VIA FIRST CLASS MAIL 

Clint Halftown, Federal Representative 

Cayuga Nation 

P.O. Box 803 

Seneca Falls, New York 13148 

July 31, 2018 

Re: Class II Gaming Ordinance, Ordinance No. CN-2018-1 

Dear Federal Representative Halftown: 

This letter responds to your May 29, 2018 request on behalf of the Cayuga Nation for the 

National Indian Gaming Commission Chairman to review and approve the Nation's Class II Gaming 

Ordinance. 

The gaming ordinance is approved as it is consistent with the requirements of the Indian Gaming 

Regulatory Act and NIGC regulations. However, we note that should the Nation revise Section XI, 

Agent/or Service of Process, in the future, the ordinance will need to be amended to comply with the 

requirements of25 CFR § 5 19.1 and approved by NIGC. 

If you have any questions concerning this letter or the ordinance review process, please contact 

Tana Fitzpatrick, Staff Attorney, at (202) 632-7003. 

Sincerely, 

: ; $op ' ; ?I Wrnhit><i ".>O, DC 20240 l ei. '20 '2.63?.7003 NEW MAILING ADDRESS: NIGCIOEPl\ltTMENi OF THF. \NTl:RIOR 8-1~ C 5< ~ot ' 

r . "l>ocni . AZ,· 5•. p,,,, 1, Mi'I; ;-,,l« r, OK; O klah<>ma City, CK REOIONA\. OFFICES Port 1

and, OR; Socfan, cn tn, '· c 

WWW.N!CC.:.GOV 
CAYUGA NATION 

HAUOENOSAUNEE 

P.O. Box 803 

Seneca Falls, NY 13148 

Phone: 315-568-07 50 

Toll: 1-888-532-4847 

Fax: 315"252-1092 

CAYUGA NATION COUNCIL 

RESOLUTION AUTHORIZING THE 

CA YUGA NATION CLASS TI GAMING ORDINANCE 

WHEREAS,'the Cayuga Nation Council, the governing body of the Cayuga Nation, 

desires to update tenns fur Class TI gaming operations on Indian lands; 

NOW, THERFORE, BE IT RESOLVED, that the Cayuga Nation, acting through the 

Cayuga Nation Council, hereby authorizes and adopts the Cayuga Nation Class II Gaming 

Ordinance (Ordinance No. 2018-01 ), in the fomi attached to this Resolution, to update the tenns 

for Class Il gaming operations on Nation lancls, replacing Ordinance No. CN-2003-06; and be it 

FURTHER RESOLVED, that Clint Halftown. as the Federal Representative of tbe 

Nation, is hereby authoriud, empowered and directed to execute the Ordinance No. CN-2018" 1 

on behalf of the Nation and to file a cqpy thereof with the National Indian Gaming Commission. 

The foregoing resolution was duly adopted by the Cayuga Nation Council on the j fl J 

day of May in the year 2018 and the undersigned is duly authorized to sign, this attestation. 

Sharon L. LeRoy 

Secretary 
CAYUGA NATION 

CLASS II GAMING ORDINANCE 

ORDINANCE NO. CN-2018-1 

I. PURPOSE 

The Cayuga Nation Council (hereinafter "Council") of the Cayuga Nation (hereinafter 

"Nation") hereby enacts this ordinance in order to govern and regulate the operation of 

Class II gaming operations on the Nation's Indian Lands. 

11. APPLICABILITY 

Unless specifically indicated otherwise, all provisions of this ordinance shall apply to Class II 

gaming on the Nation's Indian lands. 

Ill. GAMING AUTHORIZED 

Class II gaming as hereinafter defined is hereby authorized. Consistent with the definition 

of Class II gaming in the regulations promulgated by the National Indian Gaming 

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

April 9, 1992), Class II 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. Pull-tabs, punch boards, tip jars, instant bingo and other games similar to bingo, if 

played in the same location as bingo or lotto; 

3. Non-banking card games that: 

1 
4. State law explicitly authorizes, or does not explicitly prohibit, and are played legally 

anywhere in the state; and 

5. Players play in conformity with state laws and regulations concerning hours, periods of 

operation, and limitations on wagers and pot sizes. 

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, except as expressly provided in this 

Ordinance. 

V. USE OF NET GAMING REVENUES 

The Nation shall use net gaming revenues only for the following purposes: 

a) To fund Nation government operations or programs; 

b) To provide for the general welfare of the Nation and its members; 

c) To promote Nation economic development; 

d) To donate to charitable organizations; or 

e) To help fund operations of local government agencies. 

Vl. GAMING COMMISSION 

1. The Nation hereby establishes a Nation Class II Gaming Commission {hereinafter 

"Commission"} to regulate the Nation's Class II gaming operations. The Commission 

shall consist of three members, including a Chairman and two Commissioners. 

2. The Commission will conduct oversight to ensure compliance with Nation and federal 

and, if applicable, state laws and regulations. In order to carry out its regulatory duties, 

the Commission shall have unrestricted access to all areas of the gaming operation and 

to all its records. 

3. Each member ofthe Nation Class II Gaming Commission shall serve a term of three 

years and can be removed for cause. 

4. Commissioner positions shall be filled through appointment by the Council. 

5. The Nation Gaming Commission shall: 

2 
a) Conduct background investigations, or cause such investigations to be conducted, 

for primary management officials and key employees; 

b) Review and approve all investigative work conducted in connection with the 

background investigations of primary management officials and key employees; 

c) Process fingerprints obtained by a law enforcement agency 

d} Make licensing eligibility determinations, which shall be signed by the Commission 

Chairman; 

e) Submit a Notice of Results to the NIGC of the background investigations done for 

each primary management official and key employee applicant; 

f) Issue gaming licenses to primary management officials and key employees of the 

operation; if warranted by the eligibility determination; 

g) Issue gaming licenses to Nation gaming facilities; 

h) Inspect, examine and monitor all of the Nation's Class II gaming activities, and have 

immediate access to review, inspect, examine, photocopy and audit all records of 

the gaming establishment; 

i) Ensure compliance with all Nation and federal laws, rules and regulations regarding 

Indian gaming; 

j) Investigate any suspicion of wrongdoing associated with any gaming activities; 

k) Hold hearings on patron complaints, in accordance with procedures established in 

this ordinance 

I) Comply with any and all reporting requirements under IGRA, the NIGC's regulations, 

and any other applicable law; 

m) Promulgate and issue regulations necessary to comply with applicable internal 

control standards; 

n) Establish a list of persons not allowed to game in the Nation's gaming facilities in 

order to maintain the integrity of the gaming operation; 

o) Establish a list of persons who have voluntarily agreed to be excluded from the 

Nation's gaming facility, and create regulations for enforcing such exclusions; 

3 
p) Provide referrals and information to the appropriate law enforcement officials when 

such information indicates a violation of Nation, federal or state statutes, 

ordinances, regulations, codes or resolutions; 

q) Draft regulations exempting vendors from the licensing and/or background 

investigation requirements if they have received a license from a recognized 

regulatory authority; 

r) Perform such other duties the Commission deems appropriate for the proper 

regulation of the Nation gaming operation. 

6. Before adopting, amending and repealing regulations, the Commission shall give notice 

of any such proposed action to the Council, the gaming operation{s) and all other 

persons whom the Commission has reason to believe have a legitimate interest in the 

proposed action. The notice shall invite comments and describe the general nature of 

the proposed action and the manner in which comments on the proposed action shall 

be received by the Commission. 

7. The Commission shall ensure that all records and information obtained as a result of an 

employee background investigation shall remain confidential and shall not be disclosed 

to any persons who are not directly involved in the licensing and employment 

processes. Information obtained during the course of an employee background 

investigation shall be disclosed to members of management, human resource personnel 

and/or others employed by the Nation gaming operation on a need-to-know basis, for 

actions taken in their official capacities. 

8. The confidentiality requirements in #7, above, do not apply to requests for records or 

information from any Nation, federal, or state law enforcement or regulatory agency, or 

for the use of such records or information by the Commission and staff in the 

performance of their official duties. 

9. A majority of the Commission shall constitute a quorum. The concurrence of a majority 

of the Commissioners 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. 

10. The Commission shall keep a written record of all its meetings. 

4 
VII. AUDITS 

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

annually and shall submit the results of those audits to the NIGC within 120 days after 

the end of each fiscal year of the gaming operation. 

2. Annual audits shall conform to generally accepted auditing standards. 

3. All gaming-related contracts that result in the purchase of supplies, services or 

concessions for more than $25,000 in any year (except for professional legal and 

accounting services) shall be specifically included within the scope of the audit 

conducted under Section VII (1) of this ordinance. 

VIII. ENVIRONMENT AND PUBLIC HEALTH AND SAFETY 

Each gaming facility shall be constructed, maintained and operated in a manner that 

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

IX. PATRON DISPUTE RESOLUTION 

Patrons with complaints against the gaming establishment shall have as their sole remedy 

the right to file a petition for relief with the Commission. Complaints shall be submitted in 

writing. The Commission shall hold a hearing within 30 days of receipt of the petitioner's 

complaint. The petitioner may be allowed to present evidence, at the discretion of the 

Commission. After the hearing the Commission shall render a decision in a timely fashion. 

All such decisions will be final when issued. Any patron complaint must be submitted to 

the Commission within 30 days of the incident giving rise to the complaint. The 

Commission's decision shall constitute the complainant's final remedy. 

X. FACILITY LICENSES 

1. The Nation shall issue a separate license to each place, facility or location on Indian 

lands where Class II gaming is conducted under this ordinance. This license must include 

an attestation certifying that by issuing the facility license, the Nation has determined 

that construction and maintenance of the gaming facility, and the operation of that 

gaming, is conducted in a manner which adequately protects the environment, public 

health and safety. 

2. The Commission is responsible for issuing new or renewed facility licenses to each place, 

facility or location. 

5 
3. The Commission shall submit to the NIGC Chair a notice that issuance of a facility license 

is under consideration by the Commission. This notice must be submitted at least 120 

days before the opening of any new place, facility or location on Indian lands where 

Class II gaming will occur. 

XI. AGENT FOR SERVICE OF PROCESS 

The Nation designates Clint Halftown, Federal Representative, as the agent for service of 

any official determination, order, or notice of violation. 

XII. LICENSE APPLICATION FORMS 

1) The following notice shall be placed on the Nation's license application form for a key 

employee or a primary management official before it is filled out by an applicant: 

a) 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 

Cayuga Nation Gaming Commission and by the NIGC members and staff who have 

need for the information in the performance of their official duties. The information 

may be disclosed by the Nation or the NIGC to appropriate Federal, Nation, State, 

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

criminal or regulatory investigations or prosecutions or when pursuant to a 

requirement by a tribe or the NIGC in connection with the issuance, denial, or 

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

tribe or a gaming operation. Failure to consent to the disclosures indicated in this 

notice will result in the Nation being unable to license you for a primary 

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

employee or primary management official before it is filled out by an applicant: 

a) 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). 

6 
XIII. BACKGROUND INVESTIGATIONS 

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

official and key employee in its gaming operation. The investigation must be sufficient 

to allow the Commission to make an eligibility determination under Section XVI of this 

ordinance. 

2. The Commission is responsible for conducting the background investigations of primary 

management officials and key employees. The background investigation shall include a 

check of criminal history records information maintained by the Federal Bureau of 

Investigations. 

3. The Nation shall request fingerprints from each primary management official and key 

employee. The law enforcement agency designated to take fingerprints is the Sheriffs 

office of Cayuga County, NY. 

4. The Commission shall request from each primary management official and key 

employee all of the following information: 

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

place of birth, citizenship, gender and all languages spoken and/or written; 

b) Currently, and for the previous five (5) years; business and employment positions 

held, ownership interests in those businesses, business and residential addresses, 

and driver's license numbers; 

c) The names and current addresses of at least three (3) personal references, including 

one (1) personal reference who was acquainted with the applicant during each 

period of residence listed under paragraph (4) (b) of this section; 

d) Current business and residential telephone numbers, and all cell phone numbers; 

e) A description of any existing and previous business relationships with other tribes, 

including any ownership interests in the businesses; 

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

industry generally, including ownership interests in the businesses; 

g) 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; 

7 
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 date of the disposition, 

if any; 

i) For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding 

minor traffic violations) within ten years of the date of application, the name and 

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

j) For each criminal charge (excluding minor traffic charges), whether or not there is a 

conviction, if such criminal charge is within ten years of the date of application and is 

not otherwise listed pursuant to paragraphs (4) (h) of (4)(i) of this Section, the 

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

disposition, if any; 

k) 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; 

I) Two copies of a current photograph, the size and structure of which should meet 

U.S. Passport regulations; 

m) Any other information the Nation deems relevant; and 

n) Fingerprints obtained in accordance with Paragraph 3 above. 

5. When a primary management official or key employee is employed by the Nation, a 

complete application file, containing all of the information listed in Section XI 11 ( 4), shall 

be maintained. 

6. The Commission, and its investigators, shall keep confidential the identity of each 

person interviewed in the course of conducting a background investigation. 

XIV. PROCEDURES FOR CONDUCTING BACKGROUND INVESTIGATIONS 

1. The Commission will engage a professional investigator to conduct an appropriate 

background investigation on each applicant for a primary management official or key 

employee position. The investigator shall: 

a) Verify the applicant's identity through items such as social security card, driver's 

license, birth certificate or passport; 

8 
b) Conduct a criminal history records check, as well as information acquired from an 

applicant's self-reporting or from any other source, obtain information from the 

appropriate court regarding any past felony and/or misdemeanor convictions or 

ongoing prosecutions within the past ten years; 

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

any problem areas noted. 

2. The Gaming Facility Manager will perform the following background investigation items: 

a) Contact each personal and business reference provided in the license application, 

when possible. Results should be recorded and included in the applicant file. 

3. The Human Resources Manager will perform the following background investigation 

items: 

a) Verify the applicant's employment history as reported on the application. Results 

should be recorded and included in the applicant file. 

b) Inquire into previous or existing business relationships with the gaming industry, 

including with any tribes with gaming operations, by contacting the entities or 

tribes; 

c) Verify the applicant's history and current status with any licensing agency by 

contacting the agency. 

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

any problem areas noted. 

XV. INVESTIGATIVE REPORTS 

1. The Nation shall create and maintain an investigative report for each background 

investigation of a primary management official or key employee. 

2. Investigative reports shall include all of the following information: 

a) Steps taken in conducting the investigation; 

b) Results obtained; 

c) Conclusions reached; and 

9 
d) The basis for those conclusions. 

XVI. ELIGIBILITY DETERMINATIONS 

1. Before a license is issued to a primary management official or key employee, the 

Commission shall make a finding concerning the eligibility of that person for receiving a 

gaming license by reviewing the applicant's prior activities and criminal history, if any, 

and reputation, habits and associations. 

2. If the Commission, in applying the standards adopted in this ordinance, determines that 

licensing the person 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, 

methods and/or activities in the conduct of gaming, he or she shall not license that 

person in a key employee or primary management official position. 

3. Copies of the eligibility determination shall be included with the notice of results that 

must be submitted to the NIGC before the licensing of a primary management official or 

key employee. 

XVII. NOTICE OF RESULTS OF BACKGROUND INVESTIGATIONS 

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

Commission shall prepare a notice of results of the applicant's background investigation 

to submit to the NIGC. 

2. The notice of results must be submitted no later than 60 days after the applicant begins 

working for the gaming facility. 

3. The notice of results shall include the following information: 

a) The applicant's name, date of birth and social security number; 

b) The date on which the applicant began, or will begin, working as a primary 

management official or key employee; 

c) A summary of the information presented in the investigative report, including: 

I. licenses that have been previously denied; 

II. gaming licenses that have been revoked, even if subsequently reinstated; 

10 
Ill. every known criminal charge brought against the applicant within the last 

10 years of the date of the application; and 

IV. every felony offense of which the applicant has been convicted or any 

ongoing prosecution; and 

d} A copy of the eligibility determination made in accordance with Section 16. 

XVIII. GRANTING GAMING LICENSES 

1. All primary management officials and key employees of the gaming operation must have 

a gaming license issued by the Nation. 

2. The Commission is responsible for granting and issuing gaming licenses to primary 

management officials and key employees. 

3. The Commission may license a primary management official or key employee applicant 

after submitting a notice of results of the applicant's background investigation to the 

NIGC, as required in Section XVII. 

4. The Commission shall notify the NIGC of the issuance of a license to a primary 

management official or key employee within 30 days of issuance. 

5. The Nation shall not employ an individual in a primary management official or key 

employee position who does not have a license 90 days after beginning work at the 

gaming operation. 

6. The Commission must reconsider a license application for a primary management 

official or key employee if it receives a statement of itemized objections to issuing such 

license from the NIGC, and those objections are received within 30 days of the NIGC 

receiving a notice of results of the applicant's background investigation. 

7. The Commission shall take the NIGC's objections into account when reconsidering a 

license application. 

8. The Tribe will make the final decision whether to issue a license to an applicant for a 

primary management official or key employee position. 

9. If the Commission has issued a license to a primary management official or key 

employee before receiving the NIGC's statement of objections, notice and a hearing 

shall be provided to the licensee, as required by Section XX. 

11 
XIX. DENYING GAMING LICENSES 

1. The Commission shall not license a primary management official or key employee if an 

authorized Nation official determines, in applying the standards in Section 17 for making 

a license eligibility determination, that licensing the person: 

a) Poses a threat to the public interest; 

b) Poses a threat to the effective regulation of gaming; or 

c) Creates or enhances the dangers of unsuitable, unfair or illegal practices, methods 

and/or activities in the conduct of gaming. 

2. When the Commission does not issue a license to an applicant for a primary 

management official or key employee position, or revokes a previously issued license 

after reconsideration, it shall: 

a) Notify the NIGC; and 

b) Forward copies of its eligibility determination and notice of results of the applicant's 

background investigation to the NIGC for inclusion in the Indian Gaming Individuals 

Record System. 

XX. GAMING LICENSE SUSPENSIONS AND REVOCATIONS 

1. If, after a license is issued to a primary management official or key employee, the Nation 

receives notice from the NIGC that the primary management official or key employee is 

not eligible for employment, the Commission shall do the following: 

a) Immediately suspend the license; 

b) Provide the licensee with written notice of the suspension and proposed revocation; 

and 

c) Provide the licensee with notice of a time and place for a hearing on the proposed 

revocation of the license. 

2. Following a revocation hearing, the Nation shall decide whether to revoke or reinstate 

the license at issue. 

12 
3. The Nation shall notify the NIGC of its decision to revoke or reinstate a license within 45 

days of receiving notification from the NIGC that a primary management official or key 

employee is not eligible for employment. 

XXI. RECORDS RETENTION 

The Commission shall retain, for no less than three years from the date a primary management 

official or key employee is terminated from employment with the gaming operation, the 

following documentation: 

a) Applications for licensing; 

b) Investigative reports; and 

c) Eligibility Determinations 

XXll. COMPLIANCE WITH FEDERAL LAWS 

The Nation shall comply with all applicable federal laws, including the Bank Secrecy Act, 31 U.S.C. § 5311 

et seq. 

XXlll. REPEAL 

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

hereby repealed. 

XXIV. EFFECTIVE DATE 

This ordinance is effective upon enactment. 

Enacted as of the __ 

~·f day of May, 2018. 

Clint Halft 

Federal Representative 

13