DATE APPROVED: March 5, 1998, as amended February 1, 2001, June 6, 2002, February 14, (2021)

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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, February 14,

2020, and September 30, 2021

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 I 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.

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

all Persons, locations, practices, associations and activities related to the

operation of licensed Gaming Establishments and the manufacture or

distribution of Gaming Devices.

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 IIT 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. State law standards shall apply with respect to purpose, entity, pot limits

and hours of operation. 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) Theincome to the Tribe from an individually owned Gaming Operation is

used only for the purposes listed in this Ordinance;

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;

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

as those established by State law governing similar gaming; and

(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 I! 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.

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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.

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:

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(a) Counterfeit money or tokens;

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

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) — ifnot otherwise included, any other person whose total cash compensation from

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

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)

(b)

(d)

(e)

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;

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

such trust;

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

limited, in such partnership;

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

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)

(b)

Amounts paid out as, or paid for prizes;

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;

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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(d) to make donations to charitable organizations; or

(ec) 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;

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

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

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

31.11.2.2

31.11.2

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.

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.

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)

(B)

(C)

(D)

(E)

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to perform background investigations, including but not limited to civil,

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

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;

grant, conditionally grant or deny any application for License;

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

and to conduct investigations and hearings with respect thereto;

limit, cancel, revoke, terminate, condition, modify, suspend, or restrict any

License;

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(F)

(G)

(H)

(I)

(J)

(K)

(L)

(M)

(N)

make findings of suitability or unsuitability;

require the Licensee or Applicant to make restitution for the actual or

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

conduct, or cause to be conducted, background investigations on all

Applicants and Licensees;

hold administrative licensing hearings under this Code;

bring or respond to actions pursuant to this Code or the Rules before the

Tribal Court.

to establish written policies to perform the above duties consistent with the

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

applicable);

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;

to establish written policies for determining the eligibility of applicants to

obtain a gaming license;

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

Tribal Gaming Commission; and

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

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a rate equal to that of Tribal Employment Rights Commission.

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.

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)

(b)

(d)

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;

Commission Licenses;

Meeting minutes from all Commission meetings;

Compact compliance;

Reports relating to customer disputes, complaints or other issues that

affect the integrity of the Gaming Operation;

Commission budget and expenditures;

Council communications and correspondences;

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

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)

(b)

(c)

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number and types of Licenses issued during the previous year;

information regarding License denials, suspensions or revocations;

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;

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

pending investigation of the Commission or hearing before the

Commission;

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

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

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

(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

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

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

to the National Indian Gaming Commission.

(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. A right to a hearing shall vest only upon receipt of

a license granted under an ordinance approved by the Chair of the National Indian Gaming

Commission,

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.

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31.16 Application for License.

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)

(B)

(C)

(D)

(E)

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

and is financially responsible;

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

be conducted;

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

Code, the Rules, the Compact and IGRA;

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

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

atrangements incidental thereto.

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

of this Code regarding background investigations.

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;

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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

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

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

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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.

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.

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

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

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

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

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

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

provisions, and conditions.

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

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

(a)

(b)

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

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)

(b)

(c)

Gaming Ordinance

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

cooling and ventilation systems in place and operational;

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

designated by the Commission;

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

within the structure;

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

provisions set forth in the Tribal-State Compact and the Code;

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

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

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

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

Commission 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

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,

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

subsection shall be qualified for reemployment upon the satisfactory completion

of background investigations and NIGC reviews.

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

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

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

assignment or transfer.

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

the supervision and direction of the Commission, 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

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(c)

(d)

(f)

(g)

(h)

Gj)

(k)

those businesses, business and residential addresses, and

driver’s license numbers;

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;

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

years;

current business and residential telephone numbers, and all

cell phone numbers;

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;

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;

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;

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;

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;

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;

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

with which the person has filed an application for an

occupational license or permit, whether or not such license

or permit was granted;

(m) aphotograph;

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

(0) 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;

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

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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.

31.28.3.2 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

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.

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(b)

(c)

(d)

(e)

(f)

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

Official for receiving a gaming license and employment in a Gaming

Operation.

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.

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

the notice of results 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.

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

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

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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;

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

as a Key Employee or Primary Management Official; and

(iii) asummary 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;

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) _acopy 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) =‘ Ifa 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

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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

the NIGC of the issuance of a license to a Primary Management Official or Key Employee

within thirty (30) days of issuance.

(a)

(b)

(c)

(d)

(e)

(f)

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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.

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.

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.

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.

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

to such Applicant.

If the Commission has issued a license to a Primary Management Official

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

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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.

(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

Gaming Ordinance Page 29

Amended February 1, 2001

Amended June 06, 2002

Amended February 14, 2020

Amended September 30, 2021

imposition of any penalties which the Commission is authorized to impose

pursuant to these Rules and the Code.

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

this Code.

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.

Gaming Ordinance Page 30

Amended February 1, 2001

Amended June 06, 2002

Amended February 14, 2020

Amended September 30, 2021

[OCR skipped on page(s) 31-41]

[Read from a scan; the first 30 pages.]

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.