TITLE 5

GAMING

Ch. 1. Indian Gaming Regulatory Act Compliance

Ch. 2. Tribal Gaming Commission

CHAPTER 1. INDIAN GAMING REGULATORY ACT COMPLIANCE

Section 5-101 Purpose.

The Cabazon Band of Mission Indians (hereinafter “Tribe”), empowered by the Tribe’s Articles

ofAssociation to enact ordinances, hereby enacts this Chapter in order to ensure that Class II and

Class III gaming operations on tribal lands are conducted in accordance with the Indian Gaming

Regulatory Act.

Section 5-102 DeRnitions.

Unless otherwise defined herein, the terms used in this Title shall have the same meanings as set

forth in the Compact and in the Indian Gaming Regulatory Act, (“IGRA”), 25 U.S.C. § 2701 et seq.

Compact means the Tribal-State Compact between the State ofCalifornia and the Tribe currently

in effect.

Key Employee means a person who performs one or more ofthe following functions:

(a) Bingo Caller;

(b) Counting Room Supervisor;

(c) Director of Security;

(d) Custodian of Gaming Supplies or Cash;

(e) Floor Manager;

(f) Pit Boss;

(g) Dealer;

(h) Croupier;

(i) Approver ofCredit; or

(i) Custodian of Gaming Devices, including persons with access to cash and

accounting records within such devices.

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(k) If not otherwise included, any other person whose total cash compensation is in

excess of $50,000 per year;

(l) Ifnot otherwise included, the four most highly compensated persons in the Gaming

Operation; and/or

(m) Any position formally designated by the Tribal Gaming Commission to be

considered a Key Employee.

License means the written approval ofthe Tribal Gaming Commission that authorizesthe privilege

of conducting gaming or working in gaming within the jurisdiction of the Tribe to a specific

individual and/or a specific entity and/or a specific Gaming Facility and/or Gaming Operation.

Licensee means an individual, entity and/or facility, which has received a License.

Minimum Internal Control Standards or MICS means the Internal Controls Established by the

National Indian Gaming Commission as published in the Federal Register.

NationalIndian Gaming Commission or NIGC, means the federal gaming regulatory body created

by the IGRA, and as IGRA may hereafter be amended.

Net Revenues means gross gaming revenues ofthe Gaming Operation less amounts paid out as, or

paid for, prizes, and total gaming-related operating expenses, including all those expenses ofthe

Gaming Operation commonly known as operating expenses and non-operating expenses consistent

with professional accounting pronouncements, excluding any management fees.

Primary Management Official means:

(a) The person having management responsibility for a management contract;

(b) Any person who has authority to:

(1) hire and fire employees, or

(2) set up working policy for the Gaming Operation.

(c) The chief financial officer or other person who has financial management

responsibilities for the Gaming Operation; or

(d) Any position formally designated by the Tribal Gaming Commission as a Primary

Management Official

Regulation or Regulations means the authoritative rule or set ofrules governing Class II and Class

III gaming on tribal lands adopted and implemented by the Tribal Gaming Commission pursuant

to this Title.

Tribal Gaming Commission or Commission means the Cabazon Tribal Gaming Commission, as

established under this Title.

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TribalInternalControl Standards or “TICS” means the Internal Controls established by the Tribal

Gaming Commission.

Section 5-103 Gaming Authorized.

(a) Generally. Class II gaming, as defined in the Indian Gaming Regulatory Act, P.L.

100-447, 25 U.S.C. Section 2703(7)(A) (“IGRA”), and Class III gaming, as defined in

Section 2703(8) ofIGRA, are hereby authorized.

(b) Class II and Class III Gaming Played Using Mobile Devices and/or the Internet.

The Cabazon Tribal Gaming Commission may authorize the use of mobile devices and/or the

internet to play Class II or Class III games on the Tribe’s Indian lands provided the Cabazon Tribal

Gaming Commission issues regulations or standards that meet the requirements ofsubsection (c)

and (d) ofthis part, but only ifsuch bets or wagers do not violate any provision of:

(1) the Interstate Horseracing Act of 1978 (15 U.S.C. 2001 et seq.);

(2) Chapter 178 of Title 28 (commonly known as the “Professional and

Amateur Sports Protection Act”);

(3) the Gambling Devices Transportation Act (15 U.S.C. 1171 et seq.);

(4) the Indian Gaming Regulatory Act (25 U.S.C. 2701 et seq.);

(5) the Compact; or

(6) any other applicable laws.

(c) Age, Location and Data Security Reauirements. Before allowing the plav ofa Class

II or Class III game using mobile devices and/or the internet, the Cabazon Tribal Gaming

Commission shall adopt standards or regulations to implement the following age, location and data

security requirements, which are intended to comply with the safe harbor provisions of the

Unlawful Internet Gaming Enforcement Act, 21 U.S.C. 5361 et seq.:

(1) Only patrons who have provided their legal name, date of birth, address and

contact information shall be allowed to establish an account for Class II or

Class III gaming using mobile devices and/or the internet.

(2) Such information must be encrypted by the Gaming Operation and the patron

must establish an account password or other authentication method approved

by the Cabazon Tribal Gaming Commission.

(3) The patron shall be required to authenticate his or her identity prior to

accessing his/her account and/or placing a wager.

(4) The location of the patron on Indian lands must be verified by the Gaming

Operation prior to the first wager in the patron session using a geolocation

method that provides the latitude and longitude coordinates ofthe patron.

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(5) The location ofthe patron must be verified on an ongoing basis and the patron

session must be disabled any time the Gaming Operation is unable to verify

the patron is present on Indian lands.

(6) The patron shall be allowed to create an account or withdraw funds from that

account, other than for game play, only in person at a Gaming Facility.

(d) Technical Standards. Class II games played using mobile devices and/or the

internet must comply with the requirements of 25 C.F.R. Part 547, including any Alternative

Standards adopted by the Cabazon Tribal Gaming Commission and approved by the Chair ofthe

National Indian Gaming Commission. Class III games shall comply with the standards set forth

in the Compact.

(e) Unauthorized or Unapproved Gaming. Class II and Class III Gaming by any

individual on the Reservation, except as authorized pursuant to this Title, is prohibited.

Section 5-104 Ownership of Gaming.

The Tribe shall have the sole propriety interest in and responsibility for the conduct of any gaming

operation authorized by this chapter.

Section 5-105 Use of Gaming Revenue.

(a) Net revenues from Class II and Class III gaming shall be used only for the

following purposes: To fund tribal government operations and programs; provide for the general

welfare ofthe Tribe and its members; promote tribal economic development; donate to charitable

organizations; or help fund operations oflocal 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

ofthe Interior under 25 U.S.C. § 2710(b)(3) and the NIGC’s regulations at 25 C.F.R. §§ 522.4(b)(2)(ii) 

and 522.6(b).

Section 5-106 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 oftwenty-five thousand dollars ($25,000.00) annually, except contracts for

professional legal and accounting services, shall be specifically included within the scope ofthe

audit that is described in subsection (a) above.

Section 5-107 Protection ofthe Environment and Public Health and Safety.

Class II and Class III gaming facilities shall be constructed, maintained and operated in a manner

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

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Section 5-108 Licenses for Key Employees and Primary Management Officials.

(a) 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 II or Class III gaming enterprise operated on Indian lands.

(b) License Application Forms.

(1) 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 ofthe 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 ofindividualsto

be granted a gaming license. The information will be used by the

Tribal gaming regulatory authorities and by the National Indian

Gaming Commission members and staff who have need for the

information in the performance of their official duties. The

information may be disclosed by the Tribe or the NIGC to

appropriate Federal, Tribal, State, local or foreign law enforcement

and regulatory agencies when relevant to civil, criminal or

regulatory investigations or prosecutions or when pursuant to a

requirement by a tribe or the NIGC in connection with the issuance,

denial, or revocation of a gaming license, or investigations of

activities while associated with a tribe or a gaming operation. Failure

to consent to the disclosures indicated in this notice will result in a

tribe being unable to license you for a primary management official

or key employee position.

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

However, failure to supply a SSN may result in errors in processing

your application.

(2) The following additional notice shall be placed on the application form for

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

A false statement on any part of your 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).

(c) Background Investigations.

(1) 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 Tribal Gaming Commission to make an eligibility determination under

Section 5-108 (e) ofthis Title.

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(2) The Tribal Gaming 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 ofInvestigation (“FBI”).

(3) The Tribe shall request fingerprints from each primary management official

and key employee. The law enforcement agencies designated to take fingerprints are the FBI and

NIGC.

(4) The Tribal Gaming Commission shall request from each primary

management official and key employee all ofthe following information:

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

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

languages (spoken and/or written);

(B) Currently, and for the previous five (5) years; business and

employment positions held, ownership interests in those businesses,

business and residential addresses, and driver’s license numbers;

(C) The names and current addresses of at least three (3) personal

references, including one (1) personal reference who was acquainted

with the applicant during each period of residence listed under

paragraph (4)(B) ofthis section;

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

phone numbers;

(E) A description of any existing and previous business relationships

with other tribes, including any ownership interests in those

businesses;

(F) A description of any existing 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 ofthe court involved,

and the date of disposition, if any;

(I) For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations) within 10 years of

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

involved and the date of disposition, if any;

(J) For each criminal charge (excluding minor traffic charges), whether

or not there is a conviction, ifsuch criminal charge is within 10 years

ofthe date ofthe application, and is not otherwise listed pursuant to

paragraphs (4)(H) or (4)(I) ofthis section, the criminal charge, the

name and address ofthe court involved, and the date of disposition,

if any;

(K) The name and address of any licensing or regulatory agency with

which the person has filed an application for an occupational license

or permit, whether or not such license or permit was granted;

(L) A photograph;

(M) Any other information the Tribe deems relevant; and

(N) Fingerprints obtained in accordance with procedures adopted by the

Tribe.

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

Tribe, a complete application file, containing all ofthe information listed in subsection (c)(4), shall

be maintained.

(6) The Tribal Gaming Commission, and its investigators, shall keep

confidential the identity of each person interviewed in the course of conducting a background

investigation.

(d) Investigative Reports.

(1) The Tribe shall create and maintain an investigative report for each

background investigation of a primary management official or key employee.

(2) Investigative reports shall include all ofthe following information:

(A) Steps taken in conducting the investigation;

(B) Results obtained;

(C) Conclusions reached; and

(D) The basis for those conclusions.

(e) Eligibility Determinations.

(1) 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

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person for receiving a gaming license by reviewing the applicant’s prior activities, criminal record,

if any, and reputation, habits and associations.

(2) If the authorized Tribal official, in applying the standards adopted in this

Chapter, 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 ofunsuitable, unfair or illegal practices,

methods and/or activities in the conduct of gaming, he or she shall not license that person in a key

employee or primary management official position.

(3) Copies ofthe 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.

(f) Notice ofResults ofBackground Investigations.

(1) Before issuing a license to a primary management official or key employee,

the Tribal Gaming Commission shall prepare a notice of results of the applicant’s background

investigation to submit to the NIGC.

(2) The notice ofresults must be submitted to the NIGC no later than 60 days

after the applicant begins working for the Tribe.

(3) The notice ofresults shall include the following information:

(A) The applicant’s name, date ofbirth and social security number;

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

primary management official or key employee;

(C) A summary ofthe information presented in the investigative report,

including:

1. licenses that have previously been denied

2. gaming licenses that have been revoked, even if subsequently

reinstated;

3. every known criminal charge brought against the applicant

within the last10 years ofthe date ofthe application; and

4. every felony offense of which the applicant has been convicted

or any ongoing prosecution; and

(D) A copy of the eligibility determination made in accordance with

subsection (e).

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(g) Granting Gaming Licenses.

(1) All primary management officials and key employees of the gaming

operation must have a gaming license issued by the Tribe.

(2) The Tribal Gaming Commission is responsible for granting and issuing

gaming licenses to primary management officials and key employees.

(3) The Tribal Gaming Commission may license a primary management

official or key employee applicant aftersubmitting a notice ofresults ofthe applicant’s background

investigation to the NIGC, as required by Section 22.

(4) The Tribal Gaming Commission shall notify the NIGC ofthe issuance of a

license to a primary management official or key employee within 30 days ofissuance.

(5) The Tribe shall not employ an individual in a primary management official

or key employee position who does not have a license after 90 days of beginning work at the

gaming operation.

(6) The Tribal Gaming Commission must reconsider a license application for a

primary management official or key employee ifit receives a statement ofitemized objections to

issuing such a license from the NIGC, and those objections are received within 30 days of the

NIGC receiving a notice ofresults ofthe applicant’s background investigation.

(7) The Tribal Gaming Commission shall take the NIGC’s objections into

account when reconsidering a license application.

(8) The Tribe will make the final decision whether to issue a license to an

applicant for a primary management official or key employee position.

(9) The Tribe will make the final decision whether to issue a license to an

applicant for a primary management official or key employee position.

(h) Denying Gaming Licenses.

(1) The Tribal Gaming Commission shall not license a primary management

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

Section 5-107(e) for making a license eligibility determination, that licensing the person:

(A) Poses a threat to the public interest;

(B) Poses a threat to the effective regulation of gaming; or

(C) Creates or enhances the dangers of unsuitable, unfair or illegal

practices, methods and/or activities in the conduct of gaming.

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(2) When the Tribal Gaming Commission does not issue a license to an

applicant for a primary management official or key employee position, or revokes a previously

issued license after reconsideration, it shall:

(A) Notify the NIGC; and

(B) Forward copies ofits eligibility determination and notice ofresults

of the applicant’s background investigation to the NIGC for

inclusion in the Indian Gaming Individuals Record System.

(i) Gaming License Suspensions and Revocations

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

employee, the Tribe receives notice firom the NIGC that the primary management official or key

employee is not eligible for employment, or if the Tribe becomes aware of other information

warranting suspension ofthat license, the Tribal Gaming Commission shall do the following;

(A) Immediately suspend the license;

(B) Provide the licensee with written notice of the suspension and

proposed revocation; and

(C) Provide the licensee with notice of a time and place for a hearing on

the proposed revocation ofthe license.

(2) Following a revocation hearing, the Tribe shall decide whether to revoke or

reinstate the license at issue.

(3) The Tribe shall notify the NIGC of its decision to revoke or reinstate a

license within 45 days ofreceiving notification from the NIGC that a primary management official

or key employee is not eligible for employment.

(j) Records Retention.

(1) The Tribal Gaming Commission shall retain, for no less than three years

from the date a primary management official or key employee is terminated from employment

with the Tribe, the following documentation:

(A) Application for licensing;

(B) Investigative Reports; and

(C) Eligibility Determinations.

Section 5-109 Facility Licenses.

The Tribe shall issue a separate license to each place, facility, or location on Indian lands where

Class II or Class III gaming is conducted under this chapter.

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Section 5-110 Minimum Internal Control Standards.

(a) Applicable Standards. The Cabazon Tribal Gaming Commission shall comply with

25 CFR 542 by formally adopting and making applicable to the Tribe’s gaming operation(s)

internal control standards that:

(1) Provide a level of control that equals or exceeds those set forth in 25 CFR

542, as published or as revised by mutual agreement between the NIGC and the Tribe and as

required by the Compact;

(2) Contain standards for currency transaction reporting that comply with 31

CFR 103; and

(3) Establish internal control standards for Class II and Class III games that are

not addressed in the MICS, if any.

(b) Aimual CPA Testing of Compliance. In order to verify that the gaming operation

is in compliance with the internal control standards adopted pursuant to paragraph A, an

independent certified public accountant (CPA) shall be engaged annually to perform “AgreedUpon Procedures” in the manner provided for in 25 CFR 542.3(f).

(c) Compliance. The Cabazon Tribal Gaming Commission and the NIGC shall

monitor and enforce compliance with the internal control standards adopted pursuant to paragraph

(a) in the manner provided for in 25 CFR 542.3(g). In addition, the National Indian Gaming

Commission shall, for the purpose of enforcing compliance with the Class II internal control

standards, have the power to:

(1) monitor all Class II gaming on a continuing basis;

(2) inspect and examine all premises on which Class II gaming is conducted; and

(3) demand access to and inspect, examine, photocopy, and audit all papers,

books, and records respecting gross revenues ofall Class II gaming or any other matters necessary

to ensure and enforce compliance with the MICS.

(d) Enforcement. Any failure to adopt internal control standards pursuant to

paragraph (a), to perform Agreed-Upon Procedures pursuant to paragraph (b), to prevent or

obstruct the exercise of any ofthe Commission’s powers under paragraph (c), or to comply with

the internal control standards once adopted is a violation ofthis Chapter. The Chairman ofthe

National Indian Gaming Commission shall have the authority to remedy violations ofthis Chapter

under 25 U.S.C. 2713 and its implementing regulations, and the Tribe shall have all rights and

remedies available thereunder.

Section 5-111 Repeal.

To the extent that they are inconsistent with this chapter, the inconsistent provisions of all prior

gaming ordinances are hereby repealed.

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CHAPTER 2. TRIBAL GAMING COMMISSION

Section 5-201 Purpose.

The purpose ofthis Chapter is to establish the Cabazon Tribal Gaming Commission, to define the

role of the Tribal Gaming Commissioners, and to authorize the Commission to regulate Tribal

gaming in accordance with the Indian Gaming Regulatory Act (IGRA) and policies and procedures

ofthe National Indian Gaming Commission (NIGC), as well as the Tribal-State Gaming Compacts

with the State ofCalifornia (the “Compacts”).

Section 5-202 Scope.

The scope of this Chapter is focused upon the organization of the Cabazon Tribal Gaming

Commission, on establishing powers and duties ofthe Commissioners, and on the ability ofTribal

Gaming Commissioners to function as an independent, regulatory oversight entity, with

appropriate resources committed, so that the Commission is able to perform an independent

regulatory function of all gaming operations within the jurisdiction of the Cabazon Band of

Mission Indians.

Section 5-203 Creation and Organization ofthe Cabazon Tribal Gaming Commission.

There is hereby created and established the Cabazon Tribal Gaming Commission, which shall

constitute an independent agency and instrumentality of the Cabazon Band of Mission Indians,

vested with all necessary power and authority as set forth herein to regulate the conduct of all

gaming operations within the jurisdiction ofthe Cabazon Band ofMission Indians.

The Commission shall consist of five Commissioners and one alternate Commissioner. The

Commissioners shall be part-time, consisting of professional members ofthe community at large,

and shall be nominated and selected by the Business Committee ofthe Cabazon Band ofMission

Indians (the “Business Committee”). The Commissioners shall be completely independent ofthe

Cabazon Band of Mission Indians, the Tribal Administration, and the gaming operations

management. In order to ensure the integrity of the gaming operation as well as insulate the

Cabazon Band ofMission Indians from the appearance ofany conflict ofinterest, orthe appearance

of impropriety of any kind with the Commission function, no employee ofthe Cabazon Band of

Mission Indians shall be permitted to serve as a Cabazon Tribal Gaming Commissioner.

Section 5-204 Authority ofthe Commission.

The authority to establish the Commission as a regulatory agency derives from the sovereign

powers of tribal governments recognized by the federal government through the United States

Department of the Interior. The Indian Gaming Regulatory Act (IGRA), the regulations of the

National Indian Gaming Commission (NIGC), and the Tribe-State Gaming Compacts between the

Tribe and the State of California require tribes to establish gaming commissions. The existence,

powers and authority ofthe Cabazon Tribal Gaming Commission are derived from and set forth

in the provisions ofthis Chapter, which affirms the creation and authority ofthe Commission.

The Commission shall have the authority to develop the necessary independent structure to oversee

the gaming operation, to maximize the protection of tribal assets, to address risk of loss, and to

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ensure maximum available public safety to patrons, management, and associates of the gaming

enterprise. Effective regulatory oversight requires that there be a separation between regulatory

and operational aspects ofthe casino operation.

The Commission shall function as the independent regulatory body establishing checks and

balances forthe accomplishment ofthis goal. The Commission shall report directly to the Business

Committee. Commissioners shall have unrestricted access to all areas of the gaming operation,

including but not limited to the books and records, in order to carry out their duties. The

Commission shall enact policies and procedures for conducting gaming activities. The

Commission shall promulgate forms as needed to accomplish the intended goals. All reports and

forms utilized by the casino operations shall be forwarded to the Commission, or made available

and brought to the attention ofthe Commissioners as a general rule of operation as established by

the Commission.

Section 5-205 Commission Structure and Officers.

(a) The Commission shall nominate and select a Commission Chairman and ViceChairman from among the Commissioners.

(b) The Chairman shall oversee Commission activities and be charged with conducting

Commission meetings and coordinating the administrative functions of the Commission. The

Chairman shall have the same authority as all other Commissioners; however, he or she shall serve

the Commission as the coordinator of Commission functions, insuring effective scheduling and

assisting the Commission as required.

(c) The Vice-Chairman shall conduct Commission meetings when the Chairman is

absent.

(d) Commission meetings and hearings shall be conducted in a semi-formal manner,

with traditional parliamentary style rules (such as Robert’s Rule of Order) governing all meetings

and proceedings. The Commission shall have regulatory oversight responsibility ofthe gaming

operation through the use ofthe surveillance function, the internal and external audit function, the

licensing and investigative functions of casino and gaming operations, and its other regulatory

tools and resources.

(e) Three (3) Commissioners shall constitute a quorum for the transaction of business

at a meeting ofthe Commission. The affirmative vote ofa majority ofCommissioners present and

voting at a meeting shall be required to take official action.

Section 5-206 Compensation.

Each Commissioner, including the Alternate Commissioner, shall be compensated at a rate ofOne

Thousand Five Hundred Dollars ($1,500) per month, as consideration for his or her service to the

Commission. The compensation of the Commissioners may be adjusted from time to time by

resolution ofthe Business Committee without the need for a formal amendment ofthis Chapter.

Commissioners shall also be reimbursed for reasonable travel expenses.

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Section 5-207 Term.

Commissioners shall serve four year terms. The individual terms shall be staggered. Three ofthe

Commissioners shall be designated for re-appointment on odd years in order to accomplish the

staggered term process. The other three Commissioners (including the alternate) shall be

designated for re-appointment on even years. Commissioners may serve an unlimited number of

terms at the pleasure of the Business Committee. A Commission Chairman shall serve as

Chairman indefinitely. The term shall be for calendar years, begiiming on January 1st of each

year. Any portion of a year served by a Commissioner shall be considered a calendar year for the

purpose of a Commissioners term.

Section 5-208 Alternate Member.

An alternate Commissioner shall attend and participate in all meetings, functions, and operations

ofa Cabazon Tribal Gaming Commissioner. The alternate Commissioner shall keep informed and

up to date on all concerns of the Commission. The alternate Commissioner shall have the full

authority of other Commissioners, both as an administrative and investigative authority, and shall

function as a Commissioner with such full authority, and may contribute valuable ideas and

oversight to the operation, however, the alternate Commissioner may not vote on any motions,

elections, nominations, or agendas presented by the Commission. In the event that a regular

Commissioner resigns or becomes unable to perform his/her duties as a Commissioner as

determined by the Cabazon Tribal Business Committee, the alternate shall become a full voting

Commissioner, and the Business Committee, on request of the Commission Chairman, shall

immediately consider removal ofthe incapacitated member by vote, and nominate and confirm a

new alternate Commissioner.

Section 5-209 Duties ofthe Commission.

The Commissioners shall be responsible for over-seeing the entire gaming operation, ensuring the

integrity ofsuch operations, the safety ofthe public, and the security ofthe tribal assets generated

from the gaming operations. In so doing:

(a) The Commissioners shall meet and become informed about all aspects of the

gaming enterprise.

(b) The Commission shall oversee the entire gaming operation, including licensing

operations, investigations, surveillance, and audit functions of all casino gaming.

(c) The Commission shall employ an Executive Director, to whom shall be delegated

oversight responsibility for the day-to-day operations ofthe Commission.

(d) The Commission shall promulgate regulations, controls and policies governing the

conduct ofClass II and Class III Gaming Activities.

(e) The Commission shall create and enforce systems for the Tribe’s Gaming

Operation to best prevent and/or discover employee and/or patron dishonesty.

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(f) The Commission shall establish and approve internal minimum control standards

and procedures for the gaming operation, including the operation’s credit policies and procedures

for acquiring supplies and equipment.

(g) The Commission shall perform audits ofbusiness transactionsto ensure compliance

with regulations and/or the policies established by the Commission.

(h) The Commission shall establish any supplemental criteria for the licensing of

primary management officials, key employees, and other employees that the tribe deems

necessary.

(i) The Commission shall oversee all key employees and primary management

personnel.

(j) The Commission shall take testimony as necessary and conduct investigations

when determined necessary.

(k) The Commission may issue orders oftemporary and permanent closure of Class II

and Class III Gaming Activities or Gaming Facilities for violation ofthis Chapter, Regulations,

the Compact, IGRA and its implementing regulations, and any other applicable law.

(l) The Commission shall adopt an annual operating budget and submit to the Business

Committee for approval.

(m) The Commission may issue any order to a Gaming Facility, a Licensee or any other

person within the jurisdiction ofthe Commission to take any action, or cease and desist from taking

any action, in order to comply with this Chapter, the Compact, IGRA or other applicable law or

regulation.

(n) The Commission shall review management methods, policies, and procedures, and

make quarterly reports thereon to the Business Committee.

(o) The Commission shall keep adequate records as required and necessary, including

but not limited to records on licensees and on persons denied licenses, including persons otherwise

excluded or prohibited from engaging in gaming activities within the tribe’sjurisdiction.

(p) The Commissioners shall become informed ofrequirements ofthe Indian Gaming

Regulatory Act (IGRA), applicable laws and policies affecting Class II and Class III gaming, as

well as bulletins, rules and procedures ofthe National Indian Gaming Commission (NIGC), and

the Compacts

Section 5-210 Tribal Gaming Commission Staff.

The Commission shall employ an Executive Director to oversee Commission staff and assist the

Commission with its operations and functions. The Executive Director shall report to the

Commission and shall act as a liaison between the Commission, the management ofthe gaming

operation and the Cabazon Business Committee. The Executive Director will manage the day to

day operations of all Departments of the Commission, and shall employ such inspectors.

DOCS 128533-00000001/4008240.10

15
investigators and other staff as required to fulfill the official duties as requested by the

Commission. Any Commissioner shall have the power to request support personnel as deemed

necessary. The Commission and any Commissioner shall be furnished legal assistance by the

Legal Affairs Department ofthe Cabazon Band ofMission Indians as deemed necessary.

Section 5-211 Compliance.

The Commission shall be responsible for ensuring compliance by the Gaming Enterprise with all

applicable gaming laws and regulations. The Commission shall also inspect Gaming Devices as

necessary for compliance or corrective action.

Section 5-212 Audit Function.

The Commission shall be responsible for overseeing the internal audit function of the gaming

operation. In this regard, Commissioners and Commission staffshall have unrestricted access to

all documents, reports, information and files of the gaming operation. The Commission shall

oversee the outside independent audit function as necessary. The Commission shall inspect

gaming related contracts that result in purchases ofsupplies, services, or concessions for more than

$25,000.00 in any year.

Section 5-213 Licensing.

The Commission shall have the responsibility to oversee and approve all licensing functions with

respect to the gaming operation, and shall direct and approve all internal licensing in preparation

for NIGC consideration. The Background-Licensing Department shall conduct all investigations

and application processes required for the licensing process, and shall compile the applications

with a staffrecommendation from the Executive Director. The Commission shall have the power

to issue, suspend, renew, and revoke licenses. The Commission shall develop polieies and

procedures for the notification and administration oflicense processes, including application and

revocation procedures. The Commission shall oversee all management contracts, background

investigations, and vendor investigations involving casino gaming operations. Commissioners

shall ensure that gaming facilities are constructed, maintained and operated in a manner that

adequately protectsthe environment and the public health and safety. The Commission shall make

the final determination regarding the suitability ofpotential licensees, making such determinations

according to policies established by the Commission.

In the event ofa formal appeal of a final determination by the Commission regarding any licensing

issue, the Cabazon Tribal Court shall maintain the jurisdiction to review the Commission’s

decision, and issue a final deeision regarding the validity ofthe appeal.

Section 5-214 Finances ofthe Commission.

The costs and expenses of the Commission in carrying out its duties hereunder shall be paid

principally from assessments to be levied on the gaming operation and from such fines and

assessments as the Commission may levy from time to time in accordance with the policies ofthe

Commission, all of which the Commission shall have authority to levy and assess as it shall

reasonably determine; provided that nothing herein shall limit the ability ofthe Tribe to appropriate

for the benefit ofthe Commission such other governmental funds as the Business Committee may

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16
determine in its discretion. All funds received by the Commission shall be maintained by the

Commission separate and apart from the general funds ofthe Cabazon Band of Mission Indians

for the purpose of paying the expenses incurred by the Commission in carrying out its

responsibilities. To the extent the Commission may from time to time hold funds in excess of

amounts necessary for such purposes, such funds shall be applied as a credit against future cost

assessments against the tribal gaming operation or applied for other purposes consistent with the

purposes ofthe Commission hereunder. In no event shall such amounts be transferred or credited

to the general funds ofthe Tribe.

Nothing herein shall prohibit the use by the Commission ofthe general administrative services of

the Cabazon Band of Mission Indians (e.g. legal, accounting, information technology and human

resources), and to reimburse the tribal government for the fairly allocable costs ofsuch services.

Section 5-215 Patron Disputes.

The Commission shall have full authority to resolve patron disputes. The method and due process

aspect ofthe dispute resolution procedure shall be developed by the Commission, and shall be the

initial forum for resolving such disputes. The decision ofthe Commission may be appealed to the

Cabazon Reservation Court for a final determination.

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17
CABAZON BAND OF MISSION INDIANS

84-245 Indio Springs Parkway

Indio, CA 92203

RE: Approval of Revised Tribal Gaming Ordinance

WHEREAS, the Cabazon Band ofMission Indians (the “Tribe”) is a federally recognized Indian

Tribe located in the County of Riverside, State of California, with powers ofselfgovernance pursuant to Articles ofAssociation; and

WHEREAS, by Resolutions dated June 5, 1985 and July 20, i 988, the Cabazon General Council

has authorized the Cabazon Business Committee to transact business on behalf of

the Tribe, including the authority to approve contracts and other forms of

agreements on behalf ofthe Tribe and to enact codes, ordinances, and resolutions;

and

WHEREAS, the Business Committee is fully aware of its options relative to role, functions,

authorities and responsibilities; and

WHEREAS, on January 27, 1994, the Business Committee adopted its “Indian Gaming

Regulatory Compliance Ordinance” (the “Gaming Ordinance), which was

approved by the Chairman ofthe National Indian Gaming Commission (“NIGC”)

on March 14, 1994; and

WHEREAS, by Resolution No. 02-07-08-1, the Business Committee approved an amendment

to the Gaming Ordinance, which amendment was approved by the Chairman ofthe

NIGC on February 28, 2008; and

WHEREAS, on May 10, 2016, the Cabazon Band requested that the Chairman of the NIGC

approve an “Amended and Restated Tribal Gaming Commission Ordinance” by 

which the Tribe established and empowered the Cabazon Tribal Gaming

Commission, but which made no changes to the previously approved Gaming

Ordinance; and

WHEREAS, by letter dated July 12, 2016, the Chairman ofthe NIGC advised the Tribe that his 

approval of the “Amended and Restated Tribal Gaming Commission Ordinance”

was not required under IGRA; and

WHEREAS, the Tribe is now updating and modernizing its entire Cabazon Tribal Code, of which

its gaming ordinances are a part; and

HA\ij /A\ u4\ij mi

84-24iSqNra©®PRlN08?»AflKWA>it • INDIO, CALIFORNIA 92203-3499 • (760) 342-2593 FAX (760) 347-7880
WHEREAS, the Tribe has now developed a revised and amended gaming ordinance that will be 

codified as Title 5 ofthe Cabazon Tribal Code; and

WHEREAS, the revised gaming ordinance consists oftwo chapters: Chapter 1 - Indian Gaming

Regulatory Act Compliance, and Chapter 2 - Tribal Gaming Commission; and

WHEREAS, the Business Committee has now determined that it is in the best interest of the 

Tribe to approve the revised gaming ordinance;

NOW THEREFORE BE IT RESOLVED by the Cabazon Business Committee that the attached

revised gaming ordinance is hereby approved and codified as Title 5 ofthe Tribal Code.

BE IT FINALLY RESOLVED that tlie Business Committee shall take appropriate action with

the Tribe’s legal counsel to have the revised gaming ordinance approved by the Chairman ofthe 

National Indian Gaming Commission.

CERTIFICATION

This is to certify that the foregoing resolution was adopted by the Cabazon Business Committee,

by a vote of3. for, 0 against, 0 abstaining, at a duly called meeting on February 25,2021, a quorum

being present.

Douglas T. Welmas

Tribal Chairman

Otlhu)^

San Juanita Callaway

Vice Chairwoman

Helen Ruth Callaway

Secretary/Treasurer

Alexis R. Nichols

Liaison to the General Council

Brenda SoulHere

Member-at-Large

DOCS 128533-00000001/4401179.1