CWL K&o%z 

Cayuga Ngtion_ 

P.O. Box 11 

Versailles, New York 14168-001 1 

Dear Mr. Halftown: 

This letter is in response to the Cayuga Nation's request that the Natioaal Indian Gaming 

Commission ('NNIGC") review and i!pprove the above Chss II Gamk~g Ordinance, 

adopted by the Cayuga Nation ('Nation") on November 12,2003, and relating to Class II 

gaming ody. The Ordinance was received by the NGC on November 14,2003. 

'Ibis letter constitutes our approval, under the Indian Gaming Regulatory Act ("IGR4"), 

of the Nation's Class 11 Gaming Ordinmce No. CN-2003-6. It is important to note that 

the Ordinance is only approved for gaming on Indian lands, as defined in the IGRA and 

the NZGC's regdations, oxr u&ich the Nation has jwisdictioo. .- - - --. - -- , --1 

Thd,$u for yow &ssim. If you have any questions, please feel free to contact 

Staffanomey ~atbeckne Zebell at (202) 632-7003. 

NATIONAL HEADQUARTERS 1441 L Street NW, Suite 91 00, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV 

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK 
CAYUGA NATION COUNCIL OF CHIEFS, 

REPRESENTATIVES AND CLAN MOTHERS 

RESOLUTIONS AUTHORIZING THE 

CAYUGA NATlON OF NEW YORK 

CLASS I1 GAMING ORDINANCE 

WHEREAS, the Cayuga Nation Council of Chiefs, Representatives and Clan 

Mothers (hereinafter the "Cayuga Council"), the governing body of the Cayuga Nation of New 

York (hereinafter the "Nation"), desires to set the terms for Class I1 gaming operations on lands 

held in fee simple status or in trust by the United States of America for the Nation (collectively, 

hereinafter "Nation lands"); 

NOW, THEREFORE, BE IT RESOLVED, that the Nation, acting through the 

Cayuga Council, hereby authorizes and adopts the Cayuga Nation of New York Class I1 Gaming 

Ordinance (Ordinance No. CN-2003-06), in the form attached to these Resolutions, to set the 

terms for Class I1 gaming operations on Nation lands; and it be 

FURTHER RESOLVED, that Clint Halftown, as a representative of the Nation, 

be, and he hereby is, authorized, empowered and directed to execute the Ordinance No. CN2003-06 on behalf of the Nation and to file a copy thereof with the National Indian Gaming 

Commission. 

The foregoing resolutions were duly adopted by the Cayuga Nation Council of 

Chiefs, Representatives and Clan Mothers on the & day of the month of November in the year 

2003 and the undersigned is duly authorized to sign, this attestation. 

Secretary of the Cayuga Nation Council of Chiefs, 

Representatives and Clan Mothers 
nov 14 ua IU: aua 

CAYUGA NATION OF NEW YORK 

CLASS I1 GAMING ORDINANCE 

ORDINANCE NO. CN-2003-6 

I. PURPOSE 

The Cayuga Nation Council of Chiefs, Representatives and Clan Mothers (hereinafter the 

"Nation's Council") of the Cayuga Nation of New York (hereinafter the "Nation"), empowered 

by the Great Law, an oral tradition which the members of the Nation continue to accept, to enact 

ordinances, hereby enacts this ordinance in order to set the terms for Class I1 gaming operations 

on tribal lands including, but not lirnited to, lands conveyed either directly to the Nation or to the 

United States of America and held in trust for the Nation (collectively, hereinafter "tribal lands"). 

11. GAMING AUTHORIZED 

Class Il gaming as hereinafter defmed is hereby authorized. Consistent with the 

definition of Class I1 gaming in the regulations promulgated by the National Indian Gaming 

Commission at 25 C.F.R. 8 502.3 (as published in the Federal Register at 57 FR 12382-12393, 

April 9, 1992), Class I1 gaming is hereby defined as: 

1. Bingo or lotto (whether or not electronic, computer, or other technologic 

aids are used) when players: 

(a) Play for prizes with cards bearing numbers or other designations; 

(b) Cover numbers or designations when objects, similarly numbered 

or designated, are drawn or electronically determined; and 

(c) Win the game by being the first person to cover a designated 

pattern on such cards; 

2. If played in the same location as bingo or lotto, pull-tabs, punch boards, 

tip jars, instant bingo, and other game similar to bingo; 

3. Nonbanking card games that: 

(a) State law explicitly authorizes, or does not explicitly prohibit, and 

are played legally anywhere in the state; and 

(b) Players play in conformity with state laws and regulations 

concerning hours, periods of operation, and limitations on wagers and pot sizes; 

Consistent with the exclusions fiom the definition of Class I1 gaming as defined in the Indian 

Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. Section 2703(7)(B), Class I1 gaming as 

hereinabove defined does not include: 
(a) Any banking card games, including baccarat, chemin de fer, or 

blackjack (2 1 ); or 

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

or slot machines of any kind. 

111. CAYUGA NATION CLASS I1 GAMING COMMISSION 

A. A tribal gaming commission, the Cayuga Nation Class I1 Gaming Commission 

(the "Cayuga Class I1 Gaming Commission7'), shall be appointed by the Nation's Council to 

regulate all Class I1 gaming by the Nation. 

B. Each member of the Cayuga Class I1 Gaming Commission shall serve a term of 

no more than three (3) years and can be removed for good cause. 

C. The Cayuga Class I1 Gaming Commission shall bc responsible for regulating all 

Class I1 gaming operations and is authorized to issue gaming regulations as deemed appropriate. 

IV. OWNERSHIP OF GAMING 

The Nation shall have the sole proprietary interest in and responsibility for the conduct of 

any gaming operation authorized by this ordinance. 

V. USE OF GAMING REVENUE 

A. The Nation shall use net revenues fiom Class I1 gaming only for the following 

purposes: to fund tribal government operations or programs; provide for the general welfare of 

the Nation and its members; promote tribal economic development; donate to charitable 

organizations; or heIp hnd operations of local government agencies. 

B. If the Nation elects to make per capita payments to its members, it shall authorize 

such payments only upon approval of a plan submitted to the Secretary of the Interior under 

25 U.S.C. § 27 1 O(bx3). 

C. The Nation shall ensure that the interests of minors, and other legally incompetent 

persons who are entitled to receive any of the per capita payments, are protected and preserved, 

and that the per capita payments are disbursed to the parcnts 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 Secretary of the 

Department of the Interior and the Nation's Council. 

VI. AUDIT 

A. The Nation shall cause to be conducted independent audits of gaming operations 

annually and shall submit the results of those audits to the National Indian Gaming Commission. 
nov 19 UJ ~u:aua 

B. All gaming related contracts that result in expenditures of $25,000 or more in any 

year (except contracts for professional legal or accounting services), shall be specifically 

included within the scope of the audit that is described in subsection A. of this section. 

VII. PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND 

SAFETY 

The Nation shall construct, maintain and operate Class I1 gaming facilities in a manner 

that adequately protects the environment and the public health and safety. 

VIII. LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT 

OFFICIALS 

The Nation shall perform background investigations and issue licenses for key employees 

and primary management officials according to requirements that are at least as stringent as those 

set forth in 25 C.F.R $$ 556 and 558. 

The Nation shall ensure that the policies and procedures set out in this section are 

implemented with respect to key employees and primary management officials employed or 

seeking employment at any class I1 gaming enterprise operated on tribal lands: 

A. Definitions 

For the purposes of this section, the following definitions apply: 

1. Key emplovee means 

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

(i) Bingo caller; 

(ii) Counting room supervisor; 

(iii) Chief of security; 

(iv) Custodian of gaming supplies or cash; 

(v) Floor manager; 

(vi) Pit boss; 

(vii) Dealer; 

(viii) Croupier; 

(ix) Approver of credit; or 

(x) Custodian of gambling dcvices including persons with 

access to cash and accounting records within such deviccs; 

-3- 
IlOV It UJ 1u:31a 

(b) If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per year; or 

(c) If not otherwise included, the four most highly compensated 

persons in the gaming operation. 

2. Primary management official means 

(a) The person having management responsibility for a management 

contract; 

(b) Any person who has authority: 

(i) To hire and fire employees; or 

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

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

management responsibility. 

B. Application Forms 

1. The Nation shall place the following notice on the application form for a 

key employee or a primary management official before that form is filled out by an applicant: 

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

provided: Solicitation of the information on this form is authorized by 25 U.S.C. 2701 et seq. 

The purpose of the requested information is to determine the eligibility of individuals to be 

employed in a gaming operation. The information will be used by National Indian Gaming 

Commission members and staff who have need for the information in the performance of their 

official duties. The information may be disclosed to appropriate Federal, Tribal, State, local, or 

foreign law enforcement and regulatory agencies when relevant to civil, criminal or regulatory 

investigations or prosecutions or when pursuant to a requirement by a tribe or the National 

lndian Gaming Commission in connection with the hiring or firing of an employee, the issuance 

or revocation of a gaming license, or investigations of activities while associated with a tribe or a 

gaming operation. Failure to consent to the disclosures indicated in this notice will result in a 

tribe's being unable to hire you in a primary management official or key employee position. 

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

failure to supply a SSN may result in errors in processing your application. 

2. The Nation shall place the following notice on the application form for a 

key employee or a primary official before that form is filled out by an applicant: 

A false statement on any part of your application may be grounds for not hiring 

you, or for fuing you after you begin work. Also, you may be punished by fine or imprisonment. 

(U.S. Code, titie 18, section 1001). 
C. Background Investigations of Key Employees and Primary Management 

Ofllicials 

1. The Nation shall perform a background investigation for each primary 

management official and for each key employee of a gaming operation sufficient to make a 

determination under subsection D. of this section and shall request fiom each primary 

management oficial and each key employee all of the following information: 

(a) Full name, other names used (oral or written), social security 

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

(b) Currently and for the previous 5 years: business and employment 

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

drivers license numbers; 

(c) The names and current addresses of at least three personal 

references, including one personal reference who was acquainted with the applicant during each 

period of residence listed under paragraph (l)(b) of this section; 

(d) Current business and residence telephone numbers; 

(e) A description of any existing and previous business relationships 

with Indian tribes, including ownership interests in those businesses; 

(f) A description of any existing and previous business relationships 

with the gaming industry generally, including ownership interests in those businesscs; 

(g) The name and address of any licensing or regulatory agency with 

which the person has filed an application for a license or pennit related to gaming, whether or 

not such license or permit was granted; 

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

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

if any; 

(i) For each 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 if any; 

(i) For each criminaI charge (excluding minor traffic charges) whether 

or not there is a conviction, if such criminal charge is within I0 years of the date of the 

application and is not otherwise listed pursuant to paragraph (I)(h) or (l)(i) of this section, the 

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

(k) The name and address of any licensing or regulatory agency with 

which the person has filed an application for an occupatiooal license or permit, whether or not 

such license or permit was granted; 
nov 19 uj 1u:sza 

(1) A current photograph; 

(m) Any other information the Nation deems relevant; and 

(n) ' Fingerprints consistent with procedures adopted by the Nation 

according to 25 C.F.R. 5 522.2(h). 

2. The Nation shall provide each applicant with blank fingerprint cards 

supplied to the Nation by the National Indian Gaming Commission and shall instruct each 

applicant to have his or herfingerprints taken by an appropriate officer of the Sheriffs Office of 

Cayuga County, New ~ork. The Nation wiIl also instruct each applicant to return the completed 

fingerprint cards to the Secretary of the Nation. Upon receipt of completed fingerprint cards 

from an applicant, the Secretary of the Nation shall forward such cards to the National Indian 

Gaming Commission together with the requisite processing fee. In accordance with the 

Memorandum of Understanding to be entered into by the Nation and the National Indian Gaming 

Commission, the National Indian Gaming Commission shall enter certain information contained 

in each fingerprint card it receives in its internal data base and forward each fingerprint card to 

the Federal Bureau of Investigation for processing. Upon receipt of the CHRI fiom the Federal 

Bureau of Investigation with respect to the applicant whose fmgerprint card was submitted to it, 

the National Indian Gaming Commission shall forward such CHRI to the Secretary of the 

Nation. 

3. The Nation shall employ, or otherwise engage, a professional investigator 

to conduct an appropriate background investigation on each applicant (the "Investigator"). The 

Investigator shall review the required information provided by such applicant and shall further: 

(a) Verifi the applicant's name, place of birth, date of birth and 

citizenship by requiring the applicant to provide items such as a birth certificate, social security 

card or passport; 

(b) Confirm the applicant's business and employment positions held, 

and ownership interests in those businesses, currently and for the past five (5) years by 

attempting to contact by letters, telephone calls or personal visits to past employers and 

references listed in the application, through ownership documentation, such as copies of tax 

returns, and by any other means; 

(c) Obtain the applicant's driving record by using the applicant's 

driving license number to contact the Department of Motor Vehicle in the state where the license 

was issued; 

(d) Ascertain character information about the applicant by contacting 

all of the personal and professional references identified in the application. This information 

includes, but is not limited io, the applicant's prior activities, reputation, habits, associations and 

criminal record; 

(e) Inquire into any existing or previous business relationships the 

applicant has had with Indian tribes or the gaming industry, including the scope of those 
nov 1- ua ru:aca 

relationships, by contacting respectively the tribes or gaming industry entities identified in the 

application or any other soiuces; 

(f) VerlfL the applicant's history and status with any licensing or 

regulatory agency, including whether the applicant has filed any gaming-related application for a 

license or a permit and whether or not it was granted, by contacting those agencies listed in the 

application and the National Indian Gaming Commission; 

(g) Obtain and verifl information, including prior criminal records 

regarding any past felony convictions andlor charges, misdemeanor convictions and/or charges 

within the last ten (1 0) years, by providing identifying information regarding applicant to, and 

obtaining and reviewing state, county, city and tribal court criminal records received fiom, state, 

city, county and tribal courts, and state, local and tribal police departments in the applicant's 

current area of residence and previous areas of residence within the past five years; and 

(h) Obtain and verify any other information the Nation deems relevant 

to complete a thorough background investigation. 

4. Once the Investigator has verified the accuracy of the information 

submitted, the Investigator shall analyze the information and determine whether fkther 

investigation is warranted. If an analysis of the information reveals problem areas such as an 

applicant's criminal activities, finances or character, the Investigator shall broaden the scope of 

the investigation on such problem areas. The Investigator shall document the disposition of all 

potential problem areas noted and disqualifLing information obtained. The Investigator shall 

Wher review each criminal history record information report received by the Nation in response 

to fingerprint card processing. 

5. The Investigator shall, as soon as practicable after completion of the 

background investigation, prepare an investigative report to be submitted to the Nation detailing 

the results of such investigations which shall include all of the following: 

(a) A description of the steps taken in conducting the background 

investigation by a checklist of procedures completed; 

(b) An explanation of the results obtained including describing any 

exceptions or negative information and additional steps taken to examine any exceptions or 

negative information; and 

(c) A statement as to the conclusions reachcd, whether positive or 

negative, and the basis or justification for such conclusion. Where exceptions, areas of concern 

or negative information were obtained, the conclusions and the justifications for the conclusions 

shall be included in the investigative report. 

6. The Chairman of the Cayuga Class Il Gaming Commission shall review 

and approve, if appropriate, the investigative work of the Investigator. The Chairman of the 

Cayuga Class I1 Gaming Commission may direct the Investigator to undertake such further 
investigation of the applicant as the Chairman of the Cayuga Class I1 Gaming Commission 

deems appropriate. 

7. In conducting the background investigation, the Chairman of the Cayuga 

Class 11 Gaming Commission and its agents, including the Investigator, shall promise to keep 

confidential the identity of each person interviewed in the course of the investigation. The 

Chairman of the Cayuga Class I1 Gaming Commission is responsible for the conduct of the 

background investigation and the determination under subsection D. of this section. 

D. Eligibility Determination 

1. As soon as practicable after its receipt of the CHRI fiom the National 

Indian Gaming Commission and completion of the background investigation report referred to in 

subsection C. of this section, the Chairman of the Cayuga Class I1 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 employcc or primary management official 

for employment in a gaming operation. If the Chairman of the Cayuga Class fl Gaming 

Commission, in applying the standards adopted in this Class I1 Gaming Ordinance, determines 

that employment of that poses a threat to the public interest or to the effective regulation 

of gaming, or creates or enhances the dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming, a management contractor or a tribal gaming 

operation shall not employ that person in a key employee or primary management official 

position. The determination shall state that the Chairman of the Cayuga Class 11 Gaming 

Commission considers the appIicant either suitable or unsuitable for a key employee or 

management official license, as the case may be. If the Chairman of the Cayuga Class I1 Gaming 

Commission determines the applicant unsuitable for a key employee or management official 

license, neither the Nation nor a management contractor shall employ the applicant in such 

position. The Chairman of the Cayuga Class I1 Gaming Commission may report an applicant as 

unsuitable for such a license if the background investigation of the applicant reveals that the 

applicant: 

(a) is under the age of 1 8; 

(b) has been convicted of a crime whose elements would constitute a 

felony under the laws of New York State or the United States of America, or is punishable as a 

felony in another jurisdiction; 

(c) has been convicted of any form of bookmaking or other form of 

illegal gambling; 

(d) has been convicted of any fiaud or material misrepresentation in 

connection with gaming; 

(e) has otherwise been determined to be a person whose prior 

activities, criminal record, if any, 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, or 

illegal practices, methods, and activities in the conduct of any form of gaming; or 
nov I- ua IU: 33a 

(f) has failed to provide any information reasonably required to 

investigate the applicant for a gaming license or to reveal any fact material to such application, 

or has furnished any information which is untrue or misleading in connection with such 

application. 

2. Notwithstanding the fact that the background investigation of the applicant 

reveals a feIony conviction or applicant's apparent unsuitability, if the Nation, in its sole 

discretion, determines 

(a) based upon extenuating circumstances hereinafter set forth, that 

(x) the felony offense for which the applicant was convicted will not have a material effect on 

the applicant's fitness or ability to perform the duties or responsibilities for which the applicant 

seeks licensure, and (y) the applicant is of good moral character, the Nation may require a de 

novo review. The extenuating circumstances that would justiFy such a de novo review, all of 

which must be met to justify a request for a de novo review, are as follows: 

(i) the applicant's offense does not equate to greater than a 

class E felony under the laws of the State of New York; or the "felony" character of such 

conviction resulted fiorn a statutory or other aggravating sentencing circumstance following 

multiple lesser convictions under the Vehicle and Traffic Laws of the State ofNew York; 

(ii) the applicant has not been convicted of more than one 

felony offense or the "felony" character of such conviction resulted fiom a statutory or other 

aggravated sentencing circumstance following multiple lesser convictions under the Vehicle and 

Traffic Laws; 

(iii) five years have passed since the expiration of the sentence 

imposed for the felony conviction; 

(iv) the applicant has not been convicted of any misdemeanor 

or felony offense since the expiration of the sentence imposed; 

(v) the felony offense for which the applicant was convicted 

was a non-violent offense or the "felony" character of such conviction resulted born a statutory 

or other aggravated sentencing circumstance following multiple lesser convictions under the 

New York State Vehicle and Traffic Laws; and 

(vi) if the offense for which the applicant was convicted was 

alcohol or drug related, the applicant has successfblly completed a program of rehabilitation or 

an employee assistance program. 

(b) based upon a reasonable assessment of the applicant's 

circumstances, that (x) the applicant would not pose a threat to the public interest or to the 

effective regulation of gaming or create or enhance the chances of unfair or illegal practices, 

methods, or activities in the conduct of Class I1 gaming, and (y) the applicant is of good moral 

character, the Nation may issue to the applicant a gaming liccnse. 
In the event of a report that the Nation considers an applicant to be unsuitable, the 

eligibility determination report shall set forth the specific reason(s) supporting such 

consideration. 

E. Procedures for Forwarding Applications and Reports for Key Employees 

and Primary Management Officials to the National Indian Gaming Commission 

1. When a key employee or a primary management oficial begins work at a 

gaming operation, the Chairman of the Cayuga Class 11 Gaming Commission shall forward to the 

National Indian Gaming Commission a completed application for employment that contains the 

notices set forth in subsection B. of this section and the information listed in subsection C. 1. of 

this section. The Nation shall conduct a background investigation pursuant to subsection C. of 

this section to determine the eligibility of the key employee or primary management oflticial for 

continued employment in a gaming operation. 

2. Upon completion of a background investigation and a determination of 

eligibility for employment in a gaming operation under subsection D. of this section, the 

Chairman of the Cayuga Class Il Gaming Commission shall forward a report under subsection F. 

of this section to the National Indian Gaming Commission within 60 days after an employee 

begins work or within 60 days of the Chairman of the National Indian Gaming Commission's 

approval of this ordinance. The gaming operation shall not employ a key employee or primary 

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

3. During a 30-day period beginning when the National Indian Gaming 

Commission receives a report submitted under this section, the Chairman of the National Indian 

Gaming Commission may request additional information fiom the Nation concerning a key 

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

suspend the 30-day period uhtil the Chairrnan of the National Indian Gaming Commission 

receives the additional information. 

F. Report to the National Indian Gaming Commission 

1. When the Nation employs a key employee or primary management 

official, the Nation shall forward to the National Indian Gaming Commission a completed 

application for employment containing the notices and information set forth in subsection C.1. of 

this section. 

2. Before issuing a license to a key employee or a primary management 

official, the Chairman of the Cayuga Class II Gaming Commission shall forward to the National 

Indian Gaming Commission an investigative report on each background investigation. An 

investigative report shall include all of the following: 

(a) Steps taken in conducting a background investigation; 

(b) Results obtained; 

(c) Conc1usionsreached;and 
(d) The bases for those conclusions. 

3. When the Chairman of the Cayuga Class I1 Gaming Commission forwards 

its report to the National Indian Gaming Commission, it shall include a copy of the eligibility 

determination made under subsection D. of this section. 

4. If the Nation does not license an applicant, the Chairman of the Cayuga 

Class I1 Gaming Commission: 

(a) shall notify the National Indian Gaming Commission; and 

(b) may forward copies of its eligibility determination made under 

subsection D. of this section and investigative report (if any) made under this subsection F. to the 

National Indian Gaming Conunission for inclusion in the Indian Gaming IndividuaIs Records 

System 

5. With respect to key employees and primary management officials, the 

Nation shall retain applications for employment and reports (if any) of background investigations 

for inspection by the Chairman of the National Indian Gaming Commission or his or her 

designee for no less than three (3) years from the date of termination of employment. 

G. Granting a Gaming License 

1. If, within a thirty (30) day period described in subsection E. of this 

section, the National Indian Gaming Commission notifies the Nation that it has no objection to 

the issuance of a License pursuant to a license application filed by a key employee or a primary 

management official for whom the Nation has provided an application and investigative report to 

the National Indian Gaming Commission pursuant to subsection E. of this section, the Nation 

may go forward and issue a license to such applicant. 

2. If, within the thuty (30) day period described in subsection E. of this 

section, the National Indian Gaming Commission provides the Nation with a statement itemizing 

objections to the issuance of a license to a key employee or to a primary management oflicial for 

whom the Nation has provided an application and investigative report to the National Indian 

Gaming Commission as set forth in subsection E. of this section, the Nation shall reconsider the 

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

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

applicant based on the criteria set out in subsection D. of this section. 

H. Duration of License and Renewal 

Any gaming license issued shall be effective for two years fiom the date of 

issuance; provided, that a licensed key employee or management official who has appIied for 

renewal may continue to be employed under the expired license until final action is taken on the 

renewal application by the Nation. Previously licensed applicants or applicants for renewal shall 

provide currently updated application material with newly completed fingerprint cards but will 

not be required to re-submit historical data already on file with the Nation. No additional 
nov 14 ud lu: aaa 

investigation of previously submitted information of an applicant for renewal shall be required 

unless new information cancerning the renewal applicant's continuing suitability or eligibility 

for a license comes to the attention of the Nation Upon receipt of the renewal application, the 

Nation shall fornard the renewal application and the newIy completed fingerprint cards to the 

National lndian Gaming Commission so as to obtain a new CE.IRJ, pursuant to section C. of this 

sect ion. 

I. License Suspension 

1. If, after the issuance of a gaming license, the Nation receives born the 

National Indian Gaming Commission reliable information indicating that a kcy employee or 

primary management official is not eligible for employment under subsection D. of this section, 

the Nation shall suspend such license and shall notify, in writing, the licensee of the suspension 

and proposed revocation. 

2. Upori! receipt of such notification above, the Nation shall suspend such 

license and shall notify in writing the licensee of the suspension and the proposed revocation. 

3. The Nation shall notify the licensee of a time and place for a hearing on 

the proposed revocation of a license. 

4. AAer a revocation hearing, the Nation shall decide to revoke or to reinstate 

a gaming license. The Nation shall notify the National Indian Gaming Commission of its 

decision. 

5. The right to a hearing set forth above shall vest only upon receipt of a 

license granted under this ordinance. 

J. Temporary Licenses 

1. Each applicant for a gaming license who files a copy of a current valid key 

employee license or management official license issued by New Jersey, Nevada or Mississippi 

together with his or her completed application and fingerprint card(s) shall be issued a temporary 

report of suitability for purposes of a temporary gaming license, pending determination of such 

applicant's suitability or eligibility for a gaming license pursuant to this section. 

2. The Nation may issue a temporary license for any applicant. In that event, 

at the time of the submission of the application and applicant's fingerprint card(s) to the Nation, 

the Nation shall cause to be issued a temporary fmding of suitability for any applicant whose 

application discloses no grounds reasonably sufficient to disqualify him or her in the judgment of 

the Nation and the fingerprint check does not disclose grounds for denial of a finding of 

suitability. Such temporary finding of suitability shall be issued (or denied) as soon as 

practicable. The Nation may issue a temporary license to the applicant provided that it has fust 

issued a temporary finding of suitability. The temporary furding of suitability and temporary 

license shall remain in effect until suspended, revoked or upon the issuance or denial of a finding 

of suitability, but in no event shall such temporary license be valid for more than ninety (90) 
days from the date of its issuance. If the Nation denies issuance of a temporary finding of 

suitability, it shall set forth the reason(s) for the denial in writing. 

K. Fee for License 

The cost of a background investigation conducted pursuant to subsection C. of 

this section shall be borne by the applicant in accordance with the fee schedule approved by the 

Nation. 

L. Badges 

All licensed employees shall, upon the commencement of employment, be 

provided with an identification badge by the Nation which shall be prominently displayed by the 

licensee at all times when on the premises of the gaming facility. The Nation shall recover such 

badge fiom an employee upon terminat ion of employment. 

M. Delegation 

The Nation may establish procedures for the performance of certain or all of its 

ktions hereunder by one or more members or other representatives of the Nation, as the 

Nation deems appropriate in which cases applicants, the Investigator, the National Indian 

Gaming Cornmission and its Chairman shall be entitled to rely on such member(s) or 

representative(s) acting on behalf of the Nation. 

IX. LICENSE LOCATIONS 

The Nation shall issue a separate license to each place, facility, or location on tribal lands 

where the Nation elects to allow class 11 gaming. 

X. RESOLUTION OF CLAIMS 

A. Establishment of the Cayuga Nation Ctaims Commission 

1. The Nation establishes the Office of the Cayuga Nation Claims 

Commission (the "Cayuga Claims Commission") to resolve claims made agahst the Nation to 

recover damages (i) with regards to gaming winnings won in the Nation's gaming operations and 

(ii) arising out of personal injury alleged to have occurred in the Nation's gaming facility. 

2. The Cayuga Claims Commission, comprised of at least three 

Commissioners, and a list of at least two alternate Commissioners authorized to fill temporary 

vacancies, shall be appointed by the Nation's Council. Any three Commissioners may conduct 

business pursuant to these procedures. Commissioners and alternate Commissioners shall meet 

or exceed the minimum eligibility requirements for such appointments as established by the 

Nation's Council. 

3. The Cayuga Claims Commission shall have those powers and duties 

common to ofices of its kind. In particular, the Cayuga Claims Commission is authorized to 

recommend that the Nation compensate a claimant who deserves relief in accordance with the 

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standards and procedures set forth in this section X. To determine whether a claimant should 

receive compensation, the Cayuga Claims Commission may investigate or cause the 

investigation of any claim and may convene an inquiry at which testimony and other evidence 

may be received. The Cayuga Claims Commission may in its discretion promulgate regulations 

to implement these procedures, providing that they are consistent with its terms. 

4. An individual Commissioner shall excuse himself or herself &om 

reviewing any claim as required to prevent any actual conflict of interest or so as to avoid the 

appearance of impropriety. 

5. In the event that an individual Commissioner is temporarily unable to 

serve, an alternate Commissioner shall be temporarily appointed and seated, by order of his or 

her appearance on the list alternates, as authorized by the Nation's Council and until such time as 

the regular Commissioner is able to resume his or her duties. 

6. The Commissioners shall be paid and reimbursed for reasonable, approved 

expenses by the Nation for his or her services and shall be assisted by such staff, other public 

bodies or offices of the Nation, and counsel fiom time to time as deemed necessary by the 

Nation's Council to provide for prompt and fair resolution of claims made against the Nation. 

B. Resolution of Gaming-Related Claims 

1. This subsection B. sets forth procedures for resolving disputes between the 

gaming public and the Nation or the management contractor with regards to gaming winnings. 

2. Refbsal to Pay Winnings 

Whencver a licensed gaming facility refuses payment of alleged winnings 

to a patron, and the general manager of that facility and the patron are unable to resolve the 

dispute to the satisfaction of the patron, and the dispute involves: 

(a) At least Five Hundred Dollars ($500), the general manager shall 

immediately notify the Cayuga Claims Commission. The Cayuga Claims Commission shall 

conduct whatever investigation it deems necessary and shall determine within ten (1 0) days of 

notification whether payment should be made; or 

(b) Less than Five Hundred Dollars ($500), the general manager of 

that facility shall inform the patron of hisher right to request that the Cayuga Claims 

Commission conduct an investigation, which request must be made within five (5) &ays of the 

payment refusal. Upon receipt of such a request, the Cayuga Claims Commission shall conduct 

whatever investigation it deems necessary and shall determine within seven (7) days whether 

payment should be made. 

3. Notice to Patrons 

The Cayuga Claims Commission shall mail written notice by certified 

mail, return receipt requested, to the gcneral manager and the patron of the decision resolving the 

dispute. If the dispute results fiom an equipment malhnction or violation of an operations 

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procedure, the general rn&ger shall immediately correct the problem or disable the equipment. 

In addition, the general manager shall notifj the Cayuga Claims Commission within five (5) 

working days of the steps that have been taken to insure that a sirnilar problem does not occur in 

the hture. 

4. Effective Date of Decision 

The decision of the Cayuga Claims Commission is effective on the date it is 

received by the aggrieved party, as reflected on the return receipt. 

C. Resolution of Personal Injury Claims 

This subsection C. sets forth procedures for resolving disputes between the gaming public 

and the Nation or the management contractor with regards to claims of personal injury alleged in 

the Nation's gaming operations. 

1. Definitions 

The following defined terms shall have the indicated meanings when used 

in this subsection C.: 

(a) "Compensation" means payment for past and future damages made 

to a claimant by the Nation pursuant to these procedures. 

(b) "Damages" mean only medical expenses, lost earnings, property 

lost and other economic harms to the claimant that are a direct consequence of an injury caused 

by the fault of the Nation. "Damages*' do not include non-economic injury. 

(c) "Medical expenses" mean all necessary expenses incurred for: 

(i) medical, hospital, surgical, nursing, ambulance, x-ray, prescription drug and prosthetic 

services; (ii) medical supplies and equipment; (iii) psychiatric, physical and occupational therapy 

and rehabilitation; and (iv) any other professional health services. 

(d) "Lost earnings" mean loss of earnings from work which the person 

would have performed had he/she not been injured. 

(e) "Injury" includes any alteration or impairment of a temporary or 

permanent nature to a person or his or her property. 

(0 "Person" means any human being or group of human beings or any 

entity recognized as a person under the law of any jurisdiction. "Person" does not mean the 

Cayuga Nation of New York, its enterprises or agents. 

2. Standard for Compensation 

The Nation will compensate a person for damages if the person 

demonstrates to the Cayuga Claims Commission that he or she, or a person he or she is 

authorized to represent, was injured due to the fault of the Nation or one of its employees acting 

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within the scope of his or her employment. The Nation will recommend payment for that 

amount of damage commensurate with the degree to which the fault of the Nation or its 

employees, who were acting within the scope of their employment, caused the injury. Awards 

will reasonably compensate for past and hture damages caused by the fault of the Nation, but 

will in no event exceed Five Million and 001100 Dollars ($5,000,000.00) to a person. 

3. Procedures 

(a) A person, directly or by counsel, may submit a claim for 

compensation in writing to the Nation's gaming operation. The Nation's gaming operation shall 

forward any such claim to the Cayuga Claims Commission. The claim shall state prominently on 

its exterior packaging ''NOTICE OF CLAIM". 

(b) The claim must identify the claimant and contain a complete 

written description of the claim of injury and damage, including a detailed statement of why the 

Nation's gaming operation is at hult for the injury claimed. The claim must also be supported by 

evidence and state the name of the claimant and his or her address and telephone number for 

home and for business. With respect to each claimant, evidence shall include: 

(i) a sworn ffidavit &om the claimant, which shall include llis 

or statement in detail of the relevant facts, a detailed statement concerning past and hture lost 

earnings, and a detailed statement of all other sources of compensation regarding the claimed 

injuries, including insurance, third parties, and lawsuits; 

(ii) sworn affidavits fiom witnesses; 

(iii) photographs of any injured part ofthe claimant's body or 

property; 

(iv) a written list of the names, addresses, phone and facsimile 

numbers of health care providers who, and hospitals which, have treated the claimant for the 

injury claimed, and all records from medical personnel who are treating or have treated the 

claimant for the injury claiined, with a written report and prognosis prepared and signed by each 

physician that has treated or is treating the claimant for the injury claimed; 

(v) a written list of all health care providers, including doctors 

and hospitals, who have treated claimant during the proceeding ten years; and a written summary 

that reasonably describes the conditions treated by each of these health care providers, the 

treatment provided, and the resolution if any, of each condition described; 

(vi) all records that show lost income to the claimant due to the 

injury claimed, including but not limited to income tax returns, if any, filed with any government 

in the last three (3) years; 

(vii) a signed release !?om the claimant permitting release by 

third parties, including health care providers, to the Nation of records regarding the claimant or 

his or her claim; and 
(viii) all bills and receipts for which the claimant seeks 

reimbursement; 

(ix) and any other information available to the claimant and 

necessary for the Cayuga Claims Comrnission to evaluate the claim. 

Upon a showing of good cause, the Cayuga Claims Commission may waive a 

requirement that the claiit submit certain evidence. 

(c) Any submission of a claim for compensation shall be made to the 

Cayuga Claims Commission within one yea. of the date of enactment of these procedures or of 

the date of the injury claimed, which ever is later. 

(d) The Cayuga Claims Commission may conduct an investigation or 

an inquiry at which the claimant or the Nation, directly or through counsel, may give testimony 

and produce witnesses. In the event of such an inquiry, the Cayuga Claims Commission will 

provide reasonable advance notice to the claimant of the date, time and location of the inquiry. 

Faiiure of the claimant to respond completely to the requirements of the Cayuga Claims 

Commission in any regard shall be an independent ground upon which to deny compensation. 

(e) The Cayuga Claims Commission shaU issue a written decision 

with respect to each claim, stating an evaluation of the claim and recommending an amount of 

compensation, if any. The decision shall provide the findings of the Cayuga Claims Commission 

with respect to the facts underlying the claim The Cayuga Claims Commission may consider 

the existence of collateral sources of compensation which the claimant has and may consider the 

availability of insurance which the Nation may have to cover any award of compensation. If the 

Cayuga Claims Commission concludes that compensation is warranted, the Cayuga Claims 

Commission shall provide claimant with a copy of the decision including the amount and terms 

of such compensation. 

(f) The Nation may review the basis and size of a compensation 

recommendation to determine whether they are justified by the evidence in support of the claim 

and whether they are consistent with the best interest of the Nation. The Nation in its discretion 

may approve, amend or remand with instructions for further fact finding, any recommendation of 

the Cayuga Claims Commission. Upon approval or amendment of the rccomrnendation of the 

Cayuga Claims Conmission the Cayuga Claims Commission may notify the claimant. 

(g) Upon receipt by the Cayuga Claims Commission of a sworn, 

written release by the claimant of any claim or other liability against the Nation's gaming 

operation or any joint tortfeasor, the Cayuga Claims Commission shall send a copy of such 

release with a copy of the recommended award to the Nation's gaming operation, which shall 

prepare and issue a check on behalf of the Nation to the claimant in the amount of the award. 

D. Review of Decision 

Within twenty (20) days after the date of receipt ofthe written decision of the 

Cayuga Claims Commission, the aggrieved party may file a petition with the Chairman of thc 
nov 14 ua 1u:saa 

Cayuga Class I1 Gaming Commission requesting a review of the decision. The Chairman of the 

Cayuga Class 11 Gaming Commission may set a hearing on the matter or may make a decision 

based upon the prior decision and the other documentation provided to him or her by the Cayuga 

Claims Commission. 'I'he Chairman of the Cayuga Class I1 Gaming Commission shall then issue 

a written decision and mail it to the parties. The decision of the Chairman of the Cayuga Class I1 

Gaming Commission shall be find and binding, and shall not be subject to review, enforcement 

or modification in any state or federal court or by any authority outside the Nation. 

E. Interpretation 

1. The Nation does not, by reason of this section X., waive in any respect its 

sovereign immunity, or that of its agents, in any manner, under any law, for any purpose, nor in 

any place. 

2. These procedures for the resolution of claims do not create any right, 

cause of action or benefit enforceable at law or in equity by any person against the Nation, its 

agencies, its officers or employees, or any other person. 

XI. REPEAL 

To the extent that they are inconsistent with this ordinance, all prior gaming ordinances 

are hereby repealed. 

XII. DESIGNATION OF AGENT 

The Secretary of the Nation's Council shall be designated as agent for service of any 

official determination, order or notice of violation from the National Indian Gaming 

Commission. 

This Ordinance is effective upon enactment. 

Enacted as of the of November, 2003 

/LI' 

Nation Representative