Dale A, Miller 

Tribal Chairman 

EIk Valley Rancheria 

2332 Howland Hill Road 

Crescent City, CA 9553 1 

Dear Chairman Miller: 

This letta responds to your submission of the Elk Valley Rancheria Tribal 

gaming ordinance, Ordinance No. 95-04, as amended September 28,2005. The Tribal 

Council approved the amended ordinance on that date. This letter constitutes an approval 

k forward to working with you and the Elk Valley 

issues. 

- 

Chairman 

nAnoNlu HEADQUARTERS 1441 L St. NW, Suite 91 00, Washington, DC 20005 Tek 202.632.7003 Fax: 202.632.7066 W.NK;C.GW 

REGIONALOFRW Portland, OR; Sacramento, CA: Phoenix. AZ; St. Paul, MN;Tulsa, OK 
ORDINANCE NO. 95-04, AS AMENDED SEPTEMBER 28,2005 

ELK VALLEY RANCHERIA, CALIFORNIA 

TRIBAL GAMING ORDINANCE 

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 conditions 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 II Gaming and Class Ill Gaming including, 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 271 0, 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 I1 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 designations; 
(ii) In which the holder of the card covers such numbers or 

designations when objects, similarly numbered or 

designated, are drawn or electronically determined; and 

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

previously designated arrangement of numbers or 

designations on such cards, including if played in the same 

location: Pull Tabs, Lotto Punch Boards, Tip Jars, Instant 

Bingo and other games similar to Bingo; OR 

(b) Card games that are; 

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

(ii) Are not explicitly prohibited by the laws of the Sate 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 kind. 

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

are not Class I 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 Tribal 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, Panguingue, 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, component or machine used 

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

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

processing information that may alter the normal criteria of random selection, 

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

game. 

3.1 1 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 otherwise 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 as a paid 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 II 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 responsibility 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 Commission under 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. 

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. 5 

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 II gaming as defined in the lndian Gaming Regulatory Act, P.L. 100- 

447, 25 U.S.C. Section s2703 (7) (A) ("IGRA) and by the regulations promulgated by 

the National lndian Gaming Commission at 25 C.F.R. s502.3 (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 Tribal-State Compact that has 

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

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

regulations promulgated by the National lndian Gaming Commission at 25 C.F.R. 5 

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 Interior 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 Court 

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

Federal Government or State government of criminal jurisdiction. 

5. OWNERSHIP OF GAMING FACILITIES AND/OR ENTERPRISES 

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

conduct of any gaming operation facilities and/or enterprise(s) 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 thereunder, 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) provide for the general welfare of the Tribe and its members; 

c) promote Tribal economic development; 

d) Donate to charitable organization; or 

e) 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 only in the conformity with a plan submitted to and approved 

by the Secretary of the Interior pursuant to 25 U.S.C. § 271 0(b)(3). 

7. 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 of 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 misdemeanor related to illegal 

gambling or bribery or upon conviction in the Tribal Court of any charge that the 

Tribal Council finds relates to the Commissioner's honesty or ability to fulfill his 

duties. If a Commissioner is convicted of violating any part of this 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 Commission 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 insurance, dental insurance, vision 

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

7.05 Selection of Chairperson. The Chairperson who 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 of two (2) members of the 

Commission. A quorum shall be required for any vote or decision by the 

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

unless indicated otherwise 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 include a full and complete 

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

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

actions. 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 recommendations 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 place 

designated by the Commission within the Casino ofice 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. 

7.1 1 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 the Tribal Council, who 

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

Commission. Such staff may include support personnel 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 timely basis. 

(b) Corresponding with the National lndian Gaming Commission and 

doing whatever is necessary to be in compliance 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. 

(d) Establishing an adequate system to include 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 conducted 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 Commission 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. 

(f) 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 provisions 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) lnspect and examine all Gaming Facilities and premises where 

gambling devices or equipment are manufactured, sold or 

distributed; 

(b) lnspect all equipment and supplies in, upon or about a Gaming 

Facility, or inspect any equipment or supplies, wherever located, 

which may have or have been used in the Gaming Facility; 

(c) Summarily seize and remove from a Gaming Facility, 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 license 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; 

(9 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 notice may be served in the 

manner provided for service of the process 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 information. 

7.16 Powers of Delegation; 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 operational 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. Upon 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 Ordinance, 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 be punished by a fine of no more than $5,000 for each separate 

count or violation, or one (1) year in jail or both. Each day of violation shall 
constitute a separate count or violation. A violator may also be required to pay 

court costs, storage fees and auction or sales fees. All property used or which 

may be used in activities in each and every separate violation of this 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 Commission, 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 any 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 an receive all the required 

licenses from the Commission prior to engaging in such Gaming Activities 

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

Ordinance and shall be punishable 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 conformance 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 within the Tribe's 

jurisdiction at which any Class II 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) All contracts 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 and the public health and 

safety; and 

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

II Gaming Activity have successfully passed a background 

investigation, which is approved, by the Tribe 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 3.08 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 3.02; and 

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

conditions of a valid TribalIState Compact entered into by the Tribe 

and the State of California. 

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

provisions of the Gaming Ordinance is valid only for the 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, habits and associations pose a threat to the public interest or to the 

effective regulation and control of Gaming, or create or enhance the dangers of 

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

Gaming or the carrying on of the business and financial matters incidental 

thereto. 

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 as 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 been 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 information shall be grounds for denial, 

suspension, or revoking of a license. 

8.10 Temporary Employment License. The Commission may issue a 

temporary employment license to any Person applying for a license to work in a 

licensed Gaming Activity, which shall be valid pending the background 

investigation of the applicant. In no event shall a temporary license be valid for 

greater than 180 days. 

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 health, safety, morals, good 

order and general welfare of the Tribe and the inhabitants of the Elk Valley 

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

suspension or revocation of a license or shall constitute grounds for the 

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; ignorance thereof will not 

be 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 Commission is not responsible 

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

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

statement to the Commission office within ten (I 0) 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) days from the date the 

applicant or licensee file hislher 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. Within 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 shall be final and no further 

appeals may be made. 

9.0 MANAGEMENT CONTRACTS 

9.01 Commission Licensing of Management Contractor 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: 

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 (5) years, except that, upon the 

request of the Tribe, a Contact term that exceeds five (5) years but 

does not exceed seven (7) years; 

(9 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 capital 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 ~inimum 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 

procedures shall establish a control environment, accounting 

system and control procedures that safeguard the assets of the 

organization, assure that operation transactions are properly 

recorded, and promote operational efficiency and encourage 

adherence to prescribed policies; 

(b) Prescribe minimum reporting requirements to the Commission; 

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

accounting; 

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

disclaim an opinion on the financial statements taken as a whole in 

accordance with standards of the accounting profession 

established by rules and 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 Ordinance or the 

regulations promulgated hereunder shall constitute a per se violation of these 

regulations. 

11.0 REVIEW AND APPROVAL OF GAMING. 

1 I .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 Licensee conform to the rules promulgated 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 

shall approve rules and procedures governing all authorized games, including 

rules governing Gaming Equipment, including without limitation chips, dice, cards 

and tiles. Any provision in a Compact with the State of California providing for 

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

authorized by the Commission. 

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. 

I I .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 procedures shall be 

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

Management may adopt emergency changes to such rules 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. 

12. 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 Commission shall promulgate 

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

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

to in 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 Licensee 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 Licensee 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 (1 8) years. 

13. CHEATING 

13.01 Unlawful Acts. It is unlawful for any Person to: 

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

which wagers have been made after the outcome is made sure, but 

before it is revealed to the players; 

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

play, after acquiring knowledge not available to all players, of the 

outcome of the game or knowledge that is the subject of the bet or 

wager; 

(c) Aid anyone in acquiring such knowledge as set forth in subsection 

(b) above, for the purpose of increasing or decreasing a bet or 

wager, or for the purpose of determining the course of play 

contingent upon that event or outcome; 

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

value in or from a licensed game with intent to defraud, without 

having made a wager contingent thereon, or to claim, collect or 

take an amount greater than the amount won; 

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

Gaming Activity is being conducted or operated in violating of the 

provisions of this Chapter, with the intent that the other person play 

or participate in that Gaming Activity; 
(9 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 pinching bets; or 

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

Equipment in a manner contrary to the designed and normal 

operational purpose for the component, with knowledge that the 

manipulation affects or may affect the outcome of the game or with 

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

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

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

strategies to be utilized. 

14. NATIONAL INDIAN GAMING COMMISSION & 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 - Assessment. 

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 Commission is fully empowered to comply 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. I. 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 and/or 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 need for the information in the 

performance of their official duties. The information may be disclosed to 

appropriate Federal, Tribal, State, local, or foreign law enforcement and 

regulatory agencies when relevant to civil, criminal or regulatory 

investigations or prosecutions or when pursuant to a requirement by a 

tribe or the National lndian 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 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 management officials shall be notified 

in writing that they shall either: 

(a) Complete a new application form that contains a Privacy Act 

Notice; or 

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

to the routine uses described in that notice. 

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 statement 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 who was acquainted with 

the applicant during each period of residences listed under paragraph 

(I) (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 license or permit was granted; 

(h) For each felony for which there is an ongoing prosecution or a 

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

and the date and disposition if any; 

(i) For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations) within ten (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 traffic charges), whether or 

not there is a conviction, if such criminal charge is within ten (10) 

years of the date of the application and is not otherwise listed 

pursuant to paragraph (1) (h) or (I) (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 the person has filed an application for an occupational license 

or permit, 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. 3522.2 (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 lndian 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 Subsection D of this Section. 

(b) The Tribe shall forward the report referred to in Subsection F of this 

Section 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 Commission. 

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

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

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

procedures set our in Subsection E of this Section, 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 Subsection 17.9 of this Section. 

(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 lndian 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. 

17.1 1. Granting a Gaming License. 

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

Commission receives a report, the National lndian 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 National 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@) to the issuance of a license to a key employee or to a 

primary management official for whom the Tribe has provided an 

application and investigative report to the National 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 issue 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 suspension 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 

Gaming Commission. Notice shall be deemed complete on the tenth 

(loth) 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 (I 0) 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, the 

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 not@ the NIGC 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 full 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 copy of the Gaming 

Ordinance, Code of Gaming Regulations, or each of the rules of the Commission, 

shall not in any way diminish the Licensee's obligation to abide by the Ordinance 

and Code of Regulations. 

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 

otherwise 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 revision, 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 affect the text thereunder. 

20. SOVEREIGN IMMUNITY 

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

waiver of the sovereign immunity of the Tribe or any of its officers, 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 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 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 NlGC 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 undersigned duly elected officials of the Elk Valley Rancheria, do hereby 

certify that the foregoing Ordinance was adopted on September 28, 2005, at a duly 

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

by a vote of seven (7) for, zero (0) against, zero (0) abstaining and one (1) absent. 

Attest: 

I 

Uale A. Miller, Chairman Kim ~rokodilos, 'secretary