Gaming Ordinance as amended through September 13, 2015

ny)

(2)
(13)

(14)

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
CER. § 522(h).

Any other information the Tribe deems relevant.

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

“A

@)

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:

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12)

8)

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;
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;

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.

17


Gaming Ordinance as amended through September 13, 2015

(B) _ Review and approve all investigative work conducted;

(C) _ Report results of background investigations to the State and the NIGC as required by
IGRA;

(D) Obtain and process fingerprints, or designate a law enforcement agency to obtain and
process fingerprints;

(E) Make suitability determinations, which shall be signed by the Chairman of the Gaming
Commission;

(F) _ Issue gaming licenses to management officials and employees of the operation, and
service suppliers consistent with the suitability determination;

(G) _ Inspect, examine and monitor all gaming activities, and have immediate access to review,
inspect, examine, photocopy and audit all records of the gaming establishment;

(H) _ 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;

dg) 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;

(K) — Comply with any and all reporting requirements under the IGRA, the Compact to which
the Tribe is a party, and any other applicable law;

(L)  Promulgate and issue regulations necessary to comply with the NIGC’s Minimum
Internal Control Standards (MICS);

(M) _ Promulgate and issue regulations on the levying of fees associated with gaming license
applications;

(N) _ 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;

(O) — Promulgate and issue licensing regulations.

(P) Employ such persons as are necessary to carry out the duties of the Gaming Commission,
including but not limited to gaming inspectors; and

(Q) _ 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

1


Gaming Ordinance as amended through September 13, 2015

@)

Q)

G)

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6)
6)

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8)

(9)

(10)

(11)

(12)

(13)
(14)

(15)

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 non-
gaming 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;

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, addresses
and 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:

21


Gaming Ordinance as amended through September 13, 2015

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(2) Card games that:
(@) 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.

(3) 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 [II 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:
(1) A person who performs one or more of the following functions:
@ Bingo caller;
(b) Counting room supervisor
(©) Chief of security;
(@) Custodian of gaming supplies or cash;

(0) Floor manager;


(13) Fingerprints consistent with procedures adopted by the NIGC according to
25 CER. § 522(h).

(14) Any other information the Tribe deems relevant.

Section 35. Eligibility Determinations.

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 employmentin-a
geming-eperstion_a gaming license. If the Tribal Gaming Commission, in applying the
standards adopted in this ordinance, determines that employment licensing of the

person poses a threat to the public interest or to the effective regulation of gaming, or
cteates or enhances dangers of unsuitable, unfair, or illegal practices and methods and
activities in the conduct of gaming, #-tribal-gaming-eperation an authotized tribal
official shall not empley license that person in a key employee or primary management
official position.

Section 37. Report to the National Indian Gaming Commission.

(D) __ with respect to all employees, and in particular key employees and primary
management officials, the Tribal Gaming Commission shall retain applications for
employment licensing, reports (if any) of background investigations, and eligibility
determinations for inspection by the Chairman of the NIGC ot his or her designee
for no less than three (3) years from the date of termination of employment.

Section 38, Granting a Gaming License.

(A) If, within a thirty (30) day petiod 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 for-whem

Gating- Commission, the Tribal Gaming Commission, acting for the Tribe, may issue
a license to such applicant.

(B) 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


Gaming Ordinance as amended through September 13, 2015

(C) 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.

(A) | 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.

(B) 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.

(A) The Tribal Gaming Commission shall maintain a complete application file containing the
information listed in Section 33(B).

(B) Before issuing a license to a primary management official or to a key employee, the
Tribal Gaming Commission shall:

(1) Create and maintain 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) Conclusions reached; and
(d) _ The bases for those conclusions.
(2) 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:

18


Cowlitz Indian Tribe

Tribal Council Ordinance No 15-03
Short Tide: Gaming Ordinance Amendment

WHEREAS, the Cowlitz Indian Tribe is acknowledged as a sovereign Indian Nation by the United
States Government, and

WHEREAS, the Tribal Council is the governing body of the Cowlitz Indian Tribe as authorized by
the Tribe's Constitution and By-laws, and

WHEREAS, at a duly called meeting of the Tribal Council on August 22, 2005, the Tribal Council
adopted Tribal Council Ordinance 05-02, entitled "Gaming Ordinance," and

WHEREAS, at a duly called meeting of the Tribal Council on October 6, 2007, the Tribal Council
adopted Tribal Council Ordinance 07-03, entitled "Gaming Ordinance Amendment,” and

WHEREAS, at a duly called meeting of the Tribal Council on August 6, 2011, the Tribal Council
adopted Tribal Council Ordinance 11-02, entitled “Gaming Ordinance Amendment," and

WHEREAS, at a duly called meeting of the Tribal Council on March 1, 2014, the Tribal Council
adopted Tribal Council Ordinance 14-01, entided "Gaming Ordinance Amendment,” and

WHEREAS, the Tribal Council desires to further amend the Tribe's Gaming Ordinance to
conform to recently amended regulations promulgated by the National Indian Gaming Commission,
which govern the conduct of certain gaming activities contemplated by the Gaming Ordinance, and

WHEREAS, the Tribal Council desires to have the amendments adopted pursuant to this
Resolution, as well as the amendments earlier adopted pursuant to the Resolution identified above,
incorporated into one document which includes the entire Gaming Ordinance as amended,

NOW THEREFORE BE IT ENACTED, by the Tribal Council of the Cowlitz Indian Tribe,
that Sections 33, 34, 36, 37, 38 and 39 of the Gaming Ordinance are amended as follows (new
language and formatting is underlined; deleted language identified by strikeout):


Gaming Ordinance as amended through September 13, 2015

©

@)

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.

(A)

@®)

©)

If, after the issuance of a gaming license, the Tribal Gaming Commission receives from
the National Indian Gaming Commission reliable information indicating 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 services or supplies with a value of $25,000 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.

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.

(A)

Applications for vendor licenses must include the following:

(1) Name of business, business address, business phone, federal tax ID number (or
SSN if a sole proprietorship), main office address if different from business

20


of a license to a key employee or to a primary management official ferwvhemthe

ission, 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.

AND LET IT BE FURTHER ENACTED by the Tribal Council of the Cowlitz, Indian
Tribe that the Gaming Ordinance attached to this Resolution is a complete and conformed
copy reflecting all of the amendments that have been made to the Gaming Ordinance as of
today's date, including the amendments made herein.

CERTIFICATION

The foregoing ordinance was adopted on, sonata“. 2015 at a duly called meeting of
the Cowlitz Tribal Council by a vote of for b- against, and abstaining.

Kaw Lr

Randy Ru: Tribaf Council Secretary

phen Kutz, Tribal Council Chair


Gaming Ordinance as amended through September 13, 2015

(A)

(B)

©

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:

(1) Complete a new application form that contains both the Privacy Act and false
statement notices; or

(2) 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 of the gaming operation.

15


Gaming Ordinance as amended through September 13, 2015

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 comer 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.

EXcepPT the West 370 feet to the North 600 feet thereof.

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:


Cowlitz Indian Tribe

Tribal Council Ordinance wal
Short Title: Gaming Ordinance Amendment

WHEREAS, the Cowlitz Indian Tribe is acknowledged as a Sovereign Indian Nation by the
United States Government, and

WHEREAS, the Tribal Council is the governing body of the Cowlitz Indian T'ribe as
authorized by the Tribe's Constitution and By-laws, and

WHEREAS, at a duly called meeting of the Tribal Council on August 22, 2005, the Tribal
Council adopted Tribal Council Ordinance 05-22, entitled “Gaming Ordinance," and

WHEREAS, at a duly called meeting of the Tribal Council on October 6, 2007, the Tribal
Council adopted Tribal Council Ordinance 07-03, entitled "Gaming Ordinance
Amendment," and

WHEREAS, at a duly called meeting of the Tribal Council on August 6, 2011, the Tribal
Council adopted Tribal Council Ordinance 11-02, entitled "Gaming Ordinance
Amendment,” and .

WHEREAS, at a duly called meeting of the Tribal Council on March 1, 2014, the Tribal
Council adopted Tribal Council Ordinance 14-01, entitled "Gaming Ordinance
Amendment," and

WHEREAS, at a duly called meeting of the ‘Tribal Council on August 14, 2015, the Tribal
Council adopted Tribal Council Ordinance 15-03 entitled "Gaming Ordinance
Amendment," and

WHEREAS, the Tribal Council desires to further amend the Tribe's Gaming Ordinance to
conform to recently amended regulations promulgated by the National Indian Gaming
Commission, which govern the conduct of certain gaming activities contemplated by the
Gaming Ordinance, and

WHEREAS, the Tribal Council desires to have the amendments adopted pursuant to this
Resolution, as well as the amendments earlier adopted pursuant to the Resolution identified
above, incorporated into one document which includes the entire Gaming Ordinance as
amended,

P.O. Box 2547 - Longview, WA 98632-8594 - (360) 577-8140 - Fax (360) 577-7432 - EMAIL Cowlltztribe@cowlltz.org


Section 37. Report to the National Indian Gaming Commission,

(A) The Tribal Gaming Commission shall maintain a complete application file containing the
information listed in Section 33(B). prepare-and-ferward-s-report-orreach-backgrouttd
investigation-to-the- National Indian-Gaming- Commission;

(6) — Seton lao eens to acpcinary management. oft or in keyempoes the Tiel C act "

ir it ligation. An
investigative ceport shall include all of the following:

€A@_ Steps caken in conducting a background investigation;
(Bb) Results obtained;
@)_ Conclusions reached; and

(44d) The bases for those conclusions.

iu i js i investigati whit

TCO 15-03 Page 4


Gaming Ordinance as amended through September 13, 2015

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.

PARCEL III

BEGINNING at the Northwest corner of the Northeast quarter of the
Northeast quarter of Section 8, Township 4 North, Range | 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 319th Street.

PARCEL IV


Gaming Ordinance as amended through September 13, 2015

)

(M)

W)
(0)

Q)

G)

® Pit boss;
(g) Dealer;
(h) Croupier;

G@) ——_ Approver of credit; or

@ Custodian of gambling devices including persons with access to cash and
accounting records within such devices;

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

(0)
2)

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

Total gaming-related operating expenses, excluding management fees.

“Primary Management Official” means

1)
@)

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

(©) The chief financial officer or other person who has financial management
responsibility.

“Tribe” means the Cowlitz Indian Tribe.

“Tribe’s Indian Lands” means:

qd)
Q)

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


Gaming Ordinance as amended through September 13, 2015

Section 32. Fingerprints. Each applicant for gaming license shall be required to have
fingerprints taken as part of the license application procedure. Fingerprints shall be taken by the
Clark County Sheriff's Office. 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.

(A)

®)

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:

@

Q)

@)

4
6)

©

”

(8)

12)

(10)

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;

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

16


Gaming Ordinance as amended through September 13, 2015

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.

EXxcepT 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 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


Gaming Ordinance as amended through September 13, 2015

©

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:

(A)

()

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Verify of 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, and conduct a Better Business Bureau check
on the vendor;

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, a credit report, and interviews with the personal references listed.

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.

22


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“Ve conn?

September 15, 2015

By Facsimile and First Class Mail

William B. Iyall, Chairman
Cowlitz Indian Tribe

P.O. Box 2547

Longview, WA 98632-8594

Re: Cowlitz Indian Tribe Gaming Ordinance Amendments

Dear Chairman lyall:

This letter responds to your request for the National Indian Gaming Commission
(NIGC) to review and approve three amendments to the Cowlitz Indian Tribe’s Gaming
Ordinance. The Cowlitz Tribal Council approved the following amendments: Ordinance
No. 14-01, approved on March 1, 2014; Ordinance No. 15-03, approved on August 14,
2015; and, Ordinance No. 15-04, approved on September 12, 2015. The amendments
authorize Class III gaming and update several sections of the ordinance to comport with
NIGC’s revised regulations.

Thank you for bringing these amendments to our attention and providing us with
copies. These amendments are approved as they are consistent with the Indian Gaming
Regulatory Act and NIGC regulations. If you have any questions, please feel free to
contact Staff Attorney Esther Dittler at 202-420-9229.

_—

cc: George T. Skibine, Esq.
V. Heather Sibbison, Esq.

[NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop # 1621 Washington, DC 20240 Tel: 202.632.7003 Fax: 202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK; Oklahoma City, OK
WWW,NIGC.GOV


Gaming Ordinance as amended through September 13, 2015
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.
(A) Net revenues from tribal gaming shall be used only for the following purposes:
(1) To fund tribal government operations and programs;
(2) To provide for the general welfare of the Tribe and its members;
(3) To promote tribal economic development;
(4) To donate to charitable organizations; or
(5) To help fund operations of local government agencies.

(B) If the Tribe elects to make per capita payments to tribal members, it shall authorize such
payments only in accordance with a revenue allocation plan submitted to and approved
by the Secretary of the Interior under 25 U.S.C. § 2710(b)(3).

(C) _ 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]

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


Gaming Ordinance as amended through September 13, 2015

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:

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.


license to a key employee or to a primary management official for whom the Tribal Gaming
Commission has provided an application and investigative report to the National Indian
Gaming Commission, 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 issuc a license to such applicant.

Section 39. License Suspension

(A) If, after the issuance of a gaming license, the Taba! Gaming Commission receives from the
National Indian Gaming Commission reliable information indicating 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.

(8) The Tribal Gaming Commission shall notify the licensee of a time and place for a hearing on
the proposed revocation of a license,

(C) After a revocation hearing, the Tribal Gaming Commission shall decide co revoke or
reinstate a gaming license. The Commission shall notify the NIGC of its decision within 45

AND LET IT BE FURTHER ENACTED by the Tribal Council of the Cowlitz Indian Tribe
that the Gaming Ordinance attached to this Resolution is a complete and conformed copy reflecting
all of the amendments that have been made to the Gaming Ordinance as of today's date, including
the amendments made herein.

CERTIFICATION

The foregoing ordinance was adopted og hugest i 2015 at a duly called meeting of che Cowlitz
Tribal Council by a vote of A For _& Against Abstain.

Stephin Kut, Tribal Cohcil Chai Randy R £: Council Secretary

TCO 15-03 Page 6



(BHC) Ifa license is not issued to an applicant, the Tribal Gaming Commission:

(1) Shall notify the NIGC; and

(2) Shall forward copies of its eligibility determination and investigative report (if any) to
the NIGC for inclusion in the Indian Gaming “Individuals Records System,

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

officials, the Tribal Gaming Commission shall retain applications for employment -end
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.

“)

®)

©

I€, within a thirty (30) day period after the National Indian Gaming Commission receives 2
fepert complete notice of results, the National Indian Gaming Commission notifies the Tribe
that it has no objection to che issuance of a license pursuant to a license application filed by a
key employee or a primary management official for whom the Tribe has provided an
application and investigative report to the National Indian Gaming Commission, the Tribal
Gaming Commission, acting for the Tribe, may issue a license to such applicant.

The Tribal Gaming Commission shall respond to a tequest 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.

T€, 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

TCO 15-03 Page 5


Gaming Ordinance as amended through September 13, 2015

All that part of the Southeast quarter of Section 5, Township 4 North,
Range | 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 fect 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. | (Pacific Highway) and the East line of the Southeast quarter of said
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


Gaming Ordinance as amended through September 13, 2015

©

@)

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

(6) 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:

@ 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:
qd) Shall notify the NIGC; and

(2) 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!

(A)

@)

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

19


Section 33. Background Investigations.

(A) The Tribal Gaming Commission is responsible for conducting background investigations
and suicability determinations for cach primary management official and for cach key

(B) The Tribal Gaming Commission shall request ftom cach primary management official and
from each key employee all of the following information:

(0) Full name, other names used (ora! or written), social security number(s), birth date,
Place of birth, citizenship, gender, all languages (spoken or written);

2) 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;

(3) The names and current addresses of at least three personal ceferences, including one
personal reference who was acquainted with the applicant during each petiod of
residence listed under paragraph (B)(2) of this section;

(4 Current business and residence telephone numbers;

(6) 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;

@® For each felony for which there was an ongoing prosecution or a conviction, within
10 years of the date of the application, the charge, the name and address of the court
involved, and the date and disposition if any;

(9). 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;

(10) 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)() of this section, the
criminal charge, the name and address of the court involved and che date and
disposition;

(11) 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
Ucense or permit was granted;

(12) A photograph taken within the lase year; and

(13) Fingerprints consistent with procedures adopted by the NIGC according to 25
CFR. § 522(h).

TCO 15-03 Page 2


Cowlitz Indian Tribe
GAMING ORDINANCE

Attachment to Tribal Council Ordinance 15-__

Conformed copy of Ordinance 05-02, as amended by Ordinances 07-03, 11-02, 14-01, 15-03, and 15-_.

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:

(A) “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.

(B) “Commission” means the Tribal Gaming Commission established to perform regulatory
oversight and to monitor compliance with Tribal, Federal, and applicable State
regulations.

(C) “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.

(D) “Class Il gaming” means:

(1) | 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,

(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

(©) 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

P.O. Box 2547 + Longview, WA 98632-8594 (360) 577-8140 * Fax (360) 577-7432 » EMAIL cowlitztribe@tdn.com


Gaming Ordinance as amended through September 13, 2015

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.

(A) | 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.

(B) All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of$25,000.00 annually, except contracts for professional legal and
accounting services, shall be specifically included within the scope of the audit that is
described in subsection (A) above.

12


Gaming Ordinance as amended through September 13, 2015

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

(a) ‘Members shall endeavor to avoid any actions creating the appearance that they are
violating the law or the ethical standards listed herein.

(K) | 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

1055-9" 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 complaints 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 hold a hearing within 30 days of receipt of
petitioner’s complaint. 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 complainants 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.

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 Hon, Jonodev Osceola Chaudhuri Salane FMC SNR Denton
DENTONS
June 18, 2015 sila

Page 2

In sum, the Tribe has submitted three Tribal Council Ordinances (Nos. 14-01, 15-03, and
15-04) for the Commission's review and approval which together amend the Tribe's existing NIGC-
approved Tribal Gaming Ordinance for the purposes of adding Class III gaming and updating
certain other provisions to bring them into compliance the Commission's current regulations.
Pursuant to the requirements of the Indian Gaming Regulatory Act (GRA) and implementing
regulations, the Cowlitz Tribe respectfully requests your approval of these most recent amendments
to its Tribal Gaming Ordinance.

Please do not hesitate to contact us if you have any questions about these submissions. I can
be reached at 202/408-6439 and George Skibine can be reached at 202/408-8668, and out colleague
Mr. Ed Fleisher, the Tribe's local counsel, is reachable at 360/413-5766.

On behalf of the Cowlitz Tribe and our office, we thank you and yout staff for the technical
assistance that has been provided to the Tribe and for your collective support with this matter. The
Commission's efforts have been extremely helpful to the Tribe, which after 150 years of landlessness
is on the verge of finally having access to the same economic development oppottunities that have
benefitted so many other federally recognized tribes.

Respectfully,

Yiple—

V. Heather Sibbison

Enclosures

cc: The Hon, William B. lyall, Chairman
Esther Dittler, Esq. (NIGC)
Edward Fleisher, Esq.
George T. Skibine, Esq.
Suzanne R. Schaeffer, Esq.


Cowlitz Indian Tribe

Tribal Council Ordinance No. 0
Short Title: Gaming Ordinance Amendment

WHEREAS, the Cowlitz Indian Tribe is Acknowledged as a Sovereign Indian Nation by the United
States Government, and

WHEREAS, the Tribal Council is the governing body of the Cowlitz Indian Tribe as authorized by the
tribe’s Constitution and By-laws, and

WHEREAS, at a duly called meeting of the Tribal Council on August 22, 2005, the Tribal Council
adopted Tribal Council Ordinance 05-02, entitled “Gaming Ordinance”, and

WHEREAS, at a duly called meeting of the Tribal Council on October 06, 2007, the Tribal Council
adopted Tribal Council Ordinance 07-03, entitled “Gaming Ordinance Amendment”, and

WHEREAS, at a duly called meeting of the Tribal Council on August 06, 2011, the Tribal Council
adopted Tribal Council Ordinance | t-02, entitled “Gaming Ordinance Amendment”, and

WHEREAS, the Tribal Council wishes to amend the Tribe’s gaming ordinance to include Class IIT
gaming in the scope of the Tribe’s Gaming Ordinance,

NOW THEREFORE BE IT ENACTED, by the Tribal Council of the Cowlitz Indian Tribe, that
Sections | and 3 of the Tribal Gaming Ordinance are amended to read as follows;

“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 II] gaming on the
Tribe’s Indian Lands”

“Section 3. Tribal Gaming Authorized. Class lI and Class III gaming is hereby authorized on the
Tribe’s Indian Lands. The authorization to conduct Class III gaming is contingent upon the
approval of a gaming Compact with the State of Washington and is limited to such Class III
gaming as may be conducted in accordance with such Compact”

CERTIFICATION

The foregoing ordinance was adopted on March Of , 2014 ata duly called meeting of the Cowlitz Tribal
Council by a vote of For_@ Against a Abstain.

Steplfen Kutz, ‘ Council Chair Randy BfsselTi tibal Council Secretary

P.O. Box 2547 - Longview, WA 98632-8594 - (360) 577-8140 - Fax (360) 577-7432 + EMAIL cowlitztribe@cowlitz.org


DENTONS V. Heather Sibblson hheather.slbbison@dentons.com ‘Salans FMC SNR Denton
Partner D +1202 408 6430 McKenna Long

Dentons US LLP dentone.com

1301 K Street, NW
Sulte 600, East Tower
‘Washington, DC 20005-3364 USA

T +4202 408 6400
F +1202 408 6399

September 14, 2015

The Hon. Jonodev Osceola Chaudhuti
Chairman

National Indian Gaming Commission
90 K Street N.E., Suite 200
‘Washington, DC 20002

By Hand Delivery

Re: Additional Amendments to Cowlitz Tribal Gaming Ordinance
(Tribal Council Ordinance 15-04)

Dear Chairman Chaudhuti:

Please find enclosed for your review Cowlitz Tribal Council Ordinance No. 15-04, dated
September 12, 2015, which amends the Tribe's Gaming Ordinance pursuant to NIGC staff
recommendations. Tribal Council Ordinance No. 15-04 includes by reference a complete and
conformed copy of the Gaming Ordinance that incorporates all amendments to the Ordinance
adopted by the Tribe as of this date.

As you may recall, on June 18, 2015, we submitted Cowlitz Tribal Council Ordinance No.
14-01, entitled "Gaming Ordinance Amendment" and dated March 1, 2014. Ordinance No. 14-01
amends the Tribe's Gaming Ordinance, which was originally adopted in 2005 by Tribal Council
Resolution 05-22, and which has been amended by Tribal Council Ordinances 07-03 and 11-02.
Both of these prior amendments were approved by the Commission. The purpose of Ordinance
No. 14-01 was to add Class IIT gaming to the Tribe's Gaming Ordinance. ‘For mote information
about this initial submission, please see out letter of June 18, 2015 which accompanied it.

As you may also recall, on August 17, 2015, the Tribe submitted Tribal Council Ordinance
No. 15-03, dated August 14, 2015, which adopted additional amendments to bring certain other
provisions of the Tribe's Gaming Ordinance into conformance with recently amended regulations
promulgated by the NIGC.

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NOW THEREFORE BE IT ENACTED, by the Tribal Council of the Cowlitz Indian
Tribe, that Sections 33(B), 35, 37(D), and 38(A) and (C) of the Gaming Ordinance are
amended as follows (new language and formatting is underlined; deleted language identified
by strikeout):

Section 33. Background Investigations.

(B) The Tribal Gaming Commission shall request from each primary management
official and from each key employee all of the following information:

(1) Full name, other names used (oral or written), social security number(s), birth
date, place of birth, citizenship, gender, all languages (spoken or written);

Q) Currently and for the previous 5 yeats: business and employment positions
held, ownership interests in those businesses, business and residence
addresses, and drivers license numbers;

(3) 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 patagraph (B)(2) of this section;

() Current business and residence telephone numbers;

(5) A description of any existing and previous business relationships with Indian
Tribes, including ownership interests in those businesses;

(6) A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those businesses;

(7) 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;

(8) For each felony for which there was an ongoing prosecution or a conviction,
within-10-yeate-of the-date-of the-appliention; the charge, the name and
address of the court involved, and the date and disposition if any;

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding minor traffic violations), within 10 years of the date of the date of
the application,
the name and address of the court involved and the date and disposition;

(10) For each criminal charge (excluding minor traffic chatges), whether or not
there is a conviction, if such ctiminal 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;

(11) 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;

(12) A photograph taken within the last year; and


(14) Any other information the Tribe deems relevant,

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

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As part ofits review procedure, che Tribal Gaming Commission of its agent shall employ or
engage a private investigator to conduct a background invesgation 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;

Conduct a civil history check;

Conduet 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;

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

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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 refered to in Section 35 of this
ordinance.

‘The gaming operation shall nat employ as a key employee or primary management official a
person who does not have a license after 90 days.

TCO 15-03 Page 3


Gaming Ordinance as amended through September 13, 2015

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:

(A) No member of the Tribal Gaming Board of Directors may serve on the Tribal Gaming
Commission;

(B) 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

(C) Commissioners are prohibited from gambling in the facility.
Section 14, Duties of the Commission. The Tribal Gaming Commission shall:

(A) Conduct or cause background investigations to be conducted on, at a minimum, primary
management official, key employees and service suppliers;

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Gaming Ordinance as amended through September 13, 2015

Section 22. Environment and Public Health and Safety.

(A)

(B)

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:

(A) Members shall not hold financial interests that conflict with the conscientious
performance of their duties as managers and regulators.

(B) 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.

(C) 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.

(D) Members shall make no unauthorized commitments or promises of any kind purporting to
bind the Tribe.

(E) Members shall not use their positions for private gain.

(F) 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.

(G) 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.

(A) 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.

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