Bradley G. Bledsoe Downes 

Dorsey & Whitney, LLP 

650 Town Center Drive, Suite 1850 

P.O. Box 5066 

Costa Mesa, California 92626-1925 

Dear Mr. Downes, 

This letter responds to your request to the National Indian Gaming Commission (NIGC) for 

review and approval of the amendment to the Hoopa Valley Tribe's (Tribe) gaming ordinance 

adopted by the Tribe on February 1, 2001, and submitted to the NIGC on June 29, 2001. The 

Tribe's original Ordinance was approved on November 16, 1993. 

The Tribe submitted an amendment on September 29,2000. That Ordinance was disapproved by 

the NIGC on December 28, 2000, due to deficiencies noted in a letter sent to the Tribe on that 

date. 

The most serious of the deficiencies noted in the letter has been corrected in the resubmitted 

ordinance. However, we point out that the definition for "reservation7' at § 3 1.6.32 continues to 

incorporate the definition for "Indian lands" found at 25 U.S.C. 4 2703(4). "Indian lands," under 

the statutory definition, would include the reservation. However, the term "reservation" is a 

narrower term and would not normally include other lands even though they may qualify 

as "Indian lands" over which the Tribe exercises jurisdiction. The Tribe's ordinance assumes 

that the terms are synonymous. 

This letter constitutes approval of your June 29, 2001, submission under the Indian Gaming 

Regulatory Act. It is important to note that the gaming ordinance is approved for gaming only 

on Indian lands, as defined in the IGRA, over which the Tribe exercises jurisdiction. 

Thank you for submitting this amendment for review. If you have any questions or require 

further assistance, please contact our office at (202) 632-7003. 

Sincerely yours, 

Montie R. Deer 

Chairman 

NATIONAL HEADQUARTERS 1441 LSt. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 W.NlGC.GOV 

REGIONAL OFFICES Portland. OR; Sacramento. CA; Phoenix, AZ; St. Paul, MN; Tulsa. OK 
.- GAMING ORDINANCE 

of the 

Hoopa Valley Tribe 

Title 31 

ORDINANCE NO: 2-92 

DATE APPROVED: March 5, 1998, as amended February 1,2001 

SUBJECT: Ganling Ordinance 

31.1 Purpose. The Hoopa Valley Tribal Council, the elected governing bndy of the Hoopa 

Valley Tribe (hereinafter "Tribe"), empowered by the Hoopa Valley Tribal Constitution and 

Bylaws, adopted June 20, 1972, approved by the Commissioner of Indian Affairs on August 18, 

1972. and confirmed and ratified by the U.S. Congress in October, 1988, in Public Law 100-580, 

The Hoopa-Yurok Settlement Act, to enact ordinances, hereby enacts this Ordinance in order in 

order to regulate all forms of Gaming on the Tribe's Reservation. 

31.2 Short Title. This Code shall be known and may be cited as the Hoopa Valley Tribal 

Gaming Code or Title 3 1. 

31.3 Gaming Authorized. 

3 1.3.1 Class I1 Gaming Authorized Class I1 Gaming is hereby authorized to be conducted - 

on lands within the Tribe's Reservation; provided, however, that such Class I1 Gaming shall be 

conducted only in accordance with the provisions of this Code, the Rules, and IGRA. 

3 1.3.2 Class 111 Gaming Authorized. Class I11 Gaming is hereby authorized on lands 

within the Tribe's Reservation; provided, however, that Class I11 Gaming shall be conducted 

only in accordance with the provisions of this Code, the Rules, the Compact. and IGRA. 

31.4 Public Policy. All Gaming which is conducted within the Tribe's Reservation and which 

is othenvise authorized by law shall be regulated and licensed pursuant to the provisions of this 

Code. 

3 1.3.1 The Tribal Council hereby finds, and declares it to be the public policy of the 

Tribe, that: 

(A) Regulation of licensed Gaming is important in order that licensed Gaming 

is conducted honestly and that Gaming is free from criminal and 

corruptive elements. 

(B) Public confidence and trust can only be maintained b\. strict regulation of 

all Persons, locations, practicks, associations and acti\.ities related to the 

Gaming Ordinance 

Amended Februay 1,2001 

Page 1 
ope&tion of licensed Gaming Establishments and the manufacture or 

distribution of Gaming Devices. 

(C) All Management Entities or Controlling Shareholders, Primary 

Management Officials, Key Employees, Gaming Establishments and 

Gaming Device Suppliers must therefore be licensed and controlled to 

protect the public health, safety, morals, good order and general welfare of 

the Tribe. 

3 1.4.2 Prohibition Regarding Minors. No licensee shall permit persons under the age of 

18 years to be preseni ill aiy rooiii iii which Clss :I: gmiiig activities zie bciiig coiil?tic:ed 

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

31.5 Ownership of Gaming. The Tribe shall have the sole proprietary interest in and 

responsibility for the conduct of any gaming operation authorized by this Ordinance. The Tribe 

shall receive, at a minimum, not less than sixty (60) percent of the Net Revenues from any 

Gaming Operation. The Commission shall ensure that (i) such Gaming as it authorizes and 

licenses pursuant to this Code is conducted on lands within the Tribe's Reservation, and (ii) such 

gaming is not otherwise specifically prohibited by Federal law. 

3 1.6 Definitions 

Unless a different meaning is set forth below, the terms used in this Code shall have the 

same meaning as defined in the Indian Gaming Regulatory Act, Public Law 100-497, 102 Stat. 

2467 (Oct. 17, 1988), 25 U.S.C. 2701, et seq. ("IGRA"). 

3 I .6.1 "Applicant" means any person, partnership, corporation, joint venture or other 

entity applying for, or requesting renewal of, any License described in or required by this Code. 

3 1.6.2 "Application" means a request for the issuance or renewal of a License described 

in or required by this Code. 

3 1.6.3 "Tribe" shall mean and "Tribal" shdl refer to the Hoopa Valley Tribe. 

3 1.6.4 "Council" or "Tribal Council" means the Tribal Council of the Hoopa Valley 

Tribe. 

3 1.6.5 "Chairman" means the Chairman of the Kational Indian Gaming Commission. 

3 1.6.6 "Class I1 Gaming" means Class 11 gaming as defined at 25 U.S.C. 2703(7)(A) and 

(B). 

3 1.6.7 "Class 111 Gaming" means Class 111 gaming as defined in 25 U.S.C. 2703(8). 

Gaming Ordinance 

Amended February I, 2001 
# 3 1.6.8 "Code" or "Ordinance" means this Tribal Gaming Code of the Hoopa Valle~ 

Tribe, as amended from time to time: and any Rules promulgated hereunder. 

3 1.6.9 "Compactt' means the Tribal-State Con~pact between the Hoopa Valley Tribe and 

the State of California executed by the Governor of California and the Chairman of the Tribe and 

pursuant to the IGRk. including all renewals, amendments, appendices, exhibits and other 

attachments thereto. 

3 1.6.10 "Commission" means the Hoopa Vallejf Tribal Gaming Commission. 

3 1.5;: 1 "Commissicne:" mexs XI ifidividual %ember of !he Floopr! Va!!ey Triha! 

Gaming Commission. 

3 1.6.12 "Fiscal Year" means the period beginning at 12:01 am on October 1 of each year 

and ending at midnight September 30 of the following year. 

3 1.6.1 3 "Gaming" means any Class I1 Gaming or Class 111 Gaming activity, either 

individually or collectively, whether authorized or unauthorized. 

3 1.6.14 "Gaming Device" means a slot machines, including an electronic, 

electromechanical, electrical or video device that, for consideration, permits: individual play 

with or against that device or the participation in any electronic, electromechanical, electrical or 

video system to which that device is connected; the playing of games thereon or therewith, 

including, but not limited to, the playing of facsimiles of games of chance or skill; the possible 

delivery of, or entitlement by the player to, a prize or something of value as a result of the 

application of an element of chance; and a method for viewing the outcome, prize wont and other 

information regarding the playing of games thereon or therewith. 

3 1.6.15 "Gaming Device Supplier" means any Person who manufactures, sells, leases, 

distributes, supplies or makes modifications to, any Gaming Device of the Tribe and all Persons 

holding any direct or indirect financial interest in such Gaming Device Supplier. 

3 1.6.16 "Ganting Establishment" means any premises where Gaming is operated or 

conducted on the Tribe's Reservation, and includes all buildings, improvements, appurtenances, 

equipment and facilities used or maintained in connection with such gaming. 

3 1.6.17 "Gaming Operation" means any business enterprise owned by the Tribe. the 

revenues of which are primarily derived from Gaming or from any Gaming Establishment. 

3 1.6.18 "Gaming Resource Supplier" means an!. person or entity who, directl?. or 

indirectly. manufactures, distributes, supplies, vends, leases. or otherwise punfe!.s Gaming 

Resources tot he Gaming Operation. 

Gminp Ordinance 

Amended February 1,2001 

Page 3 
+. 3 1.6.19 -'Gross Re~knue" means the total value due to any operator of any Gaming for 

an!. chance taken or game played, for any table fees for card playing, on account of fees charged 

for participation in any Gaming or for admittance to any Gaming Establishment (or any 

combination of the foregoing) less the total of all cash paid out as losses to patrons. Gross 

Re\*enue shall be stated in U.S. currency and shall be calculated before any deductions or 

allowances for prizes, pay out of winnings, costs of operation, taxes, labor expenses, equipment, 

materials used or any other expenses. In the absence of adequate records, Gross Revenue shall 

be the maximum amount that would be due to a Gaming operator if the particular Gaming 

conducted by said operator was conducted at maximum capacity. Gross Revenue shall not 

include: 

(a) Counterfeit money or tokens; 

(b) Coins of other countries which are received in slot machines or Gaming Devices; 

or 

(c) Cash taken in fraudulent acts perpetrated against a Licensee for which the 

Licensee is not reimbursed. 

3 1.6.20 "Key Employee" means: 

. i' (a) a person who performs one or more of the following hnctions: 

operations manager 

bingo caller, 

counting room supervisor, 

chief of security, 

custodian of gaming supplies or tash, 

floor manager, 

pit boss, 

dealer, 

croupier, 

approver of credit, or 

custodian of gambling terminals or other devices operated by the 

management of any Gaming Operation, including persons with access to 

cash and accounting records for such devices; 

surveillance personnel 

(b) if not otherwise included, any other person whose total cash compensation from 

employment in any Gaming Operation exceeds $50,000 per year; 

(c) if not otherwise included, the four most highly compensated persons in any 

Gaming Operation; or C 

Gaming Ordinance 

Amended February 1,200 l 

Page 4 
c (d) any other e&ployee of any Gaming Operation that the Commission designates bjits Rules as a Key Employee. 

3 1.6.2 1 "License" means any authorization granted by the Commission, pursuant to this 

Code, to any Person which is required for such Person to perform certain acts or engage in 

certain activities. A~I Licenses shall be held at the will of the Commission and the issuance of a 

License shall not create a property or liberty interest in such License for the benefit of the * 

Licensee. 

3 1.6.22 "Licensee" means any Person who has been issued a valid and current License 

pursuant to the provisions of this Code. 

3 1.6.23 "Management Contract" means any contract, agreement or other document, 

including all collateral agreements, establishing a relationship between the Tribal government 

and any Person, pursuant to which such Person has managerial responsibilities in or for any 

Gaming Operation. 

3 1.6.24 "Management Entity" or "Controlling Shareholder" means: 

(a) any Person having a direct or indirect financial interest in any Management 

Contract, including those Persons who, either alone or in combination with a 

spouse, parent, child or sibling, own five (5) percent or more of any Management 

Entity's outstanding capital stock; . - 

(b) when a trust is a party to a Management Contract, any beneficiary or trustee of 

such trust; 

(c) when a partnership is a party to a Management Contract, any partner, general or 

limited, in such partnership; 

(d) when a corporation is a party to a Management Contract, any Person who is an 

officer or director of such corporation, or who holds five (5) percent or more of 

the issued and outstanding capital stock of such corporation either alone or in 

combination with a spouse, parent, child or sibling; or 

(e) with respect to any non-natural Person with an interest in a trust, partnership or 

corporation that has an interest in a Manazement Contract. all beneficiaries, 

trustees, partners, or directors of, and stockholders of, such non-natural Person 

holding at least five (5) percent of the outstanding stock either alone or in 

combination with a spouse, parent, child or sibling. 

3 1.6.25 "Management Fee" means any monies paid from Gaming revenue to any Person 

pursuant to an NIGC approved contract to operate %Gaming Establishment. Such renn shall not 

include monies paid for the operating expenses of such Garning Establishment. 

Gaming Ordinance 

Amended February 1,2001 

Page 5 
i 

.- 

3 1.6.26 "Net Reitenuet' means Gross Revenue of any Gaming Operation minus amounts 

paid for, or paid out as prizes, winnings. and related operating expenses, excluding blanasement 

Fees. 

3 1.6.27 "NIGC': means the National Indian Gaming Commission. 

3 1.6.28 "Operating Expense" means any expense incurred in the operation of Gaming 

that is specifically designated as an Operating Expense in any Management Contract or which by 

operation of Generally Accepted Accounting Principles, consistently applied, is so treated -. - - ... . 

3 1.6.29 "Patron" means any Person who participates in Gaming, or who is physically 

present on premises wherein or whereon Gaming is conducted. 

3 1.6.30 "Person" means any association, partnership, corporation, firm, trust or other 

form of business association or entity, as well as a natural person. 

3 1.6.3 1 "Primary Management Officials" means: 

(a) the Person(s) having management responsibility over all or any pan of any 

Gaming Operation; 

(b) any Person who has authority; 

(i) to hire and fire employees of a Gaming Operation, 

(ii) to establish working policy for a Gaming Operation; 

(c) the chief financial officer or other Person who has financial management 

responsibility for any Gaming Operation; 

3 1.6.32 "Reservation" means any Indian lands, as defined by IGRA, over which the 

Tribe exercises jurisdiction. 

3 1.6.33 "Rules" means any Rules governing the conduct of games or the control of 

internal fiscal affairs of Gaming Operations as may be promulgated by the Commission 

established pursuant to this Code. 

3 1.6.34 "Secretary" means the Secretary of the United States Department of the Interior. 

3 1.6.35 "State" means the State of California. 

31.7 Use of Gaming Revenue. Net Revenues from any form of Gaming authorized under this 

Code shall be used only for the following purposes: to fund Tribal government operations and 

Gaming Ordinance 

Amended Fcbruary 1.2001 

Page 6 
programs; to provide for tKe general ~velfare of the Tribe and its members: to promote Tribal 

economic development; to make donations to charitable or_ganintions; or to help fund operations 

of local government agencies. 

3 1.7.1 Per Capita Payments. If the Tribe elects to make per capita payments directly 

from revenues deriied from gaming to Tribal members, it shall authorize such payments only 

pursuant to a plan submitted to and approved by the Secretary pursuant to 25 U.S.C. §2710(b)(3). 

31.8 Unauthorized Gaming. Any person who commits any act of unauthorized Gaming on 

the Reservation or any other Tribal land shall be guily of a crime and shall be prosecuted in . , ~~ib~i coiiti my o~hei. cor;r, of ~ar-n+n-t II~J~L~IAL J .. JI c." LJdiLL;V1l. -T.-.. I: is hereby dec!xed ?ha: euthorized 

Class I1 Gaming or Class I11 Gaming conducted on the Reservation, or on any other Tribal land 

that fully complies with the provisions of this Code, the Rules. the Compact and IGRA shall not 

be subject to any criminal penalties. 

31.9 Conduct of Games. All Gaming shall be conducted by persons duly licensed by the 

Commission. No person licensed by the Commission shall engage in, conduct or condone any 

Gaming that is not conducted in accordance With this Code and such Rules governing the 

conduct of games as may be promulgated by the Commission under this Code. 

31.10 Applicability of Code. Unless specifically indicated otherwise, all provisions of this 

Code shall apply to both Class I1 Gaming and Class 111 Gaming including, but not limited to, all 

licensing and background investigation procedures. 

31.11 Establishment of Commission. The Hoopa Valley Tribal Council hereby establishes the 

Hoopa Valley Tribal Gaming Commission composed of five (5) members appointed by a 

majority vote of the Council as follows: A Commissioner shall serve for two (2) years and may 

be removed from office prior to the end of the Commissioner's term with or without cause and 

the 213 majority vote of the entire membership of the Council at a regular meeting thereof, In 

order to establish an annually staggered Commission appointment schedule, the first 

Commission shall be appointed by the Council as follows: two (2) Commissioners shall serve a 

two (2) year term; three (3) Commissioners shall serve a three (3) year term, for their initial 

terms only. Thereafter, all successive terms of appointment for a Commissioner shall run for two 

(2) years. Vacancies on the Commission shall be filled within thirty (30) days by a majority vote 

of the Council. The Commission shall select annuall!., from its membership, a Commission 

Chairman. 

a) Licensing of Commissioners. Applicants for the position of Commissioner must 

meet the requirements of Section 13.1 1.1 and must first obtain a License from the 

Council prior to assuming office. 

b) Failure to Meet License Requirements or License Violations. If the Tribal 

Chairman or the Council has reasondo believe that a Licensed Commissioner fails 

at any time to meet the License requirements under this Code or that the 

Gaming Ordinance 

Amended February 1.2001 

Page 7 
~omrnissioher has violated this Code. the Rules, the Compact. or the IGRA or 

any other applicable law, the Tribal Chairman or the Council shall direct an 

investigation to be conducted and may notice the Commissioner for a hearing 

before the Council. All investigations and hearings under this Section shall be 

conducted as provided in this Code and a Commissioner shall have all of the 

righis and obligations given to a Licensee or Applicant therein, except that all 

hearings shall be conducted by and before the Council. . 

c) Appeals of Council Decision. A Commissioner may not appeal a decision of the 

Council. 

d) Restrictions on Commissioners. No person shall serve on the Commission if that: - 

(i) person's other employment or responsibilities conflict or could potentially 

conflict with the duties and responsibilities of a member of the 

Commission; 

(ii) person is an employee of the Gaming Operation or the person's other 

employment or responsibilities create an impression or appearance of 

impropriety in the fulfillment of the duties and responsibilities of a 

member of the Commission; or 

(iii) person is a Judge in any Tribal Court. 

31.1 1.1 All members of the Hoopa Valley Tribal Gaming Commission shall be 

subject to the background investigation requirements discussed in section 3 1.28. 

31.1 1.2 The Hoopa Valley Tribal Gaming Commission shall select from among its 

members a Chairman to communicate with and provide direction to primary management 

officials of Tribal Gaming. 

31.1 1.3 Quorum. A quorum of the Commission shall consist of three (3) 

Commissioners. All decisions shall require the concurring votes of at least three members of the 

Commission, unless particular power is delegated to the Chairman pursuant to this Code or the 

Rules. 

31.1 1.4 The authority of the Hoopa Valley Tribal Gaming Commission shall 

supenene any other board, commission or committee other than the Tribal Council. 

31.11.5 The Hoopa Valley Tribal Gaming Commission shall be charged with, but 

not be limited to, the following responsibilities: 

(A) to perform background investigations, including but not limited to civil. 

criminal, credit, social securic number, FBI, and prior employment; 

Gaming Ordinance 

Amended February 1.200 1 
(B) promulgate Rules pursuant to this Code. for the operation of games and 

the control of internal fiscal affairs of Gaming Operations and the conduct 

of all business before the Commission; 

(C) grant, conditionally grant or deny any application for License; 

(D) enforce all relevant laws and rules with respect to the gaming operation 

and to conduct investigations and hearings with respect thereto; 

(Ej Ii~ii, cmccl, rc'v'akc, tcixinz:e, csnditicn, modie, suspend, cr restrict Iny 

License; 

(F) make findings of suitability or unsuitability; 

(G) require the Licensee or Applicant to make restitution for the actual or 

consequential damages of any violation of this Code or the Rules; 

(H) conduct, or cause to be conducted, background investigations on all 

Applicants and Licensees; 

. (H) hold administrative licensing hearings under this Code; 

(I) bring or respond to actions pursuant to this Code or the Rules before the . - 

Tribal Court. 

(J) to establish written policies to perform the above duties consistent with the 

Tribal Gaming Ordinance, Tribal Law, Federal law, and State Law (if 

applicable); 

(K) to establish written policies regarding the daily operation of gaming 

operations within the exterior boundaries of the Hoopa Valley Indian 

Reservation, including but not limited to surveillance, bank deposits, 

check cashing, jackpot payouts. internal auditing, security, and customer 

relations; 

(L) to establish written policies for determining the eligibility of applicants to 

obtain a gaming license; 

(M) to establish simple and fair rules for hearings before the Hoopa Valley 

Tribal Gaming Commission; and 

(N) to establish any other written.procedures and/or regulations necessary to 

safeguard the integrity of gaming and to ensure the safety of all patrons of 

Gaming Ordinance 

Amended February 1,2001 

Page 9 
Trib5l Gaming within the exterior boundaries of the Hoopa Valley Indian 

Reservation. 

3 1.1 1.6 The non-employee, non-contractor with Tribe, cornmuniv members appointed 

to the Hoopa Valley Tribal Gaming Commission shall continue to carry out their duties for a 

period of two years fiom the date of appointment. The other Gaming Commission members that 

are employees of the Tribe shall senre during their employment. Nothing herein shall prevent reappointment of the non-employee, non-contractor with Tribe, community members to the Hoopa 

Valley Tribal Gaming Commission. 

31.1 ! .7 A!! nembers cf the Hoepa Vz!ley Tribz! Gazing Cnmmission serve at the will 

of the Hoopa Valley Tribal Council and may be removed with or without cause, upon a majority - 

vote of the Hoopa Valley Tribal Council at a regular meeting thereof. 

3 1.1 1.8 All positions on the Commission shall be compensated on a per meeting basis at 

a rate equal to that of Tribal Employment Rights Commission. 

31.1 1.9 Commission Meetings. 

(a) Regular Meetings. The Commission shall meet at least twice per month at 

the Commission's main office or at any other designated meeting place. 

(b) Special Meetings. Special meetings shall be convened by the Commission 

Chairman as necessary to cany out the official duties of the Commission. . - 

Notice of each special meeting shall be given by the Commission 

Chairman by telephone or mail to each commissioner. Notice shall be 

received at least 24 hours in advance of such meeting and shall include the 

date, time and place of the proposed meeting. 

(c) Emergency Meetings. An emergency meeting may be called by the Chair 

of the Commission with less than 24 hours notice; provided, however, that 

the Chair of the Commission shall use best efforts to assure that all 

Commissioners are notified of such meeting, with as much prior notice as 

possible under the circumstances. 

(d) Meetings Open to the Public. All meetings of the Commission shall be 

open to the public; provided, however, that the Commission may, in its 

discretion, close any portion of any meeting to the public when discussing 

any information which the Commission deems confidential pursuant to the 

provisions of this Code. 

3 1.1 1.10 Vacancies on the Commission shall be filled within thirty (30) days by a 

majority vote of the Council. , 

Gaming Ordinance 

Amended Februq 1,2001 

Page 10 
* 

3 1.1 1.1 1 No 1:inan'cial Interest in Gaming. No Commissioner shall have any direct or 

indirect financial interest in any Gaming Operation. For purposes of this section, '-indirect 

financial interest" shall not include ownership of any mutual fund(s) which holds stock in a 

publicly traded company, but shall include direct ownership of such stock. No Commissioner 

may accept gratuities or any other thing of value from any Licensee or Applicant. 

Commissioners may not gamble in any Gaming Establishment. 

3 1.1 1.12 Commission Offices. The Commission shall maintain an office in a location 

established by the Council. Such office shall serve as the Commission's main business office 

and shall be the site at which Commission records and documents are maintained and stored on a . . permaneni basis. ?yTo iiidividiial except 2 Ccmiziss:cne:, or other au~berized employee or aoent C 

of the Commission may, possess a key to or may enter any Commission office without the 

permission of the Commission. No person may access such records except a Commissioner, a 

person duly authorized by the Commission, a Commission, or an attorney for the Commission. 

3 1.1 1.13 Commission Record-Keeping. The Commission shall maintain complete 

records regarding the following: 

(a) Applications, financial statements, fingerprints, contracts, Licenses, 

suspension and cancellation notices and correspondences of all Applicants, 

including Management Entities or Controlling Shareholders, Key 

Employees, Primary Management Officials, Gaming Establishments and 

Gaming Device Suppliers; 

.- - 

(b) Commission Licenses; 

(c) Meeting minutes from all Commission meetings; 

(d) Compact compliance; 

(e) Reports relating to customer disputes, complaints or other issues that 

affect the integrity of the Gaming Operation; 

(0 Commission budget and expenditures; 

(g) Council communications and correspondences; 

(h) Gaming Device list pursuant to Section 3 1.24 of this Code; and 

(i) Any other records or documents the Commission deems necessary or 

appropriate. 

3 1.1 1.14 Confidentiality. The Commissionshall preserve as confidential all information 

provided by Applicants and Licensees, provided that the Commission may, in its discretion, 

Gaming Ordinance 

Amended February I, 2001 

Page 11 
. 

. advise the NIGC. or the ahorized representatives of any federally recognized Indian tribe 

regarding the denial, revocation or withdrawal of any Application or License, or of any 

disciplinary action taken regarding any License or Licensee. 

3 1.1 1.15 Reports. The Commission shall make quarterly reports to the Council within 

thirty (30) days afte; the end of each quarter. Such Reports shall contain the following 

information: 

(a) number and types of Licenses issued during the previous year; 

- - . - - - . . .. - . 

- () -- irri'orr~ratior~eg~ng-ETiceilse deriials, suspensions or rcv~cations; 

(c) report of any events of non-compliance, breach or violations of this Code, 

the Rules, the Compact, IGRA, License or any other law or regulation; 

provided, however, that these reports are not the subject of or relating to a 

pending investigation of the Commission or hearing before the 

Commission; 

(d) a report of Commission expenditures for the prior 30-day period; 

(e) a summary of any Commission travel and training; 

(f) the number of and purpose for any special Commission meeting(s); and 

. - 

(g) all other information which the Commission deems relevant in order to 

keep the Council informed and current on all Gaming regulatory matters. 

Nothing in this Section shall authorize or permit the Commission to provide the Council 

with any information pertaining to a pending investigation of the Commission, or hearing before 

the Commission. The Commission may find that any willful or negligent breach of this 

provision presents due cause for removal of the person from office or employment. 

3 1.1 1.16 Tribal Court. The Tribal Court shall have the authority to impose civil 

penalties of up to $500.00 (five hundred dollars) for each violation. Claims of such disclosure 

may be presented by the Commission or the Licensee or Applicant affected, provided that any 

such claim shall be presented to the Tribal Court within 60 days of the act complained of, or 

within 60 days the disclosure becomes known, whichever is later. 

3 1.1 1.17 Budget. The Commission shall establish a budget for its operations, including. 

but not limited to, acquisition of such furnishings, equipment. supplies, stationery, books and 

other items as it deems necessary or desirable to carry out its functions. and incur such other 

expenses, within the limit of funds available to it, as it deems necessary. Such Commission 

budget shall be subject to approval by the Council and, once approved by the Council, shall be 

funded from the Tribe's general revenues. Within the limits of its Council approved budget, the 

Gaming Ordinance 

Amended February 1.2001 

Page 12 
; Commission shall ernpioy'and fix the salaries of, or contract for the services of. such 

professional. technical and operational personnel and consultants as the execution of the 

Commission's duties may require. The Commission budget may, at the Council's discretion, be 

reviewed and modified by the Council every four (4) months. Any surplus remaining in the 

Commission's budget at the end of any budget year shall be refunded to the Council. 

3 1.1 1.18 Promulgation of Gaming Rules. The Commission may promulgate Rules 

governing the conduct of all games authorized by the Compact or IGRA, including Rules 

governing all equipment, (e.g. lottery terminals, computers computer programs, chips, cards, pull 

tabs, pull tab dispensers), used in such games. The Rules of each authorized game offered shall 

be posted in a conspicuous iocarion in every licensed Gaming Establishr~ieni. 

31.12 Audit 

(A) The Chief Fiscal Officer for the Hoopa Valley Tribe shall cause to be conducted 

annually an independent audit of gaming operations and shall submit the resulting audit reports 

to the National Indian Gaming Commission. 

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

concessions in excess of $5,000.00 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. , 

31.13 Protection of the Environment and Public Health and Safety. All gaming facilities - . -. 

shall be constructed, maintained and operated in a manner that adequately protects the 

environment and the public health and safety. 

31.14 Gaming License Required. The Tribe, through the Hoopa Valley Tribal Gaming 

Commission shall ensure that the policies and procedures set out in this section are implemented 

with respect to all employees and primary management officials employed at any gaming 

enterprise operated on Indian lands. The Commission is hereby authorized to issue all Licenses 

for the conduct of all Gaming authorized under this Code or any other License related to Gaming 

which the Commission may by Rule require. 

3 1.14.1 Gaming Establishments. Each place, faciliv, or location where Gaming is 

conducted must obtain a separate License from the Commission. 

3 1.1 4.2 Gaming Resource Supplier. Any Gaming Resource Supplier who, directly or 

indirectly, provides, has provided, or is deemed likely to pro\.ide at least $25,000 in Gaming 

Resources in any 12 month period shall be licensed by the Commission prior to the sale, lease or 

distribution of any such Gaming Resources to or in connection with the Gaming Operation. 

These licenses shall be reviewed at least every two years for continuing compliance. , 

Gaming Ordinance 

Amended February 1,2001 

Page 13 
3 1.14.3 Financial sources. Any person extending financing. directly or indirectl!.. to the 

Tribe's Gaming Operation shall be licensed by the Commission prior to extending that financing. 

These licenses shall be reviewed at least every two years for continuing compliance. I-Iowever, 

the Commission. at its discretion, may exclude from the licensing requirements of this Section, 

financing provided by a federally regulated or state-regulated bank, savings and loan: or other 

federally or state-regulated lending institution; or any agency of the federal, state or local 

government; or any investor who, alone or in conjunction with others, holds less than 10% of any 

outstanding indebtedness evidenced by bonds issued by the Tribe. 

31.15 Standard for License. Licenses issued hereunder shall be issued according to 

requirements at least as sirillgent as those set hi?h iii 25 C.F.R piiiis 556 and 558, mc! ~i:; 

amendments thereto, and also according to requirements at least as stringent as those set forth in . 

the Compact. 

31.16 Application for License. 

3 1.16.1 No License shall be issued under this Code except upon a sworn Application 

filed with the Commission, in such form as may be prescribed by the Commission containing a 

full and complete showing, at a minimum, of the following: 

(A) satisfactory proof that the Applicant is of good character and reputation, 

and is financially responsible; 

(B) if applicable, a complete description of the premises at which Gaming will . - 

be conducted; 

(C) agreement by the Applicant to abide by all conditions of the License, this 

Code, the Rules, the Compact and IGRA; 

(D) a separately sworn statement that the Applicant has never been convicted 

of, or entered a plea of guilty or no contest to, any of the following 

criminal offenses: 

(1) any felony, other than a felony conviction for an offense under (2), 

(3), or (4), within the preceding ten (10) years; provided, however, 

that this record limitation to the preceding ten ( 10) years shall not 

apply to any Applicant which is a Management Entity or 

Controlling Shareholder, 

(2) any gaming-related offense, 

(3) fraud or misrepresentation in any context, or , 

Gaming Ordinance 

Amended February 1,200 1 

Page 14 
.- 

(4) a violation of any pro\:ision of this Code, the Rules, or any other 

Code or rules of the Tribe or any state agency regulating or 

prohibiting gaming; and 

(E) . the Applicant's fulfillment of all applicable requirements of IGRA. all 

provisions of this Code, and the Compact. 

3 1.16.2 KO License shall be issued to any Applicant who is determined by the 

Commission to be a Person whose prior activities, criminal record, reputation, habits or 

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

Gaming, or create or ealziice the dangers of unsui:aS!e, unfci:, cr i!!eeal - ~ractices, methods. or 

activities in the operation of Gaming or the carrying on of the business and financial 

arrangements incidental thereto. 

3 1.16.3 The issuance of Licenses shall also be subject to the provisions of Section 3 1.28 

of this Code regarding background investigations. 

3 1.16.4 The following notices shall be placed on the application form for a Key 

Employee, Management Entity, Primary Management Official or Gaming Device Supplier 

before an Applicant completes such form: 

(A) "In compliance with the Privacy Act of 1974, the following information is 

provided: Solicitation of the information on this form is authorized by 

Chapter 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 Commission, the State of 

California, and/or 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 iaw 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 errors in processing your 

application." 

Gaming Ordinance 

Amended February I, ZOO l 
(B) "A Glse 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. (U.S. Code, title 18, Section 1001)." 

31.17 Required Application Forms. 

3 1.17.1 Each individual applying for a License, whether as a Primary Management. 

Official or Key Employee, and any person who is subject to a background investigation in 

connection with an entity application for a License, shall be required to complete the following 

forms: 

(A) Application for Gaming License by Individual, if applicable; 

(B) Personal History Record, with attached Personal Financial Questionnaire, 

including Statement of Assets and Statement of Liabilities; 

(C) Two Complete Fingerprint Cards; 

(D) Request to Release Information - Individual; and 

(E) Release of All Claims - Individual. 

3 1.17.2 Each individual in subsection (a) of this Section applying 'for a License renewal 

shall supplement the Personal History Record and shall also be required to complete the 

following forms: 

(A) Application for Gaming License by Individual, if applicable; 

(B) Request to Release Information - Individual; and 

(C) Release of All claims -Individual. 

3 1.17.3 Each entity, including a Management Entity and Gaming Device Supplier, 

applyins for a License must complete the following forms: 

(A) Application for Gaming License by Entity; 

(B) Request to Release Information - Entit!.: and 

(C) Release of All Claims - Entity 

5 1.17.4 The Commission may request any additional forms or information from an 

Applicant as it deems necessary or appropriate. , 

Gaming Ordinance 

Amended February 1.2001 
.' 

3 1.17.5 Pursuant to the Compact. upon request of tlic State of California. the 

Commission shall forward the Applicant's Personal History Record rind all background 

information compiled by the Commission to the State. 

31.18 Fingerprint Cards Required. All Applicants for a License are required to submit 

fingerprint cards. The Hoopa Tribal Police Department is hereby identified as the law 

enforcement agency with law enforcement authority to take fingerprints. Pursuant to 25 C;F.R. 5 

522.2(h), the Commission shall forward an Applicant's fingerprint card to the Federal Bureau of 

Investigation National Criminal Information Center. The Commission may submit an 

Applicant's fingerprint card to any additional tribal, local or state criminal history check system 

or center as the ~ornrnission deemsnecessary or apprupriair. "nepoits obiaiii~d fi~Iti such 

fingerprint processing shall be incorporated into the Applicant's personnel file. 

31.19 Withdrawal of Application. An Application may not be withdrawn without the 

permission of the Commission. An Applicant may request to withdraw an Application by 

submitting to the Commission a written request for withdrawal. The Commission shall retain the 

right, in its sole discretion, to pant or deny a request for withdrawal. 

31.20 Continuing Duty to Provide Information. Applicants and Licensees shall have a 

continuing duty to provide any materials, assistance or other information required by the 

Commission, and to fully cooperate in any investigation conducted by or on behalf of the 

Commission. If any information provided on the Application changes or ,becomes inaccurate in 

any way, the Applicant or Licensee shall promptly notify the Commission of such changes or 

inaccuracies. . - 

31.21 Term of License; License Fees; Parameters of License. 

(a) Licenses, except Provisional Licenses, shall be for a term of one year, and shall 

expire on the anniversary of the effective date of such License(s). 

(b) In order for the Tribe to recover the costs of complying with federal, Tribal, and 

state regulatory processes applicable to Class I1 Gaming and Class I11 Gaming, the 

costs for maintaining the Commission shal1,'to the maximum extent practical, be 

supported by fees paid by Applicants and Licensees. Application and License fees 

shall be required: 

(1) in accordance with a fee schedule to be established by the Commission, 

annually fiom each party, other than the Tribe. to a Management Contract; 

(2) in accordance with a fee schedule to be established by the Commission 

from any Person(s) required to obtain a License; 

(3) in addition to the License fees imposed pursuant to subsection (b)(l) and 

(2) of this Section, the Commission ma!, impose such fees on Applicants 

Gaming Ordinance 

Amended February 1.2001 

Page 17 
and Licensees as are reasonably related to costs of enforcement, including 

investigations and proceedings before the Commission. and which will in 

the aggregate be sufficient to enable the Tribe and the Commission to 

recover its reasonable costs of enforcing this Code. Such costs may be 

estimated by the Commission and imposed prior to a final Commission 

action regarding a particular Licensee or Applicant. If the sum collected 

exceeds the actual costs of the matter, the excess shall be returned to the 

Applicant or Licensee. 

(c) Violations of any provision of this Code or the Rules, or relevant License 

provisiunjsj, bj; a Liceilsee shall be deemed coiitiai to the pgblic hezlth. szfety, 

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

Reservation, and shall be deemed grounds for rehsing to grant or renew a 

License, suspension or revocation of a License. Acceptance of a License, or 

renewal thereof by a Licensee, constitutes an agreement on the part of the 

Licensee to be bound by the provisions of this Code and the Rules as they are 

now, or as they may hereafter be amended or restated, and to cooperate fully with 

the Commission. It is the responsibility of the Licensee to remain informed of the 

contents of this Code, the Rules and all other applicable regulations, amendments, 

provisions, and conditions. 

31.22 Conditions of License. All Licensees shall comply with such reasonable conditions as 

may be fixed by the Commission, including but not limited to the following conditions: 

. - 

(a) Facility Licensees: 

(1) the Licensee shall at all times maintain an orderly, clean and neat Gaming 

Establishment, both inside and outside the premises of the Gaming 

Establishment; 

(2) the ahi in^ Establishment shall be subject to patrol by the Tribe's security 

and law enforcement personnel and, when authorized, local and state law 

enforcement, and the Licensee shall cooperate at all times with such 

security and law enforcement officials; 

(3) the Gaming Establishment shall be open to inspection by authorized Tribal 

officials at all times during business hours; 

(4) there shall be no discrimination in any Gaming Operations by reason of 

race. color. sex or creed; provided, however, that nothing herein shall 

prevent the Licensee from granting preferences to Indians as permitted by 

law; and f 

Gaming Ordinance 

Amended February 1.2001 

Page 18 
(b) Persons. bI&agement Entities and Gamin? Device Suppliers licensed by the 

Commission shall comply with such conditions of the License as the 

Commjssion! in its reasonable discretion. may require. 

31.23 Facility License. The Commission may issue an annual Facility License to a Gaming 

Establishment, if the Gaming Establishment: 

(a) is a sound physical structure with adequate and safe plumbing, electrical. heating, 

cooling and ventilation systems in place and operational; 

jbj has been i~ispscied hi6 approved fci safci-j by a building-and fire ~KSI;CC:G~ 

designated by the Commission; 

(c) is adequate in all respects to accommodate the Gaming intended to be carried out 

within the structure; 

(d) is equipped with security and surveillance equipment meeting or exceeding 

provisi0.n~ set forth in the Tribal-State Compact and the Code; 

(e) meets all requirements of applicable federal, tribal and state law; and 

(f) has paid all applicable License fees and costs. 

31.24 Certification of Gaming Devices. All Gaming Devices purchased, leased or otherwise . - 

acquired by the Tribe must meet the technical equipment standards of the Compact, if any. The 

Commission shaI1 maintain a complete list of all Gaming Devices (whether or not such devices 

are in use) located at any Gaming Establishment. 

31.25 Provisional License. The Commission may issue Provisional Licenses pending the 

satisfactory completion of all background investigations and other requirements of this Code, 

IGRA, or the Compact, and, if applicable, pending expiration of the thirty (30) day NIGC review 

period provided for at 25 C.F.R part 558. If such background investigations are not satisfactorily 

completed, a Provisional License shall have no further force or effect. In no event shall a 

Provisional License be valid for greater than ninety (90) days. 

31.26 Provisional Employment Pending Issuance of License and During Temporary 

License Period. As provided in Section 3 1.25, Primary Management Officials and Key 

Employees may be employed in Gaming Operations prior to the issuance of a License hereunder 

and during the period that a License shall be effective on a provisional basis, but such 

employment shall be provisional only and subject to the requirements of this Section. 

Employment may begin prior to issuance of a License only if the Commission, or such other 

Tribal agency or official as may be authorized by the Council. has made a preliminax?. finding of 

eligibility for employment in Gaming Operations, which shall require a preliminary 

determination that the Primary Management Official or Key Employee in question is not a 

Gaming Ordinance 

Amended February 1.2001 

Page 19 
.- 

person whose prior activities. criminal record 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, or activities in the operation of 

Gaming or the carrying on of the business and financial arrangements incidental thereto. 

Provisional employment shall be terminated upon the occurrence of any of the following: 

(a) denial of a relevant License by the Commission; 

(b) unsatisfactory completion of a background investigation or NIGC review resulting 

in nullification of a provisional License, as described in Section 5.10; or 

(c) to the extent required under 25 C.F.R part 558 and, at the end of thirty (30) days 

after the starting date of provisional employment, if at the end of such period no 

License has been issued hereunder or if a License issued hereunder remains 

effective only on a provisional basis, as provided in Section 3 1.25; provided, 

however, that provisional employees terminated for the reason described in this 

subsection shall be qualified for reemployment upon the satisfactory completion 

of background investigations and NIGC reviews. 

31.27 Assignment or Transfer. No License issued under this Code may be assigned or 

transferred unless the proposed assignee or transferee would independently be qualified to hold 

the License proposed to be assigned or transferred and the Commission approves of such 

assignment or transfer. 

31.28 Required Background Investigations. The Commission, or its designated agent under 

the supervision and direction of the Commission, shall conduct background investigations on all 

Persons specified in Section 3 1.14 of this Code. 

3 1.28.1 Standards for Background Investigations. All background investigations shall be 

conducted to ensure that Gaming Operations shaI1 not employ or contract with persons whose 

prior activities, or reputation, habits and 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 and methods and activities in the conduct of such Gaming. Such investigations shall be 

conducted according to requirements at least as stringent as those set forth at 25 C.F.R. parts 556 

and 558, the Compact, and this Chapter 5. Background investigations shall be conducted in a 

manner which takes all reasonable steps to ensure the confidentiality of the information 

generated by the investigation as well as that submitted by the Applicants. Any willful or 

careless breach of this requirement may result in penalties as provided by Section 3 1.1 1.16 of 

this Code. Both the Commission and the Tribal Coun shall have jurisdiction to hear and decide 

upon any such claims, but the jurisdiction of the Tribal Court shall be limited to those matters 

which have first been decided by the Commission, or which involve charges against a 

Commissioner, which cases shall not be within the jurisdiction of the Commission. , 

3 1.28.2 Information Required for Background Investigations. 

Gaming Ordinance 

Amended February 1,2001 

Page 20 
3 1.28.2.1 Each Person subject to 3 background investigation under Section 

3 1.14 of this Code shall be required to provide, subject to the Privacy Act of 1974, at a 

minimum, and in such form as designated in Section 3 1.16.4, or as may be prescribed by 

the Commission, all of the following information: 

(a) full name, other names used, social security nurnber(s), 

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

(spoken or written); 

cwi-eiitl j; and f~r ih~ ijr~~i~ii~ I9 ycixs, a!! business ~qd 

employment positions held, ownership interests in those 

businesses, business and residence addresses. and driver's 

license numbers; 

(c) the names and current addresses of at least three (3) 

personal references. including one personal reference who 

was acquainted with the Applicant during each period of 

residence listed under subsection (d) of this Section; 

(d) the address(es) for each residence during the last ten (1 0) 

years; 

(e) current business and residence telephone numbers; 

(f) a description of any existing and previous business 

relationships with any Native American Indian tribe, 

including but not limited to a description of the amount and 

type of ownership interest in those businesses; 

(g) a description of any existing and previous business 

relationships with gaming, including but not limited to a 

-description of the amount and type of ownership interest in 

those businesses; 

(h) the name and address of any licensing or regulatory agency 

with which the Person has filed an application for a license 

or permit related to any gaming or gambling, whether or 

not such license or permit was granted; 

(i) for each felony for which there is an ongoing prosecution or 

conviction. the charge, the name and address of the court 

involved, and the date and disposition, if any; / 

Gaming Ordinance 

Amended February 1, 2001 

Page 2 1 
' 6) for each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within ten 

(1 0) years of the date of the application, the name and 

address of the court involved and the date and disposition; 

(k) for each criminal charge (excluding minor traffic charges) 

whether or not there is a conviction, if such criminal charge 

is within 10 years of the date of the application and is not 

otherwise listed pursuant to paragraph 3 1.28.2.1 (i) or Cj) of 

this section, the criminal charge, the name and address of 

6 L,,C L. emit involved ixyd the date ~yd disposifi~?~; 

(1) The name and address of a 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; 

(m) a photograph; 

(n) any other information the Commission deems relevant; and 

(0) fingerprints consistent with the provisions of Section 3 1.1 8. 

3 1.28.2.2 Background investigations conducted by the Commission must be . . - 

sufficient to make the determination described in Section 3 I. 15. In conducting a 

background investigation, the Commission or its agents, shall make every reasonable 

effort to maintain the confidentiality of the identity of each Person interviewed in the 

course of the investigation. Willful or careless violations of this requirement are subject 

to penalties as provided by this Code. 

3 1.28.3 Issuance of License. The Commission may, subject to the requirements of 

Section 3 1.15, issue a License only after it has determined that the following minimum 

requirements have been met: 

(a) the Applicant has fully completed all required Application forms and has 

provided the Commission with all other information that the Commission 

has requested; 

(b) the Applicant meets all of the licensing requirements of this Code; 

(c) the .4ppIicant meets all of the licensing requirements and criteria contained 

in the Compact; 

Gaming Ordinance 

Amended February I, 2001 

Page 22 
(d) the tommission has reviewed the Applicant's criminal history record and 

deems the Applicant's criminal history to be satisfactor?; to hold a License; 

and 

(e) , all applicable License fees and costs have been paid. 

The Commission shall not issue a license to any Applicant who is determined by the 

Commission to be a Person whose prior activities, criminal record, 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, or 

activities in the operation of Gaming or iht: carryi~ig on of ilie biisiness kid 5naicia: 

arrangements incidental thereto. 

3 1.28.4 Denial of a License Application. The Commission, may deny an Applicant a 

License only after it has determined that the minimum requirements contained in Section 3 I .28.3 

have not been met by the Applicant or the Applicant's Application, or if the Commission 

determines that the Applicant is a Person whose prior activities, criminal record, 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, 

or activities in the operation of Gaming or the carrying on of the business and financial 

arrangements incidental thereto. 

3 1.28.5 Cancellation or Suspension. Licensees and Applicants shall be legally 

responsible for any violation of this Code, any relevant License provisions, the Rules, the . - 

Compact or IGRA. Any License issued hereunder may be canceled, limited, revoked, 

suspended, terminated or modified by the Commission for the breach of any of the provisions of 

the License, this Code, or Rules. In addition: 

(a) unless othemise stated in this Code or the Rules, a Licensee's 

spokesperson has the right to be present and to participate in the hearing 

concerning the cancellation, limitation, revocation, suspension, 

termination or modification of a License; 

(b) a License may be summarily suspended, without a prior hearing; and 

(c) all decisions of the Commission regarding the cancellation, limitation, 

revocation, suspension, termination or modification of Licenses shall be 

final, unless appealed as provided in Section 3 1.24 of this Code. No 

Gaming shall be conducted by the Licensee after cancellation, even during 

the pendency of an appeal. 

3 1.28.6 Eligibility Determination and Procedures for Forwarding Applications and 

Reports for Key Employees and Primary Management Officials to the National Indian Gaming 

Commission. 

Gaming Ordinance 

Amended February 1,2001 

Page 23 
(a) The Commission shall review an Applicant's prior activities. criminal 

record, 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 Commission 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, the Gaming Operation shall not employ that Person. 

(b) &%en a Key Empioyee or Primary Managemcrit GXciai currlrrlerlces wurk 

at a Gaming Operation, the Gaming Commission shall within a reasonable 

period of time forward to the NIGC a completed application for 

employment for such Key Employee or Primary Management Official, and 

shall conduct all necessary background investigations. The Commission 

shall make the eligibility determination referred to in subsection (a) of this 

Section. 

(c) A report shall be submitted to the NIGC within sixty (60) days after a Key 

Employee or Primary Management Official commences work at a Gaming 

Operation or within sixty (60) days of the approval of this Code by the 

Chairman. Such report shaI1, at a minimum, include all of the following: 

(1) steps taken in conducting the background investigation; .. - 

(2) results obtained; 

(3) conclusions reached by the Commission; 

(4) the Commission's basis for those conclusions; and 

(5) a copy of the eligibility determination made pursuant to Section 

3 1.28.6(s). 

(d) No Gaming Operation shall continue to employ as a Key Employee or 

Primary Management Official any Person who does not have a License 

within ninety (90) days of commencing work at a Gaming Operation. 

(e) If a License is not issued to an Applicant, the Commission: 

(1) shall notify the NIGC; and 

(2) may forward copies of its eligibility determination and an!. relevant 

report regarding a background investigation of the Applicant to the 

Gaming Ordinance 

Amended February I, 2001 

Page 24 
.- 

NIGC for inclusion in the Indian Gaming Individuals Records 

System. 

(a) With respect to Key Employees and Primary Management Officials, 

, applications for employment and reports of background investigations 

shall be retained by the Gaming Commission for inspection by the 

Chairman or his designee for no less than three (3) years from the date of 

termination of employment of each Key Employee or Primary 

Management Official. 

3 1.28.9 Granting a Gaming License. 

(a) If, within a thirty (30) day period after the NIGC receives all required 

Applications and reports, the NIGC 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, the 

Commission may issue a License to such Applicant. 

(b) The Commission shall respond in a timely manner to requests for 

additional information from the Chairman concerning Key Employees or 

Primary Management Officials who are the subject of any report filed with 

the NIGC by the Commission. Any such request by the Chairman shall 

suspend the thirty (30) day period referred to in this Section until the 

Chairman receives the additional .- - information requested. 

(c) If, within a thirty (30) day period after the NIGC receives all required 

applications and reports, the NIGC provides the Tribe with a statement 

itemizing objections to the issuance of a License to a Key Employee or to 

a Primary Management Official for whom the Commission has submitted 

an application and all required reports to the NIGC, the Commission shall 

reconsider the application, taking into account the itemized by the 

objections of the NIGC. The Commission shall make the final decision 

whether to issue a License to such Applicant. 

3 1.28.10 License Revocation and Suspension Following Receipt of Information from 

NIGC. 

(a) If, after the issuance of a License, the Tribe receives information from the 

NIGC indicating that a Management Entity or Controlling Shareholder, 

Key Employee, or Primary Management Official is not eligible for 

employment, the Commission shall suspend such License, shall notify the 

Licensee in writing of such suspension and the potential revocation of the 

Licensee's License, and shalkconduct a hearing in accordance with the 

Rules regarding the proposed License revocation. 

Gaming Ordinance 

Amended February 1.2001 

Page 25 
(b) After a'hearing. the Commission shall revoke or reinstate a License 

suspended pursuant to subsection (a) of this Section. The Commission 

shall notify the NIGC of its decision. A decision of the Commission to 

revoke a License after the hearing called for by subsection (a) of this 

Section shall be final and there shall be no appeal. A Management Entity 

whose License has been revoked or suspended pursuant to this Section 

may not operate a Gaming Operation. 

3 1.28.1 1 Nothing herein shall create a property interest in the issuance or retention of a 

iicense provided For his Code. 

3 1.28.12 Failure of an employee or primary management official to obtain or maintain a 

- oarning license shall be grounds for immediate termination. Nothing herein shall grant or 

otherwise create an!. property interest in employment or continued employment at any gaming 

facility on Indian lands. 

31.29 Scope of Rules of Procedure. All License hearings, enforcement hearings and exclusion 

hearings conducted pursuant to this Code shall be governed by this Chapter. 

3 1.29.1 Hearings. 

(a) The Commission shall afford an Applicant an opportunity for a hearing 

prior to any final action by the Commission on a Application, other than -- . -. 

an unconditional grant of a License. 

(b) The Commission shall afford a Licensee the opportunity for a hearing 

prior to taking final action resulting in the revocation of the License or the 

imposition of any penalties which the Commission is authorized to impose 

pursuant to these Rules and the Code. 

(c) Sothing in thls Section shall limit the Commission's authority to 

summarily suspend or revoke a License without a hearing pursuant to 

Section 3 1.28.5(b) of this Code. 

3 1.29.2 Notice of Hearing. 

(a) The Commission shall post notice of any hearing in a prominent, 

noticeable place in the Tribe's Executive Office at least seven (7) days 

prior to the hearing. The day the notice is posted shall be considered a full 

day's notice under this Section. The notice shall state the date, time and 

place of the hearing. 6 

Gaming Ordinance 

Amended Ftbnrary I, 200 1 
(b) The Cornmission shall also provide written notice to the Applicant or 

Licensee of the hearing at least seven (7) days prior to the date set for the 

hearing. The day the Applicant or Licensee receives the notice shall be 

considered a full day's notice under this Section. The notice shall be sent 

by registered or certified mail, or may be personally served upon the 

Applicant or Licensee. The notice shall state the date, time and place of 

the hearing. The notice shall also contain an indication of the action(s) 

being considered by the Commission, including, but not limited to: 

(1) whether the Commission is holding the hearing for the 

purpose of obtaining further information from the 

Applicant; 

(2) whether the Commission will be considering the grant or 

denial of the License Application; 

(3) whether the Commission will be examining any alleged 

violations of the Code, the Compact, the IGRA, the 

conditions of any License issued by the Commission, any 

order by the Commission, or any other applicable laws, 

regulations or agreements; or 

(4) whether any other sanctions or penalties will be considered. 

The notice shall also contain a short, plain statement of the reasons the 

Commission determines the hearing is necessary. 

3 1.29.3 Ex Parte Communications. 

(a) No ex parte communication relative to the action@) being considered by 

the Commission, or a threat or offer of reward shall be made, before a 

decision is rendered, to any member of the Commission by or on behalf of 

the Applicant or Licensee, or any legal representative or counsel of the 

Applicant or Licensee. 

(b) Nothing in this Section shall prohibit the Applicant, Licensee or its 

authorized agent from communicating with the Commission's legal 

counsel, its investigators or other authorized agents. 

(c) Any member of the Commission who receives an ex parte communication 

shall immediately report such communication to the Commission's legal 

counsel. 

Oaming Ordlnancd 

Amended February 1.200 1 

Page 27 
(d) For 6urposes of this Section only, the action(s) being considered by the 

Commission shall be those matters identified in the written notice as 

provided in Section 3 1.29.2(b) of this Code. as well as any other matters 

that are actually considered by the Commission during a hearing. All 

matters identified in the written notice shall be subject to the prohibition 

against ex parte communications. All matters nor identified in the written 

notice that are considered by the Commission during a hearing become 

subject to the prohibition against ex pane communications as soon as they 

are discussed during the hearing. 

7- (ej I he Coinmission shall have thc ijowci to impose z~y s~~ction pursuant to 

this Chapter upon its determination that an Applicant or Licensee has 

made an ex parte communication in violation of this Section. 

3 1 29.4 Appearance through Spokesperson. 

(a) Parties to all hearings governed by this Chapter may appear personally or 

through a spokesperson admitted to the Hoopa Valley Tribal Court Bar. 

Each party is responsible for the cost and expense of their respective 

spokesperson and in no event shall the Tribe bear responsibility for the 

fees or costs of a Licensee's or Applicant's spokesperson. 

(b) When a party has appeared through a spokesperson, service of all notices, 

motions, orders, decisions and other papers shall thereafter be made upon . - 

the spokesperson, unless the party requests otherwise in writing. 

(c) When a party is represented by a spokesperson, the spokesperson shall 

sign all motions, notices, requests, and other papers on behalf of the party, 

including a request for subpoena. 

3 1 29.5 Discovery Procedures for Enforcement Hearings. 

(a) No later than five work days prior to the hearing, each party shaIl submit 

in writing to the Commission and to the other party, a list of witnesses 

each intends to call on its behalf. Each witness shall be identified by name, 

if known, position, and business address. If no business address is 

available, a home address for the witness shall be provided. Any witness 

not identified in accordance with this Section may be prohibited from 

testifying at a hearing in the Commission's discretion. 

(b) KO later than five work days prior to the hearing, each party shall submit 

in writing to the Commission and the other party. a list of relevant 

documents and each document it intends to introduced during the hearing. 

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.I 

(c) Any party to the hearing may call and examine witnesses. The 

Commission shall exercise its discretion to limit the testimony of 

witnesses where that testimony is argumentative or repetitive. 

(d) . The Commission shall have the authority to eject from the hearings any 

person who is disruptive, disorderly, or who shows a lack of proper respect 

for the Commission or the nature of the proceedings. 

(e) Any member of the Commission may ask questions of witnesses, and may 

request or allow additional evidence at any time. 

(f) Any party to the hearing may conduct cross-examinations reasonably 

required for a full and true disclosure of the facts. 

(g) All hearings held under this Code shall be held in executive session. 

(h) The Commission shall have the initial burden of proof and shall present its 

case first. 

3 1.29.6 Evidence 

(a) In hearings governed by this Code, the Commission shall not be 

bound by technical rules relating to evidence and witnesses. The 

Commission shall admit all testimony having reasonable probative . 

value, but shall exclude immaterial, irrelevant or unduly repetitious 

testimony. The Commission shall give effect to the rules of 

privilege unless such privilege is waived. Basic principles of 

relevancy, materiality and probative force shall govern the proof of 

all questions of fact. Objections to evidentiary offers and offers of 

proof of evidence not admitted may be made and shall be noted in 

the record. 

(b) All evidence, including records and documents in the possession of 

the Commission or which the Commission desires to avail itself, 

shall be duly offered and made a part of the record in the case. 

Every party shall be afforded adequate opportunity to rebut or offer 

countervailing evidence. 

(c) The Commission may take official notice of any generally 

recognized fact or any established technical or scientific fact; but 

parties shall be notified either before or during the hearing or by 

full reference in preliminary reports or othenvise, of the facts so 

noticed, and they shall be afforded an opportunity to contest the 

validity of the official notice. 

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.- 

(d) Documentary evidence may be received in the form of copies or 

excerpts, if the original is not readily available. Upon request, 

parties shall be given an opportunity to compare the copy to the 

original. 

(e) The record in a hearing governed by these Rules shall include: 

(1) All Applications, intermediate rulings and e?dzibits and 

appendices thereto. 

(2) Evidence received or considered, stipulations and 

admissions. 

(3) A statement of matters officially noticed. 

(4) Questions and offers of proof, objections, and rulings 

thereon. 

(5) Any decision, opinion, findings or report by the 

Commission. 

(6) The transcript prepared by a duly certified court reporter. 

. - 

3 1.29.7 Determination(s) by the Commission. 

(a) The Commission shall make all determinations of issues before it by a 

majority vote of at least a quorum of the Commission. 

(b) All determinations made by the Commission involving the grant, denial, 

cancellation or revocation of a License, a finding of a violation of this 

Code, the Rules, the Compact, IGRA, the conditions of any License issued 

by the Commission, any order by the Commission, or any other applicable 

laws, regulations or agreements, and the imposition of any sanctions or 

penalties shall be made in writing. 

(c) A copy of the determination made pursuant to Section 3 1.29.7(b) of this 

Code shall be served upon the Applicant or Licensee by registered or 

certified mail, or may be sewed personally. 

31.30 Right of Appeal; Appeals Procedures. A Person directly affected by any finding of the 

Commission pursuant to Section 3 1.29 of this Code, or any licensing decision of the 

Commission under this Code, shall have the right tp appeal such finding to the Tribal Court. 

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Amended February 1,2001 

Page 30 
- Any such appeal must be fled \vith the Tribal Court in w.riting on or before the tenth (10th) day 

following receipt by such affected Person of the written finding of the Commission. 

31.31 Minimum Procedures for Control of Internal Fiscal Affairs. The Commission shall 

promulgate Rules governing the control of internal fiscal affairs of all Gaming Operations. At a 

minimum, such ~uleshall require the consistent application of Generally Accepted Accounting 

Principles, and shall: 

(a) prescribe minimum procedures for the safeguarding of a Gaming 

Operation's assets and revenues, including recording of cash and evidence 

-of ir;dcb:ecl?ess, ad-rnmdatory count procedgres. Such Iil.!les shall 

establish a controlled environment, accounting system, and control 

procedures that safeguard the assets of the Gaming Operation, assure that 

operating transactions are properly recorded, promote operational 

efficiency, and encourage adherence to prescribed policies; 

(b) prescribe minimum reporting requirements to the Commission; 

(c) provide for the adoption and use of internal audits conducted in 

accordance with generally accepted accounting principles by internal 

auditors licensed or certified to practice public accounting in the State of 

California; 

(d) formulate a uniform code of accounts and accounting classifications to - - 

assure the consistency, comparability and effective disclosure of financial 

information. Such a code shall require that records be retained that reflect 

statistical drop (amount of cash wagered by Patrons), statistical win 

(amount of cash won by the Gaming Operation), and the percentage of 

statistical win to statistical drop, or provide similar information for each 

type of game in each Gaming Operation; 

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

(f) provide for the maintenance of documentation, (i.e., checklists, programs, 

reports, etc.), 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 this 

Section be maintained for a minimum of five (5) years. 

3 1.3 1.1 Oversight of Internal Fiscal Affairs. The Commission shall require independent 

audits of the financial statements of all Gaming Operations. Such independent audits must 

apply and require the consistent application of Generally Accepted Accounting Principles. and 

shall: 

Gaming Ordinance 

Amended February I. 2001 

Page 3 1 
(a) be conducted by independent accountants, knowledgeable in casino audits 

and operations and licensed or certified to practice public accounting in 

the State of California; 

(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 Council of Accountancy and the American Institute 

of Certified Public Accountants; 

(c) disclose whether the accounts, records and control procedures maintained - 

by the Gaming Operation conform with this Code and the Rules; and 

(d) provide a review of the internal financial controls of the audited Gaming 

Operation to disclose any deviation from the requirements of this Code 

and the Rules and report such findings to the Commission and the 

management of the audited Gaming Operations; and 

(e) provide such other information as the Commission deems necessary or 

appropriate. 

3 1.3 1.2 Non-Compliance. Failure to comply with any of the requirements of this 

Chapter, or the Rules promulgated hereunder may be found to constitute a violation of this Code. - , -. 

31.32 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 Establishment any individual who: 

(a) is visibly under the influence of liquor, a drug or other intoxicating substance; 

(b) is under the age of eighteen years; 

(c) is displaying disorderly conduct; 

(d) is a known felon; 

(e) is known to have a reputation for cheating or manipulation of games; or 

(f) has been personally excluded, or is a member of any group or type of persons 

which has been excluded, for cause from Gaming Establishments by a resolution 

of the Commission. 

3 1.32.1 Right to Exclude or Remove. If the Commission deems it in the best interest of 

the Tribe, the Commission may exclude or remove any persons from the premises of any Gaming 

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Amended February 1,2001 

Page 32 
^ Operation. Any person so 'excluded shall be entitled to a hearing as provided for by Section 

3 1.28 and shall have the rights provided to an "applicant" therein. The Manager of any Gaming 

Operation shall also have the authority to exclude or remove any person from the Gaming 

Establishment, and all such actions shall be reported to the Commission within 24 hours; the 

Commission may then ratify, reverse or condition the decision of the Manager. 

31.33 Prohibited Acts. In addition to other civil and criminal acts that may be regulated or 

prohibited by this Code, the Compact, other Tribal law or applicable federal law, the following 

shall constitute prohibited activities and unauthorized Gaming under this Code and shall subject 

any perpetrator to Commission action, including, but not limited to, the imposition of civil 

penaities, referrai to appropriate law enforcenient ailti~urities hi. cilrnina: proceedings, and 

License suspension or revocation: 

(a) altering or misrepresenting the outcome of Gaming or other event on which 

wagers have been made after the outcome of such Gaming or event has been 

determined but before such outcome is revealed to the players; 

(b) placing or increasing a bet or wager after acquiring knowledge of the outcome of 

the Gaming or event which is the subject of the bet or wager, including pastposting and pressing bets; 

(c) aiding anyone in acquiring such knowledge referred to in subsection (b) of this 

Section for the purposes of increasing or decreasing any bet or wager, or for the 

purpose of determining the course of play; . - 

(d) claiming, collecting or taking, or attempting to claim, collect or take, money or 

anything of value in or from a game with intent to defraud or claiming, collecting 

or taking an amount greater than the amount actually won in such game; 

(e) knowingly to entice or induce another to go to any place where Gaming is 

conducted or operated in violation of the provisions of this Code, with the intent 

that the other person play or participate in such Gaming; 

(0 reducing the amount wagered or canceling a wager after acquiring knowledge of 

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

including pinching bets; 

(g) manipulating, with intent to cheat or defraud, any component or part of a game in 

a manner contrary to the designed and normal operational purpose for such 

component or part, with knowledge that such manipulation will affect the 

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

the game; , 

(h) defrauding the Tribe, any Licensee or any participant in any Gaming; 

Gaming Ordinance 

Amended February 1.100 1 
(i) participating in any Gaming not authorized by this Code: 

(j) knowingly providing false information or making any false statement with respect 

to an application for employment or for any License, certification or 

deterkination provided for in this Code; 

(k) knowingly providing false or misleading information or making any false or 

misleading statement to the Tribe or the Commission in connection with any 

contract for services or property related to Gaming; 

(1) knowingly making any false or misleading statement in response to any official 

inquiry by the Commission or its agents; 

(m) offering or attempting to offer any thing of value, to a Licensee in an attempt to 

induce the Licensee to act or refrain from acting in a manner contrary to the 

official duties of the Licensee under this Code. the Rules, or IGRA; 

(n) acceptance by a Licensee of any thing of value with the expectation that receipt of 

such thing of value is intended, or may be perceived as intended, to induce the 

Licensee to act or refrain from acting, in a manner contrary to the official duties of 

the Licensee under this Code, the Rules,.or IGRA; 

(0) falsifying, destroying, erasing or altering any books, computer data, records, or - 

other information relating to a Gaming Operation; 

(p) taking any action which interferes with or prevents the Commission or the 

Council from fulfilling its duties and responsibilities under this Code, the Rules, 

or IGRA; and 

(q) entering into any contract, or making payment on any contract for the delivery of 

goods or services to a Gaming Operation, when such contract fails to provide for 

or result in the delivery of goods or services of fair value for the payment made or 

contemplated. 

3 1.33.1 Prohibition Against Electronic Aids. Except as specifically permitted by the 

Gaming Commission, no person shall possess, with the intent to use in connection with Gaming, 

either individually, or in concert with others, any calculator, computer, or other electronic or 

mechanical device to assist in projecting the outcome or odds of such Gaming, to keep track of or 

analyze cards, or to change probabilities of any game or the playing strategies regularly utilized 

in such Gaming. 

31.34 National Indian Gaming Commission-Regulation. Notwithstanding any provision in 

this Code or the Rules, the Comrnissiori is hereby fully empowered to comply with all 

Gaming Ordinance 

Amended February 1.200 1 
7 

* ' regulations promulgated b$the NIGC, including, but not limited to, reporting requirements 

relating to Codes, contracts. license applications, background checks, and other information. 

31.35 National Indian Gaming Commission-Assessment. Notwithstanding any provision in 

this Code or the Rules, the Commission is hereby fully empowered to comply with all 

assessments authorized by the NIGC. Such assessments shall be payable solely from funds of - 

the Tribe derived from Gaming Operation revenues. 

31.36 Compact with the State of California. Notwithstanding any provision in this Code or 

the Rules, the Commission is hereby fully empowered to comply with the provisions of the 

Compaci, inciudi~ig, biit not limited to, aiiy licensing, zpprcvd, or rnzniteri~g rzquirements 

contained in the Compact. 

31.37 Security and Surveillance. Each Gaming Establishment must provide for reasonable 

security within the Gaming Establishment at all times. All security personnel in a Gaming 

Establishment must be licensed by the Commission. 

31.38 Compliance with Other Laws. The construction, maintenance and operation of any 

Gaming Operation shall be in a manner which protects the environment, public health and safety, 

and shall comply with all applicable Tribal and federal laws relating to environmental protection 

and public health and safety including, but not limited to, 25 C.F.R. § 522.4@)(7). 

3 1.38.1 All Gaming Establishments constructed after March 7,2000, and all expansions 

or modifications to a Gaming Establishment after said date shall meet the building and safety . - 

codes of the Tribe and shall also comply with the federal Americans with Disabilities Act, P.L. 

101-336, as amended, 42 U.S.C. $ 121 01 et seq. 

31.39 Amendments. All provisions of this Code are subject to amendment by the Council in 

accordance with the Legislative Procedures Act currently in effect, or as hereafter amended. All 

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

the Commission. All amendments to this Code shall be effective upon the date of passage by the 

Council. 

31.40 Severability. If any provision any of this Code, or any portion of any provision to this 

Code, is found to be invalid by any court of competent jurisdiction, the full remainder of such 

provision(s) shall not be affected. 

31.41 Words and Terms. Tense, number and gender. In interpreting the provisions of this 

Code, save 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 

Gaming Ordinance 

Amcndcd February 1.2001 
. .* > 

(c) words in the'singular shall include the plural. and words in the plural shall include 

the singular. 

31.42 Repeal. To the extent that they are inconsistent with this Code, all prior gaming laws, 

rules, Codes or regulations of the Tribe are hereby repealed. 

31.43 Unclaimed Winnings. 

(a) Any winnings, whether property or cash, which are due and payable to a 

participant in any Gaming Activity, and which remain unclaimed at the end of a 

Giii~iiiig sessio~, shall be held in safekeeping for the be~ef? of snrh pw-icipz~~t if 

his or her identity is known. Such winnings shall be held for twelve months or 

such longer period as the Commission deems reasonable in consideration of all 

relevant facts and circumstances. The Commission shall make such efforts as are 

reasonable under the circumstances to locate such participant. At the end of the 

safekeeping period, such winnings shall revert to the ownership of the Tribe and 

shall be transferred to the account or place designated by the Council. 

(b) In the event the identity of a participant entitled to unclaimed winnings is 

unknown, the Commission shall use its best efforts to learn the identity of such 

individual and shall follow the procedure set forth in Section 3 1.44 if the 

Commission is able to identify such individual ;with reasonable certainty; 

provided, however, if after six months from the time the winnings were payable, 

the Commission has been unable to identify the individual entitled thereto, such . -. 

winnings shall revert to the ownership of the Tribe. 

31.44 Patron Disputes. Any Person who has any dispute, disagreement or other grievance 

with the Gaming Operation that involves currency, tokens. coins, or any other thing of value, 

may seek resolution of such dispute from the following persons and in the following order: (a) a 

member of the staf' relevant of the Gaming Operation, (b) the supervisor in the area of the 

relevant Gaming Operation in which the dispute arose, (c) the manager of the relevant Gaming 

Operation, and (d) the Commission. 

31.45 Patron Rights Regarding Disputes. When a Person brings a dispute for resolution 

pursuant to Section 3 1.46, the complainant has the right to explain his or her side of the dispute, 

and to present witnesses in connection with any factual allegations. At each level, if the dispute 

remains unresolved, the complainant shall be informed of the right to take the dispute to the next 

higher level as set forth in Section 3 1.46. Resolution of any dispute by the personnel of a 

Gaming Operation shall always involve two or more staff members. A11 disputes, whether 

resolved or not, shall be reported in detail by the staff persons involved to their supervisor, or, in 

the case of the general manager of the Gaming Operation, to the Commission. 

31.46 Gaming Commission Action on Patron Disputes. All disputes which are submitted to 

the Gaming Commission shall be decided by the Commission based on information provided by 

Gaming Ordinance 

Amended February I, 2001 

Page 36 
-' the complainant, including hy witnesses for, or documents provided by or for. the complainant, 

and upon any information submitted on behalf of the Gaming Operation. The decision of the 

Commission shall be in writing, shall be issued \.ithin fourteen (14) days of submission of the 

matter to the Commission, and shall be provided to the general manager of the Gaming 

Operation and to the complainant. 

31.47 Agent for Service of Process. The Council Chairman shall be designated agent for - 

senice of process for the Hoopa Valley Tribe. The Council Chairman shall promptly report any 

such service to the Commission and the Office of Tribal Attorney, and shall promptly provide 

the Commission with a copy of any complaints or other documents served. 

31.48 Consent to Jurisdiction. Any person who applies for a License under this Code, applies - 

for employment in any Gaming Establishment, enters into any contract or agreement related to 

Gaming, or participates in any Gaming on the Reservation, shall be deemed to consent to the 

civil jurisdiction of the Tribe, the Commission 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 Code. 

31.49 Sovereign Immunity. Except as provided herein, nothing in this Code shall be construed 

as a waiver of the sovereign inimunity of the Hoopa Valley Tribe or any of its officers or entities. 

31.50 Submission to Federal Agencies. Pursuant to the provisions of Article IX of the Tribal 

Constitution and the Indian Gaming Regulatory Act, this Ordinance shall be submitted to the 

Bureau of Indian Affairs and the National Indian Gaming Commission for review and approval.. 

CERTIFICATION 

I, the undersigned, as Chairman of the Hoopa Valley Tribal Council, do hereby certify that the 

Hoopa Valley Tribal Council is composed of eight members, of which seven (7) were present, 

constituting a quonun at a regular meeting thereof; duly and regularly called, noticed and 

convened. and held this 1 * day of February, 2001; and that this Ordinance was duly adopted by a 

vote of six (6) for, none (0) against, and none (0) abstaining, and that said Ordinance has not 

been rescinded or amended in any way since adoption. 

Dated this I" day of February, 2001. 

Hoopa Valley Tribal Council 

Gaming Ordinance 

Amended February 1,2001 

Page 37