Section 12381 - Policies and Procedures(a) All cardroom business licensees must have written policies and procedures that meet or exceed the MICS contained in this article.(b) A cardroom business licensee's policies and procedures must be communicated to employees through new employee orientations and periodic training sessions.(c) Adherence to the policies and procedures established to comply with this article will be required.(d) On request, copies of a cardroom business licensee's policies and procedures must be provided, within a reasonable time specified, for the Commission and/or Bureau to review.(e) Unless otherwise specified in this chapter, all forms, books, records, logs, lists and any and all other original source or duplicate documentation required to be maintained by a cardroom business licensee pursuant to this chapter must be: (2) Recorded in a permanent form or media; and(3) Maintained for a minimum of three years, unless otherwise specified, in a secured area on site at the gambling establishment or at a California facility approved in advance by the Bureau.(f) In addition to the requirements of subsection (a) through and including (e), cardroom business licensees in Tiers II through and including V must assign the overall responsibility for establishing, periodically reviewing, monitoring, and testing for compliance with their MICS policies and procedures to a specific cardroom endorsee licensee or key employee licensee and must document the assignment in the cardroom business licensee's policies and procedures. Tests for compliance with MICS policies and procedures must be performed at least annually, and may be performed by a cardroom business licensee's staff, other than the person or persons who normally perform the duties being tested, or by agents or outside consultants (e.g., a certified public accountant) for the cardroom business licensee. The results of the tests, and a detailed record of the efforts to correct any noncompliance found as a result of the tests, must be documented and the documentation retained by the cardroom business licensee.Cal. Code Regs. Tit. 4, § 12381
1. New section filed 8-25-2009; operative 9-24-2009 (Register 2009, No. 35).
2. Amendment of subsections (a)-(b), (d)-(e) and (f) and repealer of subsection (g) filed 12-12-2020; operative 1-1-2021 pursuant to Government Code section 11343.4(b) (Register 2020, No. 51). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20. Note: Authority cited: Sections 19827, 19840, 19841 and 19924, Business and Professions Code. Reference: Sections 19827, 19841, 19922 and 19924, Business and Professions Code.
1. New section filed 8-25-2009; operative 9-24-2009 (Register 2009, No. 35).
2. Amendment of subsections (a)-(b), (d)-(e) and (f) and repealer of subsection (g) filed 12-12-2020; operative 1/1/2021 pursuant to Government Code section 11343.4(b) (Register 2020, No. 51). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20.