April 20, 2015 

By First Class Mail 

Rick Saunooke, Acting Executive Director 

P.O. Box 2189 

776 Casino Drive 

Cherokee, NC 28719 

Re: Eastern Band of Cherokee Indians Class II and Class III Gaming Ordinance 

Amendment, Ordinance Numbers 23, 167, 337, and 451. 

Dear Acting Executive Director Saunooke: 

This letter responds to your predecessor, Patrick Lambert's, request, on behalf of 

the Cherokee Tribal Gaming Commission ("Tribe"), for the National Indian Gaming 

Commission ("NIGC") Acting Chairman to review and approve amendments to the 

Tribe's gaming ordinance. 

The Tribe's submission was composed of four separate amendments that were 

passed by the Tribal Council through Ordinance Numbers 23, 167, 337, and 451. 

Ordinance Number 23 amends the Tribe's gaming ordinance to re-define complimentary 

services as they apply to ce1tain tribal employees and increases the threshold limits for 

accounting for such services from $50.00 to $100.00. Next, Ordinance Number 167 

revises the definition of key employees and primary management officials, and also 

incorporates funding requirements for the regulation of the Tribe's new casino. 

Ordinance Number 337 updates the Tribe's background investigation process to include 

the recent regulatory changes made in Sections 556 and 558 of the NIGC's regulations. 

More specifically, the provisions change the Tribe's reporting requirements to the NIGC 

by (1) providing the NlGC with notice both before and after the Tribe issues a gaming 

license; and (2) ensuring the NIGC is notified of revocation determinations within 45 

days after the NIGC provides information stating that an individual is not eligible for a 

gaming license. Finally, Ordinance 451 makes three additional changes. First, it revises 

ordinance's public health and environmental safety mandate to include more generalized 

language. Second, it clarifies the information to be reported on a background 

investigation application. Last, it lists the submission and timing requirements for the 

results of background investigations to the NIGC. 

Thank you for bringing the amendments to our attention. The amendments are 

approved as they are consistent with the requirements of the Indian Gaming Regulatory 

NEW MAIUNG ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Moil Stop # 1621 Woshi11gton, DC 20240 Tel: 202,632.7003 Fox: 202.632.7066 

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; SI. Poul, MN; Tulso OK; O!duhomo City, OK 

WWW.NIGC.GOV 
Act and the NIGC's regulations. If you have any questions, please feel free to contact 

Staff Attorney Andrew Mendoza at 202-632-7003. 

onodev 0. Chaudhuri 

Chairman 
·-' 
TABLED 

ASSEC 

~ 2 4 2014 

Cherokee Council House 

Cherokee, Qualla Bound•~{rC) 

Date: OCT 2 7. ? 

ORDINANCE N~3 (2013) 

WHEREAS, there currently exists a need to update the Gaming Ordinance in regards to 

complimentar)' services or items as specified in the National Indian Gaming 

Commission regulations, and 

WHEREAS. Section I 6·2.04 and Section 16·2. l 6 in lhe Cherokee Code lists a dollar 

amount for complimentary services or items that is lower than the NIGC 

regulations permitted allowance, and 

WHEREAS, the NIOC regulations authorize the Tribal Gaming Commission to 

promulgate rules and regulations on the conditions and limits to issuance of 

complimentary services and items. 

NOW THEREFORE BE IT ORDAINED BY THE TRIBAL COUNCIL OF THE 

EASTERN BAND OP CHEROKEE lNDlANS IN ANNUAL COUNCIL 

ASSEMBLED AT WHICH A QUORUM IS PRESENT, that the Chcrolcce 

Code Sections at 16-2.04 and 16·2. I 6 shall be amended 11& follows: 

The final paragraph in Cherokee Code Sec.16-2_(}4 shall be amended 

to TCad as follows: 

For purposes of this subparagraph (c), complimentary items shall not 

include admission to events and shows sponsored by the casino, 

ceremonial gifts or meats provided at the expense of a Tribal gaming 

operation, provided that such items do not each exceed$ l00.00 In 

value and are not offered as an inducement or reward for giunbling 

in the operation. 

Also, paragraph (b) lo Cherokee Code Sec. 16-2.16 shall be amended to 

rclld as follows: 

(b) No key employee, primary management officilll, or actively 

serving Principal Chief, Vice-Chief, Tribal Council member, 

member of a Board of Advisors or the Commission, or Cherokee 

Judge or Justice, shall be authorized to receive oornpllmeotary items. 

Por purposes of this section, complimentary items shBIJ not include 

admission to events and shows sponsored by the casino, ceremonial 

gifts or meala J>rl)vlded at tile expense of a Tribal &&ming operation, 

pr011idedthat such items do not each exceed $100.00 in value and 

are not offered as an inducement or reward for gam bliog in the 

operation. 

. I . 
BE rT FURTHER ORDAINED that the Tribal Gaming Commission be directed to cany 

out the intent of this OrdinB11ce, to 11111end 811)' gaming regulations to reflect 

these ordinance amendments end tO pursue any required notices or 

approvals with the NJGC. 

BE lT FINALLY ORDAINED th&t this ordinance shall be effective upon ratification by 

the Principal Chief. 

Submitted by: Alan B. Ensley and David Wolfe, Council Representative 

Cherokee Code 

Chapter16 

Tribal Gaming orcnnance 

Sec. J~l.04. Restrictions on Commiuionen. 

To 11void potential confllcls of interest between the management Bnd regulation of a 

gaming operation, the Tribe hereby declares that; 

(a) While actively serving in any of the following capacities, no Principal Chief or Vice· 

Chief, member of the Tribal Council or o Board of Advisors, no judge or justice, no Tribal 

employee. and no employee of the Commission or any gaming operation owned by the 

Tribe, may serve on the Commission; 

(b) No person who is ineligible to be a key employee or primary management official and 

no person convicted of a felony, embezzlement, theft, or any other money-related crime or 

honesty related crime (such as fraud) may serve on the Commission: 

(c) Commissioners are prohibited from: 

(I) Gambling Jn any gaming operation owned by the Tribe; 

(2) Accepting complimentary Items from any gaming operation; 

(3) Providing contractual services of any kind to any gaming operation; 

(4) Providing management services to any gaming operation pursuant to a 

management contract: 

(5) Accepting gratuities or any othcr1hlng of value from e.ny licensee or applicant; 

and 

(6) Engaging in oulSide employment or activities, including seeking or negotiating 

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

as determined by the Tribal Council . 

. 2. 
For purposes of this subparagraph (c), complimentary items shall not include admission to 

c1·cnts and shows soonsorcd bv the casjno. ceremonial gifts or meals provided at the 

expense of a Tribal gaming operation, provided that such items do not each exceed 

$~.!.QQ.QQ in value and are not offered as an inducement or reward for gambling in the 

operation. 

(Ord. No. 710, 10-13-2005) 

Sec. 16-2.16. Complimentary ite.mr. 

(a) The use of complimentery items shall be governed by regulations promulgated by the 

Com-mission under section 16-2. I S(a), which shall, a1 a minimum, be in accord with lhe 

NJGCs Mini- mum Jnternal Control Standards, currently published at 25 C.F.R. § 542.17. 

(b) No key employee, primary management official, or actively serving Principal Chief, 

Vice-Chief, Tribal Council member, member of a Board of Advisors or the Commission, or 

Cherokee Judge or Justice, shell be authorized to receive complimentary items. For 

purposes of this section, complimcntruy items shall not include admission 10 events and 

shows soonsored hy the casino. ceremonial gifts or meals provided at the expense of a 

Tribal gaming opcration,provitltdth111 such items do not each exceed $~100.00 In 

value and are not offered as ll1l inducement or reward for gambling in the operation. 

(c) No actively serving Principal Chief, Vice-Chief, Tribal Council member, member ofa 

Board of Advisors or the Commission, or Cherokee Judge or Justice, shall be authorized to 

cany a "comp book" or otherwise approve the issuance of complimentary items. 

(d) Complimentary items shall be included in the annual budget of a gaming operation and 

shall be subject to approval by the applicable Board of Advisors. 

(Ord, No. 710, 10-13-2005) 

~~TIQNA.~. ~P.!~t4 ~~Ml~~ Q~'~SION 

25 CFR Part 542 

Minimum Internal Control Standuds (MICS) 

§542.17 What are the minimum internal control stnndards for 

compllmentarv services or items? 

(a) Each Tribal gaming regulatory authority or gaming operation shaU establish and the 

gaming operation shall comply with procedures for the authori:zation, issuance, and 

tracking of complimentary services and items, including cash and non·cash gifts. Such 

procedures must be approved by the Tribal gaming regulatory authority and shall include, 

but shell not be limited to, the procedures by which the gaming operation delegates to its 

. 3. 

( ~1 l'ont: Bo1cl 
employees the authority to approve the issuance of complimentary services end items, and 

the procedures by which conditions or limits, if any, which may apply to such authority are 

established and modified (including limits based on relationships between the authorizer 

and recipient), and shall further include effective provisions for audit purposes. 

(b) At least monthly, accounting. information technology. or audit persoMcl that cannot 

grant or receive complimentary privileges shall prepare reports thot include the following 

infonnntion for all eomplimentruy items and services equal to or exceeding $I 00 or an 

amount established by the Tribal gaming regulatory authority, which shall not be greater 

than $100: (Revised August 12, 2005) 

(I) Name of customer who received the complimentary service or it.em; 

(2) Namc(s) of authorized issuer oflhe complimentary service or item; 

(3) The acruel cash va.lue of the complimentary service or item; 

( 4) The type of complimentary service or item (i.e., food, beverage, etc.); and 

(5) Date the complimentary service or item we.s issued. 

(c) The internal audit or accounting department., shall review the reports required in 

paragrdph (b) of this section at least monthly. These reports shall be made available to the 

Tribe, Tribal gaming regulatory authority, audit committee, other entity designated by the 

Tribe, and the Commission upon request. (Revised August 12, 2005) 

-4-
- I 

-
The attached Resolution/Ordinance No.~ dated 

PASSED (x) 

KILLED ( ) 

j ratified in open Council on Februarv 24. 2014 

cu 1d -6.Q__ members voting against it as follows: 

October 22. 2013 was: 

by 80 voting for the act 

VOTE FOR AGAINST ABSTAIN ABSENT 

Teresa McCoy x 

Perry Shell x 

Tunney Crowe x 

B Ensley x 

David Wolfe x 

Bill Taylor x 

Terri Henry x 

Brandon Jones x 

Adam Wachacha x 

Bo Crowe x 

Albert Rose x 

Tommye Saunooke x 

80 20 0 0 

ENGLISH CLERK 

APPROVED ( ~VETOED ( ) 

VETO UPHELD ( ) VETO DENIED ( ) DATE:_ .......... 2_,,,,,..K;....2 ....... 9_-t~f:.--

I hereby certify that the foregoing act of the Council was duly: 

PASSED~ 

KILLED ( ) 

and ratified in open Council after the same has been interpreted by the Official Interpreter and 

has been fully and freely discussed. 

In testimony, whereof, I have hereunto set my hand and affixed the seal of the said Band 

of Indians. Superintendent, Cherokee Indian Agency. 

INTERPRETED ( ) OMITTED( 

~(/~ ) 
I 

2 

3 

4 

5 

6 

7 

8 

9 

IO 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

26 

27 

28 

29 

30 

31 

32 

33 

34 

35 

36 

37 

38 

39 

40 

41 

42 

43 

44 

TABLED 

AMENDED . . 

PASSED 

Cherokee Council House 

Cherokee, Qualla Boundary (NC) 

Date: _ _.A ....... P ...... R_.l ..... 0_2QI_, __ JUN 2 5 2(114 

ORDINANCE NO. \ lD'J (2014) 

WHEREAS, Ordinance No. 23 (2013) was passed by Tnoal Council and ratified by the 

Principal Chief on February 24, 2014, and 

WHEREAS, the Ordinance amendment requires approval by the National Indian Gaming 

Commission (NIGC), and 

WHEREAS, prior to the Ordinance being submitted to the NIGC it has been pointed out by 

the NIGC staff that the Gaming Ordinance requires a few other amendments to be 

in compJiance with their current regulations, and 

WHEREAS, in the interest of efficiency these amendments should be submitted to the 

NIGC along with the recently passed Ordinance No. 23 (2013), and 

WHEREAS, the Gaming Ordinance and the Management Agreement with Harrah's must 

be amended to reflect the recent addition and approval of the new Murphy Casino 

project and the impact to the budget of the TGC for regulatory costs. 

NOW THEREFORE BE IT ORDAINED IN ANNUAL COUNCIL ASSEMBLED AT 

WHICH A QUORUM IS PRESENT that the Cherokee Code Sections at 16·1, 16-

2.04, 16-2.13, 16-2.16 and 16-4.03 as well as Section 4.33 of the Amended and 

Restated Management Agreement between the EBCI and Harrah's NC Casino, 

LLC, shall be amended to read as follows: 

Chapter 16 - TRIBAL GAMING ORDINANCE 

Sec. 16-1. Definitions. 

(w) Key employee means: 

(1) A person who pe.rfonns one or more of the following functions: 

(i) Bingo cal1er, 

(ii) Counting room supervisor, 

{iii) Chief of security, 

(iv) Custodian of gaming supplies or cash, 

(v) Floor manager, 

(vi) Pit boss, 

(vii) Dealer, 

(viii) Croupier, 

(ix) Approver of credit, or 

- 1 -
I (x) Custodian of gambling devices teffftio&J9 er ether e<Wiees epemtea ~y the 

2 m&nagemeet ef &AY g6Blieg eper-ab9fl; including persons with access to cash 

3 and accounting records fef within such devices; 

4 (2) If not otherwise included, any other person whose total cash compensation 4iem 

5 empleymeet in &AY gemm~peratioo eMeeed is in excess of $50,000.00 per year; 

6 QI. 

7 (3) If not otherwise included, the four most highly compensated persons in EmYfM 

8 gaming operation~t-ef 

9 (4) Any e<}W¥alent pesitieB: ift a gaming eperatiett tltat the Cemmissiea deeigeates by 

10 if.s ndes other person designated by the tribe as a key employee. 

11 (jj) Primary mQllagement officials means: 

12 (1) The person(&) having management responsibility wter eU er- aey part of aRy 

13 gammg epeFelieBi for a management contract: 

14 (2) Any person who has authority: 

15 (i) To hire and fire employees efa gamiflg epemtieA; or 

16 (ii) To esffihlishset up working policy for athe gaming operation; or 

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

18 responsibility:. for~ gemieg eperatiea; 

19 _(4) A:ByperseAwh0isaeeatreUieg&h~ageme~ 

20 (~Any CEfW'Jialeet pesitiea ie a gem!Bg epel'&tiee atat ~e Cemmissiea Elesigeates by 

21 it5 Nies-other person designated by the tribe as a primary management official. 

22 

23 

24 Sec. 16-2.04. Restrictions on Commissioners. 

25 

26 To avoid potential conflicts of interest between the management and regulation of a gaming 

27 operation, the Tribe hereby declares that: 

28 

29 (a) While actively serving in any of the following capacities, no Principal Chief or Vice30 Chief. member of the Tribal Council or a Board of Advisors, no judge or justice, no Tribal 

31 employee, and no employee of the Commission or any gaming operation owned by the 

32 Tribe, may serve on the Commission; 

33 

34 (b) No person who is ineligible to be a key employee or primary management official and 

35 no person convicted of a felony, embezzlement, theft, or any other money-related crime or 

36 honesty related crime (such as fraud) may serve on the Commission; 

37 

38 (c) Commissioners are prohibited from: 

39 (1) Gambling in any gaming operation owned by the Tribe; 

40 (2) Accepting complimentary items from any gaming operation; 

41 (3) Providing contractual services of any kind to any gaming operation; 

42 (4) Providing management services to any gaming operation pursuant to a 

43 management contract; 

44 ( 5) Accepting gratuities or any other thing of value from any licensee or applicant; 

45 and 

- 2 . 
1 (6) Engaging in outside employment or activities, including seeking or negotiating 

2 for future employment, which conflict with their official duties and responsibilities 

3 as determined by the Tribal Council. 

4 

5 For purposes of this subparagraph (c), complimentary items shall not include admission to 

6 events and shows sponsored by the casino. ceremonial gifts or meals provided at the 

7 expense of a Tribal gaming operation, provided that such items do not each exceed 

8 ~Q 100.00 in value and are not offered as an inducement or reward for gambling in the 

9 operation. 

10 

11 (Ord. No. 710, 10-13-2005) 

12 Sec.16-2.13. Budget. 

13 The Commission shall prepare a budget for its operations as necessary to pay salaries 

14 and other expenses, within the limit of funds available to itj which is to be included in the 

15 Executive Committee's proposed budget submitted annually to Tribal CoWlcil for approval. 

16 The budget shall be established within the following li.mjts: 

17 (a) The Commission budget shall be partially funded as an operating expense of the 

J 8 Tribal Casino Gaming Enterprise (TCGE). The TCOE shall fund all actual direct 

19 expenses related solely to the Commission's regulation of the gaming activities of 

20 the TCGE. Such payment for the Harrah•s Cherokee Casino Resort shall be the 

21 lesser of the actual regulatory cost or an amount which is two-thirds of one 

22 percent (0.66%) of the gross gaming revenue (win) but in no event more than 

23 $3j000,000 for the fiscal year. Such pavment for the Harrah's Cherokee Valley 

24 River Casino & Hotel sball be the lesser of the actyal regulatory cost or an amount 

25 which is two-thirds of one percent (Q.66%) of the gross gaming revenue (win) but 

26 in no event more than $1.500.000 for the fiscal year. For each year after fiscal. 

27 year 2013, 'the capped amoun~ shall increase 5% annually to account for growth 

28 and economy. Any surplus of such funds over actual expenses at the end of a 

29 fiscal year shall be refunded to the TCGE within 120 days of the end of the fiscal 

30 year. Upon completion of the TCGE audit, any excess funds will be returned 

31 immediately following the per capita distribution ordinance. 

32 (b) The Tribal Bingo Enterprise (TBE) shall fund all actual direct expenses rele.ted 

33 solely to the Commission's regulation of the gaming activities of'the TBE. 

34 (c) If the Commission's budget needs exceed the amounts in subparagraphs (a) and 

35 (b) for any fiscal year, then the Commission shall utilize funds obtained through 

36 licensing fees and regulatory fines, or seek additional funding from the Tribal 

37 Council. Except as provided in subparagraph (d), below, any surplus remaining in 

3 8 such fees, fines or additional funding at the end of a fiscal year shall be distributed 

39 to the Tribe in accordance with Chapter l 6C 

40 (d) The Commission shall have the authority to establish, fund. and maintain 

41 capital/expansion reserve funds for; 

- 3 -
( l) Working capital in an amount recommended by the independent auditors; and 

2 (2) For such other purposes as are specifically authorized for gaming regulatory 

3 purposes by a Tribal Council ordinance based a detailed plan for use of the 

4 funds submitted by the Commission. 

5 (Ord. No. 710, 10-13-2005; Ord. No. 431 , 11-2-2010; Ord. No. 244, 8-8-2012; Ord. 

6 No. 360, 10-26-2012) 

7 

8 

9 Sec. 16-2.16. Complimentary items. 

10 

11 (a) The use of compHmentary items shall be governed by regulations promulgated by the 

12 Commission wider section 16-2.1 S(a), which shall, at a minimum, be in acc<>rd with the 

13 NJGC's Minimum Internal Control Standards, currently published at 25 C.F.R. § 542.17. 

14 

15 (b) No key employee, primary management official, or actively serving Principal Chief, 

16 Vice-Chief, Tribal CoWlcil member, member of a Board of Advisors or the Commission, or 

17 Cherokee Judge or Justice, shall be authorized to receive complimentary items. For 

I 8 purposes of this section, complimentary items shall not include admi~sion to events and 

19 shows sponsored by the casino. ceremonial gifts or meals provided at the expense of a 

20 Tribal gaming operation, provided that such items do not each exceed $~100 00 in 

21 value and are not offered as an inducement or reward for gambling in the operation. 

22 

23 (c) No actively serving Principal Chief, Vice-Chief, Tribal CoWlcil membert member of a 

24 Board of Advisors or the Commission, or Cherokee Judge or Justice, shall be authorized to 

25 carry a "comp book" or otherwise approve the issuance of complimentary items. 

26 

27 (d) Complimentary items shall be included in the annual budget of a gaming operation and 

28 shall be subject to approval by the applicable Board of Advisors. 

29 

30 (Ord. No. 710, 10-13-2005) 

31 

32 ARTICLE IV. LICENSE APPLICATIONS AND PROCEDURES 

33 

34 Sec. 16-4.03. Application for license. 

35 

36 ( d) The following notices shall be placed on the application fonn for a key employee, 

37 management entity, primary management official or supplier of gaming goods and 

38 services before such form is completed by an appJicant: 

39 (1) In compliance with the Privacy Act of 1974 the following information is provided: 

40 Solicitation of the infonnation on this fonn is authorized by 25 U.S.C. 2701 et 

41 seq. The purpose of the requested information is to determine the eligibility of 

42 individuals to be granted a gaming license. The infonnation will be used by the 

43 Tribal gaming regulatory authorities and by the National Indian Gaming 

-4-
1 Commission CNIGC) members and staff who have need for the information in the 

2 performance of their official duties. The information may be disclosed by the 

3 Tribe or the N~Jo appropriate Federal, Tribal, State, local, or foreign law 

4 enforcement and regulatory agencies when relevant to civil, criminal or regulatory 

5 investigations or prosecutions or when pursuant to a requirement by a ~tribe or the 

6 NIO~amieg Gemmisaien in connection with the issuance, 

7 denial, or revocation of a gaming license, or investigations of activities while 

8 associated with a '.{:pibe or a gaming operation. Failure to consent to the 

9 disclosures indicated in this notice will result in a +tribe's being Wlable to license 

10 you for a primary management official or key employee position. 

JI (2) The disclosure of your social security number (SSN) is voluntary. However, 

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

13 (3) A false statement on any part of your license application may be grounds for 

14 denying a license or the suspension or revocation of a license. Also, you may be 

15 punished by fine or imprisonment (U.S. Code, title 18, section 1001 ). 

16 

17 The Management.Agreement between die F.astem Band of Cherokee Indiands and Han'lh's 

18 NC Casino LLC shall be amended io read as folloM: 

19 

20 Sedion 4. Busines.. and Amlin in Connection with EntelprDe iJ amended as follows: 

21 

22 4.33 !Jmm of Charges to Enterprise for Regulatory Costs. Without intending to limit 

23 the Tribe's ability to budget any amount it detennines necessary for the regulation 

24 of gaming at the Enterprise, the Tribe and Manager agree that the Enterprise 

25 shall pay to the Tribal Gaming Commission, as an Operating Expense of the 

26 Enterprise, the actual direct expenses of the Tribal Gaming Commission related 

27 solely to the Tribal Gaming Commission's regulation of the gaming activities of 

28 the Enterprise. Such payment for the Harrah's Cherokee Casino Resort shall be 

29 the lesser of the actual regulatory cost and an amowit which is two-thirds of 1 

30 percent (0.66%) of the Gross Gaming Revenue (Win), but in no event more than 

31 $3,000,000 for the Fiscal Year in which the Effective Date occurs. Such 

32 paymentforthe Harrah•s Cherokee Valley River Casino & Hotel sh.all be the 

33 lesser of the actual regulatory cost or an amoWJt which is two-thirds of one 

34 percent (0.66%) of the gross gaming revenue (win) but in no event more than 

35 $1.500,000 for the fiscal year. For each succeeding year thereafter the capped 

36 amount! shall increase 5% annually to account for growth and economy. Any 

37 excess payments over the actual expenditures shall be refunded to the 

38 Enterprise within one hundred twenty (120) days of the end of the Tribal Gaming 

39 Commission's fiscal year. The Enterprise shall have the right to audit the books 

40 and records of the Tribal Gaming Commission on an annual basis solely for 

41 the purpose of determining the accuracy of the Tribal Gaming Commission1s 

42 statement of its actual expenses to be paid by the Enterprise pursuant to this 

43 section. 

44 

- 5 -
l BE IT FURTHER ORDAINED that the Tribal Gaming Commission is hereby directed to 

2 carry out the intent of this Ordinance, to amend any gaming regulations to reflect 

3 these ordinance amendments, to prepare amendments between the Tribe and 

4 Harrah's for signature by the Principal Chief and the proper officials from Harrah's 

5 and to submit these amendments, along with all prior amendments, to the NIGC for 

6 approvals as required. 

7 

8 BE IT FINALLY ORDAINED that this ordinance shall be effective upon ratification by 

9 the Principal Chief. 

10 

11 

12 

13 

14 Submitted by: Cherokee Tribal Gaming Commission 

- 6 -
Amendment to Ord.167 (2014); (attached) Sec. 16C 9. Revenue Allocation 

Percentages and Sec.16C~ 6. Higher Education Fund 
' ' 

Sec. 16C-9. -Revenue allocation percentages. 

{a) Effective October 1, 2010, distributable net revenue shall be distributed to fund per capita 

distributions, Tribal government operations, and the general welfare funds established under this 

Chapter as follows: 

Per Capita Distributions(§§ 16C-5, ·6) ..... 50.00% 

Tribal General Fund ..... 21.50% 

Endowment and Investment Funds(§ 16C-10) ..... 4.30% 

(1.5% to Endowment Fund No. 1 and 2 .8% to Endowment Fund No. 2) 

Debt Service Sinking Fund(§ 16C-14) •.••• 6.00% 

Housing Fund(§ 16C-15) ..... 3.80% 

Higher Education Fund(§ 16C-16) •.... 2.40% 

Capital Improvement Program(§ 16C-17) ..... 2.40% 

Cherokee Central Schools Assistance Fund{§ 16C-18} ..... 2.00% 

Health Program Supplement Fund(§ 16C-19) ..... 2.40% 

Cherokee Indian Hospital Authority(§ 16C-19) ..... 3.40% 

Police and Correetlons Fund(§ 16C-20) ..... 1.20% 

Kltuwah Language Immersion(§ 16C-21) ..... 0.60% 

TOTAL ..... 100.00% 

(b) During the Annual Budget Process, the Finance Office will determine the Gaming Revenue to be 

budgeted for the flscal year and this amount shall be the Baseline Gaming Revenue Amount. At all times, 

50% of the gaming revenues received will be deposited into the Per Capita Distribution fund listed 

above. For all funds other than the Per Capita Distribution, Higher Education Fund, Cherokee Indian 

Hospital Authority and Cherokee Central Schools Assistance Fund, if the Gaming Revenue received from 

the fiscal year exceeds the Baseline Gaming Revenue Amount by more than 5%, that excess shall be 

distributed to the Budget Stabilization line item in the General Fund to provide stabillty for future 

fluctuatlons In revenue and budgets. Excess funds shafl be distributed to a designated reserve fund for 

the Cherokee Indian Hospital Authority and Cherokee Central Schools Assistance fund as provided for in 

Section 16C-22 and Section 16C-23 respectively. Excess funds of be Higher Education Fund shall be 

distributed to the Higher Education Endowment Fund as provided for in Section 16C-16. For all funds 

other than the Per Capita Distribution, If the Gaming Revenue received for the fiscal year is less than the 

Baseline Gaming Revenue Amount bv more than 5%, that deficiency shall be distributed out of the 

Budget Stabilization Line item In the General Fund to the extent of available resources In the Budget 

Stabilization Line Item and in accordance with 16C-9(d). In the event that resources are not available in 

the Budget Stabilization Line item, the Finance Office will obtain direction from Executive and Tribal 
. . 

Council on how to prioritize and reallocate resources within the Tribal Budget and such direction shall be 

approved by resolution of the Tribal Council. 

(c) A fund balance of at least 10 percent and not to e><ceed 50 percent of the Annual Tribal Budget 

shall be maintained in the General Fund to ensure cash flow continuity. Any balance In excess of that 

amount atthe end of each fiscal year shall be distributed to the Endowment and Investment Funds. 

There are no fund balance limitations for the other governmental operations and general welfare funds 

established in this Chapter. 

{d) A fund balance for Budget Stabilization Fund shall he established as outlined in 16C-9(b}. lhe 

fund shall only be utilized when revenue realized is significantly less than projected revenue and shall 

require a Tribal Council resolution defining how much will be utilized and why it is needed to be utlllzed. 

The Budget Stabilization Fund shall be managed by the Finance Office and reported to Tribal Councll 

annually. 

(e) Jn the event that the Gaming Revenue available creates a budget shortfall or a rebalancing of 

Tribal priorities in the budget is needed, the Finance Office will balance the budget utilizing available 

resources In accordance with limits identified In 16C-9(c). 

Sec. 16C-22. -Cherokee Indian Hospital Authority Reserve Fund. 

Sec. 16C·16. Higher Education Fund. 

The Tribal Council shall create and fund a separate Higher Education Funding Program with distributable 

net revenue as set forth in section 16C-9. The purpose of this Program shall be to provide funding to 

assist enrolled members with their higher education needs. The Higher Education Funding Program may 

be used to fund the Summer College Internship Program and special preparatory classes that assist 

applicants in gaining entrance to college, graduate or professional school. The Higher Education Funding 

Program shall not fund secondary school expenses or extra curricular activities. 

The Higher Education Endowment Fund shall be funded by excess revenues from gaming distribution 

designated for the Higher Education Fund in Section 16C-9, effectively exempting the Higher Education 

Fund from the Budget Stabilization line Item requirements by redirecting excess gaming revenues to a 

restricted endowment fund. IA each fiscal ·1ear the-pr-egram will seel< to f1:1AEI, a miRiFIH:lffl of teA 13efeeAt 

of the Ellstriln1taele net re11en1:1e tl=lat is ElistriewteEI ta the Higher EEl1:1eatielttl:ln~hall the A ee 

eUstrie1:1teEl ta a Higher Ee1:1cation EAElowm~F1:1ne, iH1:1nEls are a¥aila9le. The Higher Education 

Committee, in conjunction with the Finance Department, shall establish the criteria for distributions~ 

investment management and administration of ffem.the Higher Education Endowment Fund through a 

comprehensive investment policy statement approved by the tribal council .. ~ 

(Ord. No. 888, 10-13-2005; Ord. No. 457, 9-12-2006; Ord. No. 481, 10-3-2008; Ord. No. 873, 9-18-2009) 
.. 

The attached Resolution/Ordinance No. 167 dated 

PASSED ( x ) 

KILLED ( ) 

and ratified in open Council on June 25. 2014 

and _Q_ members voting against it as follows: 

_ __.._A=o ..... ril ...... 1--=0_._. =20"'""1'"--4'--_ was: 

by __§§_ voting for the act 

VOTE FOR AGAINST ABSTAIN ABSENT 

Teresa McCoy x 

Perry Shell x 

Tunney Crowe x 

B Ensley x 

David Wolfe x 

Bill Taylor x 

Terri Henry x 

Brandon Jones x 

Adam Wachacha x 

Bo Crowe x 

Albert Rose x 

Tommye Saunooke x 

86 0 0 14 

MAN ENGLISH CLERK 

APPROVED ~ETOED ( ) 

PRINCIPAL CHIEF 

VETO UPHELD ( ) VETO DENIED ( ) 

I hereby certify that the foregoing act of the Council was duly: 

PASSED ( ) 

KILLED ( ) 

DATE:_ :Z ___ -___ '-8 ~ f,___tf'---_ 

and ratified in open Council after the same has been interpreted by the Official Interpreter and 

has been fully and freely discussed. 

In testimony, whereof, I have hereunto set my hand and affixed the seal of the said Band 

of Indians. Superintendent, Cherokee Indian Agency. 

INTERPRETED ( ) OMlTTED ( ) 

t • 

TABLED 

PASSED 

Cherokee Council House 

Cherokee, North Carolina 

Dace: September 4, 2014 

ORDINANCE N0.~(2014) 

WHEREAS, Tribal Council passed Ordinance 167 on June 25, 2014 and it was properly 

ratified by the Principal Chief on July 8, 2014 and it was submitted for approval to 

the NIGC by the Cherokee Gaming Commission on July 17, 2014, and 

WHEREAS, the NIGC has alerted us that prior to them being able to approve the 

Ordinance amendments there are a couple of sections in our Gaming Ordinance that 

mwt be amended relating to a recent change in the federal regulation~ at 25 CFR 

556 & 558 that pertain specifically to Background and Licensing of Gaming 

employees. 

NOW THEREFORE BE IT ORDAINED IN ANNUAL COUNCIL ASSEMBLED AT 

WHICH A QUORUM IS PRESENT that Chapter 16 of the Cherokee Code shall be 

amended as follows: 

1) Sec. 16-5.09 shall be stricken in its entirety and replaced with the following 

language: 

Sec. 16-5.09. Granting a gaming license. Notification to NIGC of license decisions and 

retention obligations. 

(a) After the Commission has provided a notice of results of the background check to the 

NIGC, the Corrunission may license a primary management official or key employee. 

(b) Within 30 days after the issuance of the license, the Commission shall notify the 

NIOC of its issuance. 

( c) A gaming operation shall not employ a key employee or primazy management official 

who does not have a license after ninety (90) days. 

( d) If a tribe does not license an applicant -

( 1) The tribe shall notify the Commission; and 

(2) Shall forward copies ofit.s eligibility determination and notice of results, to the 

NIGC in accordance with regulations found at 25 CFR 556 & 558 for inclusion 

in the Indian Gaming Individuals Record System. 

(e) A tribe shall retain the following for inspection by the Chair or his or her designe,l! 

for no less than three years from the date of tennination of employment: 

(l)Applications for licensing; 

(2) Investigative reports; and 

(3) Eligibility determinations. 

- 1 -
2) Sec. 16-5.10 shall be stricken in its entirety and replaced with the 

following language: 

Sec. 16-5.10. License revocation and suspension following receipt of information from 

NIGC. Notice of information impacting eligibility and licensee's right to a hearing. 

(a) It: after the issuance of a gaming license, the NIGC receives reliable infonnation 

indicating that a key employee or a primary management official is not eligible for 

employment W1der § 556.5 of the Regu]ations, the NIGC shall notify the Commission of 

the infonnation. 

(b) Upon receipt of such notification under paragraph (a) of this section, the Commission 

. shall immediately suspend the license and shall provide the licensee with written notice 

of suspension Md proposed revocation. 

(c) The Commission shall notify the licensee of a time and a place for a hearing on the 

proposed revocation of a license. 

( d) A right to a hearing under this part shall ve& only upon receipt of a license granted 

under an ordinance approved by the Chair of the NIOC. 

(e) After a revocation hearing, the 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 from the NIGC pursuant to paragraph (a) of this section. 

BE IT FURTHER ORDAINED that the Cherokee Tribal Gaming Commission is hereby 

directed to carry out the intent of this Ordinance and to submit all documents to the 

NIGC for approval. 

BE IT FINALLY ORDAINED that this ordinance shall be effective upon ratification by 

the Principal Chief. 

Submitted by: Cherokee Tribal Gaming Commission 

~ 2. 
Tribal Council 

Redline Version of Ordinance Amendments Changes 

Sec. 16-5.09. Granting a gaming license. Notification to NIGC of license decisions and retention 

obl!ptfons. 

~A-8-30 aay peR9d arter the NlGC reGeives all r;equim9 applk>ati9fl8 aAd repert6, th& NI~ 

Retillee tAe Triee tl:\at it has Ae el.ljeetleA le tM il6YaAse ef a ll'1eAse pwR1w3flt te a lisGA&e applklatiGA 

filed by a key empleyee er a pRmary maAagemeAt efticlal, tf.le CemmlHieA may lsawe a li&eA&e to 

cw1;h applkilaRtv 

tb) ne Cemml681eA shall f88PQReiR 8 timely maAReF~9-ffJ(jl488'8 fer ad<ilitieAal iAfe~he 

ChaiJR:taA eaA'18FAiAg key empleyees er pFl~emeAHi>fflGial& ¥me are tAe ew9jeet of aAy 

... Ft filed wm~ t~by &l=le Clilmmis&ioA •• ~y 8WGl=I Ri'fl48&t-Gy ti-le Ct:lairmaA shal~ 

~feR'ed t4> in tAia seetioR-4.iAlil the Ci:lal<.maA-feQ8ive&-the a&ditlenal infermal/Q.A 

r:-iwe&ted. 

(9) If, withlA a 30 4~ peFied after the NIQC i:MeiYee all i:eqwifed appl~~ 

pFevlde& the T..A98-w~nt ltemil!IAf-GbjectieRs te tAe luwar:iGe ef a li'*'&e te a k~ 

empleyee Qr te a f*l~t etnsfal fer wl:lem the CemmlSGiaA t;\a8 sul>miltea an 

appllGatieA aRa all F&qWiFed repQttg te tAe NIQC, t~ CQFAFAi6ei~ll i:e~nsidel-the appli&al!GA, 

taJffAg into aGGeURt tAe elijeGlion&-itemlied by the NIGG. "Ale CemmiYieA 1t:iall make the liASI 

d&Gislen wAeU:leF.t~to-&llGH~fft. 

(a) Aftq the Commission has provided a notice ofrcsμJts of the background check to the NIOC, 

the Commission may license a primary management official or key emoloyee. 

Cb) Within 30 days after the issuapcc of the lice.gsc. the Commission shall notifv the NIQC 

of its issuance. 

Cc} A gamin& o.peration shall not employ a key employee or primary management official who 

d<>§ not have a license after niJlCly (90) days. 

( d) If a tribe does not license an applicant -

Cl) The tnl>e shall notify the Commission: and 

{2} Shall forward copies ofj!s eli&ibility determination and notice of results. to the NIGC 

in ac:cordance with regulations foWtd at 25 CFR 556 & 558 for inclusion in the Indian 

Gaming Individuals Record System. 

(e) A tribe shall retain the following for inspection by the Chair or his or her designee for no 

Jess than three years from 1he date of tennination of emoloymegt: 

( l) Applications for licensing; 

(2l Investigative reports; and 

(3) Eligibility determinations. 

. N9. 71Q, 10 13 200i) 

Sec. 16-5.10. License revocation and au.pension following receipt of information from 

NIGC. Notice of lnfonnatlon Impacting eflq!bll!tv and Ucensee'a right to a hearing. 

Ja~ If, afteF the i6&U8AG8 et a li'"8~t:l9 TFiD& FKElllJe&-IAfGi:matlQA ~Al NIGG IRdlGatiRi that-a 

managemeAt eRtlly er saAtFG111iR9 elw:Fehelder, key eMplQye&;-oF-pr4mary NRagement GJfiGial i& 4llM 
&li9Jbl&-fGi:-e~ymeRt YAG9r §8G~f~~ml6GiOR shall 6WSpeAdeueA 

~Aeee IA wrlling of auGh-au&peAsien and the peteooaf....RW~f...tA8 

llGeR&ee's liGenee, and •hall c;o!Mlwst a l:leaRRg-iA-acoordanee wlUl &Ae rwhM regaffliAg &Re pl'Qpeied 

liGeRSe rev~ 

Eb) After a ooarln9, u~e Commi&BieA 6.i:ial~FeiA&ta~~At-W 

~A {a) ef ~i&-68Gl~~en sllall nomy...IAe ~ of lte cloolelon.--A-deeisian of the 

~emml86IOA t9 r&\loke a 1"18A68 after the ~&ARi Galled feF BV 6W . #-be 

final and tllero al=lall De no appeal. A FAan99emaAt.enllCV wlle&i liQ806e has ;sen Fe'f8k&~ Of 

euepeReeG pwfliwant te thiG&ecotion may RGt opei:ate.a gaming epei:atien. 

(a) It: after the issuance of a gaming license, the NJGC receives reliable information indicating that 

a key employee or a primmy management official is not eliszible for emplovment under § 556.5 of 

the Regulations. the NIGC shall notifv the Commission of the information. 

(b) Uoon receipt of such notification under paragraph (a) of this section. the Commission shall 

immediately sumend 1he license and shall proyide the licensee with written notice of 

suspension and proposed revocation. 

(c) The Commission shall notifY the licensee of a time and a place for a hearing on the 

p!Oj)OSed revocation of a license. 

Cd) A right to a hearing under this part sbalJ yest only upon receipt of a licemc B@l1ted under 

an ordinance §pproved by the Chair of the NIOC. 

(e) After a revocation hearing. the Commission shall decide to revoke or to reinstate a gaming 

license. The Comrnissjon shall notify the NIGC of its decision within 45 days ofreceiying 

notification from the NIGC pursuant to paragraph (a) of this section. 
The attached Resolution/Ordinance No. 337 dated September 4. 2014 was: 

PASSED ( X ) 

KILLED ( ) 

and ratified in open Council on October 13. 2013 by 93 voting tor the act 

and _o _ members voting against it as follows: 

VOTE FOR AGAINST ABSTAIN ABSENT 

Teresa McCoy x 

Perry Shell x 

Tunney Crowe x 

AJ1n B. Ensley x 

David Wolfe x 

BlllT•ylor x 

Terri .. nry x 

Brandon Jones x 

Adam Wachacha x 

Bo Crowe x 

Albert Rose x 

Tommye Saunooke x 

TOTAL 93 0 0 7 

· 

N 

APPROVEO(~VETOEO( 

VETO UPHELD ( ) VETO DENIED ( X} 

I hereby certify that the foregoing act of the Council was duly: 

PASSED ( ) 

KILLED ( ) 

DATE: /0 -24- t .f... 

and ratified in open Council after the same has been Interpreted by the Official Interpreter and 

has been fully and freely discussed. 

In testimony, whereof, I have hereunto set my hand and afrlxed the seal of the said Band 

Qf Indians. Superintendent, Cherokee Indian Agency. 

INTERPRETED ( ) OMITTED( ) 

~- ' 

Chapter 16 -TRIBAL GAMING ORDINANCE 

Sec. 16-1. Defin Jtions. 

(w) Key employee means: 

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

(i) Bingo caller, 

(ii) Counting room supervisor. 

(iii) Chief of security, 

(iv) Custodian of gaming supplies or cash, 

{v) Floor manager, 

(vi) Pit boss, 

(vii) Dealer, 

(viii) Croupier, 

(ix) Approver of credit, or 

{x) Custodian of gambling devices temliRals or GtAef...Ge~r-ate&-li>y-tl-le-ffiaRagemeAt--Gf 

any garni~FatiQA-:-including persons with access to cash and accounting records fQf 

within such devices; 

(2) If not otherwise included, any other person whose total cash compensation fi:am-e~ayrneRt-iA 

BRY"i)amiA~ is in excess of $50,000.00 per year; QL. 

(3) If not otherwise included, the four most highly compensated persons in aA')'the gaming 

operation~;.'* 

( 4) Any eq1:1ivaieAt;:x>s~peFalioA t~at the Comml~igAate&-by..ft&-rules-other 

oerson designated by the tribe as a key employee. 

(jj) Primary management officials means: 

(1) The person{&} having management responsibility-&veF-al~HIRY paFt of aAy gaml~t~ 

for a management contract: 

(2) Any person who has authority: 

(i) To hire and fire emp oyees~f a gamlRg.-apei:atioo; or 

(ii) To establi&Aset up working policy for athe gaming operation;..Q!: 

(3) The chief financial officer or other person who has financial management responsibil ty~ for any 

~r-aOOf:lr 

-(4)-AR}'-f>ef&E>fl-W~iRg eharehol9el:~managemeAt GOAt.i:aGteF,-eF 

(~) Any equivaleA~sitioA iR a gamiAg--OPeraliGA-tAat the Gomffllssfe!HfesigAat~t&-fi:llee-Q!.hfil 

person designated by the tribe as a primary management official. 

ARTICLE IV. LICENSE APPLJCA TIONS AND PROCEDURES 

Sec. 16-4.03. Application for license. 

(d) The following notices shall be placed on the application form for a key employee, management 

entity, primary management official or supplier of gaming goods and services before such form is 

completed by an applicant · 

(1) 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 (NIGC) members and staff who have need for the 

information in the performance of their official duties. The information may be disclosed by the 

Tdbe 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 IGCNatiOAal-IReia~iRg Cammi&eieR 

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 +Jribe's being unable to license you for a 

primary management official or key employee position. 
(2) The disclosure of your social security number (SSN) is voluntary. However, failure to supply a 

SSN may result in errors in processing your application. 

(3) 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). 
Commission or its agents, shall make every reasonable effort to maintain the confidentlallty of the 

identity of each person interviewed in the course of the investigation. Wlllful or careless violations of 

this raqwrement are subject to penalty ranging from censure, suspension, removal from office and 

a fine of up to $5,000.00. 

Third Amendment: Strike Paragraph (b) In Sec 16·5.08 In Its entfrwty ilnd repl•ce 

with the added language as a new Paragraph (b) under Sec 16-5.081& follows: 

Seo. 16-5.0B. Eliglblllty determination and procedures for forwarding applications and 

reports for key employees and primary management officials to the National Indian 

Gamlng Commission. 

(a) The Commission shall review an appllcant's prior activities, criminal record, reputation, habits 

and associations to make a finding concerning the eliglblNty of a key employee or primary 

management official for employment in a gaming operation. If the Commission determines that 

employment 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, the gaming operation shall not employ that person. 

(b) !AAleR a key e~yee er pAmaf¥ maAa14N"eAt eniclel IGAUA&IKM w• 8' a 9affliA9 

epeFaticaA. ~· C:°"1mlHloA .~all wilAIA a ,..~. ~ e# lime fof:w3RI tG ~· ~ a 

c;ompl&Ced epplioatioA fer ampleymeRt rer ewe;._ k•V '"'~ eF f'A"'aJV maA119aAWAt-offiGial.r 

aAd &AaU GGAGuc;l all ANMCaf\' DIMlkiHIWA" IAveeligatioAI. lM CGfflfflilllGR •Nall fflake tM 

eli9llaility cae~ Ra&ioA reflAd 'e ~ 1w1Mec1&1oA Ea) ef Ulil MGtioR. 

Before Issuing a license to a primary management official or to a key employee. the 

Commjsslon shall; 

( 1) Create and maiotajn an !nvestjgatjve reoort on each background Investigation, An 

Investigative report shall Include all of the following; 

(i) Steos taken in conducting a background lnyestigation: 

(ID Results obtaln!d: 

(iii) Conclusions reached: and 

Civ) The: basis for those conclusions. 

(2) Submit a notice of results of the applicant's background inyestlgation to the NIGC no later 

than sixty (60) days after the applicant begins work. The notice of results shall contain: 

m Appljcanrs name. date of birth, and social secyrltv nymbec 

<Ill Pate on wblch ecollcant began or will b!gln work aa key employee or primary 

management official: 

Ciii> A summarv of the Information Presented lo the lnvestjgative report, which shall at a 

minimum Include a listing of: 

(Al Licenses that have q(lviously been denied: 

(8) Gaming llctnses that have been revoked. eyeo it subsequently reinstated: 

lC> Every Known criminal charge bcouaht against the applicant within the last 1 O 

years of ttie date of applj~ation: and 

- 3 -
10) Every felony of which the applicant has been cony!cted or any ongoing 

orosecut1on. 

Clv) A copy of the ellglbilltv determination made under 16·5,0SCcl. 

Col A report shall be sybmltted to the N!GC within eo days after a k.ev emoloyee or pdmerv 

management official commences work at a gaming operation or within 60 days of the approval 

of this chapter bv tho Chairman of the NIGC. Such report shall. at a minimum, Include all of the 

following: 

C1l Steps taken in conducting the background lnyestlgatlon: 

C2l Results obtained: 

C3l Conclusions reached by the Commission: 

C4l The Commission's basis for those conclusjoos: and 

C5) A copy of the eliglb!lltv detean!nallon made pursuant to section 16-5,0SCa>. 

Cd) Subject to the provisions of section 16-4.12. no gaming operation shall continue to employ as 

a key employee or prlmarv management official any person who does not haye a license 

within 90 days of commencing wod< at a aamlng ooeration, 

Ce) If a Jlcense js not Issued to an applicant. the Commission. 

m Shall aot!ty the NIGC: and 

C2l May forward cqp!es of Its eUgibjllty detewinatlon and any relevant reoort regarding a 

background loyestlgation of the apcl!cant to the N!GC for Inclusion lo the Indian GamjnQ 

lodly!duals Records System. 

m With resoect to key employees and prjmarv management officials. app!lcatlons for employment 

and rtPQrts of background Investigations shall be retained by the Commission for !O$pectfon 

bv the Chairman or his desiqnee for no less than three years from the date or termination of 

employment of each key employee or orimarv managtment official. 

BE IT FURTHER ORDAINED that the Cherokee Tribal Gaming Commission is hereby 

directed to carry out the intent of this Ordinance and tci submit all documents to the 

NIGC for approval. 

BE IT FINALLY ORDAINED that this ordinance shall be effective upon ratification by 

the Principai Chiei. 

Submitted by: Cherokee Tribal Gaming Commission 

. 4 . 
. f "'b ·. J..O tS 

Sec. 16-4.09. Conditions of license. 

All licensees shall comply with such reasonable conditions as may be fixed by the Commission 

including, but not limited to, the following conditions: 

(a) Facility licensees. 

(1) The licensee shall at all times maintain an orderly, clean and neat gaming establishment. 

both inside and outside the premises of the gaming establishment; 

(2) The gaming establishment shall be subject to patrol by the Tribe's security and law 

enforcement personnel arid, when authorized. local and state law enforcement. and the 

licensee shall cooperate at all times with such security and law enforcement officials; 

(3) The gaming establishment shall be open to inspection by authorized Tribal officials at all 

times during business hours; 

(4) There shall be no discrimination in any gaming operations by reason of race, color, sex or 

creed; provided, however. that nothing herein shall prevent the licensee from granting 

preferences to Native Americans as permitted by law: and 

C5) The Tribe shall coostfuct. maintain and operate the gamfng facility in a manner that 

adequately protects the environment and the public health and safety. 

(b) Persons, management entities and suppliers of gaming goods and services licensed by the 

Commission shall comply with such conditions of the license as the Commission, in its 

reasonable discretion, may require. 

(Ord. No. 710, 10-13-2005) 

Sec. 16-5.03. Information required for background investigations. 

(a) Each person subject to a background investigation under section 16-5.01 of this chapter shall be 

required to provide, subject to the Privacy Act of 1974, as amended, at a minimum, and in such form 

as designated in section 16-4.04, or as may be prescribed by the Commission or the Executive 

Director, all of the following information: 

(1) Full name, other names used, social security number(s), birth date. place of birth, citizenship, 

gender, all languages (spoken or written); 

(2) Currently and for the previous ten years. all business and employment positions held, 

ownership interests in those businesses, business and residence addresses. and driver's 

license numqers; 

(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 

subsection (a)(2) of this section; 

(4) Current business and residence telephone numbers: 

(5) A description of any existing and previous business relationships with any Native American 

Indian Tribe including, but not limited to, a description of the amount and type of ownership 

interest in those businesses; 

(6) A description of any existing and previous business relationships with gaming including, but not 

limited to, a description of the amount and type of ownership interest in those businesses; 
Feb· J..6tS 

(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 any gaming or gambling, whether or not such 

license or permit was granted; 

(8) For each felony, or ongoing felony prosecution. whether or not there is a conviction, 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 ten 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 misdemeanor traffic charges, but including any DWI, 

reckless or careless driving charges), whether or not there is a conviction. if such criminal 

charge is within ten years of the date of the application and is not otherwise listed, the type of 

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

such charge; 

(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 current photograph; 

(13) Any other information the Commission deems relevant; and 

(14) Fingerprints consistent with the provisions of section 16-4.05 

(b) Background investigations conducted by the Commission must be sufficient to make the 

determination described in section 16-5.0S(a). In conducting a background investigation, the Commission 

or its agents, shall make every reasonable effort to maintain the confidentiality of the identity of each 

person interviewed in the course of the investigation. Willful or careless violations of this requirement are 

subject to penalty ranging from censure. suspension, removal from office and a fine of up to $5,000.00. 

Sec. 16-5.08. Eligibility determination and procedures for forwarding applications and 

reports for key employees and primary management officials to the National Indian 

Gam:~g Commission. 

(a) The Commission shall review an applicant's prior activities, criminal record. reputation. habits and 

associations to make a finding concerning the eligibility of a key employee or primary management 

official for employment in a gaming operation. If the Commission determines that employment 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, the gaming operation shall not employ that person. 

(b) WA6~ey--effiPl9¥ee or prima!¥-fft~gement offlsiakG~enG06-Wf>r*-at-a-gar:J1iAg-Gf'eration, t~e 

GeFRmissleA-sl:lail-witAJ~sena~er~li:n&-ferwa~~mf)!eteG-a~IGation.-fGF 

emplaymem-f"GF-st1Gh key empleye&-ei:-pi:imai:y-maAage~!Gialrand oRalkGAOOGt-all-ReGessa~ 

9aG~1.1 nEHR.veotlgations. l:ie-GGmmissio~a l-ma~lgia ~tieR-fefen:eEI to in 

600sec&loA (a) of tills sesti0A. 

Before issuing a license to a primary management official or to a key employee. a tribe shall: 

(1) Creme and maintain an Investigative report on each background investigation. An investigative 

report shall Include all of the following: 

{i) Steps taken in condl1cting a background investigation: 
Tribal Council 

Redline Version of Ordinance Amendments Changes 

Sec. 16-5.09. Granting a gaming license. Notification to NIGC of license decisions and retention 

obligations . 

• faH~ithi~~ei:ied~ves all re~ir:eG-appliGat.i<:>RS-aAEkepei:ls;-t.J::is NIGG 

ootmes ti:.e Tribe ti:.at ll-Aas-4lo objeGtlei:i to the lssuanGe-Gt-3-liGen~se-applJGatioA 

JlleEI by a key--employe&-ei:-a-pi:imafy-maMgemeAt-~>f:tk;ia .-tl:ie-Gem~ay-i664:1e a liGeR6&4o 

&UGR-app#Gaflt, 

(-G)-+Ae-G-OmmiseieR-6ha ~spoAd in a tlmety-fAaRAe~ests-feHddl ieRa~matia~ 

btlaifman-eaRG9ffMA9 lH~y..emp!Gyee&--Of:-p~m f:y-+llaua~enl-Gfflelals-whe are tRe subjeGt of 3F+Y 

repGft-filea witA O~e-t>UGG by the CoA1missiGA-:-A~uest-by-th&-GAalHr-18R-6Aatl-&vspenEI tRe 

3Q-da.y-peRGd referred l-0 In this secl:iGFHffit+I the GhatFman reGeilies th&-addftiooal Information 

~1;1este4 

(~Hf;-W1t~Q. day i:>enoo after the l\HGC r:eGe1ves-all-4eqYlFed-apf)liGation&-af!G-re~GG 

pF&11kles-the-Hibe.-with a statemeAt-itemmng-GbjeGtio~uance of a lieense to a key 

employee or to a pAm3r}' mana9emeAt-GffiG1al for wl=lo~on Ras sut>rnlUeG-an 

appiiGatl&n-aAQ..all-f.equireG-FepoFts t9 lhe NIGG. the-Gemmi66ff:>t:Hhall FeconslEler tl=le applica&ien, 

takmg-!AtG-accouAt U:le objecti&R~tem1ze9 by lhe NIGC, Tl:le CGmmf&sieA shall rnake the flAal 

GleG!sleA-wl=lether tG-iss~i~pllGaAt. 

(a) After the Commission has provided a notice of results of the background check to the NIGC. 

the Commission may license a primary management official or key employee. 

Cb) Within 30 days after the issuance of the license, the Commission shall notify the NIGC 

of its issuance. 

(c) A gaming operation shall not employ a key employee or primary management official who 

docs not have a license after ninetv (90) days. 

( d) If a tribe does not I icense an applicant -

( 1) The tribe shall notify the Commission; and 

(2) Shall forward copies of its eligibility determination and notice ofrcsults, to the NlGC 

in accordance with regulations fow1d at 25 CFR 556 & 558 for inclusion in the Indian 

Gaming Individuals Record System. 

(e) A tribe shall retain the following for inspection by the Chair or his or her dcsignec for no 

less than three years from the date of termination of emplovment: 

( 1) Applications for licensing; 

(2) investigative reports; and 

(3) Eligibility determinations. 

Sec. 16-5.10. License revocation and suspension following receipt of information from 

NIGC. Notice of information impacting eligibility and licensee's right to a hearing. 

JaHt;-after-t~e-issuaAG&-af-a-liGe~se.-tffe-+Rb&-reGeiv~RformatiGA fforn lhe NJGG-4R9iGatiAg-tAat-a 

rnaAafJern~AtmUin9 sA<iteR9lder-.k&f-Gmploy~lmary-maAagemeAt omc1al is Aet 
~i~le-fG~ymeAt-\ln6ef-66Gti~O~~ter, tt:ie CemmisslGR-&R<!ll-SYSt;>eRG-st:IGRliGeRSE>;-Snalkletify-#l&-liGeAS4*HR-Wfi.tiA~-s1;1sR-s"'sr:>eR&i&A-anG--tR&-tlGtemial r.e11eGatieA-~~a 

liGePSee'.s-lieeAse;.-aR<'l-SRall GOOG!lskl-Reai:iRg-iR-aGGGFGaRG&-WiU~ tl:ie rules-i:egaFG!Ag-tl:ie-pr~paSEKJ 

llGeASe re¥ocaiion. 

(9) After a t:ieaFi~m+ssleR-GR3ll-4&veka-eH'.eiAstate-a-liGeAS&-Sl:ls~nae{;j fH:1FGtJant-to 

e~&seGtiGA-fat-ei.~is-seatl~emm~ssiGA-Sfial~e-.NtGG-Gf..f1&.GeGisk>i+.-A-GeGi~f..tl:le 

GeFfl!flissien.-tG-revakEHJ-liGeASe after-t"1e hearing-Gal~e4-fer-9~9seGtiaR-{a-}-GWli&-seGtiGR sl:lall be 

.fiAal.-and ll:iere shaU-e&-A<:>-appeal. A maA~ent eAl!ty-w'*>&&-UG&nse-Ms--GeeA-Fell-Ok~ 

~1Spei:1Ge9-pw:S\JaRl-t~i&-seGtlaR-ma)'-Mt eperate a gaming operation. 

(a) If, after the issuance of a gaming license, the NIGC receives reliable info1mation .indicating th.at 

a key employee or a primary management official is not eligible for employment under § 556.5 of 

the Regulations, the NCGC shall notify the Commission of the information. 

(b) Upon receipt of such notification under paragraph (a) of this section, the Commission shall 

immediately suspend the license and shall provide tl1e licensee with written notice of 

suspension and proposed revoca1ion. 

(c) The Commission shall notify the licensee of a time and a place for a hearing on the 

proposed revocation of a license. 

( d) A right to a hearing w1der this part shall vest only upon receipt of a license granted under 

an ordinance approved by the Chair of the NIGC. 

(e) After a revocation hearing, the Commission shall decide to revoke or to reinstate a gaming 

license. The Commission shall notify the NJGC of its decision within 45 days of receiving 

notification from the NIOC pursuant to paragraph (a) of this section. 

fQl'EI. Ne. 1~0. 10 ~~~ 
The attached Resolution/Ordinance No.--4fil_ dated January 08, 2015_ was: 

PASSED ( X ) 

KILLED ( ) 

and ratified in open Council on February 05. 2015 by 100 voting for the act 

and _QQ_ members voting against it as follows: 

VOTE FOR AGAINST ABSTAIN ABSENT 

Tama McCoy x 

Perry Shell x 

Tunney Crowe x 

Al•n B. Entley x 

O.vld Wolfe x 

Bill Taylor x 

Tarrf Hanry x 

Brandon Jonea x 

Adllm Wach.cha x 

Bo Crowe x 

Albert Rose x 

Tommye Saunooke x 

TOTAL 100 0 0 0 

APPROVED / VETOED ( 

VETO UPHELD ( ) VETO DENIED ( X) 

I hereby certify that the foregoing act of the Council was duly: 

PASSED ( ) 

KILLED ( ) 

DATE: 2- G ... , ~ 

and ratified in open Council after the same has been interpreted by the Official Interpreter and 

has been fully and freely discussed. 

In testimony, whereof, I have hereunto set my hand and affixed the seal of the said Band 

of Indians. Superintendent, Cherokee Indian Agency. 

INTERPRETED ( ) OMITTED ( ) 
' F -eb. '-DlS"' 

(ii) Results obtained: 

(iiil Conclusions reached; and 

(iv) The basis for those conclusions. 

(2) Submit a notice of results of the applicant's baclSQround Investigation to the Commission no later 

than sixty (60} days after the applicant begins work. The notice of results shall contain: 

(j) Applicant's name. date of birth. and social security number; 

(ii) Date on which applicant began or will begin work as kev employee or primary management 

official; · 

(iii) A summary of the information presented in the investigative report. which shall at a minimum 

include a listing of: 

(Al Licenses that have previously been denied; 

(B) Gaming licenses that have been revoked, even if subsequently reinstated; 

<Cl Everv known criminal charge br"ougtll ayainst the applicant within the last 10 vears of 

the date of application: and 

(D) Every felony of which the applicant has been convicted or any ongoing prosecution. 

(jv) A cooy of the eligibilitv determination made under 16-5.08(c}. 

{c) A report shall be submitted to the NIGC within 60 days after a key employee or primarv management 

officjal commences work at a gaming operation or within 60 days of the approval of this chapter bv 

the Chairman. Such report shall. at a minimum. include all of the following: 

(1) Steps taken in conducting the background lnvestigatjon; 

!2) Results obtained: 

(3) Conclusions reached by the Commission: 

(4) The Commission's basjs for those conclusions: and 

(5) A copy of the ellglbility determination made pursuant to section 16-5.08fal. 

(dl Syblect to the provisions of section 16-4.12. no gaming operation shall continue to employ as a key 

employee or primary management official any person who does not have a license within 90 davs of 

commencing work at a gaming operation. 

(e) If a license is not issued to an applicant. the Commission: 

(1) Shall notify the NIGC: and 

(2} May forward copies of its eligibility determination and any refevant report regarding a 

background lnvestjgation of the applicant Jo the NIGC for inclusion In the Indian Gaming 

lndiv1dvals Records system. 

(fl With respect to key employees and primary management officials. applications for employment and 

reports of background investigations shall be retained by the Commission for inspection by the 

Chairman or hjs desiqnee for no less than three years from the date of termination of employment of 

each key employee or primary management official. 

(Ord. No. 710, 10-13-2005)