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April 6, 2023

VIA EMAIL

Chairwoman Lovina Redner

Santa Rosa Band of Cahuilla Indians

65200 State Highway 74

Mountain Center, CA 92561

lsaul@santarosa-nsn.gov

Re: Santa Rosa Band of Cahuilla Indians’ Gaming Ordinance

Dear Chairwoman Redner,

This letter responds to the February 16, 2023 submission on behalf of the Santa Rosa 

Band of Cahuilla Indians (Tribe) informing the National Indian Gaming Commission (NIGC) 

that the Tribe adopted a tribal gaming ordinance. Upon review, the ordinance is substantially

similar to the NIGC Revised Model Ordinance promulgated in NIGC Bulletin 2018-1 and 

provides the Tribe with regulation of anticipated gaming activities.

Thank you for bringing this ordinance to our attention. The ordinance, as noted above, is

approved as it is consistent with the requirements of the Indian Gaming Regulatory Act and 

NIGC’s regulations. If you have any questions or require anything further, please contact Logan

Takao Cooper at (503) 318-7524 or Logan.Takao-Cooper@nigc.gov.

Sincerely,

E. Sequoyah Simermeyer

Chairman

cc: Vanessa Minott, Tribal Administrator, vminott@santarosa-nsn.gov

Thomas Weathers, Tribal Attorney, tom@thomasweatherslaw.com
SANTA ROSA BAND OF CAHUILLA INDIANS

GAMING ORDINANCE

Ordinance No. 103

SECTION 1: PURPOSE

The General Council of the Santa Rosa Band of Cahullla Indians, empowered by

the Governing Document of the Santa Rosa Band of Cahullla Indians adopted

December 22, 2014 (“Governing Document”), to enact ordinances, hereby enacts this

Gaming Ordinance (“Ordinance”) to govern and regulate the operation of Class II and

Class III gaming operations on the Tribe’s Indian lands.

SECTION 2; APPLICABILITY

Unless specifically indicated otherwise, all provisions of this Gaming Ordinance

shall apply to Class II and Class III gaming on the Tribe’s Indian lands.

SECTIONS: DEFINITIONS

The following terms shall have the following meanings:

Class II gaming” means Class II gaming as defined at 25 U.S.C. §

2703(7), as may be amended, and/or in regulations adopted under the Indian Gaming

Regulatory Act (“IGRA”) by the National Indian Gaming Commission (“NIGC”).

(a)

Class III gaming” means Class III gaming as defined at 25 U.S.C. §

2703(8), as may be amended, and/or in regulations adopted under IGRA by the NIGC.

(b)

Commission” or “Gaming Commission” means the Tribe’s Gaming

Commission established to perform regulatory oversight and to monitor compliance with

applicable tribal, federal, and state regulations.

(c)

Commissioner” or “Gaming Commissioner” means a tribal gaming

commissioner who is a member of the Commission.

(d)

The phrase “directly related to” means a spouse, child, parent,

grandparent, grandchild, or sibling.

(e)

(f) The term “facility license” means a separate license issued by the Tribe to

each place, facility, or location on the Tribe’s Indian lands where the Tribe elects to

allow Class II or Class III gaming.

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Adopted January 5, 2023
Gaming Operation” means each economic entity that is licensed by the

Tribe, operates the games, receives the revenues, issues the prizes, and pays the

expenses. A gaming operation may be operated by the Tribe directly, by a management

contractor under a Management Contract, or, under certain conditions, by another

person or entity.

(g)

General Council” means the Tribe’s governing body as described in

Article VII of the Governing Document.

(h)

(i) Indian lands” means;

(1) Land within the limits of an Indian reservation; or

(2) Land over which an Indian tribe exercises governmental power and

that is eitherA. Held in trust by the United States for the benefit of any Indian

tribe or individual: or

B. Held by an Indian tribe or individual subject to restriction by

the United States against alienation.

G) The term “key employee” means:

(1) A person who performs one or more of the following functions:

A. Bingo caller.

B. Counting room supervisor.

C. Chief of security.

D. Custodian of gaming supplies or cash.

E. Floor manager.

F. Pit boss.

G. Dealer.

H. Croupier.

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Adopted January 5, 2023
I. Approver of credit.

Custodian of gambling devices, including persons with

access to cash and accounting records within such devices.

J.

If not otherwise included in this subsection, any other person whose

total cash compensation exceeds $50,000 per year.

(2)

(3) If not otherwise included in this subsection, the four most highly

compensated persons in the Gaming Operation.

(4) Any other person designated by the Tribe as a key employee.

Licensee” means a tribally owned Class II or Class HI Gaming Operation

or a person licensed by the Commission as a primary management official, key

employee, or other gaming employee under the provisions of this Gaming Ordinance.

(k)

Management Contract” means any contract, subcontract, or collateral

agreement between an Indian tribe and a contractor or between a contractor and a

subcontractor if such contract or agreement provides for the management of all or part

of a Gaming Operation.

(I)

(m) The term “net revenues” means gross gaming revenues of each Gaming

Operation less

(1) Amounts paid out as, or paid for, prizes; and

(2) Total gaming-related operating expenses, including all those

expenses of the Gaming Operation commonly known as operating

expenses and non-operating expenses consistent with professional

accounting pronouncements, excluding management fees.

(n) The term “primary management official” means:

(1) The person(s) having management responsibility for a

Management Contract.

(2) Any person who has authority -

A. To hire and fire employees; and/or

B. To set up working policy for the Gaming Operation

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Adopted January 5, 2023
(3) The chief financial officer or other person who has financial

management responsibility.

(4) Any other person designated by the Tribe as a primary

management official.

(0) Tribal Council” means the Tribe’s Tribal Council as described in Article XI

of the Governing Document.

(P) Tribal-State Compact” means an agreement between the Tribe and State

of California about Class III gaming under 25 U.S.C. § 2710(d).

Tribe” means the Santa Rosa Band of Cahuilla Indians (also known as

the Santa Rosa Band of Cahuilla Indians, California), a federally recognized Indian tribe.

(q)

SECTION 4; GAMING AUTHORIZED

Class II and Class III gaming are authorized to be conducted on the Tribe’s

Indian lands, if such gaming is conducted in accordance with this Gaming Ordinance,

the Indian Gaming Regulatory Act, the NIGC’s regulations, any other applicable laws or

regulations, and as applicable, a Tribal-State Compact.

SECTION 5: OWNERSHIP OF GAMING

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

conduct of any Gaming Operation authorized by this Gaming Ordinance.

SECTIONS: USE OF NET GAMING REVENUES

Net revenues from tribal gaming shall be used only to fund the Tribe’s

government operations or programs, to provide for the general welfare of the Tribe and

its members, to promote tribal economic development, to donate to charitable

organizations, and/or to help fund operations of local government agencies.

SECTION 7: PER CAPITA PAYMENTS

Net revenues from any Class II and Class III gaming activities conducted or

licensed by the Tribe may be used to make per capita payments to members of the

Tribe if the Tribe has prepared a plan to allocate revenues to one or more of the five

uses authorized herein, the plan is approved by the Secretary of the Interior as

adequate, particularly with respect to the uses described herein, the interests of minors

and other legally incompetent persons who are entitled to receive any of the per capita

payments are protected and preserved, and the per capita payments are disbursed to

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Adopted January 5, 2023
the parents or legal guardian of such minors or legal incompetents in such amounts as

may be necessary for the health, education, or welfare of the minor or other legally

incompetent person, and the per capita payments are subject to federal taxation and the

Tribe notifies its members of such tax liability when payments are made.

SECTIONS: GAMING COMMISSION

(a) The Tribe hereby establishes a Commission to regulate the Tribe’s

Gaming Operation. The Commission shall consist of three members, including a Chair,

Vice-Chair and one additional Commissioner. The General Council by resolution may

increase the number of Commissioners. The Commission will serve as a regulator and

not an operator.

The Commission will conduct oversight to ensure compliance with

applicable tribal, federal, and state laws and regulations. It will serve as the licensing

authority for individuals employed in the Gaming Operation and will administer

background investigations as part of the licensing process. The Commission will also

have a role in monitoring compliance with the Gaming Operation’s internal controls and

in tracking gaming revenues. The Commission shall have unrestricted access to all

areas of the Gaming Operation and to all its records. The Commission shall have

authority to take enforcement actions, including suspension or revocation of an

individual gaming license, when appropriate.

(b)

Commissioner positions shall be filled through appointment by the Tribal

Council. A majority of the Commission should be members of the Tribe. The Tribal

Council shall fill any vacancy on the Commission for the balance of the term for the

Commission position that becomes vacant. The Tribal Council shall seek to fill a

Commission position within 30 days of it becoming vacant.

(c)

Terms of office for members of the Commission shall be as follows: The

Chair shall serve an initial term of one year, with subsequent Commission chairs serving

3-year terms; and the Vice-Chair and other Commissioners shall serve an initial term of

two years, with subsequent vice-chairs and Commissioners serving 3-year terms. If

additional Commissioner positions are added, the Commissioners filling those new

positions will serve an initial term of two years, with subsequent Commissioners serving

3-year terms.

(d)

(e) The following persons are not eligible to serve as members of the Gaming

Commission:

(1) Tribal Council members, while serving as such.

(2) Current employees of the Gaming Operation.

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Adopted January 5, 2023
(3) Persons who own, operate, or are employed by any business or

other entity that conducts business with the Gaming Operation.

(4) Persons directly related to, or sharing a residence with, any of the

above.

(5) Persons who are ineligible to be key employees or primary

management officials.

Non-members of the Tribe previously convicted of any felony, or

misdemeanor offense of embezzlement, theft or any other money-related or honestyrelated misdemeanor offense, cannot serve as Commissioner. Members of the Tribe

previously convicted of any felony, or misdemeanor offense of embezzlement, theft or

any other money-related or honesty-related misdemeanor offense, will only be allowed

to serve as a Commissioner if the Tribal Council specifically finds that a significant

amount of time has passed and the member of the Tribe is now rehabilitated and of

trustworthy character.

(f)

The Tribal Council shall require a criminal history check with appropriate

law enforcement agencies for each Commissioner candidate, shall review the

candidate’s criminal history check results, and shall make an appropriate eligibility

determination before appointing an individual to the position of Commissioner. The

Tribal Council shall not appoint any person whose criminal record, if any, reputation,

habits, or associations, in the determination of the Tribal Council, pose a threat to the

public interest, threaten the effective regulation and control of gaming, or enhance the

dangers of unsuitable, unfair, or illegal practices, methods, or activities in the conduct of

gaming.

(g)

The Tribe recognizes the importance of an independent Commission in

maintaining a well-regulated Gaming Operation. The Commission shall be independent

of, 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 explicitly provided in

this Gaming Ordinance. To avoid potential conflicts of interest between the operation

and regulation of the gaming facility, the Tribe requires, at a minimum, the following:

(h)

(1) Members of the Commission are prohibited from gambling in the

Tribe’s facilities.

(2) Commissioners are prohibited from accepting complimentary items

from the Gaming Operation, excepting a limited or moderate

amount of food and beverages.

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Adopted January 5, 2023
(3) Commissioners may only be removed from office by the Tribal

Council, prior to the expiration of their respective terms, for neglect

of duty, misconduct, embezzlement, malfeasance, or other acts that

would render a Commissioner unqualified for the position. (As well,

Commissioners may be removed from office for a criminal

indictment or conviction.)

(i) The Commission shall do the following:

(1) Conduct background investigations, or cause such investigations to

be conducted, for primary management officials and key

employees.

(2) Review and approve ail investigative work conducted in connection

with the background investigations of primary management officials

and key employees.

(3) Create and maintain investigative reports based on the background

investigations of primary management officials and key employees.

(4) Designate a law enforcement agency to obtain and process

fingerprints and conduct a criminal history check that shall include a

check of criminal history records information maintained by the

Federal Bureau of Investigation.

(5) Make licensing eligibility determinations, which shall be signed by

the Chair of the Commission.

(6) Submit a notice of results to the NIGC of the background

investigations done for each primary management official and key

employee applicant.

(7) Issue gaming licenses to primary management officials and key

employees of the operation, if warranted by the eligibility

determination.

(8) Establish standards for licensing tribal gaming facilities.

(9) Issue gaming licenses to tribal gaming facilities when appropriate.

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Adopted January 5, 2023
Inspect, examine, and monitor all of the Tribe’s gaming activities,

and have immediate access to review, inspect, examine, photocopy

and audit all records of the gaming facilities and operations.

(10)

(11) Ensure compliance with ail applicable tribal, federal, and state laws

rules, and regulations regarding Indian gaming.

(12) Investigate any suspicion of wrongdoing associated with any

gaming activities.

(13) Hold hearings on patron gaming complaints, in accordance with

procedures established in this Gaming Ordinance and the Tribe’s

gaming regulations.

(14) Comply with any and all reporting requirements under IGRA, the

NIGC’s regulations and any Tribal-State Compact to which the Tribe

is a party, and any other applicable law.

(15) Promulgate and issue regulations necessary to comply with

applicable internal control standards.

(16) Promulgate and issue regulations on the levying of fees and taxes

associated with gaming license applications.

(17) Promulgate and issue regulations on the levying of fines and the

suspension or revocation of gaming licenses for violations of this

Gaming Ordinance or any applicable tribal, federal, or state gaming

regulations.

(18) Establish a list of persons not allowed to game in the Tribe’s gaming

facilities in order to maintain the integrity of the Gaming Operation.

(19) Establish a list of persons who have voluntarily agreed to be

excluded from the Tribe’s gaming facilities and create regulations

for enforcing the exclusions.

Provide referrals and information to the appropriate law

enforcement officials when such information indicates a violation of

applicable tribal, federal, or state statutes, ordinances, regulations,

codes, or resolutions.

(20)

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Adopted January 5, 2023
(21) Create a list of regulatory authorities that conduct background

investigations of, and license, vendors who are recognized as

trustworthy.

(22) Draft regulations exempting vendors from the licensing and

background investigation requirements if they have received a

license from a recognized regulatory authority.

Perform such other duties the Commission deems appropriate for

the proper regulation of the Tribe’s Gaming Operation.

(23)

(24) Promulgate such regulations and guidelines as deemed appropriate

to implement the provisions of this Gaming Ordinance, so long as

they are in furtherance of, and not in conflict with, any provisions of

this Gaming Ordinance.

Before adopting, amending, and repealing regulations, the Commission

shall give notice of any such proposed action to the Tribal Council, each Gaming

Operation, and all other persons whom the Commission has reason to believe have a

legitimate interest in the proposed action. The notice shall invite comments and

describe the general nature of the proposed action and the manner in which comments

on the proposed action shall be received by the Commission.

G)

The Commission shall ensure that all records and information obtained as

a result of an employee background investigation, including the identity of each person

interviewed in the course of an 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 others employed by the Tribe’s Gaming Operation on a need-to-know

basis, for actions taken in their official capacities.

(k)

The confidentiality requirements above 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, or for disclosures of such records or information

otherwise required by law.

(I)

(m) A majority of the Commission shall constitute a quorum. 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.

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Adopted January 5, 2023
Commissioners shall be compensated at a level determined by the Tribal

Council as set forth in an annual operating budget. To ensure no improper influence on

the Commission, a Commissioner’s compensation shall not be based on a percentage

of gaming revenue.

(n)

(0) The Commission shall keep a written or recorded record of all its

meetings.

The Commission shall adopt an annual operating budget, subject to Tribal

Council approval. The Commission may, consistent with its budget, employ a staff as it

deems necessary to fulfill the Commission’s responsibilities under this Ordinance and

may retain legal counsel, consultants, and other professional services, including

investigative services, to assist the Commission with its responsiblities under this

Ordinance. The expenses of the Commission identified in its annual operating budget

shall be appropriated by the Tribal Council from the revenues of the Gaming Operation,

unless otherwise determined by resolution of the Tribal Council.

(P)

SECTION 9; AUDITS

The Tribe shall cause to be conducted annually independent audits of

each Gaming Operation and shall submit the results of those audits to the NIGC.

(a)

(b) Annual audits shall conform to generally accepted auditing standards.

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

services, or concessions for more than $25,000 in any year (except contracts for

professional legal or accounting services) shall be specifically included within the scope

of the audit conducted hereunder.

(c)

Copies of the annual audit of each licensed Gaming Operation, and each

audit for supplies, services, or concessions of each Gaming Operation, shall be

furnished to the NIGC within 120 days after the end of each fiscal year of the Gaming

Operation pursuant to the requirements of 25 C.F.R. part 571, Subpart D (Audits), as

may be amended.

(d)

SECTION 10: ENVIRONMENT AND PUBLIC HEALTH AND SAFETY

Each gaming facility shall be constructed, maintained, and operated in a manner

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

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Adopted January 5, 2023
SECTION 11: PATRON DISPUTE

Patrons with complaints against the Gaming Operation regarding gaming

shall have as their sole remedy the right to file a petition for relief with the Commission

relating to the play or operation of any gaming activity at the Gaming Operation,

including any refusal by the Gaming Operation to pay a patron any alleged winnings

from any gaming activities at the Gaming Operation.

(a)

As a pre-condition to filing a petition for relief with the Commission, a

patron must file a written complaint regarding the incident with the Gaming Operation’s

general manager within one day of the incident giving rise to the complaint. The general

manager, or his or her designee, will investigate the matter on a timely basis and

provide his or her findings in writing, together with any proposed resolution or

settlement, to the patron. In the event the patron accepts any proposed resolution or

settlement, the general manager or designee and the patron shall execute a final

release and settlement.

(b)

In the event the patron disagrees with the findings or rejects any proposed

resolution or settlement, as described above, the patron may submit a written petition

for relief with the Commission. Any petition for relief must be submitted to the

Commission within 15 days of the patron receiving, or being sent, the findings and any

proposed resolution or settlement from the general manager or general manager’s

designee. Such findings shall include notice of the right to file a petition for relief with the

Commission: in the event such notice is not provided, the above-described time-period

for filing a petition for relief is extended from 15 days to 90 days.

(c)

The Commission shall hold a hearing within 60 days of receipt of the

patron’s petition for relief. The petitioning patron may have counsel present at the

hearing (at the patron’s cost and expense). The petitioning patron may be allowed to

present evidence, at the discretion of the Commission.

(d)

After the hearing, the Commission shall render a written decision in a

timely fashion, which will include findings of facts and the reasoning for the decision. All

such decisions will be final when issued. The Commission’s decision shall constitute the

petitioning patron’s final remedy.

(e)

A notice describing the process for addressing a patron’s gaming dispute

under this section shall be posted or otherwise made available at the Gaming

Operation.

(f)

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Adopted January 5, 2023
SECTION 12: FACILITY LICENSES

The Tribe shall issue, where appropriate, a separate license to each

place, facility, or location on Indian lands where Class II or Class III gaming is

conducted under this Gaming Ordinance.

(a)

The Commission is responsible for issuing new or renewed facility

licenses to each place, facility, or location.

(b)

The Commission shall require that a facility license application be

completed by the chief management official of the gaming facility for each gaming

place, facility, or location.

(c)

The Commission shall identify the environmental, health, and public safety

standards with which the place, facility, or location must comply, and specify the form,

conditions, and content of a facility license application. The application shall include a

legal description of the lands upon which the facility is located and a certification that the

site constitutes “Indian lands,” as defined in IGRA, the NIGC’s regulations, the NIGC

Office of General Counsel and DOI Solicitor Offices’ Indian lands legal opinions, judicial

decisions, and any other applicable law.

(d)

The Commission shall only issue a facility license if the application

includes the required information and documentation, and sufficiently satisfies any

additional conditions deemed necessary by the Tribe.

(e)

(0 The Tribe or Commission shall submit to the NIGC Chair a notice that

issuance of a facility license is under consideration by the Commission. The notice must

include information or documentation as required under 25 C.F.R. part 559, as may be

amended, and must be submitted at least 120 days before the opening of any new

place, facility, or location on Indian lands where Class II or Class III gaming will occur.

The Commission shall submit a copy of each newly issued or renewed

facility license to the NIGC Chair within 30 days of issuance, along with any other

required documentation, including, as required, an attestation certifying that by issuing

the facility licenses, the Tribe has determined that the construction and maintenance of

the gaming facility, and the operation of that gaming, is conducted in a manner which

adequately protects the environment and the public health and safety.

(g)

The Tribe shall notify the NIGC Chair within 30 days if a facility license is

terminated or expires, or if a gaming place, facility, or location closes or reopens.

(h)

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Adopted January 5, 2023
SECTION 13; AGENT FOR SERVICE OF PROCESS

The Tribe designates the Tribal Chairperson as the agent for service of any

official determination, order, or notice of violation.

SECTION 14: TRIBAL ACCESS TO FINANCIAL INFORMATION

A copy of each Gaming Operation’s annual audit will be made available for

review to the Tribal Council and, upon request, to members of the General Council. For

review by members of the General Council, the Gaming Commission may require that

the annual audit is reviewed at a designated tribal office or facility, which is reasonably

accessible, during regular business hours.

SECTION 15: LICENSE APPLICATION FORMS

(a) The following notice shall be placed on the Tribe’s 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.

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Adopted January 5, 2023
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:

(b)

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).

SECTION 16: LICENSE FEES

The Tribe may charge a license fee, to be set by the Commission, to cover its

expenses in investigating and licensing key employees and primary management

officials of the Gaming Operation.

SECTION 17: BACKGROUND INVESTIGATIONS

(a) The Tribe shall perform a background investigation for each primary

management official and key employee in its Gaming Operation. The investigation must

be sufficient to allow the Commission to make an eligibility determination as required

herein.

The Commission is responsible for conducting the background

investigations of primary management officials and key employees. The background

investigation shall include a check of criminal history records information maintained by

the Federal Bureau of Investigation.

(b)

The Tribe shall request fingerprints from each primary management

official and key employee. The law enforcement agency designated to take fingerprints

shall be designated by resolution of the Commission.

(c)

(d) The Commission shall request from each primary management official and

key employee all the following information:

(1) Full name, other names used (oral or written), social security

number, birth date, place of birth, citizenship, gender, and all

languages (spoken or written).

(2) Currently, and for the previous five years, business and

employment positions held, ownership interests in those

businesses, business and residential addresses, and driver’s

license numbers.

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Adopted January 5, 2023
(3) 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 above.

(4) Current business and residential telephone numbers, and all cell

phone numbers.

A description of any existing and previous business relationships

with other tribes, including any ownership interests in those

businesses.

(5)

(6) A description of any existing and previous 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.

(7)

(8) 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.

(9) 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.

(10) 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, the criminal

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

disposition, if any.

(11) 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.

(12) A current photograph.

(13) Any other information the Tribe deems relevant.

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Adopted January 5, 2023
(14) Fingerprints obtained in accordance with procedures adopted by the

Tribe.

When a primary management official or key employee is employed by the

Tribe, a complete application file, containing all of the information listed herein, shall be

maintained.

(e)

The Commission, and its investigators, shall keep confidential the identity

of each person interviewed in the course of conducting a background investigation.

(f)

SECTION 18: PROCEDURES FOR CONDUCTING BACKGROUND

INVESTIGATIONS

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 background investigation must be sufficient for the

Commission to make an eligibility determination for licensing purposes, and to this

purpose, the Commission must be able to review a person’s prior activities, criminal

record (if any), and reputation, habits, and associations to make an eligibility finding for

licensing purposes.

(a)

(b) To the extent deemed necessary to fulfill the requirements herein, and

with oversight by the Commission, the investigator shall do the following:

Verify the applicant’s identity through items such as a social

security card, driver’s license, birth certificate, or passport.

(1)

(2) Contact each personal and business reference provided in the

license application, when possible.

(3) Conduct a personal credit check.

(4) Conduct a civil history check, which may include, among other

things, past or outstanding judgments, current liens, and past or

pending lawsuits.

(5) Conduct a criminal history records check.

(6) 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 or misdemeanor convictions or ongoing

prosecutions within the past 10 years.

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Adopted January 5, 2023
(7) 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.

(8) Verify the applicant’s history and current status with any licensing

agency by contacting the agency.

(9) Take other appropriate steps to verify the accuracy of the

information, focusing on any problem areas noted.

SECTION 19: INVESTIGATIVE REPORTS

The Tribe shall create and maintain an investigative report for each

background investigation of a primary management official or key employee.

(a)

Investigative reports shall include the steps taken in conducting the

investigation, results obtained, conclusions reached, and the basis for those

conclusions.

(b)

SECTION 20: ELIGIBILITY DETERMINATIONS

Before a license is issued to a primary management official or key

employee, an authorized tribal official 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.

(a)

If the authorized tribal official, 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 or methods or activities in the conduct of gaming, he or she

shall not license that person.

(b)

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.

(c)

SECTION 21: NOTICE OF RESULTS OF BACKGROUND INVESTIGATIONS

Before issuing a license to a primary management official or key

employee, the Commission shall prepare a notice of results of the applicant’s

background investigation to submit to the NIGC.

(a)

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The notice of results must be submitted to the NIGC no later than 60 days

after the applicant begins working for the Tribe.

(b)

(c) The notice of results shall include the following information:

(1) The applicant’s name, date of birth, and social security number.

The date on which the applicant began, or will begin, working as a

primary management official or key employee.

(2)

A summary of the information presented in the investigative report

including the following:

(3)

A. Licenses that have previously been denied.

Gaming licenses that have been revoked, even if

subsequently reinstated.

B.

Every known criminal charge brought against the applicant

within the last 10 years of the date of the application.

C.

Every felony offense of which the applicant has been

convicted or any ongoing prosecution.

D.

(4) A copy of the eligibility determination.

SECTION 22: GRANTING GAMING LICENSES

All primary management officials and key employees of the Gaming

Operation must have a valid and active gaming license issued by the Tribe.

(a)

The Commission is responsible for granting and issuing gaming licenses

to primary management officials and key employees.

(b)

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 herein. A license is a privilege and not a right, and

a license is subject to suspension or revocation at any time.

(c)

The Commission shall notify the NIGC of the issuance of a license to a

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

(d)

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Adopted January 5, 2023
The Tribe shall not employ an individual in a primary management official

or key employee position who does not have a permanent license after 90 days of

beginning work at the Gaming Operation. The Commission may issue temporary

licenses for up to 90 days in compliance with this Ordinance.

(e)

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 30 days

of the NIGC receiving a notice of results of the applicant’s background investigation.

(f)

The Commission shall take the NIGC’s objections into account when

reconsidering a license application.

(g)

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

an applicant for a primary management official or key employee position.

(h)

If the Commission 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 herein.

(i)

SECTION 23: DENYING GAMING LICENSES

The Commission shall not license a primary management official or key

employee if an authorized tribal official determines, in applying the standards for making

a license eligibility determination, that licensing the person poses a threat to the public

interest, poses a threat to the effective regulation of gaming, or creates or enhances the

dangers of unsuitable, unfair, or illegal practices or methods or activities in the conduct

of gaming.

(a)

(1) The decision of the Commission to deny and not issue a license is

final and not subject to a hearing or appeal, except as provided in

paragraph 2 of this subsection.

(2) In the event a decision to deny a license is made with respect to a

person who previously held, or currently holds, a license for a

primary management official or key employee (for example, where a

primary management official’s or key employee’s license is expiring

and he or she is applying for a new or renewal license), the

Commission’s written decision to deny the new or renewal license

will be accompanied with a statement notifying the denied applicant

of a right to make a request in writing for a hearing before the

Commission on the denial decision. Such request must be

submitted to the Commission within 10 days of the mailing or

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Adopted January 5, 2023
delivery to the applicant of the written notice denying the license

and providing notice of the right to request a hearing. In the event

the applicant timely requests a hearing, the Commission shall

provide the applicant with notice of a time and place for the hearing.

The applicant may have counsel present at the hearing at the

applicant’s cost and expense. Following a license denial hearing

before the Commission, the Commission shall decide whether to

affirm the denial or issue the license. The decision of the

Commission is final.

(b) 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 notify the NIGC and 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.

SECTION 24: GAMING LICENSE SUSPENSIONS AND REVOCATIONS

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

employee, the Tribe receives notice from the NIGC that the person is not eligible for

employment, the Commission shall immediately suspend the license, provide the

Licensee with written notice of the suspension and proposed revocation, and provide

the Licensee with notice of a time and place for a hearing on the proposed revocation of

the license. The Licensee may have counsel present at the hearing at his or her cost

and expense. Following a revocation hearing before the Commission, the Commission

shall decide whether to revoke or reinstate the license at issue, and the decision of the

Commission is final. The Commission shall notify the NIGC of its decision to revoke or

reinstate a license within 45 days of receiving notification from the NIGC that a primary

management official or key employee is not eligible for employment.

(a)

After a license is issued to a primary management official or a key

employee, the Commission may immediately suspend such license if the Commission

determines that a person issued a license poses a threat to the public interest, poses a

threat to the effective regulation of gaming, or creates or enhances the dangers of

unsuitable, unfair, or illegal practices or methods or activities in the conduct of gaming,

or that a person issued a license withheld pertinent information or made a false

statement in the license application process, violated this Ordinance or the rules or

regulations of the Gaming Commission, has been convicted or has entered a plea of

nolo contendere to any crime involving gaming, fraud, theft, or embezzlement or the

sale of illegal narcotics or controlled substances, or has refused to comply with any

lawful order, inquiry or directive of the Commission, the Tribal Council, the federal

government, or any court of competent jurisdiction.

(b)

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Adopted January 5, 2023
A person suspended under this subsection shall be provided with

written notice of the suspension and proposed revocation and

provided with notice of a time and place for a hearing on the

proposed revocation of the license. The person suspended may

have counsel present at the hearing at his or her cost and expense.

(1)

Following a revocation hearing before the Commission, the

Commission shall decide whether to revoke or reinstate the license

at issue. The decision of the Commission is final.

(2)

SECTION 25: RECORDS RETENTION

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

application for licensing, investigative reports, and eligibility determinations.

SECTION 26: LICENSES FOR VENDORS

Vendors of gaming services or supplies, with a total value of $25,000 or more

annually, must have a vendor license from the Commission to transact business with

the Gaming Operation. Contracts for professional legal and accounting services are

excluded from this requirement.

SECTION 27: SUBMISSION OF A VENDOR LICENSE APPLICATION

To obtain a gaming vendor license, the business must complete a vendor

application and submit to background checks of itself and its principals. Principals of a

business include those officers, directors, managers, members, owners, partners, and

non-institutional stockholders that either own 10% or more of the business’ stock, or

interest in the business, or are the ten largest stockholders, or interest holders, as well

as the on-site supervisors or managers designated in an agreement with the Tribe, if

applicable.

SECTION 28: CONTENTS OF THE VENDOR LICENSE APPLICATION

(a) Applications for gaming vendor licenses must include the following:

(1) Name of business, business address, business telephone

number(s), federal tax identification number (or social security

number, if a sole proprietorship), main office address (if different

from business address), any other names used by the applicant in

business, and type of service(s) applicant will provide.

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Adopted January 5, 2023
Whether the applicant is a partnership, corporation, limited liability

company, sole proprietorship, or other entity.

(2)

If the applicant is a corporation, the state of incorporation and the

qualification to do business in the State of California, if the Gaming

Operation is in a different state than the state of incorporation.

(3)

Trade name, other names ever used, and names of any wholly

owned subsidiaries or other businesses owned by the vendor or its

principals.

(4)

(5) General description of the business and its activities.

Whether the applicant will be investing in, or loaning money to, the

Gaming Operation, and if so, how much.

(6)

A description of any existing and previous business relationships

with the gaming industry generally, including ownership interests in

those businesses.

(7)

A list of Indian tribes with which the vendor has an existing or

previous business relationship, including ownership, financial, or

management interests in any non-gaming activity (on a case by

case basis the Commission may determine if the listing does not

need to be all-inclusive, for example, where a vendor has extensive

interaction with numerous Indian tribes).

(8)

(9) Names, addresses, and telephone numbers of three business

references with whom the company has regularly done business for

the last five years.

The name and address of any licensing or regulatory agency with

which the business has filed an application for a license or permit

related to gaming, whether or not such license or permit was

granted.

(10)

(11) If the business has ever had a license revoked for any reason, the

circumstances involved.

A list of lawsuits to which the business has been a defendant,

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

and disposition, if any.

(12)

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Adopted January 5, 2023
A list of the business’ funding sources and any liabilities of $50,000

or more (unless a higher dollar amount is established by the

Commission).

(13)

A list of the principals of the business, their social security numbers,

addresses, telephone numbers, titles, and percentage of ownership

in the company.

(14)

(15) Any further information the Tribe deems relevant.

(b) The following notice shall be placed on the application form for a vendor

and its principals:

Inclusion of false or misleading information in the vendor application may

be grounds for denial or revocation of the Tribe’s vendor license.

A vendor may submit to the Commission a copy of a recent license

application to another jurisdiction if it contains the information listed above. The vendor

will be required to submit, in writing, any changes in the information since the other

license application was filed, and any information requested by the Tribe not contained

in the other application.

(c)

SECTION 29: VENDOR BACKGROUND INVESTIGATIONS

The Commission shall employ or otherwise engage an investigator to

complete an investigation of a gaming vendor.

(a)

(b) This investigation shall include, at a minimum, the following steps:

Verification of the vendor’s business’ incorporation status and

qualifications to do business in the state where the Gaming

Operation is located.

(1)

(2) Obtaining a business credit report, if available, and conducting a

Better Business Bureau check on the vendor.

(3) Conducting a check of the vendor’s business’ credit history.

(4) Calling and questioning each of the references listed in the vendor

application.

(5) Conducting an investigation of the principals of the vendor’s

business, including facilitating a criminal history check, obtaining

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Adopted January 5, 2023
criminal history check results, obtaining a credit report, and

interviewing the personal references listed.

SECTION 30: VENDOR LICENSE FEES

The Tribe may charge a license fee. to be set by the Commission, to cover its

expenses in investigating and licensing vendors of the Gaming Operation.

SECTION 31: VENDOR BACKGROUND INVESTIGATION REPORTS

The investigator shall complete an investigative report covering each of the steps

taken in the background investigation of the gaming vendor and its principals and

present it to the Commission.

SECTION 32: VENDORS LICENSED BY RECOGNIZED REGULATORY

AUTHORITIES

The Commission may adopt regulations naming specific licensing authorities that

it recognizes and may authorize exemptions to the vendor licensing process for vendors

who have received a license from one of the named regulatory authorities.

SECTION 33: COMPLIANCE WITH FEDERAL LAW

The Tribe shall comply with all applicable federal laws, including the Bank

Secrecy Act, 31 U.S.C. § 5311 et seq.

SECTION 34: MISCELLANEOUS

This Ordinance supersedes, replaces, and repeals all conflicting

provisions of any prior ordinance of the Tribe. If the provisions of this Ordinance conflict

with the provisions of any ordinance, regulation, policy, or procedure of the Tribe, the

provisions of this Ordinance shall control.

(a)

This Ordinance does not constitute a waiver of the sovereign immunity of

the Tribe or its officers, officials, commissioners, managers, directors, employees,

attorneys, and agents, and the Tribe reserves all rights for itself, and its officers,

officials, commissioners, managers, directors, employees, attorneys, and agents not

expressly waived by this Ordinance. No individual on behalf of the Tribe, Gaming

Commission, or Gaming Operation may waive sovereign immunity without prior written

approval from the Tribe, Gaming Commission, or Gaming Operation, as applicable.

(b)

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Adopted January 5. 2023
If any provision of this Ordinance or the application thereof to any person

or circumstance is held invalid, the remainder shall not be affected and shall remain in

full force and effect, provided the original intent remains.

(c)

Any time-period set forth in this Gaming Ordinance that ends or expires on

a weekend, federal holiday, or holiday recognized by the Tribe shall be extended to the

next business day falling after such weekend, federal holiday, or tribal holiday.

(d)

Unless the context clearly requires otherwise, plural words include the

singular and singular words include the plural, the masculine, feminine, and neuter

genders are each deemed to include the others, the words “shall” “will” “must” and

“agrees” are mandatory, the words “may” “should” and “might” are permissive, the word

“or” is not exclusive, the words “includes” and “including” are not limiting, and defined

terms may or may not be capitalized herein.

(e)

This Ordinance, including any ambiguities herein, shall be interpreted and

construed strictly and narrowly in favor of the Tribe. The section headings, and other

headings, contained in this Ordinance are for reference purposes only and shall not

affect the meaning or interpretation of this Ordinance. Nothing in this Ordinance may be

interpreted or construed to grant or permit any jurisdiction to the State of California not

otherwise granted or permitted by applicable law.

(f)

SECTION 35: AMENDMENTS

The Tribal Council may amend this Ordinance as it deems appropriate and

reasonable, and to comply with changes in applicable federal law. All amendments to

this Ordinance must receive NIGC approval as required by IGRA or its implementing

regulations before the amendment becomes effective.

SECTION 36: EFFECTIVE DATE

This Gaming Ordinance shall take effect immediately upon its approval by the

NIGC Chair.

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Adopted January 5, 2023
CERTIFICATION

We, the Tribal Chair and Tribal Secretary of the Santa Rosa Band of Cahuilla Indians,

hereby certify that the foregoing Ordinance No. 103 was adopted by the General

Council by election on January 5, 2023 by a ballot vote of 46 in favor, and 4 opposed.

Tribal Chair

ATTEST:

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Adopted January 5, 2023