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October 15, 2021

Via Email

Michelle LaPena

Rosette, LLP

1415 L St. Ste. 450

Sacramento, CA 95814

Re: Hoopa Valley Tribe Gaming Ordinance Amendments, Resolution No. 21-60

Dear Ms. LaPena:

This letter responds to your request on behalf of the Hoopa Valley Tribe for the National Indian 

Gaming Commission (NIGC) to review and approve the Tribe’s amendments to its gaming 

ordinance. The amendments were adopted by the Hoopa Valley Tribal Council in Resolution 21-

60. The amendments execute a revised Gaming Ordinance intended to update certain provisions 

to more clearly align with NIGC regulations.

These amendments are approved as they are consistent with the requirements of the Indian 

Gaming Regulatory Act and NIGC regulations. If you have any questions or require anything 

further, please contact Staff Attorney Mary Modrich-Alvarado at (202) 632-7003 or 

mary.modrich-alvarado@nigc.gov.

Sincerely,

E. Sequoyah Simermeyer

Chairman
RESOLUTION OF THE HOOP AV ALLEY TRIBE 

HOOPA INDIAN RESERVATION 

HOOPA, CALIFORNIA 

RESOLUTION NO.: 20-12 

DATE APPROVED: February 14, 2020 

SUBJECT: FINAL APPROVAL OF THE PROPOSED AMENDMENTS FOR 

TITLE 31 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

The Hoopa Valley Tribe did on June 20, 1972, adopt a Constitution and 

Bylaws which was approved by the Commissioner of Indian Affairs on 

August 18, 1972 and ratified by Act of Congress on October 31, 1988; and 

Article IX of the Constitution and Bylaws empowers the Hoopa Valley 

Tribal Council to promulgate and enforce ordinances governing the 

conduct of members and nonmembers of the Hoopa Valley Indian Tribe to 

safeguard and promote the peace, safety, morals and general welfare of the 

Hoopa Valley Indians; and 

the Hoopa Valley Tribal Gaming Commission has requested that the 

Tribal Council approve the proposed amendments; and 

the Hoopa Valley Tribal Council believes that it is in the best interest of 

the Tribe accept the proposed amendments; and 

the Hoopa Valley Tribal Council routed the proposed amendments to Title 

31 through the LP A process and held a public hearing on January 22, 

2020;and 

NOW, THEREFORE BE IT RESOLVED that the Hoopa Valley Tribal Council hereby 

approves the proposed amendments to Title 31 because it is in the best interest of the Tribe and 

because the Hoopa Valley Tribal Gaming Commission recommends approving such proposed 

amendments. 

[CERTIFICATION ON NEXT PAGE] 
CERTIFICATION 

I, the undersigned, as Chairman of the Hoopa Valley Tribal Council, do hereby certify that the 

Hoopa Valley Tribal Council is composed of eight (8) members of which seven (7) were present, 

constituting a quorum at a Regular Meeting thereof; duly and regularly called, noticed, 

convened, and held this 14th day of February 2020; and that this Resolution was duly adopted by 

a vote of six (6) in favor with zero (0) opposed and zero (0) abstaining, and that said Resolution 

has not been rescinded or amended in any way. 

DATED THIS FOURTEENTH DAY OF FEBRUARY 2020. 

ATTEST: 

Amber 

t:2u& 

Turner, Executive 

~ Secretary 

Hoopa Valley Tribal Council 

~ ~:k2:r--

Byron Nelson, Jr., Chairman 

Hoopa Valley Tribal Council 
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GAMING ORDINANCE

of the 

Hoopa Valley Tribe

Title 31

ORDINANCE NO: 2-92

DATE APPROVED: March 5, 1998, as amended February 1, 2001, June 6, 2002, and February 

14, 2020

SUBJECT: Gaming Ordinance

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

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

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

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

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

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

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

Gaming Code or Title 31.

31.3 Gaming Authorized. 

31.3.1 Class II Gaming Authorized Class II Gaming is hereby authorized to be conducted 

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

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

31.3.2 Class III Gaming Authorized. Class III Gaming is hereby authorized on lands 

within the Tribe’s Reservation; provided, however, that Class III Gaming shall be conducted only 

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

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

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

Code.

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

Tribe, that:

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

is conducted honestly and that Gaming is free from criminal and 

corruptive elements.

(B) Public confidence and trust can only be maintained by strict regulation of 

all Persons, locations, practices, associations and activities related to the 
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operation of licensed Gaming Establishments and the manufacture or

distribution of Gaming Devices.

(C) All Management Entities or Controlling Shareholders, Primary 

Management Officials, Key Employees, Gaming Establishments and 

Gaming Device Suppliers must therefore be licensed and controlled to 

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

the Tribe. 

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

18 years to be present in any room in which Class III gaming activities are being conducted 

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

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

and responsibility for, the conduct of any gaming operation authorized by this Ordinance, except 

as expressly provided in this Ordinance. 

31.5.1 Individually-owned gaming. The Tribe shall receive, at a minimum, not less than 

sixty (60) percent of the Net Revenues from any individually owned gaming operations at any 

Gaming Operation. The Tribe shall ensure that: any Gaming Operation is licensed and regulated 

under an Ordinance or resolution approved by the Chairman, any income received from any 

Gaming Operation shall be used only for authorized purposes, and that annual fees are paid to the 

NIGC. The Commission shall ensure that (i) such Gaming as it authorizes and licenses pursuant 

to this Code is conducted on lands within the Tribe’s Reservation, (ii) such gaming is not 

otherwise specifically prohibited by Federal law, (iii) licensing standards are at least as restrictive 

as those established by state law governing similar Gaming Operations, and (iv) any person or 

entity that would not be eligible to receive a State license to conduct the same activity will be 

denied a license. The Commission may issue a license for individually owned gaming so long as:

(A) The individually owned gaming operation is licensed and regulated 

pursuant to this Ordinance;

(B) The income to the Tribe from an individually owned Gaming Operation is 

used only for the purposes listed in this Ordinance;

(C) Not less than sixty percent (60%) of the Net Revenues of the individually 

owned gaming operation is income to the Tribe;

(D) The owner of the individually owned gaming pays an annual assessment to 

NIGC pursuant to 25 C.F.R. § 514.1;

(E) The Commission applies licensing standards that are at least as restricted 

as those established by State law governing similar gaming; and
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(F) The Commission determined that the owner of the individually owned 

gaming would be eligible to receive a State license to conduct the same 

activity within the jurisdiction of the surrounding State.

31.6 Definitions

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

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

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

31.6.1 “Applicant” means any person, partnership, corporation, joint venture or other 

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

31.6.2 “Application” means a request for the issuance or renewal of a License described 

in or required by this Code.

31.6.3 “Tribe” shall mean and “Tribal” shall refer to the Hoopa Valley Tribe.

31.6.4 “Council” or “Tribal Council” means the Tribal Council of the Hoopa Valley 

Tribe.

31.6.5 “Chairman” means the Chairman of the National Indian Gaming Commission.

31.6.6 “Class II Gaming” means Class II gaming as defined at 25 U.S.C. § 2703(7)(A)-

(B) and 25 C.F.R §502.3.

31.6.7 “Class III Gaming” means Class III gaming as defined in 25 U.S.C. § 2703(8) and 

25 C.F.R. § 502.4.

31.6.8 “Code” or “Ordinance” means this Tribal Gaming Code of the Hoopa Valley 

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

31.6.9 “Compact” means the Tribal-State Compact between the Hoopa Valley Tribe and 

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

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

attachments thereto.

31.6.10 “Commission” means the Hoopa Valley Tribal Gaming Commission.

31.6.11 “Commissioner” means an individual member of the Hoopa Valley Tribal 

Gaming Commission.

31.6.12 “Fiscal Year” means the period beginning at 12:01 am on October 1 of each year 

and ending at midnight September 30 of the following year.
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31.6.13 “Gaming” means any Class II Gaming or Class III Gaming activity, either 

individually or collectively, whether authorized or unauthorized.

31.6.14 “Gaming Device” means a slot machines, including an electronic, 

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

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

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

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

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

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

information regarding the playing of games thereon or therewith.

31.6.15 “Gaming Device Supplier” means any Person who manufactures, sells, leases, 

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

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

31.6.16 “Gaming Establishment” means any premises where Gaming is operated or 

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

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

31.6.17 “Gaming Operation” means each economic entity that is licensed by the Tribe, 

operates the games, receives the revenues, issues the prizes, and pays the expenses. A Gaming 

Operation may be operated by the Tribe directly; by a management contractor; or, under certain 

conditions, by another person or entity.

31.6.18 “Gaming Resource Supplier” means any person or entity who, directly or 

indirectly, manufactures, distributes, supplies, vends, leases, or otherwise purveys Gaming 

Resources tot he Gaming Operation.

31.6.19 “Gross Revenue” means the total value due to any operator of any Gaming for 

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

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

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

Revenue shall be stated in U.S. currency and shall be calculated before any deductions or 

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

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

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

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

include:

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

or

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

Licensee is not reimbursed.

31.6.20 “Key Employee” means:

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

(1) operations manager

(2) bingo caller,

(3) counting room supervisor,

(4) chief of security,

(5) custodian of gaming supplies or cash,

(6) floor manager,

(7) pit boss,

(8) dealer,

(9) croupier,

(10) approver of credit, 

(11) custodian of gambling terminals or other devices operated by the

management of any Gaming Operation, including persons with access to 

cash and accounting records for such devices; or

(12) surveillance personnel

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

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

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

Gaming Operation; or

(d) any other employee of any Gaming Operation that the Commission designates by 

its Rules as a Key Employee.

31.6.21 “License” means any authorization granted by the Commission, pursuant to this 

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

certain activities. All Licenses shall be held at the will of the Commission and the issuance of a 

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

Licensee. 

31.6.22 “Licensee” means any Person who has been issued a valid and current License 

pursuant to the provisions of this Code.
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31.6.23 “Management Contract” means any contract, subcontract or or collateral 

agreement, between an Indian Tribe and a contractor or between a contractor and subcontractor if 

such contract or agreement provides for the management of all or part of a Gaming Operation.

31.6.24 “Management Entity” or “Controlling Shareholder” means:

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

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

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

Entity’s outstanding capital stock;

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

such trust;

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

limited, in such partnership;

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

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

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

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

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

corporation that has an interest in a Management Contract, all beneficiaries, 

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

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

combination with a spouse, parent, child or sibling.

31.6.25 “Management Fee” means any monies paid from Gaming revenue to any Person 

pursuant to an NIGC approved contract to operate a Gaming Establishment. Such term shall not 

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

31.6.26 “Net Revenue” means gross gaming revenues of an Indian gaming operation 

less:

(a) Amounts paid out as, or paid for prizes;

(b) Total gaming-related operating expenses, including all those expenses of the 

Gaming Operation commonly known as operating expenses and non-operating 

expenses consistent with professional accounting pronouncements, excluding 

Management Fees.

31.6.27 “NIGC” means the National Indian Gaming Commission.
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31.6.28 “Operating Expense” means any expense incurred in the operation of Gaming 

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

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

31.6.29 “Patron” means any Person who participates in Gaming, or who is physically 

present on premises wherein or whereon Gaming is conducted.

31.6.30 “Person” means any association, partnership, corporation, firm, trust or other 

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

31.6.31 “Primary Management Officials” means:

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

Gaming Operation;

(b) any Person who has authority;

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

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

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

responsibility for any Gaming Operation;

(d) any other Person designated by the Tribe as a Primary Management Official.

31.6.32 “Reservation” means any Indian lands, as defined by IGRA, over which the Tribe

exercises jurisdiction.

31.6.33 “Rules” means any Rules governing the conduct of games or the control of 

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

established pursuant to this Code.

31.6.34 “Secretary” means the Secretary of the United States Department of the Interior.

31.6.35 “State” means the State of California.

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

Code shall be used only for the following purposes: 

(a) to fund Tribal government operations and programs; 

(b) to provide for the general welfare of the Tribe and its members; 
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(c) to promote Tribal economic development;

(d) to make donations to charitable organizations; or 

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

31.7.1 Per Capita Payments. Net Revenues from any Class II and/or Class III gaming 

activities conducted or licensed by the Tribe may be used to make per capita payments to Tribal 

members if:

(a) the Tribe has prepared a plan to allocate the revenues to one or more of the five 

uses authorized by 31.7 of this Ordinance;

(b) the plan is approved by the Secretary of the Interior as adequate, particularly with 

respect to the uses described in 31.7(a) and 31.7(c) of this Ordinance;

(c) the interests of minors and other legally incompetent persons who are entitled to 

receive any of the per capita payments are protected and preserved, and the per

capita payments are disbursed to the parents or legal guardian of such minors or 

legal incompetents in such amounts as may be necessary for the health, education, 

or welfare of the minor or other legally incompetent person; and

(d) the per capita payments are subject to Federal taxation and the Tribe notifies its 

members of such tax liability when payments are made.

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

the Reservation or any other Tribal land shall be guilty of a crime and shall be prosecuted in 

Tribal Court or any other court of competent jurisdiction. It is hereby declared that authorized 

Class II Gaming or Class III Gaming conducted on the Reservation, or on any other Tribal land 

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

be subject to any criminal penalties. 

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

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

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

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

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

shall apply to both Class II Gaming and Class III Gaming including, but not limited to, all 

licensing and background investigation procedures.

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

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

majority vote of the Council as follows: A Commissioner shall serve for two (2) years and may 
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be removed from the office prior to the end of the Commissioner’s term with or without cause 

and with the 2/3 majority vote of the entire membership of the Council at a regular meeting 

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

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

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

only. Thereafter, all successive terms of appointment for a Commissioner shall run for two (2) 

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

the Council. The Commission shall select annually, from its membership, a Commission 

Chairman.

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

meet the requirements of Section 13.11.1 and must first obtain a License from the 

Council prior to assuming office.

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

Chairman or the Council has reason to believe that a Licensed Commissioner fails 

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

Commissioner has violated this Code, the Rules, the Compact, or the IGRA or any 

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

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

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

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

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

hearings shall be conducted by and before the Council.

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

Council.

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

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

conflict with the duties and responsibilities of a member of the 

Commission;

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

employment or responsibilities create an impression or appearance of 

impropriety in the fulfillment of the duties and responsibilities of a 

member of the Commission; or 

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

31.11.1 All members of the Hoopa Valley Tribal Gaming Commission shall be 

subject to the background investigation requirements discussed in section 31.28.
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31.11.2 The Hoopa Valley Tribal Gaming Commission shall select from among its 

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

officials of Tribal Gaming. The Hoopa Valley Tribal Gaming Commission shall select from 

among its members a Vice Chairperson.

31.11.2.1 Chairperson. The Chairperson shall preside over all meetings of the

Gaming Commission, perform all duties of the Chairperson, and 

exercise any authority delegated to the Chairperson. The Chairperson 

is responsible for communicating with and providing direction to 

gaming management officials. The Chairperson shall vote only when

necessary to break a tie.

31.11.2.2 Vice Chairperson. The Vice Chairperson shall assist the Chairperson 

when called upon to do so. In the absence of the Chairperson, the Vice 

Chairperson shall preside and when presiding shall have all the rights, 

privileges, duties, and responsibilities of the Chairperson.

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

Commissioners; one of which must be the Chairperson or Vice Chairperson. All decisions shall 

require approval from the majority of the Commission, unless particular power is delegated to the 

Chairman pursuant to this Code or the Rules.

31.11.4 The authority of the Hoopa Valley Tribal Gaming Commission shall 

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

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

not be limited to, the following responsibilities:

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

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

(B) promulgate Rules pursuant to this Code, for the operation of games, the 

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

all business before the Commission;

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

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

and to conduct investigations and hearings with respect thereto;

(E) limit, cancel, revoke, terminate, condition, modify, suspend, or restrict any 

License;

(F) make findings of suitability or unsuitability;
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(G) require the Licensee or Applicant to make restitution for the actual or 

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

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

Applicants and Licensees;

(H) hold administrative licensing hearings under this Code;

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

Tribal Court. 

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

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

applicable);

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

operations within the exterior boundaries of the Hoopa Valley Indian 

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

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

relations;

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

obtain a gaming license;

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

Tribal Gaming Commission; and

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

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

Tribal Gaming within the exterior boundaries of the Hoopa Valley Indian 

Reservation.

31.11.6 The non-employee, non-contractor with Tribe, or community member may be 

appointed to the Hoopa Valley Tribal Gaming Commission. Employees of the Tribe may serve 

during their employment. Nothing herein shall prevent the re-appointment of an eligible and 

qualified person to the Hoopa Valley Tribal Gaming Commission.

31.11.7 All members of the Hoopa Valley Tribal Gaming Commission serve at the will 

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

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

31.11.8 All positions on the Commission shall be compensated on a per meeting basis at 

a rate equal to that of Tribal Employment Rights Commission.
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31.11.9 Commission Meetings. 

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

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

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

Chairman as necessary to carry out the official duties of the 

Commission. Notice of each special meeting shall be given by the 

Commission Chairman by telephone or mail to each Commissioner. 

Notice shall be received at least 24 hours in advance of such meeting and 

shall include the date, time and place of the proposed meeting. 

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

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

however, that the Chairperson of the Commission shall use best efforts to 

assure that all Commissioners are notified of such meeting, with as much 

prior notice as possible under the circumstances. 

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

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

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

any information which the Commission deems confidential pursuant to the 

provisions of this Code.

31.11.10 Vacancies on the Commission shall be filled within thirty (30) days by a 

majority vote of the Council. Vacancies should be filled sooner, if possible, because the Gaming 

Commission ensures that the Tribe is fulfilling its obligations under the Compact.

31.11.11 No Financial Interest in Gaming. No Commissioner shall have any direct or 

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

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

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

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

Commissioners may not gamble in any Gaming Establishment.

31.11.12 Commission Offices. The Commission shall maintain an office in a location 

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

shall be the site at which Commission records and documents are maintained and stored on a 

permanent basis. No individual except a Commissioner, or other authorized employee or agent of 

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

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

person duly authorized by the Commission, a Commission, or an attorney for the Commission. 
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31.11.13 Commission Record-Keeping. The Commission shall maintain complete 

records regarding the following:

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

suspension and cancellation notices and correspondences of all Applicants, 

including Management Entities or Controlling Shareholders, Key 

Employees, Primary Management Officials, Gaming Establishments and 

Gaming Device Suppliers;

(b) Commission Licenses;

(c) Meeting minutes from all Commission meetings;

(d) Compact compliance;

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

affect the integrity of the Gaming Operation;

(f) Commission budget and expenditures;

(g) Council communications and correspondences; 

(h) Gaming Device list pursuant to Section 31.24 of this Code; and

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

appropriate.

31.11.14 Confidentiality. The Commission shall preserve as confidential all information 

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

advise the NIGC, or the authorized representatives of any federally recognized Indian tribe 

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

disciplinary action taken regarding any License or Licensee. 

31.11.15 Reports. The Commission shall make quarterly reports to the Council within 

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

information:

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

(b) information regarding License denials, suspensions or revocations;

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

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

provided, however, that these reports are not the subject of or relating to a 
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pending investigation of the Commission or hearing before the 

Commission;

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

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

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

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

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

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

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

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

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

31.11.16 Tribal Court. The Tribal Court shall have the authority to impose civil penalties 

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

presented by the Commission or the Licensee or Applicant affected, provided that any such claim 

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

the disclosure becomes known, whichever is later.

31.11.17 Budget. The Commission shall establish a budget for its operations, including, 

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

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

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

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

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

Commission shall employ and fix the salaries of, or contract for the services of, such 

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

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

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

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

31.11.18 Promulgation of Gaming Rules. The Commission may promulgate Rules 

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

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

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

be posted in a conspicuous location in every licensed Gaming Establishment.

31.12 Audit

(A) The Chief Fiscal Officer for the Hoopa Valley Tribe shall cause to be conducted 
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annually an independent audit of gaming operations and shall submit the resulting audit reports 

to the National Indian Gaming Commission.

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

concessions in excess of $25,000.00 annually, except contracts for professional legal and 

accounting services, shall be specifically included within the scope of the audit that is described 

in subsection (A), above.

31.13 Protection of the Environment and Public Health and Safety. Each gaming facility

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

environment and the public health and safety.

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

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

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

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

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

which the Commission may by Rule require. 

31.14.1 Gaming Establishments. The Commission shall issue a separate license to each 

place, facility, or location on Indian lands where Class II and/or Class III gaming is conducted

under this Ordinance. 

31.14.2 Gaming Resource Supplier. Any Gaming Resource Supplier who, directly or 

indirectly, provides, has provided, or is deemed likely to provide at least $25,000 in Gaming 

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

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

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

31.14.3 Financial Sources. Any person extending financing, directly or indirectly, to the 

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

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

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

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

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

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

outstanding indebtedness evidenced by bonds issued by the Tribe.

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

requirements at least as stringent as those set forth in the Compact.

31.16 Application for License.
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31.16.1 No License shall be issued under this Code except upon a sworn Application 

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

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

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

and is financially responsible;

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

be conducted;

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

Code, the Rules, the Compact and IGRA;

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

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

criminal offenses:

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

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

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

apply to any Applicant which is a Management Entity or 

Controlling Shareholder,

(2) any gaming-related offense,

(3) fraud or misrepresentation in any context, or

(4) a violation of any provision of this Code, the Rules, or any other 

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

prohibiting gaming; and

(E) the Applicant’s fulfillment of all applicable requirements of IGRA, all 

provisions of this Code, and the Compact.

31.16.2 No License shall be issued to any Applicant who is determined by the 

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

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

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

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

arrangements incidental thereto.

31.16.3 The issuance of Licenses shall also be subject to the provisions of Section 31.28 

of this Code regarding background investigations.
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31.16.4 The following notices shall be placed on the application form for a Key 

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

an Applicant completes such form:

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

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

Chapter 25 U.S.C. §§ 2701 et seq. The purpose of the requested 

information is to determine the eligibility of individuals to be granted a 

gaming license. The information will be used by the Tribal gaming 

regulatory authorities and by the National Indian Gaming Commission 

members and staff who have need for the information in the performance 

of their official duties. The information may be disclosed by the Tribe or 

the NIGC 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 NIGC in connection with the issuance, 

denial, 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 being unable to 

license you for a Primary Management Official or Key Employee position.

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

However, failure to supply a SSN may result in errors in processing your 

application.”

(B) “A false statement on any part of your application may be grounds for 

denying a license or the suspension or revocation of a license. Also, you 

may be punished by fine or imprisonment. (U.S. Code, title 18, Section 

1001).”

31.17 Required Application Forms.

31.17.1 Each individual applying for a License, whether as a Primary Management 

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

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

forms:

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

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

including Statement of Assets and Statement of Liabilities;

(C) Two Complete Fingerprint Cards;
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(D) Request to Release Information - Individual; and

(E) Release of All Claims - Individual.

31.17.2 Each individual in subsection (a) of this Section applying for a License renewal 

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

following forms:

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

(B) Request to Release Information - Individual; and

(C) Release of All claims -Individual. 

31.17.3 Each entity, including a Management Entity and Gaming Device Supplier, 

applying for a License must complete the following forms:

(A) Application for Gaming License by Entity;

(B) Request to Release Information - Entity; and

(C) Release of All Claims - Entity.

31.17.4 The Commission may request any additional forms or information from an 

Applicant as it deems necessary or appropriate.

31.17.5 Pursuant to the Compact, upon request of the State of California, the Commission 

shall forward the Applicant’s Personal History Record and all background information compiled 

by the Commission to the State.

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

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

enforcement agency with law enforcement authority designated to take fingerprints. Pursuant to 

25 C.F.R. § 522.2(h), the Commission shall forward an Applicant’s fingerprint card to the 

Federal Bureau of Investigation National Criminal Information Center. The Commission may 

submit an Applicant’s fingerprint card to any additional tribal, local or state criminal history 

check system or center as the Commission deems necessary or appropriate. Reports obtained 

from such fingerprint processing shall be incorporated into the Applicant’s personnel file.

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

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

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

right, in its sole discretion, to grant or deny a request for withdrawal.
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31.20 Continuing Duty to Provide Information. Applicants and Licensees shall have a 

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

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

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

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

inaccuracies.

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

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

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

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

Tribal, and state regulatory processes applicable to Class II Gaming and Class III 

Gaming, the costs for maintaining the Commission shall, to the maximum extent 

practical, be supported by fees paid by Applicants and Licensees. Application and 

License fees shall be required:

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

Commission, annually from each party, other than the Tribe, to a 

Management Contract;

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

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

(3) in addition to the License fees imposed pursuant to subsection (b)(1) and 

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

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

investigations and proceedings before the Commission, and which will in 

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

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

estimated by the Commission and imposed prior to a final Commission 

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

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

Applicant or Licensee. 

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

provision(s), by a Licensee shall be deemed contrary to the public health, safety, 

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

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

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

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

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

now, or as they may hereafter be amended or restated, and to cooperate fully with 
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the Commission. It is the responsibility of the Licensee to remain informed of the 

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

provisions, and conditions.

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

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

(a) Facility Licensees:

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

Establishment, both inside and outside the premises of the Gaming 

Establishment;

(2) the Gaming Establishment shall be subject to patrol by the Tribe’s security 

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

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

security and law enforcement officials;

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

officials at all times during business hours;

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

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

prevent the Licensee from granting preferences to Indians as permitted by 

law; and

(b) Persons, Management Entities and Gaming Device Suppliers licensed by the 

Commission shall comply with such conditions of the License as the Commission, 

in its reasonable discretion, may require.

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

Establishment, if the Gaming Establishment:

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

cooling and ventilation systems in place and operational;

(b) has been inspected and approved for safety by a building and fire inspector 

designated by the Commission;

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

within the structure;

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

provisions set forth in the Tribal-State Compact and the Code;
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(e) meets all requirements of applicable federal, tribal and state law; and

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

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

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

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

are in use) located at any Gaming Establishment.

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

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

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

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

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

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

31.26 Provisional Employment Pending Issuance of License and During Temporary 

License Period. As provided in Section 31.25, Primary Management Officials and Key 

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

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

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

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

Tribal agency or official as may be authorized by the Council, has made a preliminary finding of 

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

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

whose prior activities, criminal record or reputation, habits or associations pose a threat to the 

public interest or to the effective regulation and control of Gaming, or create or enhance the 

dangers of unsuitable, unfair, or illegal practices, methods, or activities in the operation of 

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

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

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

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

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

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

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

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

effective only on a provisional basis, as provided in Section 31.25; provided, 

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

subsection shall be qualified for reemployment upon the satisfactory completion 

of background investigations and NIGC reviews.
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31.27 Assignment or Transfer. No License issued under this Code may be assigned or 

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

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

assignment or transfer.

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

the supervision and direction of the Commission, is responsible for conducting the background 

investigations on all Persons specified in Section 31.14 of this Code. The background 

investigation shall include a check of criminal history records information maintained by the 

Federal Bureau of Investigations.

31.28.1 Standards for Background Investigations. All background investigations shall be 

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

prior activities, or reputation, habits and associations pose a threat to the public interest or to the 

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

practices and methods and activities in the conduct of such Gaming. Such investigations shall be 

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

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

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

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

careless breach of this requirement may result in penalties as provided by Section 31.11.16 of 

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

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

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

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

31.28.2 Information Required for Background Investigations.

31.28.2.1 Each Person subject to a background investigation under Section 

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

minimum, and in such form as designated in Section 31.16.4, or as may be prescribed by 

the Commission, 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 and/or written);

(b) currently and for the previous five (5) years, all business 

and employment positions held, ownership interests in 

those businesses, business and residential addresses, and 

driver’s license numbers;
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(c) the names and current addresses of at least three (3) 

personal references, including one (1) personal reference 

who was acquainted with the Applicant during each period 

of residence listed under subsection (d) of this Section;

(d) the address(es) for each residence during the last ten (10) 

years;

(e) current business and residential telephone numbers, and all 

cell phone numbers;

(f) a description of any existing and previous business 

relationships with any Native American Indian tribe, 

including but not limited to a description of the amount and 

type of ownership interest in those businesses;

(g) a description of any existing and previous business 

relationships with the gaming industry generally, including 

but not limited to a description of the amount and type of 

ownership interest in those businesses;

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

with which the Person has filed an application for a license 

or permit related to any gaming or gambling, whether or not 

such license or permit was granted;

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

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

involved, and the date and disposition, if any;

(j) for each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within ten 

(10) years of the date of the application, the name and 

address of the court involved and the date and disposition, 

if any;

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

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

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

otherwise listed pursuant to paragraph 31.28.2.1(i) or (j) of 

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

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

(l) The name and address of a licensing or regulatory agency 

with which the person has filed an application for an 
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occupational license or permit, whether or not such license 

or permit was granted;

(m) a photograph;

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

(o) fingerprints consistent with the provisions of Section 31.18.

31.28.2.2 Background investigations conducted by the Commission must be 

sufficient to allow the Commission to make an eligibility determination described in

Section 31.28.6 of this Ordinance. In conducting a background investigation, the 

Commission, and its investigators or its agents, shall make every reasonable effort to 

maintain the confidentiality of the identity of each Person interviewed in the course of the 

investigation. Willful or careless violations of this requirement are subject to penalties as 

provided by this Code.

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

Section 31.15, issue a License only after it has determined that the following minimum 

requirements have been met:

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

provided the Commission with all other information that the Commission 

has requested;

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

(c) the Applicant meets all of the licensing requirements and criteria contained 

in the Compact;

(d) the Commission has reviewed the Applicant’s criminal history record and 

deems the Applicant’s criminal history to be satisfactory to hold a License; 

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

(f) after the required reports have been submitted to NIGC.

31.28.3.1 The Commission shall not issue a license to any Applicant who is 

determined by the Commission to be a Person whose prior activities, criminal record, 

reputation, habits or associations pose a threat to the public interest or to the effective 

regulation and control of Gaming, or create or enhance the dangers of unsuitable, unfair, 

or illegal practices, methods, or activities in the operation of Gaming or the carrying on of 

the business and financial arrangements incidental thereto.
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31.28.3.2 When a Primary Management Official or Key Employee is 

employed by the Tribe, a complete application file, containing all of the information 

listed in Section 31.28.2.1, shall be maintained.

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

License only after it has determined that the minimum requirements contained in Section 31.28.3 

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

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

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

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

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

arrangements incidental thereto.

31.28.5 Cancellation or Suspension. Licensees and Applicants shall be legally 

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

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

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

this Code, or Rules, provided that a notice and hearing is provided to the licensee. In addition:

(a) unless otherwise stated in this Code or the Rules, a Licensee’s 

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

concerning the cancellation, limitation, revocation, suspension, 

termination or modification of a License;

(b) a License may not be summarily suspended, without a prior hearing; and

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

revocation, suspension, termination or modification of Licenses shall be 

final, unless appealed as provided in Section 31.24 of this Code. No 

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

the pendency of an appeal.

31.28.6 Eligibility Determination and Procedures for Forwarding Applications and 

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

Commission.

(a) Before an individual can be employed by the Gaming Operation the 

Commission shall make a finding concerning the eligibility of an 

Applicant to receive a license for a Primary Management Official or Key 

Employee position.

(b) The Commission 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 
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Official for receiving a gaming license and employment in a Gaming 

Operation. 

(c) If the Commission, in applying the standards adopted in this Ordinance, 

determines that licensing and 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/or activities in the conduct of Gaming, the Gaming Operation shall not 

license nor employ that Person.

(d) When a Key Employee or Primary Management Official commences work 

at a Gaming Operation prior to being issued a license, the Gaming 

Commission shall within a reasonable period of time forward to the NIGC 

a completed application for employment for such Key Employee or 

Primary Management Official, and shall conduct all necessary background 

investigations. The Commission shall notify NIGC of the issuance of a 

license within 30 days of its issuance. The Commission shall make the 

eligibility determination referred to in subsection (a) of this Section. 

Copies of the eligibility determination shall be included with the notice of 

results that must be submitted to the NIGC before the licensing of a 

Primary Management Official or Key Employee.

(e) The Tribe shall create and maintain an investigative report for each 

background investigation of a Primary Management Official or Key 

Employee. The investigative reports shall, at a minimum, include all of the 

following information:

(1) steps taken in conducting the background investigation;

(2) results obtained;

(3) conclusions reached by the Commission;

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

(f) Before issuing a license to a Primary Management Official or Key 

Employee, the Commission shall prepare a notice of results of the 

Applicant’s background investigation to submit to the NIGC. The notice 

of results must be submitted to the NIGC no later than sixty (60) days after 

the Applicant begins working for the Tribe. The notice of results shall 

include the following information:

(i) the applicant’s name, date of birth, and social security 

number;
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(ii) date on which the applicant began, or will begin, working

as a Key Employee or Primary Management Official; and

(iii) a summary of the information presented in the investigative

report, which shall include: 

(A) license(s) that have previously been denied;

(B) gaming licenses that have been revoked, even if 

subsequently reinstated;

(C) every known criminal charge brought against the 

Applicant within the last ten (10) years of the date 

of the application;

(D) every felony of which the applicant has been 

convicted or any ongoing prosecution; and

(E) a copy of the eligibility determination made in 

accordance with Section 31.28.6(a)-(d).

(g) No Gaming Operation shall employ an individual in a Key Employee or 

Primary Management Official position who does not have a License after

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

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

(1) notify the NIGC; and

(2) forward copies of its eligibility determination, notice of results of 

the applicant’s background investigation, and any relevant report 

regarding a background investigation of the Applicant to the NIGC 

for inclusion in the Indian Gaming Individuals Records System.

31.28.7 Records Retention. With respect to Key Employees and Primary Management 

Officials, applications for licensing, investigative reports, and eligibility determination shall be 

retained by the Gaming Commission for inspection by the Chairman or his designee for no less 

than three (3) years from the date of termination of employment of each Key Employee or 

Primary Management Official.

31.28.8 Granting a Gaming License. The Commission is responsible for granting and 

issuing gaming licenses to Primary Management Officials and Key Employees and shall notify 
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the NIGC of the issuance of a license to a Primary Management Official or Key Employee within 

thirty (30) days of issuance.

(a) All Primary Management Officials and Key Employees of the Gaming 

Operation must have a gaming license issued by the Tribe. The 

Commission may license a Primary Management Official or Key 

Employee Applicant after submitting a notice of results of the Applicant’s 

background investigation to the NIGC as required by Section 31.28.2.

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

Applications and reports, the NIGC notifies the Tribe that it has no 

objection to the issuance of a License pursuant to a License Application 

filed by a Key Employee or a Primary Management Official, the 

Commission may issue a License to such Applicant.

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

additional information from the Chairman concerning Key Employees or 

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

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

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

Chairman receives the additional information requested.

(d) If, within a thirty (30) day period after the NIGC receives from the 

Commission a notice of results of the Applicant’s background 

investigation, the NIGC provides the Tribe with a statement of itemized

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

Management Official for whom the Commission has submitted an 

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

reconsider the application within 30 days, taking into account the

statement of itemized objections from the NIGC. The Commission shall 

take the NIGC’s objections into account when reconsidering a license 

application.

(e) The Commission shall make the final decision whether to issue a License 

to such Applicant.

(f) If the Commission has issued a license to a Primary Management Official 

or Key Employee before receiving the NIGC’s statement of objections, 

notice and a hearing shall be provided to the Licensee, as required by 

Section 31.29.

31.28.9 License Revocation and Suspension Following Receipt of Information from 

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

NIGC indicating that a Management Entity or Controlling Shareholder, 

Key Employee, or Primary Management Official is not eligible for 

employment, the Commission shall immediately suspend the License, 

shall provide the Licensee with written notice of the suspension and 

potential revocation, and provide the Licensee with notice of a time and 

place for a hearing on the proposed License revocation.

(b) After a hearing, the Commission shall decide whether to revoke or 

reinstate a License suspended pursuant to subsection (a) of this Section.

The Commission shall notify the NIGC of its decision to revoke or 

reinstate a license within forty-five (45) days of receiving notification from 

the NIGC that a Primary Management Official or Key Employee is not 

eligible for employment. A decision of the Commission to revoke a

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

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

License has been revoked or suspended pursuant to this Section may not 

operate a Gaming Operation.

31.28.10 Nothing herein shall create a property interest in the issuance or retention of a 

license provided for this Code.

31.28.11 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.

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

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

31.29.1 Hearings.

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

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

an unconditional grant of a License.

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

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

imposition of any penalties which the Commission is authorized to impose 

pursuant to these Rules and the Code.

(c) Nothing in this Section shall limit the Commission’s authority to 

summarily suspend or revoke a License pursuant to Section 31.28.5(b) of 

this Code.
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31.29.2 Notice of Hearing.

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

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

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

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

place of the hearing.

(b) The Commission shall also provide written notice to the Applicant or 

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

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

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

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

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

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

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

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

purpose of obtaining further information from the 

Applicant;

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

denial of the License Application;

(3) whether the Commission will be examining any alleged 

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

conditions of any License issued by the Commission, any 

order by the Commission, or any other applicable laws, 

regulations or agreements; or

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

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

Commission determines the hearing is necessary.

31.29.3 Ex Parte Communications. 

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

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

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

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

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

authorized agent from communicating with the Commission’s legal 

counsel, its investigators or other authorized agents.

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

shall immediately report such communication to the Commission’s legal 

counsel.

(d) For purposes of this Section only, the action(s) being considered by the 

Commission shall be those matters identified in the written notice as 

provided in Section 31.29.2(b) of this Code, as well as any other matters 

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

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

against ex parte communications. All matters not identified in the written 

notice that are considered by the Commission during a hearing become 

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

are discussed during the hearing.

(e) The Commission shall have the power to impose any sanction pursuant to 

this Chapter upon its determination that an Applicant or Licensee has 

made an ex parte communication in violation of this Section.

31.29.4 Appearance through Spokesperson.

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

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

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

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

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

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

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

the spokesperson, unless the party requests otherwise in writing.

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

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

including a request for subpoena.

31.29.5 Discovery Procedures for Enforcement Hearings.

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

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

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

if known, position, and business address. If no business address is 
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available, a home address for the witness shall be provided. Any witness 

not identified in accordance with this Section may be prohibited from 

testifying at a hearing in the Commission’s discretion.

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

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

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

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

Commission shall exercise its discretion to limit the testimony of 

witnesses where that testimony is argumentative or repetitive.

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

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

for the Commission or the nature of the proceedings.

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

request or allow additional evidence at any time.

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

required for a full and true disclosure of the facts.

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

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

case first.

31.29.6 Evidence

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

bound by technical rules relating to evidence and witnesses. The 

Commission shall admit all testimony having reasonable probative 

value, but shall exclude immaterial, irrelevant or unduly repetitious 

testimony. The Commission shall give effect to the rules of 

privilege unless such privilege is waived. Basic principles of 

relevancy, materiality and probative force shall govern the proof of 

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

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

the record.

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

the Commission or which the Commission desires to avail itself, 

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

Every party shall be afforded adequate opportunity to rebut or offer 

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

recognized fact or any established technical or scientific fact; but 

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

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

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

validity of the official notice.

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

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

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

original.

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

(1) All Applications, intermediate rulings and exhibits and 

appendices thereto.

(2) Evidence received or considered, stipulations and 

admissions.

(3) A statement of matters officially noticed.

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

thereon.

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

Commission.

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

31.29.7 Determination(s) by the Commission.

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

majority vote of at least a quorum of the Commission.

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

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

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

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

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

penalties shall be made in writing.
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(c) A copy of the determination made pursuant to Section 31.29.7(b) of this 

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

certified mail, or may be served personally.

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

Commission pursuant to Section 31.29 of this Code, or any licensing decision of the Commission 

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

must be filed with the Tribal Court in writing on or before the tenth (10th) day following receipt 

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

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

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

minimum, such Rules shall require the consistent application of Generally Accepted Accounting 

Principles, and shall:

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

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

of indebtedness, and mandatory count procedures. Such Rules shall 

establish a controlled environment, accounting system, and control 

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

operating transactions are properly recorded, promote operational 

efficiency, and encourage adherence to prescribed policies;

(b) prescribe minimum reporting requirements to the Commission;

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

accordance with generally accepted accounting principles by internal 

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

California;

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

assure the consistency, comparability and effective disclosure of financial 

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

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

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

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

type of game in each Gaming Operation;

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

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

reports, etc.), to evidence all internal work performed as it relates to the 

requirements of this Section; and
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(g) provide that all financial statements and documentation referred to in this 

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

31.31.1 Oversight of Internal Fiscal Affairs. The Commission shall require independent 

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

and require the consistent application of Generally Accepted Accounting Principles, and shall:

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

and operations and licensed or certified to practice public accounting in 

the State of California;

(b) include an opinion, qualified or unqualified, or if appropriate, disclaim an 

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

standards of the accounting profession established by rules and regulations 

of the California State Council of Accountancy and the American Institute 

of Certified Public Accountants;

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

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

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

Operation to disclose any deviation from the requirements of this Code 

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

management of the audited Gaming Operations; and

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

appropriate.

31.31.2 Non-Compliance. Failure to comply with any of the requirements of this Chapter, 

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

31.32 Prohibition Against Certain Individuals. It shall be a violation of this Code for any 

Licensee to knowingly fail to exclude or eject from a Gaming Establishment any individual who:

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

(b) is under the age of eighteen years; 

(c) is displaying disorderly conduct;

(d) is a known felon;

(e) is known to have a reputation for cheating or manipulation of games; or
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(f) has been personally excluded, or is a member of any group or type of persons 

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

of the Commission.

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

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

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

31.28 and shall have the rights provided to an “applicant” therein. The Manager of any Gaming 

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

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

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

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

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

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

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

penalties, referral to appropriate law enforcement authorities for criminal proceedings, and 

License suspension or revocation:

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

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

determined but before such outcome is revealed to the players;

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

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

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

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

purpose of determining the course of play;

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

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

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

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

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

that the other person play or participate in such Gaming;

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

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

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

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

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

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

the game;

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

(i) participating in any Gaming not authorized by this Code;

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

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

contract for services or property related to Gaming;

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

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

contract for services or property related to Gaming;

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

inquiry by the Commission or its agents;

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

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

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

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

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

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

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

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

other information relating to a Gaming Operation;

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

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

or IGRA; and

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

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

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

contemplated.

31.33.1 Prohibition Against Electronic Aids. Except as specifically permitted by the 

Gaming Commission, no person shall possess, with the intent to use in connection with Gaming, 
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either individually, or in concert with others, any calculator, computer, or other electronic or 

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

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

in such Gaming.

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

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

promulgated by the NIGC, including, but not limited to, reporting requirements relating to 

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

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

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

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

Tribe derived from Gaming Operation revenues.

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

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

Compact, including, but not limited to, any licensing, approval, or monitoring requirements 

contained in the Compact.

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

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

Establishment must be licensed by the Commission. 

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

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

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

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

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

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

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

101-336, as amended, 42 U.S.C. § 12101 et seq.

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

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

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

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

Council.

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

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

provision(s) shall not be affected.
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31.41 Words and Terms. Tense, number and gender. In interpreting the provisions of this 

Code, save when otherwise plainly declared or clearly apparent from the context:

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

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

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

the singular.

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

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

31.43 Unclaimed Winnings.

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

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

Gaming session, shall be held in safekeeping for the benefit of such participant if 

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

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

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

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

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

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

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

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

individual and shall follow the procedure set forth in Section 31.44 if the 

Commission is able to identify such individual with reasonable certainty; 

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

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

winnings shall revert to the ownership of the Tribe.

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

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

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

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

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

Operation, and (d) the Commission.

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

pursuant to Section 31.46, the complainant has the right to explain his or her side of the dispute,

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

remains unresolved, the complainant shall be informed of the right to take the dispute to the next 
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higher level as set forth in Section 31.46. Resolution of any dispute by the personnel of a 

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

resolved or not, shall be reported in detail by the staff persons involved to their supervisor, or, in 

the case of the general manager of the Gaming Operation, to the Commission.

31.46 Gaming Commission Action on Patron Disputes. All disputes which are submitted to 

the Gaming Commission shall be decided by the Commission based on information provided by 

the complainant, including any witnesses for, or documents provided by or for, the complainant, 

and upon any information submitted on behalf of the Gaming Operation. The decision of the 

Commission shall be in writing, shall be issued within fourteen (14) days of submission of the 

matter to the Commission, and shall be provided to the general manager of the Gaming 

Operation and to the complainant.

31.47 Agent for Service of Process. The Council Chairman shall be designated agent for 

service of process of any official determination, order or notice of violation for the Hoopa Valley 

Tribe. The Council Chairman shall promptly report any such service to the Commission and the 

Office of Tribal Attorney, and shall promptly provide the Commission with a copy of any 

complaints or other documents served. 

31.48 Consent to Jurisdiction. Any person who applies for a License under this Code, applies 

for employment in any Gaming Establishment, enters into any contract or agreement related to 

Gaming, or participates in any Gaming on the Reservation, shall be deemed to consent to the 

civil jurisdiction of the Tribe, the Commission and the Tribal Court. Nothing in this Section shall 

limit the jurisdiction of the Tribe, the Commission or the Tribal Court under any circumstances 

not explicitly contemplated in this Code.

31.49 Sovereign Immunity. Except as provided herein, nothing in this Code shall be construed 

as a waiver of the sovereign immunity of the Hoopa Valley Tribe or any of its officers or entities.

31.50 Submission to Federal Agencies. Pursuant to the provisions of Article IX of the Tribal 

Constitution and the Indian Gaming Regulatory Act, this Ordinance shall be submitted to the 

Bureau of Indian Affairs and the National Indian Gaming Commission for review and approval.

[CERTIFICATION ON NEXT PAGE]
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CERTIFICATION

I, the undersigned, as Chairman of the Hoopa Valley Tribal Council, do hereby certify that the 

Hoopa Valley Tribal Council is composed of eight (8) members, of which _____ (_) were 

present, constituting a quorum at a regular meeting thereof; duly and regularly called, noticed and 

convened, and held this _____ day of _____, 2020; and that this Ordinance was duly adopted by 

a vote of ___ (_) for, ___ (_) against, and ____ (_) abstaining, and that said Ordinance has not 

been rescinded or amended in any way since adoption.

Dated this __ day of _____, 2020.

________________________________

Byron Nelson, Jr., Chairman

Hoopa Valley Tribal Council

Attest: _________________________

Amber Turner, Executive Secretary

Hoopa Valley Tribal Council