Mr. ark Nichols, ~riba.i Cabazon Band of Mission Indians 84-245

Mr.

ark

Nichols, ~riba.i

CEO.

Cabazon Band of Mission Indians

84-245

Indio Springs Drive

Indio, ~alifornia

92201

Dear

Mr..

Nichols:

This letter responds to your request to review and approve the

tribal gaming ordinance adopted by the Cabazon Band of Mission

Indians (the Band) on January

27,

1994.

This letter constitutes

such approval under the Indian Gaming Regulatory

Act

(IGRA).

Under the IGRA and the regulations of the National Indian Gaming

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

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

regulations. Thus, the scope

the Chairman's review and

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

regulations.

Provisions other than those required under the IGRA

or the

NIGC

regulations that.may be included in a tribal

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

approval does not constitute approval of specific games.

is important to note that the gaming ordinance

is approved for

gaming

..-,.

only on Indian lands as defined in the IGRA:

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

Band is now required to conduct background investigations on its

key employees and primary management officials.

The

NIGC

expects

to receive a completed application for each key employee and

primary management official pursuant to

C.F.R.

556.5(a) and

an investigative report on each background investigation before

issuing a license to a

key

employee or primary management

official pursuant to 25

C.F.R.

556.5(b).

Thank you for

submitting the ordinance of the Cabazon Band

Mission Indians for revlew and approval. The

NIGC

staff and

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

IGRA.

sincerely yours,

Anthony

Hope

Chairman

cc: Glenn

Feldman,

Esq.

----

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1850

STREET

SUITE

250

\I'ASt!I'J:;!,

!?I

L)C

20U,>ii

TLL.

2~2

13.12

7003

FAX

202.632.7066

CEAZON

BAND,

MISSION INDI~

TRIBAL CODE

TITLE

GAMING

CHAPTER

INDIAN GAMING REGULATORY ACT COMPLIANCE

Section 5-401. Purpose

The Cabazon Band of Mission Indians (hereinafter

"Tribe1'),

empowered by the Tribe's Articles of Association to enact

ordinances, hereby enacts this ordinance in order to ensure that

Class

I1 and Class I11 gaming operations on tribal lands are

conducted in accordance with the Indian Gaming Regulatory

Act.

Section 5-402. Gamins Authorized

Class

I1 gaming as defined in the Indian Gaming Regulatory

Act,

P.L.

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

I11 gaming as defined in Section 2703

(8)

of IGM are hereby

authorized.

Section 5-403. Ownership of Gaminq

The

Tribe shall have the sole propriety interest

and

responsibility for the conduct of any gaming operation authorized

by this ordinance.

Section 5-404. Use of Gamins Revenue

Net revenues from Class

I1 and Class I11 gaming shall be

used only for the following purposes: to fund tribal government

operations and programs; provide for the general welfare of the

Tribe and its members; promote tribal economic development; donate

to charitable organizations; or help fund operations of local

government agencies.

If the Tribe elects to make per capita payments to tribal

members from gaming revenues, it shall authorize such payments only

upon approval of

plan submitted to the Secretary of the Interior

under 25

U.S.C.

2710(b)(3).

Section 5-405. Audit

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.

All gaming related contracts that result in the purchase

of supplies, services, or concessions in excess of

$251000.00

annually, except contracts for professional legal and accounting

services, shall be specifically included within the scope of the

audit that is described in subsection A. above.

Section 5-406.

~rwection of the Environment

&fl

Public Health and

Safety

Class

I1 and Class I11 gaming facilities shall be constructed,

maintained and operated in a manner that adequately protects the

environment and the public health and safety.

Section 5-407. Licenses for

Key Employees and Primarv Manasement

Officials

The Tribe shall ensure that the policies and procedures set

out in this section are implemented with respect to key employees

and primary management officials employed at any Class

or Class

I11

gaming enterprise operated on Indian lands:

Definitions

For the purposes of this section, the following

definitions

apply:

Key em~loyee means

person who performs one or more

the

following functions:

Bingo caller;

Counting room supervisor;

Chief of security;

Custodian of gaming supplies or cash;

Floor manager;

Pit boss;

Dealer;

Croupier;

Approver of credit; or

Custodian of gambling devices including

persons with access to cash and

accounting records within such devices;

not otherwise included, any

other

person

whose total cash compensation is in excess of

$50,000 per year; or

If not otherwise included, the four most

highly compensated persons in the gaming

operation.

Primarv manaaement official means

a. The person having management responsibility

for

management contract;

b.b'

Any

perso? who

has

authorwy:

(1)

To hire and fire employees; or

(2)

To set up working policy for the gaming

operation; or

c. The chief financial officer or other person

who has financial management responsibility.

A~plication Forms

The followinq notice shall be placed on the

application form for a

kef employee

or a management

official before that form is filled out by an applicant:

In compliance with the Privacy Act of

1974,

the following

information is provided: Solicitation of the information

this form is authorized by

S.C.

2701

seq.

The

purpose of the requested information is to determine the

eligibility of individuals to be employed in a gaming

operation. The information will be used by National

Indian Gaming Commission members and staff who have need

for the information in the performance of their official

duties. The information may be disclosed to appropriate

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

and regulatory agencies when relevant to civil, criminal

or regulatory investigations or prosecutions or when

pursuant to a requirement

tribe or the National

Indian Gaming Commission in connection with the hiring or

firing of an employee, the issuance or revocation of

gaming license, or investigations of activities while

associated with a tribe or a gaming operation. Failure

to consent to the disclosures indicated in this notice

will result in a tribe's being unable to hire you in a

primary management official or key employee position.

The disclosure of your Social Security Number (SSN) is

voluntary. However, failure to supply a

SSN

may result

in errors in processing your application.

Existing key employees and primary management

officials shall be notified in writing that they shall either:

a. Complete a new application form that contains

a Privacy Act notice; or

b. Sign a statement that contains the Privacy Act

notice and consent to the routine uses

described in that notice.

The following. notice shall be placed on the

application form for a key employee or a primary official before

that form is filled out by an applicant.

false statement on any part of

your application may be grounds for

not hiring you, or for firing you

after you begin work. Also, you may

be punished by fine or imprisonment.

(U.S.

Code, Title 18, Section 1001)

The Tribe shall notify in writing existing key

employees and primary management officials that they shall

either:

a. Complete a new application form that

contains

a notice regarding false statements;

b. Sign a statement that contains the notice

regarding false statements.

C. Backsround Investisations

The Tribe shall request from each primary management

official and from each key employee all of the following

information:

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

social security

number(s)

birth date, place

of birth, citizenship, gender, all languages

(spoken or written)

;

b. Currently and for the previous

years:

business and employment positions held,

ownership interests in those businesses,

business and residence addresses, and drivers

license numbers;

c. The names and current addresses of at least

three personal references, including

one

personal reference who was acquainted with the

applicant during each period of residence

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

d. Current business and residence telephone

numbers

;

description of any existing and previous

business relationships with Indian tribes,

including ownership interests in those

businesses;

.b'

description of any exl.;ting and previous

business relationships with the gaming

industry generally, including ownership

interests in those businesses;

g. The name and address of any licensing or

regulatory agency with which the person has

filed an application for a license or permit

related to gaming, whether or not such license

or permit was granted;

For each felony for which there is an ongoing

prosecution or a conviction, the charge, the

name and address of the court involved, and

the date and disposition, if any;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor

traffic

violationsj

within 10 years of the

date of the application, the name and address

of the court involved and the date and

disposition;

For each criminal charge (excluding minor

traffic charges)

whether or not there is a

conviction, if such criminal charge is within

10 years of the date of the application and is

not otherwise listed pursuant to

paragraph

(1)

(h) or (1)

(i)

of this section,

the criminal charge, the name and address of

the court involved and the date and

disposition;

The name and address of any licensing or

regulatory agency with which the person has

filed an application for an occupational

license or permit, whether or not such license

or permit was granted;

current photograph;

Any

other information the Tribe deems

relevant; and

n. Fingerprints consistent with procedures

adopted by the Tribe according to

C.F.R.

522.2

(h).

The Tribe shall conduct an investigation sufficient

to make a determination under subsection

below.

In conducting a

background investigation, the Tribe or its agent shall promise to

keep confidential the identity of each person interviewed in the

course of the investigation.

Eliqibilitv Determination

The Tribe shall review a

person's prior activities, criminal

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

finding concerning the eligibility of a key employee or primary

management official for employment in a gaming operation. If the

Tribe determines that employment of the person poses a threat to

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

creates or enhances dangers of unsuitable, unfair, or illegal

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

tribal gaming operation shall not employ that person in a key

employee or primary management official position.

Procedures for Forwardins A~~lications and Reports for

Key

Em~lovees and Primary Manasement Officials to the

National Indian

Garnina Commission

When

a key employee or primary management official

begins work at a gaming operation authorized by this ordinance,

the

Tribe shall forward to the National Indian Gaming Commission a

completed application for employment and conduct the background

investigation and make the determination referred to in

subsection

of this section.

The Tribe shall forward the report referred to in

subsection F of this section to the National Indian Gaming

commission within

days after an employee begins work or within

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

National Indian Gaming Commission.

The gaming operation shall not employ as a key

employee or primary management official a person who does not have

a license after

days.

Report to the National Indian Garnina Commission

Pursuant to the procedures set out

subsection

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

National Indian Gaming Commission an investigative report on each

background investigation.

investigative report shall include

all of the following:

a. Steps taken in conducting a background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

~h\d~ribe shall submit, with tye report, a copy of

the eligibility determination made under subsection

of this

section.

If a license is not issued to an applicant, the

Tribe:

a. Shall notify the National Indian Gaming

Commission; and

b. May forward copies of its eligibility

determination and investigative report (if

any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming Individuals

Records System.

With respect to key employees and primary management

officials, the Tribe

sbal?. retain applications for employment and

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

Chairman of the National Indian Gaming Commission or his or her

designee for no less than three

(3)

years from the date of

termination of employment.

Grantins a Gamins License

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

National Indian Gaming

Commission receives a report, the National

Indian Gaming Commission notifies the tribe that it has no

objection to the issuance of a license pursuant to a license

application filed by a key employee or a primary management

official for whom the tribe has provided an application and

investigative report to the National Indian Gaming Commission, the

Tribe may issue a license to such applicant.

The Tribe shall respond to a request for additional

information from the Chairman of the National Indian Gaming

Commission concerning a key employee or a primary management

official who is the subject of a report. Such

request shall

suspend the 30-day period under paragraph

G.1.

of this section

until the Chairman of the National Indian Gaming Commission

receives the additional information.

If, within the thirty (30) day period described

above, the National Indian Gaming Commission provides the Tribe

with a statement itemizing objections to the issuance of a license

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

Tribe has provided an application and investigative report to the

National Indian Gaming Commission, the Tribe shall reconsider the

application, taking into account the objections itemized by the

National Indian Gaming Commission.

The Tribe shall make the final

decision whether to issue a license to such applicant.

License Suspension

If, after the issuance

gaming license, the Tribe

receives from the National Indian Gaming commission reliable

information indicating that a key employee or a primary

management official is not eligible for employment under subsection

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

writing the licensee of the suspension and the proposed revocation.

The Tribe shall notify the licensee of a time and a

place for a hearing on the proposed revocation of a

licen.;~..

After a revocation hearing, the Tribe shall decide to

revoke or to reinstate a

gaming license.

The Tribe shall

riotify the

National Indian Gaming Commission of its decision.

Section 5-408. License Locations

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

location on Indian lands where Class

Class

111

gatmilip

conducted under this ordinance.

Section 5-409. Repeal

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

inconsistent provisions of all prior gaming ordinances

are

hereby

repealed.

CERTIFICATION

FURTHER RESOLVED

THAT

we th

undersigned,

duly electcd mcmbers of

the

Cabazon Business Committee do cert~fy

that

the

forcgo~ng

resolution was adopted

the Bus~ness C)mmiltcc at a duly called meeting on

January

27,

1994

by a vote

C_--

1st Vice Chairperson 2nd

V~ce

Cha~rperson

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

Elisa Welmas-Wildman

John

Wclmas

Liaison

the Gen'l Council 5,lcrnber at Larfc