May 23,2008 

Via U.S. Mail and Facsi,& 

Dale Miller, Chairman 

Elk Valley Rancheria 

2332 Howland Hill Road 

Crescent City, CA 9553 :l 

Fax 1 : (707) 465-2638 

Fax 2: (707) 464-45 19 

Serena Markussen, Commission Chairperson 

Elk Valley Rancheria Gaming Commission 

2500 Howland Hill Road 

Crescent City, CA 9553 1. 

Fax: (707) 464-44 1 6 

Bradley Bledsoe Downes 

Elk Valley Rancheria General Counsel 

2332 Howland Hill Road 

Crescent City, CA 9553 1. 

Fax: (707) 465-2638 

RE: Amendment to the Elk Valley Rancheria Gaming Ordinance 

Dear Chairman Miller, Ms. Markussen, and Mr. Downes: 

On April 29,2008, Mr. Ilownes on behalf of the Tolowa Indians of the Elk Valley 

Rancheria (Tribe) requested that the National Indian Gaming Commission (NIGC) 

review and approve the Tribe's amendment to the Elk Valley Rancheria Gaming 

Ordinance (gaming ordinance). The Tribe amended the gaming ordinance on April 9, 

2008. In this amendment, the Tribe clarified its compliance with NIGC Minimum 

Internal Control Standards (MICS) for Class I1 and I11 gaming and corrected several 

technical errors. Additionally, the Tribe amended the gaming ordinance to ban applicants 

from reapplying for a license for one year after receiving a denial, suspension, or 

revocation. 

The ordinance's definition of "Reservation" contains a site-specific section that includes 

"the Martin Ranch property." Gaming Ordinance 5 3.23(b). 'This definition required the 

NIGC to consider whether the Martin Ranch property would constitute Indian lands 

under the Indian Gaming Regulatory Act. 

On July 13,2007, the Department of the Interior, Office of the Solicitor, issued a legal 

opinion concluding that if the Secretary of the Interior accepts trust title to the Martin 

NATIONAL HEADQUARTERS 1441 L St FIW, Suite 9100, Washington. DC 20005 Tel. 202.632.;'003 Fax. 202.632.7066 W.NIGC.GOV 

REGIONAL OFFICES Portland. OR; Sacramento. CA; Phoen~x. AZ; St. Ftaul, MN;Tulsa, OK 
Ranch, such trust acquisition will be part of the restoration of lands for the Tribe under 25 

U.S.C. 5 2719(b)(l)(B)(iii). On February 11,2008, the Department of the Interior 

accepted the land into trust and published notice in the federal register. 73 Fed. Reg. 

7758-7759 (Feb. 11,2008). Therefore, I adopt the conclusions of this decision and its 

record. 

This letter constitutes approval of the amendment because nothing therein conflicts with 

the requirements of the Indian Gaming Regulatory Act (IGIU) and the Commission's 

~g the amendment for review and approval. If you have any 

?Attorney Rebecca Chapman at (202) 632-7003. 

Philip N. Hogen 

Chairman 
ORDINANCE NO. 95-04, AS AMENDED APRIL 9,2008 443 

ELK VALLEY RANCHERIA, CALIFORNIA 2,n 

TRIBAL GAMING ORDlNANClE >? 

1. PURPOSE 

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

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 lndian Rancheria or Reservation and the members of the Tribe, 

hereby enacts this Ordinance to set the terms and conditiorls under which Class II and 

Class Ill gaming may be conducted on the Reservation. 

2. APPLICABILITY 

Unless specifically indicated otherwise, all provisions of this Ordinance shall 

apply to both Class I1 Gaming and Class Ill Gaming includintg, but not limited to, all 

licensing and background investigation procedures. 

3. DEFINITIONS 

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

shall have the same meaning as defined in the lndian Gaming Regulatory Act, Public 

Law 100-497, 25 U.S.C. Section 2710, et seq. (the "Act"). 

3.01 Calendar Year. The period beginning October 1 at 12:00:00 a.m. and 

ending the immediately following September 30 at 11:59:59 p.m. 

3.02 Chairman. The Chairman of the Elk Valley Rancheria (hereinafter "Elk 

Valley Rancheria") Gaming Commission. 

3.03 Class I Gaming. Playing of social games solely for prizes of minimal 

value or traditional forms of lndian Gaming engaged in by individuals as part of or 

in connection with 'Tribal ceremonies or celebrations. 

3.04 Class II Gaming. Subject to the limitations of (d), below, Class II 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 cfesignations; 
(ii) In which the holder of the card clovers 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 arrangemient of numbers or 

designations on such cards, 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 thle laws of the State of 

California and are played at any location in the State of 

California, but only such card games. 

(c) Other games classified as Class II by the State of California or the 

federal government. 

(d) The term Class II Gaming does not include: 

(i) Any card games banked by the house, including Baccarat, 

Chemin de Fer, Blackjack (21); or 

(ii) Electronic or electromechanical facsimiles of any game of 

chance or slot machines of any kiind. 

3.05 Class Ill Gaming. Class Ill Gaming includes all forms of gambling that 

are not Class 1 or Class II Gaming. 

3.06 Commission. The Elk Valley Rancheria Gaming Commission. 

3.07 Commissioner or Commission Member. One of the members of the 

Commission. 

3.08 Tribal Council. The Elk Valley Rancheria Triblal Council, the governing 

body of the Tribe. 

3.09 Gaming or Gaming Activity. 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, 

Chemin de Far, Baccarat, Pai-Gow, Beat the Banker, 13anguingue, slot Machine, 
Video Poker Machines, Pull-tabs, any banking or percentage game, or any other 

game or device approved by the Commission. The term does not include games 

played with cards in private homes or residences in which no Person makes or 

charges money for operating the game, except as a player. 

3.10 Gaming Equipment or Gaming Device. Any equipment or mechanical, 

electromechanical or electronic contrivance, comporient 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 te~m includes a system for 

processing inform'ation that may alter the normal criteria of random selection, 

which affects the operation of any game, or which determines the outcome of a 

game. 

3.11 Gaming 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. 

3.12 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, payout of winnings, cost of operations, 

taxes, labor expenses, equipment or material 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 a maximum capacity. 

3.13 Key Employee. 

(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 othewise included, the four most highly compensated 

persons in the gaming operation. 

3.14 Licensee. Any Person who has been issued a valid and current Gaming 

license pursuant to the provisions of this Ordinance. 

3.15 Net Revenues. Gross Revenues of a Gaming Activity less amounts paid 

out for prizes, winning and total Operating Expenses, but excluding Management 

Fees. 

3.16 Management 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 11 or Ill Gaming Activity. The term Management Contract shall 

include all collateral agreements, but does not include an employment contract 

between the tribe and any natural person. 

3.17 Management Fee. Any monies paid from Gaming revenue to any Person 

contracted and/or licensed to operate a Gaming Activity. Such term shall not 

include monies paid to the owner of a Gaming Activity licensed pursuant to this 

Ordinance or to salaries paid to employees. 

3.18 Operating Expenses. Any expense incurred in the daily operation of a 

Gaming Activity that is specifically designated as an operating expense incurred 

in the Management Contract; provided that in the case of an establishment 

licensed by the Tribe pursuant to this Ordinance, the term shall also mean any 

expense specifically designated as an operating expense in any regulation 

adopted by the Commission. 

3.19 Patron. Any person or group of persons who participates as players in 

games as defined in this Ordinance on the Reservation, or who are physically 

present at Gaming Facilities. 

3.20 Person. Any association, partnership, corporation, firm, trust or other 

form of business association as well as a natural person. 

3.21 Primary Management Official. 

(a) The person having management respor~sibility for any 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. 

3.22 Regulations. The regulations of the Commisz;ion promulgated under or in 

furtherance of this Ordinance. 

3.23 Reservation. 

(a) The area of approximately 100 acres lying within the survey 

boundaries of the Elk Valley Rancheria in Del Norte County, 

California. 

(b) Any land meeting the definition of "lndian lands" as defined in the 

IGRA, including but not limited to the Martin Ranch property. 

3.24 Tribal-State Compact or Compact. 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 Ill Gaming Activity on the 

Reservation. 

3.25 Tribe. The Elk Valley Rancheria, California, a federally recognized lndian 

tribe. 

3.26 Words and 'Terms. In construing the provisions of this Ordinance, 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 the 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. 

4. GAMING AUTHORIZED 

4.1. Class I1 gaming as defined in the lndian Gaming Regulatory Act, P.L. 100- 

447, 25 U.S.C. Section 52703 (7) (A) ("IGRA) and by the regulations promulgated by 

the National lndian Gaming Commission at 25 C.F.R. 5502.3 (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 Tribel-State Compact that has 

been approved by the Secretary of the lnterior and Is in effect, or otherwise has been 

authorized by the Secretary of the lnterior or federal law. 
4.2. Class Ill ganiing as defined in the lndian Gaming Regulatory Act and by the 

regulations promulgated by the National lndian Gaming Cornmission at 25 C.F.R. § 

502.4 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 lnterior and 

is in effect, or otherwise has been authorized by the Secretary of the lnterior or federal 

law. 

4.3. Unauthorized Gaming. No person shall conduct any Gaming activity 

within the Reservation without the authority of the Tribe. Any lndian who commits any 

act of unauthorized Gaming within the Reservation shall be guilty of a crime and may be 

prosecuted in the Elk Valley Rancheria Tribal Court. Pending establishment of a Tribal 

Court, the Tribal Council may exercise the jurisdiction of the Tribal Court as established 

in these regulations. Prosecution for such a crime in Elk Valley Rancheria Tribal Courf 

is not meant to be exclusive. A finding of guilt or innocence shall not deprive the 

Federal Government or Sate government of criminal jurisdiction. 

5. OWNERSHIP OF GAMING FACILITIES AND/OR ENTEiRPRlSES 

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

conduct of any gaming operation facilities and/or enterprise@) authorized by this 

Ordinance, provided, however, that the Tribe may, in accordance with IGRA, enter into 

a management contract for management of the gaming operation. Further, the Tribe 

may contract with and license a person or entity to engage in gaming pursuant to the 

provisions of the IGRA and the regulations promulgated tliereunder, or as otherwise 

permitted by law. 

6. USE OF GAMING REVENUE 

6.1. Net revenues from Class II and Class Ill gaming on the Reservation shall 

be used only for the following purposes: 

a) To fund Tribal government operation 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 organization; or 

e) To help fund operations of local government agencies. 

6.2. If the Tribe elects to make per capita payments to Tribal Members, it shall 

authorize such payments orily in conformity with a plan submitted to and approved by 

the Secretary of the lnterior pursuant to 25 U.S.C. 5 2710(b)(?l). 
TRIBAL GAMING COMMISSION. 

7.01 Establishment of Commission. The Elk Valley Tribal Gaming 

Commission is hereby established. The Commission shall consist of three (3) 

Members appointed by a majority vote of the Tribal Council. All three (3) 

Members of the Commission shall be full-time, at will employees and will serve at 

the discretion of the Tribal Council. The Chairperson d the Commission shall 

supervise the other Members of the Commission and any Commission 

employees. The Tribal Council shall fill vacancies on the Commission within 30 

days of a vacancy. 

7.02 Restrictions on Commissioners. Commissioners may hold other Tribal 

positions and engage in business; provided, however, that Commissioners shall 

not engage in any business that is subject to the provisions of this Ordinance. 

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

financial interest in any gambling by any Person. No member of the Tribal 

Council shall serve as a member of the Commission during that person's term on 

the Tribal Council. 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 misderneanor 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 an!/ part of this Ordinance, he 

shall immediately resign from the Commission. 

7.03 Code of Ethics. The Commission may adopt ;and revise from time to time 

a Code of Ethics regulating the conduct of the Commissioners and Commission 

Staff. 

7.04 Compensation of Commissioner. Commissioners shall be 

compensated at the rate to be established annually by the by the Tribal Council. 

Commissioners shall submit personal expense receipts to the Tribal Council and 

shall be reimbursed for actual expenses incurred on C;ornmission business, 

including necessary travel expenses. Commissioners; shall be eligible for fringe 

benefits similar to those as established for employees, of the Elk Valley 

Rancheria, including but not limited to health insuranc:e, dental insurance, vision 

insurance, life insurance, retirement program(s) and other similar benefits. 

7.05 Selection of Chairperson. The Chairperson shall be appointed by the 

Tribal Council. The Commission may also select from among its members such 

other officers as it deems appropriate. 

7.06 Meetings Open to the Public. General meetings of the Commission may 

be open to the public. Closed sessions may be held for good cause, including 

protecting the privacy of Persons, considering personnel matters, considering 

licensing determinations, reviewing background investigations, hearing 

complaints against individuals, and considering whether to include Persons on 
the list of excluded individuals. All meetings shall be governed by Roberts Rules 

of Order or such other procedures as the Commission may adopt. Nothing 

herein shall preclude a vote from being taken by the Commission by telephone 

poll in an emergency when circumstances do not allow a meeting of the full 

board in one location in a timely manner. 

7.07 Quorum Required. A quorum shall consist c)f two (2) members of the 

Commission. A quorum shall be required for any vo'te or decision by the 

Commission. All decisions shall be made by a majority vote of those present, 

unless indicated othetwise in this Ordinance. 

7.08 Monthly 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 inclulde 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. Such reports may be in the form of minutes of the Commission 

meetings supplemented by any additional documents as may be appropriate. 

Monthly reports from the Comptroller may suffice for the financial reports 

required in this section. 

7.09 Powers. The Commission shall exercise all powers necessary to 

effectuate the purposes of the Gaming Ordinance. The Commission may 

exercise any proper power and authority necessary or convenient to perform its 

responsibilities under this Ordinance or the Gaming Ordinance. The Commission 

shall meet not less than once each month to make rec:ommendations and set 

policy, to approve or reject reports of the casino management, and transact other 

business that may be properly brought before it. 

7.10 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 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. Notice may be given by posting for at least one week at a piace 

designated by the Commission within the Casino office complex. 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. 

7.11 Request for Commission Action. Any Person who is determined by the 

Commission 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 Code. 

7.12 Appointment of Staff. The Commission may appoint such staff as it 

determines appropriate, with the budget approved by !:he Tribal Council, who 

shall be responsible for the day-to-day management of the affairs of the 

Commission. Such staff may include support personnlel as may be appropriate. 

7.13 Duties of the Commission. The Commission shall perform all duties, 

exercise all powers, promulgate all regulations, assume and discharge all 

responsibilities and carry out and affect all purposes of the Gaming Ordinance 

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

decisions, the Commission shall act to promote and ensure the integrity, security, 

honesty and fairness of the operation and administration of all Gaming Activity. 

The Commission's duties shall include, but not be limited to, the following: 

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

National Gaming Commission on a timeily basis. 

(b) Corresponding with the National lndian Gaming Commission and 

doing whatever is necessary to be in cotnpliance with the rules and 

regulations of that agency. 

(c) Assuring that all Gaming Activity is conducted in a manner, which 

adequately protects the environment and the public health and 

safety. 

Establishing an adequate system to incliude finger print clearances 

with the California Department of Justice or with the National lndian 

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 c~nducted on an ongoing 

basis,. The Commission will have final authority regarding the 

granting of Tribal licenses for Primary Management Officials and 

Key Employees and other persons. The Commission shall 

immediately notify the National Gaming Commission of the 

issuance of such licenses. The Commission will review all 

applications and background investigations to ensure that no 

Person shall be eligible for employment in or with any part of the 

gaming Activity if that Person's prior activities, criminal record 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 practice, methods and 

activities in to conduct the Gaming. The Commission shall notify 

the National Indian Gaming Commissiori of the results of such 

background checks before the issuance of such licenses. 
(e) Conducting surveillance activities at the Elk Valley Casino as is 

appropriate for a casino operation of such size and character in 

compliance with requirements of the National Gaming Commission. 

(9 Hiring such professional, clerical, technical and administrative 

personnel as may be necessary to carry out the provisions of the 

Gaming Ordinance; 

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

pertinent to enforcement of any provisiclns of Gaming Ordinance; 

and 

(h) Determining whether sanctions should be imposed on any Person 

subject to the jurisdiction of the Gaming Ordinance. 

7.14 Right of Inspection. The Commission and its agents, inspectors and 

employees, upon formal Commission action 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 Garning Facility, of wherever 

located, and impound such equipment of 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 licerise 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; 

(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 pending a civil forfeiture of earnings of 

such seizure; 

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

Ordinance, the Commission and its investigative personnel may, if 

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

peace officer of the Elk Valley Rancheria for purposes of 

enforcement of the Gaming Ordinance; and 
(g) The Commission 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 nl~tice may be served in the 

manner provided for service of the procc!ss and notices in civil 

actions. The Commission may pay such transportation and other 

expenses of witnesses, as it may deem reasonable and proper. 

7.15 Confidentiality of Information. The Commission 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 informiation. 

7.16 Powers of Clelegation; Budgeting Matters; Record-Keeping. The 

Commission may organize itself into 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 

and acquire such furnishings, equipment, supplies, stationery, 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 operatiorla1 personnel and 

consultants as the execution of its duties and the operation of the Commission 

may require. At the Tribal Council's discretion, said budget may be reviewed and 

modified by the Tribal Council every six (6) months. IJpon the end of the budget 

year any surplus, which exists, shall be refunded to the Tribal Council at its 

discretion. The Commission shall 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 shall keep and maintain such other files 

and records as it may deem desirable and all such records may be open to public 

inspection as it may deem appropriate; provided, that the annual Commission 

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

7.17 Processing Employee 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 omission of 

the Gaming Activity which is asserted to violate the Clrdinance, the Compact, or 

this Ordinance 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 receive evidence with 

regard to such complaint if it deems an evidentiary proceeding useful in the 

resolution of such complaint. 

7.18 Violations of Gaming Regulation - Punishment. Any violation of this 

Ordinance shall btt 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. Ail property used or which 

may be used in activities in each and every separate violation of this Ordinance 

may become the property of the Tribe. Persons may be prohibited from 

trespassing on premises licensed under this Ordinance, licenses may be 

suspended, revoked or limited, and establishments may be forcibly closed. All 

such action shall be taken at the discretion of the Com~mission, subject to the 

right of appeal to Tribal Court. Winnings found to have been received in violation 

of this Ordinance are forfeited and become the property of the Tribe. 

7.19 Limitations 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. 

7.20 Special Agents. The Commission may authorize special agents to 

perform services reasonably necessary to assure compliance with the provisions 

of the Gaming Ordinance. Said special services of enforcement and surveillance 

shall be under the authorization and direction of the Compliance Officer, unless 

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

deemed to limit the normal law enforcement functions of theses or other Tribal 

law enforcement officers not so authorized. 

7.21 Limitation on Gifts & Compensation. Commissioners, Commission 

staff, 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 arly Person wishing to obtain 

an unfair advantage in any authorized wager on Gaming, except as may be 

authorized in a duly adopted Code of Ethics. Any Person suspected of violating 

this provision may 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. 

8. LICENSING 

8.01 Mandatory 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 Gaming 

Activities. Any person seeking to conduct, operate, or manage Gaming Activities 

without first obtaining the required licenses shall be deemed in violation of this 

Ordinance and shalt be punished in accordance with this Ordinance. Nothing in 

this section shall prohibit a Person from being temporarily employed in a Gaming 

Activity after being hired for a short period of time, not to exceed thirty days, 

pending the grant of a temporary license in ~nforman~ce with background 

investigation and licensing procedures adopted by the Commission. 
8.02 Authorization of Class II Gaming Activity; Net Revenue Allocation; 

Audits; Contracts. 

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

place, facility or location within the Reservation at which any Class It 

Gaming Activity is conducted. 

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

Gaming Activity if: 

(i) Such Gaming Activity is located on The Reservation 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 propriety interest and responsibility for 

the conduct of such Gaming Activity; and 

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

the Tribal Ordinance and federal law; 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) AH co~itracts for supplies, services or concession 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 ancl 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 l'ribe and the National 

Indian Gaming Commission or are in the process of being licensed 

in conformance with the procedures adopted by the Commission. 

8.03 Issuance of Tribal Gaming Licenses - Objections. The Commission 

shall consult with appropriate law enforcement officials concerning any Gaming 

licenses it may issue. If, after issuance of a Gaming license by the Commission, 

reliable information is received that a Licensee does not meet the standard 

established under Section 8.08 of this Ordinance, the Commission shall suspend 

such license and, after notice and hearing, may revoke such license. 
8.04 License & Regulation of Class Ill Gaming Activities - Tribal-State 

Compact Required. The Commission may license and regulate Class Ill 

Gaming Activity if: 

(a) Such Gaming meets the requirements of Section 3.05; and 

(b) Such Gaming is conducted in conformarice with the terms and 

conditions of a valid TribalIState Compact entered into by the Tribe 

and the State of California. 

8.05 Non-transferability of Licenses. Any license issued pursuant to the 

provisions of the Gaming Ordinance is valid only for tile Person shown on the 

face thereof, and only at the place of business shown on the face thereof. It is 

not assignable or otherwise transferable to any other Person or for any other 

location without approval of the Commission. Transfer of fifty percent (50%) or 

more of the ownership of an entity that is a licensee is a transfer of the license, 

which may be accomplished only with Commission approval. 

8.06 Granting of License - Majority Vote. To approve the initial issuance of 

any license pursuant to this Ordinance, 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 of renewal of a license has been denied, except with the 

unanimous approval of the Commission Members. 

8.07 Application Fee. The Commission may 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. Nothing herein shall prohibit the Commission from 

collecting fees for ;applications, background investigations and licenses through 

payroll deduction. 

8.08 Background Investigation. No license shall be granted to any Person 

who has been determined to be a Person whose prior activities, criminal record 

or reputation, habi.ts and associations pose a threat to the public interest or to the 

effective regulatior~ 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. 

8.09 Failure of Applicant to Disclose Material Information. An applicant for 

licensing shall make true and full disclosure of all information to the Commission 

as necessary or appropriate in the public interest or ias required in order to carry 

out the policies of the gaming Ordinance relating to licensing and control of the 

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

to whether his involvement with Gaming would jeopardize or compromise the 

Tribal interest, whether or not the applicant has beer1 specifically requested to 
provide that information. It shall constitute a violation of the Gaming Ordinance 

to fail to disclose, to mislead or to misstate any material information to the 

Commission, or to any Licensee's employer. Any failure to disclose, 

misstatement, or furnishing of misleading informati011 shall be grounds for denial, 

suspension, or revoking of a license. 

8.10 Temporary Employment License. The Conlmission 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 terriporary license be valid for 

greater than 180 days. 

8.1 1 Parameters of Licenses. Violation of any provision of the Gaming 

Ordinance or of any of the regulations in this Ordinance by a Licensee, his agent 

or employee shall be deemed contrary to the public hiealth, 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 

Commission to file charges in Tribal Court. 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 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 Commission and its staff. It is the responsibility of the 

Licensee to keep informed of the contents of the Gaming Ordinance and all such 

regulations, amendments, provisions and conditions; ilgnorance thereof will not 

excuse violations. 

8.12 Voting on Licensing; Notice Procedures & Review Hearings. Any 

Commission vote to approve, disapprove, revoke, suspend, limit or condition a 

license may be conducted by secret ballot. Following a determination by the 

Commission, the applicant or licensee shall be notified in writing of the 

suspension or revocation by either personal service, or' certified mail to the last 

known address provided to the Commission. The Com~mission is not responsible 

for undeliverable mail. Should an applicant or licensee disagree with the 

determination of the Commission, the applicant or licenisee shall submit a written 

statement to the Commission office within ten (10) days from the date of the 

postmark on the written notice of determination. The Commission shall hold a 

hearing to review its decision no less than twenty (20) clays from the date the 

applicant or licensee file hisiher disagreement with the Commission. The 

applicant or licensee shall be notified in writing of the date time and place for the 

review hearing. At the hearing, the burden shall be on the applicant to show 

cause why the Commission's determination was incorrect. 

8.13 Commission Findings Following Review Hearing. Following such 

review hearing, the Commission shall within ten (10) days reach a determination 

concerning: 
(a) The accuracy of any preliminary certifications of facts; and 

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

continued, suspended, revoked, conditioned or limited; and 

(c) Whether any other action recommended to the Commission 

including, but not limited to, forfeitures, should be taken. 

8.14 Notification of Commission Decision. Withiri three (3) working days 

following a determination, the Commission shall inform the applicant or licensee 

in writing of that determination. Written notification may be delivered to the 

subject in person, by fax, or by mailing to the subject's last known address. 

8.15 Right to Appeal. The applicant or licensee shall have a right to appeal 

the determination of the Commission to the Tribal Court in written form on or 

before the tenth (loth) 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 the Tribal Court or Tribal Council for final action, the Tribal Court shall 

review the determination of the Commission. The 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 !;hall be final and no further 

appeals may be made. 

8.16 Ability to Re-Apply for a License. After a review hearing, if an 

Applicant's or Licensee's license has been denied, suspended, or revoked, the 

applicant or Licensee shall not be permitted to re-apply for a license for at least 

one year from the date of the denial, suspension, or rrsvocation. 

9.0 MANAGEMENT CONTRACTS 

9.01 Commission Licensing of Management Cor~tractor Required. 

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

operation and management of Class II andlor Class Ill Gaming 

Activity must provide that the Parties in Interest associated with the 

Management Contractor shall submit to a suitability determination 

by and licensing requirements of the Commission. The 

Commission may 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 serve 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 Ordinance. 

(c) The Commission may 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 

suitability determination as required by this Ordinance. 

9.02 Provisions of Management Contracts. Any Management contract 

entered into by the Tribe may include the following provisions: 

(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 Facility 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, a Contact term that exceeds five (5) years 

but docs not exceed seven (7) years; 

(f) For grounds and mechanisms for terminating such Management 

Contract; and 

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

Indians in hiring of employees for the Gaming Activity. 

9.03 Percentage-of Net-Revenue Fees. A Management Contract providing 

for a fee based upon a percentage of the Net Revenues of a Tribal Gaming 

Activity shall not exceed 30% of the Net Revenue unless the Tribal Council is 
satisfied that the ca.pital investment required, and the income projections for such 

Tribal Gaming Activity, justify an additional fee - in no event to exceed 40% of 

Net Revenue. 

9.04 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. 

10.0 AUDITING AND INTERNAL CONTROL 

10.01 Minimum Procedure for Control of Internal Fiscal Affairs. The 

Commission 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 

proce!dures 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 audits by external 

auditors who are 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 section; 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. 
10.02 Commission Oversight of Internal Fiscal Affairs. The Commission 

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

audits must: 

(a) Be made by independent Certified Public Accountants holding a 

permit issued by the State of California to practice public 

accot~nting ; 

(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 regulation 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 regulation 

promulgated by the Commission under '10.01; 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 finding to the Commission and management. 

10.03 Commission's Right to Conduct Audits. The Commission is authorized 

to retain its own appointed accountants, or to direct an accountant employed by 

the Tribe, to conduct audits of all Gaming Activities. 

10.04 Prohibition Against Embezzlement. Any delay, maneuver or action of 

any kind which in the opinion of the Commission is effectuated by any Licensee 

to unlawfully divert Gaming proceeds or other proceeds properly belonging to the 

Tribe shall constitute grounds for taking disciplinary action against the 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 or Tribal Council may 

also seek prosecution of the offender under Tribal, State, and federal laws. 

10.05 Non-Compliance. Failure to comply with this Clrdinance or the 

regulations promulgated hereunder shall constitute a per se violation of these 

regulations. 

10.06 Minimum Internal Control Standards. 

(a) Applicable Standards. The Commission shall comply with 25 CFR 

Part 542 ("MICS") by formally adopting and making applicable to 

the Tribe's gaming operation internal conl:rol standards that: 
(1) Provide a level of control that equals or exceeds those set 

fort in 25 CFR Part 542, as published or as revised by 

mutual agreement between the National Indian Gaming 

Commission ("NIGC") and the Tribe; and 

(2) Contain standards for currency transaction reporting that 

comply with 31 CFR Part 103; and 

(3) Establish internal control standards for Class II and Class Ill 

games that are not addressed in $he MICS, if any. 

(b) Annual CPA Testing of Compliance. In order to verify that the 

gaming operation is in compliance with the internal control 

standards adopted pursuant to Section '10.06(a), an independent 

certified public accountant ("CPA) shall be engaged annually to 

perform "Agreed-Upon Proceduresn in the manner provided in 25 

CFR 5 542.3(f). 

(c) Compliance. The Tribal gaming regulatory authority and the NlGC 

shall lnonitor and enforce compliance with the internal control 

standards adopted pursuant to Section '10.06(a) in the manner 

provided for in 25 CFR 5 542.3(g). In addition, the NIGC shall, for 

purposes of enforcing compliance with the internal control 

standards, have authority to: 

(1) Monitor all Class ll and Class Ill gaming on a continuing 

basis; 

(2) Inspect and examine all premises on which Class II or Class 

Ill gaming is conducted; and 

(3) Demand access to and inspect, examine, photocopy, and 

audit all papers, books, and records respecting gross 

revenues of all Class II and Class Ill gaming or any other 

matters necessary to ensure and enforce compliance with 

the MICS. 

(d) Enforcement. Any failure to adopt internal control standards 

pursuant to Section 10.06(a), to perforrrl Agreed-Upon Procedures 

pursuant to Section 10.06(b), to prevent or obstruct the exercise of 

any of the NIGC's authority under Section 10.06(c) or to comply 

with the internal control standards once adopted is a violation of 

this Ordinance. The Chairman of the NlGC shall have the authority 

to remedy violations of this Ordinance under 25 USC § 2713 and its 

implementing regulations, and the Tribe shall have all rights and 

remedies available thereunder. 
11 REVIEW AND APPROVAL OF GAMING. 

11.01 Prohibition Against Gaming. 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 procedures governing such 

game have been duly approved by the Commission. 

11.02 Grace Period. The prohibition contained in 11 .O1 shall not apply to those 

games already being played as of the date of the enactment of this Ordinance; 

provided that the 1-icensee conform to the rules prorrtulgated hereunder within 

five (5) days of such promulgation. 

11.03 Authorization of Gaming. The Commission may authorize the playing of 

any game not prohibited by the laws of the State of California. The Commission 

shalt approve rules and procedures governing all authorized games, including 

rules governing Gaming Equipment, including withouit 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. 

11.04 Approval of Gaming Equipment. The Commission shall have the 

discretion to review, and to 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 Commission and retained by it 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. 

11.05 Posting of Rules, The rules of each game offered at any duly licensed 

Gaming Facility shall be maintained in a location at the Gaming Facility and shall 

be clearly legible and available for public inspection upon request. 

11 -06 Gaming Rules & Procedures. The management of a Gaming Facility 

may adopt rules and procedures governing the operations of all Gaming Activity 

with the approval of the Commission. Such rules and pr-ocedures shall be 

complied with until such time as modified with the apprctval of the Commission. 

Management may adopt emergency changes to such rilles and procedures, 

however such changes shall be in writing and must be presented to the 
Commission for approval or rejection no later than at its next regularly scheduled 

meeting. 

EXCLUSION OR EJECTION OF INDIVIDUALS 

12.01 Exclusion List. 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. 

12.02 Notice and Opportunity to be Heard. The Cammission shall promulgate 

regulations providing fair notice and opportunity to be lheard to any individuals 

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

to in 12.01. Such regulations must provide the person an opportunity to show 

cause why his name should be deleted from the list. 

12.03 Prohibition Against Listed Individuals. It shall be a violation of this 

Ordinance for any L.icensee to knowingly fail to exclude or eject from a Gaming 

Facility any persons placed on the list referred to in 12,.01. It shall be a violation 

of this Ordinance for any person whose name appears on the list referred to in 

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

12.04 Prohibition Against Certain Individuals. It shall be a violation of this 

Ordinance for any L.icensee to 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 eighteen (18) years. 

CHEATING 

13.01 Unlawful Acits. It is unlawful for any Person tol: 

(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; 

(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 pi~iching 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 otjtcome of the game or with 

knowledge of any event that affects the outcome of the game. 

13.02 Prohibition Against Electronic Aids. Except as specifically permitted by 

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 outcorne at the table game, to keep track or analyze the cards 

having been dealt, clr to change the probabilities of the game or the playing 

strategies to be utilized. 

14. NATIONAL INDIAN GAMING COMMISSION 8 TRIBAL-STATE COMPACT 

14.01 - National lndian Gaming Commission - Regulations. Notwithstanding 

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

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

regulation promulgated by the National lndian Gaming Commission, including but 

not limited to all requirements to report ordinances, contracts, license 

applications, background checks and other information to the National lndian 

Gaming Commission. 

14.02 - National lndian Gaming Commission - Asse,ssment. 

Notwithstanding any ,provision in the Gaming Ordinance!, this Ordinance or any 

regulation promulgated thereunder, the Commission is fully empowered to 
comply with all assessments authorized by the National lndian Gaming 

Commission. Such assessments shall be paid from the Treasury of the Elk 

Valley Rancheria. 

14.03 - Compact with the State of California. Notwithstanding any provision in 

the Gaming Ordinance, this Ordinance or any regulation promulgated 

thereunder, the Cornmission is fully empowered to coinply with the provisions of 

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

provided, however, that if any provision of the tribal-state compact provides for 

action by the Tribe, the Commission is not authorized to, and shall not, contact 

the State's appointed agencies (or its agents) without the prior approval of the 

Tribal Council. 

15. AUDIT 

15.1. The Tribe shall cause to be conducted at least annually an independent 

audit of all gaming operations and shall submit the resulting audit reports to the National 

lndian Gaming Commission. 

15.2. 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. 

16. PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND SAFETY 

Class II and Class Ill 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. 

17. LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT 

OFFICIALS 

17.1 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 II andlor Class Ill gaming enterprise operated on lndian 

lands. 

17.2 Application Forms. 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 National lndian Gaming 

Commission members and staff who have neeld 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 pursuarit 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 disiclosures 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 you Social Security Number (SSN) is voluntary. 

However, failure to supply a SSN may result in error in processing you 

application. 

17.3 Existing key employees and primary managemlent 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. 

17.4 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 staternent on any part of you 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. §'1001). 

17.5 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. 

17.6 Background Investigations. 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 least three personal 

references, including one personal reference that was acquainted with 

the applicant during each period of residencies 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; 

(9 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 licertse 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 clate and disposition if any; 

(i) For each misdemeanor conviction or ongoirig misdemeanor 

prosecution (excluding minor traffic violations) within ten (1 0) years of 

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

and the date and disposition; 

(j) For each criminal charge (excluding minor lraffic charges), whether or 

not there is a conviction, if such criminal chiarge 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 names and address of each licensing or regulatory agency with 

which tho person has filed an application for an occupational license 

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

(I) 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). 

The Tribe shall conduct an investigation sufficient to make a determination under 

Section 17.7 below. The Tribe shall conduct a background investigation that 

meets or exceeds the requirements of 25 C.F.R. §§ 556 and 558. 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. 

17.7 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. 

17.8. Procedures for Forwarding Applications and Reports for Key Employees 

and Primary Management Officials to the National Indian Gaming Commission. 

(a) 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 lndian Gaming Commission a completed application for 

employment and conduct the background investigation and make the 

determination referred to in Section 17.7 of this Ordinance. 

(b) The Tribe shall forward the report referred to in Section 17.9 of this 

Ordinance to the National lndian 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 lndian Gaming Comn7ission. 

(c) The gaming operation shall not employ as ia key employee or primary 

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

17.9. Report to the National lndian Gaming Commission. Pursuant to the 

procedures set our in Section 17.6 of this Ordinance, the Tribe shall prepare and 

forward to the National lndian 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; 
(d) The basis for those conclusions. 

17.10 The Tribe shall submit, with the report, a copy of the eligibility 

determination made under Section 17.9 of this Ordinance. 

(a) If a license is not issued to an applicant, the Tribe: 

(i) Shall notify the National lndian Gaming Commission; and 

(ii) May forward copies of its eligibility determination and 

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

for inclusion in the lndian Gaming Individuals Record System. 

(b) 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 lndian Gaming Commission or his or her designee for 

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

employment. 

17.11. Granting a Gaming License. 

(a) If, within a thirty (30) day period after the National lndian Gaming 

Commission receives a report, the National lndlian 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 

primary management official or for whom the Tribe has provided an 

application and investigative report to the Natio~nal lndian Gaming 

Commission, the Tribe may issue a license to such applicant. 

(b) The Tribe shall respond to a request for additional information from 

the Chairman of the National lndian 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 this 

Section until .the Chairman of the National lndian Gaming Commission 

receives the ;additional information. 

(c) If, within the thirty (30) day period described above, the National 

lndian Gaming Commission provides the Tribe with a statement itemizing 

it's 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 Natioinal lndian Gaming 

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

the objection{s) itemized by the National lndian Gaming Commission. The 

Tribe shall make the final decision whether to isisue a license to such 

applicant. 

17.12 License Suspension or Revocation 
(a) If, after issuance of a gaming license, the Gaming Commission 

receives reliable information from the NlGC or other reliable source 

indicating that a Key Employee, Primary Management Official or other 

licensee is not eligible for licensure under the eligibility criteria established 

herein, the Gaming Commission shall suspend the license and shall notify 

the licensee in writing of the license suspensiort and proposed revocation. 

(b) An Applicant or Licensee shall be notified in writing by either personal 

service, or mail to the last known address provided to the Gamin ! Commission. Notice shall be deemed complete on the tenth (10' ) day 

after deposit of notice in the U.S. Mail. Should an Applicant or Licensee 

disagree with the initial determination of the Gaming Commission, the 

Applicant or Licensee shall submit a written statement and a separate 

request for hearing to the Gaming Commission office within ten (10) days 

of the written notice. The Gaming Commission shall set the matter for 

hearing to review its decision within twenty-one (21) working days from the 

date the Applicant or Licensee files his written request for hearing and 

supporting written statement. At the hearing, th~e burden shall be on the 

Applicant or Licensee to show by clear and convincing evidence that the 

Gaming Commission's decision is incorrect. 

(c) After the revocation hearing, the Gaming Commission shall determine 

whether to revoke or to reinstate the gaming license. For actions taken in 

response to information provided by the NIGC, ,the Gaming Commission 

shall notify the NlGC of its decision. 

(d) The Gaming Commission is hereby authorized to promulgate 

Regulations regarding hearings before the Gaming Commission. 

17.13 No Property Interest in License. Nothing herein shall create a property 

interest in the issuance or retention of a license provided for this Ordinance. 

Failure of an employee or primary management official to obtain or maintain a 

gaming license shall be grounds for immediate termination. Nothing herein shall 

grant or otherwise create any property interest in employment or continued 

employment at any gaming facility on Indian lands. 

17.14. No Assignment or Transfer. No license issued under the Ordinance 

shall be assigned or transferred without the written approval of the Gaming 

Commission expressed formally in writing. 

18. LICENSING OF GAMING PLACES, FACILITIES AND LOCATIONS 

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

lands where Class II andlor Class Ill gaming is to be conducted under this Ordinance. 
19. MISCELLANEOUS 

19.01 Security. Each licensed Gaming Activity must provide for reasonable 

security. All security officers and personnel must be licensed by the 

Commission. Such licensing may or may not entail full1 background 

investigations required for primary management officials and key employees. 

19.02 Maintenance of Code and Regulations. Each licensed Gaming Facility 

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

Regulations on the Gaming Premises. The Ordinance and Code of Regulations 

shall be produced by any Licensee and shown to any interested party upon 

demand. That a Licensee may not have a current coply 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. 

19.03 Compliance 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 

othewise applicable Tribal and federal laws relating to environmental protection 

and health and safety. 

19.04 Amendment of Commission Regulations. All regulations promulgated 

herein by the Commission are subject to proper revisbn, repeal or amendment 

by the Commission. 

19.05 Severability. If any provision of this Ordinance, 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. 

19.06 Captions. The captions and heading of this Ordinance are included for 

the convenience only and shall in no way limit or affed the text thereunder. 

20. SOVEREIGN IMMUNITY 

Except as provided herein, nothing in this Ordinance shall be construed as a 

waiver of the sovereign imrnunity of the Tribe or any of its ofiicers, employees, or 

entities. 

21. CONSENT TO JURISDICTION 

Any person who applies for a License under this Ordinance, applies for 

employment in any Gaming Establishment, enters into any contract or agreement 

related to Gaming, or participates in any Gaming on the Reseirvation, shall be deemed 

to consent to the civil jurisdiction of the Tribe, the Commissior~ and the Tribal Court. 

Nothing in this Section shall limit the jurisdiction of the Tribe, the Commission or the 

Tribal Court under any circumstances not explicitly contemplated in this Ordinance. 
22. LAW ENFORCEMENT; FINGERPRINTING AND CRIMINAL BACKGROUND 

CHECKS 

Each applicant for a Key Employee or Primary Management Official shall be 

required to have fingerprints taken as part of the license application procedure. 

Fingerprints shall be taken by the Elk Valley Tribal Gaming Commission. Fingerprints 

will then be forwarded to the NIGC for processing through the! FBI and NClC to 

determine the applicant's criminal history, if any. Nothing herein shall prohibit the 

Commission from accessing CLETS as provided by the Compact. 

23. AGENT FOR SERVICE 

The Chairperson of the Tribal Council is hereby appointed as the agent for 

service of process. The Chairperson's address is: 2332 Howland Hill Road, Crescent 

City, California 95531. 

24. CUSTOMER DISPUTE RESOLUTION PROCEDURE 

With respect to Class II and Class Ill gaming, the general manager of the tribal 

gaming operation shall attempt to resolve on an informal basis any customer complaints 

relating to payment of prizes or services and report any such resolution to the governing 

body of the enterprise. If the complaint cannot be resolved at the general manager 

level, the customer shall be informed that helshe has the right to present his or her 

complaint to the governing body of the gaming enterprise, whose decision shall be final. 

25. AMENDMENTS 

All provisions of this Ordinance are subject to amendment by the Council. All 

Rules promulgated by the Commission are subject to proper revision, repeal, or 

amendment by the Commission. All amendments to this Ordinance shall be effective 

upon the date of passage by the Council. 

26. REPEAL 

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

ordinances are hereby repealed. 

27. EFFECTIVE DATE 

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

of the National Indian Gaming Commission. 
CERTIFICATION 

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

certify that the foregoing Ordinance was adopted on April 91, 2008, at a duly called 

meeting of the Tribal Council of the Elk Valley Rancheria with a quorum present by a 

vote of eight (8) for, zero (0) against, zero (0) abstaining and (0) absent. 

Attest: 

I 

dale A. Miller, Chairman