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GAMING ORDINANCE OF THE CATAWBA INDIAN NATION 

TITLE I 

GENERAL PROVISIONS 

Section 101. Short Title 

This Ordinance shall be known and may be cited as the "Catawba Indian Nation Gaming 

Ordinance."

Section 102. Purpose and Findings 

The Catawba Indian Nation General Council, empowered by the Constitution of the Catawba 

Indian Nation, Article IV, hereby enacts this Ordinance to: 

A. Authorize and regulate tribal gaming activities on lands of the Catawba Indian

Nation;

B. Provide revenue generated by tribal gaming activities to fund tribal government

operations and programs and to promote the general welfare of the Catawba

Indian Nation; and

C. Ensure that tribal gaming activities are conducted fairly and honestly and are free

from organized crime and other corrupting influences.

The Catawba Indian Nation General Council finds that it is of vital interest to the public health, 

safety, and welfare of the Catawba Indian Nation and its members that the Nation promote and 

regulate tribal gaming activities in a manner consistent with this Ordinance.

Section 103. Definitions 

A. "Class II gaming" shall mean all gaming as defined as Class II gaming in IGRA.

B. "Class III gaming" shall mean all gaming as defined as Class III gaming in IGRA.

C. "Compact" shall mean any tribal-state gaming compact concerning the operation

of Class III gaming between the Catawba Indian Nation and any state that is

entered into and approved pursuant to IGRA.

D. "Constitution" shall mean the Constitution of the Catawba Indian Nation.

E. "Executive Committee" shall mean the Executive Committee of the Catawba

Indian Nation.
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F. "Gaming Commission" shall mean the Catawba Indian Nation Gaming 

Commission. 

G. "Gaming Facility" shall mean any premises on which a gaming operation is 

licensed to operate. 

H. "Gaming Operation" shall mean any commercial business owned by the Catawba 

Indian Nation for the conduct of Class II or Class III gaming pursuant to this 

Ordinance. A gaming operation may be operated by the Catawba Indian Nation 

directly or by a management contractor. 

I. "General Council" shall mean the General Council of the Catawba Indian Nation. 

J. "IGRA" shall mean the Indian Gaming Regulatory Act, adopted by the United 

States Congress on October 17, 1988, as Public Law 100-597, 102 Stat. 2467, 

codified at 25 U.S.C. § 2701, et seq.

K. "Indian lands" shall mean "Indian lands" as defined in IGRA. 

 L. "Key Employee" shall mean:

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

a. Bingo caller;

b. Counting room supervisor;

c. Chief of security;

d. Custodian of gaming supplies or cash;

e. Floor manager;

f. Pit boss;

g. Dealer;

h. Croupier;

i. Approver of credit; or

j. Custodian of gambling devices, including persons with 

access to cash and accounting records within such devices;

2. If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per year;
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3. If not otherwise included, the four most highly compensated 

persons in the gaming operation; or

4. Any other person designated by the Gaming Commission as a key 

employee.

M. "Licensee" shall mean any person, entity, or organization granted a license 

pursuant to this Ordinance. 

N. "Nation" shall mean the Catawba Indian Nation. 

O. "NIGC" shall mean the National Indian Gaming Commission. 

P. "Non-Key Employee" shall mean any employee of a gaming operation who is not 

included in the definition of "Primary Management Official" or "Key Employee." 

Q. "Person" shall mean an individual, business entity, government or governmental 

agency, nonprofit organization, estate, association or any other legal entity or 

manager, agent, officer, owner, or employee thereof. 

R. "Primary Management Official" shall mean:

1. The person(s) having management responsibility for a management 

contract.

2. Any person who has authority:

a. To hire and fire employees; or

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

c. The chief financial officer or other person who has financial 

management responsibility.

3. Any other person designated by the Gaming Commission as a primary 

management official.

S. "Vendor" shall mean any person who supplies any gaming related goods or 

services to a gaming operation. "Vendor" shall not include attorneys or certified 

public accountants. 

T. "TICS" shall mean Tribal Internal Control Standards, which are detailed 

procedural controls designed to protect the assets of the gaming operation, ensure 

the accuracy and reliability of accounting methods, and to protect the integrity of 

gaming. 
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Section 104. Interpretation 

The provisions of this Ordinance, being necessary for the welfare of the Nation and its members, 

shall be construed liberally to effect the purposes and objectives hereof. 

Section 105. Severability 

The provisions of this Ordinance are severable, and if any part or provision hereof shall be held 

void by any court or government agency, the decision of the court or agency so holding shall not 

affect or impair any of the remaining provisions of this Ordinance. 

Section 106. Gaming Authorized 

A. Class II gaming is hereby authorized and may be conducted on the Nation's Indian 

lands in accordance with this Ordinance, IGRA, NIGC regulations, rules and 

regulations of the Gaming Commission, and the TICS.

B. Class III gaming is hereby authorized and may be conducted on the Nation's

Indian lands in accordance with this Ordinance, IGRA, NIGC regulations, rules 

and regulations of the Gaming Commission, the TICS, the Compact, and, if 

applicable, Secretarial procedures approved by the Secretary of the Interior. 

Section 107. Ownership of Gaming

The Nation shall have the sole proprietary interest in and ownership of any gaming operation 

authorized by this Ordinance, and shall be responsible for the conduct of any such gaming 

operation. 

Section 108. Use of Net Gaming Revenues 

Net revenues from Class II and Class III gaming shall be used only for the following purposes:

A. To fund tribal government operations or programs;

B. To provide for the general welfare of the Nation and its members;

C. To promote tribal economic development;

D. To donate to charitable organizations; or

E. To help fund operations of local government agencies.

Section 109. Per Capita Payments 

Net revenues from Class II and Class III gaming may be used to make per capita payments to 
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members of the Nation if:

A. The Nation has prepared a plan to allocate revenues to one or more of the five 

uses authorized by Section 108 of this Ordinance;

B. The plan is approved by the Secretary of the Interior as adequate, particularly with 

respect to the uses described in Sections 108(A) and 108(C) of this Ordinance;

C. The interests of minors and other legally incompetent persons who are entitled to 

receive any of the per capita payments are protected and preserved, and the per 

capita payments are disbursed to the parents or legal guardian of such minors or 

legal incompetents in such amounts as may be necessary for the health, education, 

or welfare of the minor or other legally incompetent person; and

D. The per capita payments are subject to federal taxation and the Nation notifies its 

members of such tax liability when payments are made. 

Section 110. 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. Each gaming facility shall 

conform to Nation, federal or otherwise applicable environmental and public health and safety 

standards. 

Section 111. Audits 

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

annually which shall comply with applicable law and submit the results of those 

audits to the NIGC.

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

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

legal and accounting services) shall be specifically included within the scope of 

the audit conducted under Section 111(A) of this Ordinance. 

Section 112. Penalty Provisions 

A. It shall be a civil violation of the laws of the Nation to violate any provisions of 

this Ordinance, any rules and regulations of the Gaming Commission, or any 

proper order issued under the authority of this Ordinance. Any person or licensee 

so violating such may be punished by being fined, or by suspension of their 

license for a period not to exceed one year, or by revocation of their license, or by 

both such fine and license suspension or revocation. 

B. Any person violating the provisions of this Ordinance, any rules and regulations 

of the Gaming Commission, or any proper order issued under the authority of this 
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Ordinance may also be punished and prosecuted under applicable criminal law.

C. Each day a violation continues may be considered a separate violation for 

purposes of imposing fines. 

D. Nothing in this Ordinance shall be construed to limit the ability of the Nation to 

assert civil or criminal penalties pursuant to other applicable Nation law. 

Section 113. Agent for Service of Process 

The Nation designates the Chief of the Nation as agent for service of process or for any official 

determination, order, or notice of violation.

Section 114. Repealer

Any and all prior gaming ordinances of the Nation are hereby repealed.

Section 115. Construction

This Ordinance shall be liberally construed to carry out its purpose. The effectiveness and

enforceability of this Ordinance shall not be dependent upon the adoption of any regulations 

unless otherwise required by law. Nothing contained in this Ordinance or regulations 

promulgated hereunder shall be construed to diminish, limit or otherwise adversely affect any 

right or remedy held or available to the Nation.

Section 116. Effective Date

This Ordinance shall be effective on the date of its approval by the General Council.

TITLE II

GAMING COMMISSION

Section 201. Gaming Commission 

A. In order to provide for the orderly development, administration, and regulation of 

tribal gaming, the Gaming Commission is hereby empowered and established to 

exercise its authority as the duly authorized body of the Nation to regulate gaming 

activities in accordance with this Ordinance and applicable law. 

B. The Gaming Commission shall consist of at least three members who are to be 

nominated by the Chief and confirmed by the Executive Committee by written 

resolution. Each member's term shall begin on the date of such resolution. 

Gaming Commission members shall initially serve for one, two and three-year 

terms. Thereafter, each Gaming Commission member shall serve for a three-year 

term. There shall be at least one Catawba citizen appointed to the initial Gaming 

Commission, who shall serve for the initial three-year term. After the expiration 
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of the initial one-year term, a Catawba citizen shall be appointed to fill that 

position. After the expiration of the initial two-year term, a Catawba citizen shall 

be appointed to fill that position. Thereafter, only Catawba citizens shall be 

eligible to serve as members of the Gaming Commission. In the event of a 

vacancy, the Chief may nominate any other qualified person to fill the vacancy, 

provided that any nominee shall be subject to confirmation by the Executive 

Committee as provided in this Section 201(B). The Chairman of the Gaming 

Commission shall be nominated and elected by a majority vote of the Gaming 

Commission members, subject to approval by the Chief. Gaming Commission 

members serving on the date of approval of this Ordinance shall serve for the 

remainder of such Gaming Commission members' terms. 

C. All Gaming Commission members shall meet the eligibility standards for primary 

management officials and key employees set forth in this Ordinance. All requisite 

background investigations for Gaming Commission members shall be performed 

under the direction of the Chief. 

D. The following persons are not eligible to serve as Gaming Commission members:

1. Any member of the Nation's Executive Committee, while serving as such; 

2. Current employees of any gaming operation; 

3. Gaming contractors; or 

4. Any person who has been convicted of, plead guilty to, or plead no contest 

to a felony within the last ten years unless pardoned, any gambling related 

offense, or a crime of moral turpitude. 

E. Any Gaming Commission member may be removed by a majority plus one vote 

of the Executive Committee for neglect of duty, misconduct, malfeasance, or 

other acts that would render a Gaming Commission member unqualified for the 

position. 

F. A majority of the Gaming Commission shall constitute a quorum. The 

concurrence of a majority of the Gaming Commission members shall be required 

for any final determination by the Gaming Commission. The Gaming 

Commission may act in its official capacity, even if there are vacancies on the 

Gaming Commission.

G. Gaming Commission members shall be compensated at a level determined by 

the Executive Committee, as set forth in the Nation's annual budget. 

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

I. Regular and special meetings of the Gaming Commission may be held, at the 
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discretion of the Gaming Commission, at such times and places as may be 

convenient. 

Section 202. Gaming Commission Powers and Duties 

A. The Gaming Commission shall be charged with the responsibility of 

administering and enforcing the provisions of this Ordinance. 

B. The Gaming Commission shall be empowered to:

1. Conduct background investigations, or cause such investigations to be 

conducted, for all applicants and licensees;

2. Review and approve all investigative work conducted in 

connection with the background investigations of applicants and 

licensees;

3. Create and maintain investigative reports based on the background 

investigations of applicants and licensees;

4. Obtain and process fingerprints, or designate a law enforcement 

agency to obtain and process fingerprints; 

5. Make licensing eligibility determinations, which shall be signed by the 

Chairman of the Gaming Commission;

6. Submit a notice of results to the NIGC of the background investigations 

done for each primary management official and key employee applicant;

7. Determine, establish, and collect fees for licensing and background 

investigations for applicants; 

8. Promulgate rules, regulations, and TICS governing the licensing, conduct,

and operation of tribal gaming, as are consistent with this Ordinance;

9. Issue licenses to gaming facilities;

10. Investigate, inspect, examine, and monitor all of the Nation's gaming 

activities, and have immediate and unrestricted access to review, inspect, 

examine, photocopy, and audit all records of each gaming operation;

11. Enforce this Ordinance, rules and regulations of the Gaming Commission,

and TICS;

12. Levy fines and to condition, suspend, restrict, or revoke any license issued 

by the Gaming Commission; 
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13. Investigate and hold hearings on patron complaints, in accordance 

with procedures established in this Ordinance;

14. Investigate and hold hearings on applicant and licensee matters;

15. Comply with any and all reporting requirements under IGRA, the NIGC's 

regulations, the Compact and any other applicable law;

16. 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;

17. Establish a list of persons who have voluntarily agreed to be excluded 

from the Nation's gaming facilities;

18. Provide referrals and information to appropriate law enforcement 

officials when such information indicates a violation of applicable 

Nation, federal or state law; 

19. Ensure that an annual independent audit of all gaming operations is 

conducted and submitted to the NIGC; 

20. Propose an annual budget for the Gaming Commission; 

21. Review any contracts entered into by a gaming enterprise to ensure

compliance with all applicable rules and regulations; 

22. Employ legal counsel;

23. Defend this Ordinance in any court or before federal agencies; and

24. Perform such other duties and exercise such other incidental powers as 

may be necessary for the proper regulation of the tribal gaming.

Section 203. Gaming Commission Staff 

A. Gaming Commission staff shall be hired in accordance with the Nation's 

personnel policies, provided the Executive Committee may authorize the Gaming 

Commission to establish its own personnel policies.

B. Gaming Commission staff shall meet the eligibility requirements for primary 

management officials and key employees set forth in this Ordinance. 

C. Gaming Commission staff shall implement such regulatory functions as delegated 

by the Gaming Commission. 
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Section 204. Conflict of Interest

A. No Gaming Commission member or Gaming Commission staff shall participate 

in any gaming activities in any gaming facility licensed pursuant to this 

Ordinance.

B. No Gaming Commission member or Gaming Commission staff may have a 

financial interest in any gaming operation or any entity licensed pursuant to this 

Ordinance. However, nothing in this Section shall prohibit any Gaming 

Commission member or Gaming Commission staff from having a financial 

interest in any gaming operation licensed pursuant to this Ordinance as would any 

member of the Nation, if entitled to such interest as a Nation member, including 

any per capita payments derived from revenues of any gaming operation licensed 

pursuant to this Ordinance. 

C. No Gaming Commission member or Gaming Commission staff shall accept any 

gift or other thing of value from any gaming operation or any vendor licensed 

pursuant to this Ordinance, except for non-monetary gifts of insignificant value 

received in the ordinary course of business or food and refreshments customarily 

made available in the ordinary course of meetings. 

TITLE III

LICENSING

Section 301. License Requirement 

No person, who pursuant to this Ordinance is required to be licensed by the Gaming 

Commission, shall be employed by or contract with any gaming operation without obtaining and 

maintaining an appropriate license issued by the Gaming Commission. The Gaming 

Commission shall determine the class of license required for each applicant based on the 

applicant's functions and responsibilities, and shall publish license application forms for each 

class of license. The Gaming Commission shall, by regulation, establish initial and renewal fees 

for each class of license and may establish, by regulation, sub-classes for any class of license 

authorized pursuant to this Ordinance. 

Section 302. Classes of Licenses 

Upon proper application, approval and payment of all required fees, the following types of 

licenses shall be issued by the Gaming Commission:

A. Class A License. A Class A license is required for each gaming facility that 

conducts Class II or Class III gaming. The license shall be site specific and valid 

for a period of one year or such longer period as may be established by the 

Gaming Commission. A Class A license may be renewed upon the filing and 

approval of an application for renewal. 
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B. Class B License. A Class B license is required for each primary management 

official of a gaming operation and shall be valid for a period of one year or such 

longer period as may be established by the Gaming Commission. A Class B 

license may be renewed upon the filing and approval of an application for 

renewal. 

C. Class C License. A Class C license is required for each key employee of a 

gaming operation and shall be valid for a period of one year or such longer period 

as may be established by the Gaming Commission. A Class C license may be 

renewed upon the filing and approval of an application for renewal. 

 

Section 303. Gaming Facility Licenses 

A. The Gaming Commission shall issue a separate license to each place, facility or 

location on the Nation's Indian lands where Class II and/or Class III gaming is 

conducted under this Ordinance. Nothing in this Ordinance shall be construed to 

limit the number of gaming facilities operated by the Nation. 

B. The Gaming Commission shall specify the form, conditions, and content of a 

facility license application. 

C. The Gaming Commission shall only issue a facility license if the application 

includes information and documentation required by the Gaming Commission and 

sufficiently satisfies any additional conditions deemed necessary by the Gaming 

Commission.

D. The Gaming Commission shall submit to the NIGC Chair a notice that issuance of 

a facility license is under consideration by the Gaming Commission. This notice 

must be submitted at least 120 days, or as otherwise permitted by applicable law,

before the opening of any new place, facility or location on the Nation's Indian 

lands where Class II and/or Class III gaming will occur.

E. The Gaming Commission shall submit a copy of each newly issued or renewed 

facility license to the NIGC Chair within 30 days of issuance, along with any 

other required documentation.

F. The Gaming Commission shall notify the NIGC Chair within 30 days if a facility 

license is terminated or expires, or if a gaming place, facility, or location closes or 

reopens, unless the closure is a seasonal or temporary closure lasting less than 180 

days.

Section 304. Primary Management Official and Key Employee Licenses 

The Gaming Commission shall issue licenses and perform background investigations for primary 

management officials and key employees according to requirements at least as stringent as 25 

C.F.R. Parts 556 and 558.
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A. License Application Forms

1. The following notice shall be placed on the license application form for a 

key employee or a primary management official before it is filled out by 

an applicant:

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

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

§§ 2701 et seq. The purpose of the requested information is to determine the 

eligibility of individuals to be granted a gaming license. The information will be 

used by the Tribal gaming regulatory authorities and by the National Indian 

Gaming Commission members and staff who have need for the information in the 

performance of their official duties.

The information may be disclosed by the Nation or the NIGC to appropriate 

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

when relevant to civil, criminal or regulatory investigations or prosecutions or 

when pursuant to a requirement by a tribe or the NIGC in connection with the 

issuance, denial, or revocation of a gaming license, or investigations of activities 

while associated with a tribe or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a tribe being unable to license 

you for a primary management official or key employee position.

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

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

2. The following additional notice shall be placed on the application form for 

a key employee or a primary management official before it is filled out by 

an applicant:

"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)."

B. Fingerprints

The Gaming Commission shall request fingerprints from each primary 

management official and key employee. Fingerprints shall be taken by the 

Gaming Commission. Fingerprints will then be forwarded to the NIGC for 

processing through the Federal Bureau of Investigation and the National Criminal 

Information Center to determine the applicant's criminal history, if any.

C. Background Investigations

1. The Gaming Commission shall perform a background investigation for 
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each primary management official and key employee of a gaming 

operation. The Gaming Commission shall obtain 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 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 personal 

references, including one personal reference who was acquainted 

with the applicant during each period of residence listed under 

paragraph C(1)(b) of this Section;

d. Current business and residential telephone numbers, and all current 

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;

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 disposition, if any;

i. 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 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 10 years of the date of the application, and is not otherwise 
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listed pursuant to paragraphs C(1)(h) or C(1)(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;

l. A current photograph;

m. Any other information the Gaming Commission deems relevant;

and

n. Fingerprints obtained in accordance with procedures adopted by 

the Nation pursuant to 25 C.F.R. § 522.2(h);

2. In conducting a background investigation, the Gaming Commission shall 

keep confidential the identity of each person interviewed in the course of 

the investigation. 

3. 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 304(C) of this Ordinance, shall be maintained.

4. The investigation of a primary management official or key employee 

must be sufficient to allow the Gaming Commission to make an 

eligibility determination under Section 304(E) of this Ordinance. 

D. Investigative Reports

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

employee, the Gaming Commission 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

d. The basis for those conclusions.
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E. Eligibility Determinations

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

employee, the Gaming Commission shall make a finding concerning the 

eligibility of that person for receiving a gaming license by reviewing the 

applicant's prior activities, criminal record, if any, and reputation, habits,

and associations.

2. If the Gaming 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, the Gaming Commission 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.

F. Notice of Results of Background Investigations

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

employee, the Gaming Commission shall prepare a notice of results of the 

applicant's background investigation to submit to the NIGC. The notice of 

results must be submitted to the NIGC no later than 60 days after the 

applicant begins work at a gaming operation.

2. 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 previously been denied;

ii. gaming licenses that have been revoked, even if 

subsequently reinstated;

iii. 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 
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convicted or any ongoing prosecution; and

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

Section 304(E) of this Ordinance. 

G. Granting Licenses 

1. The Gaming Commission may license a primary management official or 

key employee applicant after submitting a notice of results of the 

applicant's background investigation to the NIGC, as required by Section 

304(F) of this Ordinance.

2. The Gaming Commission shall notify the NIGC of the issuance of a 

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

of issuance.

3. No gaming operation shall employ an individual in a primary management 

official or key employee position who does not have a license after 90 

days of beginning work at a gaming operation.

4. The Gaming 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 a 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.

5. The Gaming Commission shall take the NIGC's objections into account 

when reconsidering a license application.

6. The Gaming Commission shall make the final decision whether to issue a 

license to an applicant for a primary management official or key employee 

position.

7. If the Gaming 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 304(I) of this Ordinance.

H. Denying Licenses

1. The Gaming Commission shall not license a primary management official 

or key employee if the Gaming Commission determines, in applying the 

standards in Section 304(E) of this Ordinance for making a license 

eligibility determination, that licensing the person:

a. Poses a threat to the public interest;
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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 Gaming 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.

I. License Suspensions and Revocations

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

employee, the Gaming Commission receives notice from the NIGC that 

the primary management official or key employee is not eligible for 

employment, the Gaming 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. The right to a revocation hearing vests only when a license is granted 

under this Ordinance, as approved by the NIGC Chair.

3. Following a revocation hearing, the Gaming Commission shall decide 

whether to revoke or reinstate the license at issue.

4. The Gaming Commission 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.

J. Records Retention

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

primary management official or key employee is terminated from employment 
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with a gaming operation, the following documentation:

1. Applications for licensing;

2. Investigative reports; and

3. Eligibility determinations.

Section 305. Licenses for Non-Key Employees 

The Gaming Commission may, by regulation, establish procedures for the application, 

investigation and issuance of non-key employee licenses, as deemed necessary by the Gaming 

Commission and as are consistent with this Ordinance. 

Section 306. Licenses for Vendors 

The Gaming Commission may, by regulation, establish procedures for the application, 

investigation and issuance of vendor licenses, as deemed necessary by the Gaming Commission 

and as are consistent with this Ordinance. 

Section 307. Temporary Licenses 

Temporary licenses may be issued by the Gaming Commission for a maximum of 90 days with 

respect to all licenses authorized by this Ordinance. 

Section 308. License Renewal 

Each licensee intending to continue engaging in tribal gaming after expiration of the licensee's 

license, shall apply for renewal of the license at least 30 days prior to the expiration of the then 

current license.

Section 309. License Display 

Each gaming operation shall display in a prominent place in the gaming facility a current and 

valid gaming facility license issued by the Gaming Commission for that location. 

Section 310. Requirements to Maintain a License 

A. It shall be unlawful for a gaming operation to change the location of a gaming 

facility or begin operation of a new gaming facility without first submitting 

written notification to the Gaming Commission and obtaining approval from the 

Gaming Commission for an amended or new gaming facility license. 

B. It shall be unlawful for a gaming operation to employ any person in a position 

requiring a primary management official, key employee, or other applicable 

license without the prior issuance of a license or temporary license from the 
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Gaming Commission, or to purchase goods or services from a vendor, if required 

to be licensed, without the prior issuance of a license or temporary license from 

the Gaming Commission. 

C. It shall be unlawful for any person, except law enforcement officials, casino 

security officers providing security at a gaming facility, and armored car service 

personnel, to possess a firearm or dangerous weapon on the premises of a gaming 

facility. 

D. Gaming operations are required during normal business hours to maintain the 

premises open for inspection by the Gaming Commission and its agents or any 

authorized government agency and to keep its books and records open for similar 

inspection. 

E. Gaming operations must produce at a player's request losing tickets, copies of 

cancelled checks, or other evidence of loss acceptable to the Internal Revenue 

Service if requested by the player or contestant at the time the player or contestant 

buys a ticket or chance or otherwise enters the game. 

Section 311. Non-Transferability of Licenses 

Any license issued pursuant to this Ordinance is valid only for the person shown on the face 

thereof, and it is not assignable or otherwise transferable. 

Section 312. License as a Revocable Privilege 

Each license issued pursuant to this Ordinance is a revocable privilege and no holder thereof 

shall be deemed to have an interest in any vested rights in such license. The burden of proving 

qualification to hold any license rests at all times on the licensee. The Gaming Commission is 

charged by law with the duty of continually observing the conduct of all licensees to the end that 

licenses shall not be held by unsuitable persons or persons whose operations are conducted in an 

unsuitable manner. 

Section 313. Violations 

A. Violation of any provision of this Ordinance or any of the rules and regulations of 

the Gaming Commission shall:

1. Be deemed contrary to the public health, safety, morals, good order, and 

general welfare of the Nation and its members;

2. Be grounds for refusing to grant or renew a license or for suspension or 

revocation of a license; 

3. Be grounds for the filing of criminal charges and/or a civil action in a 

court of competent jurisdiction on behalf of the Gaming Commission and 
20

the Nation; and 

4. Be grounds for immediate revocation of a license in the case of a licensee 

convicted of a felony. 

B. Acceptance of a license or renewal thereof or a condition imposed thereon by a 

licensee constitutes agreement on the part of the licensee to be bound by all the 

rules and regulations of the Gaming Commission, TICS, and by the provisions of 

this Ordinance as the same are now or may hereafter be amended or promulgated. 

It is the responsibility of each licensee to be informed of the contents of all such 

Ordinance provisions, rules and regulations and TICS. 

C. Any license granted pursuant to this Ordinance may be suspended or revoked for 

any cause which would have prevented its issuance. 

D. It shall be unlawful for any applicant to lie or willfully deceive the Gaming 

Commission in the submission of a license application. Any such act shall be 

deemed a violation of this Ordinance and shall be grounds for the refusal to grant 

or renew a license, suspend or revoke a license, and filing criminal charges and/or 

a civil action in a court of competent jurisdiction on behalf of the Gaming 

Commission and the Nation.

Section 314. License Disqualification 

The Gaming Commission shall deny a primary management official or key employee license to 

any applicant who is disqualified for licensure on the basis of any of the following criteria:

A. Failure of the applicant to prove by clear and convincing evidence that the 

applicant is qualified in accordance with the provisions of this Ordinance; 

B. Failure of the applicant to provide information, documentation, waivers, or 

assurances required by this Ordinance or requested by the Gaming Commission;

C. Failure of the applicant to reveal any fact material to qualification, or the 

supplying of information which is untrue or misleading as to a material fact 

pertaining to the qualification criteria; or

D. Conviction of the applicant of any of the following: 

1. Any felony; or

2. Any gaming related offense. 

Section 315. Confidentiality

Communications, documents, records, and other information obtained by the Gaming 
21

Commission and Gaming Commission staff relating to licensing matters are confidential and 

shall not be disclosed except in furtherance of the duties of the Gaming Commission and Gaming 

Commission staff or pursuant to a court order. This Section does not apply to requests for such 

information for investigatory or law enforcement purposes from tribal, federal, or state law 

enforcement agencies. 

Section 316. Hearings 

A. The Gaming Commission shall provide an applicant for a license an opportunity 

for a hearing prior to a final action denying such application and shall provide a 

licensee, or any other person subject to this Ordinance, the opportunity for a 

hearing prior to taking final action resulting in the revocation, suspension, or 

limitation of a license or any other adverse action, provided that the Gaming 

Commission may summarily suspend temporarily or extend suspension of a 

license for 30 days in those cases where such action is deemed appropriate by the 

Gaming Commission. In cases where a license is suspended prior to a hearing, an 

opportunity for a hearing shall be provided. 

B. Whenever upon specific factual finding, the Gaming Commission determines to 

take any final action described in Section 316(A) of this Ordinance, the Gaming 

Commission shall make a certification of findings and provide a copy thereof and 

a notice of hearing to the subject of that determination prior to a hearing. The 

Gaming Commission shall hold the hearing within 30 days of provision of the 

certification of findings and notice of hearing to the subject. 

C. At the hearing, it shall be the obligation of the subject to show cause why the 

Gaming Commission's determination to take final action should not be upheld. At 

the hearing, the subject shall be afforded access to evidence upon which any 

determination to take final action is based, to present the subject's own evidence 

and to confront witnesses. 

D. Within 30 days of the hearing, the Gaming Commission shall provide the subject 

written notice of its determination. 

 

TITLE IV

GAMING OPERATIONS 

Section 401. Rules for Gaming Activities 

A. The Gaming Commission may promulgate rules and regulations for the conduct 

of specific games in the determination of the Gaming Commission. 

B. Each gaming operation shall prominently display in writing all rules and 

regulations pertaining to specific games near the location where such gaming 

activity is conducted, or shall make available a written copy of such rules and 

regulations to any person making a request for such. 
22

C. Each gaming operation shall conduct all gaming activities in compliance with this 

Ordinance, Gaming Commission rules and regulations, TICS, the Compact, and 

other applicable federal law. 

Section 402. Restrictions for Gaming Operations 

Each gaming operation must at all times observe the following restrictions:

A. No person under the age of 18 shall be permitted to participate in any gaming 

activity at any gaming facility licensed pursuant to this Ordinance. If any person 

under the age of 18 plays and otherwise qualifies to win any prize, the prize shall 

not be paid, and the estimated amount wagered during the course of the game 

shall be returned to the player. 

B. No gaming operation shall allow to be sold or otherwise make available any 

beverage containing alcohol, including but not limited to beer or liquor, at any 

gaming facility, except in strict compliance with Nation and federal law and upon 

the approval by the Gaming Commission. 

Section 403. Patron disputes 

All disputes between patrons and a gaming operation shall initially be addressed by the gaming 

operation's general manager. If such disputes are not resolved by the general manager to the 

satisfaction of the patron, the patron may appeal to the Gaming Commission for resolution of the 

dispute. The Gaming Commission's determination regarding the dispute shall be final. 
I

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RESOLUTION

OF THE

GENERAL COUNCIL OF' TIIE

CATAWBA INDIAN NATION

February 1,2020

Resolution Number: "i- *;.:*:4:;f,. JJ f ..$4

Resolution Approving Catawba Indian Nation Gaming Ordinance and its Submission to

the National Indian Gaming Commission for Review

l5 WHEREAS, the Catawba Indian Nation ("the Nation") was restored to its Federal Status on l6 October23,1993 (Public Law 103-116); and

17

l8 WHEREAS, the General Council is the governing body of the Nation pursuant to Article 3 Section 19 I of the Catawba Indian Nation Constitution: and

20

2l WHEREAS, the Executive Committee has the duty to act on behalf of the General Council when 22 not in session and has the charge of all routine matters which shall arise pursuant to Article I

23 Section 3 of the Catawba Constitution By-laws;

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25 WHEREAS, the Nation is seeking to promote the economic and social welfare of the Catawba 26 People and surrounding communities through the conduct of gaming operations and related 27 services on the Nation's lands in accordance with applicable law; and

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29 WHEREAS, the Indian Gaming Regulatory Act,25 [J.S.C. $ 2710, requires a tribal nation to 30 enact a gaming ordinance that is approved by the National Indian Gaming Commission before 3l gaming activities can commence on tribal land; and

32

33 WHEREAS, the Nation, in accordance with the requirements of the Indian Gaming Regulatory 34 Act, therefore desires to establish a legal and regulatory framework for the operation of guLing on 35 its lands in a manner that is transparent, accountable, and closely regulatecl.

36

37 NOW, THEREFORE BE IT RESOLVED, that the General Council does hereby adopt and enact 38 the Catawba Indian Nation Gaming Ordinance, which shall govern all rules andreguiations with 39 respect to the operation of gaming on the lands of the Nation;and

40

4I THEREFORE BE IT FURTHER RESOLVED, that the General Council hereby expressly 42 authorizes the Executive Committee, acting through the Chief, to submit the aforesaid Gamini 43 ordinance to the National Indian Gaming commission for review; and

44

45 THEREFORE BE IT FURTHER RESOLVED, that thc General Council hereby expressly 46 authorizes the Executive Committee, acting through the Chief, to amend, as necessa , th;
the 

provisions 

General 

of the aforesaid Gaming ordinance without the need for further review or approval by

the course of 

council to address issies raised by the National indian Gaming commission during

amendments 

its review that are needed in Lrder ,.",r.r ih. ordinance,s approvar, and such shall be binding upon the Nation in accordance with their terms; and

BE I'r FINAr'LY RESOLVED, that the Executive committee shall thereafter council of inform the General all substantive' amendments, 

Gaming 

if. any, i""";;;;;;i inro the catawba Indian Nation ordinance on its tinal approval by the National Indian Gaming commission.

Whereas, this motion was made by:

-- ",i:i:.s,. .g*- ,:'i -t .+."*.'..". _

The Motion was seconded by:

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Votes, Yes: :l-.jt .{

Votes, No:

Abstentions:

Certified by Chief William F{arris and Secretary./Treasurer Roderick Gengral Council: . ,

f-t 'f-r ,.:** "- lt"&ur*,

Beck on behalf of the

On this dare of:

-- -..-.1"*0.,.,.