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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation 

Gaming Ordinance

ARTICLE I: PURPOSE

The Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

(“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 its class II and class III Gaming Operation on the PaumaYuima Reservation.

ARTICLE II: 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. § 2701 

et seq.), its regulations (25 C.F.R. § 500 et seq.), and the Compact between the State of 

California and the Tribe, as amended (“Compact”). 

Section 2. Special Terms

In this Ordinance: 

(a) “Business Committee,” also known as the Tribal Council, means the 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; 

(b) “Commission” means the Pauma Gaming Commission established pursuant to 

Gaming Regulation 012, duly adopted by the General Council; 

(c) “Compact” means the Tribal-State Compact between the Tribe and the State of 

California authorizing class III gaming activities, as required by IGRA, 25 U.S.C. 

§ 2710(d)(1)(C) and amended from time to time;

(d) “General Council” consists of all enrolled Tribal members who are twenty-one 

(21) years of age or older; 

(e) “IGRA” means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq. and 

its regulations, 25 C.F.R. § 500 et seq;

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(f) “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; 

(g) “NIGC” means the National Indian Gaming Commission established pursuant to 

25 U.S.C. § 2704; 

(h) “Primary Management Official,” in reference to the Gaming Operation, means: 

(1) 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; 

(j) “State Gaming Agency” means the entity defined in Subsection 2.18 of the 

Compact;

(k) “Tribal Council” is another name for the Business Committee; 

(l) “Tribal 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;

(m) “Tribe” means the Pauma Band of Luiseño Mission Indians of the Pauma 

&Yuima Reservation; 

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Section 3. Status of Tribal Laws

The General Council may enact other tribal laws relating to gaming activities on the 

Pauma-Yuima Reservation. In the interest of organizing its gaming laws, the Tribe enacts laws 

implementing or expanding upon this Gaming Ordinance as regulations rather than as 

ordinances. Such gaming regulations have the full force of law; however, in the event of a 

conflict or inconsistency between the regulations and this Ordinance, the Ordinance shall govern. 

 Furthermore, a gaming regulation is deemed to be an “ordinance” as that term is used in the 

Compact and shall satisfy the Tribe’s obligations under the Compact to adopt certain ordinances, 

including a labor relations ordinance, a workers’ compensation ordinance, a tort liability 

ordinance, and an environmental protection ordinance. 

ARTICLE III: GAMING AUTHORIZED

Class II and class III gaming, as defined in 25 U.S.C. §§ 2703(7)(A) and 2703(8) and by 

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

 The class III 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 the Gaming Operation authorized by this Ordinance. 

ARTICLE V: USE OF GAMING REVENUES

Section 1. Use of Net Revenues

Net revenues from class II and class III gaming shall be used only for the following 

purposes: 

(a) to fund Tribal government operations and programs; 

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

(c) to promote Tribal economic development; 

(d) to donate to charitable organizations; 

(e) to help fund operations of local government agencies; or 

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

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

Section 2. 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. 

§§ 2710(b)(3). 

ARTICLE VI: AUDIT

Section 1. Annual Audit 

The Commission is responsible for arranging an annual independent audit of the Gaming 

Operation 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, 

PUBLIC HEALTH AND SAFETY

The Gaming Facility 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 

consistent 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 the Gaming 

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

present in any area in which class II or class III 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 (18) years shall be permitted to be present in any room 

in which class II or class III gaming activities are being conducted unless the 

person is en-route to a non-gaming area of the Gaming Facility. 

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(b) Possession of firearms shall be prohibited at all times in the Gaming Facility 

operated under this Ordinance, except for possession of firearms by Tribal, State, 

or County security or law enforcement personnel authorized by Tribal, Federal, or 

State 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 gaming employees, including key employees and primary management 

officials, employed at the Gaming Operation operated under this Ordinance; 

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

Compact and other vendors required to be licensed under Section III of Gaming 

Regulation 001, Licensing and Background Investigation Procedures; 

(c) Financial sources required to be licensed under Subsection 6.4.6 of the Compact; 

(d) The Gaming Facility where class II or class III gaming is conducted under this 

Ordinance;

(e) Labor unions and representatives of labor unions who are granted access to the 

Tribe’s Gaming Facility or employees; 

(f) Any other persons whose job duties or scope of work require or authorize them to 

have access to non-public areas of the Tribe’s Gaming Facility, whether or not 

such persons are employed by the Tribe or Gaming Operation, unless such person 

remains under the escort of a licensee or is a Tribal official who has cleared a 

background check as a condition of holding his/her position and is present in such 

area as part of his/her official duties; and

(g) Any other person determined by resolution of the Business Committee to require 

licensing. 

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 

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Subsection 11105(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 furnish 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, 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 Commission 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 regulations, 

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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, Tribal 

regulations, IGRA, or the Compact. 

ARTICLE X: RESOLUTION OF PATRON DISPUTES

Patron disputes shall be resolved as follows: 

(a) To the extent that a particular patron dispute falls within the scope of a gaming 

regulation, it shall be processed in accordance with such regulation, including but 

not limited to: 

(1) Patron disputes over the play or operation of any class III game shall be 

processed in accordance with Gaming Regulation 002, Procedures for 

Resolving Gaming-Related Patron Disputes;

(2) Patron claims for money damages resulting from property damage and 

personal injury arising out of or related class III gaming activities shall be 

processed in accordance with Gaming Regulation 004, Third Party Injuries 

Regulations; 

(3) Patron disputes over exclusion from the Gaming Facility shall be 

processed in accordance with Gaming Regulation 014, Exclusions; and 

(b) Patrons of the Gaming Facility who have complaints against the Gaming 

Operation, including disputes with any management contractor or its employees, 

which complaints are not addressed in a gaming regulation, shall have as their 

sole remedy the right to file a complaint with the Gaming Operation. The 

Gaming Operation’s authorized management personnel will render a decision in a 

timely fashion and all such decisions will be final when issued, unless the 

decision was not made by the highest ranking manager of the Gaming Operation, 

in which case the decision shall be subject to further review by the highest 

ranking manager of the Gaming Operation if the patron is dissatisfied with the 

lower ranking manager’s decision. 

ARTICLE XI: SERVICE OF PROCESS

The Tribe designates the Tribe’s Business Committee as its agent for service of any 

official determination, order, or notice of violation. 

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ARTICLE XII: REPEAL

Once adopted and certified this Ordinance will replace any earlier version(s). 

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: SOVEREIGN IMMUNITY

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

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

the Commission, or the Tribe acting pursuant to this Ordinance. 

ARTICLE XV: AMENDMENT OF ORDINANCE

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

any such amendment or repeal shall be effective upon the date of the General Council’s decision, 

unless otherwise determined by the General Council. 

ARTICLE XVI: 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. 

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 001

Licensing and Background Investigation Procedures

I. Purpose

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

Commission (the “Commission”) when conducting background investigations and issuing 

licenses in connection with the Gaming Facility operated on the Pauma-Yuima Reservation 

pursuant to the Tribe’s Gaming Ordinance. 

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 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.

III. 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 paragraphs A - F below:

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

officials, employed by the Gaming Operation operated under the Gaming 

Ordinance;

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

Compact and, at the Commission’s discretion, other vendors who provide, or are 

likely to provide at least twenty-five thousand dollars ($25,000.00) in goods or 

services in any 12-month period;

C. Financial sources required to be licensed under Subsection 6.4.6 of the Compact;

D. The Gaming Facility where class II or class III gaming is conducted under the 

Gaming Ordinance;

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E. Labor unions and representatives of labor unions who are granted access to the 

Tribe’s Gaming Facility or employees; 

F. Any other persons whose job duties or scope of work require or authorize them to 

have access to non-public areas of the Tribe’s Gaming Facility, whether or not 

such persons are employed by the Tribe or Gaming Operation, unless such person 

remains under the escort of a licensee or is a Tribal official who has cleared a 

background check as a condition of holding his/her position and is present in such 

area as part of his/her official duties; and

G. Any other person determined by resolution of the Business Committee to require 

licensing.

IV. Powers and Responsibilities

The Commission has the following powers and responsibilities:

A. To conduct or cause to be conducted background investigations;

B. To receive, directly or through its agents, State summary criminal history 

information, as defined in Subsection 11105(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;

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

Gaming Ordinance;

D. To review and approve the investigative work done;

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

F. To forward license 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;

G. To make eligibility determinations in accordance with Section IX of this 

Regulation; 

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

provisions of this Regulation; and

I. 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, was revoked, or was denied.

V. Scope of Background 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 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. The minimum procedures for conducting background investigations on 

applicants for licenses are as follows:

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

Bureau of Investigations and the California Department of Justice;

B. Civil history check;

C. Financial and credit check;

D. Reference check;

E. Previous business and employment check;

F. Relative check;

G. Business and personal associates check; 

H. Fingerprint check; and

I. Educational verification.

VI. Cooperation

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.

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VII. Fingerprinting

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 NIGC 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, unless the third party has consented in writing to the disclosure of such 

information.

IX. Eligibility 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, 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 associations 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

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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 any Tribal, Federal, or State laws, or possesses knowledge that such 

violation has occurred upon any premises occupied or operated by any such 

person or over which he or she has/had substantial control;

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

cause any person or entity to violate any Tribal, Federal, or State laws or the 

provisions of the Compact;

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

concealment, or through inadvertence or mistake;

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, Federal, or 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 unlawfully influencing a public official or 

employee of a Tribal, Federal, or State 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,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 willful disregard for compliance with a 

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

issued by any Tribe, State, 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 (14) days of the request for the information.

X. Privacy 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:

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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 granted a gaming license. The information will be 

used by the Pauma Gaming Commission, the State Gaming Agency, and the 

National Indian Gaming Commission members and staff who have need for the 

information in the performance of their official duties. The information may be 

disclosed by the Tribe, the NIGC or the State Gaming Agency 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 issuance, denial or 

revocation of a gaming license, or investigations of activities while associated 

with a tribe or a gaming operation. Failure to consent to the disclosures indicated 

in this notice will result in a tribe's being unable to license you for a position 

requiring a gaming license. 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 Regarding 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 of your application may be grounds 

for denying a license or the suspension or revocation of a license. 

Also, you may be punished by fine or imprisonment.

(U.S. 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 

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

XII. Required Information - General

A. The Commission shall request from each applicant all of the following 

information:

1. Full name, other names used (oral or written), social security number(s), 

birth date, place of birth, citizenship, gender, and all languages (spoken or 

written);

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

positions held, ownership interests in those businesses, business and 

residence addresses, and driver’s license number;

3. 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 subparagraph A(2)

of this Section;

4. Current business and residence telephone numbers;

5. A description of any existing and previous business relationships with 

Indian tribes, including ownership interests in those businesses;

6. A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those 

businesses;

7. 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;

8. 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;

9. For each misdemeanor conviction or ongoing misdemeanor prosecution 

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

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

disposition;

10. 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 

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date of the application and is not otherwise listed pursuant to paragraph 8

or 9 of this Section, the criminal charge, the name and address of the court 

involved, and the date and disposition;

11. 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;

12. A current photograph;

13. Any other information the Commission deems relevant; and 

14. Fingerprints consistent with procedures adopted by the Commission 

according to 25 C.F.R. § 522.2(h).

B. If, in the course of a background investigation, the Commission discovers that the 

applicant has a notice of results on file with the NIGC or State Gaming Agency from a 

prior investigation, and the Commission has access to the earlier investigation materials 

(either through a Tribal investigative body, the NIGC, or the State Gaming Agency), the 

Commission may rely on those materials and update the investigation and investigative 

report under Section XIV, subparagraph (B)(1) of this Regulation.

XIII. Required Information - Business Entities

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

Commission shall request from an applicant that is a business entity or labor union 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 (10%) 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 

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

1. the start-up capital;

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

3. a combination thereof; and

F. With respect to labor unions, each of the officers and other executive board 

members of the union, each of the officers and other executive board members of 

any local chapter(s) that seeks to serve the employees of the Tribe’s Gaming 

Operation, and any union organizer or other individual who will have onreservation access to the Tribe’s Gaming Facility or its employees.

XIV. Reporting to NIGC

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

Operation authorized by the Gaming Ordinance, the Commission shall maintain a 

complete application file containing the information listed under Section XII of 

this Regulation. 

B. Before issuing a license to a primary management official or a key employee, the 

Commission shall:

1. Create and maintain an investigative report on each background 

investigation, which shall include all of the following:

(a) Steps taken in conducting a background investigation;

(b) Results obtained;

(c) Conclusions reached; and

(d) The bases for those conclusions.

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

the Commission no later than sixty (60) days after the applicant begins 

work, which shall contain the following:

(a) Applicant’s name, date of birth, and social security number;

(b) Date on which applicant began or will begin work as a key 

employee or primary management official;

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(c) A summary of the information presented in the investigative 

report, which shall at a minimum include a listing of:

i. Licenses that have previously been denied;

ii. Gaming licenses that have been revoked, even if 

subsequently reinstated;

iii. Every known criminal charge brought against the applicant 

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

iv. Every felony of which the applicant has been convicted or 

any ongoing prosecution; and

(d) A copy of the eligibility determination made under Section IX of 

this Regulation.

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

issued to an applicant, the Commission shall notify the NIGC of the issuance 

within thirty (30) days of the issuance.

D. 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 forward 

copies of its eligibility determination and notice of results, under subparagraph 

B.2 of Section XIV of this Regulation, to the NIGC for inclusion in the Indian 

Gaming Individuals Records System.

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

Commission shall retain applications for licensing, investigative reports, and 

eligibility determinations for inspection by the Chair of the NIGC or his or her 

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

employment.

XV. Reporting to State Gaming Agency

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; 

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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. 

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. After the Commission has 

provided a notice of results to the NIGC in accordance with Section XIV, 

subparagraph (B)(2), the Commission may license a primary management official 

or key employee. If the Commission receives a request for additional information 

from the Chair of the NIGC concerning a key employee or a primary management 

official who is the subject of a notice of results, and the request was sent within 

thirty (30) days of the NIGC’s receipt of the notice of results, the Commission 

shall provide the additional information requested to the Chair. 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 a notice of results 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 

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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 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 the Gaming Facility, 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 the Gaming Facility. 

Verification that this requirement has been met will be provided by the 

Commission to the State Gaming Agency every two (2) years. 

B. The Gaming Facility license issued by the Commission shall also serve as a 

certificate of occupancy. Accordingly, before issuing a Gaming Facility license, 

the Commission shall determine and certify that the Gaming Facility meets the 

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Tribe’s building and safety code, as set forth in Gaming Regulation 003, Building 

and Safety Standards.

C. The Gaming Facility license shall be posted in a conspicuous and public place in 

the Gaming Facility at all times.

XX. Gaming Resource Suppliers

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 Facility. 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 further 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 

 

A. Subject to paragraph E of this Section, any person or entity extending financing, 

directly or indirectly, to the Tribe's Gaming Operation (“Financial Source”) shall 

be licensed by the Commission prior to extending that financing. 

B. A license issued under this Section shall be reviewed at least every two (2) years 

for continuing compliance. In connection with such a review, the Commission 

shall require the Financial Source to update all information provided in the 

previous application. For purposes of paragraph B of Section XXIV of this 

Regulation, such a review shall be deemed to constitute an application for 

renewal. 

C. 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 

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

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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. 

D. 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, and need not be separately licensed as a financial 

source under this section. 

E. The Commission may, at its discretion, exclude from the licensing requirements 

of this Section, under the circumstances stated, financing provided by:

1. a Federally-or State-regulated bank, savings and loan, or other 

Federally- or State-regulated lending institution; 

2. an entity identified by Regulation CGCC-2, subdivision (f) (as in effect on 

July 1, 2004) of the California Gambling Control Commission, when an 

entity is a financial source solely by reason of being: 

(a) a purchasor or holder of debt securities issued directly or indirectly 

by the Tribe for a Gaming Facility or by the Gaming Operation; or

(b) the owner of a participation interest in any amount of indebtedness 

for which a financial source described in subparagraph E.1.a is the 

creditor;

3. an agency of the Federal, State, or County government providing 

financing, together with any person purchasing any debt securities of the 

agency to provide such financing; or

4. an investor who, alone or in conjunction with any person controlling, 

controlled by or under common control with such investor, holds less than 

ten percent (10%) of all outstanding debt securities issued directly or 

indirectly by the Tribe for the Gaming Facility or Gaming Operation;

F. The following are not financial sources for the purposes of this Section:

1. an entity identified by Regulation CGCC-2, subdivision (h) (as in effect on 

July 1, 2004) of the California Gambling Control Commission; and

2. a person or entity whose sole connection with a provision or extension of 

financing to the Tribe is to provide loan brokerage or debt servicing for a 

financial source at no cost to the Tribe or the Gaming Operation, provided 

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that no portion of any financing provided is an extension of credit to the 

Tribe or the Gaming Operation by that person or entity.

XXII. Denial, Revocation, and Suspension of License

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

following:

A. 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, in which case 

suspension, revocation, or denial of a license is mandatory;

B. 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;

C. 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 

Tribal, Federal, or State laws;

D. The licensee has been convicted of a felony offense, in which case suspension, 

revocation or denial of a license is mandatory, unless:

1. the licensee is a Tribal member, in which case such a conviction is not an 

absolute bar to licensing; or

2. the licensee has had his/her felony conviction expunged or reduced to a 

misdemeanor conviction, in which case such a conviction is not an 

absolute bar to licensing;

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

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

F. The Commission has reason to believe that the licensee is involved in any theft, 

misappropriation, misuse, or abuse of Tribal assets;

G. The licensee engages in any conduct that brings discredit to the Tribe’s Gaming 

Operation, or interferes with the normal operation of the Tribe’s Gaming Facility;

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

gaming license application; or

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

(14) days of the date of the initial request. 

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XXIII. Due Process

The 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 suspension or pending revocation must be given to the 

applicant or licensee ten (10) days in advance of the proposed action, including 

notice of the licensee’s right to a hearing and opportunity to be heard and present 

evidence or witnesses prior to the suspension or revocation;

B. Such written notification shall include: 

1. the reasons for the proposed action; 

2. a copy of the investigative report on which the Commission based its 

decision, provided the Commission will have the discretion to redact 

information needed to protect the identity of certain individuals in 

exceptional circumstances where the Commission has reasonable cause to 

believe that individual may be at risk of retaliatory action if his or her 

identity is revealed; 

3. a summary of any other evidence upon which the Commission based its 

decision and information concerning the applicant’s or licensee’s option to 

view the evidence at the Commission’s offices at some mutually 

convenient time in advance of the hearing; 

4. information concerning the applicant’s or licensee’s right to a hearing; 

5. the date, time, and place for the hearing; and 

6. the admonition 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 applicant or 

licensee shall be notified of the ruling in writing within three (3) days of the 

ruling. If the ruling is to suspend or revoke a license, the notice shall also include:

1. notification of the licensee’s ability to file a petition with the Commission 

for reconsideration within fifteen (15) days of the receipt of the notice if 

new evidence becomes available to the applicant or licensee that was 

previously unavailable or unknown or the relevance of which could not 

have been anticipated by the applicant or licensee based on the 

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information provided to the applicant or licensee by the Commission prior 

to the hearing; and

2. information on any further right of appeal to the Gaming Appellate Board 

under Section V of Gaming Regulation 013, Gaming Appellate Board. 

D. If the applicant or licensee files a petition for reconsideration within fifteen (15) 

days of receipt of the written notification described in the preceding paragraph, 

the Commission shall review any additional information submitted by the 

applicant or licensee with the petition and notify him or her in writing of its 

decision and any further right of appeal to the Gaming Appellate Board under 

Section V of Gaming Regulation 013, Gaming Appellate Board. 

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

license without advance notice and without a prior hearing if, in the opinion of the 

Commission, the continued licensing of the person:

1. poses an immediate threat to the integrity of the Tribe’s gaming 

operations;

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

3. may violate the Commission’s licensing or other gaming standards.

F. In the event the Commission suspends or revokes a license under paragraph E of 

this Section, the Commission shall so notify the licensee in writing within three 

(3) days of that action. The notice shall include the information set forth in 

paragraph B of this Section, as well as notice of the licensee’s right to a hearing 

and an opportunity to be heard and to present evidence or witnesses in order to 

contest the Commission’s action. The procedure for such hearing shall be as 

prescribed in paragraphs C and D of this Section.

XXIV. Duration and Renewal

A. All regular licenses shall be issued for a specified period not to exceed two (2) 

years from the date of issue. However, when a licensee’s employment with the 

Tribe’s Gaming Operation is terminated, either voluntarily or involuntarily, his or 

her license shall be deemed to expire on the last day of his or her employment 

without further action by the Commission, unless the grounds for the individual’s 

termination are also grounds for suspension and revocation of the individual’s 

license under Section XXII of this Regulation, in which case the Commission 

retains the discretion to suspend and revoke the license in accordance with 

Section XXIII of this Regulation.

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B. 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. 

C. 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 

the Gaming Facility, the Commission shall provide verification to the State 

Gaming Agency that it has reviewed and, if appropriate, renewed the Gaming 

Facility’s license. 

XXV. Vendor Registration

A. General

Notwithstanding paragraph B of Section III of this Regulation, the Commission may 

establish and implement a streamlined registration process in lieu of the licensing process set 

forth in this Regulation for vendors who are not “gaming resource suppliers” within the meaning 

of Subsection 2.12 of the Compact and who provide or are likely to provide less than one 

hundred thousand dollars ($100,000.00) in goods or services within any 12-month period. The 

Commission shall develop an application form for such vendor registrations. Each vendor 

registration shall be reviewed at least every two (2) years by the Commission, and the vendor 

shall be required to update all information provided in the previous vendor registration 

application. 

B. Rejection of Application or Withdrawal of Approval

The Commission is authorized to reject a vendor registration application or to withdraw 

approval of a vendor registration if the Commission has reason to believe that the vendor would 

not meet the eligibility requirements set forth in Section IX of this Regulation or that any of the 

grounds set forth in Section XXII of this Regulation exist. In the event of such a withdrawal, the 

Commission will afford the applicant the procedural due process rights set forth in Section XXIII 

of this Regulation. The Commission’s decision to withdraw approval of an application will be 

treated as a licensing decision for the purposes of determining the applicant’s right to review of 

the Commission’s decision under subparagraph B.1 of Section IX of Gaming Regulation 012, 

Pauma Gaming Commission, and paragraph B of Section III and paragraph A of Section V of 

Gaming Regulation 013, Gaming Appellate Board.

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085
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1

Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 002

Procedures for Resolving Gaming-Related Patron Disputes

I. Purpose

This Regulation describes the procedures and guidelines to be followed by the Pauma

Gaming Commission (the “Commission”) when processing patron disputes over the play or 

operation of any game, including any refusal to pay a patron any alleged winnings from any 

gaming activities. This Regulation is adopted to satisfy the Tribe’s obligation under Subsection 

8.1.10(d) of the Compact between the Tribe and the State of California (“the Compact”).

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its regulations (25 C.F.R. § 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. In this Regulation:

A. “Days” means calendar days;

B. “Complaint” means a dispute regarding the play or operation of any game made 

by a patron to a Gaming Operation employee, including any refusal to pay a 

patron any alleged winnings from any gaming activities;

C. “Patron” means an individual who uses the services offered at the Gaming 

Facility or by the Gaming Operation; and

D. “Seven Days” means seven (7) twenty-four (24) hour periods, or one hundred 

sixty-eight (168) hours, from the exact moment of the disputed play or operation. 

For example, if the disputed play or operation occurs at 3:00 p.m. Sunday, the 

complaint must be made by 2:59 p.m. the following Sunday.

III. Scope of Application

A. This Regulation applies solely to patron complaints made to personnel of the 

Gaming Operation within seven (7) days of the disputed incident. Any such 

complaint made after seven (7) days is barred and not subject to further review. 

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Nothing herein shall be construed as prohibiting the Gaming Operation’s 

management from attempting to resolve said complaints by providing the patron 

“comps” as they see fit.

B. This Regulation applies to patron complaints concerning class II and class III 

gaming activities, except that Section VII does not apply with respect to 

complaints concerning class II gaming activities. Decisions of the Commission 

made pursuant to Section VI in regards to complaints about class II gaming 

activities shall be final and not subject to further review.

IV. Notice

A. The Gaming Operation shall post signs in the public areas of the Gaming Facility

where gaming activities occur, informing patrons that any complaint should be 

brought to the attention of supervisory personnel immediately and that failure to 

do so within seven (7) days of the disputed incident will result in forfeiture of any 

claim. The locations and content of the signs shall be subject to prior approval of 

the Commission.

B. When a patron makes a complaint to personnel of the Gaming Operation within 

seven (7) days of the disputed incident, the Gaming Operation shall immediately 

notify an on-duty agent of the Commission and such patron shall be advised in 

writing of his or her right to request resolution of the complaint by the 

Commission, as provided for below. Such written notice shall include the mailing 

address and telephone number of the Commission and also advise the patron that:

1. The patron must make their request for resolution within fifteen (15) days 

of the date the complaint was initially made; 

2. A request for resolution must be in writing and include a summary of the 

complaint, the date of the incident, the name or title of the employee the 

complaint was first made to, and the name, phone number and address of 

the patron; and

3. Decisions of the Commission are final and not subject to further review.

V. Documentation

A. The Gaming Operation shall adopt and implement policies and procedures, which 

shall be consistent with industry standards, for documenting any incidents that 

may give rise to a patron complaint under this Regulation, and ensure that gaming 

employees are properly trained in carrying out patron dispute investigations. 

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3

Such policies and procedures shall include the development of a patron dispute 

checklist for slot technician personnel, which checklist shall include, at a 

minimum, immediate securing of the gaming device to preserve vital game 

history and other information, reel strip testing, payable testing, and any other 

testing reasonably necessary to determine if the gaming device was functioning 

properly at the time of the disputed incident. The Gaming Operation shall submit 

such policies and procedures and checklist, or any amendments thereto, to the 

Commission for review and approval prior to their implementation.

B. The Gaming Operation shall provide copies of such incident reports to the 

Commission at the request of the Commission.

C. The Commission shall adopt and implement policies and procedures for saving 

any surveillance tape of the incident until the patron has exhausted the remedies 

provided for in this Regulation. Nothing herein shall require the Commission to 

save surveillance tapes beyond seven (7) days when no complaint has been made 

to personnel of the Gaming Operation within seven (7) days. 

VI. Commission Resolution of Dispute

A. Except as provided in paragraph B of this Section, upon request by the patron for 

a resolution of his or her complaint, the Commission shall:

1. Conduct an investigation;

2. Provide to the patron a copy of this Regulation;

3. Render a decision consistent with federal gaming standards; and

4. Issue a decision within sixty (60) days of the patron’s request, in writing, 

based on the facts surrounding the dispute and setting forth the reasons for 

the decision.

B. When the patron who is requesting resolution of his or her complaint is an 

immediate family member of a Commissioner, the Business Committee shall 

perform the role and responsibilities of the Commission as set forth in paragraph 

A of this Section. For purposes of this Section, “immediate family member” 

means parents, spouse, siblings, and offspring.

C. Decisions of the Commission are final and not subject to further review.

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4

VII. Confidentiality

The identities of the parties and the nature of the dispute shall remain confidential, unless 

confidentiality is waived by both parties after resolution.

VIII. 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 Gaming Operation, the Commission, or any employee of the Gaming Operation, 

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

X. Liability - General

Except as provided for in this Regulation, neither the Tribe, the Gaming Operation, the 

Commission, , nor any employee or agent thereof, shall be liable to any person disputing the play 

or operation of any game, including any refusal to pay a patron any alleged winnings from any 

gaming activities, notwithstanding any provision of the Compact.

XI. Effective Date

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

and such approval shall be deemed retroactive to September 2, 2004. Any amendments to this 

Regulation shall take effect upon their adoption by the General Council, unless otherwise 

specified by the General Council.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 003

Building and Safety Standards

I. Purpose

This Regulation describes the building and safety standards applicable to the Tribe’s

Gaming Facility. This Regulation is adopted to satisfy the Tribe’s obligation under Subsections

6.4.2(b)-(d) of the Compact between the Tribe and the State of California (“the Compact”) and 

assures the protection of the health and safety of all Gaming Facility patrons, guests, and 

employees. 

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its regulations (25 C.F.R. § 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. In this Regulation:

A. “Applicable Codes” means codes specified in Paragraph A of Section IV of this 

Regulation;

B. “State Designated Agency” means the Department of General Services; and

C. “Title 24 of the California Code of Regulations” means the most current edition 

of the California Building Standards Code adopted by the California Building 

Standards Commission. 

III. Scope of Application

This Regulation applies solely to the construction, expansion, modification or renovation 

of the Gaming Facility on the Pauma-Yuima Reservation (“Covered Gaming Facility 

Construction”).

IV. Adoption of the California Building Code and the Public Safety Code

A. Subject to the modifications set forth in this Regulation, there is hereby adopted 

by reference by the Tribe, the California Building Standards Code (“CBSC”) and 

the Public Safety Code (“PSC”) applicable to the city or County in which the 

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Gaming Facility is located as set forth in Titles 19 and 24 of the California Code 

of Regulations (“CCR”), as those regulations may be amended during the term of 

the Compact, including but not limited to codes for building, electrical, energy, 

mechanical, plumbing, fire, and safety; 

1. Reference to or adoption of Applicable Codes is not intended to confer 

jurisdiction upon the State or its political subdivisions;

2. Modification of Terms. The terms “building official” and “code 

enforcement agency” as used in Title 19 and 24 of the CCR mean the 

Pauma Gaming Commission (“the Commission”) or such other Tribal 

government agency or official as may be designated in the future by 

resolution of the General Council; and

3. Notwithstanding the foregoing, the Tribe need not comply with any 

standard that specifically applies in name or in fact only to Tribal 

facilities.

B. One (1) copy of the CBSC and PSC will be on file and open for inspection by 

Tribal members, their contractors, and contractors hired by the Tribe at the Tribal 

administration offices.

V. Compliance Assurance - Inspections

A. In order to assure compliance with the Applicable Codes, in cases where said 

codes would otherwise require a permit, the Tribe shall employ for any Covered 

Gaming Facility Construction the following persons, who shall hereinafter be 

referred to as “Inspector(s)”:

1. Appropriate plan checkers or review firms that either are California 

licensed architects or engineers with relevant experience or are on the list, 

if any, of approved plan checkers or review firms provided by the city or 

County in which the Gaming Facility is located; and 

2. Project inspectors that have been either approved as Class 1 certified 

inspectors by the Division of the State Architect or approved as Class A 

certified inspectors by the Office of Statewide Health Planning and 

Development or their successors. 

B. The Tribe shall require the Inspector(s) to conduct inspections when such 

inspections are required under Section 108 of the CBSC.

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C. The Tribe shall provide reasonable notice of each inspection by an inspector 

required by Section 108 of the CBSC to the agent(s) designated by the State 

Designated Agency and to the Commission. Said State and Commission agents 

may accompany the Inspector on any such inspection. 

D. Said Inspector(s) must report in writing any failure to comply with the Applicable 

Codes to the Commission and the State Designated Agency. The Tribe shall 

correct any Gaming Facility condition noted in above mentioned inspections that 

does not meet the Applicable Codes (hereinafter “deficiency”). 

E. The Commission shall forward the Inspector’s final certification that a Gaming 

Facility meets Applicable Codes to the State Designated Agency within ten (10) 

days of issuance of said certification.

F. If the State Designated Agency objects to the final certification, the Tribe shall 

make a good faith effort to address the State’s concerns, but if the State 

Designated Agency does not withdraw its objection, the matter will be resolved in 

accordance with the dispute resolution provisions of Section 9.0 of the Compact.

VI. Required Documentation

In all cases where the Applicable Codes would otherwise require a plan check, the Tribe 

requires those responsible for any Covered Gaming Facility Construction to provide the 

documentation set forth below:

A. Design and construction calculations, and plans and specifications that form the 

basis for the planned Covered Gaming Facility Construction (the “Design and 

Building Plans”) shall be provided to the Commission within fifteen (15) days of 

their completion.

B. In the event that material changes to a structural detail of the Design and Building 

Plans will result from contract change orders or any other changes in the Design 

and Building Plans, such change orders or other changes shall be provided to the 

Commission within five (5) days of the execution or approval of such changes.

C. During construction, all other contract change orders shall be maintained by the 

Tribe for inspection and copying by the Commission upon their request at the 

requester’s expense.

D. Design and Building Plans shall be maintained by the Tribe for the term of the 

Compact.

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VII. Fire Suppression, Protection, and Safety

A. The Tribe will take all necessary steps to:

1. Reasonably ensure the ongoing availability of sufficient and qualified fire 

suppression services to the Gaming Facility; and

2. Reasonably ensure that the Gaming Facility satisfies all requirements of 

Title 19 of the CCR applicable to similar facilities in the city or County in 

which the Gaming Facility is located. 

B. The Gaming Facility shall be inspected, for the purposes of certifying that the 

Gaming Facility meets a reasonable standard of fire safety and life safety. Such 

inspection shall:

1. Be at the Tribe’s expense;

2. By a Tribal official, if any, who is responsible for fire protection on the 

Tribe’s lands, or by an independent expert;

3. No later than November 1, 2004, and not less than every two (2) years 

thereafter; and

4. Upon at least ten (10) days notice to the Commission.

C. Within fifteen (15) days of the inspection, the Tribal official or independent 

expert shall issue a report on the inspection, identifying any deficiency in fire 

safety or life safety at the Gaming Facility or on the ability of the Tribe to meet 

reasonably expected fire suppression needs of the Gaming Facility. Upon 

delivery of the report to the Tribe, a copy of the report shall be served on the 

Commission.

D. Within fifteen (15) days after the issuance of the report, the Tribal official or 

independent expert shall also require and approve a specific plan for correcting 

deficiencies, whether in fire safety at the Gaming Facility or in the Tribe’s ability 

to meet the reasonably expected fire suppression needs of the Gaming Facility.

E. Immediately upon correction of all deficiencies identified in the report, the Tribal 

official or independent expert shall certify in writing to the Commission that all 

previously identified deficiencies have been corrected.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation 

Gaming Regulation 004

Third Party Injuries

I. Purpose

This Regulation sets forth the terms and conditions under which third parties may pursue 

claims for money damages resulting from property damage and personal injury arising out of, 

connected with, or related to the operation of the Tribe’s Gaming Facility. This Regulation is 

adopted to satisfy the Tribe’s obligation, under Subsection 10.2(d) of the compact between the 

Tribe and the State of California (“the Compact”), to enact Tribal law providing for the 

processing of such third party injury claims.

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its Regulations (25 C.F.R. § 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. 

In this Regulation:

A. “Days” means calendar days;

B. “Gaming Facility” includes the parking lot, special event venues, and related 

property; and

C. “Third party claims” means a claim, made by a third party, in conformance with 

the procedures set forth in this Regulation, for money damages resulting from 

property damage or personal injury arising out of, connected with, or related to 

the operation of the Gaming Facility, including, but not limited to, injuries 

resulting from entering onto the Tribe’s land for purposes of patronizing the 

Gaming Facility or providing goods or services to the Gaming Operation.

III. Scope of Application

This Regulation applies solely to third party claims as defined in Section II above. The 

Gaming Commission shall play no direct role in the third party claim process except insofar as it 

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is responsible for providing incident reports, surveillance footage, and/or other information to the 

Business Committee, its designee, and/or the Tribe’s Insurance Company as needed.

IV. Commercial General Liability Insurance Policy

The Tribe shall carry no less than five million dollars ($5,000,000.00) per occurrence in 

commercial general liability insurance for third party claims. At its discretion, the General 

Council may delegate this requirement to the Gaming Operation.

V. Due Diligence

In cooperation with the company providing the Tribe with the commercial general 

liability insurance referred to in Section IV of this Regulation (“the Insurance Company”), and 

subject to the limits of the commercial general liability insurance policy, the Tribe shall exercise 

due diligence to ensure that third party claims are promptly and fairly adjudicated and that 

legitimate claims are paid. 

VI. Incident Reports

The Gaming Operation shall implement policies and procedures for recording any 

incidents that may give rise to a third party claim, and for providing written notice of the Tribal 

Dispute Resolution Process to all individuals who may have suffered a third party injury during 

such incidents. Whenever possible, such notice shall be provided to the individual at the time of 

the incident. When the individual was not personally served in this manner, the notice must be 

served as soon as possible by certified or registered mail, return receipt requested, on the 

claimant. Such notices shall prominently display the ninety-day (90-day) period on the front 

page of the notice and state that the claimant is required to first exhaust the Tribal Dispute 

Resolution Process and if dissatisfied with the resolution may be entitled to arbitrate his or her 

claim, at the discretion of the Business Committee.

VII. Tribal Dispute Resolution Process

A. The third party allegedly suffering the injury to person or property must present 

his or her claim, in accordance with Section VIII of this Regulation, within ninety 

(90) days of the injury, to the Business Committee. 

B. The Business Committee shall promptly forward a copy of the third 

party’s claim to the Gaming Operation and review the claim in consultation with 

the Gaming Operation to determine if the Gaming Operation should first attempt 

to settle the claim for an amount up to five-thousand dollars ($5,000.00). If 

settlement is not attempted or fails, the Business Committee shall forward a copy 

of the third party claim to the Insurance Company for processing.

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C. The Tribe, or its Insurance Company, may consider, ascertain, adjust, 

determine, compromise, and settle any claim presented under this Regulation. 

The offer of a compromise or settlement shall not be construed as or constitute 

evidence of an admission of liability or the amount of damages by the Tribe. The 

acceptance by a third party of any such award, compromise, or settlement shall be 

final and conclusive on the claimant, and shall constitute a complete release of 

any claim against the Tribe and against the agent, employee, or officer of the 

Tribe whose act or omission gave rise to the claim, by reason of the same subject 

matter.

D. A third party may request resolution of his or her claim directly by the 

Tribe in accordance with the Process outlined in Section X of this Regulation only 

after exhausting the Tribal Dispute Resolution Process without reaching a 

settlement of the claim.

VIII. Content of Claim

A. To be considered a valid claim, a third party claim must include the 

following:

1. The name and address of the third party and the third 

party’s attorney, if any;

2. The address to which the person presenting the claim 

desires notices to be sent;

3. A concise statement of the factual basis of the claim, 

including the date, place, and other circumstances of the occurrence or 

transaction which gave rise to the claim asserted; 

4. A general description of the indebtedness, obligation, 

injury, damage, or loss incurred so far as it may be known at the time of 

presentation of the

claim, including the evidence required under paragraph B or C of this 

Section below;

5. The name or names of the Tribal employee or employees 

causing the injury, damage, or loss, if known;

6. The amount claimed as of the date of presentation of the 

claim, including the estimated amount of any prospective injury, damage, 

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or loss, insofar as it may be known at the time of the presentation of the 

claim, together with the basis of computation of the amount claimed; and

7. The signature of the third party, or some person with 

personal knowledge of the claim on the third party’s behalf. 

B. In support of a claim for personal injury, the third party shall submit the 

following evidence or information:

1. A written report by the third party’s attending physician or 

dentist setting forth the nature and extent of the injury, nature and extent 

of treatment, degree of temporary or permanent disability, the prognosis, 

period of hospitalization, and any diminished earning capacity. In 

addition, the third party may be required to submit to a physical or mental 

examination by a physician selected by the Tribe or its Insurance 

Company;

2. Itemized bills for medical, dental, and hospital expenses 

incurred, or itemized receipts of payments for expenses;

3. If the prognosis reveals the necessity of future treatment, a 

statement of expected expenses for such treatment; 

4. If the claim is made for loss of time from employment, a 

written statement from the employer showing actual time lost from 

employment, whether the third party is a full- or part-time employee, and 

the wages or salary actually lost;

5. If the claim is for loss of income and the third party is selfemployed, documentary evidence showing the amounts of earnings 

actually lost; and

6. Any other evidence or information which may have a 

bearing on either the responsibility of the Tribe for personal injury or the 

damages claimed.

C. In support of a claim for injury to or loss of property, the third party shall 

submit the following evidence or other information:

1. Proof of ownership;

2. A detailed statement of the amount claimed with respect to 

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each item of property;

3. An itemized receipt of payment for necessary repairs or 

itemized written estimates of the cost of such repairs;

4. A statement listing date of purchase, purchase price, and 

salvage value, where repair is not economical; and

5. Any other evidence or information which may have a 

bearing on either the responsibility of the Tribe for the injury to or loss of 

property or the damages claimed.

D. For claims involving equal to or less than five-thousand dollars ($5,000.00) the 

Business Committee may, in its discretion, require less information or less formal 

information or evidence than that required above.

IX. Limited Waiver of Sovereign Immunity

A. Except as stated in this Section, the sovereign immunity of the Tribe is in no 

manner waived by this Regulation or by any action by the Gaming Operation or 

the Business Committee or employees of the Gaming Operation or the Tribe 

acting pursuant to this Regulation. In the event the Business Committee grants a 

request for arbitration in accordance with Section X of this Regulation and the 

patron is successful in obtaining an arbitration award, the Tribe hereby consents 

to waive its sovereign immunity from suit for the limited and sole purpose of 

enforcing the arbitration award provided that:

1. The suit must be brought by the third party allegedly suffering the injury 

to person or property and not by any representative, agent, partner or other 

entity of or connected with the third party, or by any other person, 

corporation, partnership, or entity;

2. The third party allegedly suffering the injury to person or property must 

have followed all claims procedures established by the Tribal Dispute 

Resolution Process and by the Insurance Company; 

3. The suit must be an action to enforce the arbitration award and the relief 

sought limited to specific performance and any waiver granted pursuant to 

this Section shall not be effective as to any third parties or other persons 

seeking monetary damages, declaratory relief, injunctive relief and/or any 

other forms of relief other than such specific performance; 

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4. The arbitration process and award must be consistent with the rules 

specified in Section X of this Regulation and the limitations specified in 

Section X of this Regulation;

5. The suit must be brought in the Intertribal Court of Southern California or 

other Tribal Court designated by the Tribe as having jurisdiction over such 

suits; and

6. Any decision of the Tribal Court’s trial court shall not be subject to further 

appeal or review by the Tribal Court’s appellate court or any other court.

X. Dispute Resolution

A. A patron who exhausts the claims processes of the Insurance Company and the 

Gaming Operation without reaching a settlement of his or her claim may request 

arbitration of his or her claim. The patron allegedly suffering the injury to person 

or property must submit a request for arbitration in writing to the Business 

Committee. The patron’s request must be accompanied by copies of the patron’s 

initial claim and any correspondence between the Insurance Company and the 

patron and between the Gaming Operation and the patron. The request must be 

submitted to the Business Committee within thirty (30) days from the date on 

which the patron receives the later of the final decisions from the Insurance 

Company and the Gaming Operation. Unless otherwise provided for in the terms 

of the Tribe’s public liability insurance policy or the written policies and 

procedures of the Gaming Operation, the Insurance Company or the Gaming 

Operation shall be deemed to have made a final decision upon confirming in 

writing its denial of the patron’s claim or its rejection of a settlement offer or 

counteroffer by the patron.

B. The Business Committee shall have sixty (60) days to either grant or deny the 

request for arbitration during which time defense counsel shall be invited to

present an overview of the claim, including facts, evidence, damages, and merits, 

at a duly held meeting of the Business Committee with a quorum present. If the 

Business Committee fails to grant or deny the request for arbitration within sixty 

(60) days, the request shall be deemed to have been denied. The Business 

Committee shall notify the patron in writing of its decision and the reasons for its 

decision by registered mail with return receipt requested. A notice of a decision 

granting a request for arbitration shall include information on the negotiation and 

arbitration process set out below, including the date, time, and place for the initial 

negotiation meeting.

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C. If the Business Committee grants the patron’s request for arbitration, the patron 

and the Business Committee shall first meet and confer in a good faith attempt to 

resolve the dispute through negotiation not later than fourteen (14) days after the 

patron receives the notice of the Business Committee’s decision to grant the 

request for arbitration, unless both parties agree in writing to an extension of time.

D. If the dispute is not resolved to the satisfaction of the patron within thirty (30) 

days after the first meeting, the dispute shall be submitted to mandatory binding 

arbitration.

E. Arbitration shall be administered by the American Arbitration Association in 

accordance with its Accident Claims Arbitration Rules. Each party shall initially 

pay its own arbitration costs and expenses, but the arbitrator may, in its discretion, 

include such costs and expenses, excluding attorney fees, as part of the award to 

the prevailing party. 

F. In no event shall an award in an arbitration initiated under this Section exceed the 

limitations of the public liability insurance policy purchased by the Tribe in 

conformance with this Regulation, and an award must be consistent with all other 

terms and conditions of said insurance policy.

G. Any award of the arbitrator may be submitted for enforcement to a court of 

competent jurisdiction as specified in Section IX of this Regulation. In the event 

an action to enforce an arbitration award is pursued, the prevailing party shall be 

entitled to receive its reasonable attorneys’ fees and its costs and expenses of 

litigation.

XI. 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. 

XII. Sovereign Immunity

Except as provided in Section IX of this Regulation, 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.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 005

Mitigation of Off-Reservation Environmental Impacts

I. Purpose

This Regulation describes the procedures to be followed by the Tribe to mitigate the offreservation environmental effects of its Gaming Operation. This Regulation is adopted to satisfy 

the Tribe’s obligation under Section 10.8 of the Compact between the Tribe and the State of 

California (“the Compact”).

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its Regulations (25 C.F.R. § 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. 

In this Regulation:

A. “County” means the Board of Supervisors of San Diego County;

B. “environment” means the physical conditions which exist within the area which 

will be affected by a proposed Project, including land, air, water, minerals, flora, 

fauna, noise, and objects of cultural, historic, or aesthetic significance;

C. “environmental impact statement” means a detailed written statement on:

1. All significant off-reservation environmental impacts of the proposed 

Project;

2. Options for mitigating or minimizing the significant off-reservation 

environmental impacts of the proposed Project, whenever feasible; and

3. Any reasonable and feasible alternatives to the proposed Project;

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D. “any significant renovation or modification of an existing Gaming Facility” 

means a renovation or modification determined to be significant by the General 

Council after considering recommendations by the appropriate Tribal 

committee(s).

E. “negative declaration” means a written statement briefly describing the reasons 

that a proposed Project will not have a significant effect on the off-reservation

environment and does not require the preparation of an environmental impact 

statement;

F. “off-reservation” means a ten-mile (10-mile) radius around the Pauma-Yuima 

Reservation or such other area as the General Council deems appropriate in its 

sole discretion considering the proposed Project and the topography, 

demographics, quality of the environment, and other environmental conditions 

outside the boundaries of the Pauma-Yuima Reservation;

G. “Project” means the commencement, on or after the effective date of the 

Compact, of any expansion or any significant renovation or modification of an 

existing Gaming Facility, or any significant excavation, construction, or 

development associated with the existing Gaming Facility or proposed Gaming 

Facility, but does not include any preliminary planning activities for such 

projects, such as preliminary land surveys;

H. “Reservation” means all land, air, and water located within the exterior 

boundaries of the Pauma-Yuima Reservation;

I. “Significant Off-Reservation Environmental Effect(s)” means a substantial, or 

potentially substantial, adverse change in the off-reservation environment, where 

the determination of “substantial” requires consideration of both context and 

intensity, defined as follows:

1. “Context” means that the significance of an action must be analyzed in 

several contexts such as society as a whole, the affected region, the 

affected interests, and the locality. Significance varies with the setting of 

the proposed action. Both short- and long-term effects are relevant.

2. “Intensity” refers to the severity of impact. The General Council must bear 

in mind that more than one Tribal entity may make decisions about partial 

aspects of a major action. The following should be considered in 

evaluating intensity:

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a. Impacts that may be both beneficial and adverse. A significant effect 

may exist even if the General Council believes that on balance the 

effect will be beneficial.

b. The degree to which the proposed action affects public health or 

safety.

c. Unique characteristics of the geographic area such as proximity to 

historic or cultural resources, park lands, prime farmlands, wetlands, 

wild and scenic rivers, or ecologically critical areas.

d. The degree to which the effects on the quality of the human 

environment are likely to be highly controversial.

e. The degree to which the possible effects on the human environment 

are highly uncertain or involve unique or unknown risks.

f. The degree to which the action may establish a precedent for future 

actions with significant effects or represents a decision in principle 

about a future consideration.

g. Whether the action is related to other actions with individually 

insignificant but cumulatively significant impacts. Significance exists 

if it is reasonable to anticipate a cumulatively significant impact on the 

environment. Significance cannot be avoided by terming an action 

temporary or by breaking it down into small component parts.

h. The degree to which the action may adversely affect districts, sites, 

highways, structures, or objects listed in or eligible for listing in the 

National Register of Historic Places or may cause loss or destruction 

of significant scientific, cultural, or historical resources.

i. The degree to which the action may adversely affect an endangered or 

threatened species or its habitat that has been determined to be critical 

under the Endangered Species Act of 1973.

j. Whether the action threatens a violation of applicable Tribal, Federal, 

or State law or requirements imposed for the protection of the 

environment.

J. “State Clearinghouse” means the State Clearinghouse in the State Office of 

Planning and Research;

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K. “Tribal Environmental Impact Report (“TEIR”)” means a detailed written 

statement on:

1. All Significant Off-Reservation Environmental Effects of the proposed 

Project;

2. Options for mitigating or minimizing the Significant Off-Reservation 

Environmental Effects of the proposed Project, whenever feasible; and

3. Any reasonable and feasible alternatives to the proposed Project.

III. Scope of Application

This Regulation applies solely to a “Project” as defined in Section II above. 

IV. Environmental Impact Statement or Negative Declaration 

A. The General Council shall be responsible for determining whether an 

environmental impact statement or a negative declaration shall be required for any 

proposed Project which is the subject of this Regulation. 

B. The determination of the General Council shall be final and conclusive.

V. Negative Declaration

A. If the General Council determines that a proposed Project will not have a

significant impact on the off-reservation environment, a negative declaration shall 

be prepared for the proposed Project.

B. The General Council shall provide for public notice of the negative declaration by 

preparing a public notice briefly describing the proposed project, indicating that 

the negative declaration has been prepared, and the address where copies of the 

negative declaration are available for review. Public notice shall be accomplished 

in any one of the following ways:

1. Publication of the public notice for three (3) consecutive days in a 

newspaper of general circulation in the area potentially impacted by the 

proposed Project; or

2. Posting of the public notice in the area where the proposed Project is to be 

located.

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C. In preparing the negative declaration, the General Council may consult any person 

it deems appropriate and may hire any person with the necessary expertise to 

prepare the negative declaration. 

VI. Environmental Impact Statement

A. If the General Council determines that a proposed Project may have a significant 

effect on the off-reservation environment, the General Council shall collect, or 

cause to be collected, sufficient information to either:

1. Determine that the proposed Project will have a significant effect on the 

off-reservation environment, in which case the General Council shall 

prepare, or cause to be prepared, an environmental impact statement; or

2. Determine that the proposed Project will not have a significant effect on 

the off-reservation environment, in which case the General Council shall 

prepare, or cause to be prepared, a negative declaration and follow the 

provisions of Section V, above.

B. If the General Council determines that an environmental impact statement is 

required, the General Council shall prepare, or cause to be prepared, a draft 

environmental impact statement for public notice and comment in accordance 

with the procedures set forth in Section VII, below. 

C. Thereafter, the General Council shall prepare, or cause to be prepared, a final 

environmental impact statement, taking into account any comments received from 

the public.

VII. Circulation of Public Notice on Environmental Impact Statement

A. After the preparation of the draft environmental impact statement, the General 

Council shall provide for public notice of the proposed Project in any one of the 

following ways:

1. Publication of the public notice for three (3) consecutive days in a 

newspaper of general circulation in the area potentially impacted by the 

proposed Project; or

2. Posting of the public notice in the area where the proposed Project is to be 

located.

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B. The public notice shall specify: the period during which comments will be 

received on the draft environmental impact statement; where to send any 

comments on the draft environmental impact statement; the date, time, and place 

of any public meetings on the proposed Project; a brief description of the 

proposed Project; and the address where copies of the draft environmental impact 

statement are available for review.

VIII. Copies of the Environmental Impact Statement to Certain Public Agencies

A. In addition to the publication of the public notice required in section VII, above, 

the General Council shall submit the draft environmental impact statement, along 

with the public notice, to the State Clearinghouse in the Office of Planning and 

Research and the San Diego County Board of Supervisors for distribution to the 

public.

B. At the time of its completion, the General Council shall send a copy of the final 

environmental impact statement to the State Clearinghouse in the Office of 

Planning and Research and the San Diego County Board of Supervisors for 

distribution to the public.

IX. Consultation with Relevant Parties

A. The General Council shall consult with the San Diego County Board of 

Supervisors and, if requested by said Board, meet with the Board to discuss 

mitigation of significant adverse off-reservation environmental impacts.

B. The General Council shall be available to meet with and provide an opportunity 

for comment by those members of the public residing off-reservation within the 

vicinity of the Gaming Facility such as might be adversely affected by the 

proposed Project.

X. Consideration of the Environmental Impact Statement

A. The General Council shall consider the final environmental impact statement at 

the time of its decision on the proposed Project, including considering, where 

possible, alternatives to the proposed Project and options for mitigating or 

minimizing the significant off-reservation environmental impacts of the proposed 

Project.

B. If, in the General Council’s sole discretion, economic, social, cultural, 

environmental, or other factors make alternatives to the proposed Project or 

options for mitigating or minimizing the significant off-reservation environmental 

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impacts of the proposed Project infeasible, the General Council may nonetheless 

carry out or approve of the proposed Project as originally designed and proposed.

XI. Further Considerations During the Conduct of a Project

A. During the conduct of a Project, the General Council shall keep the San Diego 

County Board of Supervisors and potentially affected members of the public 

informed of the Project’s progress. For purposes of this section, “members of the 

public” shall mean members of the public residing off-reservation within the 

vicinity of the Gaming Facility such as might be adversely affected by the 

proposed project, unless otherwise requested and agreed to by the General 

Council.

B. During the conduct of a Project, the General Council shall make good faith efforts 

to mitigate any and all significant off-reservation environmental impacts.

XII. Delegation of Duties and Use of Contractors

A. In complying with this Regulation, the General Council may delegate the carrying 

out of the requirements under this Regulation to any authorized Tribal 

governmental body or Tribal staff.

B. In complying with this Regulation, the General Council may hire any 

environmental consultant or other appropriate person to assist in carrying out the 

requirements of this Regulation.

XIII. Effect of Regulation on Other Tribal Laws

This Regulation supersedes any conflicting or contrary superseding Tribal laws passed by 

the Tribe.

XIV. Sovereign Immunity

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

action of the Gaming Operation or the Business Committee or employee or agent of the Gaming 

Operation or the Tribe acting pursuant to this Regulation.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 006

Technical Standards for Gaming Devices and Other Electronic Devices

I. Purpose

This Regulation establishes the technical standards and testing requirements applicable to 

gaming devices used in connection with the Gaming Facility operated on the Pauma-Yuima 

Reservation. The purpose of these technical standards is to ensure that such gaming devices are 

fair, secure, and able to be audited and operated correctly. This Regulation is adopted in 

accordance with Section 8.1.14 of the compact between the Tribe and the State of California (the 

“Compact”), which requires the Tribe to adopt technical standards for class III gaming devices 

that are no less stringent than those standards approved by a recognized gaming testing 

laboratory in the gaming industry.

II. Interpretation

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

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

C.F.R. § 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 Ordinance, IGRA, or the Compact. 

B. In this Regulation, 

1. “class II gaming device” shall have the same meaning as the term “class III 

gaming system” defined in 25 C.F.R. § 547.3 and, where so indicated in the 

provisions of 25 C.F.R. Part 547, includes gaming equipment used with the play 

of class II gaming systems;

2. “class III gaming device” shall have the same meaning as the term “gaming 

device” defined in Section 2.6 of the Compact; and

3. “State Gaming Agency” means the California Gambling Control Commission

unless the State provides otherwise by written notice pursuant to Section 13.0 of 

the Compact.

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III. Applicable Standards

A. As allowable technical standards and specifications for class III gaming devices, 

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

technical standards developed by Gaming Laboratories International, Inc. 

(“GLI”).

B. As allowable technical standards and specifications for class II gaming devices, 

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

Technical Standards for Electronic, Computer, or other Technological Aids Used 

in the Play of Class II Games, 25 C.F.R. Part 547.

C. The Commission is hereby authorized to adopt, in consultation with the 

management staff of the Tribe’s Gaming Operation, additional GLI standards or 

other testing laboratories’ technical standards applicable to gaming devices or 

other electronic devices, provided that the standards specified in paragraphs A or 

B of this Section, as applicable, are also followed.

D. A copy of the abovementioned standards shall be kept on file at the offices of the 

Commission, available for inspection by Tribal members and other interested 

persons upon reasonable notice.

E. Nothing herein is intended to limit the authority of the Commission to apply for a 

variance from the requirements of 25 C.F.R. Part 547 in accordance with section 

547.17 of that Part.

IV. General

Any manufacturer, distributor, or supplier of gaming devices shall be required to comply 

with all provisions of this Regulation prior to putting any of their gaming devices in use at the

Gaming Facility. 

V. Gaming Device Requirements

A. No class III gaming device may be offered for play unless:

1. The manufacturer or distributor which sells, leases, or distributes such 

gaming device has applied for a finding of suitability by the State Gaming 

Agency at least fifteen (15) days before it is offered for play, has not been 

found to be unsuitable by the State Gaming Agency, and has been licensed 

by the Commission;

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2. The software for the game authorized for play on the gaming device has 

been tested, approved, and certified by an independent or State 

governmental gaming test laboratory (the “Gaming Test Laboratory”) as 

operating in accordance with the standards set out in Section III of this 

Regulation, and a copy of said certification is provided to the State 

Gaming Agency by electronic transmission or by mail unless the State 

Gaming Agency waives receipt of copies of certification;

3. The software for the game authorized for play on the gaming device is 

tested by the Commission to ensure that each game authorized for play on 

the gaming device has the correct electronic signature prior to insertion 

into the gaming device; and

4. The hardware and associated equipment for the gaming device has been 

tested by the Gaming Test Laboratory to ensure operation in accordance 

with the manufacturer’s specifications.

B. No class II gaming device may be offered for play unless it has been submitted to 

and tested by a Gaming Test Laboratory, and the test results approved by the 

Commission, in accordance with 25 C.F.R. § 547.4(c).

VI. Gaming Test Laboratory

A. The Gaming Test Laboratory used for class III gaming devices shall be an 

independent or State governmental gaming test laboratory recognized in the 

gaming industry which is competent and qualified to conduct scientific tests and 

evaluations of gaming devices, and is licensed or approved by any of the 

following states: Arizona, California, Colorado, Illinois, Indiana, Iowa, Michigan, 

Missouri, Nevada, New Jersey, or Wisconsin. 

B. The Gaming Test Laboratory used for class II gaming devices shall meet the 

criteria set forth in 25 C.F.R. § 547.4(f)(1). The Commission shall carry out the 

responsibilities set forth in 25 C.F.R. § 547.4(f)(2) relating to maintaining and 

disclosing records relating to its approval of the Gaming Test Laboratory and 

imposing notice requirements on the Gaming Test Laboratory. 

VII. Annual Audit

The Commission shall ensure that compliance with the provisions of Sections V and VI 

of this Regulation applicable to class III gaming devices is audited annually by an independent 

auditor. For purposes of this Section, an independent auditor shall be a certified public 

accountant and/or certified internal auditor who is not employed by the Tribe, the Commission, 

or the Gaming Operation, has no financial interests in any of these entities, and is only otherwise 

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retained by any of these entities to conduct regulatory audits or audits under Section 8.1.8 of the 

Compact.

VIII. Inspections

The Commission shall make records concerning class II gaming devices available to the 

National Indian Gaming Commission upon request as required by 25 C.F.R. Part 547.

IX. Compliance

The Commission shall monitor the installation, repair, modification, and operation of 

gaming devices to ensure compliance with this Regulation and take appropriate enforcement 

action for violations of this Regulation.

X. 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. 

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.

XII. Effective Date

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

Any amendments to this Regulation shall take effect upon their adoption by the General Council, 

unless otherwise specified by the General Council.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 007

Tribal Labor Relations Regulation

I. Threshold of Applicability

A. The Tribe adopts this Tribal Labor Relations Regulation (TLRR or Regulation) as 

required by the Tribal-State gaming compacts of all class III tribal gaming 

operations and related facilities employing two hundred fifty (250) or more 

persons. A “related facility” is one for which the only significant purpose is to 

facilitate patronage of the Tribe’s Gaming Facility.

B. Upon the request of a labor union, the Pauma Gaming Commission shall certify 

the number of employees in the Gaming Facility or other related facility as 

defined in paragraph A above. Either party may dispute the certification of the 

Pauma Gaming Commission to the Tribal Labor Panel.

II. Definitions

A. “Eligible Employee” means any person employed at the Gaming Facility or other 

related facility, except for any of the following:

1. Any employee who is a supervisor, defined as any individual having 

authority, in the interest of the Tribe and/or employer, to hire, transfer, 

suspend, lay off, recall, promote, discharge, assign, reward, or discipline 

other employees, or responsibility to direct them or to adjust their 

grievances, or effectively to recommend such action, if in connection with

the foregoing the exercise of such authority is not of a merely routine or 

clerical nature, but requires the use of independent judgment;

2. Any employee of the Pauma Gaming Commission;

3. Any employee of the security department, other than those who are 

responsible for the technical repair and maintenance of equipment;

4. Any cash operations employee who is a “cage” employee or money 

counter; or

5. Any dealer.

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B. “Tribal Labor Panel” means the body created as part of the dispute resolution 

process described in Section XIII of this Regulation.

III. Non-interference with Regulatory or Security Activities

Operation of this Regulation shall not interfere in any way with the duty of the Pauma 

Gaming Commission to regulate the Gaming Operation in accordance with the Tribe’s Gaming 

Ordinance. Furthermore, the exercise of rights hereunder shall in no way interfere with the 

Gaming Operation’s surveillance/security systems, or any other internal controls system 

designed to protect the integrity of the Gaming Operation. The Pauma Gaming Commission is 

specifically excluded from the definition of Tribe and its agents.

IV. Eligible Employees Free to Engage in or Refrain from Concerted Activity

Eligible Employees shall have the right to self-organization, to form, to join, or assist

employee organizations, to bargain collectively through representatives of their own choosing, to 

engage in other concerted activities for the purpose of collective bargaining or other mutual aid 

or protection, and shall also have the right to refrain from any or all such activities.

V. Unfair Labor Practices for the Tribe

It shall be an unfair labor practice for the Tribe and/or employer or their agents:

A. To interfere with, restrain, or coerce Eligible Employees in the

exercise of the rights guaranteed herein;

B. To dominate or interfere with the formation or administration of any labor 

organization or contribute financial or other support to it, but this does not restrict 

the Tribe and/or employer and a certified union from agreeing to union security or 

dues checkoff;

C. To discharge or otherwise discriminate against an Eligible Employee because s/he 

has filed charges or given testimony under this Regulation;

D. To refuse to bargain collectively with the representatives of Eligible Employees.

VI. Unfair Labor Practices for the Union

It shall be an unfair labor practice for a labor organization or its agents:

A. To interfere, restrain, or coerce Eligible Employees in the exercise of the rights 

guaranteed herein;

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B. To engage in, induce, or encourage any individual employed by any person 

engaged in commerce or in an industry affecting commerce to engage in a strike, 

a primary or secondary boycott, or a refusal in the course of his employment to 

use, manufacture, process, transport, or otherwise handle or work on any goods, 

articles, materials, or commodities, or to perform any services; or to threaten, 

coerce, or restrain any person engaged in commerce or in an industry affecting 

commerce or other terms and conditions of employment. This Section does not 

apply to Section XI;

C. To force or require the Tribe and/or employer to recognize or bargain with a 

particular labor organization as the representative of Eligible Employees if 

another labor organization has been certified as the representative of such Eligible

Employees under the provisions of this TLRR;

D. To refuse to bargain collectively with the Tribe and/or employer, provided it is the 

representative of Eligible Employees subject to the provisions herein; or

E. To attempt to influence the outcome of a Tribal governmental election, provided, 

however, that this section does not apply to Tribal members.

VII. Tribe and Union Right to Free Speech

The Tribe’s and a union’s expression of any view, argument, or opinion or the 

dissemination thereof, whether in written, printed, graphic, or visual form, shall not constitute or 

be evidence of interference, restraint, or coercion if such expression contains no threat of reprisal 

or force or promise of benefit.

VIII. Access to Eligible Employees

A. Access shall be granted to the union for the purposes of organizing Eligible 

Employees, provided that such organizing activity shall not interfere with 

patronage of the Gaming Facility or related facility or with the normal work 

routine of the Eligible Employees and shall be done on non-work time in nonwork areas that are designated as employee break rooms or locker rooms that are 

not open to the public. The Tribe may require the union and or union organizers to 

be subject to the same licensing rules applied to individuals or entities with 

similar levels of access to the Gaming Facility or related facility, provided that 

such licensing shall not be unreasonable, discriminatory, or designed to impede 

access.

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B. The Tribe, in its discretion, may also designate additional voluntary access to the 

union in such areas as employee parking lots and non-gaming facilities located on 

Tribal lands.

C. In determining whether organizing activities potentially interfere with normal 

Tribal work routines, the union’s activities shall not be permitted if the Tribal 

Labor Panel determines that they compromise the operation of the Gaming 

Facility or the following:

1. Security and surveillance systems throughout the Gaming Facility or 

related facilities, and reservation;

2. Access limitations designed to ensure security;

3. Internal controls designed to ensure security; or

4. Other systems designed to protect the integrity of the Gaming Operation, 

Tribal property and/or safety of the Gaming Facility’s personnel, patrons, 

employees, Tribal members, residents, guests, or invitees.

D. The Tribe shall provide to the union, upon a thirty percent (30%) showing of 

interest to the Tribal Labor Panel, an eligibility list containing the full first and 

last name of the Eligible Employees within the sought-after bargaining unit and 

the Eligible Employees’ last known address, within ten (10) working days. 

Nothing herein shall preclude a Tribe from voluntarily providing an eligibility list 

at an earlier point of a union organizing campaign.

E. The Tribe agrees to facilitate the dissemination of information from the union to 

Eligible Employees at the Gaming Facility by allowing posters, leaflets, and other 

written materials to be posted in non-public employee break areas where the Tribe

already posts announcements pertaining to Eligible Employees. Actual posting of 

such posters, notices, and other materials, shall be by employees desiring to post 

such materials.

IX. Indian Preference Explicitly Permitted

Nothing herein shall preclude the Tribe from giving Indian preference in employment, 

promotion, seniority, lay-offs, or retention to members of any Federally-recognized Indian tribe 

or shall in any way affect the Tribe’s right to follow Tribal law, personnel policies, or the Tribe’s 

customs or traditions regarding Indian preference in employment, promotion, seniority, lay-offs,

or retention. Moreover, in the event of a conflict between Tribal law or the Tribe’s customs and 

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traditions regarding Indian preference and this Regulation, the Tribal law or the Tribe’s customs 

and traditions shall govern.

X. Selection of Representatives

A. Dated and signed authorized cards from thirty percent (30%) or more of the 

Eligible Employees within the bargaining unit verified by the elections officer 

will result in a secret ballot election to be held within thirty (30) days from 

presentation to the elections officer.

B. The election shall be conducted by the election officer. The election officer shall 

be a member of the Tribal Labor Panel chosen pursuant to the dispute resolution 

provisions herein. All questions concerning representation of the Tribe and/or 

Employer’s Eligible Employees by a labor organization shall be resolved by the 

election officer. The election officer shall be chosen upon notification by the 

labor organization to the Tribe of its intention to present authorization cards, and 

the same election officer shall preside thereafter for all proceedings under the 

request for recognition; provided however that if the election officer resigns, dies,

or is incapacitated for any other reason from performing the functions of this 

office, a substitute election officer shall be selected in accordance with the dispute 

resolution provisions herein.

C. The election officer shall certify the labor organization as the exclusive collective 

bargaining representative of a unit of employees if the labor organization has 

received the majority of votes by employees voting in a secret ballot election that 

the election officer determines to have been conducted fairly. If the election 

officer determines that the election was conducted unfairly due to misconduct by 

the Tribe and/or employer or union, the election officer may order a re-run 

election. If the election officer determines that there was the commission of 

serious unfair labor practices by the Tribe that interfere with the election process 

and preclude the holding of a fair election, and the labor organization is able to 

demonstrate that it had the support of a majority of the employees in the unit at 

any point before or during the course of the Tribe’s misconduct, the election 

officer shall certify the labor organization.

D. The Tribe or the union may appeal any decision rendered after the date of the 

election by the election officer to a three (3) member panel of the Tribal Labor 

Panel mutually chosen by both parties.

E. A union which loses an election and has exhausted all dispute remedies related to 

the election may not invoke any provisions of this Regulation at the Gaming 

Facility or related facility until one year after the election was lost.

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XI. Collective Bargaining Impasse

A. Upon recognition, the Tribe and the union will negotiate in good faith for 

a collective bargaining agreement covering bargaining unit employees represented 

by the union. 

B. If collective bargaining negotiations result in impasse, and the matter has not been 

resolved by the Tribal forum procedures set forth in Section XIII, paragraph B

governing resolution of impasse, within sixty (60) working days or such other 

time as mutually agreed to by the parties, the union shall have the right to strike. 

Strike-related picketing shall not be conducted on Indian lands as defined in 25 

U.S.C. § 2703(4).

XII. Decertification of Bargaining Agent

A. The filing of a petition signed by thirty percent (30%) or more of the Eligible 

Employees in a bargaining unit seeking the decertification of a certified union, 

will result in a secret ballot election to be held thirty (30) days from the 

presentation of the petition.

B. The election shall be conducted by an election officer. The election officer shall 

be a member of the Tribal Labor Panel chosen pursuant to the dispute resolution 

provisions herein. All questions concerning the decertification of the labor 

organization shall be resolved by an election officer. The election officer shall be 

chosen upon notification to the Tribe and the union of the intent of the employees 

to present a decertification petition, and the same election officer shall preside 

thereafter for all proceedings under the request for decertification; provided 

however that if the election officer resigns, dies, or is incapacitated for any other 

reason from performing the functions of this office, a substitute election officer 

shall be selected in accordance with the dispute resolution provisions herein.

C. The election officer shall order the labor organization decertified as the exclusive 

collective bargaining representative if a majority of the employees voting in a 

secret ballot election that the election officer determines to have been conducted 

fairly vote to decertify the labor organization. If the election officer determines 

that the election was conducted unfairly due to misconduct by the Tribe and/or 

employer or the union the election officer may order a re-run election or dismiss 

the decertification petition.

D. A decertification proceeding may not begin until one (1) year after the 

certification of a labor union if there is no collective bargaining agreement. 

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Where there is a collective bargaining agreement, a decertification petition may 

only be filed no more than ninety (90) days and no less than sixty (60) days prior 

to the expiration of a collective bargaining agreement. A decertification petition 

may be filed any time after the expiration of a collective bargaining agreement.

E. The Tribe or the union may appeal any decision rendered after the date of the 

election by the election officer to a three (3) member panel of the Tribal Labor 

Panel mutually chosen by both parties.

XIII. Binding Dispute Resolution Mechanism

A. All issues shall be resolved exclusively through the binding dispute resolution 

mechanisms herein, with the exception of a collective bargaining negotiation 

impasse, which shall only go through the first level of binding dispute resolution.

B. The first level of binding dispute resolution for all matters related to organizing, 

election procedures, alleged unfair labor practices, and discharge of Eligible 

Employees shall be an appeal to a designated Tribal forum such as the Business 

Committee or a grievance board. The parties agree to pursue in good faith the 

expeditious resolution of these matters within strict time limits. The time limits 

may not be extended without the agreement of both parties. In the absence of a 

mutually satisfactory resolution, either party may proceed to the independent 

binding dispute resolution set forth below. The agreed upon time limits are set 

forth as follows:

1. All matters related to organizing, election procedures, and alleged unfair 

labor practices prior to the union becoming certified as the collective 

bargaining representative of bargaining unit employees, shall be resolved 

by the designated Tribal forum within thirty (30) working days; and 

2. All matters after the union has become certified as the collective 

bargaining representative and related specifically to impasse during 

negotiations, shall be resolved by the designated Tribal forum within sixty 

(60) working days.

C. The second level of binding dispute resolution shall be a resolution by the Tribal 

Labor Panel, consisting of ten (10) arbitrators appointed by mutual selection of 

the parties which panel shall serve the Tribe. The Tribal Labor Panel shall have 

authority to hire staff and take other actions necessary to conduct elections, 

determine units, determine scope of negotiations, hold hearings, subpoena 

witnesses, take testimony, and conduct all other activities needed to fulfill its 

obligations under this Regulation.

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1. Each member of the Tribal Labor Panel shall have relevant experience in 

Federal labor law and/or Federal Indian law, with preference give to those 

with experience in both. Names of individuals may be provided by such 

sources as, but not limited to, Indian Dispute Services, Federal Mediation 

and Conciliation Service, and the American Academy of Arbitrators; and 

2. Unless either party objects, one arbitrator from the Tribal Labor Panel will 

render a binding decision on the dispute under the Regulation. If either 

party objects, the dispute will be decided by a three -member panel of the 

Tribal Labor Panel, which will render a binding decision. In the event 

there is one arbitrator, five (5) Tribal Labor Panel names shall be 

submitted to the parties and each party may strike no more than two (2) 

names. In the event there is a three-member panel, seven (7) Tribal Labor 

Panel names shall be submitted to the parties and each party may strike no 

more than two (2) names. A coin toss shall determine which party may 

strike the first name. The arbitrator will generally follow the American 

Arbitration Associations’ procedural rules relating to labor dispute 

resolution. The arbitrator or panel must render a written, binding decision 

that complies in all respects with the provisions of this Regulation.

D. Under the third level of binding dispute resolution, either party may seek a motion 

to compel arbitration or a motion to confirm an arbitration award in Tribal Court, 

which may be appealed to Federal court. If the Tribal Court does not render its 

decision within ninety (90) days, or in the event there is no Tribal Court, the 

matter may proceed directly to federal court. In the event the Federal court 

declines jurisdiction, the Tribe agrees to a limited waiver of its sovereign 

immunity for the sole purpose of compelling arbitration or confirming an 

arbitration award issued pursuant to the Regulation in the appropriate State 

Superior Court. The parties are free to put at issue whether or not the arbitration 

award exceeds the authority of the Tribal Labor Panel.

XIV. 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. 

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 008

Employment Discrimination

I. Purpose

This Regulation describes the anti-discrimination standards applicable to the Tribe’s

Gaming Operation in relation to the employment of persons to work for the Gaming Operation. 

This Regulation is adopted to satisfy the Tribe’s obligation under Sections 10.2(g) of the 

Compact between the Tribe and the State of California (“the Compact”).

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its Regulations (25 C.F.R. § 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. 

In this Regulation:

A. “Auxiliary aids and services” includes qualified interpreters or other effective 

methods of making aurally delivered materials available to individuals with 

hearing impairments; qualified readers, taped texts, or other effective methods of 

making visually delivered materials available to individuals with vision 

impairments; acquisition or modification of equipment or devices; and other 

similar services and actions;

B. “Disability” means, with respect to an individual, a physical or mental impairment 

that substantially limits one or more of the major life activities of such individual; 

a record of such impairment; or being regarded as having such an impairment;

C. “Drug” means a controlled substance, as defined in schedules I through V of 

section 202 of the Controlled Substances Act, 21 U.S.C. § 812;

D. “Employee benefit plan” shall mean employee benefit plan as that phrase is 

defined in 29 U.S.C. § 1002(2);

E. “Employer” means the Gaming Operation, as that term is defined in Section 2.9 

of the Compact, which is wholly owned by the Tribe, provided that it has twenty 

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(20) or more employees for each working day in each of twenty (20) or more

calendar weeks in the current or preceding calendar year;

F. “Illegal use of drugs” means the use of drugs, the possession or distribution of

which is unlawful under the Controlled Substances Act (21 U.S.C. § 801 et seq.),

but such term does not include the use of a drug taken under supervision by a

licensed health care professional, or other uses authorized by the Controlled

Substances Act or other provisions of Federal law;

G. “Qualified individual with a disability” means an individual with a disability who,

with or without reasonable accommodation, can perform the essential functions of

the employment position that such individual holds or desires, with consideration

for the employer’s judgment as to what functions of a job are essential, and if the

employer has prepared a written description before advertising or interviewing

applicants for the job, this description shall be considered evidence of the

essential functions of the job;

H. “Reasonable accommodation” may include making existing facilities used by

employees readily accessible to and usable by individuals with disabilities, job

restructuring, part-time or modified work schedules, reassignment to a vacant

position, acquisition or modification of equipment or devices, appropriate

adjustment or modifications of examinations, training materials or policies, the

provision of qualified readers or interpreters, and other similar accommodations

for individuals with disabilities; and

I. “Undue hardship” means an action requiring significant difficulty or expense,

when considered in light of the following factors: the nature and cost of the

accommodation needed under this Regulation; the overall financial resources of

the facility involved in the provision of the reasonable accommodation; the

number of persons employed at such facility; the effect on expenses and

resources, or the impact otherwise of such accommodation upon the operation of

the facility; the overall financial resources of the employer; the overall size of the

employer’s business with respect to the number of its employees; the number,

type and location of its facilities; and the type of operations of the Gaming

Operation.

III. Unlawful Employment Discrimination

A. Discrimination Prohibited

1. It shall be an unlawful employment practice for the Gaming Operation,

because of the race, religious creed, color, national origin, physical

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disability, mental disability, sex, or sexual orientation of any person, to 

refuse to hire or employ the person or to refuse to select the person for a 

training program leading to employment, or to bar or to discharge the 

person from employment or from a training program leading to 

employment, or to discriminate against the person in compensation or in 

terms, conditions, or privileges of employment unless based upon a bona 

fide occupational qualification.

2. This Regulation does not prohibit the Gaming Operation from refusing to

hire or discharging an employee with a temporary physical or mental

disability, wither it be temporary or permanent, or because of his/her

medical condition, or subject the Gaming Operation to any legal liability

resulting from the refusal to employ or the discharge of an employee with

a physical or mental disability or medical condition, whether it be

temporary or not, where the employee, because of his/her physical or

mental disability or medical condition, is unable to perform his/her

essential duties even with reasonable accommodations or cannot perform

those duties in a manner that would not endanger his/her health or safety

or the health or safety of others even with reasonable accommodations.

3. It shall be unlawful for the Gaming Operation, unless specifically acting in

accordance with Federal equal employment opportunity guidelines and

regulations approved by the Equal Employment Opportunity Commission,

to print or circulate or cause to be printed or circulated any publication, or

to make any non-job-related inquiry of an employee or applicant, either

verbal or through use of an application form, that expresses, directly or

indirectly, any limitation, specification, or discrimination as to race,

religious creed, color, national origin, physical disability, mental

disability, sex, or sexual orientation, or any intent to make any such

limitation, specification, or discrimination.

B. Indian Preference. Indian preference in employment constitutes a permitted

preference system based upon the political affiliations of Native Americans and

thus is completely exempted from the prohibitions of this Regulation. The Tribe

is fully committed to the principles of non-discrimination and provides equal

employment opportunities and affirmative action in support of such goals. Indian

preference in employment, as described in the Tribe’s Employee Handbook and

TERO policy, will be an integral part of the selection process.

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C. Gender-Based Clothing Requirements

1. The Gaming Operation shall not refuse to permit an employee to wear

pants on account of the gender of the employee.

2. Nothing in this Section III shall prohibit the Gaming Operation from

requiring employees in a particular occupation to wear a uniform or from

requiring an employee to wear a costume while that employee is

portraying a specific character or dramatic role.

D. Sexual Harassment. Sexual harassment is a form of discrimination and is

unlawful under this Regulation.

IV. Prohibition of Age Discrimination

A. It shall be unlawful for the Gaming Operation:

1. To fail or refuse to hire, or to discharge any individual, or otherwise

discriminate against any individual with respect to his/her compensation,

terms, conditions, or privileges of employment, because of such

individual’s age;

2. To limit, segregate, or classify any employee in any way which would

deprive or tend to deprive any individual of employment opportunities or

otherwise adversely affect his/her status as an employee, because of such

individual’s age;

3. To reduce the wage rate of any employee in order to comply with this

Regulation; or

4. To use salary as a basis for differentiating between employees when

terminating employment if use of that criterion adversely impacts older

workers as a group.

B. It shall not be unlawful for the Gaming Operation:

1. To take any action otherwise prohibited under paragraph A of Section IV

of this Regulation where age is a bona fide occupational qualification

reasonably necessary to the normal operation of the particular business, or

where the differentiation is based on reasonable factors other than age;

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2. To take any action otherwise prohibited under paragraph A of Section IV

of this Regulation for the purpose of:

a. observing the terms of a bona fide seniority system that is not

intended to evade the purposes of this Regulation, except that no

such seniority system shall require or permit the involuntary

retirement of any individual because of the age of such individual;

b. observing the terms of a bona fide employee benefit plan where,

for each benefit or benefit package, the actual amount of payment

made or cost incurred on behalf of an older worker is no less than

that made or incurred on behalf of a younger worker, as

permissible under federal law, or that is a voluntary early

retirement incentive plan consistent with the relevant purpose or

purposes of this Regulation; or

c. discharging or otherwise disciplining an individual for good cause.

C. Notwithstanding paragraph A of Section IV of this Regulation, it shall not be a

violation of this Regulation solely because:

1. An employee pension benefit plan provides for the attainment of a

minimum age as a condition of eligibility for normal or early retirement

benefits;

2. A defined benefit plan provides for payments that constitute the subsidized

portion of an early retirement benefit; or social security supplements for

plan participants that commence before the age and terminate at the age

(specified by the plan) when participants are eligible to receive reduced or

unreduced old-age insurance benefits under title II of the Social Security

Act (42 U.S.C. et seq.) or other Federal law, and that do not exceed such

old-age insurance benefits;

3. Following a contingent event unrelated to age, the value of any retiree

health benefits received by an individual eligible for an immediate

pension; or the value of any additional pension benefits that are made

available solely as a result of the contingent event unrelated to age and

following which the individual is eligible for not less than an immediate

and unreduced pension, or both, are deducted from severance pay made

available as a result of the contingent event unrelated to age;

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4. For an individual who receives immediate pension benefits that are

actuarially reduced under subparagraph 3, above, the amount of the

deduction available pursuant to subparagraph 3 shall be reduced by the

same percentage as the reduction in the pension benefits. For the purposes

of this paragraph, severance pay includes that portion of supplemental

unemployment compensation benefits that constitutes additional benefits

of up to fifty-two (52) weeks, has the primary purpose and effect of

continuing benefits until an individual becomes eligible for an immediate

and unreduced pension; and is discontinued once the individual becomes

eligible for an immediate and unreduced pension.

D. Age Limits

1. The prohibitions in this Section shall be limited to individuals who are at

least forty (40) years of age.

2. Nothing in this Regulation shall be construed to prohibit compulsory

retirement of any employee who has attained sixty-five (65) years of age

and who, for the two-year (2-year) period immediately before retirement,

is employed in a bona fide executive or high policy-making position, if

such employee is entitled to an immediate nonforfeitable annual

retirement benefit from a pension, savings, or deferred compensation plan,

or any combination of such plans, of the employer of such employee,

which equals, in the aggregate, at least forty-four thousand dollars

($44,000.00).

E. Continuation of Employment Beyond Normal Retirement Date. The Gaming

Operation shall permit any employee who indicates in writing a desire in a

reasonable time, and can demonstrate the ability to do so, to continue his/her

employment beyond any retirement date contained in any private pension or

retirement plan. This employment shall continue so long as the employee

demonstrates his/her ability to perform the functions of the job adequately and the

employer is satisfied with the quality of work performed.

V. Equal Opportunities for Individuals with Disabilities

A. Discrimination

1. The Gaming Operation shall not discriminate against a qualified

individual with a disability because of the disability of such individual in

regard to job application procedures, the hiring, advancement, or discharge

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of employees, employee compensation, job training, and other terms, 

conditions, and privileges of employment.

2. As used in this Section, the term “discriminate” includes:

a. limiting, segregating, or classifying a job applicant or employee in

a way that adversely affects the opportunities or status of such

applicant or employee because of the disability of such applicant or

employee;

b. participating in a contractual or other arrangement or relationship

that has the effect of subjecting the Gaming Operation’s qualified

applicant or employee with a disability to the discrimination

prohibited under this Regulation (such relationship includes a

relationship with an employment or referral agency, labor union,

an organization providing fringe benefits to employees, or an

organization providing training and apprenticeship programs);

c. utilizing standards, criteria, or methods of administration that have

the effect of discrimination on the basis of disability or that

perpetuate the discrimination of others who are subject to common

administrative control;

d. excluding or otherwise denying equal jobs or benefits to a qualified

individual because of the known disability of an individual with

whom the qualified individual is known to have a relationship or

association;

e. not making reasonable accommodations to the known physical or

mental limitations of an otherwise qualified individual with a

disability who is an applicant or employee, unless the Gaming

Operation can demonstrate that the accommodation would impose

an undue hardship on the operation of the business of the Gaming

Operation;

f. denying employment opportunities to a job applicant or employee

who is an otherwise qualified individual with a disability, if such

denial is based on the need of the Gaming Operation to make

reasonable accommodation to the physical or mental impairment(s)

of the employee or applicant.

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g. using qualification standards, employment tests, or other selection 

criteria that screen out or tend to screen out an individual with a 

disability or a class of individuals with disabilities unless the 

standard, test, or other selection criteria is shown to be job-related 

for the position in question and is consistent with business 

necessity; and

h. failing to select and administer tests concerning employment in the 

most effective manner to ensure that, when such test is 

administered to a job applicant or employee who has a disability 

that impairs sensory, manual, or speaking skills, such test results 

accurately reflect the skills, aptitude, or whatever other factor of 

such applicant or employee that such test purports to measure, 

rather than reflecting the impaired sensory, manual, or speaking 

skills of such employee or applicant (except where such skills are 

the factors that the test purports to measure).

3. It is a defense to a charge of discrimination under this Regulation that an 

alleged application of qualification standards, tests, or selection criteria 

that screen out or tend to screen out or otherwise deny a job or benefit to 

an individual with a disability has been shown to be job-related and 

consistent with business necessity, and such performance cannot be 

accomplished by reasonable accommodation, as required under this 

Section V.

4. Qualification standards may include a requirement that an individual not 

pose a direct threat to the health or safety of other individuals in the 

workplace.

B. Medical Examinations and Inquiries

1. The prohibition against discrimination as referred to in paragraph A of 

Section V shall include medical examinations and inquiries. The Gaming 

Operation shall not conduct a medical examination or make inquiries of a 

job applicant as to whether such applicant is an individual with a disability 

or as to the nature or severity of such disability. However, the Gaming 

Operation may make pre-employment inquiries into the ability of an 

applicant to perform job-related functions;

2. The Gaming Operation may require a medical examination after an offer 

of employment has been made to a job applicant and prior to the 

commencement of the employment duties of such applicant, and may 

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condition an offer of employment on the results of such examination if all 

entering employees are subjected to such an examination regardless of 

disability; provided that all information regarding the medical condition or 

history of the applicant is collected and maintained on separate forms and 

in separate medical files and is treated as a confidential medical record, 

except that:

a. supervisors and managers may be informed regarding necessary 

restrictions on the work or duties of the employee and necessary 

accommodations;

b. first aid and safety personnel may be informed, when appropriate, 

if the disability might require emergency treatment;

c. The Business Committee or its designee investigating compliance 

with this Regulation shall be provided relevant information on 

request; and

d. the results of such examination are used only in accordance with 

this Section V.

C. Prohibited and Acceptable Examinations and Inquiries

1. The Gaming Operation shall not require a medical examination and shall 

not make inquiries of an employee as to whether such an employee is an 

individual with a disability or as to the nature or severity of the disability, 

unless such examination or inquiry is shown to be job-related and 

consistent with business necessity.

2. The Gaming Operation may conduct voluntary medical examinations, 

including voluntary medical histories, which are part of an employee 

health program available to employees at that work site and may make 

inquiries into the ability of an employee or prospective employee to 

perform job-related functions. Information obtained under such an inquiry 

regarding the medical condition or history of any employee are subject to 

the requirements of paragraph B of Section V.

D. Illegal Use of Drugs and Alcohol

1. The term “qualified individual with a disability” shall not include any 

employee or applicant who is currently engaging in the illegal use of 

drugs, when the employer acts on the basis of such use. However, nothing 

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in this section shall be construed to exclude as a qualified individual with 

a disability an individual who:

a. has successfully completed a supervised drug rehabilitation 

program and is no longer engaging in the illegal use of drugs, or 

has otherwise been rehabilitated successfully and is no longer 

engaging in such use;

b. is participating in a supervised rehabilitation program and is no 

longer engaging in such use; or

c. is erroneously regarded as engaging in such use, but is not 

engaging in such use.

2. Notwithstanding the above, it shall not be a violation of this Section V for 

the Gaming Operation to adopt or administer reasonable policies or 

procedures, including but not limited to drug testing, designed to ensure 

that an individual described in paragraph A of Section V is no longer 

engaging in the illegal use of drugs.

3. The Gaming Operation may:

a. prohibit the illegal use of drugs and the use of alcohol or marijuana 

at the workplace by all employees; 

b. require that employees shall not be under the influence of alcohol 

or marijuana or be engaging in the illegal use of drugs at the 

workplace; 

c. require that employees behave in conformance with the 

requirements of the federal Drug-Free Workplace Act of 1988 (41 

U.S.C. § 701 et seq.); 

d. hold an employee who engages in the illegal use of drugs or who is 

an alcoholic to the same qualification standards for employment or 

job performance and behavior that it holds other employees, even 

if any unsatisfactory performance or behavior is related to the drug 

use or alcoholism of such employee.

4. For the purposes of this Section V, a test to determine the illegal use of 

drugs or prohibited use of alcohol or marijuana shall not be considered a 

medical examination. Nothing in this Section V shall be construed to 

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encourage, prohibit, restrict or authorize the conducting of drug testing for 

the illegal use of drugs or prohibited use of alcohol or marijuana by job 

applicants or employees or making employment decisions based on such 

test results.

E. Prohibition Against Retaliation and Coercion

1. No person shall discriminate against any individual because such

individual has opposed any act or practice made unlawful by this

Regulation or because such individual made a charge, testified, assisted, or

participated in any manner in an investigation, proceeding, or hearing

under this Regulation; and

2. It shall be unlawful to coerce, intimidate, threaten, or interfere with any

individual in the exercise or enjoyment of, or on account of his/her having

exercised or enjoyed, or, on account of his/her having aided or encouraged

any other individual in the exercise or enjoyment of, any right granted or

protected by this Regulation.

F. Limitations

1. Homosexuality and bisexuality are not impairments, and as such are not

disabilities under this Regulation.

2. Under this Regulation, the term “disability” shall not include transvestism,

transsexualism, or gender identity disorders not resulting from physical

impairments.

3. Under this Regulation, the term “disability” shall not include pedophilia,

exhibitionism, voyeurism or other sexual behavior disorders.

4. Under this Regulation, the term “disability” shall not include compulsive

gambling, kleptomania, pyromania or psychoactive substance use

disorders resulting from current illegal use of drugs.

G. Pregnancy and Parental Leave

1. The Gaming Operation shall not, unless based upon a bona fide

occupational qualification, because of the pregnancy, childbirth, or related

medical condition of any female employee, refuse to promote her, or to

refuse to select her for a training program leading to promotion, provided

she is able to complete the training program at least three (3) months prior

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to the anticipated date of departure for her pregnancy leave, or to 

discharge her from employment or from a training program leading to

promotion, or to discriminate against her in compensation or in terms, 

conditions or privileges of employment.

2. The Gaming Operation shall not refuse to allow a female employee

affected by pregnancy, childbirth, or related medical conditions to receive

the same benefits or privileges of employment granted to other persons not

so affected who are similar in their ability or inability to work, including

to take disability or sick leave or any other accrued leave that is made

available to temporarily disabled employees. For purposes of this section,

pregnancy, childbirth, and related medical conditions are treated as any

other temporary disability.

3. An employee is entitled to take leave for a period of up twelve (12) weeks

after the birth, adoption, or foster care placement of a child. The Gaming

Operation is not required to provide employees with health insurance

coverage for the medical costs of pregnancy, childbirth, or related medical

conditions. The inclusion in any health insurance coverage of any

provisions or coverage relating to medical costs of pregnancy, childbirth,

or related medical conditions shall not be construed to require the

inclusion of any other provisions or coverage, nor shall coverage of any

related medical conditions be required by virtue of coverage of any

medical costs of pregnancy, childbirth, or other related medical conditions.

4. An employee is entitled to take a leave on account of a disability related to

pregnancy, childbirth, or related medical condition for a reasonable period

of time not to exceed four (4) months. The employee shall be entitled to

utilize any accrued vacation leave during this period of time. This

paragraph shall not be construed to limit the provisions of subparagraph

H.1 of Section V.

5. The Gaming Operation may require any employee who plans to take a

leave pursuant to this provision to give reasonable notice of the date the

leave shall commence and the estimated duration of the leave.

6. The Gaming Operation shall provide reasonable accommodation for an

employee for conditions related to pregnancy, childbirth, or related

medical conditions, if so requested, with the advice of the employee’s

health care provider.

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7. If the Gaming Operation has or enters into a collective bargaining 

agreement requiring or authorizing the transfer of temporarily disabled 

employees to less strenuous or hazardous positions for the duration of the 

disability, pregnant employees shall be eligible for such transfers upon the 

employee’s request.

8. The Gaming Operation shall not refuse to temporarily transfer a pregnant 

employee to a less strenuous or hazardous position for the duration of the 

employee’s pregnancy if so requested, with the advice of the employee’s

physician, where that transfer can be reasonably accommodated. 

However, the Gaming Operation is not required by this section to create 

additional employment that it would not otherwise have created, nor to

discharge any employee, transfer any employee with more seniority, or 

promote any employee who is not qualified to perform the job.

VI. Notice

 

The Gaming Operation shall act to ensure a workplace free of unlawful discrimination 

and sexual harassment by distributing to all of its employees an information sheet containing, at 

a minimum, components on the following:

A. the illegality of types of discrimination barred under this Regulation;

B. the illegality of sexual harassment;

C. the internal complaint process of the Gaming Operation available to the 

employee; and

D. the legal remedies and complaint process available under Section VII.

VII. Enforcement

A. The Tribe, as a sovereign nation on whose territory and under whose authority the 

Gaming Operation exists and operates, is the sole unit of government empowered 

to enforce this Regulation. Enforcement of this Regulation shall be possible 

solely by means of the enforcement mechanisms contained in this Section VII.

B. Employees who believe they have been the victim of an unlawful employment 

practice (as that term is defined herein) are entitled to have their claim reviewed 

by the Business Committee. An employee who wishes to have a grievance 

reviewed by the Business Committee must file a written complaint with the 

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Business Committee within one hundred eight days (180) days after the last 

occurrence of the alleged unlawful employment practice.

1. Upon receiving a written complaint, the Business Committee shall

schedule a meeting and promptly notify all parties of the date and time of

the meeting. In no event shall such hearing be held later than thirty (30)

days from the filing of a written complaint. Along with notice of the

hearing, the Business Committee shall provide the accused and the

Gaming Operation’s General Manager with a copy of the complaint.

2. The Business Committee may require each party to submit, in advance of

the hearing, a written statement of their position, copies of all documents

to be produced, a list of witnesses who will be called, and the

identification of their advisor or spokesperson, if any. Copies of any such

materials should be given to the other party involved.

3. The meeting shall be confidential and private. Both parties shall have the

right to attend the meeting and produce reasonable documentary and/or

testimonial evidence. The Business Committee shall render a final

decision within thirty (30) days after the completion of the meeting. The

decision of the majority shall be deemed the final decision of the Business

Committee. For licensing purposes, the Business Committee shall notify

the Gaming Commission of any finding of unlawful employment

practices.

4. The processes described in this paragraph B of Section VII are the sole

recourse for any person alleging employment discrimination by the

Gaming Operation, its officers, employees, or agents. All decisions of the

Business Committee are final and cannot be appealed to the General

Council, any other tribal entity, or any outside entity.

VIII. 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 Gaming Operation, the Business Committee, or any employee of the Gaming 

Operation or the Tribe acting pursuant to this Regulation.

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Pauma Band of Luiseño Mission Indians of the Pauma and Yuima Reservation

Gaming Regulation 009

Minimum Standards Concerning 

Public and Workplace Health and Safety

I. Purpose

This Regulation establishes certain minimum standards for the purpose of protecting the

health and safety of patrons and employees of the Tribe’s Gaming Operation. This Regulation is 

adopted in accordance with Subsections 10.2(a), (b), (e), and (f) of the gaming compact between 

the Tribe and the State of California (“Compact”), which require the Tribe to adopt and comply 

with certain standards concerning public and workplace health and safety that are no less 

stringent than Federal and/or State standards.

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its Regulations (25 C.F.R. § 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. 

III. Scope of Application

This Regulation applies to the Tribe’s Gaming Facility.

IV. Food and Beverage Handling Standards

A. The Gaming Operation shall comply with standards that are no less stringent than

the state public health standards for food and beverage handling.

B. The Gaming Operation will allow compliance inspection of all food and beverage

services by Pauma Gaming Commission personnel and State or County personnel

during normal hours of operation, to assess compliance with these standards.

C. The Gaming Operation will ensure that all applicable employees are certified as

food handlers and that the health cards are kept on file by management and

accessible to Pauma Gaming Commission personnel.

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D. The Gaming Operation will ensure that all areas of the food handling area are free 

from conditions that present potential hazards.

E. Nothing herein shall be construed as submission of the Tribe to the jurisdiction of 

those State or County health inspectors, but any alleged violations of the 

standards shall be treated as alleged violations of the Compact.

V. Federal Water Quality and Safe Drinking Water Standards

A. The Gaming Operation shall comply with Federal standards for water quality and 

safe drinking water applicable in California.

B. The Gaming Operation shall allow for compliance inspection of water at the 

Gaming Facility by State or County health inspectors, as applicable, during 

normal business hours, unless inspections and testing are made by an agency of 

the United States pursuant to, or by the Tribe under express authorization of, 

Federal law, to ensure compliance with Federal standards.

C. Nothing herein shall be construed as submission of the Tribe to the jurisdiction of 

State or County health inspectors, but any alleged violations of the standards shall 

be treated as alleged violations of the Compact.

VI. Workplace and Occupational Health and Safety Standards

A. The Gaming Operation shall comply with all applicable Federal a occupational 

health and safety standards.

B. The Gaming Operation shall allow for inspection of the Gaming Facility 

workplace by State inspectors, during normal business hours, to assess 

compliance with applicable standards, unless inspections are regularly made by an 

agency of the United States government to ensure compliance with Federal 

workplace and occupational health and safety standards.

C. Nothing herein shall be construed as submission of the Tribe to the jurisdiction of 

those State inspectors, but any alleged violations of the standards shall be treated 

as an alleged violation of the Compact.

VII. Public Health and Safety Standards

A. The Gaming Operation shall comply with all applicable Tribal and Federal laws 

regarding public health and safety.

B. The Pauma Gaming Commission may issue emergency orders, including, but not 

limited to, orders for the closure of the gaming facility, in order to protect public 

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health and safety. When, in the opinion of the Pauma Gaming Commission, it is 

feasible to do so without compromising public health and safety, closure orders shall 

be developed in consultation with the Gaming Operation and the Business 

Committee.

VIII. Prohibitions Concerning Alcoholic Beverages

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 designated areas in which class II or class III 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. 

B. The Gaming Operation shall not provide, allow,contract to provide, or arrange to 

provide alcoholic beverages for no charge or a reduced charge as an incentive or 

enticement to patrons.

IX. Prohibition Concerning Firearms

Possession of firearms shall be prohibited at all times in the Gaming Facility operated 

under this Ordinance, except for possession of firearms by Tribal, State or County security or 

law enforcement personnel authorized by Tribal, Federal, or State law to possess firearms at the 

Gaming Facility.

X. Prohibition Concerning Minors

No person under the age of eighteen (18) years shall be permitted to be present where any

class II or class III gaming activities are being conducted unless the person is en-route to a nongaming area of the Gaming Facility.

XI. 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. 

XII. Sovereign Immunity

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

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

pursuant to this Regulation.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 011

Workers’ Compensation Plan

I. Purpose

This Regulation establishes and defines the Tribe’s Workers’ Compensation Plan

(“plan”) for employees of the Tribe’s Gaming Operation. This Plan is intended to create 

and maintain a system to redress said employees’ (“employees”) work-related injuries in 

general conformity with accepted workers’ compensation practice and to clearly define the 

Gaming Operation’s policy in managing injury risk in order to prevent abuse, control costs, 

medically and vocationally rehabilitate employees, and deliver a program that is equitable to

employees, management, and the Tribe. This Regulation is adopted to satisfy the Tribe’s 

obligation under Subsection 10.3(a) of the Compact between the Tribe and the State of 

California (“Compact”).

II. Interpretation

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

Gaming Regulatory Act (25 U.S.C. § 2701 et seq.) and its Regulations (25 C.F.R. § 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. 

In this Regulation:

A. “Administrator” means the Insurance Agency or Third Party Administrator

responsible for administering this Plan;

B. “California Workers Compensation law” means the California Labor Code §§ 

3200-6149;

C. “Casino Risk Management” means the person or persons employed by the

Gaming Operation who are responsible for analyzing, managing, and controlling

exposure to accidental risk;

D. “Child or Children” means the child of an employee, including a child legally

adopted prior to the injury, a child toward whom the employee stands in loco

parentis, an illegitimate child, a stepchild, and a child according to Tribal custom

as determined by applicable Tribal law, if such child was at the time of the injury

a member of the employee’s family and substantially dependent upon the

employee for support, but does not include any married children unless they

meet the above-mentioned criteria;

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E. “Claimant” for purposes of this Plan means any person employed by the Gaming

Operation who suffers an injury, specific or cumulative, arising from employment

with and occurring in the course and scope of employment with the Gaming

Operation, but does not include independent contractors;

F. “Compensable Injury” means a work-related injury to an employee, that is determined to

have arisen during the period of employment and while performing the duties of

employment in and on the premises of the Employer or a location the Employer requires

the employee to perform the employment activities described in detail in this Plan, but

does not include injury caused by a third party or fellow employee intended to injure the

employee for personal reasons (such injuries are not considered arising out of employment

and are not compensable under this Plan);

G. ”Days” means calendar days unless otherwise expressly provided;

H. ”Dependent” means the father, mother, grandfather, grandmother, stepfather,

stepmother, grandson, granddaughter, brother, sister, half-sister, half-brother, niece,

nephew, or any other extended family member as determined by the Administrator to

be actually and necessarily dependent in whole or in part upon the earnings of the

employee at the time of the compensable injury which caused the employee’s

disability or death;

I. “Disability” means incapacity, due to a compensable injury, to earn wages in the same or

other employment;

J. “Employee” means a person employed by or in the service of the Gaming Operation,

either at will or under any express or implied contract of hire, during which employment

the Employer has the power or right to control and direct such individual in return for

which such individual receives a salary or wages, but does not include independent

contractors, contractors, and outside consultants;

K. “Employer” means the Gaming Operation;

L. “NGHP User Guide” means a document published by the federal government containing

information about and instructions for the mandatory insurer reporting requirements for

Non-Group Health Plans;

M. “Plan” means the Tribe’s Workers’ Compensation Plan;

N. “Spouse” shall be defined, in conformance with State law or, at the Tribe’s discretion, as a

husband, wife, or domestic partner of the employee;

O. “Work-related injur(y/ies) or illness” means any injury or disease arising out of and in

the course and scope of employment and may be either:

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1. specific: a result of a specific incident or exposure which causes disability or

need for medical treatment; or

2. cumulative: a result of repetitive physical traumatic activities extending over a

period of time, the combined effect of which causes any disability or need for

medical treatment; and

P. “Written decision” means:

1. any finding, decision, or award that shall be reduced to written form by

Casino Risk Management; or

2. the finding(s) and decision(s) of the Administrator to accept or deny in full or

in part any claim submitted by a claimant regarding a work-related injury.

III. Scope of Application

This Plan applies to all employees of the Gaming Operation.

IV. Declaration of Policy

It shall be the policy of the Tribe’s Gaming Operation to:

A. Provide sure and prompt medical treatment for injured employees, and fair,

adequate, and reasonable income benefits to injured employees and/or their

dependents;

B. Provide a fair and just administrative system for delivery of medical and income

benefits to injured employees, thereby eliminating litigation and the adversary

nature of the compensation proceedings to the greatest extent practicable; and

C. Provide the sole and exclusive source and means by which employees and/or their

dependents may seek and qualify for remedies for injuries arising out of and

occurring in the course of employment with the Gaming Operation.

V. Exclusive Remedy

The right to receive compensation under this Plan for injuries arising out of and occurring in

the course and scope of employment with the Gaming Operation by an employee shall be the 

exclusive remedy available to the employee, and to anyone claiming through the employee, against 

the Employer, all departments and programs thereof, and/or the employees thereof. To that end, all 

civil causes of action against the Employer and the employees thereof, arising from said injuries or 

death, and the jurisdiction of all courts over such causes of action are hereby abolished and barred, 

except as provided by this Plan.

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VI. Reporting Obligation

A. An employee must report any work-related injury/illness, regardless of severity, to

his/her Supervisor within twenty-four (24) hours of the incident, or exposure causing

the work-related injury. In the event of employee incapacitation as a result of a workrelated injury, another person on behalf of the employee may report a work-related

injury. At this time, Casino Risk Management shall be notified of the injury/illness,

and all paperwork shall be forwarded to Casino Risk Management for prompt

handling of the claim.

B It is the responsibility of Casino Risk Management to provide all necessary reporting

information to the Administrator and to maintain consistent communication with the

Administrator, in order to ensure prompt handling and closure of all Workers’

Compensation claims.

C. No compensation or medical benefits will be paid if a work-related injury is not

reported within thirty (30) days of the employee’s knowledge of a work-related

injury.

VII. Administrator

The Administrator will act on behalf of the Employer in receiving and processing Workers’

Compensation claims under this Plan. The responsibility of the Administrator to make 

determinations and decisions will include, but not be limited to, the following areas:

A. Based on investigation and available information, the Administrator will make a

determination of responsibility of the Employer and will subsequently accept, delay, or

deny a claim. The Administrator will inform the Employer of all existing claim

coverage questions, prior to any Employer agreement to the payments of benefits.

Within ninety (90) days of receipt of a first report of a work-related injury, the

Administrator will advise the Employer and the employee of its determination.

B. The Administrator will, whenever possible and whenever irresolvable issues do not

create adversarial conditions, treat occupationally injured or ill employees as

employees and/or clients rather than claimants, in order to assist them in securing

equitable benefits in an atmosphere of fairness to all parties.

C. The Administrator will determine the reasonableness and necessity of medical care

and of any medical charges incurred and will determine amounts payable under this

Plan. The Administrator will also approve or deny any change of primary physician,

referral to specialist physician, or surgical procedure.

D. The Administrator will direct and control medical care for the occupationally injured

or ill employee for the life of the claim, through accredited medical providers who

meet the Administrator’s requirements of providing appropriate medical care.

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E. The Administrator and Casino Risk Management will ensure that the occupationally

injured or ill employee is provided the appropriate medical care to assure timely

medical rehabilitation to productive work in a light, modified, or alternate duty

capacity while he/she is recuperating to full unrestricted pre-injury status.

F. In the event that the occupationally injured or ill employee has returned to a permanent

and stationary status and remains unable to perform his/her full duties without

restrictions, and permanent modified duty or alternative position is not available, then,

through vocational rehabilitation, the injured employee will be assisted by the

Administrator in returning to suitable gainful employment.

G. The Administrator will consult directly with occupationally injured or ill employees to

assure them of the Employer’s interest in their progress.

H. Based on information provided by the Employer and, if applicable, the injured

employee, the Administrator will determine the length of time during which

Temporary Total Disability or Temporary Partial Disability benefits, as herein defined,

are payable, the compensation rate payable, and the amount payable for Temporary

Total Disability or Temporary Partial Disability benefits.

I. The Administrator will determine the amount payable for Permanent Partial Disability

and Permanent Total Disability benefits, as herein defined.

J. In the event of a fatality as a result of a work-related injury/illness, the Administrator

will determine the eligibility of dependents and the term of any dependency benefits

payable.

VIII. Insurance or Self Insurance

The Employer has elected to obtain Workers’ Compensation insurance for its employees

through an A-rated, admitted Workers’ Compensation insurance carrier in the State of California. 

All claims are managed by Casino Risk Management, and administered by a third-party 

Administrator, as described in detail in this Plan.

IX. Disability Benefits.

A. Temporary Total Disability: If a compensable work-related injury causes

Temporary Total Disability, the injured employee’s disability payment is 2/3 of the

average weekly earnings during the period of such disability, not to exceed the

maximum allowed under California Workers’ Compensation law. Consideration will

be given to the ability of the injured employee to compete in an open labor market.

No temporary disability indemnity is recoverable for the disability suffered during the

first three (3) days after the employee is disabled as a result of a work-related

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injury/illness unless temporary disability continues for more than fourteen (14) days 

or the employee is hospitalized as an inpatient for treatment required by the injury, in 

either of which cases temporary disability indemnity shall be payable from the date of 

disability. For purposes of calculating the waiting period, the day of injury shall be 

included unless the employee was paid full wages for that day.

Temporary Total Disability weekly benefit rates shall be paid in accordance with the 

Administrator’s accepted percentage of employee’s average weekly wages not to 

exceed the maximum allowed under California Workers’ Compensation law.

B Permanent Partial Disability: For purposes of this Plan, Permanent Partial 

Disability shall be defined as permanent disability assigned a rating of less than one 

hundred percent (100%) permanent disability. In determining the percentage of 

permanent disability, account shall be taken of the nature of the physical injury, the 

occupation of the injured employee, and the employee’s age at the time of such 

injury, consideration being given to the diminished ability of such injured employee 

to compete in an open labor market. Permanent Partial Disability benefits shall be 

approved by Casino Risk Management and Administrator and paid accordingly.

C. Permanent Total Disability: For purposes of this Plan, Permanent Total Disability

shall be defined as permanent disability precluding the employee from any and all

gainful employment. There shall be no presumptions of Permanent Total Disability.

Compensation shall be paid based on the appropriate weekly rate for Temporary Total

Disability benefits according to this Plan. No compensation under this Section shall

be paid subsequent to the death, retirement, or incarceration of the injured employee.

X. Fatality Income Benefits

A. In the event that a fatality occurs as a result of a compensable work-related injury,

within five (5) years from the date of that injury, the Employer will be liable for

compensation to the dependents of the injured employee as provided for in this

Section.

B. Compensation shall be paid based on the appropriate weekly rate for Temporary Total

Disability benefits according to this Plan, not to exceed the maximum allowed under

California Workers’ Compensation law.

C. Benefits shall cease upon remarriage of the spouse, or upon the minor child or

children turning eighteen (18) years of age, or both.

D. The dependent(s) must be a spouse or minor child, totally or partially dependent upon

the injured worker at the time of injury and at the time of death in order to qualify for

benefits. The weekly compensation will be divided between the qualifying

dependents in proportion to the percentage of support each received from the

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deceased employee. It will be presumed that each qualifying dependent received 

equal support from the deceased employee.

E. The Administrator will make necessary allocations, based on the obligations, legal or

otherwise, of covered dependents if benefits allocation between different households

is required.

F. In addition to any benefits listed above, the maximum burial allowance will be

comparable to that permitted under California Workers’ Compensation law not to

exceed the maximum permitted under California Workers’ Compensation law.

XI. Medicare1

The Medicare/Medicaid SCHIP Extension Act (MMSEA) (Pub. L. No. 110-173 (2007) (codified

in various sections of 42 U.S.C.)) sets forth reporting requirementsfor insurers where criteria established 

pursuant to the Act have been met. The Tribe recognizes those requirements (see, e.g. Section 7.1 of the 

NGHP User Guide), and nothing herein shall prevent the Administrator from protecting Medicare’s 

interests where required to do so. Where a claimant is entitled to supportive medical care after 

maximum medical improvement is achieved under this Regulation, such supportive care will only be 

provided as specified by a medical provider authorized by the Administrator and only for the duration 

specified by that medical provider. Neither the Tribe, its insurer,. or the Administrator shall have any 

further obligation to pay benefits under this Regulation, inclusive of any subsequent Medicare liens, 

when a claim has been closed due to abandonment, award, or settlement.

XII. Scope of Coverage

A. Compensability shall require physical and medical evidence that the injury or illness

arose out of and in the course of employment with the Tribe.

B. All employees will be entitled to the same benefits under the same rules.

C. There is no presumption that cardiovascular disease, pneumonia, asthma, or

emphysema are caused by employment.

D. Reflex Sympathetic Dystrophy claims are not covered.

E. Stress claims are not covered.

F. Environmental Tobacco (“Second Hand”) Smoke claims are not covered.

1 This provision was drafted in consultation with Tribal First.

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XIII. Statue of Limitations

Except as otherwise provided herein, the right to benefits for temporary or permanent

disability or death under this Plan shall be barred unless the work-related injury is reported in 

accordance with Section VI herein and within thirty (30) days of the employee’s knowledge of the 

work-related injury. In the event of employee incapacitation as a result of a work-related injury, 

another person on behalf of the employee may report a work-related injury.

XIV. Independent Medical Examination

A. For purposes of this Plan, independent medical examination is defined as a medical

examination and/or evaluation of the employee scheduled by the Employer or

Administrator, at the Employer’s expense, for the purpose of obtaining medical

information or opinion.

B. In the event that the right to compensation under this Plan exists in favor of an

employee, the employee shall, upon the written request of the Administrator, submit

at reasonable intervals to examination by a practicing physician, provided and paid

for by the Employer through insurance purchased. The employee shall likewise

submit to examination at reasonable intervals by any physician selected by the

Administrator.

C. As described herein, the Administrator will direct and control medical care for the

occupationally injured or ill employee for the life of the claim, through accredited

medical providers who meet the Administrator’s requirements of providing

appropriate medical care.

D. If an employee unreasonably fails to appear for a scheduled medical examination,

appointment or treatment, payment for which has been determined by the

Administrator to be the Employer’s responsibility, the employee shall become

responsible for any missed appointment fee.

XV. Settlements

A. Compromise and Release: Nothing in this Plan shall impair the rights of the parties

to compromise any liability claimed to exist under this Plan due to injury, disease, or

death, subject to the provisions herein. After reaching a compromise, a copy of the

release or compromise agreement shall be signed by both the claimant and the

Administrator. The Administrator shall enter an award based on the release or

compromise agreement.

B. Stipulation Award: An employee may elect to accept only a permanent disability

benefits award and delay acceptance of the Administrator’s future medical care

benefits determination.

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XVI. Dispute Resolution

A. Step One - Insurance Administrator Review: In the event that an injured

employee is not satisfied with the initial decision made regarding his/ her claim, the

injured employee has the right to appeal in writing to the Administrator within thirty

(30) days of the initial notice of decision from the Administrator. The Administrator

must reconsider and respond to above-mentioned appeal in writing within thirty (30)

days.

B. Step Two - Arbitration: In the event that an injured employee is not satisfied with

the outcome of Step One in the Dispute Resolution process under this Section, he/she

must submit a written request for arbitration to the Administrator within thirty (30)

days of the written notice of the Administrator’s decision on the employee’s appeal.

An arbitrator approved by the American Arbitration Association and experienced in

Workers’ Compensation practice shall serve as the arbitrator in and shall control a

final proceeding to resolve the employee’s claim. In so doing, the arbitrator shall take

whatever action is necessary to insure an equitable, orderly, and expeditious hearing

on the claim. The parties shall abide by the arbitrator’s rulings.

C. The Arbitrator shall have authority to:

1. Administer oaths or affirmation;

2. Regulate the course of the hearing;

3. Rule on offers of proof and the admissibility of documents;

4. Limit the number of witnesses when testimony would be unduly repetitious;

and

5. Exclude any person from the hearing for contemptuous conduct or

misbehavior that obstructs the hearing.

XVII. Burden of Proof During Dispute Resolution Process

The employee shall bear the burden of proof by a preponderance of the evidence. The

employee, or employee’s dependents in cases of death, shall bear the burden of proving:

A. that the injury complained of was a result of an occupational incident, exposure,

or activity;

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B. that the injury arose out of claimant’s employment with the Gaming Operation;

and

C. that the injury arose while in the course and scope of claimant’s employment;

and

D. the nature and extent of the claimant’s resulting disability.

XVIII. Acts Outside Scope of Employment

A. Employees determined by the Administrator to be acting outside of the

scope of their employment shall be afforded no coverage under this Plan.

B. An incident or exposure occurring while an employee is on the way to or

from work is not in the course of employment, unless such travel is in direct

connection with the employee’s work, as determined by the Administrator.

C. Liability for compensation under this Plan shall not exist for any injury

sustained by an employee if the injury is caused by any of the following:

1. Intoxication of the employee, by alcohol, marijuana, or by the use or

abuse of a prescription medication or controlled substance;

2. Self-infliction;

3. Willful or deliberate causing of his/her own death;

4. An altercation in which the employee is the initial physical

aggressor;

5. Commission of a felony, or a crime which is punishable as specified

in subdivision (b) of section 17 of the California Penal Code, by the

injured employee, where the employee is found to have committed

such act by a preponderance of the evidence;

6. The employee’s voluntary participation in any off-duty recreational,

social, or athletic activity not constituting a part of the employee’s

work-related duties, except where these activities are expressly or

impliedly required by, his/her employment; or

7. Any type of horseplay.

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XIX. Applicable Law

Any claim brought under this Regulation shall be determined in accordance with Tribal

law and the principles of Federal law applicable to similar claims. To the extent Tribal law 

differs from Federal law, Tribal Law shall apply. California law may be used as a non-binding 

source of guidance and, where so used, shall be liberally construed in favor of the Employer.

XX. Claim Closure

An employee’s claim shall be closed when the Administrator determines that the injured

employee has reached the point where no further material improvement would reasonably be 

expected from medical treatment, or for other reasons stated in this Plan.

XXI. Aggravation of Pre-existing Disease/Injury

In case of aggravation of any injury or illness existing prior to a compensable workrelated injury/illness, compensation shall be allowed only for the proportion of the disability due 

to the aggravation of such prior injury or illness, which is reasonably attributed to the workrelated injury/illness.

XXII. Employment Records

Any and all employment records for the Gaming Operation are declared to be the sole

and private property of the Gaming Operation. Any information necessary in determining the 

eligibility of employees and to compute entitlements to compensation under this Plan will be 

provided to the Administrator for such purposes.

XXIII. Fraud

Whenever any payment of benefits under this Regulation is obtained or induced by

fraud, the recipient thereof shall reimburse the Administrator any and all such payment in full 

together with a penalty of fifty percent (50%) of said payment. The Administrator must make a 

claim for such reimbursement, repayment, or recoupment within one (1) year of discovering the 

fraud.

XXIV. Severability

If any part of this Plan is held to be invalid, the remainder shall continue to be in full

force and effect to the maximum extent possible.

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1

Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 012

Pauma Gaming Commission

I. Purpose

This Regulation establishes the Pauma Gaming Commission as a non-political and 

independent unit of Tribal government charged with the regulation of class II and class III 

gaming operations on 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. § 2701 et seq.) and its regulations (25 C.F.R. § 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 

Ordinance, IGRA, or the Compact. 

In this Regulation:

A. “Commission” means the Pauma Gaming Commission;

B. “CLETS” means the California Law Enforcement Telecommunications System;

C. “Executive Director” means the individual described in Section VI of this 

Regulation;

D. “Gaming facility” includes associated properties, including, but not limited to, the 

gaming facility’s parking lot and special event venues;

E. “Immediate family” means parents, spouse, siblings, and offspring;

F. “NIGC” means the National Indian Gaming Commission;

G. “Promotions” means any promotional activities of the Tribe’s Gaming Operation, 

including, but not limited to, player’s club rewards and activities, promotional 

tournaments or contests, and special offers; and

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H. “State summary criminal history information” means the master record of 

information compiled by the Attorney General of California pertaining to the 

identification and criminal history of a person, such as name, date of birth, 

physical description, fingerprints, photographs, dates of arrests, arresting agencies 

and booking numbers, charges, dispositions, sentencing information, and similar 

data about the person, or a copy of such a record, and does not refer to records 

and data compiled by criminal justice agencies other than the Attorney General of

California, nor does it refer to records of complaints to or investigations 

conducted by, or records of intelligence information or security procedures of, the 

office of the Attorney General of California and the California Department of 

Justice.

III. Commission

A. Establishment

The Commission shall be composed of three (3) Commissioners elected by the General 

Council at a duly called meeting. The election shall occur only after interested candidates have 

been nominated at a duly called meeting of the General Council, after being given two (2) 

months advance notice of the opportunity, and have been pre-screened by the Business 

Committee to ensure they meet the eligibility criteria set forth in Subsection III.C of this 

Regulation. In order to ensure individuals who are not Tribal members have an opportunity to be 

nominated, the Business Committee shall publish notice of the opportunity and the nomination 

process in the local newspaper.

B. Powers and Duties

The Commission shall exercise all powers necessary to perform the duties assigned to it 

by the Gaming Ordinance, this Regulation, or any other gaming regulation duly adopted by the 

General Council. The Commission shall exercise its regulatory powers in accordance with 

IGRA, the Compact, and applicable Tribal, Federal, and State laws or regulations. Without 

limiting the generality of the foregoing, the Commission is authorized to:

1. Conduct background investigations of all prospective employees and other 

persons for whom background investigations are required as a condition of 

licensing by the Compact or Tribal, Federal, or State law;

2. Issue, suspend, revoke, and renew licenses of all persons referred to in 

subparagraph 1 above upon completion of background investigations and 

review of eligibility/suitability;

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3. Forward completed applications and investigative reports on each 

background investigation for primary management officials and key 

employees to the NIGC prior to issuing a license and notify the NIGC if, 

after conducting a background investigation on a primary management 

official or a key employee, the Commission does not license the 

individual;

4. Forward to the State Gaming Agency notices of intent to license and 

completed applications and investigative reports as required by the 

Compact;

5. Maintain records on licensees and on persons denied licenses, as well as 

persons otherwise prohibited from engaging in gaming activities within 

the Tribe’s jurisdiction, provided that applications and background 

investigation reports shall be maintained for at least three (3) years from 

termination of employment;

6. Provide the State Gaming Agency with the name, badge identification 

number, and job description of all non-key gaming employees as 

requested by the State Gaming Agency;

7. Issue licenses to each place, facility, or location on the Pauma-Yuima 

Reservation where the Tribe authorizes class II or class III gaming;

8. Ensure that gaming facilities are constructed, maintained and operated in a 

manner that adequately protects the environment and the public health and 

safety;

9. Obtain annual independent outside audits and submit these audits to the 

NIGC;

10. Ensure that net revenues from any gaming activities are transferred from 

the Gaming Operation to the Tribe in a timely manner to be used for the 

purposes set forth in Article V of the Tribe’s Gaming Ordinance;

11. Create Tribal gaming regulations for approval by the General Council, 

including but not limited to regulations dealing with:

(a) criteria and procedures for licensing:

(i) all employees of the gaming operation;

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(ii) each place, facility, or location on the Pauma-Yuima 

Reservation where the Tribe authorizes class II or class III 

gaming; and

(iii) persons and entities who do business with the Gaming 

Operation, including manufacturers and suppliers of 

machines, equipment, and supplies;

(b) minimum internal control standards or procedures for the Gaming 

Operation, including standards or procedures relating to:

(i) credit policies and procedures for acquiring supplies and 

equipment;

(ii) surveillance;

(iii) games and gaming machines;

(iv) cage and credit;

(v) internal audit;

(vi) electronic data processing; and

(vii) complimentary services or items;

12. Resolve patron disputes;

13. Perform audits of business transactions to ensure compliance with 

applicable laws, regulations, the Compact, and/or policy, including 

random monitoring of gaming employees’ actions, and conduct 

investigations into any reported or suspected irregularities or 

improprieties;

14. Monitor gaming activities to ensure compliance with IGRA, the Compact,

and other Tribal, Federal, or State laws and regulations related to gaming;

15. Interact with other regulatory and law enforcement agencies regarding the 

regulation of gaming;

16. Conduct investigations of possible violations of IGRA, the Compact, and 

applicable Tribal, Federal, and State laws and regulations, provided:

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(a) the Commission’s responsibility is to help ensure compliance with 

IGRA, the Compact, other Tribal, Federal, and State laws and 

regulations relating to the regulation of gaming;

(b) the Commission is not responsible for ensuring compliance with 

other civil/regulatory Tribal, Federal, or State laws but may, at its 

discretion, investigate possible violations of such laws at the 

gaming facility, report the information to such interested persons 

as it may deem appropriate, and take such violations into account 

for purposes of taking licensing action against applicants or 

licensees or involuntary exclusions of patrons from the Gaming 

Facility; 

(c) when a preliminary investigation provides the Commission with 

reasonable grounds to believe criminal activity is occurring in the 

Gaming Facility or is being committed by a licensee or patron, the 

Commission will turn over its investigative report and related 

information and evidence to the Tribal, Federal, or State law 

enforcement agency or agencies having jurisdiction over the 

alleged criminal activity and cooperate with said agencies in 

regards to any further investigation, prosecution, or enforcement 

action carried out by the agencies;

(d) every licensee has a duty to comply with requests from the 

Commission or its employees, to cooperate in an investigation, and 

to avoid providing false or misleading information, or withholding 

relevant information, when doing so; 

(e) every licensee has a duty to comply with requests from the 

Commission or its employees for access to, inspection of, or 

disclosure of any record or information reasonably relevant to the 

investigation; 

(f) a licensee who is interviewed by the Commission or its employees 

in the course of investigation may be required to agree in writing 

not to disclose information relating to the interview or 

investigation as a breach of this duty to maintain confidentiality 

may lead to the destruction of evidence, false statements by other 

licensees, or retaliatory action by other licensees; 

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(g) no manager or other gaming employee shall take retaliatory action 

against a licensee for the licensee’s cooperation with an 

investigation or maintenance of confidentiality concerning the 

investigation; and

(h) a licensee who violates the preceding subparagraphs (d) through 

(g), is subject to denial, revocation, or suspension of his or her 

license and/or other enforcement action as outlined in the 

following subparagraph B(17);

17. Take appropriate enforcement action for such violations, including, but 

not limited to:

(a) Imposition of civil penalties not to exceed five thousand dollars 

($5,000.00) per each separate count or violation, where each day of 

violation shall constitute a separate count or violation;

(b) Inspect and examine all premises wherein gaming is conducted or 

gambling devices are used, manufactured, sold, or distributed;

(c) Inspect all equipment and supplies in, upon or about the Gaming 

Operation, or inspect any equipment or supplies, wherever located, 

which may be, or have been, used in the Gaming Operation;

(d) Summarily seize and remove from a gaming operation (or 

wherever located) and impound such equipment or supplies for the 

purposes of examination, inspection, evidence, or forfeiture;

(e) Demand immediate access to and inspect, examine, and audit all 

papers, books, and records of applicants and licensees, including 

the Gaming Operation, and require verification of income and all 

other matters affecting the enforcement of this Regulation;

(f) Seize and impound any patron’s winnings which the Commission 

has reason to believe may have been won or obtained in violation 

of this Regulation pending a civil forfeiture hearing on such 

seizure; and

(g) Issue orders, by certified or registered mail, return receipt 

requested or personal service, to compel the attendance of 

witnesses for hearings at any place within the Pauma-Yuima 

Reservation, to administer oaths, and require testimony under oath.

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18. Operate and oversee the surveillance system at the Gaming Facility, 

including the hiring and supervision of the surveillance staff, but the cost 

of purchasing and installing any surveillance equipment for additional 

construction and special projects, as deemed necessary by the 

Commission, shall be covered by the Gaming Operation;

19. Require the Gaming Operation to submit its policies and procedures, 

including but not limited to its internal control system, to the Commission 

or its employees for review, comment, and approval as to compliance with 

the Compact or applicable Tribal, Federal, or State gaming laws or 

regulations, prior to implementation of the policies and procedures or any 

amendments thereto;

20. Review and approve the Gaming Operation’s rules or standards for the 

conduct of promotional or special events, or any amendments thereto, 

prior to such events being held, and such rules or standards shall address, 

among other matters, the number of security employees or contract 

security guards overseeing the event, a diagram of the event site, location 

of any point of sale systems, a copy of any ABC license, and a copy of the 

notice to both Tribal law enforcement and the Tribal fire department;

21. Require the Gaming Operation to provide monthly or other periodic 

reports to the Commission, no later than the 15th of each month, including 

but not limited to a financial report (the content of which to be determined 

by the Commission), departmental exception/variance reports, 

departmental complimentary logs, departmental complimentary 

exception/variance logs, summary of security incident logs, Title 31 

reports, and SARC reports;

22. Require the Gaming Operation to submit to the Commission, prior to the 

purchase or sale of any class II or class III game or modification thereto, 

for review and approval, all contracts, sale orders, method of play, billing 

statements, or other documents relating to the game or its purchase or sale;

23. Take testimony and conduct hearings on regulatory matters within the 

jurisdiction of the Commission;

24. Provide independent information to the Tribe on the status of the Gaming 

Operation;

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25. Retain a paid staff, legal counsel, and other consultants to be paid out of 

the Commission’s approved annual budget provided the Commission’s 

personnel policies and procedures relating to Indian preference shall be 

consistent with the related policies and procedures of the Tribe;

26. Establish such policies, procedures, and rules as are needed to carry out 

the purposes of the Gaming Ordinance, this Regulation, and other Tribal 

gaming regulations; and

27. Delegate any of the above-mentioned powers to the Executive Director.

C. Qualifications

1. To serve as a Commissioner, an individual must be at least twenty-one 

(21) years of age, be a U.S. citizen, and have experience or training in one 

or more of the following fields: accounting, Indian gaming law, law 

enforcement, gaming management, or gaming regulation; provided that a 

Tribal member who lacks such experience or training is still eligible to 

serve as a Commissioner but he/she must initiate such training within six 

(6) months of his/her election,. When an individual lacks the desired 

experience or training prior to his/her election, he/she shall obtain formal

training from the NIGC or a training provider recognized by the industry. 

Tribal member preference applies.

2. No member of the Business Committee or the Enterprise Board, and no 

employee of any Gaming Operation, may serve concurrently as a 

Commissioner.

3. No more than one member of the same immediate family may serve on the 

Commission at the same time. 

4. The Business Committee shall conduct or cause to be conducted a 

background investigation on each prospective Commissioner without 

delay after the candidate has self-identified in accordance with Subsection 

III.A of this Regulation. Should the background investigation result in 

any one of the following findings against the Commissioner or prospective 

Commissioner, he/she shall be disqualified from serving as a 

Commissioner:

(a) The person has been convicted, or is currently being prosecuted 

for, a felony or a crime of moral turpitude, including, but not 

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limited to, fraud, theft, embezzlement, or a misdemeanor gaming 

offense;

(b) The person has knowingly or willfully provided materially false or 

misleading information to the Tribe relevant to the background 

investigation;

(c) The person has refused to respond to questions asked by the 

Business Committee that are relevant to the background 

investigation; or

(d) A majority of the Business Committee determines that the person 

is a person whose prior activities, criminal record, if any, or 

reputation, habits, and associations pose a threat to the public 

interest or to the effective regulation and control of gaming, or 

create or enhance the dangers of unsuitable, unfair, or illegal 

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

carrying on of related business and financial arrangements.

5. If a Commissioner is charged with a felony or a crime of moral turpitude 

after the Business Committee has initiated or completed his/her

background investigation, he/she shall notify the other Commissioners and 

the Business Committee immediately.

D. Term of Office 

1. Commissioners shall serve for a term of five (5) years, with no limitation 

as to the number of terms served. 

2. It shall be the duty of the Secretary-Treasurer of the Commission to notify 

the Business Committee in writing of the end date of a Commissioner’s 

term at least ninety (90) days before the end of the term. The Business 

Committee will ensure that the opening(s) are announced and published at 

least sixty (60) days prior to the next General Council’s meeting.

E. Resignation, Termination for Cause, Disqualification 

1. Commissioners shall serve until the appointment of their successors, or 

until resignation, termination for cause, disqualification, or death. 

2. Any Commissioner may resign from office at any time. Resignations shall 

be made in writing delivered to the Business Committee.

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3. Termination for cause shall be ordered upon approval by a two-thirds (2/3) 

vote of the General Council at a duly called meeting with a quorum 

present. “Cause” exists when a Commissioner commits any of the 

following:

(a) Willful misconduct damaging to the Commission or its reputation;

(b) Intentional violation of any law or regulation;

(c) Unauthorized disclosure of any confidential information of the 

Commission;

(d) Continued failure to perform duties owed to the Commission; or

(e) If the Commissioner otherwise becomes disqualified under the 

qualifications criteria set out in subparagraphs (a) – (d) of 

paragraph (4) of Subsection III.C of this Regulation.

F. Vacancies 

If any vacancy is created on the Commission by virtue of resignation, death, or removal 

of a Commissioner, the General Council shall elect a replacement for the remainder of the 

current term. The election shall be made within sixty (60) days of the vacancy’s occurrence by 

approval of the General Council.

G. Compensation

Commissioners shall be paid at a rate established by the Commission’s annual budget, 

which must be approved by the General Council in accordance with Section VIII of this 

Regulation. Commissioners shall be reimbursed for necessary out-of-pocket expenses incurred 

in carrying out the duties and responsibilities of their position. Receipts or appropriate 

documentation shall be submitted for all expenses to be reimbursed. In no event shall 

compensation be based on a percentage of net profits from the Tribe’s Gaming Operation.

H. Protections Against Conflicts of Interests

1. Commissioners shall not engage in any gaming activity at the Tribe’s 

Gaming Facility. Commissioners’ immediate family members may 

engage in gaming activities at the Tribe’s Gaming Facility, except that 

such persons may not win the grand prize or top award if they participate 

in promotional drawings. Commissioners shall not have any personal 

financial interest in the gaming activities of any patron of the Tribe’s 

Gaming Facility.

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2. If a Commissioner or a member of the Commissioner’s immediate family 

has an existing or potential financial interest in any matter over which the 

Commission exercises decision-making authority, that Commissioner shall 

make full disclosure of that interest to the Commission and shall abstain 

from voting, or being present during any vote, on the matter. For the 

purposes of this Regulation, the receipt of a per-capita distribution of 

Gaming Operation profits as paid to all eligible Tribal members shall not 

constitute a financial interest in the Gaming Operation. 

3. Commissioners shall not use or divulge any confidential information 

obtained while carrying out the duties and responsibilities of their position 

for the purpose of benefiting themselves or their immediate family, either 

directly or indirectly. 

4. Commissioners or members of a Commissioner’s immediate family may 

not receive personal compensation, gifts, reimbursement, or payment of 

any kind from any person doing or wishing to do business with the Tribe 

relating to gaming nor with any person wishing to obtain an unfair 

advantage in any authorized wager on gaming. Any property received in 

violation of this provision, including cash payments, shall be immediately 

forfeited to the Tribe and the offending persons shall be prosecuted to the 

fullest extent possible. The Commission shall cooperate to the fullest 

extent possible with any Federal or State law enforcement agency to 

pursue prosecution under applicable Federal or State law.

I. Reports

Prior to each regular General Council meeting, the Commission shall provide to the 

General Council a report summarizing the Commission’s activities since the previous reporting 

period, and accounting for all receipts and disbursements. In the event a General Council 

meeting is cancelled the report shall go to the Business Committee to be made available to the 

General Council members.

J. California Law Enforcement Telecommunications System (CLETS) 

Compliance

1. The Commissioners, the Executive Director, and any other staff employed 

by the Commission are authorized to receive state summary criminal 

history information, or a copy thereof, maintained under a person’s name 

by the California Department of Justice.

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2. The Commissioners, the Executive Director, and any other staff employed 

by the Commission shall not knowingly furnish state summary criminal 

history information to a person who is not authorized to receive the record 

or information. 

3. Any person authorized by this Regulation to receive state summary

criminal history information who knowingly furnishes the record or 

information to a person who is not authorized by law to receive the record 

or information is guilty of a misdemeanor under section 11142 of the 

California Penal Code.

4. Any person who, knowing he/she is not authorized by law to receive state 

summary criminal history information, knowingly buys, receives, or 

possesses the record or information is guilty of a misdemeanor under 

section 11143 of the California Penal Code.

5. It is not a violation of this Section to:

(a) disseminate statistical or research information obtained from state 

summary criminal history information, provided that the identity of 

the subject of the record is not disclosed;

(b) disseminate information obtained from state summary criminal 

history information for the purpose of assisting in the apprehension 

of a person wanted in connection with the commission of a crime; 

or

(c) include information obtained from state summary criminal history 

information in (1) a transcript or record of a judicial or 

administrative proceeding or (2) any other public record when the 

inclusion of the information in the public record is authorized by a 

court, statute, or decisional law.

IV. Meetings

A. Rules and Regulations

The Commission may adopt such rules and regulations for the conduct of their meetings 

and the management of the Commission as they may deem proper.

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B. Place

Regular meetings of the Commission shall be held on the Pauma-Yuima Reservation or 

other location designated by the Commission. 

C. Initial Meeting 

The Commission shall hold its initial meeting within fourteen (14) days after the 

Commissioners are elected.

D. Regular Meetings

The Commission shall establish a regular schedule of meetings, and shall hold no less 

than two (2) meetings in each thirty-day period.

E. Special Meetings

Special meetings of the Commission may be called at the request of the Executive 

Director or by any Commissioner.

F. Quorum

A quorum of the Commission shall consist of two (2) Commissioners. In the absence of 

a quorum, no business shall be conducted other than for the purpose of information sharing only. 

Every act or decision done or made by the Commissioners present at a meeting duly convened at 

which a quorum is present shall be regarded as an act of the Commission, subject to the 

provisions of this Regulation and any applicable law. 

G. Mode of Meeting

The Commission may conduct regular or special meetings through the use of any means 

of communication by which all Commissioners may simultaneously hear each other.

H. Notice

The schedule of regular meetings shall be sent to each Commissioner and the Executive 

Director, and no further notice of regular meetings is required to be given. Notice of special 

meetings shall be given in writing to each Commissioner and the Executive Director at least 

twenty-four (24) hours prior to the meeting. Notices shall be given either personally, by 

telephone, by mail, by-email, or by fax. Such notice shall state the place, date, hour of the 

meeting, and the general nature of the business to be transacted. In the case of a special meeting, 

no other business other than that set out in the notice may be transacted at the meeting, unless 

approved by unanimous vote of the Commissioners. Notice is not required when the 

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requirement is waived by unanimous consent of the Commissioners. Such vote shall be recorded 

in the minutes of the meeting at which such vote was taken.

V. Officers

A. Appointment and Term

At its initial meeting, the Commission shall appoint from among its members a President, 

Vice-President, and Secretary-Treasurer on an annual basis. No officer shall serve in more than 

one office simultaneously.

B. Duties of Officers

The duties and powers of the officers of the Commission are those specified in this 

Regulation and shall include any additional duties and powers as may be set by resolution of the 

Commission, provided that such duties and powers shall not exceed the powers granted to the 

Commission by this Regulation.

C. President

The President shall preside at meetings of the Commission. The President shall be the 

principal executive officer of the Commission. 

D. Vice-President

In the absence of the President, the Vice-President shall perform all the duties of the 

President and when so acting shall have all the powers of, and be subject to all the restrictions 

upon, the President. The Vice-President shall have such other powers and perform such other 

duties as may be prescribed by the President. 

E. Secretary-Treasurer

The Secretary-Treasurer shall have the following duties:

1. The Secretary-Treasurer shall maintain or cause to be maintained the book 

of minutes of all meetings and actions of the Commission, which shall be 

kept at the Commission’s main office. This shall include the time and 

place of meetings, whether regular or special, and, if special, how 

authorized, the notice given, and the names of those present at such 

meetings. The Secretary-Treasurer shall give, or cause to be given, notice 

of all meetings of the Commission required by this Regulation. The 

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Secretary-Treasurer shall keep the seal, if any, of the Commission in safe 

custody.

2. The Secretary-Treasurer shall monitor the fiscal activities of the 

bookkeeper and/or accountant retained by the Commission to maintain the 

financial records of the Commission.

F. Officer Vacancies

A vacancy in the office of President, Vice-President, or Secretary-Treasurer due to death, 

resignation, removal, disqualification, or any other cause shall be filled by the Commission 

within thirty (30) days of the appointment of the replacement Commissioner by the General 

Council, and the Commission may at such time reassign as many Commissioners as necessary to 

new offices. 

VI. Executive Director

A. Powers and Duties

The Executive Director shall be responsible for the day-to-day management of the affairs 

of the Commission as well as overseeing the establishment and operation of all gaming activities 

for compliance with all applicable Tribal, Federal, and State gaming laws and regulations. In 

addition, the Executive Director shall perform such duties as may be delegated by resolution of 

the Commission from time to time. 

B. Position

The Executive Director shall be hired by the Commission and report directly and only to 

the Commission. The Executive Director may be terminated by majority vote of the 

Commission, with or without cause.

C. Qualifications

1. The Executive Director must be at least twenty-five (25) years of age, a 

U.S. citizen, and have at least five (5) years’ recent experience in gaming 

management or gaming regulation. 

2. The Executive Director must satisfy the licensing and background 

investigation requirements set out in the Tribe’s regulations concerning 

licensing and background investigation procedures.

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3. Any person who has been convicted of, or is currently being prosecuted 

for, a felony or a crime of moral turpitude, including, but not limited to, 

fraud, theft, and embezzlement, is not eligible to serve as Executive 

Director. 

D. Compensation

The Executive Director shall be compensated in accordance with the terms of his/her 

employment. Compensation shall not be based, in whole or in part, on the profitability of the 

Gaming Operation. Compensation shall be paid out of the Commission’s annual budget.

E. Protections Against Conflicts of Interests

The restrictions imposed on Commissioners under paragraph H of Section III of this 

Regulation shall apply equally to the Executive Director.

F. Reports

The Executive Director shall make at least monthly reports to the Commission within 

thirty (30) days after the close of the month for which the information is being provided. The 

report shall, at a minimum, include a full and complete statement of auditing activities, expenses,

all other financial transactions of the Executive Director, and a summary of all licensing and 

enforcement actions.

VII. Confidentiality

Each Commissioner, the Executive Director, and any staff employed by the Commission 

shall be required to sign a confidentiality agreement and will be responsible for ensuring the 

strictest standards of confidentiality with respect to all information concerning the Gaming 

Operation or the Commission’s business. Except where disclosure of information to the NIGC, 

the State Gaming Agency, the Business Committee, the General Council, the Gaming Appellate 

Board, or any other person or organization is required by the Compact or applicable Tribal, 

Federal, or State law, all information provided to or obtained by the Commission, the Executive 

Director, or any staff employed by the Commission in performance of their duties shall be kept 

confidential; such information shall not be disclosed to any person or organization without the 

written consent of the Business Committee or the written consent of the person to whom the 

information pertains. The Commission and the Executive Director may refuse to reveal in any 

court proceeding, except proceedings of the Gaming Appellate Board, the identity of any 

informant and/or the information obtained from the informant.

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VIII. Budget

At least sixty (60) days prior to the end of each fiscal year, the Commission shall prepare 

a budget for the next year’s operation and shall submit the budget to the General Council. In 

preparing the annual budget, all actual and anticipated surplus funds of the Commission shall be 

taken into account. The General Council shall adopt, amend, or replace the annual budget and, 

based thereon, shall authorize the transfer of the annual capital it may need for operation and 

program purposes. Expenditures by the Commission shall be in accordance with the approved 

annual budget, except that the Commission may deviate from the terms of the adopted budget by 

a margin of not more than ten percent (10%) during the budget year without further approval of 

the General Council.

IX. Review

A. Executive Director’s Decisions

Any person or entity adversely affected by a decision of the Executive Director, including 

but not limited to the Gaming Operation or any employee thereof, may petition the Commission 

for review of such decision within thirty (30) days after receiving notice of the decision. Said 

decision shall only be reversed by a majority vote of the Commission at a duly held meeting at 

which such matter has been placed on the agenda at least fifteen (15) days prior to such meeting.

B. Commission’s Decisions

1. Any person or entity adversely affected by a decision of the Commission, 

including but not limited to the Gaming Operation or any employee 

thereof, may petition the General Council for review of such decision 

within thirty (30) days after receiving notice of the decision. However,

decisions of the Commission to deny, suspend, or revoke a license are not 

subject to review by the General Council and must be appealed to the 

Gaming Appellate Board in accordance with Section V of Gaming 

Regulation 013: Gaming Appellate Board and decisions of the 

Commission concerning patron disputes, under Article X of the Gaming 

Ordinance, are final and not subject to further review. This subparagraph 

does not apply to personnel decisions of the Commission; employees of 

the Commission or applicants for such positions who wish to challenge a 

personnel decision of the Commission must do so in accordance with the 

personnel policies and procedures of the Commission.

2. With respect to decisions subject to General Council review, the 

Commission shall provide the General Council with such information as 

may reasonably be required for the General Council to review the 

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Commission’s decision. However, the Commission shall not disclose to 

the General Council the identity of third parties interviewed during the 

course of background investigations, State summary criminal history 

information obtained from the California Department of Justice or other 

law enforcement agency in the course of background investigations, or 

any other information the disclosure of which would violate Tribal, 

Federal, or law. 

3. Decisions of the Commission subject to General Council review shall only 

be modified or reversed upon approval by the General Council at a duly 

held meeting at which such matter has been placed on the agenda at least 

fifteen (15) days prior to such meeting. The General Council is authorized 

to modify or reverse a decision made by the Commission only where the 

General Council finds, by a two thirds (2/3) vote of those present at the 

meeting, that:

(a) the Commission exceeded its jurisdiction, authority, or limitations, 

under applicable Tribal laws; or

(b) the Commission’s decision is unsupported by substantial evidence, 

unwarranted by the facts, or otherwise not in accordance with 

applicable Tribal, Federal, or State laws.

C. Further Review

The decisions of the General Council and the Gaming Appellate Board shall be final and 

binding upon the petitioner, Executive Director, or Commission and shall not be subject to 

judicial review, dispute resolution, or other legal action.

X. Sovereign Immunity

A. As an agency of the Tribal government, the Commission shall enjoy the full 

benefits of the Tribe’s sovereign immunity and any and all attributes of 

sovereignty enjoyed by the Tribal government. The Commission has no authority 

to waive the Tribe’s sovereign immunity.

B. The sovereign immunity of the Tribe is in no manner waived by this Regulation 

or by any action by the Business Committee, the Gaming Operation, the 

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

Operation acting pursuant to this Regulation.

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Pauma Band of Luiseño Indians of the Pauma & Yuima Reservation

Gaming Regulation 013

Gaming Appellate Board

I. Purpose

This Regulation establishes the Gaming Appellate Board as a non-political and 

independent unit of Tribal government responsible for hearing appeals of licensing decisions of 

the Pauma Gaming Commission (the “Commission”).

II. Interpretation

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

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

Ordinance, IGRA, or the Compact. In this Regulation:

A. “Board” means the Gaming Appellate Board established by this Regulation;

B. “Immediate family” means parents, spouse, siblings, and offspring; and

C. “Member” means a member of the Board.

III. Board

A. Establishment

The Board shall be composed of three (3) Members appointed by the General Council. 

The General Council may, in its sole discretion, appoint up to three (3) alternates to serve in the 

event one or more Members are unable to attend a hearing.

B. Powers and Duties

The Board shall hear final appeals of licensing decisions of the Commission. The Board 

shall render its decisions in accordance with IGRA, the Compact, the Tribe’s own gaming laws, 

and applicable State laws. In accordance with Section 6.4.8 of the Compact, Article 6 

(commencing with section 11140) of Chapter 1 of Title 1 of Part 4 of the Penal Code is 

applicable to Members of the Board. 

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C. Qualifications

1. To serve as a Member of the Board, an individual must be at least twentyone (21) years of age, be a U.S. citizen, have a minimum of a 4-year 

college degree and eight (8) years of experience in one or more of the 

following fields: accounting, law, law enforcement, gaming management,

or gaming regulation. Preference shall be given to experience in Federal 

Indian law or Tribal gaming.

2. No member of the Business Committee or the Commission and no 

employee of the Commission or any gaming operation may serve 

concurrently as a Member of the Board, and no Tribal member may serve 

as a member of the Board.

3. No more than one member of the same immediate family may serve on the 

Board at the same time. 

4. The Business Committee shall conduct or cause to be conducted a 

background investigation on each Member either before or within thirty 

(30) days of the Member’s appointment. Should the background 

investigation result in any one of the following findings against the 

Member or prospective Member, he or she shall be disqualified from 

serving as a Member of the Board:

(a) The person has been convicted, or is currently being prosecuted 

for, a felony or a crime of moral turpitude, including, but not 

limited to, fraud, theft, embezzlement, or a misdemeanor gaming 

offense;

(b) The person has knowingly or willfully provided materially false or 

misleading information to the Tribe relevant to the background 

investigation;

(c) The person has refused to respond to questions asked by the 

Business Committee that are relevant to the background 

investigation;

(d) A majority of the Business Committee determines that the person 

is a person whose prior activities, criminal record, if any, or 

reputation, habits, and associations pose a threat to the public 

interest or to the effective regulation and control of gaming, or 

create or enhance the dangers of unsuitable, unfair, or illegal 

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

carrying on of related business and financial arrangements.

D. Term of Office 

Members shall serve for a term of three (3) years, with no limitation as to the number of 

terms served. 

E. Resignation, Termination for Cause, Disqualification 

1. Members shall serve until the appointment of their successors, or until 

resignation, termination for cause, disqualification, or death. 

2. Any Member may resign from office at any time. Resignations shall be 

made in writing delivered to the Business Committee.

3. Termination for cause shall require a majority vote of those present at a 

duly-called meeting of the General Council.

F. Vacancies 

If any vacancy is created on the Board by virtue of resignation, death, or removal of a 

Member, the General Council shall appoint a replacement for the remainder of the current term. 

The appointment shall be made within thirty (30) days of the vacancy’s occurrence by approval 

of the General Council.

G. Compensation

Members shall be paid a stipend at a rate established by the Business Committee. The

stipend shall be at the rate of at least three hundred fifty dollars ($350.00) per Member per 

meeting. The stipend is compensation for attendance at the meeting as well as for time spent on 

deliberations and drafting written decisions of appeals heard at the meeting. Members shall be 

reimbursed for necessary out-of-pocket expenses incurred in carrying out the duties and 

responsibilities of their position. Receipts or appropriate documentation shall be submitted for 

all expenses to be reimbursed. In no event shall compensation be based on a percentage of net 

profits from the Tribe’s Gaming Operation.

H. Protections against Conflicts of Interests

1. Members and their immediate family members may not engage in any 

gaming activity at the Tribe’s Gaming Facility, nor may Members have 

any personal financial interest in the gaming activities of any patron of the 

Tribe’s Gaming Facility. 

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2. If a Member or a member of the Member’s immediate family has an 

existing or potential financial interest in any matter over which the Board 

exercises decision-making authority, that Member shall make full 

disclosure of that interest to the Board and shall abstain from voting, or 

being present during any vote, on the matter. 

3. No Member shall use or divulge any confidential information obtained 

while carrying out the duties and responsibilities of their position for the 

purpose of benefiting themselves or their immediate family, either directly 

or indirectly. 

4. No Member or member of a Member’s immediate family may receive 

personal compensation, gifts, reimbursement, or payment of any kind from 

any person doing or wishing to do business with the Tribe relating to 

gaming, nor with any person wishing to obtain an unfair advantage in any 

authorized wager on gaming. Any property received in violation of this 

provision, including cash payments, shall be immediately forfeited to the 

Tribe and the offending persons shall be prosecuted to the fullest extent 

possible. The Board shall cooperate to the fullest extent possible with any 

Federal or State law enforcement agency to pursue prosecution under 

applicable Federal or State law.

I. Decisions

All decisions shall be made by a majority vote. The Board shall prepare a written 

statement of its decision for each appeal it hears, including a brief statement of the reasons for its 

decision. Each decision shall be prepared and sent to the appellant by certified or registered 

mail, return receipt requested, within thirty (30) days from the hearing. A copy of each decision 

will also be submitted to the Tribal Chairperson on behalf of the General Council, the 

Commission, and the Gaming Operation to be kept in the employee’s personnel file. 

J. Confidentiality

Each Member, and the recorder of minutes referred to in paragraph E of Section IV of 

this Regulation, shall be required to sign a confidentiality agreement and will be responsible for 

ensuring the strictest standards of confidentiality with respect to all information concerning the 

Gaming Operation or the Commission’s business. Except where disclosure of information to the 

General Council, the Commission, or the appellant is authorized under paragraph I of Section III

of this Regulation, all information provided to or obtained by the Board in performance of their 

duties shall be kept confidential and shall not be disclosed to any person or organization. The 

Board may refuse to reveal in any court proceeding, the identity of any informant and/or the 

information obtained from the informant.

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IV. Meetings

A. Rules and Regulations

The Board may adopt such rules and regulations for the conduct of their meetings and the 

management of the Board as they may deem proper.

B. Place

Meetings of the Board shall be held on the Pauma-Yuima Reservation.

C. Quorum

A quorum of the Board shall consist of three (3) Members, which may include an 

alternate Member. 

D. Minutes

The Gaming Appellate Board shall have official minutes prepared of the hearing 

proceedings, which may be included in its decision. 

V. Appeals

A. Filing Appeals

Any applicant for a gaming license or holder of a license issued by the Commission who 

is adversely affected by a final decision of the Commission to deny, suspend, or revoke his/her 

license may file a notice of appeal with the Board within twenty (20) days after receiving notice 

of the Commission’s decision, provided that the appellant has exhausted his/her administrative 

remedies under Section XXIII of Gaming Regulation 001, Licensing and Background 

Investigation Procedures. The notice of appeal shall be in writing and shall specify the reasons 

for appealing the Commission’s decision. The Business Committee is authorized to set a 

standard filing fee, not to exceed two hundred fifty dollars ($250.00), applicable to all appeals to 

the Board. Any filing fee must be paid by the appellant to the Business Committee at the time 

the notice of appeal is filed and shall be nonrefundable, except that an appellant whose appeal is 

granted by the Board (i.e., the Board reverses the decision of the Commission) shall be entitled 

to recover the cost of the filing fee from the Tribe.

B. Scheduling of Appeal

An appeal shall be scheduled by the Gaming Appellate Board no earlier than fourteen 

(14) days after the filing of the notice of appeal. Upon good cause shown by an appellant, the 

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Board may waive the 14-day requirement of this Section and place an appeal on an earlier Board 

calendar. 

C. Scope of Review

1. In deciding any such appeal, the Board is limited to the information before 

the Commission at the time of the Commission’s final decision and may 

review any and all information used by the Commission in reaching its 

decision. The Board may not consider evidence which was not presented 

to the Commission. 

2. Neither the Board nor the Commission shall disclose to the appellant or 

his or her representative: 

(a) the identity of third parties interviewed by the Commission during 

the course of background investigations without the written 

consent of such third parties; or 

(b) any other information the disclosure of which would violate Tribal, 

Federal, or State law. 

3. The Board may sustain, modify, or reverse a decision of the Commission, 

or remand the matter to the Commission for such further investigation and 

reconsideration as the Board may order, subject to the following 

guidelines:

(a) The Board must give due deference and respect to the 

Commission’s expertise on matters of licensing.

(c) When the Commission makes a licensing decision adverse to an 

applicant or licensee, it is not necessary for the Commission to 

establish that the applicant or licensee acted with mens rea (i.e., 

“guilty mind”) or wrongful intent, nor is it a defense for the 

applicant or licensee to establish that he or she acted without mens 

rea or wrongful intent.

(d) Applicants and licensees do not have a fundamental or vested right 

in obtaining or maintaining a Tribal gaming license. Licensure is a 

privilege, not a right.

4. In reviewing decisions of the Commission, the Board shall consider the 

following:

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(a) Did the Commission act within the scope of its delegated 

authority?

(b) Did the Commission observe the procedures required by applicable 

Tribal law?

(c) Was the decision of the Commission reasonable under the 

applicable standard of review, set forth below.

D. Standards of Review

1. De Novo Standard: When the Commission’s decision involves a pure 

question of law, such as the interpretation of applicable Tribal law or the 

application of such law to undisputed facts, such a decision is subject to 

the de novo standard of review. Mixed questions of law and fact are not 

subject to the de novo standard of review unless the legal issues 

predominate. However, the Board shall not decide questions of law that 

were not raised before the Commission in the first instance.

2. Abuse of Discretion: When the Commission’s decision involves the 

exercise of discretion, such decisions are reviewed for abuse of discretion. 

Under this standard of review, the Commission’s decision will not be 

disturbed by the Board unless the appellant establishes a clear abuse of 

discretion. The appropriate test is whether the Commission exceeded the 

bounds of reason. 

3. Substantial Evidence. The Commission is the fact finder. When the 

Commission’s decision involves a question of fact, or a mixed question of 

law and fact where the factual issues predominate, such decisions are 

reviewed pursuant to the substantial evidence standard of review. Under 

this standard of review, the Commission’s decision will be upheld if, upon 

examination of the record as a whole, it was supported by substantial 

evidence, contradicted or uncontradicted. It is the appellant’s burden to 

establish insufficiency of the evidence.

It is not the function of the Board to substitute its independent judgment 

on the facts for that of the Commission. The Board must consider the 

evidence in the light most favorable to the Commission’s decision, giving 

the Commission the benefit of every reasonable inference and resolving 

conflicts in support of the Commission’s decision. The Board is without 

power to judge the effect or value of the evidence, weigh the evidence, or 

consider the credibility of witnesses. Unless a finding, viewed in light of 

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the entire record, is so lacking in evidentiary support as to render it 

unreasonable, it may not be set aside.

E. Further Review

Decisions of the Board are final and binding upon the appellant and Commission and are 

not subject to further review, including judicial review, dispute resolution, or other legal action. 

VI. Sovereign Immunity

A. As an agency of the Tribal government, the Board shall enjoy the full benefits of 

the Tribe’s sovereign immunity, and any and all attributes of sovereignty enjoyed 

by the Tribal government. The Board has no authority to waive the Tribe’s 

sovereign immunity.

B. 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.

VII. Indemnification

The General Council shall indemnify any Member or former Member of the Board, 

against expenses actually and reasonably incurred in connection with the defense of any action, 

suit or proceeding, civil, or criminal, in which that individual is made a party by reason of being 

or having been such a Member, except in relation to matters as to which the Member or former 

Member of the Board shall be adjudged in such action, suit, or proceeding to be liable for gross 

negligence, fraud, or willful misconduct in the performance of duty to the Board or Tribe.

VIII. 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. Effective Date

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

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Pauma Band of Luiseño Indians of the Pauma & Yuima Reservation

Gaming Regulation No. 014

Exclusions

I. Purpose

The exclusion of certain individuals from the Gaming Facility operated on the PaumaYuima 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 Facility, 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 Commission to ensure that a list of involuntarily excluded individuals is maintained. 

II. Interpretation

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

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

Ordinance, IGRA, or the Compact. In this Regulation “Commission” means the Pauma Gaming 

Commission.

III. Scope of Application

A. This Regulation applies to the exclusion of individuals from the Tribe’s 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 

from the Gaming Facility 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 to former employees to the Gaming Facility

for a period of up to ninety (90) days immediately following the 

termination of the individual’s employment, whether the termination is 

voluntary or involuntary, or to limit the authority of the Commission to 

restrict access to persons whose license has been suspended for the period 

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of suspension, and such restrictions are not considered “exclusions” within 

the meaning of this Regulation.

IV. Self-Exclusions

Any individual may voluntarily exclude themselves from the Tribe’s Gaming Facility, 

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

seeking to exclude himself or herself from 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 

wishing to exclude themselves from 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 Tribal or State 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 self-exclusion 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 personnel shall verify the 

individual’s identity and signature by inspecting his or her driver’s license or Tribal or State 

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 self-exclusion may submit a written request to the Commission to terminate his/her 

exclusion. 

C. Termination Hearing

The Commission will follow its usual hearing procedures 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/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/her self-exclusion bears the burden of establishing by a preponderance of the evidence that 

the gambling problem giving rise to his/her self-exclusion has been successfully addressed.

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D. Notification to Gaming Operation’s Management

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/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 full name, other names used, driver’s license or Tribal 

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

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

from all liability arising from 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 Tribal or State identification 

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

B. Grounds

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

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

1. violations of applicable Tribal, Federal, or State criminal or gaming laws 

and regulations;

2. violations of the Compact;

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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, panhandling, 

prostitution, misrepresentation, fraud, 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 from a gaming facility other than the Tribe’s Gaming Facility; 

6. violation of twenty-four hour (24-hour) or less restriction imposed on a 

patron by the Gaming Operation or of a ninety-day (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 Request

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 circumstances to the responding personnel and provide all applicable 

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

photographs, and/or video tapes, etc. Commission personnel may initiate an exclusion without 

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

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

D. Response to Exclusion Request

The responding security or Commission personnel will:

1. Inform the individual being 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 

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

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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 being 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 Cooperate

If the 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/ she forfeits any right to further review of the exclusion. 

F. Reviewing Exclusions

All exclusions shall be issued for an indefinite term and remain in effect unless terminated 

by the General Manager of the Gaming Operation, or his/her delegate, or the Commission in 

accordance with this section. 

1. Termination of Exclusion Within Thirty (30) Days. Except as provided The 

General Manager or his/her delegate may, on his/her own initiative, review 

and terminate an exclusion issued by the Gaming Operation within thirty 

(30) days of its issuance. The Commission may, on its own initiative, 

review and terminate an exclusion issued by the Commission, within thirty 

(30) days of its issuance. A decision to terminate under this paragraph does 

not require advance notice to the excluded individual or an opportunity to be 

heard. Accordingly, paragraph G of this Section does not apply to such 

decisions.

2. Petition for Termination of Exclusion by Excluded Individual. To terminate 

an exclusion, the excluded individual must file a petition for review with the 

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Commission. The petition must include a statement of the reasons why the 

individual believes the exclusion should be terminated.

a. Within thirty (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 or registered 

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, unless the notice period is waived by the 

excluded individual, 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.

b. The Commission shall make a ruling within ten (10) days of the 

hearing, and the excluded individual will be notified of the ruling 

within three (3) days of the ruling.

c. Decisions of the Commission shall be final and not subject to 

further review. 

G. Exclusion Hearing

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

petition 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/she forfeits any further right of review, and the notice of 

hearing he/she receives from the Commission shall state this. The individual contesting his/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 the Tribe’s Gaming Facility in order to implement the 

termination of an exclusion. The Commission shall require the Gaming Operation to remove all 

excluded individuals from all mailing lists and to revoke any slot or players’ cards issued to the 

individual.

I. Reinstatement of Exclusion

If an individual has had an exclusion terminated, but the effective date of the termination 

is set for a future date, and the individual subsequently violates the exclusion by visiting the 

Tribe’s Gaming Facility while the exclusion is still in effect, that individual’s indefinite 

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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

A. 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 the Gaming Facility 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.

B. Any cash or cash equivalent deposited into a game for play but not yet wagered 

and played by an excluded individual, whether voluntarily or involuntarily excluded, may also be 

subject to seizure and forfeiture. For purposes of this section, “game” includes a gaming device, 

table game, or other gaming activity.

VII. Trespass

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 from the Pauma-Yuima Reservation 

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’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.

VIII. Confidentiality

Information contained on the Self-Exclusion Form or the Notice of Violation 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.

IX. Exclusion Lists

The Gaming Operation shall maintain or cause to be maintained separate lists of selfexcluded and involuntarily excluded individuals. The Gaming Operation shall update the lists

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 lists of 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 identify excluded individuals, 

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Pauma Band of Luiseño Indians of the Pauma & Yuima Reservation

Gaming Regulation No. 015

Tribal Internal Control Standards

I. Purpose and Scope

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

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

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

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

stringent than those standards established by the National Indian Gaming 

Commission (“NIGC”) as set forth in 25 C.F.R. Part 542, and Subsection 8.1 of 

the Compact between the Tribe and the State of California (“the Compact”). 

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

1. promote the integrity of the Tribe’s Gaming Operation;

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, and/or bill acceptors);

7. surveillance;

8. security;

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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);

11. financial transactions;

12. physical safeguarding of assets; and

13. prevention of theft, cheating, fraud, 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. § 2701 et seq.) and its regulations (25 

C.F.R. § 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. In this Regulation, 

“Commission” means the Pauma Gaming Commission.

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

or the dispute resolution and review process outlined in subparagraph B, Section 

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

development agreement, or ancillary agreements thereto, 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

A. The 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. Parts

542 and 543, the NIGC’s minimum internal control standards

(hereafter “MICS”), as amended from time to time; 

2. Contain standards for currency transaction reporting that comply with 31 

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 from time to time; 

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

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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 Tribal, Federal, or State

law or the Compact, as amended from time to time.

B. The Commission may deviate from the minimum standards set out in paragraph 

A, Section III, as follows:

1. The 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 Commission must first engage in meaningful 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 frequently 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 Commission may not adopt less stringent standards than those required in 

paragraph A, Section III, unless, when required by Federal law, it has first 

obtained a variance in accordance with 25 C.F.R. § 542.18.

C. The Commission may amend the Tribal Internal Control Standards from time to 

time.

1. When an amendment is required to comply with Tribal, Federal or State

law, the Commission may adopt the amendment without consulting with 

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

the amendment, which notice shall specify a reasonable deadline for the 

Gaming Operation to come into compliance with the amended standard.

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 

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Section III 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 Commission by resolution, as 

amended from 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 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 Commission shall consult with the 

Gaming Operation as follows:

1. The Commission shall 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 Commission shall submit the initial draft to the general manager and the 

supervisor(s) of the affected department(s) and schedule a meeting with 

these same individual(s) to review and discuss the proposed internal control 

standard. The 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. 

3. The Commission shall take into consideration the comments received from

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.

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B. If after consultation the Gaming Operation and the 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:

1. If, after one hundred eighty (180) days from implementation, the Gaming 

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

Operation shall request a meeting with the 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 Commission shall 

consider the Gaming Operation’s concerns and determine, in its own 

discretion, whether the internal control standard should be rescinded or 

revised and inform the Gaming Operation in writing of its decision.

2. If the 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 modify the more stringent or new standard pursuant to Section 

IX, paragraph B.1 of Gaming Regulation 012. 

a. A petition to rescind or modify 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 Commission’s 

decision on whether to rescind or modify 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 Commission 

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

internal control standard adopted pursuant to subparagraph B.1, Section III. 

V. Gaming Operation’s 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 B, 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 Commission may review the Gaming Operation’s internal control system to 

ensure that it complies with the Tribal Internal Control Standards. If the 

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Commission determines that an aspect of the internal control system does not 

comply with the Tribal Internal Control Standards, it will notify 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 

modifying the internal control system. The Gaming Operation shall adopt any 

modifications requested by the Commission after such a meeting, and the 

Commission’s determination is not subject to further review under paragraph B, 

Section IX of Gaming Regulation 012.

VI. Compliance and Enforcement

A. In order to ensure compliance with this regulation:

1. Without limiting the generality of the Commission’s powers and duties, as 

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

Commission shall monitor the Gaming Operation to ensure compliance 

with this Regulation and take appropriate enforcement action for violations 

of this Regulation. 

2. The NIGC is authorized to monitor and enforce compliance with the MICS

adopted pursuant to subparagraph A.1, Section III above, in the manner 

provided for in 25 C.F.R. § 542.3(g)(2) and § 543.3(g)(2). In addition, the 

NIGC shall, for the purpose of enforcing compliance with said MICS, have 

the power to:

a. Monitor all class II and class III gaming on a continuing basis;

b. Inspect and examine all premises on which class II or class III 

gaming is conducted; and

c. Demand access to and inspect, examine, photocopy, and audit all 

papers, books, and records respecting gross revenues of all class

II and class III gaming on a continuing basis or any other matters 

necessary to enforce compliance with said internal control 

standards.

3. Any failure to adopt the MICS pursuant to subparagraph A.1, Section III,

above, to perform Agreed-Upon Procedures pursuant to paragraph B of 

this Section, to prevent or obstruct the exercise of any of the NIGC’s 

powers under subparagraph A.2 of this Section, or to comply with the

MICS once adopted, is a violation of this Regulation. The Chairman of the 

NIGC shall have the authority to remedy such violations of this 

Regulation under 25 U.S.C. § 2713 and its implementing regulations, and 

the Tribe shall have the rights and remedies available thereunder.

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B. An independent certified public accountant (“CPA”) shall be engaged by the 

Commission to perform “Agreed-Upon Procedures,” in the manner provided for 

in 25 C.F.R. § 542.3(f) and § 543.3(f) 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 NIGC concurrence. The 

procedures may be performed in conjunction with the annual audit required under 

Section 1 of Article VI of the Gaming Ordinance. The CPA shall report its 

findings to the Tribe, the Commission, and the Gaming Operation. The 

Commission shall submit a copy of the report to the NIGC within one hundred 

twenty (120) days of the Gaming Operation's fiscal year end. 

VII. Publication

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

intends to issue a more stringent or new internal control standard pursuant to 

subparagraph B.1, Section III, the Commission shall first issue a notice to the 

General Council. 

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

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

the Commission within thirty (30) days of the issuance of the notice.

2. The notice shall be mailed by the 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 thirty-day (30-day) comment period.

3. The Commission shall review and consider any comments received from the 

General Council within the thirty-day (30-day) comment period prior to 

issuance of an enhanced or new internal control standard.

4. The 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 IV, has expired. If the General Council conducts a 

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

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 from time to time, 

shall be deposited at the offices of the Commission, and made available for 

inspection by the public during normal business hours.

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Pauma Band of Luiseño Mission Indians of the Pauma & Yuima Reservation

Gaming Regulation 016

Prohibited Acts

I. Purpose

This Regulation identifies conduct or activities that are prohibited and therefore 

considered grounds for the Pauma Gaming Commission to take licensing action or other 

enforcement action against an applicant or licensee and for the Gaming Operation and the 

Commission to involuntarily exclude a patron from the Gaming Facility. This Regulation is 

consistent with the Commission’s responsibility under Subsection 7.1 of the Compact between 

the Tribe and the State of California (“Compact”) to conduct on-site gaming regulation and 

control in order to protect the integrity of the Tribe’s gaming activities, the reputation of the 

Gaming Operation and Tribe for honesty and fairness, and the confidence of the public that 

Tribal government gaming in California meets the highest standards of regulation.

II. Interpretation

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

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

In this Regulation:

A. “Commission” means the Pauma Gaming Commission;

B. “Employee,” unless otherwise indicated herein, means any gaming employee, 

Commission employee or member, or independent contractor or consultant 

retained by the Gaming Operation or Commission; 

C. “Management” means the General Manager of the Gaming Operation and the 

directors or supervisors of each department within the Gaming Operation; and

D. “Prohibited acts” means conduct or activities prohibited by this Regulation. 

III. Scope of Application

A. This Regulation applies to any patron, licensee, or other person subject to the 

regulatory authority of the Commission.

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B. This Regulation applies equally to class II and class III gaming activities.

C. Nothing herein is intended to limit or preempt the application of other Tribal, 

Federal, or State laws or regulations that regulate or prohibit the conduct or 

activities addressed herein and would otherwise apply or that regulate or prohibit 

other conduct or activities not described herein.

IV. Prohibited Acts

The following conduct or activities are hereby prohibited:

A. the conduct or activities prohibited under California Penal Code §§ 337u through 

337z, namely:

1. to alter or misrepresent the outcome of a gaming activity or other event on 

which wagers lawfully have been made after the outcome is determined, 

but before it is revealed to the players;

2. to place, increase, or decrease a wager or to determine the course of play 

after acquiring knowledge, not available to all players, of the outcome of 

the gaming activity or any event that affects the outcome of the gaming 

activity or which is the subject of the wager or to aid anyone in acquiring 

that knowledge for the purpose of placing, increasing, or decreasing a 

wager or determining the course of play contingent upon that event or 

outcome;

3. to claim, collect, or take, or attempt to claim, collect, or take, money or 

anything of value in or from a gaming activity, with intent to defraud, 

without having made a wager contingent on the game, or to claim, collect, 

or take an amount greater than the amount actually won;

4. to knowingly entice or induce another to go to any place where a gaming 

activity is being conducted or operated in violation of this subparagraph A, 

with the intent that the other person play or participate in that gaming 

activity;

5. to place or increase a wager after acquiring knowledge of the outcome of 

the gaming activity or other event which is the subject of the wager, 

including past-posting and pressing wagers;

6. to reduce the amount wagered or cancel the wager after acquiring 

knowledge of the outcome of the gaming activity or other event which is 

the subject of the bet, including pinching wagers;

7. to manipulate, with the intent to cheat, any component of a gaming 

activity device in a manner contrary to the designed and normal

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operational purpose for the component, including, but not limited to,

varying the pull of the handle of a gaming device, with knowledge that the 

manipulation affects the outcome of the gaming activity or with 

knowledge of any event that affects the outcome of the gaming activity;

8. to use, or to possess with the intent to use, any device to assist in any of 

the following:

a. in projecting the outcome of the gaming activity;

b. in keeping track of the cards played;

c. in analyzing the probability of the occurrence of an event relating 

to the gaming activity; or

d. in analyzing the strategy for playing or wagering to be used in the 

gaming activity, except as permitted under State law or by the 

Commission.

9. to use counterfeit chips, counterfeit debit instruments, or other counterfeit 

wagering instruments in a gaming activity, the equipment associated with 

a gaming activity, or a cashless wagering system;

10. in playing or using any gaming activity, the equipment associated with a 

gaming activity, or a cashless wagering system designed to be played 

with, receive, or be operated by chips, tokens, wagering credits or other 

wagering instruments approved by Commission, or by lawful coin of the 

United States to either:

a. knowingly use chips, tokens, wagering credits, or other wagering 

instruments not approved by the Commission, or lawful coin, legal 

tender of the United States, or use coins or tokens not of the same

denomination as the coins or tokens intended to be used in that

gaming activity, associated equipment, or cashless wagering 

system; or

b. use any device or means to violate this subparagraph A;

11. when not a duly authorized gaming employee acting in furtherance of 

his/her employment:

a. to possess any device intended to be used to violate this 

subparagraph A; or

b. to possess any key or device known to have been designed for the 

purpose of, and suitable for, opening, entering, or affecting the 

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operation of any gaming activity, cashless wagering system, or 

dropbox, or for removing money or other contents from the game, 

system, or box;

12. to possess any paraphernalia for manufacturing slugs, where 

"paraphernalia for manufacturing slugs" means the equipment, products, 

and materials that are intended for use or designed for use in 

manufacturing, producing, fabricating, preparing, testing, analyzing, 

packaging, storing, or concealing a counterfeit facsimile of the chips, 

tokens, debit instruments, or other wagering instruments approved by the

Commission, or a lawful coin of the United States, the use of which is 

unlawful, and includes, but is not limited to, any of the following:

a. lead or lead alloys;

b. molds, forms, or similar equipment capable of producing a likeness 

of a gaming token or lawful coin of the United States;

c. melting pots or other receptacles;

d. torches;

e. tongs, trimming tools, or other similar equipment; or\

f. equipment which can be reasonably demonstrated to manufacture

facsimiles of debit instruments or wagering instruments approved 

by the Commission;

13. to cheat at any gaming activity;

14. to manufacture, sell, or distribute any cards, chips, dice, game,

or device which is intended to be used to violate this subparagraph A;

15. to mark, alter, or otherwise modify any gaming activity device or

associated equipment in a manner that either:

a. affects the result of a wager by determining win or loss; or

b. alters the normal criteria of random selection, which affects the 

operation of a gaming activity or which determines the outcome of 

a game;

16. to instruct another in cheating or in the use of any device for that purpose, 

with the knowledge or intent that the information or use conveyed may be 

employed to violate this subparagraph A; and

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17. to attempt to commit any of the acts prohibited by this subparagraph A.

B. to unlawfully take or attempt to take any chips, coin(s), token(s), machine credits,

vouchers, currency, or anything of value from any patron or employee;

C. to refuse to leave the Gaming Facility when instructed to do so by an employee of 

the Gaming Operation or Commission;

D. to damage or attempt to damage, either intentionally or negligently, any property, 

gaming device or equipment, or any article belonging to the Gaming Operation, 

an employee, or a patron;

E. for a person under the age of eighteen (18) years to make any wager, either 

directly or indirectly, on any gaming activity;

F. to cause or threaten injury, either intentionally or negligently, to any patron or 

employee;

G. to possess any chips, tokens, cards, device, paraphernalia, or other equipment that 

could reasonably be concluded as useful in cheating, defrauding, manipulating, or 

altering any game, gaming device equipment, machine, computer, or supplies;

H. for any employee to aid, conspire, collude, or assist in any way any other 

employee or patron to win or have any unfair advantage to win or otherwise 

acquire anything of value unfairly;

I. for any licensee to abuse his/her complimentary privileges, which abuse shall 

include, but not be limited to, enabling themselves, other licensees, friends, or 

family members to receive, without management’s approval, free or discounted 

meals, alcoholic beverages, gifts, merchandise, hotel rooms, cash, coupons, event 

tickets, unused tickets, or anything else of value charged to or belonging to the 

Gaming Operation;

J. for any licensee, without management’s approval, to take, acquire, receive, give 

away, or divert anything of value charged to or belonging to the Gaming 

Operation, including, but not limited to, food, beverage, supplies, furnishings, 

labor, merchandise, equipment, revenues, or anything that could be construed as a 

Tribal asset; 

K. for any licensee to touch, obscure, move, manipulate, damage, cover, or otherwise 

tamper with any surveillance cameras or associated equipment; or

L. for the Gaming Operation and a gaming resource supplier to fail to notify the 

Commission in writing forthwith when a shipment of a gaming device, previously 

authorized by a Gaming Device Shipping Permit approved by the Commission, is 

cancelled or rescheduled so that the Commission may promptly notify the San 

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Diego County Sheriff’s Department and the California Gambling Control 

Commission of the cancelled or rescheduled shipping date. 

V. Management’s Responsibilities

A. Maintenance of Tribal Gaming Laws

To promote compliance with the Compact, the Tribe’s Gaming Ordinance, and its 

gaming regulations, management shall maintain at the Gaming Facility one or more copies of the 

most current version of the bound “Tribal-State Compact & Related Tribal Laws,” which may be 

obtained from the Commission. Management shall ensure that each gaming employee is aware 

of the existence and location of this compilation and make it accessible to all employees. This 

compilation shall be produced by management and shown to a Commission employee or 

member upon demand. Failure of management to comply with this provision in no way 

diminishes each licensee’s responsibility to know and comply with the Compact, the Tribe’s 

Gaming Ordinance, and its gaming regulations.

B. Reporting

Management shall be responsible for implementing policies and procedures to ensure that 

gaming employees who observe prohibited acts at the Gaming Facility immediately report such 

conduct or activities to their immediate supervisor or the head of their department and that such 

reports are immediately brought to the attention of the security department and the Commission.

VI. 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. 

VII. 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 Business Committee, the Commission, or any employee or 

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

VIII. Effective Date

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

Any amendment to this Regulation shall take effect immediately upon its adoption by the 

General Council, unless otherwise provided for in the resolution approving the amendment.

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