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WWW.NIGC.GOV

October 14, 2021

Kenneth Ramirez, Chairman

San Manuel Band of Mission Indians

26569 Community Center Drive

Highland, CA 92346

 

Re: San Manuel Gaming Act of 1989, as amended

Dear Chairman Ramirez:

This letter responds to your request on behalf of the San Manuel Band of Mission Indians, 

for the National Indian Gaming Commission Chairman to review and approve 

the Tribe’s amendments to the San Manuel Gaming Act of 1989. The General Council adopted 

the amendments by Resolution No. 2021-011 on September 16, 2021.

The San Manuel Gaming Act of 1989, as amended, is approved as it is consistent with the 

requirements of the Indian Gaming Regulatory Act and NIGC regulations. If you have any 

questions concerning this letter, please contact Austin Badger, Senior Attorney, at (202) 632-

7003.

Sincerely,

E. Sequoyah Simermeyer

Chairman

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CHAPTER 7. THE SAN MANUEL GAMING ACT OF 19891

SMTC 7.1 Title

This Chapter shall be known as the “San Manuel Gaming Act of 1989, as amended.”

SMTC 7.2 Findings and Policy

7.2.1 This law is adopted by the General Council of the San Manuel Band of Mission

Indians (“Tribe”), a federally recognized Indian Tribe, pursuant to its authority under

the Tribal Articles of Association, for the purpose of establishing the terms for gaming on

Tribal Lands for Tribal governmental and charitable purposes, and to continue to develop

and operate such gaming consistent with the findings herein and in conformity with the

federal Indian Gaming Regulatory Act (25 U.S.C. § 2701 et seq. (“IGRA”)), regulations

promulgated thereunder, and the Tribal-State Gaming Compact with the State of California,

as amended (“Compact”). This Gaming Act and regulations promulgated hereunder shall

constitute gaming regulations for the Tribe. Based on its experience and observations in

connection with such gaming and its studies of similar experiences by other Indian tribes,

the Tribe finds that tribally controlled gaming on its reservation is a valuable means of

promoting Tribal economic development, self-sufficiency, employment, job training and

strong Tribal government. The Tribe further finds that when regulated by the Tribe, such

gaming can remain free from organized crime and other corrupting influences and can be

conducted fairly and honestly by both the operators and the players.

7.2.2 The General Council finds that:

7.2.2.1 Gaming on its Tribal Lands is a valuable means of generating revenues needed to

promote Tribal self-sufficiency, economic development, employment, job training, and a

strong Tribal government, and to fund and ensure essential social programs and services;

7.2.2.2 The Tribe desires to conduct certain forms of gaming to provide needed revenues

to the Tribe and to regulate and control such gaming in a manner that will protect the

environment; the Tribal Lands; the health, security and general welfare of the Tribe; the

patrons; and the community; and

7.2.2.3 The Tribe desires to manage and regulate such gaming as authorized under this

Ordinance in a manner that will adequately address the interests and needs of the Tribe.

SMTC 7.3 Definitions

Unless specified otherwise, terms used herein shall have the same meaning as in IGRA,

including but not limited to references to “Class I,” “Class II,” and “Class III” gaming. Terms

shall have the following meanings:

1 Adopted by the General Council on August 31, 1989 as 89.02. Amended September 19, 1994; May 13, 1997;

September 28, 1999; November 9, 1999; November 11, 2003; March 6, 2004; September 9, 2008; July 13, 2010;

April 25, 2011; October 14, 2014; January 13, 2015; November 10, 2015; and April 11, 2017.
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7.3.1 “Applicable Law” means IGRA and regulations promulgated thereunder, the

Compact, this Gaming Act, and all other applicable laws and regulations promulgated

under State, Federal, and Tribal law.

7.3.2 “Applicant” means an individual or entity that applies for a tribal gaming license.

7.3.3 “Association” means the association of tribal and state gaming regulators as

established under the Compact, the membership of which comprises up to two

representatives from each tribal gaming agency of those tribes with whom the State has

a Compact under IGRA, and up to two delegates each from the State Department of Justice,

Bureau of Gambling Control and the California Gambling Control Commission.

7.3.4 “Business Committee” means the seven member committee established under

the Tribe’s Articles of Association.

7.3.5 “Class III Gaming” means the form of Class III Gaming defined as such in 25

U.S.C. §2703(8) and by regulations of the National Indian Gaming Commission.

7.3.6 “Commissioner” means a member of the San Manuel Gaming 

Commission duly appointed by the Tribe’s Business Committee.

7.3.7 “Compact” means any Tribal-State Gaming Compact, including amendments

thereto, entered into by the Tribe pursuant to IGRA to govern the conduct of certain Class

III gaming activities on Tribal Lands.

7.3.8 “Employee” means an employee who has been hired by the Gaming Operation for 

an unspecified period of time.

7.3.9 “Gaming Act” means the San Manuel Gaming Act of 1989, as amended.

7.3.10 “Gaming Activities” means any Class I, Class II, or Class III gaming activity

authorized under this Gaming Act or under the jurisdiction of the Tribe.

7.3.11 “Gaming Commission” means the tribal gaming agency established by the Tribe

under this Gaming Act to monitor Gaming Activities, investigate wrongdoing, conduct

background investigations, issue licenses, and perform other duties as required for the

regulation of gaming on the Reservation. For the purpose of conducting background 

investigations of and issuing licenses to the Commissioners and Gaming Commission

employees, such persons shall be deemed to be Gaming Employees under this Gaming Act

and shall be required to pass a background investigation and hold a valid gaming license

consistent therewith.

7.3.12 “Gaming Device” means any slot machine within the meaning of article IV,

section 19, subdivision (f) of the California Constitution. For purposes of calculating the

number of Gaming Devices, each player station or terminal on which a game is played 

constitutes a separate Gaming Device, irrespective of whether it is part of an interconnected

system to such terminals or stations. “Gaming Device” includes, but is not limited to, video 

poker, but does not include electronic, computer, or other technological aids that qualify
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as Class II Gaming (as defined under IGRA).

7.3.13 “Gaming Employee” means any natural person who: (a) conducts, operates,

maintains, repairs, accounts for, or assists in any Gaming Activities, or is in any way

responsible for supervising such Gaming Activities or persons who conduct, operate, maintain,

repair, account for, assist, or supervise any such Gaming Activities; (b) is in a category under

federal or tribal gaming law requiring licensing; (c) is an employee of the Gaming

Commission with access to confidential information; or (d) is a person whose employment

duties require or authorize access to areas of the Gaming Facility in which any activities

related to Gaming Activities are conducted but that are not open to the public.

7.3.14 “Gaming Enterprise” or “Gaming Operation” means any gaming business, 

event, enterprise or activity conducted by or under the jurisdiction of the Tribe.

7.3.15 “Gaming Facility” means any building in which Class III Gaming Activities or

Gaming Operations occur, or in which the business records, receipts, or funds of the Class

III Gaming Operation are maintained (excluding offsite facilities primarily dedicated to

storage of those records, and financial institutions), and all rooms, buildings, and areas,

including hotels, parking lots, and walkways, a principal purpose of which is to serve the

activities of the Tribe’s Gaming Operation and Gaming Facility rather than providing them

with an incidental benefit. Nothing in this Gaming Act prevents the conduct of Class II gaming

(as defined under IGRA) in the Gaming Facility.

7.3.16 “Gaming Resources” means any goods or services provided or used in

connection with Gaming Activities, whether exclusively or otherwise, including, but not

limited to, equipment, furniture, Gaming Devices and ancillary equipment, implements

of Gaming Activities such as playing cards, furniture designed primarily for Gaming

Activities, maintenance or security equipment and services, and Class III Gaming

consulting services. The term shall not include professional accounting or legal services.

7.3.17 “Gaming Resource Supplier” means any person or entity who, directly or

indirectly, does, or is deemed likely to, manufacture, distribute, supply, vend, lease, purvey

or otherwise provide to the Tribe’s Gaming Operation, or Gaming Facility at least twentyfive thousand dollars ($25,000) in Gaming Resources in any twelve (12) month period, or

who, directly or indirectly, receives, or is deemed likely to receive, in connection with the

Gaming Operation or Gaming Facility, at least twenty-five thousand dollars ($25,000) in

any consecutive twelve (12) month period, provided that the Gaming Commission may

exclude a purveyor of equipment or furniture that is not specifically designed for, and is

distributed generally for use other than in connection with Gaming Activities, if, but for the

purveyance, the purveyor is not otherwise a Gaming Resource Supplier under the Compact,

the compensation received by the purveyor is not grossly disproportionate to the value of the 

goods or services provided, and the purveyor is not otherwise a person who exercises a

significant influence over the Gaming Operation.

7.3.18 “General Council” means the governing body of the Tribe.

7.3.19 “Hearing Officer” means a natural person appointed by the Gaming Commissioner 
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to conduct hearings for the SMTGC, pursuant to the requirements and processes set forth in 

this Act.

7.3.20 “Key Employee” means a person who performs one or more of 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

gaming devices, including those persons with access to cash and accounting records within 

such devices. If not otherwise included, the definition of Key Employee shall also include (i) 

any other person whose total cash compensation is in excess of $50,000 per year, (ii) the four 

most highly compensated persons in the Gaming Operation, and (iii) any other person 

designated by the Tribe as a Key Employee.

7.3.21 “Management Contractor” means any Gaming Resource Supplier with whom

the Tribe has contracted for the management of any Gaming Activity or Gaming Facility

on Tribal Lands, including, but not limited to, any person who would be regarded as a

management contractor under IGRA.

7.3.22 “National Indian Gaming Commission” or “NIGC” means the federal gaming

commission established under IGRA.

7.3.23 “Non-Employee Worker” means any person performing labor or services for or 

on behalf of the Gaming Operation, or in support of non-gaming activities at the Gaming 

Facility, who is not classified as a Regular Employee, Temporary Employee, Gaming Employee 

or Key Employee. Examples of Non-Employee Workers include, but are not limited to, 

persons employed by labor or staffing firms whose services are provided to the Gaming 

Operation or at the Gaming Facility on the basis of a contract or other arrangement between 

the Gaming Operation and such labor or staffing firm.

7.3.24 “Person” means any natural person or entity, including but not limited to

corporations, partnerships and trusts.

7.3.25 “Primary Management Official” means the person who has management

responsibility for a management contract; any person who has authority to hire and fire

employees or to set up working policy for the Gaming Operation; or the chief financial officer

or other person who has financial management responsibility. At the discretion of the Gaming 

Commission, other positions or persons may be included under and be subject to the 

requirements for Primary Management Official. 

7.3.26 “Reservation” or “Tribal Lands” means all lands under the jurisdiction and 

control of the Tribe, including those lands that satisfy the definition of “Indian lands” as set 

forth in IGRA.

7.3.27 “State” means the State of California or an authorized official or agency thereof

designated by the Compact or by the Governor.

7.3.28 “State Gaming Agency” means the entities authorized to investigate, approve,

regulate and license Class III gaming pursuant to the Gambling Control Act (Chapter 5,
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commencing with section 19800) of Division 8 of the California Business and Professions

Code, or any successor statutory scheme, and any entity or entities in which that authority

may thereafter be vested. If the State fails, under a Compact provision, to designate an

agency authorized to investigate, approve, and regulate gaming licenses, any function

otherwise assigned to the State Gaming Agency shall be assumed by the Gaming Commission

until such time as the State establishes and designates such an agency.

7.3.29 “Temporary Employee” means an individual who has been hired by the Gaming 

Operation for a limited period of employment.

7.3.30 “Tribal Court” means any court established by the Tribe under its Judicial Code 

to hear disputes, or if there is none, an independent tribunal.

SMTC 7.4 Ownership of Gaming

The Tribe has the sole proprietary interest in and responsibility for the conduct of any 

Gaming Operation authorized by this Gaming Act.

SMTC 7.5 Gaming Commission

7.5.1 Establishment. The Tribe hereby establishes the San Manuel Gaming

Commission, to be comprised of one or more Commissioner(s) appointed by the

Business Committee. The initial appointed term for a Commissioner shall not exceed two

years, as mutually agreed by the Commissioner and the Business Committee. A

Commissioner may be reappointed for subsequent terms at the discretion of the Business

Committee. A Commissioner may not be an elected official of the Tribe, or employed in any

Gaming Enterprise or by the Tribe in any other capacity, while serving as a Gaming

Commissioner. In the event more than one Commissioner is appointed, one shall be

designated by the Business Committee as the Chair of the Commission and the Commissioners 

shall report to the Chair.

7.5.1.1 Commissioner Credentials. Individuals possessing the following credentials

should be considered when selecting Commissioners: (1) a Certified Public

Accountant with auditing experience; (2) a licensed attorney who possesses

regulatory experience; (3) an individual with a background in law enforcement

and criminal investigation; (4) an individual with a background in gaming

regulation with at least five (5) years of gaming regulation experience; or (5) an

individual with a background in information technology with at least five (5)

years of information technology experience.

7.5.1.2 Hearing Officer Credentials. Individuals selected and acting as Hearing 

Officers for the Gaming Commission must have demonstrable prior experience as 

a lawyer, judicial officer, arbitrator, or mediator, or demonstrate similar

professional dispute resolution experience, including but not limited to 

experience resolving disputes in tribal peacemaking courts or programs. Hearing 

Officers must also demonstrate familiarity with and an understanding of the 

provisions of this Act and all Gaming Commission Regulations, and shall maintain 

such familiarity and understanding as such legal authorities may be amended 
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from time to time.

7.5.2 Standard of Professional Conduct. Each Commissioner and Hearing Officer

shall abide by the following standard of professional conduct: confidentiality, impartiality,

fairness, and commitment to upholding the reputation of the Tribe for conducting Gaming

Activities of the highest integrity and honesty. All Commissioners and Hearing Officer(s) shall

strictly abide by Gaming Commission oaths of confidentiality and professionalism in the

discharge of their duties.

7.5.3 Chief Gaming Regulator. The Gaming Commission shall employ a Chief Gaming 

Regulator who shall be responsible for managing, supervising and overseeing the daily

activities of the Gaming Commission. The Chief Gaming Regulator shall serve as a full-time

employee of the Gaming Commission and shall report to the Gaming Commissioners. The

Business Committee shall approve the hiring of the Chief Gaming Regulator.

7.5.4 Suitability Standards. Each Gaming Commissioner, Chief Gaming Regulator

and Gaming Commission employee must meet or exceed the qualifications established

under this Gaming Act and the Compact. For the purpose of conducting background

investigations of and issuing licenses to the Commissioner(s), Chief Gaming Regulator and

Gaming Commission employees, such persons shall be deemed to be Gaming Employees

under this Gaming Act and shall be required to pass a background investigation and hold a

valid gaming license consistent therewith, including a review of financial, criminal, and

employment history, checking of references, and meeting and maintaining all other

suitability requirements for certification or licensing by the State or the Tribal Gaming

Commission.

7.5.5. Background Investigations: Background investigations of each Gaming 

Commissioner(s), Hearing Officer, Chief Gaming Regulator, and Gaming Commission 

employee, as designated by the Gaming Commission, shall be conducted by an independent 

investigator or an investigator appointed by the Gaming Commission under the direction of 

the Gaming Commission, and if deemed necessary, the Tribe’s legal department. The 

investigator shall conduct an investigation sufficient to make a determination of eligibility as 

required under this Act and other applicable law. This shall include verification of information 

submitted by the applicant. In conducting the background investigation, the investigator and 

the Gaming Commission shall maintain as confidential the identity of each person interviewed 

in the course of the investigation. The investigator shall document all potential problem areas 

noted and any disqualifying information. The legal department and/or Gaming Commission 

shall keep the details of the investigation confidential, but the legal department may confer 

with the investigator or any other person experienced in conducting or evaluation background 

investigations provided such other person agrees to maintain the confidentiality of the 

information obtained about the applicant.

7.5.5.1 The legal department and/or Gaming Commission shall make a determination 

as to whether the suitability standards contained within this Gaming Act have been met, 

and if so, shall certify that finding in writing to the Business Committee.

7.5.5.2 Background investigations of all Gaming Commission employees that are not 
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conducted by an independent or appointed investigator as provided for above shall be 

conducted by the appropriate Gaming Commission staff as directed by the Gaming 

Commission, unless otherwise provided for by the Gaming Commission.

7.5.6 Compensation. The salaries and expenses of Commissioners and the Chief Gaming 

Regulator shall be approved by the Business Committee as part of the annual budget process.

7.5.7 Removal for Good Cause. Commissioners may only be removed from office

before the expiration of their term by the Business Committee for neglect of duty, malfeasance

or other good cause shown (collectively referred to as “good cause”). Upon receipt of an 

allegation of an act or omission that constitutes good cause, the Business Committee

may suspend, with or without pay at its own discretion, a Gaming Commissioner from office

for no more than 60 days pending a full investigation of misconduct. At the expiration of the

suspension period, the suspension shall be lifted upon a determination that no cause exists

for removal under this Gaming Act, or, upon a finding of misconduct, the Business

Committee shall discipline the Commissioner as appropriate, up to and including removal

from office.

7.5.8 Post-Commission Restriction. Unless otherwise provided by the Gaming 

Commission, Gaming Commissioners and Commission employees shall be precluded from 

consulting or employment in any position with the Tribe’s Gaming Activities for a period of 

no less than two (2) years from their date of termination at the Gaming Commission.

 

7.5.9 Conflict of Interest. If any Commissioner or Hearing Officer has a conflict of

interest in investigating, hearing, or deciding a matter to come before the Gaming

Commission, such person shall have a duty to disclose such conflict and shall recuse himself

or herself from that matter.

7.5.10 Personnel and Administrative Policies. The Gaming Commission shall be

deemed to be an agency of the Tribal government and as such shall be subject to the personnel

and other governmental administrative policies of the Tribal government. The Business

Committee shall, in good faith, consider for approval any exceptions necessary to tailor

such policies to the Gaming Commission.

7.5.11 Gaming Commission Independence. Notwithstanding the fact that the Gaming

Commission is a Tribal governmental agency and is accountable to the Business Committee,

on behalf of the General Council, for its administration, in order to maintain independence

and ensure the highest level of integrity, the Business Committee shall not interfere with

Gaming Commission business or compromise the Gaming Commission’s ability to perform

its duties and responsibilities as provided for in this Act. The decisions of the Gaming

Commission regarding licensing, suitability, and compliance with Applicable Law shall be

within the exclusive province of the Gaming Commission, except that the Business Committee

may review any allegation that the Gaming Commission has exceeded its authority under this

Gaming Act and, if it deems the allegation to be true, shall refer the allegation to the 

Business Committee for further action, which may include removal of a 

Commissioner for cause. 

7.5.12 Gaming Commission Funding. The Gaming Commission shall be funded
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through an annual appropriation by the General Council and such additional funding

actions as may be deemed necessary. Unjust pressure shall not be placed upon the Gaming

Commission through the budgeting process.

7.5.12.1 Financial Reports. The Gaming Commission shall maintain its accounts, books

and records, including records of all income and expenditures, in accordance with generally

accepted accounting principles and consistent with Tribal governmental policies regarding

management of funds and records.

7.5.12.2 Annual Reports. On or before April 30th of each year, the Gaming

Commission shall provide to the Business Committee an Annual Report summarizing its

activities during the prior twelve (12) month period ending on December 31.

7.5.13 Power of Delegation. The Gaming Commissioner(s) and/or Chief Gaming 

Regulator may delegate, as appropriate, to qualified and responsible SMTGC staff as deemed 

necessary. 

SMTC 7.6 Powers and Duties

The Gaming Commission shall have the power, duty, and primary responsibility to carry out

the Tribe’s regulatory responsibilities under federal or tribal law, and any applicable

Compact; to enforce those requirements; and to protect the integrity of the Gaming Activities

and the reputation of the Tribe and the Gaming Operation under provisions to include the

following:

7.6.1 Conduct on-site gaming regulation and control; inspect, test, audit, examine, and

monitor the Gaming Facility, including internal control systems; prepare reports and

monitor compliance, including the authority to demand access to and inspect, examine,

photocopy and audit all papers, books and records related to the Gaming Facility or Gaming 

Activities.

7.6.2 Investigate any suspicion of wrongdoing in connection with the Gaming Facility or 

Gaming Operation, or related to any Gaming Activity or licensee, including potential

licensing or internal control violations, or interference with Gaming Commission operations,

and require correction of violations as the Gaming Commission deems necessary, including

establishing and imposing fines or other sanctions against licensees or other persons

who interfere with or violate the Tribe’s gaming regulatory requirements under applicable

federal or tribal law or the Compact, and by notification to applicable regulatory authorities

as deemed necessary for violations not corrected in a timely manner.

7.6.3 Conduct, or cause to be conducted, such investigations as may be necessary to

determine compliance with applicable laws, including this Gaming Act, or any contracts,

agreements, goods, services, events, incidents, or other matters related to Gaming Activities.

7.6.4 Conduct, or cause to be conducted, background investigations regarding any person

or entity in any way connected with any Gaming Activity and/or the Gaming Operation,

and issue licenses and identification badges to, at minimum, all Key Employees, Primary

Management Officials, and Gaming Resource Suppliers according to requirements at least
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as stringent as those established in 25 C.F.R. Parts 556 and 558 and Section 6 of the

Compact; provided no Commissioner shall provide any personal endorsement,

recommendation or other support for an applicant, in accordance with this Gaming Act and

the Compact.

7.6.5 Administer oaths or affirmations to witnesses appearing before the Gaming

Commission; hold hearings, summon persons on Tribal Lands to attend and testify at such

hearings, take testimony, and receive such evidence as the Gaming Commission deems

relevant to fulfill its duties.

7.6.6 Execute agreements necessary to receive comprehensive criminal history and other

background investigation information from other jurisdictions and sources.

7.6.7 Implement and administer a system for investigating, licensing (including license

issuance, renewal, denial, and revocation), and monitoring for the Gaming Facility,

employees, Gaming Contractors, vendors, suppliers, investors, and others connected with

Gaming Activities, as described below, including the licensing of Gaming Facilities,

individuals and entities as required under this Gaming Act, IGRA, or any applicable Compact.

7.6.8 Ensure, monitor, and direct inspections of Gaming Facilities by qualified building

and safety experts in order to comply with the Tribe’s building and safety codes; provide

reports as requested to the State if applicable under the Compact; review reports; and issue

a certificate of occupancy to the Gaming Facility.

7.6.9 Provide a copy of each Gaming Facility license and renewals thereof to the State

Gaming Agency in accordance with the Compact, and to the NIGC, including, at minimum:

the Tribe’s name; name and address of the Gaming Facility; type of gaming allowed; effective

date of license; the signature of the tribal official responsible for issuing the license; and the

name and phone number of the Gaming Commission.

7.6.10 Investigate and resolve applicable disputes against the Gaming Facility or Gaming 

Operation, in accordance with procedures established in this Gaming Act and applicable

tribal laws, consistent with the Compact.

7.6.11 Hire staff and support services as deemed necessary, subject to the Gaming 

Commission approved budget.

7.6.12 To the extent required, comply with any reporting requirements established under

this Gaming Act, the Compact, IGRA and regulations promulgated thereunder, and other

applicable law.

7.6.13 Develop necessary documentation and protocols, and establish joint cooperative

working relationships with federal, state, and local jurisdictions, including law enforcement

agencies, as necessary to assist in ensuring the effective regulation of the Tribe’s Gaming

Activities.

7.6.14 Implement appropriate rules, regulations, and procedures to ensure the effective 

enforcement of the provisions of this Gaming Act, including but not limited to:
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7.6.14.1 Protect the physical safety of gaming patrons, employees, and others in

the Gaming Facility;

7.6.14.2 Ensure the physical safeguarding of assets transported to, within, and from

the Gaming Facility;

7.6.14.3 Prevent illegal activity in the Gaming Facility or Gaming Operation through:

7.6.14.3.1 Maintenance of employee procedures and a surveillance system in accordance

with industry standards;

7.6.14.3.2 Maintenance of detailed and permanent records of all occurrences and 

incidents in the Gaming Facility that deviate from normal operating policies and procedures;

7.6.14.3.3 Establishment of employee procedures to detect theft, cheating and fraud;

7.6.14.3.4 Promulgation of exclusion regulations that:

7.6.14.3.4.1 Create a process for the exclusion of individuals from the Gaming Facility, 

including notice and a right to a hearing before the Gaming Commission;

7.6.14.3.4.2 Require maintenance of a list of persons excluded from the Gaming 

Facility;

7.6.14.3.4.3 Provide that Gaming Commission exclusion decisions are final and not 

appealable in the San Manuel Tribal Court or any other forum; and

7.6.14.3.4.4 Nothing within this act should require a hearing for individuals whose 

exclusion was based on the Bank Secrecy Act.

7.6.14.3.5 Conduct of an annual CPA audit;

7.6.14.3.6 Approval of all game rules and regulations;

7.6.14.3.7 Establish and impose license fees, sanctions, fines, and conditions as

appropriate under Applicable Law;

7.6.14.3.8 Investigate and ensure compliance with any requirements for tribal

ownership, management, and control of the Gaming Facility and Gaming Operation, as

set forth in Applicable Law;

7.6.14.3.9 Investigate and ensure compliance with age restrictions for patrons including

provisions prohibiting minors in the Gaming Facility and age limits on service of

alcoholic beverages as provided under Applicable Law;

7.6.14.3.10 Carry out any requirements under Tribal or federal law or the Compact for

the protection of the health and safety of Gaming Facility patrons, guests, and employees,

including requirements that the Gaming Facility meets building and safety codes duly
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adopted by the Tribe; and

7.6.14.3.11 Approval of Gaming Facility floor plans, closed-circuit television system, and

cashier’s cage, minimum staffing and supervisory requirements, and technical standards

for gaming device operations.

7.6.15 Ensure gaming devices are not transported to or from the Tribal Lands except in 

accordance with procedures established by an agreement between the Gaming Commission

and the State Gaming Agency. The agreement shall require at least ten (10) days notice to

the county sheriff, and transportation only to specific destinations for specific purposes as

established in the agreement and the Compact.

7.6.16 Promulgate rules governing the conduct of each Class I, Class II or Class III game

allowed under this Gaming Act.

7.6.17 Comply with a Tribal conflict of interest policy to ensure that Commissioners and

Hearing Officers are free from corruption, undue influence, compromise, and conflicting

interests in the conduct of their business.

7.6.18 The Gaming Commission shall make the following documents available to its

patrons or their representatives in hard copy or on the Gaming Facility’s website:

7.6.18.1 The Gaming Act;

7.6.18.2 The rules of each Class III game operated by the Tribe, to the extent that such 

rules are not available for display on the Gaming Device or the table on which the game

is played;

7.6.18.3 Tribal law, to the extent it impacts the public in relation to Gaming Activities;

7.6.18.4 The San Manuel Gaming Facility Tort Liability Act; and

7.6.18.5 The regulations promulgated by the Gaming Commission concerning patron

disputes pursuant to section 10 of the Compact.

7.6.19 The Gaming Commission shall ensure compliance with 25 C.F.R. Parts 542 and 543 

by formally adopting and making applicable to the Gaming Operation(s) written internal 

control standards as set forth in the Gaming Commission Regulations that:

7.6.19.1 Provide a level of control that equals or exceeds those minimum internal control

standards set forth in 25 C.F.R part 542, as they existed on October 19, 2006, and as they

may thereafter be amended (“Compact MICS”);

7.6.19.2 Contain standards for currency transaction reporting that comply with 31 C.F.R.

part 103;

7.6.19.3 Satisfy the requirements of section 9.1 of the Compact;

7.6.19.4 Are consistent with the Compact;
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7.6.19.5 Require the Gaming Operation to comply with internal control standards;

7.6.19.6 Establish internal control standards for Class II and Class III games that are not 

addressed in applicable laws, if any.

7.6.19.7 Verify the Gaming Operation is in compliance with the internal control standards

adopted pursuant to this section 7.6.19 by engaging an independent certified public

accountant to perform “Agreed-Upon Procedures” as set forth in 25 C.F.R. § 542.3(f).

7.6.19.8 Authorize the Gaming Commission and the NIGC to monitor and enforce 

compliance with the internal control standards adopted pursuant to this section 7.6.19 in

the manner provided for in 25 C.F.R. § 542.3(g). In addition, the NIGC shall, for the

purpose of enforcing compliance with the internal control standards, have the power to (i) 

monitor all Class II and Class III gaming on a continuing basis; (ii) inspect and examine all

premises on which Class II and Class III gaming is conducted; and (iii) demand access

to and inspect, examine, photocopy, and audit all papers, books, and records respecting

gross revenues of all Class II and Class III gaming or any other matters necessary to ensure

and enforce compliance with Applicable Law.

7.6.19.9 Provide that any failure to adopt internal control standards pursuant to this

section 7.6.19, perform Agreed-Upon Procedures pursuant to 7.6.19.7, prevent or obstruct

the exercise of any of the Gaming Commission’s powers under Section 7.6.19.8, or comply

with the internal control standards, once adopted, is a violation of this Gaming Act. The

Chairman of the National Indian Gaming Commission shall have the authority to remedy

violations of this Gaming Act under 25 U.S.C. § 2713 and its implementing regulations, and

the Tribe shall have all rights and remedies available thereunder.

7.6.20 Carry out such other duties with respect to the regulation of Gaming Activities on

Tribal Lands as required under Applicable Law, including this Gaming Act, IGRA, and

the Compact, and as the General Council or Business Committee shall direct.

7.6.21 Carry out such other duties as may be assigned by the Business Committee of the

Tribe, regardless of whether such duties relate to the regulation of Gaming Activities on

Tribal Lands. Such assignment shall be made through appropriate policy or procedure in

order to capitalize upon certain expertise of the Gaming Commission.

SMTC 7.7 Enforcement

In the event it is determined that a licensee or the Gaming Enterprise has violated Applicable

Law, including any internal control procedures or policy of the Gaming Enterprise, a written

report of such incident shall immediately be made to the Gaming Commission. The Gaming 

Commission shall then investigate and determine what action should be taken, if any. If action

is required, the Gaming Commission shall issue a citation to the Gaming Enterprise, notifying

it of the specific violation(s) or issues, measures which must be taken for correction, and a

reasonable time limit in view all the circumstances in which such action must be taken.

Copies of any such citation shall simultaneously be served on the Business Committee of the 

Tribe. The Gaming Commission may enforce such citations by: (a) suspending or revoking the
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licenses of any persons found to have violated Applicable Law; or (b) such lesser penalty or

other remedy as the Gaming Commission shall determine, including the imposition of fines or

sanctions. Nothing herein shall prevent or prohibit the Gaming Commission from seeking

compliance assistance from local, federal, or state gaming or law enforcement agencies, the

Bureau of Indian Affairs, or the NIGC, particularly but not limited to any instance in which the

Gaming Enterprise and the General Council have failed to correct a violation of Applicable

Law. The Gaming Commission shall report violations of the Compact that pose a substantial 

threat to gaming integrity, public health and safety, or the environment, or continued

violations that, if isolated might not require reporting, but cumulatively pose a threat to

gaming integrity, public health and safety, or the environment, and any failure to comply with

the Gaming Commission’s orders, to the California Gambling Control Commission and Bureau

of Gambling Control in the California Department of Justice within ten (10) days of discovery.

SMTC 7.8 Permitted Gaming Activities; Regulation of Gaming

Activities

7.8.1 Unauthorized Gaming Prohibited. All Gaming Activities on Tribal Lands

are prohibited except as expressly permitted under this Gaming Act.

7.8.1.1 Class I Gaming. Class I Gaming Activities are hereby permitted to the extent

consistent with Tribal custom and practice and provided the General Council is given at

least seven (7) days prior notice in writing of any intention to engage in such gaming. The

General Council may prohibit any conduct that is claimed to be Class I gaming if the Council

finds that such conduct is not in accordance with Tribal customs or practices or violates

IGRA or any other law.

7.8.1.2 Class II and Class III Gaming. Class II and Class III gaming on Tribal Lands

are hereby authorized as permitted under Applicable Law, provided the Tribe has the

sole proprietary interest in and responsibility for the conduct of any Gaming Operation.

Nothing herein shall prohibit the Tribe from engaging the services of non-tribal persons

as employees or engaging any person or entity to assist the Tribe in the management of

a Gaming Activity pursuant to a management agreement entered into under the provisions

of IGRA or any other applicable law. Class III gaming shall be conducted in accordance

with a Compact, or any alternative thereto as provided by IGRA.

SMTC 7.9 Use of Gaming Revenues

7.9.1 Except as provided for under the terms of an agreement pursuant to the provisions

of IGRA or as otherwise permitted by law, all net revenues generated from any Class II or

Class III Gaming Activity are the property of the Tribe. Net revenues from Class II and

Class III Gaming Activities shall only be used for the following purposes:

7.9.1.1 To fund tribal government operations or programs;

7.9.1.2 To provide for the general welfare of the Tribe and its members;

7.9.1.3 To promote economic development for the Tribe;
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7.9.1.4 To donate to charitable purposes; or

7.9.1.5 To help fund operations of local governmental agencies.

7.9.2 Except for rights to per capita payments, if any, or as set forth below, no

Tribal member shall have any interest or expectation in any funds generated by any Gaming

Activity. All such funds are deemed Tribal funds only and are and shall remain the property

of the Tribe until disbursed, if at all, from the general treasury. The General Council shall

retain the sole discretion as to how such funds are utilized, and once becoming part of the

treasury such funds shall lose any identity as gaming revenues except to the extent

necessary to identify them as such for accounting purposes or to comply with applicable

law. Notwithstanding anything herein to the contrary, if the Tribe elects at any time to

make per capita payments to the members, it shall authorize such payments only upon

approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. §

2710(b)(3). Payments out of general treasury funds to tribal members under other tribal

programs, including those relating to health, welfare, education, elderly care, and

housing, shall not be deemed to be “per capita” payments when such funds are paid from

the Tribe’s general treasury.

SMTC 7.10 Operation of Gaming Establishments

7.10.1 Gaming Facility License. Except to the extent authorized by an agreement

pursuant to the provisions of IGRA or as otherwise permitted by law, Gaming Activities

shall only be conducted in tribally owned, operated and licensed Gaming Facilities pursuant

to the provisions of this Gaming Act, the Compact and other Applicable Law. Such activities

shall be conducted in accordance with the terms and conditions of the license issued to

the Gaming Facility by the Gaming Commission prior to the conduct of any Gaming Activities

therein.

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

Indian lands where the Tribe elects to allow any gaming activity. Before Gaming Activities

can be conducted in any Gaming Facility, the Gaming Commission shall inspect and

license each Gaming Facility in accordance with this Gaming Act, the Compact, and other

Applicable Law. The Gaming Commission shall also determine and certify that the Gaming

Facility and any new Gaming Facility construction meets the Tribe’s building and safety

codes, and any applicable federal or Compact requirements, and issue a certificate of

occupancy to the Gaming Facility as required under the Compact.

7.10.1.2 The Gaming Facility license shall identify: the name and address of the Gaming

Facility; type of gaming allowed; effective date of the license; name and telephone number

of the Gaming Commission; and such other matters as the Gaming Commission may deem

necessary to the conduct of Gaming Activities therein, or as may be required under a

Compact or other Applicable Law.

7.10.1.3 The Gaming Facility’s license shall require renewal at intervals as determined

by the Gaming Commission, provided that the valid term for a facility license shall not

exceed two years. The renewal process shall include all inspections required to certify

continued compliance with all applicable Tribal Codes, the Compact, and NIGC Regulations.
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7.10.1.4 The Gaming Commission shall provide the NIGC and the State a copy of the

initial license and each renewal within thirty (30) days of issuance. The Gaming

Commission’s license and certificate of occupancy issued to the Gaming Facility shall be

conspicuously posted at all times.

7.10.2 Protection of Environment and Public. The construction and maintenance of

any Gaming Facility, and the operation of Gaming Activities therein, shall be conducted in

a manner that adequately protects the environment and the public health and safety, in 

compliance with any standards required under tribal and federal law, and the Compact.

7.10.3 Dispute Resolution. Patrons who have personal injury or property damage

complaints (“Patron Tort Claims”) against the Gaming Facility or Gaming Operation shall

have the right to remedies provided in the Tribe’s Gaming Facility Tort Liability Act.

Patrons who have complaints regarding the play or operation of any game at a Gaming 

Facility (“Patron Disputes”), including any refusal to pay to a patron any alleged winnings 

from any Gaming Activities, shall have the right to remedies as provided in this Act and 

applicable Gaming Commission Regulations. For avoidance of doubt, exclusions from a 

Gaming Facility and Gaming Commission decisions regarding such exclusions do not fall 

within the category of Patron Disputes. 

SMTC 7.11 Audits

7.11.1 Annual Audit. The Gaming Commission shall ensure the engagement of a

recognized independent accounting firm to conduct an annual audit of the Tribe’s Class II

and Class III Gaming Operations.

7.11.2 Contract Review and Audit. Each gaming related contract for supplies, services,

or concessions that results in purchases of more than $25,000 annually (except contracts

for professional legal or accounting services) relating to Class II or Class III gaming on the

Tribal Lands shall be included in the independent audits.

7.11.3 Reporting Audit Results. The Tribe shall make available the results of each

annual audit to the Tribe’s General Council within thirty (30) days of completion of the audit.

The Gaming Commission shall provide audit results to the NIGC and to the State to the extent 

required by applicable law.

SMTC 7.12 Gaming Licenses

7.12.1 Licensing Procedure. The Tribe’s Gaming Licensing procedure shall be

administered through the Gaming Commission. The program shall be an investigative

licensing process under which all applicants for gaming licenses are evaluated against

the standards set forth in, and subject to, the following applicable laws:

7.12.1.1 The Gaming Act and any gaming regulations promulgated thereunder;

7.12.1.2 IGRA and NIGC regulations;
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7.12.1.3 Compact requirements, to the extent applicable; and

7.12.1.4 Any other applicable tribal, federal, or state laws.

7.12.2 Licensing Policy and Requirements. It is the policy of the Tribe that all Gaming

Activities be licensed and controlled so as to protect the morals, good order and welfare

of tribal members and other persons on Tribal Lands, and to preserve the honesty, fairness

and integrity of such Gaming Activities. Accordingly, no person shall engage in any Class

II or Class III Gaming Activities on Tribal Lands without a valid license issued by the

Gaming Commission.

7.12.3 Gaming License is a Privilege. Any gaming license or finding of suitability

issued by the Gaming Commission shall be deemed a privilege, not a right, and is subject

to denial, suspension or revocation at any time. No license or license renewal shall be issued

that would place the Tribe in violation of Applicable Law. A gaming license for Key 

Employees, Primary Management Officials, or Gaming Employees is subject to renewal at least 

every two (2) years. A right to a hearing or appeal to dispute a suspension, revocation, or denial 

of a license shall vest only upon receipt of a license granted pursuant to this Act.

7.12.4 Burden on Applicant. The burden of proving an applicant’s qualifications to

receive a license hereunder is at all times on the applicant. Applicants must accept any risk

of adverse public notice, embarrassment or other action that may result from the

application process and expressly waive any claim for damages as a result thereof.

7.12.5 Applicant Claim of Privilege. An applicant may claim any privilege afforded by

law in connection with a gaming license application or investigation, but a claim of

privilege with respect to any testimony or evidence pertaining thereto may constitute

sufficient grounds for denial, suspension, or revocation.

7.12.6 Release of Information. Persons applying for a license shall agree to release all

information necessary in order for the Gaming Commission and any applicable federal or

state entity to complete their suitability determination. Applicants must update all such

information promptly on an on-going basis, and to furnish such information as may be

required by the State Gaming Agency, or such other governmental agency as may be required

by law.

7.12.7 Types of Licenses

7.12.7.1 Class A License. Before permitting any person to become associated with any

Gaming Activity as an investor or other person owning or controlling 10% or more interest

in any management entity, or any Primary Management Official, Key Employee, a gaming

related position designated by the Gaming Commission as requiring a Class A license,

closely associated independent contractor, or other individual or entity with influence over

the management or operation of the gaming, or a Gaming Employee, such person shall

obtain a Class A license. The Gaming Commission shall conduct or cause to be conducted a

background investigation to determine if such person has:

7.12.7.1.1 Any criminal record or any reputation, prior activities, habits or associations
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which might pose a threat to the public interest or to the effective regulation of gaming; or

7.12.7.1.2 Anything else in his/her background that might create or enhance the dangers

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

or in the carrying on of business and financial arrangements incidental thereto.

7.12.7.1.3 Whether issuance of the license is inimical to public health, safety, or welfare,

and whether issuance of the license will undermine public trust that the Tribe’s Gaming

Operation is free from criminal and dishonest elements and would be conducted honestly.

7.12.7.1.4 Those who at any time do not meet the above qualifications shall be denied a

Class A license, or in the case of an existing license, the license may be revoked.

7.12.7.2 Class B License. Persons not identified as requiring a Class A License, but

who are Employees at a Gaming Facility on Tribal Lands in another capacity shall be

required to obtain a Class B license from the Gaming Commission. Such persons must

establish that they have not been convicted of certain crimes or engaged in any activity

which the Gaming Commission in its sole discretion deems to render such person a danger

to the safety or integrity of the Gaming Activities, or to the safety and security of the Tribe,

property of the Tribe, any Tribal member, any Gaming Employee or patron, or the public.

7.12.7.3 Gaming Resource Supplier. Gaming Resource Suppliers must meet all tribal

and state licensing and suitability requirements. Any Gaming Resource Supplier who,

directly or indirectly, provides, has provided, or is deemed likely to provide at least twentyfive thousand ($25,000) in Gaming Resources in any 12-month period, or who has received

at least twenty-five thousand dollars ($25,000) in any consecutive 12-month period

within the 24- month period immediately preceding application, shall be licensed by the

Gaming Commission prior to the sale, lease, manufacture, vending, purveyance, supply,

or distribution, or further sale, lease, manufacture, vending, purveyance, supply, or

distribution, or otherwise providing of any such Gaming Resources to or in connection

with the Tribe’s Gaming Operation or Gaming Facility. The Gaming Resource Supplier

license must be renewed at least every two (2) years. The Tribe shall not enter into any

contract or agreement that would require licensing if the Gaming Resource Supplier has 

been denied a license or is deemed unsuitable, or the license or suitability determination has

expired without renewal.

7.12.7.4 Union License. Any labor union, including its management and

representatives, seeking to represent any Gaming Employees must first apply for and be

deemed suitable to obtain a license under standards and licensing requirements established

by the Gaming Commission.

7.12.7.5 Vendor License. Vendors providing other goods or services, and those

providing gaming related goods or services valued at less than $25,000 in a 12-month

period, may also be required to obtain a license from the Gaming Commission prior to

doing business with the Tribe’s Gaming Operation. Vendors who are deemed not to be

Gaming Resource Suppliers or who provide only non-gaming related goods or services

to the Tribal Gaming Operation shall, at minimum, complete a short form application

and qualify for a vendor license issued by the Gaming Commission. Such license must be
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renewed at least every two (2) years and the Gaming Commission may require additional

information or licensing at any time.

7.12.7.6 Temporary or Provisional Licenses. Pending completion of an

investigation for a license, the Gaming Commission may issue a temporary or

provisional license of no more than ninety (90) days duration if, in its sole discretion,

it deems such issuance appropriate, and may grant an extension of such a license if

necessary to complete the investigation or to obtain the Criminal History Record

Information results from fingerprint submissions. Such licenses shall permit the licensee

to engage in such activities pursuant to such terms and conditions as the Gaming

Commission may specify. Temporary or provisional licenses shall expire ninety (90) days

from date of issuance, upon issuance of a regular license, or until a specified expiration date.

7.12.7.7 Non-Licensed Temporary Employees and/or One-Day Non-Employee 

Workers. Temporary Employees and/or Non-Employee Workers who will be working at a 

Gaming Facility in a role not involving Gaming Activities will not be required to obtain and 

maintain a Gaming license. However, these individuals will be required to be escorted at all 

times if they have access to Back of House or other areas deemed sensitive by the Gaming 

Commission. Furthermore, the Gaming Commission reserves the right to license any nongaming/ non-key temporary and/or one-day worker based on the access to and /or 

sensitivity of the work performed.

7.12.8 State Gaming Agency. Class III Gaming Employees, Gaming Resource

Suppliers, gaming management, investors, and financial sources may further be subject to

Compact licensing requirements, and State Gaming Agency investigation and suitability

requirements, including issuance of a license or determination of suitability, under the

Compact.

7.12.9 Drug and/or Alcohol Testing. The Gaming Commission reserves the right to

require drug and/or alcohol testing for any license applicant or licensee at any time.

7.12.10 License Investigations. The Gaming Commission may employ all reasonable

means, including engaging outside services and investigators and holding hearings, to

acquire the information necessary to determine whether or not a license should be issued.

Applicants shall agree to release all information necessary in order for the Gaming

Commission to achieve its goals under this Gaming Act and to furnish such information to the

NIGC, the State Gaming Agency, or other agencies as may be required by Applicable Law.

7.12.11 License Renewal. All licenses for Key Employees, Primary Management Officials, 

or Gaming Employees shall be subject to renewal at least every two (2) years, and more 

frequently if so required by the Gaming Commission or other applicable law. All Gaming

licenses may be revoked or suspended upon the occurrence of any act that, if known

during the application process, would have tended to disqualify such person or entity for such 

a license.

7.12.12 License Fees. Unless specifically waived by the Gaming Commission, all persons

applying for a license shall be required to pay all applicable license fees and costs when

due, including a reasonable deposit for costs that may be incurred in connection with the
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license application. Estimates of licensing costs will be provided to applicants upon

reasonable request. All fees and costs must be received by the Gaming Commission prior to

issuance of the license, unless the Tribe or the Gaming Operation has agreed to reimburse

the Gaming Commission directly for all or part of such fees and costs.

7.12.13 Standards. All persons engaged by or associated with any Gaming Activity on

Tribal Lands shall conduct themselves with honesty, integrity, and with such decorum

and manners as necessary to reflect positively on the Tribe, its members and the Gaming

Activities. Any failure to abide by such standards, or any violation of a rule, regulation, law,

custom or tradition of the Tribe, the Gaming Commission, or the Gaming Operation, or with

the terms or conditions of the license, may be grounds for immediate suspension or

revocation of any license issued hereunder.

7.12.14 Background Investigations

7.12.14.1 The Gaming Commission shall request from each Primary Management Official,

Key Employee, and any other applicant for a Class A license, unless provided otherwise by

the Gaming Commission consistent with Applicable Law, all of the information specified

in subsections 7.12.14.1.1 through 7.12.14.1.14 below, as well as any other information

required on the gaming license application. The Gaming Commission reserves the right,

at any time, to request additional information during or subsequent to any background

investigation.

7.12.14.1.1 Full name, other names used (oral or written), social security number(s), date

of birth, place of birth, citizenship, gender, all languages (spoken or written);

7.12.14.1.2 Currently and for at least the previous ten (10) years: business and

employment positions held, ownership interests in those businesses, business and

residence addresses and driver license number(s);

7.12.14.1.3 Names and current addresses of at least three (3) personal references (who

are not related to or living in the same household with applicant), including one

personal reference who was acquainted with the applicant during each period of

residence as listed under subsection 7.12.14.1.2 above;

7.12.14.1.4 Current business, residence, and cellular telephone numbers;

7.12.14.1.5 A description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in those businesses;

7.12.14.1.6 A description of any existing and previous business relationships with Indian

tribes, including ownership interests in those businesses;

7.12.14.1.7 Name and address of any licensing or regulatory agency with which the 

person has ever filed an application for a license or permit related to gaming, whether

or not such license or permit was granted;

7.12.14.1.8 For each felony for which there is an on-going prosecution or a conviction: the 
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charge, the name and address of the court involved, and the date and disposition, if any,

of the case;

7.12.14.1.9 For each misdemeanor conviction or on-going misdemeanor prosecution

(excluding minor traffic violations) within ten (10) years of the date of the application:

the name and address of the court involved, and the date and disposition, if any, of the

case;

7.12.14.1.10 For each criminal charge (excluding minor traffic charges) that you have

ever received, whether or not there is or was a conviction, if such criminal charge is within

ten (10) years of the date of the application and is not otherwise listed above pursuant

to subsections 7.12.14.1.8 or 7.12.14.1.9 above: the criminal charge, the name and address

of the court involved and the date and disposition, if any, of the case;

7.12.14.1.11 Name and address of any licensing or regulatory agency (federal, tribal,

state, local or foreign) with which the person has filed an application for an

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

7.12.14.1.12 Current photograph;

7.12.14.1.13 Any other information the Tribe or Gaming Commission deems relevant; and

7.12.14.1.14 Fingerprints consistent with procedures adopted by the Gaming Commission

according to 25 C.F.R. § 522.2(h) and, as applicable, fingerprints to be processed

through the California Department of Justice. For the limited purpose of obtaining

fingerprints in compliance with 25 C.F.R. § 522.2 (h) the Tribal Gaming Commission

shall be the designated law enforcement agency.

7.12.15 Investigation Process. The Gaming Commission shall conduct or cause to be

conducted, an investigation sufficient to make a determination of eligibility as required

under this Gaming Act and other Applicable Law. This shall include verification of

information submitted by the applicant. The Gaming Commission shall document all

potential problem areas noted and any disqualifying information. In conducting the

background investigation, the Gaming Commission and its agents shall keep confidential

the identity of each person interviewed in the course of the investigation.

7.12.16 Fingerprints. The Gaming Commission shall cause fingerprints to be taken and

forwarded to the NIGC and to the California Department of Justice, as applicable, consistent

with all applicable laws and the Compact. Fingerprints shall be processed through the

Federal Bureau of Investigation and/or the California Department of Justice or other

available state sources as applicable to determine the applicant’s criminal history, if any.

7.12.17 Eligibility Determination. The Gaming Commission 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 to

hold a gaming license. If the Gaming Commission, in applying the standards adopted

herein, determines that licensing 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
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illegal practices and methods and activities in the conduct of gaming, the Gaming

Commission shall not license that person in a Key Employee or Primary Management Official

position or in any other position for which a Class A license is required.

7.12.18 Investigative Report and Notice of Results

7.12.18.1 When a Primary Management Official or Key Employee is employed, the Gaming

Commission shall maintain a complete application file containing the information required

by section 7.12.14.1 above.

7.12.18.2 Before issuing a license to a Primary Management Official or Key Employee, the

Gaming Commission shall:

7.12.18.2.1 Create and maintain an investigative report on each background 

investigation. The investigative report shall include The investigative report shall include

the following information:

7.12.18.2.1.1 Steps taken in conducting a background investigation;

7.12.18.2.1.2 Results obtained;

7.12.18.2.1.3 Conclusions reached; and

7.12.18.2.1.4 The basis for those conclusions.

7.12.18.2.2 Submit a notice of results of the applicant’s background investigation to the

NIGC no later than sixty (60) days after the applicant begins work. The notice of results

shall contain the following information:

7.12.18.2.2.1 Applicant’s name, date of birth, and social security number;

7.12.18.2.2.2 Date on which the applicant began or will begin work as a key employee

or primary management official;

7.12.18.2.2.3 A summary of the information presented in the investigative report,

which shall include a listing of:

7.12.18.2.2.3.1 Licenses that have previously been denied;

7.12.18.2.2.3.2 Gaming licenses that have been revoked, even if subsequently

reinstated;

7.12.18.2.2.3.3 Every known criminal charge brought against the applicant within

the last ten (10) years of the date of application; and

7.12.18.2.2.3.4 Every felony of which the applicant has been convicted or any

ongoing prosecution.

7.12.18.2.2.4 A copy of the eligibility determination.
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7.12.19 Granting a Gaming License

7.12.19.1 The Gaming Commission may issue a gaming license, subject to Compact

licensing requirements.

7.12.19.2 After the Gaming Commission has provided a notice of results to the NIGC, it

may issue a gaming license to any Key Employee or Primary Management Official.

7.12.19.3 After the Gaming Commission has issued a gaming license, it shall notify the

NIGC of the issuance within thirty (30) days of issuing the license.

7.12.19.3.1 If, within the thirty (30) day period after the NIGC receives a complete

notice of results for a Key Employee or Primary Management Official, the NIGC provides

the Gaming Commission with a statement itemizing objections to the issuance of a license

to that Key Employee or Primary Management Official applicant, the Gaming

Commission shall reconsider the application, taking into account the objections

itemized by the NIGC. The Gaming Commission shall make the final decision whether

to issue a license to such applicant. If the Gaming Commission issued a license before

receiving the NIGC’s statement of objections, notice and hearing shall be provided to the

licensee as provided by § 558.4.

7.12.19.4 The Gaming Operation shall not employ or continue to employ a Key Employee

or Primary Management Official who does not have a gaming license within (90) days

of beginning work.

7.12.19.5 If the Gaming Commission does not license an applicant:

7.12.19.5.1 The Gaming Commission shall notify the NIGC; and

7.12.19.5.2 The Gaming Commission shall forward copies of its eligibility determination

and notice of results to the NIGC for inclusion in the Indian Gaming Individuals Record

System.

7.12.19.6 The Gaming Commission shall retain the following for inspection by the NIGC for

no less than three (3) years from the date of termination of employment: 

7.12.19.6.1 Applications for licensing; 

7.12.19.6.2 Investigative reports; and 

7.12.19.6.3 Eligibility determinations.

7.12.20 Denial of Gaming License Applicants. New hire applicants who are denied

a license, and licensees whose licenses are revoked or denied by the Gaming Commission,

must wait for at least two (2) years before they may reapply for a gaming license. Pursuant to 

Sections 7.14 and 7.15 of this Act, a licensee shall be entitled to a hearing and appeal to contest 

the revocation or denial of an existing license. A new hire applicant who has been denied 
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issuance of a gaming license shall not be entitled to hearing or an appeal to contest the decision.

7.12.21 License Suspension.

7.12.21.1 If, after issuing a gaming license, the Gaming Commission receives reliable

information from the NIGC or other reliable source indicating that a Key Employee,

Primary Management Official, or any other holder of a gaming license is not eligible to

hold a gaming license under the eligibility criteria established herein, the Gaming

Commission shall immediately suspend the license and shall provide the licensee with

written notice of suspension and proposed revocation.

7.12.21.2 The Gaming Commission shall notify the licensee of a time and place for a hearing

on the proposed revocation of a license in accordance with the procedures set forth in this 

Gaming Act.

7.12.21.3 After the revocation hearing, the Gaming Commission shall decide whether to 

revoke or to reinstate the gaming license. The Gaming Commission shall notify the NIGC of

its decision within 45 days of receiving notification from the NIGC.

SMTC 7.13 Application Forms

7.13.1 Notices. Each application form for a Key Employee or a Primary Management

Official, as well as for all other Class A license applicants, unless otherwise specifically

exempted by the Gaming Commission consistent with applicable law, shall contain the notices

set forth in subsections 7.13.1.1 and 7.13.1.2 below:

7.13.1.1 Privacy Act Notice.

In compliance with the Privacy Act of 1974, the following information is provided:

Solicitation of the information on this form [your application for a gaming license and

any renewal thereof] 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 Gaming Commission and by the National Indian

Gaming Commission (“NIGC”) 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 the Tribe’s being unable to license you

for a primary management official or key employee position, or other position as

determined by the Tribe. 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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7.13.1.2 Notice Regarding False Statements.

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 (18 U.S.C § 1001).

7.13.2 Existing Licensees. Any existing Key Employee or Primary Management Official,

or other Class A licensee, unless otherwise specifically exempted by Gaming Commission,

shall be notified that they shall either:

7.13.2.1 Complete a new application form that contains the Privacy Act Notice and the

Notice Regarding False Statements; or

7.13.2.2 Sign a statement that contains the Privacy Act Notice and consent to the routine

uses described in that Notice and sign a statement that contains the Notice Regarding

False Statements.

SMTC 7.14 Hearings

7.14.1 The Gaming Commission may conduct hearings as needed to make regulatory

compliance determinations within the scope of this Gaming Act, and shall conduct hearings

for:

7.14.1.1 Suspension, revocation, or denial of a licensee’s gaming license, provided that a 

new hire applicant shall have no right to a hearing or appeal to contest a Gaming 

Commission decision to deny the issuance of a gaming license,

7.14.1.2 Imposition of fines or sanctions, and

7.14.1.3 excluded patrons.

7.14.2 All Gaming Commission hearings shall:

7.14.2.1 Be presided over by a Gaming Commissioner(s) and/or Hearing Officer;

7.14.2.2 Be properly noticed in writing to the party that is the subject of the Gaming 

Commission’s decision or order by notice that is reasonably calculated to apprise the party 

of the pendency of a final determination. Such notice shall be delivered at least ten (10) 

business days prior to the hearing;

7.14.2.3 Allow the party that is the subject of the Gaming Commission’s decision or

order the opportunity to be heard through the presentation of written or oral statements

or other evidence to support his or her position;

7.14.2.4 Allow the party an opportunity to review the materials upon which the charge is

based in such a manner that does not compromise the security or regulation of the Gaming

Operation;
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7.14.2.5 Be documented or recorded and maintained on file in accordance with the

governing records retention policy;

7.14.3 Advocates may participate in the hearing on behalf of either party at the party’s

own expense, and the Gaming Commission may seek the advice of the Tribe’s legal counsel

as needed.

7.14.4 The Gaming Commissioner(s) or Hearing Officer, shall weigh the evidence,

testimony, and exhibits, and make its decision, based on the credibility of the evidence and

witnesses, by a preponderance of the evidence. Gaming Commission decisions shall be issued

in writing within 30 days of the hearing. All decisions shall include a statement of facts and

a statement of legal authority on which the decision is based. Decisions shall be delivered to

the party and include information and instructions for appealing the decision.

7.14.5 Nothing herein shall prohibit the Gaming Commission from taking immediate

action in emergency situations to protect the health and safety of patrons and employees

or assets of the Tribe. Such actions shall immediately be followed by the hearing process.

SMTC 7.15 Appeals

7.15.1 Only the following Gaming Commission decisions may be appealed to the San 

Manuel Tribal Court:

7.15.1.1 Suspension, revocation, or denial of a licensee’s gaming license. 

7.15.1.2 Imposition of fines or sanctions; and

7.15.1.3 Patron Disputes.

7.15.2 To appeal the Gaming Commission’s decision, a Notice of Appeal shall be submitted 

with the San Manuel Tribal Court and the Gaming Commission within twenty (20) days of the 

issuance date of the Gaming Commission’s decision. Failure to file a Notice of Appeal within 

the time specified herein renders the Gaming Commission’s decision unappealable.

7.15.3 All decisions of the Tribal Court shall be final.

7.15.4 In the event the Tribal Court is not in operation or no longer in existence, parties

may appeal the Gaming Commission’s decision by filing a Notice of Appeal with the Gaming

Commission within twenty (20) days of the issuance date of the Gaming Commission’s

decision. Failure to request a hearing within the time specified herein renders the Gaming

Commission’s decision unappealable. The Gaming Commission shall transmit the Notice

of Appeal to an independent tribunal within seven (7) days of receipt along with the

record created in the Gaming Commission decision.

Appeals shall be conducted before an independent tribunal, which shall schedule a hearing

within ninety (90) days of receipt of the Notice of Appeal from the Gaming Commission. The
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independent tribunal shall send written notice to each party informing them of the hearing

date, time and location at least thirty (30) days prior to the hearing. All hearings shall

be conducted in accordance with the rules established by the independent tribunal. The

decision of the independent tribunal shall be final.

7.15.5 Effect of Compact. Notwithstanding anything in this gaming act to the contrary, 

any licensing procedure required under the compact shall be implemented as provided 

therein, and the gaming commission may adopt regulations integrating such procedures with 

the foregoing.

SMTC 7.16 Class III Gaming; Compact

In addition to the provisions set forth above, Class III gaming shall be engaged in on the

reservation pursuant to a Compact or by an alternative as provided by IGRA. All negotiations 

for such Compacts and amendments thereto shall be conducted through the Tribal

Chairperson, with the advice and suggestion of the Gaming Commission, and shall be finalized

only upon majority vote of the General Council after consideration of the terms. In the event

the provisions of a Compact, as approved under IGRA, may be inconsistent with provisions 

herein, the approved Compact provisions shall govern, but only to the extent inconsistent with 

this Gaming Act. 

SMTC 7.17 Interest in Management Contracts by Tribal Officials

No elected official of the Tribe, any Commissioner, or any member of any other committee or 

agency of the Tribe, shall have a financial interest in or management responsibility for any

management agreement entered into pursuant to IGRA, nor shall such elected official serve on

the board of directors or hold (directly or indirectly) ten percent (10%) or more of the issued

and outstanding stock of any corporation, or 10% or more of the beneficial interest in any

partnership, trust, or other entity, in any such corporation, partnership, trust or other entity

having a financial interest in, or management responsibility for, such contract.

SMTC 7.18 Limitations on Gaming

No elected or appointed official of the Tribe’s Gaming Commission, Entertainment Authority,

or Business Committee, or licensed employee shall engage in or be permitted to engage in

either directly or indirectly through another person, any Class II or Class III Gaming Activities

authorized hereunder. Such limitation shall not apply in instances where, as pre-approved by

the Gaming Commission, the individual engages in such activities as a part of an event designed 

specifically for such individuals or for training purposes.

SMTC 7.19 Service of Process

The Tribe designates the Chairperson of the Tribe as its agent for the service of official

determinations, orders, or notices of violation from any federal or state agency. The Gaming

Commissioner shall also receive any notice related to gaming from any state, local or federal

agency, including the NIGC and the State Gaming Agency.
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SMTC 7.20 Tribal Gaming Corporation

Nothing in this Gaming Act shall prevent the Tribe, through its General Council, from

delegating the authority to conduct gaming to one or more Tribal corporations, so long as the

Tribal Gaming Enterprises to which such authority is delegated agree to meet all criteria and

requirements established under this Gaming Act.

SMTC 7.21 Prior Gaming Act; Effective Date

Any and all prior Gaming Ordinances and versions of this Gaming Act are hereby repealed on

the effective date of this Gaming Act. After adoption by the General Council, this Gaming Act

and any subsequent amendments thereto shall become effective on the date of final approval

by the NIGC, as applicable. The Gaming Commission shall provide notice to the State Gaming

Agency of any change or amendment to this Act no later than thirty (30) days after the change

or amendment becomes effective.

SMTC 7.22 Severability

If any provision or application of this Gaming Act is determined by review to be invalid, such

determination shall not be held to render such provision inapplicable to other persons or

circumstances, nor shall such determination render invalid any other provision of this Gaming

Act.

SMTC 7.23 Amendments

All provisions of this Gaming Act are subject to amendment by the General Council.

Regulations promulgated by the Gaming Commission under this Gaming Act are subject to

amendment by the Gaming Commission.

SMTC 7.24 Sovereign Immunity Preserved

Nothing in this Gaming Act is intended or shall be construed as a waiver of the sovereign 

immunity of the Tribe, and no manager, officer, or employee of the Gaming Commission or the 

Tribe or the Gaming Operation shall be authorized, nor shall they attempt, to waive the 

immunity of the Tribe.