hlv +'I 

NATIONAL 

INDIAN 

GAMING 

COMMISSION JUL - 5 1995 

John D. Green, Chairman 

Elk Valley Rancheria 

P.O. Box 1042 

Crescent City, California 95531 

Dear Chairman Green: 

This letter responds to your request to review and approve 

the tribal gaming ordinance, Ordinance No. 95-04, adopted on 

January 12, 1995, by the Elk Valley Rancheria (Tribe). This 

letter constitutes such approval under the Indian Gaming 

Regulatory Act (IGRA) . Under the IGRA and the regulations of the National Indian 

Gaming Commission (NIGC), the Chairman is directed to review 

ordinances with respect to the requirements of the IGRA and the 

implementing regulations. Thus, the scope of the Chairman's 

review and approval is limited to the requirements of the IGRA 

and the NIGC regulations. Provisions other than those required 

under the IGRA or the NIGC regulations that may be included in a 

tribal ordinance are not subject to review and approval. Also, 

such approval does not constitute approval of specific games. It 

is important to note that the gaming ordinance is approved for 

gaming only on Indian lands as defined in the IGRA. 

With the Chairman's approval of the Tribe's gaming 

ordinance, the Tribe is now required to conduct background 

investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application 

for each key employee and primary management official pursuant to 

25 C.F.R. $ 556.5(a) and an investigative report on each 

background investigation before issuing a license to a key 

employee or primary management official pursuant to 25 C.F.R. 

$ 556.5(b). 

Thank you for submitting the ordinance of the Elk Valley 

Rancheria for review and approval. The NIGC staff and I look 

forward to working with you and the Tribe in implementing the 

IGRA. 

Sincerely yours, / 

Chairman 

cc: Phillip Smith 

39123 State Route 299 

P.O. Box 1488 

Willow Creek, CA 95573 

I f35O h.4 STHt[l, N VJ - . ';!JrrFI 250 LhlF.'-;I-1IPdGTON. --O C, 20036 TEL . 332 632 7003 FAX 202-1332. 711)66 
ORDINANCE NO. 95-04 

ORDINANCE OF THE TRIBAL COUNCIL OF 

THE ELK VALLEY RANCHERIA REGULATING GAMING ON 

THE ELK VALLEY RANCHERIA 

The Tribal Council for the Elk Valley Rancheria hereby ordains as follows: 

The Elk Valley Rancheria ("Tribe"), as the beneficial owner of the Indian Rancheria, and 

acting through its Tribal Council in the exercise of its inherent sovereign power to enact 

ordinances and otherwise safeguard and provide for the health, safety and welfare of the Indian 

Rancheria or Reservation and the members of the Tribe, hereby enacts this Ordinance to set the 

terms and conditions under which Class I1 and Class I11 gaming may be conducted on Tribal 

lands. 

11. Gaminp Authorized 

A. Class I1 gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25 

U.S.C. Section 2703 (7) (A) ("IGRA") and by the regulations promulgated by the National 

Indian Gaming Commission at 25 C.F. R. $502.3 (as published in the Federal Register at 57 FR 

12382-12393, April 9, 1992) is hereby authorized. 

B. Class I11 gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25 

U. S. C. Section $2703 (8) ("IGRA") and by the regulations promulgated by the National Indian 

Gaming Commission ("NIGC") at 25 C.F.R. $502.4 (as published in the Federal Register at 57 

FR 12382-12393, April 9, 1992) is hereby authorized, provided such gaming is also authorized 

by and consistent with a Tribal-State Compact that has been approved by the Secretary of the 

Interior and is in effect, or otherwise has been authorized by the Secretary of the Interior or 

federal law. 

111. Ownership of Garnin~ Facilities and/or Enterprises 

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of 

any gaming facilities and/or enterprise(s) authorized by this Ordinance. 

IV. Use of Gaming Revenue 

A. Net revenues from Class I1 and Class I11 gaming on the Reservation shall be used 

only for the following purposes: 
1) to fund Tribal government operations and programs; 

2) provide for the general welfare of the Tribe and its members; 

3) promote Tribal economic development; 

4) donate to charitable organization; or 

5) help fund operations of local government agencies. 

B. If the Tribe elects to make per capita payments to Tribal members, it shall authorize 

such payments only in conformity with a plan submitted to and approved by the Secretary of the 

Interior pursuant to 25 U. S.C. $2710 (b) (3). 

V. Audit 

A. The Tribe shall cause to be conducted at lease annually an independent audit of all 

gaming operations and shall submit the resulting audit reports to the National Indian Gaming 

Commission. 

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

concessions in excess of $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 Subsection A above. 

VI. Protection of the Environment and Public Health and Safetv 

Class I1 and Class I11 gaming facilities on the Reservation shall be constructed, 

maintained and operated in a manner that adequately protects the environment and the public 

health and safety. 

VII. Licenses for Kev Em~lovees and Primary Mana~ement Officials 

The Tribe shall ensure that the policies and procedures set out in this section are 

implemented with respect to key employees and primary management officials employed at any 

Class I1 and/or Class I11 gaming enterprise operated on Indian lands. 

A. Definitions 

For the purpose of this section, the following definitions apply: 

1. Kev emplovee means: 

(a) A person who performs one or more of the following functions: 

(1) Bingo Caller; 

(2) Counting Room Supervisor; 

(3) Chief of Security; 
(4) Custodian of gaming supplies or cash; 

(5) Floor Manager; 

(6) Pit Boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of Credit; or 

(10) Custodian of gambling devices including persons 

with access to cash and accounting records within 

such devices; 

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

compensation is in excess of $50,000 per year; or 

(c) If not otherwise included, the four most highly compensated 

persons in the gaming operation. 

2. Primary management official means: 

(a) The person having management responsibility for a management 

contract; 

(b) Any person who has authority: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming operation; or 

(c) The chief financial officer or other person who has financial 

management responsibility. 

B. A~plication Forms 

1. The following notice shall be placed on the application form of a key employee 

or a primary management official before that form is filled out by an applicant: 

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

provided: Solicitation of the information on this form is authorized by 25 U.S.C. 

2701 et seq. The purpose of the requested information is to determine the 

eligibility of individuals to be employed in a gaming operation. The information 

will be used by 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 to appropriate Federal, Tribal, State, local or 

foreign law enforcement and regulatory agencies when relevant to civil, criminal 

or regulatory investigations or prosecutions, or when pursuant to a requirement 

by a Tribe or the National Indian Gaming Commission in connection with the 
hiring or firing of an employee, the issuance 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 hire you in a primary management official or key 

employee position. 

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

failure to supply a SSN may result in error in processing your application. 

2. Existing key employees and primary management officials shall be notified 

in writing that they shall either: 

(a) Complete a new application form that contains a Privacy Act notice; or 

(b) Sign a statement that contains the Privacy Act notice and consent to the 

routine uses described in that notice. 

3. The following notice shall be placed on the application form for a key 

employee or a primary official before that form is filled out by an applicant: 

A false statement on any part of your application may be grounds for not hiring 

you, or for firing you after you begin work. Also, you may be punished by fine 

or imprisonment. (18 U.S.C. 5 1001). 

4. The Tribe shall notify in writing existing key employees and primary 

management officials that they shall either: 

(a) Complete a new application form that contains a notice regarding false 

statements; or 

(b) Sign a statement that contains the notice regarding false statements. 

C. Background Investigations 

1. The Tribe shall request from each primary management official and from each 

key employee all of the following information: 

(a) Full name, other names used (oral or written) Social Security number(s), 

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

written; 

(b) Currently and for the previous five (5) years: all business and employment 

positions held, ownership interest in those businesses, business and 

residence addresses, and drivers license numbers; 
(c) The names and current addresses of at lease three personal references, 

including one personal reference who was acquainted with the applicant 

during each period of residence listed under paragraph (1) (b) of this 

Section; 

(d) Current business and residence telephone numbers; 

(e) A description of any existing and previous business relationships with the 

Indian Tribes, including ownership interests in those businesses; 

(f) A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those 

businesses; 

(g) The name and address of every 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; 

(h) 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; 

(i) 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; 

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

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

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

paragraph (1) (h) or (1) (i) of this Section, the criminal charge, the 

name and address of the court involved and the date and disposition; 

(k) The name and address of each 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; 

(1) A current photograph; 

(m) Any other information the Tribe may deem relevant under the circumstances; 

and 

(n) Fingerprints consistent with procedures adopted by the Tribe in accordance 

with 25 C.F.R 5522.2 (h). 
2. The Tribe shall conduct an investigation sufficient to make a determination 

under Subsection D below. In conducting a background investigation, the Tribe or its agent(s) 

shall promise to keep confidential the identity of each person interviewed in the course of the 

investigation. 

D. Eligibility Determination 

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

reputation, habits and associations to make a finding concerning the eligibility of a key employee 

or primary management official for employment in a gaming operation. If the Tribe determines 

that employment of the person poses a threat to the public interest or to the effective regulation 

of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices and methods 

and activities in the conduct of gaming, a tribal gaming operation shall not employ that person 

in a key employee or primary management official position. 

E. Procedures for Forwarding A~plications and Reports for Key Em~lovees and Primary 

Management Officials to the National Indian Gaming Commission 

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

gaming operation authorized by this Ordinance, the Tribe shall forward to the National Indian 

Gaming Commission a completed application for employment and conduct the background 

investigation and make the determination referred to in Subsection D of this Section. 

2. The Tribe shall forward the report referred to in Subsection F of this Section 

to the National Indian Gaming Commission within 60 days after an employee begins work or 

within 60 days of the approval of this Ordinance by the Chairman of the National Indian Gaming 

Commission. 

3. The gaming operation shall not employ as a key employee or primary 

management official a person who does not have a license after 90 days. 

F. Report to the National Indian Gaming Commission 

1. Pursuant to the procedures set out in Subsection E of this Section, the Tribe 

shall prepare and forward to the National Indian Gaming Commission an investigative report on 

each background investigation. An investigative report shall include all of the following: 

(a) Steps taken in conducting the background investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 
2. The Tribe shall submit, with the report, a copy of the eligibility determination 

made under Subsection D of this Section. 

3. If a license is not issued to an applicant, the Tribe: 

(a) Shall notify the National Indian Gaming Commission; and 

(b) May forward copies of its eligibility determination and investigative 

report (if any) to the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals Records System. 

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

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

inspection by the Chairman of the National Indian Gaming Commission or his or her designee 

for no less than three (3) years from the date of termination or denial of employment. 

G. Granting a Gaming License 

1. If, within a thirty (30) day period after the National Indian Gaming 

Commission receives a report, the National Indian Gaming Commission fails to respond or 

notifies the Tribe that it has no objection to the issuance of a license pursuant to a license 

application filed by a key employee or a primary management official or for whom the Tribe 

has provided an application and investigative report to the National Indian Gaming Commission, 

the Tribe may issue a license to such applicant. 

2. The Tribe shall respond to a request for additional information from the 

Chairman of the National Indian Gaming Commission concerning a key employee or a primary 

management official who is the subject of a report. Such a request shall suspend the thirty (30) 

day period under Subsection G (1) of this Section until the Chairman of the National Indian 

Gaming Commission receives the additional information. 

3. If, within the thirty (30) day period described above, the National Indian 

Gaming Commission provides the Tribe with a statement itemizing its objection(s) to the 

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

has provided an application and investigative report to the National Indian Gaming Commission, 

the Tribe shall reconsider the application, taking into account the objection(s) itemized by the 

National Indian Gaming Commission. The Tribe shall make the final decision whether to issue 

a license to such applicant. 

H. License Suspension 

1. If, after the issuance of a gaming license, the Tribe receives from the National 

Indian Gaming Commission reliable information indicating that a key employee or a primary 

management official is not eligible for employment under Subsection D above, the Tribe shall 
suspend such license and shall notify in writing the licensee of the suspension and the proposed 

revocation. 

2. The Tribe shall notify the licensee of a time and a place for a hearing on the 

proposed revocation of a license. 

3. After a revocation hearing, the Tribe shall decide whether to revoke or to 

reinstate a gaming license. The Tribe shall notify the National Indian Gaming Commission of 

its decision. 

VIII. Licensing of Gaming Places, Facilities and Locations 

A separate license shall be required for each place, facility, or location on Indian lands 

where Class I1 and/or Class I11 gaming is to be conducted under this Ordinance. 

IX. Re~eal 

To the extent that they are inconsistent with this Ordinance, all prior gaming ordinances 

are hereby repealed. 

X. Effective Date 

This Ordinance shall take effect immediately upon its approval by the Chairman of the 

National Indian Gaming Commission. 

CERTIFICATION 

We, the undersigned duly elected officials of the Elk Valley Rancheria, do hereby certify 

that the foregoing Ordinance was adopted on January 12, 1995, at a duly called meeting of the 

Tribal Counc' of the Elk Valley Rancheria with a quorum present by a vote of for, -& 

against, Q? abstaining and 3 absent. 

ELKALLEY RANCHERIA, CHAIRPERSON 

John D. Green 

1 

ELK VALLEY RANCHERIA, SECRETARY 

Brenda G. Green 
ELK VALLEY RANCHERIA 

DEL NORTE COUNTY, CALIFORNIA 

TRIBAL CODE OF GAMING REGULATIONS 

April 29, 1995 

RESOLUTION NO. 95-10 
ELK VALLEY RANCHERIA 

DEL NORTE COUNTY. CALIFORNIA 

TRIBAL CODE OF GAMING REGULATIONS 

TABLE OF CONTENTS: 

I1 . Administration and Enforcement ............................................... 5 

I11 . Licensing of Games ............................................................. 12 

IV . Management Contracts ......................................................... 15 

V . Auditing and Internal Control ................................................ 18 

VI . Authorization of Gaming ..................................................... -20 

VII . Exclusion or Ejection of Individuals ........................................ 21 

VIII . Cheating ......................................................................... -21 

IX . National Indian Gaming Commission and TribalIState Compacts ..... 22 

X . Miscellaneous .................................................................. -23 
ELK VALLEY RANCHERIA 

DEL NORTE COUNTY, CALIFORNIA 

TRIBAL CODE OF GAMING REGULATIONS 

1995 

RESOLUTION NO. 

This Tribal Code of Gaming Regulations is promulgated pursuant to authority granted 

the Gaming Commission pursuant to Section IX of Ordinance No. 95-04, enacted January 12, 

1995, regulating Tribal Gaming on Tribal lands. 

1. DEFINITIONS 

Section 1.01 - Definitions. 

Unless a different meaning is clearly indicated, the terms used in this Code shall have the same 

meaning as defined in the Indian Gaming Regulatory Act, Public Law 100-497, 25 U.S.C. 

Section 2710, et seq (the "Act"). 

Section 1.02 - Calendar Year. 

The period beginning January 1 at 12:00:01 and ending the immediately following December 

31 at 12:OO midnight. 

Section 1.03 - Chairman. 

The Chairman of the Elk Valley Rancheria (hereinafter "Elk Valley Rancheria") Gaming 

Commission. 

Section 1.04 - Class I Gaming. 

Playing of social games solely for prizes of minimal value or traditional forms of Indian Gaming 

engaged in by individuals as part of [or in connection with] Tribal ceremonies or celebrations. 

Section 1.05 - Class I1 Gamin?. 

Subject to the limitations of (c), below, Class I1 Gaming includes the playing or operation of: 

(a) The game of chance commonly known as bingo [whether or not electronic, 

computer or other technologic aids are used in connection therewith]: 

(i) Which is played for prizes, including monetary prizes, with cards bearing 

numbers or other designations; 

(ii) In which the holder of the card covers such numbers or designations when 

objects, similarly numbered or designated, are drawn or electronically 

determined; and 

(iii) In which the game is won by the first person covering a previously 

designated arrangement of numbers or designations on such cards, 

TRIBAL CODE OF GAMING REGULATIONS 3 
including [if played in the same location]: Pull Tabs, Lotto Punch 

Boards, Tip Jars, Instant Bingo and other games similar to Bingo; OR 

(b) Card games that are: 

(i) Explicitly authorized by laws of the State of California; or 

(ii) Are not explicitly prohibited by the laws of the State of California and are 

played at any location in the State of California, but only such card games. 

(c) The term Class I1 Gaming does not include: 

(i) Any banking card games, including Baccarat, Chemin de Fer, Blackjack 

(21); or 

(ii) Electronic or electromechanical facsimiles of any game of chance or slot 

machines of any kind. 

Section 1.06 - Class III Gamine. 

Class I11 Gaming includes all forms of gambling that are not Class I or Class I1 Gaming. 

Section 1.07 - Commission. 

The Elk Valley Rancheria Gaming Commission. 

Section 1.08 - Commissioner or Commission Member. 

One of the members of the Elk Valley Rancheria Gaming Commission. 

Section 1.09 - Tribal Council. 

The Elk Valley Rancheria Tribal Council or General Council. 

Section 1.10 - Director. 

The Director of the Elk Valley Rancheria Gaming Commission, appointed by the Tribal Council 

as the chief administrator of Elk Valley Rancheria Gaming. 

Section 1.11 - Gamine or Gaming Activitv. 

The dealing in, operation of, or maintenance of any game played with: Cards, dice, equipment 

of any mechanical, electromechanical or electronic device or machine for money, property, 

checks, credit or any representative of value, including [without limiting the generality of the 

foregoing] Faro, Monte, Roulette, Keno, Bingo Fan-Tan, Bingo, Twenty-one [Blackjack], 

Seven-and-a-Half, Big Injun, Klondike, Craps, Poker, Chuck-a-Luck, Chinese Chuck-a-Luck 

[Dai-shu], Wheel of Fortune, Chem de Fer, Baccarat, Pai-Gow, Beat the Banker, Panguingue, 

Slot Machines, Video Poker Machines, Pull-tabs, any banking or percentage game, or any other 

game or device approved by the Commission. Does not include games played with cards in 

private homes or residences in which no Person makes or charges money for operating the 

TRIBAL CODE OF GAMING REGULATIONS 4 
game, except as a player. 

Section 1.12 - Gaming Equi~ment or gamin^ Device. 

Any equipment or mechanical, electromechanical or electronic contrivance, component or 

machine used remotely or directly in connection with gaming or any game which affects the 

result of a wager by determining win or loss. The term includes a system for processing 

information that may alter the normal criteria of random selection, which affects the operation 

of any game, or which determines the outcome of a game. 

Section 1.13 - gamin^ Facility or Gaming Premises. 

Any premises where Gaming [other than Class I Gaming] is operated or conducted, including 

all buildings, improvements, equipment and facilities used or maintained in connection with such 

Gaming. 

Section 1.14 - Gross Revenue. 

The total monetary value that would be due to any operator of a Gaming Activity for chances 

taken, for all table fees for card playing, and all other fees charged for participation or 

admittance, as evidenced by required records. The value shall be stated in U.S. currency, 

before any deductions or allowances for prizes, pay-out of winnings, cost of operations, taxes, 

labor expenses, equipment or materials used, or any other expenses. In the absence of records, 

Gross Revenue shall be the maximum that would be due to an operator from that particular 

activity if operated at maximum capacity. 

Section 1.15 - Key Emplovee. 

All employees who have authority over receipt or distribution of revenues from the Gaming 

Activity, includes [but not limited to]: cashiers, dealers, pit bosses, floor managers, supervisors 

and any other individual who has the authority to sign checks or handle cash or currency. 

Section 1.16 - Licensee. 

Any Person who has been issued a valid and current Gaming license pursuant to the provisions 

of this Code. 

Section 1.17 - Net Revenues. 

Gross Revenues of a Gaming Activity less amounts paid out as or paid for prizes, winning and 

total Operating Expenses, but excluding Management Fees. 

Section 1.18 - Manayement Contract or Contract. 

Any contract, agreement or other document establishing a relationship between the Tribal 

government and any Person in which such a Person has managerial responsibilities for a Tribalowned Class I1 or I11 Gaming Activity. The term Management Contract shall include all 

collateral agreements. 

Section 1.19 - Management Fee. 

Any monies paid from Gaming revenue to any Person contracted and/or licensed to operate a 

TRIBAL CODE OF GAMING REGULATIONS 5 
Gaming Activity. Such terms shall not include monies paid to the owner of a Gaming Activity 

licensed pursuant to Section 4.03 of this Code. 

Section 1.20 - Omratim Exmnses. 

Any expense incurred in the daily operation of a Gaming Activity that is specifically designated 

as an operating expense in the Management Contract; provided [in the case of an establishment 

licensed by the Tribe pursuant to Chapter I11 of this Code), the term shall also mean any 

expense specifically designated as an operating expense in any regulation adopted by the 

Commission. 

Section 1.21 - Patron. 

Any person or group of persons who participates as players in games as defined in this Code on 

tribal lands, or who are physically present at Gaming Facilities. 

Section 1.22 - Person. 

Any association, partnership, corporation, firm, trust or other form of business association as 

well as a natural person. 

Section 1.23 - prima^ Manapement Officials. 

All officials of the Gaming Activity who exercise authority over daily operation of the Gaming; 

covering the authority to hire and fire employees, supervise employees or establish operational 

policy for the Gaming Activity. Such officials shall include [but not be limited to] all owners, 

officers, shareholders and partners of the management contractor, if any. 

Section 1.24 - Reeulations. 

The regulations of the Commission under this Code. 

Section 1.25 - Reservation. 

1. The area of approximately - acres lying within the survey boundaries of the 

Elk Valley Rancheria in Del Norte County, California. 

2. Any additional lands to be acquired by the Elk Valley Rancheria or individual 

members of the Tribe, to be put in trust pursuant to Public Law 101-42, but not 

yet surveyed; and 

3. Any other land designated as reservation land for the Elk Valley Rancheria by the 

Secretary of the Department of Interior. 

Section 1.26 - TribalIState Com~act or Com~act. 

A written document, either negotiated and agreed to by the Elk Valley Rancheria and an official 

or agency of the State of California or prescribed by the Secretary pursuant to 25 U.S.C. 

2710(7)(B)(vii), governing the conduct of Class I11 Gaming Activity on the Reservation or other 

tribal lands. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 1.27 - Tribe. 

The Elk Valley Rancheria, a federally recognized Tribe. 

Section 1.28 - Words and Terrns. 

In construing the provisions of this Code, except when otherwise plainly declared or clearly 

apparent from the context: 

(a) Words in the present tense shall include the future tense; 

(b) Words in masculine, feminine and neuter genders shall include all genders; and 

(c) Words in the singular shall include the plural, and in the plural shall include the 

singular. 

11. ADMINISTRATION AND ENFORCEMENT 

Section 2.01 - Unauthorized gamin^. 

Any Indian who commits any act of unauthorized Gaming on the Reservation or on any Tribal 

lands shall be guilty of a crime and shall be prosecuted in Elk Valley Rancheria Tribal Court. 

Prosecution for such a crime in Elk Valley Rancheria Tribal Court is not meant to be exclusive. 

A finding of guilt or innocence shall not deprive the Federal Government of criminal 

jurisdiction. 

Section 2.02 - owners hi^: Revenues to Benefit the Tribe. 

The Tribe shall have sole proprietary interest in and the sole responsibility for the conduct of 

all Gaming Activity conducted on tribal lands. Such provision does not limit the Tribe's ability 

to enter into a Management Contract wherein Net Revenues are divided between the Tribe and 

other parties to the Contract. A Gaming Activity shall be operated so as to produce the 

maximum amount of Net Revenues to the Tribe. Net Revenues will go entirely to the Tribe and 

will be used solely for the following purposes: 

(a) To fund Tribal government operation or 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; or 

(e) To help fund operations of local government agencies. 

Net Revenues from the Gaming Activity may be used to make per capita payments to members 

of the Tribe upon the preparation of a plan to allocate revenues to the above uses and approval 

of this plan by the Secretary of the Interior. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 2.03 - Establishment of Commission. 

The Elk Valley Indian Gaming Commission is hereby established. The Commission shall consist 

of five (5) Members appointed by a majority vote of the Tribal Council. The Commission shall 

consist of at least one individual with an accounting background, one with a legal or law 

enforcement background and one with at least five (5) years of business experience. At lease 

three (3) Members of the Commission shall be Elk Valley Rancheria members. In order to 

establish an annually staggered Commission appointment schedule similar to that of the Tribal 

Council, the first two (2) Members appointed to the Commission, one of whom shall be 

appointed Chairperson, shall serve two (2) years terms, the next three (3) Members shall serve 

a one (1) year term for the initial appointment terms only. Thereafter all successive terms of 

appointment shall run for two (2) years. Vacancies shall be filled within 30 days by the Tribal 

Council. 

Section 2.04 - Restrictions on Commissioners. 

Commissioners may hold other Tribal positions and engage in business, provided that they shall 

- not engage in any business which is subject to the provisions of this Gaming Code. 

Commissioners may not gamble in the Gaming Activity nor have any personal financial interest 

in any gambling by any Person. A Commissioner shall immediately resign from the 

Commission upon the Commissioner's conviction in a Federal or State Court of competent 

jurisdiction for any felony or for any misdemeanor related to illegal gambling or bribery or upon 

conviction in the Tribal Court of any charge that the Tribal Council finds relates to the 

Commissioner's honesty or ability to fulfill his duties. If a Commissioner is convicted of 

violating any part of this Code, he shall immediately resign from the Commission. 

Section 2.05 - Comwnsation of Commissioners. 

Commissioners shall be compensated at the rate to be established annually by the Commission 

and approved by the Tribal Council. Commissioners shall submit expense receipts to the Tribal 

Council and shall be reimbursed for actual expenses incurred on Commission business, including 

necessary travel expenses. 

Section 2.06 - Selection of Chair~erson. 

Except for the first Chairperson who shall be appointed by the Tribal Council, the Commission 

shall select annually from its membership a chairperson, who shall have the power to convene 

special meetings of the Commission upon 48 hours' prior written notice to Members of the 

Commission. 

Section 2.07 - Meetin~s Own to the Public. 

General meetings of the Commission may be open to the public. All meetings shall be governed 

by Roberts Rules of Order. 

Section 2.08 - Ouorum Required. 

A quorum shall consist of three members of the Commission. A quorum shall be required for 

any vote or decision by the Commission. All decisions shall be made by a majority vote, unless 

indicated otherwise in this Code. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 2.09 - Monthlv Reports. 

The Commission shall make monthly reports to the Tribal Council within 30 days after the close 

of the month for which the information is being required. The reports shall include a full and 

complete statement of Gaming revenues paid to the Tribe, expenses and all other financial 

transactions of the Commission and a summary of all licensing and enforcement actions. 

Section 2.10 - Powers. 

The Commission shall exercise all powers necessary to effectuate the purposes of the Gaming 

Ordinance and of this Code. The Commission may exercise any proper power and authority 

necessary to perform in this Chapter. The Commission shall meet with the Director not less 

than once each month to make recommendations and set policy, to approve or reject reports of 

the Director and transact other business that may be properly brought before it. 

Section 2.11 - Prior Notice of Actions. 

In adopting, amending and repealing regulations, the Commission shall give prior notice of the 

proposed action to all Licensees and other Persons whom the Commission or Director has reason 

to believe have a legitimate interest in such proposed action. Said notice shall inform such 

Persons as to the general nature of the proposed action and advise them as to the manner in 

which comments on said proposed action shall be received by the Commission. In emergencies, 

the Commission may summarily adopt, amend or repeal any regulation if, at the time, the 

Commission determines such action is necessary for the immediate preservation of the public 

peace, health, safety, morals, good order or general welfare, together with a statement of facts 

constituting the emergency; provided, however, that the Commission shall schedule such 

emergency action for a regular hearing within 60 days. 

Section 2.12 - Reauest for Commission Action. 

Any Person who is determined by the Commission or Director to be a real party in interest may 

file a petition in a manner and form approved by the Commission requesting the adoption, 

amendment or repeal of a regulation. Upon receipt of the petition, the Commission shall within 

30 days deny the request in writing or schedule the matter for action pursuant to this Code. 

Section 2.13 - ADDointment of Director. 

The Tribal Council [upon recommendation of the Commission] shall appoint a Director who 

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 Operations. A detailed background 

investigation shall have been conducted on the Director before his appointment and the 

Commission shall maintain oversight of the Director on an ongoing basis. The Director must 

have two (2) years experience managing a high stakes RenoILas Vegas Casino type gaming. 

No one convicted of a felony of any kind or a misdemeanor related to illegal gambling or 

bribery can serve as Director. the Director shall not have any personal interests in any Gaming 

Activity. The Director may not gamble in the Gaming Activity, nor have any personal financial 

interest in any gambling by any Patron. 

Section 2.14 - Director's Contract. 

TRIBAL CODE OF GAMING REGULATIONS 
The Director shall be hired on a contract for a period of at lease one (1) year. The terms of the 

contract will be negotiated with the Commission and approved by the Tribal Council. The 

Director's compensation shall be part of the negotiations. 

Section 2.15 - Termination of the Director. 

The Director shall be terminated immediately and without the necessity of a vote of the Tribal 

Council upon the Director's conviction in a Tribal, Federal or State Court of competent 

jurisdiction for any felony or for any misdemeanor related to illegal gambling or bribery or upon 

conviction in the Tribal Court of any charge that the Tribal Council finds relates to the 

Director's honesty or ability to fulfill his duties. If the Director is convicted of violating any 

part of the Gaming Ordinance or of this Code, he shall be immediately terminated. 

Section 2.16 - Duties of the Director. 

The Director shall [subject to the approval of the Commission] perform all duties, exercise all 

powers, assume and discharge all responsibilities and carry out and affect all purposes of the 

Gaming Ordinance and of this Code relating to the establishment of all Gaming Activity. In all 

decisions, the Director shall act to promote and ensure the integrity, security, honesty and 

fairness of the operation and administration of all Gaming Activity. The Director's duties shall 

include [but not be limited to] the following: 

(a) Negotiating contracts for payments by the Tribe for the provision of security and 

other professional services. Such contracts must be approved by the Commission 

and the Tribal Council and shall not constitute a waiver of criminal jurisdiction 

by the Tribe. 

(b) Ensuring that all gaming fees of all Gaming Activities are sent to the National 

Indian Gaming Commission on a timely basis. 

(c) Corresponding with the National Indian Gaming Commission and doing whatever 

is necessary to be in compliance with the rules and regulations of that agency. 

(d) Assuring that all Gaming Activity is conducted in a manner which adequately 

protects the environment and the public health and safety; 

(e) Establishing an adequate system to include finger print clearances with the 

California Department of Justice or with the Naitonal Indian Gaming Commission 

which ensures that background investigations are conducted on all Primary 

Management Officials and Key Employees of any Gaming Activity and that 

oversight of such officials and their management is conducted on an ongoing 

basis. The Director will recommend to the Commission [having final authority] 

regarding the granting of Tribal licenses for Primary Management Officials and 

Key Employees. The Director shall immediately notify the National Gaming 

Commission of the issuance of such licenses. The Director will review all 

applications and background investigations to ensure that no Person shall be 

TRIBAL CODE OF GAMING REGULATIONS 10 
eligible for employment in or with any part of the Gaming Activity if that 

Person's prior activities, criminal record [if any] or reputation, habits or 

associations pose a threat to the public interest or to the effective regulation of 

Gaming, or create or enhance the dangers of unsuitable, unfair or illegal 

practices, methods and activities in to conduct the Gaming. The Director shall 

notify the National Indian Gaming Commission of the results of such background 

checks before the issuance of such licenses; 

(f) Hiring, pursuant to the approval of the Commission, such professional, clerical, 

technical and administrative personnel as may be necessary to carry out the 

provisions of the Gaming Ordinance and this Code; 

(g) Reviewing all records, documents and anything else necessary and pertinent to 

enforcement of any provisions of the Gaming Ordinance and this Code; and 

(h) Recommending to the Commission whether sanctions should be imposed on any 

Person subject to the jurisdiction of the Gaming Ordinance and this Code. 

Section 2.17 - Right of InsDection. 

The Commission and the Director, and their agents, inspectors and employees, have the 

authority to: 

(a) Inspect and examine all Gaming Facilities and premises where gambling devices 

or equipment are manufactured, sold or distributed; 

(b) Inspect all equipment and supplies in, upon or about a Gaming Facility, or inspect 

any equipment or supplies, wherever located, which may have or have been used 

in the Gaming Facility; 

(c) Summarily seize and remove from a Gaming Facility [or wherever located] and 

impound such equipment or supplies for the purpose of examination, inspection, 

evidence or forfeiture; 

(d) Demand access to and inspect, examine and audit all papers, books and records 

of applicants and licenses respecting any income produced by any Gaming 

Activity and require verification of income and all other matters affecting the 

enforcement of the policy of or any of the provisions of the Gaming Ordinance 

and this Code; 

(e) Seize and impound any Patron's winnings which the Commission has reason to 

believe may have been won or obtained in violation of the Gaming Ordinance and 

this Code pending a civil forfeiture of earnings on such seizure; 

(f) For the purpose of administration and enforcement of the Gaming Ordinance and 

TRIBAL CODE OF GAMING REGULATIONS 11 
this Code the Commission, Director and their investigative personnel may, if 

deemed necessary by the Tribal Council, have the powers of the peace officer of 

the Redwood Valley Rancheria for purposes of enforcement of the Gaming 

Ordinance and this Code; and 

(g) The Commission and the Director shall have full power and authority to issue 

subpoenas and compel the attendance of witnesses for hearings at any place within 

the Reservation, to administer oaths and to require testimony under oath. Any 

process or notice may be served in the manner provided for service of process 

and notices in civil actions. The Commission and the Director may pay such 

transportation and other expenses of witnesses as it may deem reasonable and 

proper. 

Section 2.18 - Confidentiality of Information. 

The Commission and Director may refuse to reveal, in any court proceeding, the identity of any 

informant or the information obtained from the informant, or both the identity and the 

information. 

Section 2.19 - Powers of Delepation: Budretine Matters: Record-keep in^. 

The Commission may organize itself into a functional divisions as it may deem necessary and 

may from time to time alter such plan of organization as it may deem expedient. The 

Commission shall establish its own budget for operations including a budget for the Director and 

acquire such furnishings, equipment, supplies, stationary, books, motor vehicles and other things 

as it may deem necessary or desirable in carrying out its functions and incur such other 

expenses, within the limit of funds available to it, as it may deem necessary. Within the limits 

of a Tribal Council approved budget, the Commission shall employ and fix the salaries of or 

contract for services of such professional, technical and operational personnel and consultants 

as the execution of its duties and the operation of the Director and Commission may require. 

At the Tribal Council's discretion, said budget may be reviewed and modified by the Tribal 

Council every six (6) months. Upon the end of the budget year any surplus which exists shall 

be refunded to the Tribal Council at their discretion. The Commission and Director shall each 

keep and maintain a file of all applications for licenses under this chapter, together with a record 

of all action taken with respect to such applications. The Commission and Director shall keep 

and maintain such other files and records as they may deem desirable and all such records may 

be open to public inspection as they may deem appropriate; provided, that the annual 

Commission budget shall be made available to any Tribal member upon demand. 

Section 2.20 - Processing Em~lovee and Patron Complaints. 

The Commission may receive any complaint from an employee of any Gaming Activity or any 

member of the public who is or claims to be adversely affected by an act or ommission of the 

Gaming Activity which is asserted to violate the Ordinance, the Compact, or this Code adopted 

pursuant to the Ordinance, and may upon consideration of such complaint order such remedial 

action as it deems appropriate to bring the Gaming Activity into compliance with such 

provisions. The Commission may for this purpose, in its sole discretion, conduct a hearing and 

TRIBAL CODE OF GAMING REGULATIONS 12 
receive evidence with regard to such complaint if it deems an evidentiary proceeding useful in 

the resolution of such complaint. 

Section 2.21 - Violations of the Gaming Ordinance - Punishment. 

Any violation of this Code shall be punished by a fine of no more than $5,000 for each separate 

count or violation, or one (1) year in jail or both. Each day of violation shall constitute a 

separate count or violation. A violator may also be required to pay court costs, storage fees and 

auction or sales fees. All property used or which may be used in activities in each and every 

separate violation of this Code may become the property of the Tribe. Persons may be 

prohibited from trespassing on premises licensed under this Code, licenses may be suspended, 

revoked or limited, and establishments may be forcibly closed. All such action shall be taken 

at the discretion of the Commission, subject to the right of appeal to Tribal Court. Winnings 

found to have been received in violation of this Code are forfeited and become the property of 

the Tribe. 

Section 2.22 - Litations Period. 

No fine shall be assessed, nor any action taken for any violation under the preceding Section 

unless a charge is filed in proper form with the Commission or Tribal Court within two (2) years 

of the commission of the offense. 

Section 2.23 - S~ecial Agents. 

The Commission may authorize special agents to perform services reasonably necessary to assure 

compliance with the provisions of the Gaming Ordinance and this Code. Said special services 

of enforcement and surveillance shall be under the authorization and direction of the Director, 

unless otherwise determined by the Commission. This section shall in no way be deemed to 

limit the normal law enforcement functions of these or other Tribal law enforcement officers not 

so authorized. 

Section 2.24 - Indewndence of Commission. 

The Director, Commissioners, members of the Tribal Council and their immediate families shall 

receive no personal compensation, gift, 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 Person suspected of 

violating this provision shall be prosecuted to the fullest extent possible under Tribal Law for 

accepting a bribe, and any property received in violation of this provision shall be forfeited to 

the Tribe. 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. 

111. LICENSING OF GAMES 

Section 3.01 - Mandatorv License. 

Any Person seeking to conduct, operate or manage any Gaming Activity on the Reservation shall 

apply for and receive all the required licenses from the Commission prior to engaging in such 

TRIBAL CODE OF GAMING REGULATIONS 13 
Gaming Activities. Engaging in such Gaming Activities without first obtaining the required 

licenses shall be deemed a violation of this Code and shall be punishable in accordance with 

Section 2.20. 

Section 3.02 - Authorization of Class I1 Gaming Adivitv: Net Revenue Allocation: Audits; 

Contracts. 

(a) A separate license issued by the Commission shall be required for each place, 

facility or location on tribal lands within the Tribe's jurisdiction at which any 

Class I1 Gaming Activity is conducted. 

(b) The Commission may license and regulate a Tribally-Owned Class I1 Gaming 

Activity if: 

(i) Such Gaming Activity is located on Tribal lands and the State of 

California permits such Gaming for any purpose by any Person, 

organization or entity [and such Gaming is not otherwise specifically 

prohibited on Indian lands by federal laws]; and 

(ii) The Tribe will have the sole proprietary interest and responsibility for the 

conduct of such Gaming Activity; and 

(iii) Net Revenue from such Gaming Activity is used in accordance with 

Section 2.02 of this Code; and 

(iv) Such Gaming activity is subject to annual outside audits, which may be 

encompassed within existing independent Tribal audit systems and 

provided to the Tribal Council; and 

(v) All contracts for supplies, services or concessions for an aggregate amount 

in excess of $25,000 annually relating to such Gaming Activity are also 

subject to independent audits; and 

(vi) The construction and maintenance of the Gaming Facility and the 

operation of that Facility is conducted in a manner which adequately 

protects the environment and the public health and safety; and 

(vii) All Primary Management Officials and Key Employees of the Class I1 

Gaming Activity have successfully passed a background investigation 

which is approved by the Tribe and the National Indian Gaming 

Commission. 

Section 3.03 - Issuance of Tribal Gaming Licenses - Obiections. 

The Commission shall consult with appropriate law enforcement officials concerning any Gaming 

TRIBAL CODE OF GAMING REGULATIONS 14 
licenses it may issue. If, after issuance of a Gaming license by the Commission, reliable 

information is received that a Primary Management Official or Key Employee does not meet the 

standard established under Section 3.08 of this Code, the Commission shall suspend such license 

and, after notice and a hearing, may revoke such license. 

Section 3.04 - License & Remlation of Class I11 ami in^ Activities - TribalIState Com~act 

Reauired. 

The Commission may license and regulate Class I11 Gaming Activity if: 

(a) Such Gaming meets the requirements of Section 3.02; and 

(b) Such Gaming is conducted in conformance with the terms and conditions of a 

valid TribalIState Compact entered into by the Tribe and the State of California. 

Section 3.05 - Non-transferabilitv of Licenses. 

Any license issued pursuant to the provisions of the Gaming Ordinance and this Code is valid 

only for the Person shown on the face thereof, and only at the place of business shown on the 

face thereof. If is not assignable or otherwise transferable to any other Person or for any other 

location without approval of the Director and Commission. 

Section 3.06 - grant in^ of License - Maioritp Vote. 

To approve the initial issuance of any license pursuant to this Code, a quorum of the 

Commission must be present with a majority vote of approval by said quorum required. A 

license will not be issued to a Person whose license has been previously revoked, or to whom 

the issuance or renewal of a license has been denied, except with the unanimous approval of the 

Commission Members. 

Section 3.07 - ADDlication Fee. 

The Commission shall set a fee for applications, background investigations and licenses. All 

money orders or checks for such fees shall be made payable to the Elk Valley Rancheria and 

delivered to the Tribe's accounting office. 

Section 3.08 - Backeround Investigation. 

No license shall be granted to any Person who has been determined to be 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 the business and financial matters incidental thereto. 

Section 3.09 - Failure of ADDlicant to Disclose Material Information. 

An applicant for licensing shall make true and full disclosure of all information to the Director 

and Commission as necessary or appropriate in the public interest or as required in order to 

carry out the policies of the Gaming Ordinance and this Code relating to licensing and control 

of the Gaming industry. It is the duty of the applicant to disclose all information material to 

TRIBAL CODE OF GAMING REGULATIONS 15 
whether his involvement with Gaming would jeopardize or compromise the Tribal interest, 

whether or not the applicant has been specifically requested to provide that information. It shall 

constitute a violation of the Gaming Ordinance to fail to disclose, to mislead or to mis-state any 

material information to the Director of the Commission, or to any Licensee's employer. 

Section 3.10 - Temporarv Em~lo~ment License. 

The Commission may issue a temporary employment license to any Person applying for a license 

to work in a licensed Gaming Activity which shall be valid pending the background investigation 

of the applicant. In no event shall a temporary license be valid for greater than 180 days. 

Section 3.11 - Parameters of Licenses. 

Violations of any provision of the Gaming Ordinance or of any of the regulations in this Code 

by a Licensee, his agent or employee shall be deemed contrary to the public health, safety, 

morals, good order and general welfare of the Tribe and the inhabitants of the Elk Valley 

Rancheria and shall be deemed grounds for refusing to grant or renew a license, suspension or 

revocation of a license or shall constitute grounds for the filing of charges by the Commission 

or Director. Acceptance of a Gaming license or renewal thereof, or condition imposed thereof 

by a Licensee, constitutes an agreement on the part of the Licensee to be bound by all the 

regulations and conditions of the Director or Commission and by the provisions of the Gaming 

Ordinance as the same are now, or may hereafter be amended or promulgated, and to cooperate 

fully with the Director and Commission. It is the responsibility of the Licensee to keep himself 

informed of the contents of the Gaming Ordinance and this Code and all such regulations, 

amendments, provisions and conditions; ignorance thereof will not excuse violations. 

Section 3.12 - Voting on Licensing: Review Hearin~s. 

Any Commission vote in approving, disapproving, revoking, suspending, limiting or 

conditioning a license shall be by secret ballot only; provided that in an emergency a secret 

phone vote may be polled. Should an applicant disagree with the determination of the 

Commission, the Commission shall hold a hearing to review its decision within three (3) 

working days from the date the applicant files his disagreement with the Commission. At the 

hearing, the burden shall be on the applicant to show cause why the Commission's determination 

was incorrect. 

Section 3.13 - Commission Findings Following Review Hearing. 

Following such review hearing, the Commission shall [within three (3) days] reach a 

determination concerning: 

(a) The accuracy of the preliminary certifications of facts; and 

(b) Whether the license in question should be granted, continued, suspended, 

revoked, conditioned or limited; and 

(c) Whether or not any other action recommended to the Commission including [but 

not limited to] forfeitures, should be taken. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 3.14 - Notification of Commission Decision. 

Within three (3) working days following a determination, the Commission shall inform the 

subject in writing of that determination. 

Section 3.15 - Rieht to Apml. 

The subject shall have a right to appeal the determination of the Commission to the Tribal Court. 

Such appeal must be filed with the Tribal Court in written form on or before the tenth (10th) day 

following receipt of the written determination of the Commission. A determination of such 

appeal by the Tribal Court shall be final and no further action may be had. In any appropriate 

case which has been referred to Tribal Court for final action, the Tribal Court shall review the 

determination of the Commission. Tribal Court review shall be limited to a determination of 

whether there exists substantial evidence to support the Commission's determination. The 

Court's action shall be final and no further appeals may be made. 

IV. MANAGEMENT CONTRACTS 

Section 4.01 - Commission Approval Reauired. 

(a) Any Management Contract entered into by the Tribe for the operation and 

management of Class I1 and Class I11 Gaming Activity must be submitted to the 

Commission for approval. Before approving such Contract, the Commission shall 

require and obtain the following information: 

(i) The name, address and other additional pertinent background information 

on each Person [including, in cases involving entities, each individual, 

partner, officer, shareholder, and director comprising such entity] having 

direct financial interest in, or management responsibility for, such 

Contract; and [in the case of a corporation] those individuals who service 

on the board of directors of such corporation and each of its stockholders 

who hold [directly or indirectly] 10% or more of its issued and 

outstanding stock; and 

(ii) A complete financial statement of each Person listed pursuant to 

subsection (i) above. 

(b) Any Person listed pursuant to subsection (a)(i) above shall be required to respond 

to such written or oral questions that the Commission may propound in 

accordance with its responsibilities under this Chapter. 

(c) In making the determination to approve or disapprove Management Contracts, 

when the Tribe has received competing bids or proposals involving Gaming 

wherein the bids or proposals will provide substantially the same return to the 

Tribe and its members, first preference will be given to Tribal member Indians 

and cooperative associations of member Indians, and second preference will be 

TRIBAL CODE OF GAMING REGULATIONS 17 
given to non-member Indians and cooperative association of non-member Indians. 

Section 4.02 - ADDroval of Mana~ement Contracts. 

The Commission may approve any Management contract entered into by the Tribe pursuant to 

this Chapter only if it determines that such Contract provides at least: 

(a) That accounting procedures are maintained and verifiable financial reports are 

prepared, by or for the Tribal Council, on a monthly basis; 

(b) For access to the daily operations of the Gaming to appropriate Tribal officials 

and their accountants and assistants, who shall also have a right to verify the daily 

Gross Revenues and income made from any such Tribal Gaming Activity; 

(c) For a minimum guaranteed payment to the Tribe that has preference over the 

retirement of development and construction costs; 

(d) For an agreed ceiling for the repayment of development and construction costs; 

(e) For a Contract term not to exceed five (5) years, except that, upon the request of 

the Tribe, the Commission may authorize a Contract term that exceeds five (5) 

years but does not exceed seven (7) years if the Commission is satisfied that the 

capital investment required, and the income projections, for the particular Gaming 

Activity require additional time; 

(f) For grounds and mechanisms for terminating such Contract, but that actual 

Contract termination shall not require the approval of the Commission; and 

(g) That preference will be given to Tribal members and non-member Indians in 

hiring of employees for the Gaming Activity. 

Section 4.03 - Percentage-of-Net-Revenue Fees. 

(a) A Management Contract providing for a fee based upon a percentage of the Net 

Revenues of a Tribal Gaming Activity may be approved by the Commission if 

such percentage fee is reasonable in light of surrounding circumstances. Except 

as provided in this Section, such fee shall not exceed 30% of the. Net Revenue. 

(b) Upon request of the Tribal Council, the Commission may approve a Management 

Contract providing for a fee based upon a percentage of the Net Revenues of a 

Tribal Gaming Activity that exceeds 30% but not 40% of the Net Revenues if the 

Commission and Tribal Council are satisfied that the capital investment required, 

and the income projections for such Tribal Gaming Activity, justify the additional 

fee. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 4.04 - Contract Disa~proval and Nonrenewal. 

The Commission shall not approve any proposed Management Contract, and shall refuse to 

renew any Management Contract, if it determines: 

(a) The management contractor or potential management contractor (including any 

Person listed to Section 4.0 1 (a)(i)): 

(i) Is an elected member of the Tribal Council; 

(ii) Has been or subsequently is convicted of any felony or Gaming offense; 

(iii) Has knowingly and willfully provided a materially false statement of 

information to the Commission or the Tribal Officials who negotiate such 

Contracts, or has refused to respond to questions propounded pursuant to 

Section 4.01(b); or 

(iv) Has been determined to be a Person whose prior activities, criminal 

record [if any] or reputation, habits or 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 the 

business and financial arrangement incidental thereto; 

(b) The management contractor or potential management contractor has or has 

attempted to unduly interfere or influence for its gain or advantage any decision 

or process of Tribal government relating to Gaming Activity; or 

(c) The management contractor or potential management contractor (including any 

Person listed to Section 4.01(a)(i)) has deliberately or substantially failed to 

comply with the terms of the Management Contract, the provisions of the Gaming 

Ordinance or of this Code of regulations adopted pursuant to the Gaming 

Ordinance or the Indian Gaming Regulatory Act, 25 U.S.C $2701 et seq. 

Section 4.05 - Modifvin~ or Voiding of Management Contract. 

The Commission, after notice and hearing, shall have the authority to require appropriate 

Contract modifications or may void any Contract if it subsequently determines that any of the 

provisions of the Gaming Ordinance or this Code have been violated or that grounds for 

disapproval or nonrenewal of the Management Contract under Section 4.04 existed at the time 

of approval or renewal or arouse thereafter. 

Section 4.06 - Conveying Interest in Land. 

No Management Contract for the operation of a Gaming activity regulated by the Commission 

shall transfer or convey any interest in land or other real property, unless specific applicable 

statutory authority exists, and unless clearly specified in writing in said Contract. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 4.07 - Fee for Investigation. 

The Commission shall require management contractors and potential management contractors 

to pay a fee as set from time to time to cover the cost of the investigation necessary to reach a 

determination required in Section 4.04 or 4.05 of this Chapter. 

V. AUDITING AND INTERNAL CONTROL 

Section 5.01 - Minimum Procedures for Control of Internal Fiscal Affairs. 

The Commission, through the office of the Director, shall ensure promulgation of regulations 

for the control of internal fiscal affairs of all Gaming Activities. At a minimum, those 

regulations shall: 

(a) Prescribe minimum procedures for safeguarding the Gaming Activities' assets and 

revenues, including recording of cash, evidence of indebtedness and mandatory 

count procedures. Such procedures shall establish a control environment, 

accounting system and control procedures that safeguard the assets of the 

organization, assure that operation transactions are properly recorded, and 

promote operational efficiency and encourage adherence to prescribed policies; 

(b) Prescribe minimum reporting requirements to the Commission; 

(c) Provide for the conducting, adoption and use of internal audits by internal 

auditors and Certified Public Accountants licensed to practice public accounting 

in the State of California; 

(d) Formulate a uniform code of accounts and accounting classifications to assure 

consistency, comparability and effective disclosure of financial information. Such 

code shall require that records be maintained that reflect statistical drop [amount 

of cash wagered by Patrons], statistical win [amount of cash won by the Gaming 

Activity] and the percentage of statistical win to statistical drop, or provide 

similar information for each type of game or Gaming Device; 

(e) Prescribe the intervals at which such information shall be furnished; 

(f) Provide for the maintenance of documentation [i.e., checklists, programs, reports] 

to evidence all internal work performed as it relates to the requirements of this 

sections; and 

(g) Provide that all financial statements and documentation referred to in subsection 

(f) be maintained on the Reservation for a minimum of five (5) years. 

Section 5.02 - Commission Oversight of Internal Fical Affairs. 

The Commission shall require audits of the financial statements of all Gaming Activities. Such 

audits must: 

TRIBAL CODE OF GAMING REGULATIONS 
(a) Be made by independent Certified Public Accountants holding a permit issued 

by the State of California to practice public accounting; 

(b) Include an opinion [qualified or unqualified], or if appropriate, disclaim an 

opinion on the financial statements taken as a whole in accordance with standards 

of the accounting profession established by rules and regulations of the California 

State Board of Accountancy and the American Institute of Certified Public 

Accountants; 

(c) Disclose whether the accounts, records and control procedures maintained by the 

Gaming Activity are as required by the regulations promulgated by the 

Commissions under Section 5 .01; and 

(d) Provide for a preliminary review of the internal control structure, upon adoption 

of the policies and procedures by the entity, to disclose any deviation from 

prescribed rules and regulations and report such findings to the Commission and 

management . 

Section 5.03 - Commission's Right to Conduct Audits. 

The Commission shall be able to retain its own appointed accountants, or to direct an accountant 

employed by the Tribe, to conduct its own audits of all Gaming Activities. 

Section 5.04 - Prohibition A~ainst Embezzlement. 

Any delay, maneuver or action of any hnd which in the opinion of the Director is effectuated 

by any Licensee to unlawfully divert Gaming proceeds or other proceeds properly belonging to 

the Tribe shall constitute grounds for talung disciplinary action against that Licensee. If the 

Commission finds an unlawful diversion was attempted, it shall sanction the Licensee. Sanctions 

may include restitution, fining, revoking, suspending, limiting or refusing to renew the license. 

The Commission and/or Tribal Council may also seek prosecution of the offender under Tribal, 

state, and/or federal laws. 

Section 5.05 - Non-Com~liance. 

Failure to comply with this Chapter or the regulations promulgated hereunder shall constitute 

a per se violation of these regulations. 

VI. AUTHORIZATION OF GAMING 

Section 6.01 - Prohibition Against gamin^. 

No Person duly authorized by the Commission to conduct Gaming shall engage, conduct or 

condone any game unless and until such game is approved by the Commission, a valid license 

has been issued and all fees paid by the Licensee, and regulations for rules governing such game 

have been duly promulgated by the Commission. 

Section 6.02 - Grace Period. 

TRIBAL CODE OF GAMING REGULATIONS 
The prohibition contained in Section 6.01 shall not apply to those games already being played 

as of the date of enactment of this Code; provided that the Licensee conform to the rules 

promulgated hereunder within five (5) days of such promulgation. 

Section 6.03 - Authorization of Gaming. 

The Commission may authorize the playing of any game not prohibited by the laws of the State 

of California. The Commission shall promulgate regulations for rules governing all authorized 

games, including regulations governing Gaming Equipment [including without limitation chips, 

dice, cards and tiles]. Any provision in a Compact with the State of California providing for 

notice to and comment from the State shall be complied with before any game is authorized by 

the Commission. 

Section 6.04 - ADD~OV~~ of Gaming Equi~ment. 

The Commission shall have the discretion to review, and reject or approve, all Gaming 

Equipment and other devices used in the Gaming Activity as to quality, design, integrity, 

fairness, honesty and suitability. 

(a) The Commission may require a prototype or sample of any model of Gaming 

Equipment or other device used in the Gaming Activity to be placed in the 

custody of the Director and retained by him as a control for comparison purposes. 

(b) Any evidence that Gaming Equipment or other devices used in the Gaming 

Operation has been tampered with or altered in any way which would affect the 

integrity, fairness, honesty or suitability of the equipment or device shall be 

immediately reported to the Commission. 

Section 6.05 - post in^ of Rules. 

The rules of each game offered at any duly licensed Gaming Facility shall be posted in a 

conspicuous location and shall be clearly legible. 

VII. EXCLUSION OR EJECTION OF INDIVIDUALS 

Section 7.01 - List of Undesirables. 

The Commission may provide for the establishment of a list of persons who are to be excluded 

or ejected from any duly licensed Gaming Facility. The list may include any person whose 

presence in the Gaming Facility is determined by the Commission to pose a threat to the interests 

of the Tribe, State of California or to licensed Gaming. Race, color, creed, national origin, 

ancestry or sex must not be grounds for placing the name of a person on the list. 

Section 7.02 - Notice and O~~ortunitvo be Heard. 

The Commission shall promulgate regulations providing fair notice and opportunity to be heard 

to any individuals whose name is being contemplated by the Tribe to be placed on the list 

referred to in Section 7.01. Such regulations must provide the person an opportunity to show 

cause why his name should be deleted from the list. 

TRIBAL CODE OF GAMING REGULATIONS 
Section 7.03 - Prohibition Against Listed Individuals. 

It shall be a violation of this Code for any Licensee to knowingly fail to exclude or eject from 

a Gaming Facility any persons placed on the list referred to in Section 7.01. It shall be violation 

of this code for any person whose name appears on the list referred to in Section 7.01 to enter 

into or engage in any game at a duly licensed Gaming Facility. 

Section 7.04 - Prohibition Against Certain Individuals. 

It shall be a violation of this Code for any Licensee to knowingly fail to exclude or eject from 

a Gaming Facility any individual who: 

(a) Is visibly under the influence of liquor or any narcotic or such other substance; 

or 

(b) Is under the age of twenty-one (21) years. 

VII. CHEATING 

Section 8.01 - Unlawful Acts. 

It is unlawful for any Person to: 

(a) Alter or misrepresent the outcome of a game or other event on which wagers 

have been made after the outcome is made sure, but before it is revealed to the 

players; 

(b) Place, increase or decrease a bet, or to determine the course of play, after 

acquiring knowledge [not available to all players] of the outcome of the game or 

knowledge that is the subject of the bet or wager; 

(c) Aid anyone in acquiring such knowledge as set forth in subsection (b) above, for 

the purpose of increasing or decreasing a bet or wager, or for the purpose of 

determining the course of play contingent upon that event or outcome; 

(d) Claim, collect or attempt to claim or take money or anything of value in or from 

a licensed game with intent to defraud, without having made a wager contingent 

thereon, or to claim, collect or take an amount greater than the amount won; 

(e) Knowingly entice or induce another to go to any place where a Gaming Activity 

is being conducted or operated in violating of the provisions of this Chapter, with 

the intent that the other person play or participate in that Gaming Activity; 

(f) To place or increase a bet or wager after acquiring knowledge of the outcome of 

the game or event which is the subject of the bet or wager, including past-posting 

and pressing bets; 

TRIBAL CODE OF GAMING REGULATIONS 
(g) To reduce the amount wagered or cancel the bet after acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet or wager, 

including pinching bets; or 

(h) To manipulate, with intent to cheat, any component of Gaming Equipment in a 

manner contrary to the designed and normal operational purpose for the 

component, with knowledge that the manipulation affects or may affect the 

outcome of the game or with knowledge of any event that affects the outcome of 

the game. 

Section 8.02 - Prohibition Against Electronic Aids. 

Except as specifically permitted by the Director with the approval of the Commission, no person 

shall possess with the intent to use [or actually use] at any table game, either by himself, or in 

concert with others, any calculator, computer or other electronic, electrical or mechanical device 

to assist in projecting an outcome at the table game, to keep track or analyze the cards having 

been dealt, or to change the probabilities of the game or the playing strategies to be utilized. 

IX. NATIONAL INDIAN GAMING COMMISSION & TRIBALISTATE COMPACTS 

Section 9.01 - National Indian Gaming Commission - Reeulations. 

Notwithstanding any provision in the Gaming Ordinance, this Code or any regulation 

promulgated thereunder, the Commission is fully empowered to comply with all regulations 

promulgated by the National Indian Gaming Commission, including [but not limited to] all 

requirements to report ordinances, contracts, license applications, background checks and other 

information to the National Indian Gaming Commission. 

Section 9.02 - National Indian gamin^ Commission - Assessment. 

Notwithstanding any provision in the Gaming Ordinance, this Code or any regulation 

promulgated thereunder, the Commission is fully empowered to comply with all assessments 

authorized by the National Indian Gaming Commission. Such assessments shall be paid from 

the Treasury of the Elk Valley Rancheria. 

Section 9.03 - COIIID~~ withthe State of California. 

Notwithstanding any provision in the Gaming Ordinance, this Code or any regulation 

promulgated thereunder, the Commission is fully empowered to comply with the provisions of 

any Compact properly executed between the Tribe and the State of California. 

X. MISCELLANEOUS 

Section 10.01 - Securitv. 

Each licensed Gaming Activity must provide for reasonable security. All security officers and 

personnel must be licensed by the Commission. 

Section 10.02 - Maintenance of Code and Regulations. 

Each Licensee shall obtain, maintain and keep current a copy of the Gaming Ordinance and this 

TRIBAL CODE OF GAMING REGULATIONS 24 
Code of Regulations on the Gaming Premises. The Ordinance and Code of Regulations shall 

be produced by the Licensee and shown to any interested party upon demand. That the Licensee 

may not have a current copy of the Gaming Ordinance, Code of Gaming Regulations, or each 

of the rules of the Commission, shall not in any way diminish the Licensee's obligation to abide 

by the Ordinance and Code of Regulations. 

Section 10.03 - Com~liance with Other Laws. 

The construction, maintenance and operation of any Gaming Facility shall be in a manner which 

adequately protects the environment and the public health and safety and shall comply with any 

otherwise applicable Tribal and federal laws relating to environmental protection and public 

health and safety. 

Section 10.04 - Amendment. 

All regulations promulgated herein by the Commission are subject to proper revision, repeal 

or amendment by the Commission. 

Section 10.05 - Severabilitv. 

If any provision of this Code, or its application to any purpose or circumstance, is held invalid 

by a court of competent jurisdiction, the full remainder of the provision, or the application of 

the provision through another Person or circumstance, shall not be affected. 

Section 10.06 - Ca~tions. 

The captions and heading of this Code are included for convenience only and shall in no way 

limit or affect the text thereunder. 

TRIBAL CODE OF GAMING REGULATIONS 
P.O. Box lo42 

C4-exant Ciw. California 95531 

(707) 364-4680 

CERTIFICATION 

The attached Ordinance No. 95-04 of The Elk Valley Rancheria, regulating Indian 

Gaming on Tribal lands is a true and accurate copy of said Ordinance enacted by the Tribe on 

January 12, 1995. 

Dated: May 4, 1995 

J& 0#AW 

GREEN, Chairperson 

Elk \)alley Rancheria