September 18,2000 

Benjamin Magante Sr., Tribal Chairman 

Pauma-Yuima Band of Mission Indians 

P.O. Box 369 

Pauma Valley, CA 92061 

Dear Chairman Magante: 

This letter is in response to your request for the National Indian Gaming 

Commission (NIGC) to review and approve the Pauma-Yuima Band of Mission 

Indians' (Band) Gaming Ordinance. In addition to the Gaming Ordinance, we 

reviewed the Licensing and Background Investigation Procedures. This letter 

constitutes approval of your submission under the Indian Gaming Regulatory Act 

(IGRA), It is important to note that the gaming ordinance is approved for gaming 

only on Indian lands, as defined in the IGRA, over which the Band has 

jurisdiction. 

With approval of the Band's Ordinance, the Band's Tribal Gaming Commission is 

required to conduct background investigations on its key employees and primary 

management officials. The NIGC expects to receive a completed application for 

each key employee and primary management official, pursuant to 25 C.F.R. lj 

556.5(a), and an investigative report on each background investigation, pursuant 

to 25 C.F.R. 5 556.5(b), before the Tribal Gaming Commission issues a license to 

a key employee or primary management official. 

Thank you for submitting the Gaming Ordinance and the Licensing and 

Background Investigation Procedures for review and approval. The NIGC staff 

and I look forward to working with you and the Band on future gaming issues. 

Montie R. Deer 

Chainnan 

1441 L STREET, N.W. 9TH FLOOR WASHINGTON, D.C. 20005 EL.: 202-632-7003 FAX: 202-632-7066 
ESTABLISHED 1893 

ppp - 

P.O. BOX 369 PAUMA VALLEY, CA 92061 * (760) 742-1289 0 FAX 742-3422 

Pauma - Yuima Band of Mission Indians "Uy Resolution # 052500-2 d > 

Whereas: the Pauma -Yuima Band of Mission Indians is a federally recognized American 

Indian Tribe recognized by.the United States Secretary of the Interior as having juristiction over 

the Indian Lands in California which are eligible for gaming under the Indian Gaming regulatory 

Act (25 U. S.C. Sections 270 1-272 1) ("IGRA"); and 

Whereas: the General Council; is the governing body of the Tribe pursuant to Article 3 of the 

Tribe's Constitution, having all the legislative powers and responsibilities of the Tribal 

Government; and 

Whereas: in order to engage in Class I1 or ILI gaming, the governing body of a Tribe must 

adopt a gaming ordinance and have the ordinance approved by the Chairman of the National 

Indian Gaming Commission ("NIGC"), pursuant to the IGRA (i.e., 25 U.S.C. Subsections 2710 

(b)(l)(B) and 27 10 (d)(l)(A); and 

Whereas: additional procedures for conducting background investigations and licensing are 

necessary to implement the new Gaming Ordinance and to have the new Gaming Ordinance 

approved by the Chairman of the National Indian Gaming Commission pursuant to 25 C.F.R. 

Section 522.2(b)-(c); and 

Whereas: the General Council, pursuant to Article 11, Subsection 2(b) of the new Gaming 

Ordinance is charged with the establishment of a Gaming Commission to be responsible for the 

regulation of the gaming on the Pauma-Yuima Reservation; 

Now, Therefore Be It Resolved: that the tribe, acting through its General Council, hereby 

adopts the following tribal laws: Ordinance No. , entitled Gaming Ordinance; Gaming 

Regulation 00 1, Licensing 'and Background Investigation Procedures; and Ordinance No. 

Entitled Ordinance Establishing the Pauma-Yuima Gaming Commission. 

Certification 

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

do, hereby, certify that the foregoing resolutions was adopted by the General Council by a vote 

of 34 For, Z) Against, and 0 Abstaining. 

Paul Peters 

secret& I Treasure Committee Member 
ORDINANCE NO. 

PAUMA -YUIMA BAND OF MISSION INDIANS 

GAMING ORDINANCE 

ARTICLE I: PURPOSE 

22 

The Pauma-Yuima Band of Mission Indians ("Tribe"), acting through its General 

Council, pursuant to the Tribe's inherent authority and Article 3 of the Tribe's Articles of 

Association, duly ratified on June 28, 1968, hereby enacts this Ordinance in order to set the terms 

for class I1 and class I11 gaming operations on the Pauma-Yuima Reservation. 

ARTICLE 11: DEFINITIONS 

Section 1. General 

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein 

shall have the same meaning as defined in the Indian Gaming Regulatory Act (25 U.S.C. 5 2701 

et seq.) and its regulations (25 C.F.R. § 500 et seq.). 

Section 2. Special Terms 

In this Ordinance: 

BAND MEMBER: "Band member" means any individual who is duly enrolled in 

the Tribe in accordance with the Tribe's Articles of Association ratified on June 

28, 1968 and any enrollment ordinance that may be enacted by the Tribe, as 

amended from time to time. 

COMMISSION: "Commission" means the Paurna-Yuima Gaming Commission 

established pursuant to an ordinance duly adopted by the General Council. 

COMPACT: "Compact" means the Tribal-State Compact between the Tribe and 

the State of California authorizing class I11 gaming activities, as required by 

IGRA, 25 U.S.C. 5 2710(d)(l)(C) and amended from time to time. 

BUSINESS COMMITTEE: "Business Committee" means the four-member 

committee authorized to represent the Tribe pursuant to Articles 3 and 6(C) of the 

Tribe's Articles of Association ratified on June 28, 1968. 

GENERAL COUNCIL: "General Council" consists of all Band members who are 

twenty-one (21 j years of age or older. 

IGRA: "IGRA" means the Indian Gaming Regulatory Act, 25 U.S.C. 5 2701 et 

seq. and its regulations, 25 C.F.R. 5 500 et seq. 
KEY EMPLOYEE: "key employee" means 

(1) 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 gambling devices including persons with access to 

cash and accounting records within such devices; 

(2) If not otherwise included, any other person whose total cash compensation 

is in excess of fifty-thousand dollars ($50,000.00) per year; or 

(3) If not otherwise included, the four (4) most highly compensated persons in 

the gaming operation. 

NIGC: "NIGC" means the National Indian Gaming Commission established 

pursuant to 25 U.S.C. $ 2704. 

PRIMARY MANAGEMENT OFFICIAL: "Primary Management Official" 

means 

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

(2) Any person who has authority to: hire and fire employees; or to set up 

working policy for the gaming operation; or 

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

responsibility. 

STATE GAMING AGENCY: "State Gaming Agency" means the entity defined 

in Subsection 2.18 of the Compact. 

TRIBE: "Tribe" means the Pauma-Yuima Band of Mission Indians. 

ARTICLE 111: GAMING AUTHORIZED 

Class 11 and class I11 gaming, as defined in 25 U.S.C. $4 2703(7)(A) and 2703(8) and by 

the regulations promulgated by the NIGC at 25 C.F.R. $5 502.3 and 502.4, is hereby authorized. 

The class I11 gaming activities authorized by this Ordinance are those gaming activities 

authorized under the compact. 

ARTICLE IV: OWNERSHIP OF GAMING 

The Tribe, acting through the General Council, shall have the sole propriety interest in 

and responsibility for the conduct of any gaming operation authorized by this Ordinance. 
ARTICLE V: USE OF GAMING REVENUES 

Section 1. Use of Net Revenues 

Net revenues from class I1 and class 111 gaming shall be used only for the following 

to fund tribal government operations and programs; 

to provide for the general welfare of the Tribe and its members; 

to promote tribal economic development; 

to donate to charitable organizations; 

to help hnd operations of local government agencies; or 

to make contributions, as required by the Compact, to any revenue-sharing funds 

established for the benefit of the State or non-gaming Tribes. 

Per Capita Payments 

If the Tribe elects to make per capita payments to tribal members, it shall authorize such 

payments only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. 

99 2710(b)(3). 

ARTICLE VI: AUDIT 

Section 1. Annual Audit 

The Commission shall cause to be conducted annually an independent audit of gaming 

operations and shall submit the resulting audit reports to the NIGC. The annual audit shall be 

conducted by an independent certified public accountant, in accordance with the auditing and 

accounting standards for audits of casinos of the American Institute of Certified Public 

Accountants. 

Section 2. Gaming Contracts 

All gaming related contracts that result in the purchase of supplies, services, or 

concessions in excess of twenty-five thousand dollars ($25,000.00) annually, except contracts for 

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

audit that is described in Section 1 of this Article. 
ARTICLE VII: PROTECTION OF THE ENVIRONMENT, 

PUBLICHEALTHANDSAFETY 

Class I1 and class 111 gaming facilities shall be constructed, maintained and 

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

The General Council shall adopt standards for protecting the environment and the public health 

and safety that are consiste' nt with its obligations under the Compact. At a minimum, the 

standards for protecting the public health and safety shall include the following prohibitions: 

(a) If the Tribe permits the consumption of alcoholic beverages in a gaming facility, 

no person under the age of twenty-one (21) years shall be permitted to be present 

in any area in which class I1 or class I11 gaming activities are being conducted and 

in which alcoholic beverages may be consumed, to the extent required by the state 

Department of Alcoholic Beverage Control. No person under the age of eighteen 

(1 8) years shall be permitted to be present in any room in which class I1 or class 

111 gaming activities are being conducted unless the person is en-route to a nongaming area of the gaming facility. 

(b) Possession of firearms shall be prohibited at all times in class I1 and class I11 

gaming facilities operated under this Ordinance, except for possession of firearms 

by state, local, or tribal security or law enforcement personnel authorized by 

federal, state or tribal law to possess firearms at the facilities. 

ARTICLE VIII: LICENSES 

Section 1. License Requirements 

The following persons and entities are required to be licensed by the Commission: 

(a) All employees, including key employees and primary management officials, 

employed at any class I1 or class I11 gaming enterprise operated under this 

Ordinance; 

(b) Gaming resource suppliers required to be licensed under Subsection 6.4.5 of the 

Compact; 

(c) Persons extending financing, directly or indirectly, to the Tribe's gaming facility 

or gaming operations; and 

(d) Each place, facility, or location where class I1 or class I11 gaming is conducted 

under this Ordinance. 
Section 2. Background Investigations 

The Commission or its agents shall conduct an investigation of license applicants 

sufficient to make a determination under Section 3 of this Article. The Commission and its 

agents are authorized to receive state summary criminal history information, as defined in 

Subsection 1 1 105(a) of the California Penal Code, or a copy thereof, maintained under a person's 

name by the California Department of Justice and shall not knowingly hrnish such records or 

information to a person who is not authorized to receive the record or information. In conducting 

a background investigation, the Commission or its agent shall keep confidential the identity of 

each person interviewed in the course of the investigation. 

Section 3. Eligibility Determination 

The Commission shall review an applicant's prior activities, criminal record, if any, and 

reputation, habits and associations to make a finding concerning an applicant's eligibility for a 

license. A license may not be issued unless the Commission is satisfied the applicant is a person 

of good character, honesty and integrity. The Commission shall not license a person if the 

Commission determines that the licensing of the person: poses a threat to the public interest or to 

the effective regulation of gaming; creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming or the carrying on of business and 

financial arrangements incidental thereto; or will undermine public trust that tribal gaming is free 

from criminal and dishonest elements and would be conducted honestly. 

Section 4. Periodic Review 

The Conunission shall review and, if appropriate, renew each license it issues at least 

every two (2) years after issuance. 

Section 5. Reporting 

To the extent required by IGRA and the Compact, the Commission shall promptly 

forward applications, background investigation reports and related information to the NIGC and 

the State Gaming Agency and notify the NIGC and the State Gaming Agency of its decisions to 

deny, issue, suspend or revoke licenses. 

Section 6. Additional Requirements 

The General Council shall adopt, and the Commission shall implement, regulations 

providing for such additional licensing and background investigation requirements and 

procedures as it deems appropriate, provided that such additional requirements are at least as 

stringent as those contained in IGRA (i.e., 25 U.S.C. §2710(b)(2)(F) and 25 C.F.R. Parts 556 and 

558) and the Compact. 
ARTICLE IX: ENFORCEMENT 

The General Council shall promulgate regulations authorizing the Commission or other 

agent of the Tribe to investigate reported violations of this Ordinance, other tribal gaming 

ordinances or regulations, IGRA or the Compact and to impose fines or other sanctions within 

the Tribe's jurisdiction against persons who interfere with the Tribe's obligations under this 

Ordinance, other tribal gaming ordinances or regulations, IGRA or the Compact. 

ARTICLE X: RESOLUTION OF PATRON DISPUTES 

Patrons of the Tribe's class I1 and class 111 gaming facilities who have complaints against 

the gaming establishment, including disputes with any management contractor or its employees, 

shall have as their sole remedy the right to file a petition for relief with the Commission. 

Complaints shall be submitted in writing no later than thirty (30) days after the occurrence of the 

incident on which the complaint is based. At the discretion of the Commission, the petitioner 

may be allowed to present evidence. The Commission will render a decision in a timely fashion 

and all such decisions will be final when issued. Each claim by a patron shall be limited to a 

maximum recovery of ten thousand dollars ($10,000.00), and a cumulative limit of ten thousand 

dollars ($10,000.00) per patron in any 12-month period. 

ARTICLE XI: SERVICE OF PROCESS 

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

determination, order, or notice of violation. 

ARTICLE XII: REPEAL 

All prior gaming ordinances are hereby repealed. 

ARTICLE XIII: SEVERABILITY 

If any provision of this Ordinance shall in the future be declared invalid by a court of 

competent jurisdiction, the invalid provision or provisions shall be severed and the remaining 

provisions shall continue in full force and effect. 

ARTICLE XIV: AMENDMENT OF ORDINANCE 

This Ordinance may be amended or repealed upon approval by the General Council. 

ARTICLE XV: EFFECTIVE DATE 

This Ordinance shall become effective immediately upon its approval by the Chairman of 

the NIGC or ninety (90) days after the date of its submission to the Chairman of the NIGC if he 

or she fails to approve or disapprove this Ordinance within those ninety (90) days. 
CERTIFICATION 

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

certifjl that this Ordinance was reviewed and adopted at a General Council meeting held on 

f / / ,2000, by a vote of qqin favor, 0 opposed and & abstaining, and that 

this Ordinance has not been amended or res 

Date 
Issued ,2000 

Pauma-Yuima Band of Mission Indians 

Gaming Regulation 001 4 

Licensing and Background Investigation Procedures + 

2~@ 

I. Purpose 

This Regulation describes the procedures to be followed by the Pauma-Yuima Gaming 

Commission (the "Commission") when conducting background investigations and issuing 

licenses in connection with any class I1 or class 111 gaming facilities operated on the PaurnaYuima Reservation pursuant to the Tribe's Gaming Ordinance. 

11. Incomoration by Reference 

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. § 500 et seq.) 

("IGRA"), and the gaming compact between the Tribe and the State of California (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 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 or the Compact. 

111. Scope 

The following persons and entities are required to be licensed by the Commission, and as 

a basis for issuing a license the Commission must conduct or cause to be conducted a 

background investigation of those persons listed in subparagraphs A - C below: 

A. All employees, including key employees and primary management officials, 

employed at any class I1 or class I11 gaming enterprise operated under this 

Ordinance; 

B. Gaming resource suppliers required to be licensed under Subsection 6.4.5 of the 

Compact; 

C. Persons extending financing, directly or indirectly, to the Tribe's gaming facility 

or gamin'g operations; and 

D. Each place, facility, or location where class I1 or class 111 gaming is conducted 

under this Ordinance. 
Issued ,2000 

IV. Powers a~ld Res~onsibilities 

The Commission has the following powers and responsibilities: 

To conduct or cause to be conducted background investigations; 

To receive, directly or through its agents, state summary criminal history 

information, as defined in Subsection 11 105(a) of the California Penal Code, as 

maintained under a license applicant's name by the California Department of 

Justice, and to take such measures as are reasonably necessary to prevent the 

release of such records or information to persons who are not authorized by law to 

receive the record or information; 

To prepare or cause to be prepared an investigative report in compliance with the 

Gaming Ordinance; 

To review and approve the investigative work done; 

To obtain and process fingerprints, directly or through its agents; 

To forward licence applications and the results of the background investigations 

to the National Indian Gaming Commission ("NIGC") and the State Gaming 

Agency, to the extent required by IGRA and the Compact; 

To make eligibility determinations in accordance with Section IX of this 

Regulation; 

To issue, deny, suspend, revoke and renew licenses in accordance with the 

provisions of this Regulation; and 

To maintain records on persons who have been issued or denied a license, as well 

as persons otherwise prohibited from engaging in gaming activities within the 

Tribe's jurisdiction, for a period of three (3) years from the date on which the 

license expired or was revoked or denied. 

V. Scope of Backmound Investigations 

The Commission shall conduct or cause to be conducted all necessary background 

investigations reasonably required to determine that an applicant is eligible for a license in 

accordance with the standard set forth in Section IX of this Regulation. The minimum 

procedures for conducting background investigations on applicants for licenses are as follows: 
Issued ,2000 

Criminal history check, including a check of records maintained by the Federal 

Bureau of Investigations and the California Department of Justice; 

Civil history check; 

Financial and credit check; 

Reference check; 

Previous business and employment check; 

Relative check; 

Business and personal associates check; 

Fingerprint check; and 

Educational verification. 

The above information submitted by the applicant may be verified by written or oral 

communication. The disposition of all potential problem areas noted and disqualifying 

information obtained shall be documented by the Commission. 

VI. Cooveration 

The Commission shall cooperate with the State Gaming Agency in sharing as much 

background information as possible, in order to maximize investigative efficiency and 

thoroughness and to minimize investigative costs. 

VII. Finnemrinting 

The Commission shall be deemed to be the Tribe's law enforcement agency for the 

purpose of taking fingerprints and conducting criminal history checks under this Regulation. 

The Commission may elect to process fingerprint cards directly on behalf of the Tribe or to 

process fingerprint cards through the State Gaming Agency or the MGC and may execute such 

documents as may be necessary to enter into such an arrangement. Fingerprint cards shall be 

submitted to the Federal Bureau of Investigations and the California Department of Justice in 

order to obtain criminal history record information. 

VIII. Confidentiality 

The identity of third parties interviewed during the course of background investigations 

shall be kept confidential. 
Issued ,2000 

IX. Elinibilitv Determinations 

The Commission shall review an applicant's prior activities, criminal record, if any, and 

reputation, habits and associations to make a finding concerning an applicant's eligibility for a 

license. A license may not be issued unless the Commission is satisfied the applicant is a person 

of good character, honesty and integrity. The Commission shall not license a person if the 

Commission determines that the licensing of the person: poses a threat to the public interest or to 

the effective regulation of gaming; creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming or the carrying on of business and 

financial arrangements incidental thereto; or will undermine public trust that tribal gaming is free 

from criminal and dishonest elements and would be conducted honestly. 

In making findings concerning the eligibility of license applicants, the Commission shall 

take into consideration any of the following circumstances: 

A. If the applicant knowingly and intentionally provided false statements or 

information or omitted relevant information on the application, or otherwise 

misrepresented or failed to disclose a material fact to the Commission; 

B. If the prior activities, criminal record, reputation, habits, and association indicate 

that the person may be a threat to the public interest or to the effective regulation 

and control of gaming; 

C. If association with or employment of this applicant creates or enhances the 

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

conduct of gaming or the carrying on of the business and financial arrangements 

incidental thereto; 

D. If the applicant has violated, failed, or refused to comply with the provisions, 

requirements, conditions, limitations, or duties imposed by any provision of the 

Compact or Gaming Ordinance, or possesses knowledge that such violation has 

occurred upon any premises occupied or operated by any such person or over 

which he 'or she hashad substantial control; 

E. If the applicant knowingly caused, aided, abetted, or conspired with another to 

cause any person or entity to violate any of the laws of any state, the provisions of 

the Compact or the Gaming Ordinance; 

F. If the applicant has ever obtained a license by fraud, misrepresentation, 

concealment, or through inadvertence or mistake; 
Issued ,2000 

G. If the applicant has ever been convicted of, or forfeited bond upon a charge of, or 

plead guilty to forgery, larceny, extortion, conspiracy to defraud, willful failure to 

make required payment or reports to any Tribal, State, or U.S. Government 

agency at any level, or filed false reports therewith, or of any similar offense(s), or 

of bribing or otherwise unlawfidly influencing a public official or employee of a 

Tribe, a State, or the U.S. Government, or of any felony or misdemeanor 

involving any gaming activity, physical harm to individuals or moral turpitude; 

H. If the applicant is subject to current prosecution or pending charges, or a 

conviction under appeal for any of the offenses listed above. Upon request of the 

applicant, the Commission may defer decision on the application pending the 

results of such prosecution or appeal; 

I. If the applicant has demonstrated a willfil disregard for compliance with a 

gaming regulatory authority in any jurisdiction or has ever had a gaming license 

issued by any State, Tribe or foreign gaming regulatory agency suspended, 

revoked or denied; or 

J. If the applicant has failed to provide any information requested by the 

Commission within fourteen (1 4) days of the request for the information. 

X. Privacv Notice 

A. The following notice, or substantially similar wording contained in such 

standardized application forms as may be adopted by California Tribes and the 

State of California pursuant to the Compact, shall be placed on the license 

application form before that form is filled out by an applicant: 

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

provided: Solicitation of the information on this form 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 employed in or do business 

with a gaming operation. The information will be used by the PuumaYuima Gaming Commission, the State Gaming Agency, and the National 

Indian Gaming Commission members and staflwho have needfor the 

information in the performance of their official duties. The information 

may be disclosed to appropriate Federal, Tribal, State, local, or foreign 

law enforcement and regulatory agencies when relevant to civil, criminal 

or regulatory investigations or prosecutions or when pursuant to a 

requirement by a tribe, the State Gaming Agency, or the National Indian 

Gaming Commission in connection with the hiring orfiring of an 

employee, the issuance or revocation of a gaming license, or 

investigations of activities while associated with a tribe or a gaming 
Issued ,2000 

operation. Failure to consent to the disclosures indicated in this notice 

will result in a tribe's being unable to hire you or do business with you. 

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

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

application. 

B. Existing licensees shall be notified in writing that they shall either: 

1. Complete a new application form that contains a Privacy Act notice; or 

2. Sign a statement that contains the Privacy Act notice and consent to the 

routine uses described in that notice. 

XI. Notice Renardinn False Statements 

A. The following notice, or such substantially similar wording contained in 

standardized application forms as may be adopted by California Tribes and the 

State of California pursuant to the Compact, shall be placed on the application 

form before that form is filled out by an applicant. 

A false statement on any part ofyour application may be grounds for 

denial or revocation of a license. Also, you may be punished by fine or 

imprisonment. 

(US. Code, title 18, section 1001.) 

B. The Commission shall notify in writing existing licensees that they shall either: 

1. Complete a new application form that contains a notice regarding false 

statements; or 

2. Sign a statement that contains the notice regarding false statements. 

XII. Reauired Information - General 

The Commission shall request from each applicant all of the following information: 

A. Full name, other names used (oral or written), social security nurnber(s), birth 

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

B. Currently and for the previous five (5) years: business and employment positions 

held, ownership interests in those businesses, business and residence addresses, 

and drivers license numbers; 
Issued ,2000 

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

including one (1) personal reference who was acquainted with the applicant 

during each period of residence listed under paragraph (l)(b) of this Section; 

Current business and residence telephone numbers; 

A description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

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

industry generally, including ownership interests in those businesses; 

The name and address of any licensing or regulatory agency with which the 

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

or not such license or permit was granted; 

For each felony for which there is an ongoing prosecution or a conviction, the 

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

any; 

For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations), within ten (1 0) years of the date of the 

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

disposition; 

For each criminal charge (excluding minor traffic charges), whether or not there 

is a conviction, if such criminal charge is within ten (10) years of the date of the 

application and is not otherwise listed pursuant to paragraph (h) or (i) of this 

Section, the criminal charge, the name and address of the court involved and the 

date and disposition; 

The name and address of any licensing or regulatory agency with which the 

person has filed an application for an occupational license or permit, whether or 

not such license or permit was granted; 

A current photograph; 

Any other information the Commission deems relevant; and 

Fingerprints consistent with procedures adopted by the Commission according to 

35 C.F.R. $8 522.2(h). 
Issued ,2000 

XIII. Reauired Information - Business Entities 

In addition to the information required under Section XI1 of this Regulation, the 

Commission shall request from an applicant that is a business entity all of the following 

information, provided that two (2) or more business entities having a commonality of the 

characteristics identified in the following subparagraphs A - D, inclusive, may be deemed to be a 

single business entity: 

A. Each of its officers and directors; 

B. Each of its principal management employees, including any chief executive 

officer, chief financial officer, chief operating officer, and general manager; 

C. Each of its owners or partners, if an unincorporated business; 

D. Each of its shareholders who owns more than ten percent (1 0%) of the shares of 

the corporation, if a corporation; 

E. Each person or entity (other than a financial institution that the Commission has 

determined does not require a license under Subsection 6.4.6 of the Compact) 

that, alone or in combination with others, has provided financing to the business 

entity in connection with any gaming authorized under the Compact, if that person 

or entity provided more than ten percent (10%) of 

I. the start-up capital; 

2. the operating capital over a 12-month period; or 

3. a combination thereof. 

A. When a key employee or primary management official begins work at a gaming 

operation authorized by this Ordinance, the Commission shall forward to the 

MGC a completed application for employment and conduct the background 

investigation and make the determination referred to in Section IX of this 

~e~ulation. The Commission shall prepare and forward to the NIGC, within sixty 

(60) days after a key employee or primary management official begins work or 

within sixty (60) days of the approval of this Ordinance by the Chairman of the 

NIGC, an investigative report on each background investigation and a copy of the 

eligibility determination made under Section IX of this Regulation. The 

background investigation report shall include all of the following: 
Issued ,2000 

1. Steps taken in conducting a background investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The bases for those conclusions. 

B. With respect to key employees and primary management officials, if a license is 

not issued to an applicant, the Commission shall notify the NIGC and may 

forward copies of its eligibility determination and investigative report (if any) to 

the NIGC for inclusion in the Indian Gaming Individuals Records System. 

C. With respect to key employees and primary management officials, the 

Commission shall retain applications for employment and reports (if any) of 

background investigations for inspection by the Chairman of the NIGC or his or 

her designee for no less than three (3) years fiom the date of termination of 

employment. 

XV. Re~orting to State Gaming A~ency 

A. Except for an applicant for licensing as a non-key gaming employee, as defined 

by agreement between the Commission and the State Gaming Agency, the 

Commission shall require the applicant to also file an application with the State 

Gaming Agency, prior to issuance of a license, for a determination of suitability 

for licensure under the California Gambling Control Act. 

B. Upon receipt of a completed license application and a determination by the 

Commission that it intends to issue a license, the Commission shall transmit to the 

State Gaming Agency a notice of intent to license the applicant, together with all 

of the following: 

1. A copy of the license application materials and information received by 

the Commission from the applicant; 

2. An original set of fingerprint cards; 

3. A current photograph; and 

4. Except to the extent waived by the State Gaming Agency, such releases of 

information, waivers, and other completed and executed forms as have 

been obtained by the Commission. 
Issued ,2000 

C. Upon receiving notice of the State Gaming Agency's denial of an application for a 

determination of suitability, the Commission shall promptly notify the Business 

Committee and, if the Commission objects to the denial, request an opportunity 

for the Tribe to be heard and diligently exercise its right to a hearing. 

D. With respect to non-key gaming employees, as defined by agreement between the 

Commission and the State Gaming Agency, the Commission shall provide the 

State Gaming Agency with the name, badge identification number, and job 

descriptions of all such employees on a monthly basis, within seven (7) days of 

the end of each month. 

XVI. Granting a Gaming - License 

A. Key Employees and Primary Management Officials. If, within a 30-day period 

after the NIGC receives a report, the NIGC notifies the Commission that it has no 

objection to the issuance of a license pursuant to a license application filed by a 

key employee or a primary management official for whom the Commission has 

provided an application and investigative report to the MGC, the Commission 

may issue a license to such applicant. The Commission shall respond to a request 

for additional information from the Chairman of the MGC concerning a key 

employee or a primary management official who is the subject of a report. Such a 

request shall suspend the 30-day period until the Chairman of the NIGC receives 

the additional information. If, within the 30-day period described above, the 

NIGC provides the Commission with a statement itemizing objections to the 

issuance of a license to a key employee or to a primary management official for 

whom the Commission has provided an application and investigative report to the 

NIGC, the Commission shall reconsider the application, taking into account the 

objections itemized by the NIGC. The Commission shall make the final decision 

whether to issue a license to such applicant. 

B. All Employees, Including Primary Management Officials. If an applicant has 

completed a license application to the satisfaction of the Commission, and the 

Commission has conducted a preliminary background investigation, the 

Commission may issue a temporary license and impose such conditions thereon as 

it deems appropriate pending completion of the licensing process, provided that 

the Commission has no information suggesting the applicant would either be 

automatically disqualified from obtaining a license or that would cause a 

reasonable person to investigate further before issuing a license. The Commission 

may issue a regular license to a person who meets the eligibility standards set out 

in Section IX of this Regulation after receiving a determination of the applicant's 

suitability from the State Gaming Agency. In the event the State Gaming Agency 

denies an applicant a determination of suitability or refuses to renew a 

determination of suitability, the Commission shall revoke any temporary license 
Issued ,2000 

issued to the applicant and deny the applicant a license, except that the 

Commission shall have discretion to renew a license if the person is an enrolled 

member of the Tribe or has been continuously employed by the Tribe for at least 

three (3) years prior to the effective date of the Compact and also meets the 

following criteria: 

1. The person holds a valid and current license issued by the Commission; 

2. The person is not an employee or agent of any other gaming operation; 

and 

3. The State Gaming Agency's denial of the person's application for a 

determination of suitability is based solely on activities, conduct or 

associations that antedate the filing of the person's initial application to the 

State Gaming Agency for a determination of suitability. 

XVII. Limitation 

The gaming operation shall not employ or continue to do business with a person who 

does not have a license that is not a temporary license after ninety (90) days. 

XVIII. Identification Cards 

All persons who are required to be licensed pursuant to the Gaming Ordinance shall be 

required to wear, in plain view at all times while in a gaming facility licensed by the 

Commission, identification badges issued by the Commission. The identification badges must 

display the person's photograph, identification number, name, and expiration date of his or her 

license. 

XIX. Gaming. Facility 

A. The Commission shall issue a separate license to each facility where class I1 or 

class 111 gaming is conducted under this Ordinance. The license shall be posted in 

a conspicuous and public place in the gaming facility at all times. 

B. The Commission shall determine and, if appropriate, certifL that each gaming 

facility, or the modification or expansion of a gaming facility, meets the Tribe's 

building and safety code and the Americans with Disabilities Act, 42 U.S.C. 5 

12101 et seq. based an inspection by qualified building and safety experts. 

C. The Commission shall give reasonable notice of each inspection to the State's 

designated agent or agents, who may accompany any such inspection. The 

Commission and the State's designated agent or agents shall exchange any 
Issued ,2000 

inspection reports within ten (10) days after completion of the report and 

simultaneously forward copies of such reports to Tribe's Chairperson. 

D. The Tribe is responsible for ensuring that any gaming facility condition noted in 

an inspection that does not meet the standards set out in paragraph B of this 

Section is corrected; 

E. If the State's designated agent or agents object to a certification by the Tribe's 

building and safety code experts that a gaming facility meets the standards set out 

in paragraph B of this Section, the Tribe shall make good faith efforts to address 

the State's, concerns, but if the State does not withdraw its objection the matter 

will be resolved in accordance with the dispute resolution provisions of Section 9 

of the Compact. 

XX. Gaming Resource Suvvliers 

Any gaming resource supplier who, directly or indirectly, provides, has provided, or is 

deemed likely to provide at least twenty-five thousand dollars ($25,000.00) in gaming resources 

in any 12-month period, or who has received at least twenty-five thousand dollars ($25,000.00) 

in any consecutive 12-month period within the 24-month period immediately preceding 

application, shall be licensed by the Commission prior to the sale, lease, or distribution, or 

further sale, lease, or distribution, of any such gaming resources to or in connection with the 

Tribe's gaming facilities. The Tribe shall not enter into, or continue to make payments pursuant 

to, any contract or agreement for the provision of gaming resources with any person whose 

application to the State Gaming Agency for a determination of suitability has been denied or has 

expired without renewal. Any agreement between the Tribe and a gaming resource supplier shall 

be deemed to include a provision for its termination without fbrther liability on the part of the 

Tribe, except for the bona fide repayment of all outstanding sums (exclusive of interest) owed as 

of, or payment for services or materials received up to, the date of termination, upon revocation 

or non-renewal of the supplier's license by the Commission based on a determination of 

unsuitability by the State Gaming Agency. 

XXI. Financial Sources 

Any person extending financing, directly or indirectly, to the Tribe's gaming facilities or 

gaming operations shall be licensed by the Commission prior to extending that financing, 

provided that any person who is extending financing at the time of the execution of the Compact 

shall be licensed by the Commission within ninety (90) days of such execution. Any agreement 

between the Tribe and a .financial source shall be deemed to include a provision for its 

termination without further liability on the part of the Tribe, except for the bona fide repayment 

of all outstanding sums (exclusive of interest) owed as of the date of termination, upon 

revocation or non-renewal of the financial source's license by the Commission based on a 

determination of unsuitability by the State Gaming Agency. The Tribe shall not enter into, or 
Issued ,2000 

continue to make payments pursuant to, any contract or agreement for the provision of financing 

with any person whose application to the State Gaming Agency for a determination of suitability 

has been denied or has expired without renewal. A gaming resource supplier who provides 

financing exclusively in connection with the sale or lease of gaming resources obtained from that 

supplier may be licensed solely in accordance with licensing procedures applicable, if at all, to 

gaming resource suppliers. The Commission may, at its discretion, exclude from the licensing 

requirements of this section, financing provided by a federally regulated or state-regulated bank, 

savings and loan, or other federally- or state-regulated lending institution; or any agency of the 

federal, state, or local government; or any investor who, alone or in conjunction with others, 

holds less than 10% of any outstanding indebtedness evidenced by bonds issued by the Tribe. 

XXII. Denial. Revocation and Sus~ension of License 

following: 

A. 

B. 

C. 

D. 

E. 

F. 

G. 

H. 

A license may be suspended, revoked or denied upon the occurrence of any of the 

Notification by the NIGC, or by any other reliable source, that the licensee is not 

eligible for a license under Section IX of this Regulation; 

Notification by the State Gaming Agency that it intends to deny an application for 

a determination of suitability or a renewal of determination of suitability; 

The Commission has probable cause to believe that the licensee has, by act or 

omission, violated provisions of the Compact, the Gaming Ordinance, the Tribe's 

Gaming Regulations, any condition of a Conditional Gaming License, or any 

other Federal, State or Tribal laws or regulations; 

The Commission has reason to believe that the continued licensing of a person 

constitutes an immediate threat to the public health, safety or welfare; 

The commission has reason to believe that the licensee is involved in any theft, 

misappropriation, misuse or abuse of Tribal assets; 

The licensee engages in any conduct that brings discredit or embarrassment to the 

Tribe's gaming operations or the Tribe, or interferes with the normal operation of 

the Tribe's gaming facilities; 

The licensee fails to disclose any required information on any State or Tribal 

gaming license application; 

The licensee fails to respond to a request from the Commission within fourteen 

(14) days of the date of the initial request; or 
Issued ,2000 

I. The licensee's employment with the Tribe's gaming operations is terminated, 

voluntarily or involuntarily. 

XXIII. Due Process 

The denial, suspension or revocation of a license pursuant to Section XXII of this 

Regulation shall require: 

A. Written, certified, return receipt requested or personally hand-delivered 

notification of the denial, suspension or pending revocation be given to the 

licensee ten (10) days in advance of the proposed action; 

B. Such written notification shall include information concerning the licensee's right 

to a hearing, shall specify the date, time and place for the hearing, and shall also 

advise the licensee that failure to appear for a scheduled hearing shall forfeit any 

further right to appeal; 

C. The Commission shall make a ruling within three (3) days, and the licensee shall 

be notified in writing, within three (3) days of the ruling, of the ruling and the 

licensee's right to file a petition with the Commission for a rehearing within 

fifteen (15) days of the receipt of the written notification; 

D. If the licensee files a petition for a rehearing within fifteen (1 5) days of receipt of 

the written notification described in the preceding paragraph, the Commission 

shall review any additional information submitted by the licensee with the petition 

and notify the licensee in writing of its decision, which shall be a final decision. 

E. Notwithstanding subparagraph A above, the Commission may suspend or revoke 

a license without advance notice if, in the opinion of the Commission, the 

continued licensing of the person: 

1. falsified a license application; 

2. poses an immediate threat to the integrity of the Tribe's gaming 

operations; 

3. poses a threat to public health or safety; or 

4. may violate the Commission's licensing or other standards. 
Issued ,2000 

XXIV. Duration and Renewal 

All regular licenses shall be effective for two (2) years from the date of issue. Renewal 

applications must be received by the Commission at least thirty (30) days prior to the expiration 

of the license. Upon receiving a renewal application, the Commission shall inform the applicant 

of his or her obligation to apply to the State Gaming Agency for renewal of his or her 

determination of suitability. Any licensee applying for renewal may continue to be employed or 

engaged under the expired license until the Commission takes action on the renewal application. 

Applicants for renewal shall provide updated material as requested by the Commission but shall 

not be required to resubmit information already available to the Commission. Additional 

background investigations may be performed at the discretion of the Commission. Updated 

criminal history checks are required. 

Prior to renewing a license, the Commission shall forward to the State Gaming Agency 

copies of the renewal application and related documents. With respect to gaming facilities, the 

Commission shall provide verification to the State Gaming Agency that it has reviewed and, if 

appropriate, renewed a gaming facility's license. 

The Business Committee shall establish a fee schedule for licenses. Application fees 

shall be nonrefundable, regardless of whether or not a license is issued. Such fees shall be made 

payable to the Pauma-Yuima Band of Mission Indians. 

CERTIFICATION 

1,J&kr 67/cl& , as Secretary of the Pauma-Yuima Band of Mission Indians, do 

hereby certify that this Regulation was reviewed and adopted at a General Council meeting held 

on & // ,2000, by a vote of in favor, _b opposed and 0 abstaining, and 

that #d Regulation has not been amended or rescinded in any 

&\4- m1 

Date