YUROK TRIBE

GAMING ORDINANCE

I. Purpose

The Yurok Tribal Council (hereinafter Tribe) , in accordance

with the Yurok Constitution and in the exercise of the Yurok

Tribes inherent sovereign power to safeguard and provide for the

health, safety and welfare of the members of the Yurok Tribe, does

hereby ordain and establish this Ordinance for the purpose of

authorizing and comprehensively and preemptively regulating the

terms and conditions under which Class II and Class III gaming may

be conducted within the boundaries of the Yurok Reservation.

II. Gaming Authorized

A. Class II gaming as defined in the Indian Gaming

Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703(7) (A)

(IGRA) and by regulations lawfully promulgated by the National

Indian Gaming Commission (NIGC) that now or hereafter may be in

effect is hereby authorized.

B. Class III gaming as defined in IGRA, 25 U.S.C. Section

2703(8) and by regulations promulgated by the NIGC that now or

hereafter may be in effect is hereby authorized, provided such

gaming is also authorized by and consistent with a Tribal-State

Compact that has been approved by the Secretary of the Interior

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

Secretary of the Interior or federal law.

III. Ownership of Gaming Facilities and/or Enterprises

The Yurok Tribe shall have the sole proprietary interest in

and responsibility for the conduct of any gaming operation

authorized by this ordinance.

IV. Use of Gaming Revenue

A. Except as specifically authorized pursuant to Subsection

B of this Section, net revenues from Class II and Class III

gaming on the Yurok Reservation shall be used only for the

following purposes:

1) to fund tribal government operations and programs;

2) provide for the general welfare of the Tribe and

its members;

3) promote tribal economic development; 1
4) donate to charitable organizations; or

5) help fund operations of local government agencies.

B. If the Tribe elects to make per capita payments to

tribal members, it shall authorize such payments only in

conformity with a plan submitted to and approved by the Secretary

of the Interior pursuant to 25 U.S.C. §2710(b) (3)

V. Audit

A. The Tribe shall cause to be conducted at least annually

an independent audit of all gaming operations and shall submit the

resulting audit reports to the National Indian Gaming Commission,

and to such other agencies as may be required by the terms and

conditions of any Class III compact or other document authorizing

Class III gaming on the Yurok Reservation.

B. All gaming-related contracts that result in the

purchase of supplies, services, or concessions in excess of

$25,000.00 annually, except contracts for professional legal and

accounting services, shall be specifically included within the

scope of the audit that is described in Subsection A above.

VI. Protection of the Environment and Public Health and Safety

Class II and Class III gaming facilities on the Yurok

Reservation shall be constructed, maintained and operated in a

manner that adequately protects the environment and the public

health and safety, with the Tribe having primary responsibility

for assessing the environmental impact of all construction and

gaming operations, and taking such measures as it determines may

be reasonably necessary to mitigate any adverse environmental

impacts as it may identify.

VII. Designation of an agent for service of the Process

The designated agent for service of process pursuant to 25

C.F.R. 522. 2(g) iS:

The Chairperson (Susan Masten)

Yurok Tribe

1034 Sixth Street

Eureka, California 95501

TEL: (707) 444-0433

FAX: (707) 440-0437

E-mail: smasten@yuroktribe.msn.us

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Copies to:

Paul Alexander

Alexander and Karshmer

1918 18th Street, NW-Suite 24

Washington, DC 20009

TEL: (202) 797-2548

FAX: (202) 797-2550

E-mail: AandKDC@aol . corn

VIII. Licenses for Key Employees and Primary Management Officials

The Tribe shall ensure that the policies and procedures set

out in this section are implemented with respect to key employees

and primary management officials employed at any class II and/or

Class III gaming enterprise operated on Indian lands within the

boundaries of the Yurok Reservation:

A. Definitions

For the purposes of this section, the following

definitions apply:

1. Key employee means

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

following functions:

(1) Bingo Caller;

(2) Counting Room Supervisor

(3) Chief of Security

(4) Custodian of gaming supplies or

cash;

(5) Floor Manager

(6) Pit Boss

(7) Dealer

(8) Croupier

(9) Approver of Credit; or

(10) Custodian of gambling devices

including persons with access to

cash and accounting records within

such devices;

(b) If not otherwise included, any other

person whose total cash compensation is

in excess of $50,000 per year; or

(c) If not otherwise included, the four most

highly compensated persons in the gaming

operation.

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2. Primary management official means

(a) The person having management

responsibility for a management

contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the

gaming operation; or

(c) The chief financial officer or other

person who has financial management

responsibility.

B. Application Forms

1. The following notice shall be placed on the

application form of a key employee or a

primary management official before that form

is filled out by an applicant:

In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation of the

information on this form is authorized by 25 U.s.c.

§2701 et seq The purpose of the requested information

is to determine the eligibility of individuals to be

employed in a gaming operation. The information will

be used by National Indian Gaming Commission members

and staff who have need for the information in the

performance of their official duties. The information

may be disclosed to appropriate Federal, Tribal, State,

local, or foreign law enforcement and regulatory

agencies when relevant to civil, criminal or regulatory

investigations or prosecutions, or when pursuant to a

requirement by a tribe or the National Indian Gaming

Commission in connection with the hiring or firing of

an employee, the issuance or revocation of a gaming

license, or investigations of activities while

associated with a tribe or a gaming operation. Failure

to consent to the disclosures indicated in this notice

will result in a tribes 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

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in errors in processing your application.

2. Existing key employees and primary management

officials shall be notified in writing that they

shall either:

a. Complete a new application form that contains

a Privacy Act notice; or

b. Sign a statement that contains the Privacy

Act notice and consent to the routine uses

described in that notice.

3. The following notice shall be placed on the

application form for a key employee or a primary

management official before that form is filled out

by an applicant:

A false statement on any part of your

application may be grounds for not hiring

you, or for firing you after you begin work.

Also, you may be punished by fine or

imprisonment. (18 U.S.C. §1001).

4. The Tribe shall notify in writing existing key

employees and primary management officials that

they shall either:

a. Complete a new application form that contains

a notice regarding false statements; or

b. Sign a statement that contains the notice

regarding false statements.

C. Background Investigations

1. The Tribe shall request from each primary

management official and from each key employee all

of the following information:

a. Full name, other names used (oral or

written), Social Security number(s), birth

date, place of birth, citizenship, gender,

all languages spoken or written;

b. Currently and for the previous five years:

all business and employment positions held,

ownership interests in those businesses,

business and residence addresses, and drivers

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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 residence

listed under paragraph (1) (b) of this

Subsection;

d. Current business and residence telephone

numbers;

e. A description of any existing and previous

business relationships with Indian tribes,

including ownership interests in those

businesses;

f. A description of any existing and previous

business relationships with the gaming

industry generally, including ownership

interests in those businesses;

g. The name and address of every licensing or

regulatory agency with which the person has

filed an application for a license or permit

related to gaming, whether or not such

license or permit was granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the

name and address of the court involved, and

the date and disposition if any;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor

traffic violations) within ten 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 years of the date of the application and

is not otherwise listed pursuant to paragraph

(1) (h) or (1) Ci) of this Subsection, the

criminal charge, the name and address of the

court involved and the date and disposition;

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k. The name and address of each licensing or

regulatory agency with which the person has

filed an application for an occupational

license or permit, whether or not such

license or permit was granted;

1. A current photograph;

m. Any other information the Tribe may deem

relevant under the circumstances; and

n. Fingerprints taken by the Bureau of Indian

Affairs Law Enforcement Officer, consistent

with procedures adopted by the Tribe in

accordance with 25 C.F.R. §522.2(h).

2. The Tribe shall conduct an investigation

sufficient to make a determination under

Subsection D. below. In conducting a background

investigation, the Tribe, its designated gaming

regulatory agency, or eithers agent(s) shall

promise to keep confidential the identity of each

person interviewed in the course of the

investigation.

D. Eligibility Determination

The Tribe shall review an applicants 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, the tribal gaming operation shall not employ that

person in a key employee or primary management official

position.

E. Procedures for Forwarding Applications and Reports for

Key Employees and Primary Management Officials to the

National Indian Gaming Commission

1. When a key employee or primary management official

begins work at a gaming operation authorized by

this Ordinance, the Tribe shall forward to the

National Indian Gaming Commission a completed

application for employment and conduct the

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background investigation and make the

determination referred to in Subsection D of this

Section.

2. The Tribe shall forward the report referred to in

Subsection F of this Section to the National

Indian Gaming Commission within 60 days after an

employee begins work or within 60 days of the

approval of this Ordinance by the Chairman of the

National Indian Gaming Commission.

3. The gaming operation shall not employ as a key

employee or primary management official a person

who does not have a license after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in Subsection E

of this Section, the Tribe shall prepare and

forward to the National Indian Gaming Commission

an investigative report on each background

investigation. An investigative report shall

include all of the following:

a. Steps taken in conducting the background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Tribe shall submit, with the report, a copy of

the eligibility determination made under

Subsection D of this Section.

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

Tribe:

a. Shall notify the National Indian Gaming

Commission; and

b. May forward copies of its eligibility

determination and investigative report

(if any) to the National Indian Gaming

Commission for inclusion in the Indian

Gaming Individuals Records System.

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4. With respect to key employees and primary

management officials, the Tribe shall retain

applications for employment and reports (if any)

of background investigations for inspection by the

Chairman of the National Indian Gaming Commission

or his or her designee for no less than three (3)

years from the date of termination or denial of

employment.

G. Granting a Gaming License

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

National Indian Gaming Commission receives a

report, the National Indian Gaming Commission

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 for whom the Tribe has

provided an application and investigative report

to the National Indian Gaming Commission, the

Tribe may issue a license to such applicant.

2. The Tribe shall respond to a request for

additional information from the Chairman of the

National Indian Gaming Commission concerning a key

employee or a primary management official who is

the subject of a report. Such a request shall

suspend the 30-day period under Subsection G.1. of

this Section until the Chairman of the National

Indian Gaming Commission receives the additional

information.

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

above, the National Indian Gaming Commission

provides the Tribe with a statement itemizing its

objection(s) to the issuance of a license to a key

employee or to a primary management official for

whom the Tribe has provided an application and

investigative report to the National Indian Gaming

Commission, the Tribe shall reconsider the

application, taking into account the objection(s)

itemized by the National Indian Gaming Commission.

The Tribe shall make the final decision whether to

issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the

Tribe receives from the National Indian Gaming

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Commission reliable information indicating that a

key employee or a primary management official is

not eligible for employment under Subsection D

above, the Tribe shall suspend such license and

shall notify in writing the licensee of the

suspension and the proposed revocation.

2. The Tribe shall notify the licensee of a time and

a place for a hearing on the proposed revocation

of a license.

3. After a revocation hearing, the Tribe shall decide

whether to revoke or to reinstate a gaming

license. The Tribe shall notify the National

Indian Gaming Commission of its decision.

IX. Licensing of Gaming Places, Facilities and Locations

The Tribe shall issue a separate license to each place,

facility, or location on the Yurok Reservation or Yurok Tribal

Indian lands where Class II and/or Class III gaming is to be

conducted under this ordinance.

X. Creation of Yurok Tribal Gaming Coxrniiission

A. There is hereby created the Yurok Tribal Gaming

Commission, which shall consist of three persons who would

themselves qualify for licensing under this Ordinance.

B. The members of the Yurok Tribal Gaming Commission shall

be appointed by the Yurok Tribal Council, and shall not be removed

during their terms of office except for misconduct, neglect of

duties or other acts that would render such persons unqualified

for licensure hereunder. An affirmative vote of at least four

members of the Yurok Tribal Council, taken in an open meeting

after a duly-noticed hearing at which the member charged with

misconduct shall have the right to hear and present evidence

concerning his/her removal, shall be required to remove a member

of the Commission. At the request of the member whose removal is

at issue, the hearing may be held in executive session. The Yurok

Tribal Council also may elect to receive in executive session any

evidence public disclosure of which might compromise any on-going

law-enforcement investigation, or which might jeopardize any

privilege or immunity possessed by the Yurok Tribal Council.

C. There shall be a Chairperson of the Yurok Tribal Gaming

Commission, who shall be appointed for a term of two years. The

remaining members of the Commission shall be appointed for terms

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of one year. The Tribal Council shall determine and authorize the

compensation to be paid to members of the Yurok Tribal Gaming

Commission based upon the Tribal Councils determination of the

time required to be expended upon Commission duties and the

qualifications of the appointed Commissioners.

D. The Yurok Tribal Gaming Commission shall be authorized

and hereby is directed to promulgate, subject to review and

approval by the Tribal Council, detailed and comprehensive

regulations for the implementation and enforcement of this

Ordinance. Said regulations shall describe and establish the

rules for each specific Class II and Class III gaming activity to

be authorized to be conducted on the Yurok Reservation, and no

form of such gaming may be conducted on the Yurok Reservation

without prior approval by the Yurok Tribal Gaming Commission.

Pending approval of the Yurok Tribal Gaming Commissions

regulations by the Yurok Tribal Council, any interim regulations

that the Yurok Tribal Council may adopt shall govern gaming on the

Yurok Reservation.

E. The Yurok Tribal Gaming Commission, independent of the

Tribal Council, shall have full authority to monitor compliance

with this Ordinance and its Regulations, and to investigate and

act to prevent any violation(s) thereof. The Yurok Tribal Gaming

Commission is delegated Tribal Council powers to: conduct or

oversee necessary personal background and criminal history

investigations of license and permit applicants; approve and deny

applications for gaming licenses and permits; issue gaming

licenses and permits; restrict, suspend, or revoke licenses and

permits or impose penalties or other sanctions established by

these regulations against the holder of a license or permit;

conduct hearings or other inquiries to consider an applicants

request for a waiver of permit standards; provide and/or review

physical security and surveillance services to licensed gaming

operations and premises; and perform other Tribal Council duties

as the Tribal Council may delegate. The Yurok Tribal Gaming

Commission is not delegated Tribal Council authority to contract

with the State of California or any other third party, without the

prior approval of the Tribal Council, for the performance of

background and criminal history investigations.

F. The Yurok Tribal Gaming Commission shall supervise and

establish written policies and procedures for its security and

surveillance force. When convened to discuss security and

surveillance policies and procedures, the Yurok Tribal Gaming

Commission membership shall also include the general manager of

the gaming operation to which the security and surveillance

services are provided. In its sole discretion, the Yurok Tribal

Gaming Commission may include the general manager of the gaming

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operation in its discussion of an ongoing investigation. However,

under no circumstances shall the general manager of a gaming

operation participate in or influence any decision of the board or

Tribal Council concerning a gaming license or permit.

G. Subject to the approval of the Tribal Council and the

appropriation of funds therefor, the Yurok Tribal Gaming

Commission shall be authorized to employ such staff as reasonably

may be required to fulfill its responsibilities under this

Ordinance. Compensation of Commission employees shall be limited

to that which is comparable to compensation paid to persons

performing similar duties in other governmental gaming regulatory

agencies.

H. Subject to the approval of the Tribal Council, the Yurok

Tribal Gaming Commission hereby is authorized to establish and

impose upon gaming facilities, permittees, applicants and

licensees such application, permit and license fees as may be

necessary to fully reimburse the Yurok Tribal Council for its

actual costs of operating the Yurok Tribal Gaming Commission,

enforcing this Ordinance and Yurok Tribal Gaming Commission

regulations, processing of licensing and permit applications, and

otherwise fulfilling its regulatory responsibilities under IG1~A.

All such fees shall be collected by the Yurok Tribal Gaming

Commission and hereby are continuously appropriated solely for the

purposes enumerated in this Subsection.

I. Failure to timely pay any gaming-related fee imposed by

the Tribal Council or the Yurok Tribal Gaming Commission, or to

comply with any Commission regulation or order, or any other

violation of this Ordinance or the terms of any Class III gaming

compact authorizing and regulating gaming on the Yurok

Reservation, shall be grounds for suspension or revocation of any

license or permit issued pursuant to this Ordinance, exclusion of

any non-member of the Yurok Tribe from the Yurok Reservation, and

imposition of such other sanctions as the Yurok Tribal Gaming

Commission may deem appropriate.

J. Any person or entity subject to any sanction or penalty

by the Yurok Tribal Gaming Commission shall have the right to

appeal such sanction or penalty to the Tribal Council in

accordance with such rules and regulations as may be promulgated

by the Tribal Council for that purpose. The decision of the

Tribal Council on any appeal shall be final and not otherwise

reviewable.

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XI. Procedure for Resolving Disputes between the gaming public

and the Tribe or Management

A. Any member of the public who has a complaint may make

that complaint, in writing on a form provided for

purpose, or otherwise, to the Chief Executive Officer

or General Manager of the Gaming Facility.

B. The Chief Executive Office or General Manager of the

Gaming Facility shall attempt to mediate or resolve

such complaints.

C. If the member of public is not satisfied with the

result of the mediation in subsection B above, within

14 days thereafter, he or she may file a complaint with

Gaming Commission which shall determine the validity of

such complaint, within 30 days of receipt and order

appropriate remedies.

D. Within 30 days of the Decision of the Gaming Commission

appeals may be taken to the Yurok Tribal Court, which

notwithstanding any other provision of Yurok law shall

have jurisdiction under this subsection, whether or not

the individual bringing the action is a member of the

Yurok Tribe. The Tribal Courts decision shall be

final.

XII. Repeal

To the extent that they are inconsistent with this ordinance,

all gaming ordinances previously enacted or amended by the Yurok

Tribal Council are hereby repealed.

CERTIFICATION

This is to certify that the foregoing Ordinance was adopted

on April 5, 2000 at a duly-called meeting of the Yurok Tribal

Council at which a quorum was present, by a vote of 4 in favor,

~ opposed and ~ abstaining.

Dated this 5th day of April, 2000

Susan Masten, Chairperson

ATTEST~~~

Cynl~ia Car son,

Recording Secretary

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