Joanne Willis Newton, Esq. 

13223-1 Black Mountain Road #284 

. San Diego, CA 92129 

Re: Pauma Band of Mission Indians Gaming Ordinance Amendment 

Dear Ms. Newton: 

On June 16, 2006, you submitted to the NIGC an amended tribal gaming 

ordinance on behalf of the Pauma Band of Mission Indians (Tribe). Additionally, you 

submitted copies of two new gaming regulations and tribal internal control standards. 

The gaming ordinance was first approved by the Chairman in 2000. In your cover letter, 

you state that the Tribe takes the position that the NIGC Chairman does not have the 

authority to approve or disapprove non-substantive amendments to tribal gaming 

ordinances nor does it have authority to approve or disapprove any gaming regulations or 

amendments thereto. 

It has always been the position of the NIGC that the Chairman has the authority to 

approve or disapprove any amendment to a tribal gaming ordinance that is inconsistent 

with IGRA or contrary to federal law. Whether the amendment is substantive or not is 

incidental to whether the Chairman has authority to disapprove or approve the 

amendment. 

constitutes approval of the amendments to the tribal 

for submitting the amendment, the gaming regulations, 

We look forward to working with you in the future on 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington. DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NlGC.GOV 

REGIONAL OFFICES Portland. OR; Sacramento, CA; Phoenix. AZ; St. Paul. MN;Tulsa. OK 
Tauma Band of I Mksion ~ndians 

P.O. Box 369 Pauma Valley, CA 92061 (760) 742-1289 Fax (760) 742-3422 

Established 1893 ivi~ 1 (,, Pauma Band of Mission Indians ,. 

General Council Resolution No. 020506-05 

RE: Adoption of Gaming Regulations 014 and 015 

WHEREAS: 

WHEREAS: 

WHEREAS: 

WHEREAS: 

WHEREAS: 

The Pauma Band of Mission Indians is a federally recognized American Indian 

Tribe recognized by the United States Secretary of the Interior as having 

jurisdiction over Indian Lands in California which are eligible for gaming under 

the Indian Gaming Regulatory Act, 25 U.S.C. 2700 et. seq. (IGRA); and 

The General Council is the governing body of the Tribe pursuant to Article 3 of 

the Tribes Constitution, having all the legislative powers and responsibilities of 

the Tribal Government: and 

The General Council wishes to exercise its sovereign authority to exclude 

individuals from its gaming facilities to protect the health and welfare of its 

patrons, employees and the general public and the security of tribal assets; and 

Subsection 8.1.7 of the Tribal-State Compact requires the Tribe to maintain a list 

of involuntarily excluded individuals; and 

25 C.F.R. ' 542.3(a) and Section 8.1 of the Tribal-State Compact require the 

Tribe to adopt minimum internal control standards for gaming operations on the 

Paurna-Yuima Reservation; and 

NOW, THEREFORE BE IT RESOLVED: That the Tribe, through its General Council, hereby 

adopts Gaming Regulation 014, Exclusions and Gaming Regulation 01 5, Internal Control 

Standards. 

CERTIFICATION 

We, the undersigned business committee members of the Pauma Band of Mission Indians 

do, hereby, certify that the foregoing Resolution was adopted by the Paurna General Council at a 

duly called meeting on March 5,2006 for the purpose of conducting business at which a quorum 

was established with a vote of 51 in favor, against,L abstaining. This resolution has not been 

rescinded or amended in any way. 

&L,/e- LWJ 

Chris C. Devers 

Tribal Chairman 

~ykhia M. Toledo 

Secretary 1 Treasurer Committee ember 
Tauma !Band of I Mission ~ndians 

P.O. Box 369 Paurna Valley, CA 92061 (760) 742-1289 Fax (760) 742-3422 

Established 1893 

19 

?&j Pauma Band of Mission Indians 

Tribal Resolution No. 03050646 

RE: Amendments to Gaming Ordinance and Gaming Regulations 

WHEREAS: The Pauma Band of Mission Indians is a federally recognized American Indian 

Tribe recognized by the United States Secretary of the Interior as having 

jurisdiction over Indian Lands in California which are eligible for gaming under 

the Indian Gaming Regulatory Act, 25 U.S.C. 2700 et. seq. (IGRA); and 

WHEREAS: The General Council is the governing body of the Tribe pursuant to Article 3 of 

the Tribes Constitution, having all the legislative powers and responsibilities of 

the Tribal Government: and 

WHEREAS: The General Council enacted and published a Gaming Ordinance and Gaming 

Regulations 001 through 01 3 which it wishes to make certain non-substantive 

amendments to in order to correct existing clerical errors and inconsistencies in 

formatting and internal citations; and 

NOW, THEREFORE BE IT RESOLVED: That the Tribe, acting through its General Council, 

hereby adopts the amendments to the Gaming Ordinance and Gaming Regulations 001 - 01 3 set out 

in Appendix A attached hereto. 

CERTIFICATION 

We, the undersigned Business Committee members of the Pauma Band of Mission Indians, 

do hereby certify that the foregoing resolution was adopted by the Pauma General Council at a duly 

called meeting on March 5,2006 for the purpose of conducting business at which a quonun was 

established with a vote of 51 in favor, *against, abstaining. This resolution has not been 

rescinded or amended in any way. 

Chris C. Devers 

Tribal Chairman 

Secretary 1 Treasurer Committee Member 
APPENDIX A 

List of Amendments to Gaming Ordinance and Gaming Regulation 00 1 - 0 13 

a) Any reference contained in the Gaming Ordinance or Gaming Regulations to the "PawnaYuima Band of Mission Indians" or the "Pauma-Yuima Band" is replaced with "Pauma 

Band of Mission Indians" or the "Pauma Band" respectively; 

b) Any reference contained in the Gaming Ordinance or Gaming Regulations to the "PaumaYuima Gaming Commission" is replaced with "Paurna Gaming Commission"; 

c) Any reference contained in the Gaming Ordinance or Gaming Regulations to the "Pauma 

Reservation" or "Pauma Indian Reservation" is replaced with the "Pauma-Yuima 

Reservation7' or "Paurna-Yuima Indian Reservation respectiveIy; 

d) The Gaming Ordinance is amended as follows: Article X, subparagraph (3) of paragraph (a) 

is amended by replacing "Gaming Regulation 007, Exclusions" with "Gaming Regulation 

014, Exclusions"; 

e) Gaming Regulation 001, Licensing and Background Investigation Procedures, is amended as 

follows: 

1. Section I1 is amended by changing the heading fkom "Lncorporation by Reference" to 

"Interpretation"; 

2. Section III is amended by replacing "subparagraphs A - F" with "paragraphs A - F"; 

3. Subsection X1I.C is amended by replacing "paragraph (l)(b)" with "paragraph B"; 

4. Subsection XI1.J is amended by replacing "paragraph (h) or (i) with "paragraph H or 

I"; 

5. Subsection XI1.N is amended by replacing "25 C.F.R. $5 522.2(h)" with "25 C.F.R. 5 

522.201)"; 

6. Subsection XIV.A is amended by replacing the two references to "this Ordinance" 

with "the Gaming Ordinance"; 

7. Subsection XXI.E and Subsection XXII1.F are amended by replacing "section" with 

"Section"; 

8. Subsection XXILI.C.2 is amended by replacing "Article V of the Ordinance 

Establishing the Gaming Appellate Board" with "Section V of Gaming Regulation 

01 3, Gaming Appellate Board"; 

9. Subsection XX1II.D is amended by replacing "Article V of the Ordinance 

Establishing the Gaming Appellate Board" with "Gaming Regulation 01 3, Gaming 

Appellate Board"; 

f) Gaming Regulation 002, Procedures for Resolving Gaming-Related Patron Disputes, is 

amended as follows: 

1. Section I is amended by replacing "Section 8.1.1 O(d)" with "Subsection 8.1.1 O(d)"; 

2. Subsection 1I.B is amended by replacing "Patron" with "patron"; 

g) Gaming Regulation 003, Building and Safety Standards, is amended as follows: 
1. Section I is amended by replacing "Section 6.4.2(d>(k)" with "Subsections 6.4.2(d)- 

(k)"; 

2. The second sentence of Subsection I1 is amended by replacing "to the extent of of the 

conflict" with "to the extent of the conflict"; 

3. Subsection VI1.D is amended by inserting a comma after the phrases "Within fifteen 

(1 5) days of the inspection" and "Upon delivery of the report to the Tribe"; 

4. Subsection VI1.E is amended by inserting a comma after the phrase "Within fifteen 

(1 5) days after the issuance of the report"; 

h) Gaming Regulation 004, Third Party Injuries Regulations, is amended as follows: 

1. Section I is amended by replacing "Section 10.2(d)" with "Subsection 10.2(d)"; 

2. Subsection VIII.A.4 is amended by replacing "Section VII1.B or Section VII1.C below" 

with "paragraph B or C of this Section"; 

3. Subsection V1II.D is amended by replacing "Tribe" with "Business Committee" in the 

sentence "For claims involving equal to or less than five-thousand dollars ($5,000) the 

Tribe may, in its discretion, require less information or less formal information or 

evidence than that required above."; 

i) Gaming Regulation 005, Mitigation of Off-Reservation Environmental Impacts, is amended 

as follows: 

1. Subsection IV.B.2 is amended by inserting "of' before the word "ways"; 

2. Subsection IV.B.3 is amended by replacing the first semicolon with a comma; 

3. Subsection V.A is amended by deleting 'The Tribe shall consider any recommendations 

from the County concerning the person or entity to prepare the TEIR.", and Subsection 

1V.A is amended by inserting this same sentence at the end of the subsection; 

4. Subsections V.B.3, VLA, and V1.C are amended by replacing the semicolon with a 

period; 

5. Subsection V.C is amended by replacing "; and" with a period; 

6. Subsection X.C is amended by inserting "public safety and most reasonably compensates 

for" before the phrase "public services"; 

j) Gaming Regulation 006, Technical Standards for Gaming Devices and Other Electronic 

Devices, is amended as follows: 

I. Subsection 1II.B is amended by replacing "Section 1LI.A" with "paragraph A of this 

Section"; 

2. Subsection VIII is amended by replacing the word "inspection(s)" with "inspector(s)" at 

the end of the third sentence; 

k) Gaming Regulation 007, Tribal Labor Relations Regulation, is amended as follows: 

1. Subsections 1.A and 1.B are amended by replacing "250" with "two hundred fifty (250)"; 

2. Subsections 1.A and 1I.A are amended by replacing "regulation" with "Regulation"; 

3. Subsection 1.B is amended by replacing "one year" with "one (I) year"; 
4. Subsections 1.B and 1.C are amended by replacing "l(a)" with "paragraph A"; 

5. Section headings for Sections I11 through VII and Sections IX through XI1 are amended 

by capitalizing words contained therein; 

6. Section In is amended by replacing "gaming regulation" at the end of the first sentence 

with "Gaming Ordinance"; 

7. Sections In, V, X.B, X.C, XII.B, XI1.C and XI1.E are amended by capitalizing references 

to "tribe"; 

8. Subsection V1.B is amended by replacing "I I" in the second sentence with "XI" and 

capitalizing the two references to "section" in the same sentence; 

9. Subsections V1.C and VII.A.2 are amended by replacing "TLRO with "TLRR; 

10. Subsection VI1.A is amended by de-capitalizing "Tribal Casino" and "Related Facility" 

and replacing "Section 13" with "Section XIII"; 

1 1. Subsection VILA. 1 is amended by replacing "Section 10, subdivision (f)" with "Section 

X, paragraph F"; 

12. Subsection VI1.C is amended by replacing "subdivision (a) above" with "paragraph A of 

this Section"; 

13. Subsection VI1I.D is amended by replacing "a tribe" in the last sentence with "the Tribe" 

and deleting the word "election" from the same sentence; 

14. Subsection X.A is amended by replacing "30 days" with "thirty (30) days"; 

15. Subsection X.F is amended by replacing "Section 7" with "Section VII", replacing the 

word "subsection" in the second sentence and third sentence with "paragraph", replacing 

references to "two years" with "two (2) years" and replacing "Section 12" with "Section 

XII"; 

16. Subsection X1.B is amended by replacing "Section 7" with "Subsection VII", replacing 

"Section 13, subdivision (b)" with "Section XIII, paragraph B, replacing "sixty working 

days" with "sixty (60) working days" and replacing "Sec. 2703(4)" and "$ 2703(4)"; 

17. The paragraph immediately following Subsection X1.B will become paragraph C, and the 

bullets contained in that paragraph will be numbered in accordance with the outline style 

used throughout the regulation; 

18. In the new Subsection XI-C, "Section 7(a)" is changed to "paragraph A of Section VIII", 

"Section 13" is changed to "Section XIII" and the phrase "Casino and Related Facility" 

is de-capitalized; 

19. The paragraph immediately following the new paragraph C of Section XI will become 

paragraph D; 

20. In the new Subsection XI.D, "Section VII" is changed to "Section VII", "thirty days" is 

changed to "thirty (30) days" and references to "Section 13" are changed to "Section 

XIII"; 

21. Subsection XI1.A is amended by replacing "30 days" with "thirty (30) days"; 

22. Paragraphs A through D of Section XI1 are amended by replacing the semicolon at the 
end of each with a period and deleting "and" at the end of paragraph D; 

23. Subsection XI1.D is amended by replacing "that 60 days" with "than sixty (60) days" and 

replacing "'that 90 days" with "than 90 days"; 

24. Subsections XII1.A and XIII.B.2 are amended by replacing the semicolon at the end of 

each with a perid; 

25. Subsection X1II.C is amended by replacing the colon at the end of the first paragraph 

with a period; 

26. Subsection XIII.C.3 is amended by replacing &'three-member panel" with "three (3) 

member panel" and replacing "TLP" with "Tribal Labor Panel"; 

27. Subsection XII1.D is amended by replacing "90 days" with "ninety (90) days" and 

capitalizing "superior court"; 

1) Gaming Regulation 008, Employment Discrimination, is amended as follows: 

1. Section I is amended by replacing "in relation to cashing checks or extending credit to 

patrons" with "in relation to the employment of persons to work for the Gaming 

Operation or in the Gaming Facility"; 

2. Section I1 is amended by changing the heading from "Definitions" to "Interpretation"; 

3. Subsections 1V.B and IV.C are amended by changing all references to "Section IV.A7' to 

"patagraph A of Section N; 

4. Subsection IV.C.4 is amended by replacing references to "paragraph" with 

"subparagraph"; 

5. Subsections V.A.1 and V.A.3 are amended by replacing the semicolon at the end of each 

with a period and deleting the word "and" at the end of the latter; 

6. Subsection V.A.3 is amended by replacing "Title" in the first line with "Regulation"; 

7. Paragraphs C through H of Section V are relettered as paragraphs B through G; 

8. The new Subsections V.C.1 and V.D.2 are amended by replacing "Section V.A" with 

"paragraph A of Section V"; 

9. The new Subsection V.D.2 is amended by replacing "Section V.CW with "paragraph B of 

Section V" and replacing the semicolon at the end of the subsection with a period; 

10. The new Subsection V.E. I is amended by replacing "Title; and" with "Regulation."; 

1 1. The new Subsection V.G.2.b is amended by replacing "Section V.H. 1" with 

"subparagraph H. 1 of Section V"; 

12. Subsection VII.B.4 is amended by replacing "this Section V1.B" with "this paragraph B 

of Section VII"; 

13. Regulation 009, Minimum Standards Concerning Public and Workplace Health and 

Safety, is amended by replacing "constructed" with "construed" in Subsection V1.C; 

m) Gaming Regulation 010, Check Cashing and Extension of Credit, is amended by replacing 

references to "Sections" with "Subsections" in Sections I, IV and V; 

n) Gaming Regulation 01 1, Workers' Compensation Plan, is amended as follows: 
1. Section 1 is amended by replacing "Section 10.3(a)" with "Subsection 10.3(a)"; 

2. The second paragraph of Subsection IX.A is amended by replacing "three days" with 

"three (3) days" and "14 days" with "fourteen (14) days"; 

o) Gaming Regulation 012, Pauma-Yuima Gaming Commission, is amended as follows: 

1. Subsection III.B.2 is amended by replacing "subparagraph (a)" with "subparagraph (1)"; 

2. Subsection V1.E is amended by replacing "Section 1II.H with "paragraph H of Section 

III"; 

p) Gaming Regulation 01 3, Gaming Appellate Board, is amended as follows: 

1. Subsection 1II.G is amended by replacing "$350.00" with "three hundred fifty dollars 

($350.00)" and replacing "Section 1II.D" with "paragraph D of Section In"; 

2. Subsection 1II.J is amended by replacing "Section N.E" with "pargraph E of Section IV" 

and "Section 1II.I" with "paragraph I of Section III"; 
Adopted 03/05/06 

Pauma Band of Mission Indians 

Gaming Regulation No. 014 

Exclusions 

The exclusion of certain individuals from Gaming Facilities operated on the PaumaYuirna Reservation is necessary to effectively maintain the strict regulation of the Tribe's gaming 

activities and to address problem gambling. This Regulation sets forth the terms and conditions 

under which individuals may be excluded from the Gaming Facilities, either voluntarily or 

involuntarily. This Regulation is consistent with the Tribe's obligation under Subsection 8.1.7 of 

the Compact between the Tribe and the State of California ("the Compact"), which requires the 

Tribe to maintain a list of involuntarily excluded individuals, and its sovereign authority to 

exclude individuals hm the Pauma-Yuima Reservation. 

II. Interpretation 

This Regulation supplements the provisions of the Tribe's Gaming Ordinance, the Indian 

Gaming Regulatory Act (25 U.S.C. 5 2701 et seq.) and its regulations (25 C.F.R. 5 500 et seq.) 

('IGRA"), and the Compact. In the event of a conflict or inconsistency between this Regulation 

and the provisions of the Gaming Ordinance, IGRA or the Compact, the provisions of the 

Gaming Ordinance, IGRA, or the Compact prevail to the extent of the conflict or inconsistency. 

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

Ordice, IGRA, or the Compact. 

III. Scope of A~plication 

A. This Regulation applies to the exclusion of individuals from any Gaming Facility 

located on the Paurna-Yuirna Reservation. When the Tribe operates more than 

one Gaming Facility, an individual who is excluded fhm one Gaming Facility 

shall be automatically excluded fiom any other Tribal Gaming Facility. All 

exclusions shall apply to all areas of the Gaming Facility, as well as all rooms, 

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

activities of the Gaming Facility. 

B. This Regulation is not intended to limit the Gaming Operation's discretion to 

refuse service or access to any individual by excluding the individual hm the 

Gaming Facilities for a day, and such actions are not considered "exclusions" 

within the meaning of this Regulation when the refusal of service or access is 

restricted to twenty-four (24) hours or less. Nor is this Regulation intended to 

limit the authority of the Gaming Operation or the Commission to restrict access 

of former employees to the Gaming Facilities for a period of up to ninety (90) 

days immediately following the termination of the individual's employment, 
Adopted 03/05/06 

whether the termination is voluntary or involuntary, and such restrictions are not 

considered "exclusions" within the meaning of this Regulation. 

IV. Self-Exclusions 

Any individual may voluntarily exclude themselves bm the Tribe's Gaming Facilities, 

and all such requests shall be granted. Self-exclusions must be requested by the individual 

seeking to exclude himself or herself hm the Gaming Facility, not by any third party. The 

following policies and procedures apply to self-exclusions. 

A. Form 

The Commission shall adopt a Self-Exclusion Form to be completed by individuals 

widkg to exclude themselves hm the Tribe's Gaming Facility and make such form available 

to such individuals upon request. At a minimum, the form shall require the individual to provide 

his or her full name, other names used, driver's license or state or tribal identification number, 

birth date, current address, telephone number, and physical characteristics. The form must also 

contain a statement releasing the Tribe and all involved tribal entities from any liability arising 

from processing or implementing the selkxclusion request and acknowledging the 

consequences of making a self-exclusion request. The form must be signed and dated by the 

individual. The Commission's or Gaming Operation's authorized perso~el shall verify the 

individual's identity and signature by inspecting his or her driver's license or state or tribal 

identification card and take a current photograph of the individual to affix to the Self-Exclusion 

Form. 

B. Term 

Self-exclusions shall be for either an indefinite or lifetime term, at the individual's option. 

A lifetime self-exclusion is irrevocable. An indefinite self-exclusion shall be for a minimum 

period of one (1) year. After one (1) year, an individual who has requested an indefinite selfexclusion may submit a written request to the Commission to terminate his or her exclusion. 

C. Termination Hearing 

The Commission will follow its usual hearing pdures in reviewing a written request 

to terminate a self-exclusion. If the individual who requested the hearing fails to appear at the 

hearing without good cause, he or she forfeits any further right of appeal, and the notice of 

hearing he or she receives from the Commission shall state this. The individual requesting 

termination of his or her self-exclusion bears the burden of establishing by a preponderance of 

the evidence that the gambling problem giving rise to his or her self-exclusion has been 

successfully addressed. 
Adopted 03/05/06 

D. Notification to gamin^ Owration's Mana~ement 

The Commission shall promptly forward such information as is necessary to the 

appropriate management personnel at the Gaming Facility in order to implement the selfexclusion request. The Commission shall require the Gaming Operation to remove all selfexcluded individuals from all mailing lists and to revoke any slot or players' cards issued to the 

individual. The self-excluded individual has the right, upon request, to receive a payout of any 

credits on his or her slot or players' card prior to its revocation, but not to exceed the maximum 

daily payout limit. 

E. Notification to Patrons 

The Commission shall ensure that the Gaming Operation has procedures in place to 

inform individuals who enquire about self-exclusion about the Tribe's process for self-exclusion. 

V. Involuntary Exclusions 

Only the Gaming Operation's security personnel or employees of the Commission are 

authorized to exclude a person from the Gaming Facility. Security personnel may only do so 

when such action has been requested by the Gaming Operation's authorized management staff. 

The following policies and procedures apply to involuntary exclusions. 

A. Form 

The Commission shall adopt a Notice of Exclusion form to be completed by authorized 

officers or agents of the Commission or the Gaming Operation. At a minimum, the form shall 

require the individual to provide his or her 111 name, other names used, driver's license or state 

or tribal identification number, birth date, current address, telephone number, and physical 

characteristics. The form must also contain a statement releasing the Tribe and tribal entities 

fiom all liability arising fiom processing or implementing the exclusion and acknowledging the 

consequences of an exclusion. The form must also contain information about the individual's 

right to seek review by the Commission. The form must be signed and dated by the individual. 

The Commission's or Gaming Operation's authorized personnel shall verify the individual's 

identity and signature by inspecting his or her driver's license or state or tribal identification card 

and take a current photograph of the individual to affix to the Notice of Exclusion. 

B. Grounds 

Any individual may be excluded hm a Gaming Facility for conduct detrimental to the 

integrity or reputation of the Gaming Operation, including, and limited to: 

1. violations of applicable state, federal or tribal criminal or gaming laws and 

regulations; 
Adopted 03/05/06 

2. violations of the Compact; 

3. conduct which adversely affects the health, security and welfare of the Tribe's 

residents or of the patrons or employees of the Gaming Operation, including but not 

limited to cheating, assault, battery, theft, paahandling, prostitution, 

misrepresentation, hud, threatening and intimidating behavior, use and/or possession 

of a controlled substance or drug paraphernalia, intoxication, and disorderly conduct; 

4. the individual is a person whose reputation, habits, associations, or known criminal 

history would bring discredit to the Tribe or pose a risk of danger to employees or 

patrons, when such a conclusion is supported, on a balance of probabilities, by 

reasonably reliable evidence; 

5. an exclusion fiom a gaming facility other than the Tribe's Gaming Facility; 

6. violation of 24-hour or less restriction imposed on a patron by the Gaming Operation 

or of a 90-day or less restriction imposed on a former employee, as referenced in 

Section III.B of this Regulation; or 

7. an exclusion from the Pauma-Yuima Reservation issued in accordance with tribal 

law. 

C. Exclusion Resuest 

To request the exclusion of an individual, the Gaming Operation's personnel must call for 

the presence of security personnel or Commission personnel on duty at the time. The requesting 

personnel shall explain the circmces to the responding personnel and provide all applicable 

supporting documentation, including such things as written statements, forms, copies of reports, 

photographs andlor video tapes, etc. Commission personnel may initiate an exclusion without 

waiting for a request from management but shall call for the presence of security personnel 

to help deter any potential hostile reaction from the individual being excluded. 

D. Response to Exclusion Reauest 

The responding security or Commission personnel will: 

1. Inform the individual King excluded that if they fail to cooperate in 

completing the Notice of Exclusion by refusing to provide identification or 

requested information or have a photograph taken, or by providing false 

identification or information, they will automatically receive a permanent 

exclusion and forfeit any right of review. 

2. Obtain valid identification, if available, and the current address of the 
Adopted 03/05/06 

individual to be excluded and fill out a Notice of Exclusion form. 

3. Read the contents of the Notice of Exclusion to the individual being excluded. 

4. Have the individual sign and date the Notice of Exclusion or, if the individual 

refuses to do so, the responding security or Commission personnel shall sign 

the substitute signature line on the form. 

5. Give a copy of the Notice of Exclusion to the individual Wig excluded or, if 

the individual refuses to accept it, send the Notice of Exclusion to the 

individual by registered or certified mail, return receipt requested 

6. Write an incident report describing the situation and attach a copy of the 

Notice of Exclusion and all other supporting documentation. Include in the 

incident report the period of exclusion recommended by the Gaming 

Operation's authorized management personnel. 

7. Forward a copy of the complete report, including the Notice of Exclusion and 

any return receipt received, to the Commission. 

E. Failure to Coowrate 

lfthe individual to be excluded fails to cooperate by refusing to provide identification or 

requested information or have a photograph taken, or by providing a false name, address or 

identification, he or she forfeits any right to further review of the exclusion. 

F. review in^ Exclusions 

1. All exclusions shall be issued for an indefinite term and remain in effect 

unless terminated by the Commission. To terminate an exclusion, the 

excluded individual must file a petition for review with the Commission 

within three (3) years of the issuance of the Notice of Exclusion. The petition 

must include a statement of the reasons why the individual believes the 

exclusion should be terminated. 

2. Within duty (30) days of receiving a request for review, the Commission 

shall set the matter for a hearing and send a written notice to the excluded 

individual, by certified mail return, receipt requested, of the date, time and 

place for the hearing. The notice shall be mailed at least twenty-one (21) days 

prior to the hearing date and include an admonition that failure to appear at the 

scheduled hearing without good cause will forfeit any further right of review. 

A copy of the notice shall also be provided to the Gaming Operation. 

3. The Commission shall make a ruling within ten (10) days of the hearing, and 
Adopted 03/05/06 

the excluded individual will be notified of the ruling within three (3) days of 

the ruling. 

4. Decisions of the Commission shall be final and not subject to Wer review. 

G. Exclusion Hearing 

The Commission will follow its usual hearing procedures when conducting a hearing on 

whether to terminate an exclusion, except that notice of the hearing shall also be provided to the 

Gaming Operation, and the Gaming Operation's management staff involved in the initial 

exclusion may attend the hearing. If the individual who requested the hearing fails to appear at 

the hearing without good cause, he or she forfeits any further right of review, and the notice of 

hearing he or she receives from the Commission shall state this. The individual contesting his or 

her extended exclusion bears the burden of producing valid evidence to dispute the facts or 

evidence produced at the time the Notice of Exclusion was issued 

H. Notification to Gaming Operations Management 

The Commission shall promptly forward such information as is necessary to the 

appropriate management personnel at each of the Tribe's Gaming Facilities in order to 

implement the termination of an exclusion. 

I. Reinstatement of Exclusion 

If an individual has had an exclusion terminated by the Commission but the effective date 

of the termination is set for a future date, and the individual subsequently violates the exclusion 

by visiting one of the Tribe's Gaming Facilities while the exclusion is still in effect, that 

individual's indefinite exclusion is automatically reinstated without further review, except as 

such further review may be granted by and at the discretion of the Commission. The Gaming 

Operation shall provide notice of an automatic reinstatement to the Commission. 

VI. Forfeiture of Wiw 

Any winnings or thing of value obtained by an excluded individual, whether voluntarily 

or involuntarily excluded, shall be subject to seizure and forfeiture. The Commission shall 

require each of the Gaming Facilities to have written policies and procedures to prevent the 

payout of any hand-paid jackpot or other winnings to an excluded individual. Any winnings or 

thing of value forfeited shall be returned to the Gaming Operation's revenues. 

An excluded individual, whether under a voluntary or involuntary exclusion, who enters a 

Gaming Facility during a period of exclusion commits a trespass. Such offense constitutes a civil 

violation, and the excluded individual may be excluded fiom the Pauma-Yuima Reservation 
Adopted 03/05/06 

under tribal law. In the case of involuntary exclusions, the Tribe, Commission or Gaming 

Operation may also press criminal charges when the conduct on which the exclusion is based 

violates the State of California's criminal laws. The Gaming Operation may, at its discretion, 

permit an excluded individual access to the Gaming Facility for emergency purposes only, such 

as, to pick up an intoxicated individual who has no other available means of transportation. 

Vm. Confidentiality 

Information contained on the self-exclusion forms or the Notice of Violations and 

supporting documents shall be treated as confidential and shall not be disclosed except to the 

appropriate Gaming Operation's management and personnel, the State Gaming Agency as 

required by law, appropriate federal, state or local law enforcement agencies if needed in the 

conduct of an official investigation, or when ordered by a court of competent jurisdiction. 

M. Exclusion Lists 

A. Self-excluded Individuals 

The Gaming Operation shall maintain or cause to be maintained a list of self-excluded 

individuals. The Gaming Operation shall update the list upon any change and provide a copy to 

the Commission. The Commission shall require the Gaming Operation to have written policies 

and procedures to ensure that cage personnel check an individual's identification against the list 

of self-excluded persons before allowing the person to cash a check or complete a credit card 

cash advance transaction. The Commission shall require the Gaming Operation to have written 

policies and procedures to identi@ excluded individuals, whether voluntarily or involuntarily 

excluded, who may be in a Gaming Facility and, once identified, to promptly escort the 

individual hm the Gaming Facility. 

B. Envoluntary Exclusions 

The Gaming Operation shall maintain or cause to be maintained a list of individuals 

excluded from the Tribe's Gaming Facilities because their past behavior, criminal history or 

association with persons or organizations poses a threat to the integrity of the Tribe's gaming 

activities or to the integrity of regulated gaming within California, The Gaming Operation shaIl 

update the list upon any change and provide a copy to the Commission. The Commission shall 

require the Gaming Operation to have written policies and procedures to ensure that individuals 

on the list are not permitted entry into the Gaming Facility. 

If any provision of this Regulation or the application thereof to any person or 

circumstance is held invalid, its invalidity does not affect other provisions or applications of this 

Regulation, and to this end the provisions of this Regulation are severable. 
Adopted 03/05/06 

XI. Sovereign Immunity 

The sovereign immunity of the Tribe is in no manner waived by this Regulation or by any 

action by the Gaming Operation, the Commission, or any employee of the Tribe, the Commission 

or the Gaming Operation acting pursuant to this Regulation. 

Effective Date 

This Regulation shall take effect immediately upon its adoption by the General Council. 

CERTIFICATION 

I, the undersigned, as Secretary of the Pauma Band of Mission Indians, do hereby certify that this 

Regulation was adopted by the General Council pursuant to the results of a general council 

meeting, by a vote of 5 1 in favor, 0 against and 0 abstaining, and the results recorded on March 

5, 2006 and this Regulation has not been amended or rescinded in any way. 
Adopted 03/05/06 

Pauma Band of Mission Indians 

Gaming Regulation No. 015 

Tribal Internal Control Standards 

Wose and Scope 

A. This Regulation describes the internal control standards applicable to any class I1 

or class III gaming operations on the Pauma-Yuima Reservation. This Regulation 

is adopted in accordance with the Tribe's obligations under 25 C.F.R 5 542.3, 

which requires the Tribe to adopt internal control standards that are no less 

stringent than tho? standards set forth in 25 C.F.R Part 542, and Subsection 8.1 

of the Compact between the Tribe and the State of California, as amended ('the 

Compact"). 

B. The purposes of such internal control standards are to: 

1. promote the integrity of the Tribe's gaming operations; 

2. safeguard tribal assets; 

3. promote reliable and accurate financial reporting; and 

4. promote compliance with applicable laws and regulations. 

C. Without limiting the generality of this section, an internal control standard may 

address the following matters: 

1. the conduct of Class II or Class III gaming activities, 

2. internal or external audits, 

3. cage (i.e., the secure work area for cashiers and storage of the gaming 

operation's bankroll); 

4. credit (i.e., advances made to patrons in the form of cash or gaming chips); 

5. information technology (i.e., computer hardware, software and data files); 

6. drop and count (i.e., the collection and counting of cash and cash equivalents 

in and from drop boxes andlor bill acceptors); 

7. surveillance; 

8. security; 
Adopted 03/05/06 

9. property inventories (i.e., lists of supplies and other goods owned by the 

gaming operation); 

10. complimentary services or items (i.e., services or items provided at no cost or 

a reduced cost to a patron); 

1 1. financial transactions; 

12. physical safeguarding of assets; 

13. prevention of theft, cheating, hud and other illegal activity. 

II. Interpretation 

A. This Regulation supplements the provisions of the Tribe's Gaming Ordinance, the 

Indian Gaming Regulatory Act (25 U.S.C. 5 2701 et seq-) and its regulations (25 

C.F.R $j 500 et seq.) ("IGRA"), and the Compact, which are incorporated herein. 

In the event of a conflict or inconsistency between this Regulation and the 

provisions of the Gaming Ordinance, IGRA or the Compact, the provisions of the 

Gaming Ordinance, IGRA or the Compact prevail to the extent of the conflict or 

inconsistency. Unless specified otherwise, terms used herein shall have the same 

meaning as in the Gaming Ordinance, IGRA, or the Compact. 

B. If an enhanced or new standard adopted pursuant to subparagraph B. 1, Section 111, 

or the dispute resolution and review process outiined in subparagraph B.4, Section 

IV, is inconsistent or in conflict with the terms of any gaming management or 

development agreement, or ancillary agreements themto, executed by the Tribe 

and duly ratified by the General Council, the terms of such agreement(s) shall 

prevail to the extent of the conflict or inconsistency. 

III. Tribal Internal Control Standards 

k The Pauma Gaming Commission shall establish and implement Tribal Internal 

Control Standards that: 

1. Provide a level of control that equals those set forth in 25 C.F.R. Part 542, the 

National Indian Gaming Commission's minimum internal control standards, as 

amended from time to time; 

2. Contain standards for currency transaction reporting that comply with 3 1 

C.F.R Part 103, as amended from time to time; 

3. Establish standards for games not addressed in 25 C.F.R Part 542, as 

amended fiom time to time; 
Adopted 03/05/06 

4. If not otherwise addressed in the standards developed pursuant to 

subparagraphs 1 through 3 of this paragraph A or elsewhere in the Gaming 

Ordinance or tribal gaming regulations, address the internal control issues set 

out in Subsection 8.1 of the Compact; and 

5. Are necessary to comply with any other applicable federal, state or tribal law 

or the Compact, as amended brn time to time. 

B. The Pauma Gaming Commission may deviate &om the minimum standards set 

out in paragraph A, Section IIl as follows: 

I. The Pauma Gaming Commission may adopt more stringent standards than 

those set out in paragraph A, Section III, or set new standards for matters not 

covered in paragraph A, Section III, subject to the following restrictions: 

a The Pauma Gaming Commission must first engage in meaninsful and 

good faith consultation with the Gaming Operation in accordance with 

Section IV below; 

b. Prior notice must be provided to the General Council in accordance with 

paragraph A, Section VII below; 

c. Such standards may not be issued more kquently than semi-annually, 

unless an earlier implementation is required to address an immediate threat 

to the integrity of the Tribe's gaming operation or assets; 

d. Such standards must be tailored to further one of the tribal interests set out 

in paragraph B, Section I; 

e. The cost of implementing a specific internal control standard should not 

exceed the expected benefit of the control; 

2. The Pauma Gaming Commission may not adopt less stringent standards than 

those required in paragraph A, Section 111 unless, when required by federal 

law, it has first obtained a variance in accordance with 25 C.F.R § 542.18. 

C. The Pauma Gaming Commission may amend the Tribal Internal Control 

Standards from time to time. 

1. When an amendment is required to comply with federal, state or tribal law, 

the Commission may adopt the amendment without consulting with the 

Gaming Operation but shall notie the Gaming Operation in writing of the 

amendment, which notice shall specifjl a reasonable deadline for the 

Gaming Operation to come into compliance with the amended standard. 
Adopted 03/05/06 

2. When an amendment is not required by federal, state or tribal law, the 

Commission must comply with the requirements of subparagraph B. 1 of 

Section 111 above before adopting and implementing an amendment that 

has the effect of creating a more stringent standard than the standard it is 

amending. 

D. The Tribe hereby adopts, and incorporates in this Regulation by reference, the 

Tribal Internal Control Standards adopted by the Paurna Gaming Commission by 

resolution, as amended fiom time to time. 

E. In the event of any ambiguity in the Tribal Internal Control Standards, which has 

not already been clarified by a court of competent jurisdiction or by the NIGC in 

the form of an opinion letter, bulletin or otherwise, the Pauma Gaming 

Commission has the exclusive authority to determine the proper interpretation of 

the provision in question, and such interpretation shall be binding on the Gaming 

Operation. 

IV. Consultation With Gaming Operation 

A. Before the implementation of a more stringent or new standard pursuant to 

subparagraph B. 1, Section III above, the Pauma Gaming Commission shall 

consult with the Gaming Operation as follows: 

1. The Pauma Gaming Commission shaH prepare an initial draft of the 

proposed standard and include a brief statement including the following: 

a. The identified risk and related goal or objective the standard is designed to 

address; 

b. The tribal interest identified in paragraph B, Section I, which the standard 

is intended to promote; 

c. If a similar or related standard is in place, a restatement of the existing 

standard; and 

d. The proposed date for implementation. 

2. The Paurna Gaming Commission shall submit the initial draft to the general 

manager and the supervisor(s) of the affected departments and schedule a 

meeting with these same individuals to review and discuss the proposed 

internal control standard. The Pauma Gaming Commission may schedule 

additional follow-up meetings with the Gaming Operation for the purpose of 

attempting to reach an agreement on the implementation of the proposed 

standard 
Adopted 03/05/06 

3. The Pauma Gaming Commission shall take into consideration the comments 

received fiom the Gaming Operation's management personnel during the 

consultation process and make such revisions to the draft internal control 

standard as can reasonably be accommodated without unduly undermining 

the effectiveness of the proposed standard. 

B. If after consultation, the Gaming Operation and the Pauma Gaming Commission 

disagree on the more stringent or new standard, the Commission may nevertheless 

adopt and implement the more stringent or new standard after considering any 

public comments received in accordance with paragraph A, Section VII, subject to 

the following: 

If, after one hundred eighty (1 80) days fiom implementation, the Gaming 

Operation still objects to the more stringent or new standard, the Gaming 

Operation shall request a meeting with the Gaming Commission no later 

than thirty (30) days after the 180-day trial period to discuss any ongoing 

concerns about the standard in question. After such meeting, the Gaming 

Commission shall consider the Gaming Operation's concerns and determine, 

in its own dimtion, whether the internal control standard should be 

rescinded or revised and inform the Gaming Operation in writing of its 

decision. 

2. If the Gaming Commission does not rescind a more stringent or enhanced 

internal control standard or revise the standard in question to the satisfaction 

of the Gaming Operation after meeting with the Gaming Operation in 

accordance with subparagraph B. 1 of this section, the Gaming Operation 

may challenge the more stringent or new standard by petitioning the General 

Council to rescind or modifjr the more stringent or new standard pursuant to 

Section E, paragraph B of Gaming Regulation 012. 

a. A petition to rescind or modifl a more stringent or enhanced internal 

control standard must be filed with the General Council within thirty 

(30) days of the date the Gaming Operation receives the Pauma Gaming 

Commission's decision on whether to rescind or modifL the more 

stringent or enhanced standard. 

b. The burden shall be on the Gaming Operation to establish good cause for 

the standard to be rescinded or modified. 

3. Nothing herein shall be construed as limiting the ability of the Gaming 

Commission to, on its own initiative and at any time, rescind or make less 

stringent an internal control standard adopted pursuant to subparagraph B.l, 

Section JII. 
Adopted 03/05/06 

V. Gaming Operations' Internal Control System 

A. The Gaming Operation shall develop and implement an internal control system 

that, at a minimum, complies with the Tribal Internal Control Standards. In 

addition to the purposes set out in paragraph By Section I, the Gaming Operation 

shall include in its internal control system such internal controls as are designed to 

promote effective and efficient operations, in accordance with industry standards. 

B. The Pauma Gaming Commission may review the Gaining Operation's internal 

control system to ensure that it complies with the Tribal Internal Control 

Standards. lf the Pauma Gaming Commission determines that an aspect of the 

internal control system does not comply with the Tribal Internal Control 

Standards, it will notifjr the Gaming Operation, set forth the reasons for its 

position, and request a meeting with management for the purpose of conferring in 

good faith over the necessity of modifLig the internal control system. The 

Gaming Operation shall adopt any modiications quested by the Pauma Gaming 

Commission after such a meeting, and the Pauma Gaming Commission's 

determination is not subject to Mer review under paragraph B, Section IX of 

Gaming Regulation 01 2. 

VI. Comdiance 

A. Without limiting the generality of the Pauma Gaming Commission's powers and 

duties, as set out in paragraph B, Section III of Gaming Regulation 012, the 

Pauma Gaming Commission shall monitor class I1 and class HI gaming operations 

to ensure compliance with this Regulation and take appropriate enforcement 

action for violations of this Regulation. 

B. An independent certified public accountant ('CPAm) shall be engaged to perform 

procedures to verify, on a test basis, that the Gaming Operation is in material 

compliance with the Tribal Internal Control Standards or a tribally approved 

variance that has received Commission concurrence. The procedures may be 

performed in conjunction with the annual audit required under Article VI of the 

Gaming Ordinance. The CPA shall report its findings to the Tribe, the Pauma 

Gaming Commission, and the Gaming Operation. The Tribe shall submit a copy 

of the report to the Commission within one hundred twenty (1 20) days of the 

Gaming Operation's fiscal year end 

VII. Publicatioq 

A. If, after consultation in accordance with paragraph A, Section IV, the Paurna 

Gaming Commission intends to issue a more stringent or new internal control 

standard pursuant to subparagraph B. 1, Section ID, the Pauma Gaming 

Commission shall first issue a notice to the General Council. 
Adopted 03/05/06 

1. The notice shall include the information set out in subparagraph A, Section 

N, and inform the General Council of the opportunity to provide comments to 

the Pauma Gaming Commission within thirty (30) days of the issuance of the 

notice. 

2. The notice shall be mailed by the Pauma Gaming Commission to members of 

the General Council. The date of mailing shall be the date of issuance of the 

notice for the purpose of triggering the 30-day comment period. 

3. The Pauma Gaming Commission shall review and consider any comments 

received from the General Council within the 30-day comrbent period prior to 

issuance of an enhanced or new internal control standard. 

4. The Pauma Gaming Commission shall maintain a record of any comments 

received from the General Council within the 30-day comment period until the 

period for the Gaming Operation to petition the General Council for review 

pursuant to subparagraph B.2, Section N has expired. If the General Council 

conducts a review hearing in accordance with subparagraph B.2, Section IV, 

the Pauma Gaming Commission shall submit copies of the comments received 

on the internal control standard in question to the General Council as part of 

the record for the hearing. 

B. A copy of the Tribal Internal Control Standards, as amended fiom time to time, 

shall be deposited at the offices of the Pauma Gaming Commission, and made 

available for inspection by the public during normal business hours. 

Severability 

If any provision of this Regulation or the application thereof to any person or 

circumstance is held invalid, its invalidity does not affect other provisions or applications of this 

Regulation, and to this end the provisions of this Regulation are severable. 

IX. Sovereign Immunity 

The sovereign immunity of the Tribe is in no manner waived by this Regulation or by any 

action by the Pauma Gaming Commission, the Gaming Operation, or any employee of the Pauma 

Gaming Commission, the Gaming Operation or the Tribe acting pursuant to this Regulation. 

X. Effective Date 

This Regulation shall take effect immediately upon its adoption by the General Council. 
Adopted 03/05/06 

CERTIFICATION 

I, the undersigned, as Secretary of the Pauma Band of Mission Indians, do hereby certify 

that this Regulation was adopted by the General Council pursuant to the results of a general 

council meeting by a vote of 51 in favor, 0 opposing and 0 abstaining, recorded on March 5, 

2006 and that this Regulation has not been amended or rescinded in any way. 

Date