Ordinance 18-01

Exhibit A

Corrected

 Cowlitz Gaming Ordinance

As Amended through February 3, 2018
Gaming Ordinance as amended through February 3, 2018

Page 1 Corrected

CowlitzIndian Tribe

As Amended through February 3, 2018

Section 1 Introduction

Section 2 Definition

Section 3 Tribal Gaming Authorized

Section 4 Ownership of Gaming Operation

Section 5 Use of Gaming Revenue

Section 6 [REPEALED]

Section 7 [REPEALED]

Section 8 [REPEALED]

Section 9 [REPEALED]

Section 10 [REPEALED]

Section 11 Tribal Gaming Commission

Section 12 Purpose of Gaming Commission

Section 13 Independence of Commission

Section 14 Duties of the Commission

Section 15 Confidentiality

Section 16 Eligibility

Section 17 Removal of Commissioners

Section 18 Quorum

Section 19 Compensation

Section 20 Records

Section 21 Audit

Section 22 Environment and Public Health and Safety

Section 23 Ethics

Section 24 Minimum Internal Control Standards

Section 25 Agent for Service of Process

Section 26 Compliance with Federal Law

Section 27 Patron Dispute Resolution

Section 28 License Locations

Section 29 Licenses for Key Employees and Primary Management Officials

Section 30 License Applications Forms - Notices
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Section 31 Licensee Fees

Section 32 Fingerprints

Section 33 Background Investigations

Section 34 Procedures for Conducting a Background Check on Applicants

Section 35 Eligibility Determination

Section 36 Procedures for Forwarding Applications and Reports to

the National Indian Gaming Commission

Section 37 Report to the National Indian Gaming Commission

Section 38 Granting a Gaming License

Section 39 License Suspension

Section 40 Licenses for Vendors

Section 41 Submission of a Vendor License Application

Section 42 Contents of the Vendor License Application

Section 43 Vendor Background Investigation

Section 44 Vendor License Fee

Section 45 Vendor Background Investigation Report

Section 46 Repeal

Section 1. Introduction. The Tribal Council empowered by the Tribe’s Constitution to enact 

ordinances, hereby enacts this ordinance in order to govern Class II and Class III gaming 

operations on the Tribe’s Indian Lands.

Section 2. Definitions. Unless a different meaning is clearly indicated in this Ordinance, the 

terms used herein shall have the same meaning as defined in the Indian Gaming Regulatory Act 

of 1988 (IGRA), 25 U.S.C. § 2701 et seq., and its regulations, 25 C.F.R. § 500 et seq. 

Specifically:

“Board of Directors” means the Tribal Gaming Board of Directors, who shall serve as 

primary management officials in overseeing the general manager or management 

contractor and the day-to-day non-regulatory aspects of the gaming operation.

“Commission” means the Tribal Gaming Commission established to perform regulatory 

oversight and to monitor compliance with Tribal, Federal, and applicable State regulations.

“Class I gaming” means social games solely for prizes of minimal value or traditional 

forms of Indian gaming engaged in by individuals as a part of, or in connection with, tribal 

ceremonies or celebrations.

“Class II gaming” means:

The game of chance commonly known as bingo (whether or not electronic, 

computer, or other technologic aids are used in connection therewith):

(a) Which is played for prizes, including monetary prizes, with cards bearing 

numbers of other designations,
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(b) In which the holder of the card covers such numbers or designations when 

objects, similarly numbered or designated, are drawn or electronically 

determined, and

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

designated arrangement of numbers or designations on such cards, 

including (if played in the same location) pull-tabs, lotto, punch boards, tip 

jars, instant bingo, and other games similar to bingo, and

Card games that:

(a) Are explicitly authorized by the laws of the State, or

(b) Are not explicitly prohibited by the laws of the State and are played at any 

location in the State, but only if such card games are played in conformity 

with those laws and regulations (if any) of the State regarding hours or 

periods of operation of such card games or limitations on wagers or pot sizes 

in such card games.

The term “class II gaming” does not include:

(a) Any banking card games, including baccarat, chemin de fer, or blackjack 

(21), or

(b) Electronic or electromechanical facsimiles of any game of chance or slot 

machines of any kind.

“Class III gaming” means all forms of gaming that are not class I gaming or class II gaming.

“Commissioner” means a Tribal Gaming Commissioner.

“Compact” means a Tribal-State Compact concerning class III gaming under 25 USC Sec. 

2710(d).

“Directly related to means” an individual residing in the same household who is related as 

a spouse, child, parent, grandparent, grandchild or sibling.

“Director” means a Member of the Tribal Gaming Board of Directors.

“Elders Tribunal” means the tribunal established in Title 19 of the Cowlitz Tribal Code.

“Key Employee” means:

A person who performs one or more of the following functions:

(a) Bingo caller;

(b) Counting room supervisor
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(c) Chief of security;

(d) Custodian of gaming supplies or cash;

(e) Floor manager;

(f) Pit boss;

(g) Dealer;

(h) Croupier;

(i) Approver of credit; or

(j) Custodian of gambling devices including persons with access to cash and 

accounting records within such devices; or

(k) Any other person designated by the Tribe as a Key Employee. ·

If not otherwise included, any other person whose total cash compensation is in 

excess of $50,000 per year; or

If not otherwise included, the four most highly compensated persons in the gaming 

operation.

“Net Revenues” means gross gaming revenues of the gaming operation less

Amounts paid out as, or paid for, prizes; and

Total gaming-related operating expenses, excluding management fees.

“Primary Management Official” means

The person (s) having management responsibility for a management contract;

Any person who has authority:

(a) To hire and fire employees; or

(b) To set up working policy for the gaming operation; or

(c) The chief financial officer or other person who has financial management 

responsibility: or

(d) Any other person designated by the Tribe as a Primary Management 

Official.

“Tribe” means the Cowlitz Indian Tribe.
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“Tribe’s Indian Lands” means:

All lands within the limits of the Cowlitz Indian reservation; or

Any lands title to which is either held in trust by the United States for the benefit 

of the Tribe or individual member of the Tribe, or held by the Tribe or individual 

member of the Tribe subject to restriction by the United States against alienation 

and over which the Tribe exercises governmental power, including but not limited 

to, certain land for which the Tribe has submitted a fee-to-trust application and 

which the Tribe intends to use for the development of a gaming facility as allowable 

under 25 U.S.C. 2719(b)(1)(B), provided that this certain land will not be deemed 

the ‘Tribe’s Indian Lands’ until such time as the United States has acquired trust 

title to it and the Tribe exercises governmental power over it. Said land is 

specifically described as follows:

PARCEL I

BEGINNING at the intersection of the West line of Primary State Highway 

No. 1 and the East line of the Southeast quarter of Section 5, Township 4 

North, Range 1 East of the Willamette Meridian, Clark County, 

Washington; thence Northerly along said West line of Primary State 

Highway No. 1 a distance of 1307.5 feet to the Point of Beginning of this 

description; thence West 108.5 feet to an angle point thereon; thence 

Northerly along the fence 880.5 feet to the center line of a creek; thence 

Northerly along said creek 443 feet to the West line of Primary State 

Highway No. 1; thence Southerly along said West line of Highway to the 

Point of Beginning.

EXCEPT that portion conveyed to the State of Washington by Auditor’s File 

Nos. G 450664 and G 147358.

PARCEL II

That portion of the following described land lying West of the Westerly line 

of Interstate 5, formerly known as Pacific Highway, in Section 9, Township 

4 North, Range 1 East of the Willamette Meridian, Clark County, 

Washington.

The North half of the Southwest quarter of the Northwest quarter and the 

South half of the Northwest quarter of the Northwest quarter of Section 9, 

Township 4 North, Range 1 East of the Willamette Meridian, Clark County, 

Washington.

EXCEPT any portion lying within NW 31st Avenue.

ALSO EXCEPT that portion thereof acquired by the State of Washington by 

deed recorded under Auditor’s File Nos. G 140380 and D 95767.
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PARCEL III

BEGINNING at the Northwest corner of the Northeast quarter of the 

Northeast quarter of Section 8, Township 4 North, Range 1 East of the 

Willamette Meridian, Clark County, Washington; and running thence East 

390 feet to the Point of Beginning; thence East 206 feet; thence South 206 

feet; thence West 206 feet; and thence North to the Point of Beginning.

EXCEPT that portion lying within the right of way of NW 3l9th Street.

PARCEL IV

All that part of the Southeast quarter of Section 5, Township 4 North, Range 

l East of the Willamette Meridian, Clark County, Washington, lying West 

of Primary State Road No. 1 (Pacific Highway).

EXCEPT the Henry Ungemach tract recorded in Volume 76 of Deeds, page 

33, records of Clark County, Washington, described as follows:

BEGINNING at a point 19.91 chains North of the Southwest corner of said 

Southeast quarter; thence East 13.48 chains to creek; thence Northerly along 

creek to North line of said Southeast quarter at a point 6.66 chains West of 

the Northeast corner thereof; thence West to Northwest corner of said 

Southeast quarter; thence South 19.91 chains to the Point of Beginning.

ALSO EXCEPT the John F. Anderson tract as conveyed by deed recorded 

under Auditor’s File No. F 38759, records of Clark County, Washington, 

described as follows:

BEGINNING at the Northwest corner of the Southwest quarter of the 

Southeast quarter of Section 5, Township 4 North, Range 1 East of the 

Willamette Meridian, Clark County, Washington; and running thence East 

514 feet; thence Southerly 340 feet; thence Northwesterly 487 feet to a point 

196 feet due South of the Point of Beginning; thence North to the Point of 

Beginning.

ALSO EXCEPT that tract described as follows:

BEGINNING at a point 26 rods and 9 feet West of the Southeast corner of 

Section 5, Township 4 North, Range 1 East of the Willamette Meridian, 

Clark County, Washington; and running thence West 20 rods to County

Road; thence North 182 feet; thence East 20 rods; thence South 182 feet to 

the Point of Beginning.

ALSO EXCEPT a certain reserved tract described as follows:

BEGINNING at the intersection of the West line of Primary State Highway 

No. 1 (Pacific Highway) and the East line of the Southeast quarter of said 
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Section 5, Township 4 North, Range 1 East of the Willamette Meridian, 

Clark County, Washington; thence Northerly along said West line of 

Primary State Highway No. 1, a distance of 1307.5 feet to the True Point of 

Beginning of this description; thence West 108.5 feet to an angle point 

therein; thence Northerly along fence 880.5 feet to center line of creek; 

thence Northeasterly along said creek 443 feet, more or less, to the West 

line of Primary State Highway No. 1, thence Southerly along said West line 

of highway to the True Point of Beginning.

ALSO EXCEPT that portion thereof lying within Primary State Highway No. 

1 (SR-5) as conveyed to the

State of Washington by deed recorded under Auditor’s File Nos. G 458085, 

G 143553 and D 94522. ALSO EXCEPT any portion lying within NW 

319th Street and Primary State Highway No. 1.

PARCEL V

A portion of the Northwest quarter of the Northeast quarter of Section 8, 

Township 4 North, Range 1 East of the Willamette Meridian, Clark County, 

Washington, described as follows:

BEGINNING at the Northwest corner of the Northeast quarter of Section 8; 

thence South along the West line of the Northeast quarter of said Section 8, 

1320 feet, more or less, to the Southwest corner of the Northwest quarter of 

said Northeast quarter; thence East along the South line to a point 830 feet 

West of the Southeast corner of the Northwest quarter of said Northeast 

quarter; thence North parallel with the East line of said Northeast quarter to 

a point 600 feet South of the North line of said Northeast quarter; thence 

East parallel with the North line of said Northeast quarter 370 feet; thence 

North parallel with the East line of said Northeast quarter 600 feet to the 

North line of said Section 8; thence West along the North line of said 

Section 8 to the Point of Beginning.

EXCEPT that portion lying within NW 319th Street.

ALSO EXCEPT the following described tract:

A portion of the Northwest quarter of the Northeast quarter of Section 8, 

Township 4 North, Range 1 East of the Willamette Meridian, Clark County, 

Washington, described as follows:

BEGINNING at the Northwest corner of the Northeast quarter of said Section 

8; thence South along the West line of the Northeast quarter of said Section 

8, 1320 feet, more or less, to the: southwest corner of the Northwest quarter 

of said Northeast quarter; thence East along the South line to a point 830 

feet West of the Southeast corner of the Northwest quarter of said Northeast 

quarter; thence North, parallel with the East line of said Northeast quarter 
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to a point 600 feet South of the North line of said Northeast quarter; thence 

East, parallel with the North line of said Northeast quarter, 370 feet, said 

point being the True Point of Beginning of the tract herein described; thence 

West parallel with the North line of said Northeast quarter, a distance of 457 

feet; thence North parallel with the West line of said Northeast quarter, a 

distance of 240 feet; thence East parallel with the North line of said 

Northeast quarter, a distance of 157.0 feet; thence North, parallel with the 

West line of said Northeast quarter, a distance of 360 feet, more or less, to 

the North line of said Northeast quarter; thence East, along said North line, 

a distance of 300 feet; thence South, parallel with the West line of said 

Northeast quarter, a distance of 600 feet, more or less, to the True Point of 

Beginning.

PARCEL VI

A portion of the Northwest quarter of the Northeast quarter of Section 8, 

Township 4 North, Range 1 East of the Willamette Meridian, Clark County, 

Washington, described as follows:

BEGINNING at the Northwest corner of the Northeast quarter of said Section 

8; thence South along the West line of the Northeast quarter of said Section 

8, 1320 feet, more or less, to the Southwest corner of the Northwest quarter 

of said Northeast quarter; thence East along the South line to a point 830 

feet West of the Southeast corner of the Northwest quarter of said Northeast 

quarter; thence North, parallel with the East line of said Northeast quarter 

to a point 600 feet South of the North line of said Northeast quarter; thence 

East, parallel with the North line of said Northeast quarter 370 feet to a 

point, said point being the True Point of Beginning of the tract herein 

described; thence West, parallel with the North line of said Northeast 

quarter, a distance of 457 feet; thence North, parallel with the West line of 

said Northeast quarter, a distance of 240 feet; thence East, parallel with the 

North line of said Northeast quarter, a distance of 157.0 feet; thence North, 

parallel with the West line of said Northeast quarter, a distance of 360 feet, 

more or less, to the North line of said Northeast quarter; thence East, along 

said North line, a distance of 300 feet; thence South, parallel with the West 

line of said Northeast quarter, a distance of 600 feet, more or less, to the 

True Point of Beginning.

PARCEL VII

The East 830 feet of the Northwest quarter of the Northeast quarter of 

Section 8, Township 4 North, Range 1 East of the Willamette Meridian, 

Clark County, Washington.

EXCEPT the West 370 feet to the North 600 feet thereof.
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ALSO EXCEPT that portion of the remainder thereof, lying within NW 319th 

Street.

PARCEL VIII

The Northeast quarter of the Northeast quarter of Section 8, Township 4 

North, Range 1 East of the Willamette Meridian, Clark County, 

Washington.

EXCEPT that portion of said premises, described as follows:

BEGINNING at a point 612 feet East of the Northwest corner of said 

Northeast quarter of the Northeast quarter of said Section 8; thence South 

191.0 feet; thence East 228.0 feet; thence North 191.0 feet; thence West 

228.0 feet to the Point of Beginning.

EXCEPT that portion of said premises, described as follows:

BEGINNING at a point 390.0 feet East of the Northwest corner of said 

Northeast quarter of the Northeast quarter of said Section 8; thence East 

206.00 feet; thence South 206.0 feet; thence West 206.0 feet; thence North 

206.0 feet to the Point of Beginning.

EXCEPT that portion of said premises lying within Pekin Ferry County Road, 

and

EXCEPT that portion of said premises lying within County Road No. 25;

EXCEPT that portion conveyed to the State of Washington by deed recorded 

under Auditor’s File Nos. G 143551 and G 499101.

EXCEPT that portion conveyed to the State of Washington for Interstate 5.

EXCEPT that portion conveyed to James Fisher and wife, by instrument 

recorded under Auditor’s File No. G 669690, described as follows:

BEGINNING at the Southeast corner of the Northeast quarter of the Northeast 

quarter of Section 8, Township 4 North, Range 1 East of the Willamette 

Meridian, Clark County, Washington; thence North 200 feet; thence West 

435 feet; thence South 200 feet to a point on the South line of the Northeast 

quarter of the Northeast quarter of said Section; thence East 435 feet to the 

Point of Beginning.

PARCEL IX

That portion of the Northeast quarter of the Northeast quarter of Section 8, 

Township 4 North, Range 1 East of the Willamette Meridian, Clark County, 

Washington, described as follows:
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BEGINNING at a point 612 feet East of the Northwest corner of the Northeast 

quarter of the Northeast quarter of Section 8, Township 4 North, Range 1 

East of the Willamette Meridian, Clark County, Washington; thence South 

191 feet; thence East 228 feet; thence North 191 feet; thence West 228 feet 

to the Point of Beginning.

EXCEPT County Roads.

ALSO EXCEPT that portion thereof conveyed to the State of Washington by 

deed recorded under Auditor’s File Nos. G 500929 and G 143551.

Section 3. Tribal Gaming Authorized. Class II and Class III gaming is hereby authorized on 

the Tribe’s Indian Lands.

Section 4. Ownership of Gaming Operation. The Tribe shall have the sole proprietary interest 

in and responsibility for the conduct of any gaming operation authorized by this ordinance.

Section 5. Use of Gaming Revenue.

Net revenues from tribal gaming shall be used only for the following purposes:

To fund tribal government operations and programs;

To provide for the general welfare of the Tribe and its members;

To promote tribal economic development;

To donate to charitable organizations; or

To help fund operations of local government agencies.

If the Tribe elects to make per capita payments to tribal members, it shall authorize such 

payments only in accordance with a revenue allocation plan submitted to and approved by 

the Secretary of the Interior under 25 U.S.C. § 2710(b)(3).

The Tribe shall ensure that the interests of minors and other legally incompetent persons 

who are entitled to receive any per capita payments under a Tribal per capita payment plan 

are protected and preserved, and that 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, under a plan approved by the Tribal Council and the Secretary of the Interior.

Section 6. [REPEALED] 

Section 7. [REPEALED] 

Section 8. [REPEALED] 
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Section 9. [REPEALED] 

Section 10. [REPEALED] 

Section 11. Tribal Gaming Commission. There is hereby established a Tribal Gaming 

Commission whose duty it is to regulate tribal gaming operations. The Tribal Gaming 

Commission shall consist of five (5) Commissioners appointed by the Tribal Council. The 

Commissioners shall select a Chairperson, Vice-Chairperson, and other officers as they 

determine.

Terms of office for Commissioners shall be as follows: one member shall be appointed for an 

initial term ending five years following commencement of gaming operations by the Tribe; Two 

members shall be appointed for an initial term ending six years following commencement of 

gaming operations by the Tribe; Two members shall be appointed for an initial term ending seven 

years following commencement of gaming operations by the Tribe. Subsequent members shall be 

appointed for three year terms. Members may be reappointed for one or more successive terms.

The minimum requirements for appointment as a member of the Tribal Gaming Commission shall 

include a basic knowledge of gaming management, business, finance, or law. Commissioners 

must satisfy the suitability standards set forth for key employees and primary management officials 

set forth in this Ordinance. Such background investigations shall be performed under the direction 

of the Tribal Council or designated official.

Section 12. Purpose of Gaming Commission. The purpose of the Tribal Gaming Commission 

is regulatory, not managerial. The Commission will conduct oversight to ensure compliance 

with Tribal, Federal, and, if applicable, State laws and regulations. The Commission will serve 

as the licensing authority for individuals employed in the gaming operation and will administer 

background investigations as part of the licensing process. The Commission will also have a role 

in monitoring compliance with the internal control standards for the gaming operation and in 

tracking revenues. In order to carry out its regulatory duties, the Commission shall have 

unrestricted access to all areas of the gaming operation and to all records. The Commission shall 

have authority to take enforcement actions, including suspension or revocation of an individual 

gaming license when appropriate.

Section 13. Independence of Commission. The Tribe recognizes the importance of an 

independent Tribal Gaming Commission in maintaining a well-regulated gaming operation. The 

Commission shall be and act independently and autonomously from the Tribal Council in all 

matters within its purview. In order to assure a regular and stable funding source for the Tribal 

Gaming Commission, not less than thirty-five one hundredths of one percent (0.35%) of Gross 

Gaming Revenue from any gaming operation shall be dedicated to the budget of the 

Commission. No prior or subsequent review by the Tribal Council of any actions of the 

Commission shall be required or permitted except as otherwise explicitly provided in this 

Ordinance. To avoid potential conflicts of interest between the operation and regulation of the 

gaming facility, the Tribe hereby finds that, at minimum:

No member of the Tribal Gaming Board of Directors may serve on the Tribal Gaming 

Commission;
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No person directly related to any Tribal Gaming Director member may serve on the Tribal 

Gaming Commission without a written waiver of this section by the Tribal Council; and

Commissioners are prohibited from gambling in the facility.

Section 14. Duties of the Commission. The Tribal Gaming Commission shall:

Conduct or cause background investigations to be conducted on, at a minimum, primary 

management official, key employees and service suppliers;

Review and approve all investigative work conducted;

Report results of background investigations to the State and the NIGC as required by 

IGRA;

Obtain and process fingerprints, or designate a law enforcement agency to obtain and 

process fingerprints;

Make suitability determinations;

Issue gaming licenses to management officials and employees of the operation, and service 

suppliers consistent with the suitability determination;

Inspect, examine and monitor all gaming activities, and have immediate access to review, 

inspect, examine, photocopy and audit all records of the gaming establishment;

Ensure compliance with all Tribal, State, and Federal laws, rules, and regulations regarding 

Indian gaming;

Investigate any suspicion of wrongdoing associated with any gaming activities;

Hold hearings on patron and/or employee complaints, in compliance with procedures 

established in the Compact, the management agreement, the gaming ordinance and other 

Tribal gaming regulations;

Comply with any and all reporting requirements under the IGRA, the Compact to which 

the Tribe is a party, and any other applicable law;

Promulgate and issue regulations necessary to comply with the NIGC’s Minimum Internal 

Control Standards (MICS);

Promulgate and issue regulations on the levying of fees associated with gaming license 

applications;

Promulgate and issue regulations on the levying of fines and/or suspension or revocation 

of gaming licenses for violations of the gaming ordinance, or any other Tribal, Federal, or 

State, if applicable, gaming regulations;

Promulgate and issue licensing regulations.
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Employ such persons as are necessary to carry out the duties of the Gaming Commission, 

including but not limited to gaming inspectors; and

Perform such other duties the Commission deems appropriate for the proper regulation of 

the Tribal gaming operation.

Section 15. Confidentiality. The Gaming Commission shall ensure that all records and 

information obtained as a result of an employee background investigation shall remain 

confidential and shall not be disclosed to persons who are not directly involved in the licensing 

process. Under no circumstances shall information obtained during the course of an employee 

background investigation be disclosed to members of management, human resource personnel or 

others employed by the tribal gaming operation.

This Section does not apply to requests from or the furnishing of such information or records to 

any Tribal, Federal or State law enforcement, regulatory or judicial agency, or for the use of such 

information or records by the Commission and staff in the performance of their official duties.

Section 16. Eligibility. The following persons are not eligible to serve as Tribal Gaming 

Commissioners: employees of the gaming operation, while serving as such; gaming contractors 

(including any principal of a management or other contracting company); persons directly related 

to any of the above without a written waiver of this section by the Tribal Council; persons 

ineligible to be key employees or primary management officials.

Section 17. Removal of Commissioners. The independence of the Tribal Gaming Commission 

is essential to a well-regulated gaming operation. For that reason, Commissioners· may only be 

removed from office by the Tribal Council prior to the expiration of their respective terms for 

neglect of duty, misconduct, malfeasance, or other acts that would render a commissioner 

unqualified for his/her position. Any allegations of neglect of duty, misconduct, malfeasance, or 

other acts that would render him or her unqualified for his/her position must be substantiated by 

a preponderance of the evidence. Commissioners will be given an opportunity to provide 

evidence rebutting the grounds for their proposed removal before the removal is decided. 

Commissioners may appeal their removal to the Elders Tribunal. A vote of the Elders Tribunal 

on the validity of the removal shall be final and not subject to further appeal. A wrongful 

removal shall entitle the affected Commissioner to compensation for expenses incurred in an 

appeal and any pay withheld.

Section 18. Quorum. A majority of the Commission shall constitute a quorum. The 

concurrence of a majority of the Commissioners appointed to the Commission shall be required 

for any final determination by the Commission. The Commission may act in its official capacity 

even if there are vacancies on the Commission.

Section 19. Compensation. Tribal Gaming Commissioners shall be compensated at a level 

determined by the Tribal Council.

Section 20. Records. The Commission shall keep a written record of all its meetings.

Section 21. Audit.
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The Tribe shall cause an annual outside independent audit of gaming operations to be 

conducted, and shall submit the resulting audit reports to the National Indian Gaming 

Commission.

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.

Section 22. Environment and Public Health and Safety.

Gaming facilities shall be constructed, maintained and operated in a manner that adequately 

protects the environment and the public health and safety.

The Tribe's gaming facility in Clark County, Washington, shall be governed by Tribal 

Council Ordinance No. 07-02 "Environmental, Public Health and Safety Protections for 

the Construction and Operation of the Cowlitz Indian Tribe Gaming Facility."

Section 23. Ethics. The Tribe recognizes that the duties of the Gaming Board of Directors and 

the Tribal Gaming Commission include making important decisions on highly sensitive issues. 

As such, the Tribe has determined that the members of the Tribal Gaming Board of Directors and 

the Tribal Gaming Commission shall be held to extremely high ethical standards. Prior to taking 

their positions the Board and Commission members shall agree to be bound by the following 

principles, in addition to the requirements of the code of Ethics established in Chapter 01.06 of 

the Cowlitz Tribal Code:

Members shall not hold financial interests that conflict with the conscientious performance 

of their duties as managers and regulators.

Members shall not engage in financial transactions using nonpublic information or allow 

the improper use of such information by others on their behalf to further any private 

interest.

Members shall not solicit or accept any gift or other item of monetary value, from any 

person or entity seeking official action or inaction from, doing business with, or conducting 

activities regulated by the member’s organization, or whose interests may be substantially 

affected by the performance or nonperformance of the Members’ duties.

Members shall make no unauthorized commitments or promises of any kind purporting to 

bind the Tribe.

Members shall not use their positions for private gain.

Members shall act impartially, in accordance with all relevant Tribal, Federal, and State 

laws (where applicable), and shall not give preferential treatment to any private 

organization or individual, including to any persons related to Members.
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Members shall ensure that Tribal property and gaming assets shall be properly segregated 

and safeguarded, and that such property and assets shall not be used for unauthorized 

activities.

Members shall not engage in outside employment or activities, including seeking or 

negotiating for future employment, which conflict with their official duties and 

responsibilities; provided, however, that nothing herein shall prohibit a Member from 

seeking any public office, including any other elected or appointed Tribal office.

Members shall disclose waste, fraud, abuse, and corruption to appropriate authorities.

·Members shall endeavor to avoid any actions creating the appearance that they are 

violating the law or the ethical standards listed herein.

Members shall disclose any real or apparent financial or personal conflicts. If there is a 

real or the appearance of one, the member shall not take part in any decision related to the 

conflict.

Section 24. Minimum Internal Control Standards. The Tribe acknowledges its obligation to 

adopt and implement Minimum Internal Control Standards (MICS) for the operation of its Tribal 

gaming operation no less stringent than those found in the regulations of the NIGC at 25 C.F.R. 

Part 542. The Tribe’s MICS shall be set out in separate regulations to be reviewed and approved 

by the Tribal Gaming Commission.

Section 25. Agent for Service of Process. The Tribe hereby designates the General Council 

Chair as agent for service of process, who may be contacted at:

P.O. Box 2547

1055-9th Avenue Suite B

Longview, WA 98632

Section 26. Compliance with Federal Law. The Tribe will comply with all applicable federal 

law, including the Bank Secrecy Act, 31 U.S.C. § 5311 et seq.

Section 27. Patron Dispute Resolution. Patrons who have gaming disputes, as defined by 

Commission Rules, against the gaming establishment, a gaming employee, or a management 

contractor shall have as their sole remedy the right to file a petition for relief with the Tribal 

Gaming Commission. Complaints shall be submitted in writing, and at the discretion of the 

Commission, the petitioner may be allowed to present evidence. The Gaming Commission shall 

conduct review of the petition or hold a hearing within 30 days of receipt of petitioner’s 

complaint. In the event of a hearing, the petitioner may have counsel present at such hearing. 

The Commission shall render a decision in a timely fashion and all such decisions will be final 

when issued. Any patron complaint must be submitted to the Commission within thirty (30) 

days of the incident giving rise to the complaint. The Commission’s decision shall constitute the 

complainant’s final remedy.

Section 28. License Locations. The Tribal Gaming Commission shall issue a separate license to 

each place, facility, or location on the Tribe’s Lands where gaming is conducted under this 

ordinance.
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Section 29. Licenses for Key Employees and Primary Management Officials. The Tribe shall 

ensure that the policies and procedures set out in this chapter are implemented with respect to 

key employees and primary management officials employed at any gaming enterprise operated 

on the Tribe’s Indian lands. The Tribal Gaming Commission shall perform background 

investigations and issue licenses for Key Employees and Primary Management Officials 

according to requirements at least as stringent as those in 25 CFR Parts 556 and 558.

Section 30. License Application Forms – Notices.

The following notice shall be placed on the application form for a key employee or a 

primary management official:

In compliance with the Privacy Act of 1974, the following information 

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

by 25 U.S.C. 2701 et seq. The purpose of the requested information is 

to determine the eligibility of individuals to be 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 to appropriate 

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

agencies when relevant to civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by a Tribe or the 

National Indian Gaming Commission in connection with the issuance, 

denial or revocation of a gaming license, or investigation of activities 

while associated with a Tribe or a gaming operation. Failure to consent 

to the disclosures indicated in this notice will result in a tribe's being 

unable to 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.

The following additional notice shall be placed on the application form for a key employee 

or a primary official:

A false Statement on any part of your license 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)

The Commission shall notify in writing existing key employees and primary management 

officials who have not completed an application containing the notices set forth above that 

they shall either:
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Complete a new application form that contains both the Privacy Act and false 

statement notices; or

Sign a statement that contains the Privacy Act and false statement notices and 

consent to the routine uses described in that notice.

Section 31. License Fees. The Tribe may charge a license fee, to be set by the Tribal Gaming 

Commission, to cover its expenses in investigating and licensing Key Employees, Primary 

Management Officials and other licensees of the gaming operation.

Section 32. Fingerprints. Each applicant for gaming license who is a Key Employee or a 

Primary Management Official shall be required to have fingerprints taken as part of the license 

application procedure. Fingerprints will then be forwarded to the NIGC for processing through 

the FBI and NCIC to determine the applicant’s criminal history, if any.

Section 33. Background Investigations.

The Tribal Gaming Commission is responsible for conducting background investigations 

and suitability determinations for each primary management official and for each key 

employee of the gaming operation.

The Tribal Gaming Commission shall request from each primary management official and 

from each key employee all of the following information:

Full name, other names used (oral or written), social security number(s), birth date, 

place of birth, citizenship, gender, all languages (spoken or written);

Currently and for the previous 5 years: business and employment positions held, 

ownership interests in those businesses, business and residence addresses, and 

drivers license numbers;

The names and current addresses of at least three personal references, including one 

personal reference who was acquainted with the applicant during each period of 

residence listed under paragraph (B)(2) of this section;

Current business and residence telephone numbers;

A description of any existing and previous business relationships with Indian 

Tribes, including ownership interests in those businesses;

A description of any existing and previous business relationships with the gaming 

industry generally, including ownership interests 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 gaming, whether or not 

such license or permit was granted;
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For each felony for which there was an ongoing prosecution or a 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 10 years of the date of the application, the name 

and address of the court involved and the date and disposition;

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 (B)(8) or (B)(9) of this section, 

the criminal charge, the name and address of the court involved and the date and 

disposition;

The name and address of any 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;

A photograph taken within the last year; and

Fingerprints consistent with procedures adopted by the NIGC according to 25 

C.F.R. § 522(h).

Any other information the Tribe deems relevant.

Section 34. Procedures for Conducting a Background Check on Applicants.

As part of its review procedure, the Tribal Gaming Commission or its agent shall employ 

or engage a private investigator to conduct a background investigation on each applicant 

sufficient to allow the Tribal Gaming Commission to make an eligibility determination 

under Section 35 of this ordinance. The investigator shall:

Verify the applicant’s identity through items such as a social security card, drivers 

license, birth certificate, or passport;

Contact each personal and business reference provided in the License Application, 

when possible;

Obtain a personal credit check at the discretion of the Tribe;

Conduct a civil history check;

Conduct a criminal history check via the submission of the applicant’s fingerprints 

to the NIGC, and further obtain information from the appropriate court regarding 

past felony and/or misdemeanor convictions and criminal charges within the last 

ten years;
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Inquire into any previous or existing business relationships with the gaming 

industry and Indian tribes by contacting the entities or tribes;

Verify the applicant’s history and status with any licensing agency by contacting 

the agency; and

Take other appropriate steps to verify the accuracy of the information, focusing on 

problem areas noted.

The investigator shall create an investigative report noting the steps taken, information 

gained, potential problem areas, and disqualifying information.

The Tribal Gaming Commission and its investigator shall promise to keep confidential the 

identity of each person interviewed in the course of the investigation, other than disclosure 

as required under Federal, Tribal, or State law.

Section 35. Eligibility Determination. The Tribal Gaming Commission shall review a person’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 a gaming 

license. If the Tribal Gaming Commission, in applying the standards adopted in this ordinance,

determines that licensing of the person poses a threat to the public interest or to the effective 

regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices 

and methods and activities in· the conduct of gaming, an authorized tribal official shall not 

license that person in a key employee or primary management official position.

Section 36. Procedures for Forwarding Applications and Reports to the National Indian 

Gaming Commission.

When a key employee or primary management official is employed to work at a gaming 

operation authorized by this ordinance, the Tribal Gaming Commission shall forward to 

the National Indian Gaming Commission a completed application for employment and 

conduct the background investigation and make the determination referred to in Section 35 

of this ordinance.

The gaming operation shall not employ as a key employee or primary management official 

a person who does not have license after 90 days.

Section 37. Report to the National Indian Gaming Commission.

The Tribal Gaming Commission shall maintain a complete application file containing the 

information listed in Section 33(B). 

Before issuing a license to a primary management official or to a key employee, the Tribal 

Gaming Commission shall: 

Create and maintain an investigative report on each background investigation. An 

investigative report shall include all of the following:
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(a) Steps taken in conducting a background investigation;

(b) Results obtained;

(c) Conclusions reached; and

(d) The bases for those conclusions.

Submit a notice of results of the applicant's background investigation to the NIGC 

no later than sixty (60) days after the applicant begins work. The notice of results 

shall contain:

(a) Applicant's name, date of birth, and social security number;

(b) Date on which applicant began or will begin work as a key employee or 

primary management official;

(c) A summary of the information presented in the investigative report, which 

shall at minimum include a listing of:

(i) Licenses that have been previously denied;

(ii) Gaming licenses that have been revoked, even if subsequently 

reinstated;

(iii) Every known criminal charge brought against the applicant 

within the last ten (10) years of the date of application; and

(iv) Every felony of which the applicant has been convicted or any 

ongoing prosecution.

(d) A copy of the eligibility determination made under Section 35.

If a license is not issued to an applicant, the Tribal Gaming Commission:

Shall notify the NIGC; and

Shall forward copies of its eligibility determination and investigative report (if any) 

to the NIGC for inclusion in the Indian Gaming “Individuals Records System.

With respect to all employees, and in particular key employees and primary management 

officials, the Tribal Gaming Commission shall retain applications for licensing, reports (if 

any) of background investigations, and eligibility determinations for inspection by the 

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

of termination of employment.

Section 38. Granting a Gaming License.
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If, within a thirty (30) day period after the National Indian Gaming Commission receives 

a complete notice of results, the National Indian Gaming Commission notifies the Tribe 

that it has no objection to the issuance of a license pursuant to a license application filed 

by a key employee or a primary management official, the Tribal Gaming Commission, 

acting for the Tribe, may issue a license to such applicant.

The Tribal Gaming Commission shall respond to a request for additional information from 

the Chairman of the National Indian Gaming Commission concerning a key employee or a 

primary management official who is the subject of a report. Such a request shall suspend 

the 30-day period under paragraph (A) of this section until the Chairman of the National 

Indian Gaming Commission receives the additional information.

If, within the thirty (30) day period described above, the National Indian Gaming 

Commission provides the Tribe with a Statement itemizing objections to the issuance of a 

license to a key employee or to a primary management official, the Tribe shall reconsider 

the application, taking into account the objections itemized by the National Indian Gaming 

Commission. The Tribe shall make the final decision whether to issue a license to such 

applicant.

The Tribal Gaming Commission must notify the National Indian Gaming Commission of 

the issuance of a license to a primary management official or key employee within 30 days 

of its issuance.

Section 39. License Suspension.

If, after the issuance of a gaming license, the Tribal Gaming Commission receives from 

the National Indian Gaming Commission reliable information indicating, or the 

Commission otherwise determines, that a key employee or a primary management official 

is not eligible for employment, the Tribal Gaming Commission shall suspend such license 

immediately and shall notify in writing the licensee of the suspension and the proposed 

revocation.

The Tribal Gaming Commission shall notify the licensee of a time and a place for a hearing 

on the proposed revocation of a license.

After a revocation hearing, the Tribal Gaming Commission shall decide to revoke or to 

reinstate a gaming license. The Commission shall notify the NIGC of its decision within 

45 days of receiving notification of the NIGC pursuant to paragraph (A) of this section.

Section 40. Licenses for Vendors. Vendors of gaming services or supplies with a value of 

$25,000 or more annually, and non-gaming services or supplies with a value of $50,000 or more 

annually must have a vendor license from the Tribal Gaming Commission in order to transact 

business with the Tribal gaming operation. Contracts for professional legal and accounting 

services are excluded from this section. Other non-gaming vendors may be waived in accordance 

with Commission regulations.
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Section 41. Submission of a Vendor License Application. In order to obtain a vendor license, 

the business must complete a vendor application and submit to background checks of itself and 

its principals. Principals of a business include its officers, directors, management, owners, 

partners, non-institutional stockholders that either own 1 0% or more of the stock or are the 10 

largest stockholders, and the on-site supervisor or manager under the agreement with the Tribe, if 

applicable.

Section 42. Contents of the Vendor License Application.

Applications for vendor licenses must include the following:

Name of business, business address, business phone, federal tax ID number (or SSN 

if a sole proprietorship), main office address if different from business address, any 

other names the applicant has done business under, type of service applicant will 

provide;

Whether the applicant is a partnership, corporation, limited liability company, sole 

proprietorship, or other entity;

If the applicant is a corporation, the state of incorporation, and the qualification to 

do business in the State of Washington if the gaming operation is in a different State 

than the State of incorporation.

Trade name, other names ever used, names of any wholly owned subsidiaries or 

other businesses owned by the vendor or its principals;

General description of the business and its activities;

Whether the applicant will be investing in or loaning money to the gaming 

operation and, if so, how much;

A description of any existing and previous business relationships with the gaming 

industry generally, including ownership interests in those businesses;

A list of Indian tribes with which the vendor has an existing or previous business 

relationship, including ownership, financial, or management interests in nongaming activities;

Names, addresses, and phone numbers of three business references with whom the 

company had regularly done business for the last five years;

The name and address of any licensing or regulatory agency with which the 

business has filed an application for a license or permit related to gaming, whether 

or not such license or permit was granted;

If the business has ever had a license revoked for any reason, the circumstances 

involved;
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A list of lawsuits to which the business has been a defendant, including the name 

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

List the business’ funding sources and any liabilities of $50,000 or more.

A list of the principals of the business, their social security numbers or residential 

addresses for the last (5) five years where allowed for by Commission rules, current, 

addresses, telephone numbers, title, and percentage of ownership in the company; 

and

Any further information the Tribe deems relevant.

The following notice shall be placed on the application form for a vendor and its principals:

Inclusion of false or misleading information in the vendor application may be grounds for 

denial or revocation of the Tribe’s vendor license.

A vendor may submit a copy of a recent license application to another jurisdiction if it 

contains the information listed above. The vendor will be required to submit in writing 

any changes in the information since the other license application was filed and any 

information requested by the Tribe not contained in the other application.

Section 43. Vendor Background Investigation. The Tribal Gaming Commission shall employ 

or otherwise engage a private investigator complete an investigation of the vendor. This 

investigation shall contain, at a minimum, the following steps:

Verify the business’ incorporation status and qualification to do business in the State where 

the gaming operation is located;

Obtain a business credit report, if available;

Conduct a check of the business’ credit history;

Call each of the references listed in the vendor application; and

Conduct an investigation of the principals of the business, including a criminal history 

check and a credit report.

Section 44. Vendor License Fee. The Tribe may charge a license fee, to be set by the Tribal 

Gaming Commission, to cover its expenses in investigating and licensing vendors of the gaming 

operation.

Section 45. Vendor Background Investigation Report. The private investigator shall complete 

an investigative report covering each of the steps taken in the background investigation of the 

vendor and its principals and present it to the Tribal Gaming Commission.

Section 46. Repeal. Tribal Council Ordinance No. 05-1, Gaming Ordinance, and to the extent 

that they are inconsistent with this ordinance, all prior gaming ordinances are hereby repealed.
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