurred on Commission business, including
necessary travel expenses and be provided with business
equipment necessary to carry out their duties in a manner
consistent with the applicable policies and procedures of the Tribe.

Officers

1.

8

The Tribal Gaming Commission shall select from its membership a
Chairperson to serve a three (3) year term. The Commissioner
selected as Chairperson must meet at teast one of the qualifications
set forth in Section B. 1. (a), (b) or (c) of this Ordinance. The
Chairperson shall serve as the Executive Director of the
Commission. The Tribal Gaming Commission shall select annually
from its membership a Vice-Chairperson and Executive Secretary.

The Chairperson shall chair Tribal Gaming Commission meetings,
and shall have the power to convene special meetings with not less
than 48 hours written or verbal notice to members of the
Commission.

The Chairperson shall be the agent for service of process.

The Vice-Chairperson shall Chair Tribal Gaming Commission
meetings when the Chairperson is unavailable.

The Gaming Commission Secretary shall keep minutes of meetings
and provide a copy to the Tribal Council.

General sessions of the Commission shall! be open to the public.

Executive sessions of the Commission shall not be open to the
public. The Commission may take official action only while in
executive session on Commission personnel and licensing matters.

A quorum shall consist of three members. All decisions shall be
made by a majority vote provided, however, that no Commission
action shall be taken by a vote of less than a majority of the full
Commission unless indicated otherwise in this Ordinance.

Page 11 of 14


d. The individual serves as a member of the Tribal Council; or

e. The individual serves as a member of any Board,
Commission, Committee or other governing body of a
Tribal Corporation, Sub-Corporation, Enterprise or other
business entity owned or controlled by the Tribe that
conducts gaming; or

f. The individual owns, operates or is employed by any
business or other entity that conducts business with any
Tribal gaming operation; or

g. The individual is employed by the Tribal Gaming
operation; or

h. The individual is directly related to or sharing the same
residence with any of the above.

The Tribal Gaming Commission shall have the authority to hire
and fire all staff required to carry out its responsibilities under this
Ordinance pursuant to the personnel policies governing
employment with the Tribe.

Terms. Commissioners shall serve a term of three (3) years and may be
removed from office prior to the end of their term only for good cause and
by unanimous vote of the remainder of the Tribal Gaming Commission or
by the majority vote of the Tribal Council members at an open, regular
Tribal Council meeting.

1.

In order to establish staggered terms, the Tribal Council shall
appoint the initial Commissioners as follows: two shall serve a I-
year term, two shall serve a 2-year term, one shall serve a 3-year
term. After the initial term, all subsequent terms of appointment
shall run for three years.

Vacancies resulting from the expiration of a Commissioner’s term
shall be filled within sixty (60) days by the Commission, with the
approval of Tribal Council, provided, however, that a
Commissioner whose term has expired shall hold the seat until it is
filled. A vacancy shall be deemed to occur when a Commissioner
is removed, resigns, dies, or upon expiration of his or her term
without regard to whether the Commissioner seeks reappointment.
When a vacancy occurs, notice of such vacancy shall be published
and posted, for at least fifteen (15) days. The notice shall identify
the qualifications, if any, specific to the vacancy and request
interested parties to file a statement with the Commission
reflecting their qualifications and interest in serving as a
Commission member.

Page 10 of 14


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.

Granting a Gaming License

1.

If, within a thirty (30) day period after the National Indian Gaming
Commission receives a report, the National Indian 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.

The Tribe shall respond to a request for additional information
from the Chairman of 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.

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, this 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.

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.

The Tribe shall notify the licensee of a time and a place for a
hearing on the proposed revocation of a license.

After a revocation hearing the Tribe shall clecide to revoke or to

reinstate a gaming license. The Tribe shall notify the National
Indian Gaming Commission of its decision.

Page 7 of 14


c. If not otherwise included, the four most highly
compensated persons in the gaming operation.

2. Primary management official means
a. The person having management Responsibility for a
management contract;
b, Any person whose authority:

() To hire and fire employees; or

(2) To set up working policy for the gaming; or
c. The chief financial officer or other person who has

financial management responsibility.

B, Application Forms

1. The following notice shall be placed on the application form for a
key employee or a primary 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
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.

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.

Page 3 of 14


16.

17.

18.

19,

20.

21.

22.

23.

24,

25.

26.

XI. Renewal

Promulgating and issuing regulations on the levying of fees and/or
taxes associated with gaming license applications;

Promulgating and issuing regulations on the levying of fines and/or
suspension or revocation of gaming licenses for violations of the
gaming ordinance, or any other Tribal, Federal, or State, if
applicable, gaming regulations; and

Establishing a list of persons not allowed to game in Tribal gaming
facilities in order to maintain the integrity of the gaming;

Establishing a list of persons who have voluntarily asked to be
excluded from Tribal gaming facility and create regulations for
enforcing this exclusion;

Providing referrals and information to the appropriate law
enforcement officials when such information indicates a violation
of applicable Tribal, Federal, or State statutes, ordinances, or
resolutions;

Creating a list of regulatory authorities that conduct vendor
background investigations and licensing which the Commission
recognizes as trustworthy;

Drafting regulations exempting vendors from the licensing and/or
background investigation requirements if they have received a
license from a recognized regulatory authority;

Developing a Code of Conduct to ensure that the Commission and
its employees are held to high ethical standards;

Ensuring that gaming facilities are constructed, maintained and
operated in a manner that adequately protects the environment and
the public health and safety;

Resolving disputes between the gaming public and the Tribe or the
management contractor (if any);

Performing such other duties the Commission deems appropriate to
fully implement the provision of this Ordinance for the proper
regulation of the Tribal gaming operation;

To the extent that they are inconsistent with this ordinance, all prior gaming
ordinances are hereby repealed.

Page 14 of 14



VI.

VII.

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 within one hundred twenty (120)
days of the fiscal year end of the gaming operation.

B. All gaming related contracts that result in the purchase of supplies,

service, or concessions in excess of $25,000.00 annually, except contracts
for professional legal and accounting services, shalt be specifically
included within the scope of the audit that is described in subsection A.

above.

Protection of the Environment and Public Health and Safety

Class III gaming facilities shall be constructed, maintained and operated in a
manner that adequately protects the environment and the public health and safety.

Licenses for Key Employees and Primary Management 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 III gaming enterprise operated on Indian lands:

A. Definitions

For the purposes of this section, the following definitions apply:

1. Key employee means
a. A person who performs one or more of the following
functions:
qd) caller;
(2) Counting room supervisor
(3) Chief of security;
(4) Custodian of gaming supplies or cash
(5) Floor manager
(6) Pit boss,
(7) Dealer;
(8)  Croupier;
(9) Approver of credit; or
(10) 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

Page 2 of 14


Mr

cong

Torres Martinez Desert Cahuilla Indian
Tribe, Tribal Code

Torres Martinez Desert Cahuilla Indians
AMENDED CLASS III GAMING ORDINANCE

Adopted April 10, 1999
Amended September 9, 2006

L Purpose

The Torres-Martinez Desert Cahuilla Indians empowered by the Tribe's Constitution to
enact ordinances, hereby enacts this ordinance in order to set the terms for Class III
gaming operations on tribal lands.

I. Gaming Authorized

Class III gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25
U.S.C. Section 2703 (8) (A) ("IGRA") and by the regulations promulgated by the
National Indian Gaming Commission 25 C.F.R § 502.3 (as published in the Federal
Register at 57 FR 12382-12393, April 9, 1992) is hereby authorized.

Ill. Ownership of Gaming

The Tribe shall have the sole propriety interest in and responsibility for the conduct of
any gaming operation authorized by this ordinance (unless the Tribe elects to allow
individually owned gaming).

IV. Use of Gaming Revenue

A. Net revenues from Class III 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, 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).

Page | of 14


E.

F,

Vacancies

1,

A Commissioner's seat shall be immediately vacant upon
conviction of any felony, conviction of any misdemeanor related

a.

To illegal gambling or bribery, or upon having three (3)
consecutive unexcused absences from Commission
meetings.

A Tribal Gaming Commissioner may be removed by the
Tribal Council for the following reasons: neglect of duty,
improper and unlawful execution of duty, nonfeasance,
misconduct in office, or for any conduct which threatens
the honesty and integrity of the Tribal Gaming Commission
or otherwise violates this Ordinance.

qd)

(2)

GB)

(4)

No Tribal Gaming Commissioner may be removed
without notice and an opportunity for a hearing
before the Tribal Council, and then only after the
Commissioner has been given written notice of the
specific charges at least ten (10) days prior to such
hearing. At any such hearing, the Commissioner
shall have the opportunity to be heard in person or
by a representative and to present witnesses on his
behalf.

Temporary Suspension: If the Tribal Council or
Tribal Gaming Commission determines that
immediate suspension of a Tribal Gaming
Commissioner is necessary to protect the interests
of the Tribe, the Tribal Council may hold a
preliminary hearing with the Commissioner to
consider whether to suspend the Commissioner
temporarily. Permanent removal shall be
determined thereafter pursuant to Commission
hearing procedures.

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

Removal: The decision of the Tribal Council upon
the removal of a Tribal Gaming Commissioner shall
be final.

The Tribal Gaming Commission shall adopt bylaws for the conduct of its
business, including, but not limited to, provisions for the adoption of
policies, procedures, regulations, or other rules for:

Page 12 of 14