# CONFEDERATED TRIBES of COOS, LOWER UMPQUA AND SIUSLAW INDIANS TRIBAL CODE (2019)

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## Record

- **Collection:** Tribal code
- **Document type:** Tribal code

## Text

CONFEDERATED TRIBES of COOS, LOWER UMPQUA AND SIUSLAW INDIANS TRIBAL CODE

TITLE 5 - REGULATORY PROVISIONS
CHAPTER 5-2 GAMING
5-2-1 Authority and Purpose
The Tribal Council has authority to adopt this Gaming Code under Article I, Section 1
and Article VI, Section 2 of the Tribes’ Constitution. The Gaming Code, and any
subsequent amendment(s), shall be subject to approval by the National Indian Gaming
Commission under the Indian Gaming Regulatory Act. The purpose of this Gaming
Code is to set forth the regulations governing Class II and Class III Gaming on
CTCLUSI Indian Lands. Class I Gaming (social games played solely for prizes of
minimal value; or traditional forms of Indian gaming when played by individuals in
connection with tribal ceremonies or celebrations) is not regulated by this Gaming Code.
5-2-2 Gaming Authorized
(a)
Class II Gaming, as defined in CLUSITC 5-2-3(b), and as authorized by the
Indian Gaming Regulatory Act, may be played on CTCLUSI Indian Lands, in
accordance with this Gaming Code and applicable regulations of the National Indian
Gaming Commission.
(b)
Class III Gaming, as defined in CLUSITC 5-2-3(c), and as authorized by the
Indian Gaming Regulatory Act, may be played on CTCLUSI Indian Lands, in
accordance with this Gaming Code, the Tribal-State Compact, and applicable
regulations of the National Indian Gaming Commission.
(c)
Before authorizing any gaming activity pursuant to this Gaming Code, the Tribes
shall ensure that:
(1)

The gaming activity is located on CTCLUSI Indian Lands;

(2)
With respect to Class II Gaming, the State of Oregon permits such gaming
for any purpose by any person, organization or entity (and such gaming is not otherwise
specifically prohibited on Indian Lands by federal laws); and/or
(3)
Compact.

With respect to Class III Gaming, the gaming activity is authorized by the

5-2-3 Definitions
The following definitions shall apply to this Gaming Code:
(a)
“Chair”: the Chair of the National Indian Gaming Commission or his or her
designee.
(b)

“Class II Gaming”: consists of the following:
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(1)

The game of chance commonly known as bingo (whether or not

electronic, computer or other technologic aids are used) when players:
(A)

Play for prizes with cards bearing numbers or other designations;

(B)
Cover numbers or designations when objects, similarly numbered
or designated, are drawn or electronically determined; and
(C)
Win the game by being the first person to cover a designated
pattern on such cards.
(2)
Including (if played in the same location as bingo) pull-tabs, lotto, punch
boards, tip jars, instant bingo, and other games similar to bingo.
(3)

Nonbanking card games that:

(A)
State law explicitly authorizes, or does not explicitly prohibit, and
are played legally anywhere in the State; and
(B)

Players play in conformity with State laws and regulations

concerning hours, periods of operation and limitations on wagers and pot sizes.
(c)
“Class III Gaming”: all forms of gaming not classified as Class I or II, and
authorized by the Compact.
(d)
“CLUSITC”: the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians’ Tribal Code.
(e)

“Commission”: the CTCLUSI Gaming Commission.

(f)
“Commission Staff”: the CTCLUSI Gaming Commission staff, supervised by and
including the Executive Director.
(g)
“CTCLUSI” or “Tribes”: the Confederated Tribes of Coos, Lower Umpqua, and
Siuslaw Indians.
(h)

“CTCLUSI Indian Lands” or “Indian Lands”:
(1)

Land within the limits of the CTCLUSI Reservation; or

(2)
Land over which CTCLUSI exercises governmental power and that is
either:
(A)
Held in trust by the United States for the benefit of the Tribes or any
individual member of the Tribes; or
(B)
Held by the Tribes or any individual member of the Tribes and
subject to restriction by the United States against alienation; or
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(C)

Land on which gaming by CTCLUSI is allowed by IGRA.

(i)
“Executive Director”: the Executive Director of the CTCLUSI Gaming
Commission.
(j)
“Gambling Device”: the devices described in 15 U.S.C. § 1171(a), as may be
amended from time to time.
(k)

“Gaming Code”: this Chapter 5-2 of the CLUSITC.

(l)
“Gaming Facility”: any building, structure or grounds used by CTCLUSI for
gaming purposes, other than Class I Gaming, including any property used to store
gaming equipment, supplies or records.
(m) “Gaming Operation”: Each economic entity authorized by this Gaming Code and
licensed by the CTCLUSI Gaming Commission that operates the games, receives the
revenues, issues the prizes, and pays the expenses. A Gaming Operation may be
operated by the Tribes directly, through a tribally-chartered corporation, or by a
Management Contractor.
(n)
“High Security Employee”: shall have the meaning defined in the Compact and
shall apply only to a Class III Gaming Operation.
(o)
“Immediate Family”: shall include parents, children, spouses, significant others,
brothers, and sisters.
(p)
“IGRA”: the Indian Gaming Regulatory Act, P.L. 100-497; 102 Stat. 2467;
codified in part at 25 U.S.C. §§ 2701–2721.
(q)

“Key Employee”:
(1)

A person performing 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;
(J)
custodian of Gambling Devices including persons with access to
cash and accounting records within such devices;
(K)
security;
(L)
information technology;

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(2)
If not otherwise included, any other natural person whose total cash
compensation is in excess of $50,000 per year; or
(3)
If not otherwise included, the four most highly compensated persons in
each Gaming Operation.
(4)
If not otherwise included, any person in a Class III Gaming Operation who
would be considered a Key Employee under the Compact.
(5)
(r)

Any other person designated by the Commission as a Key Employee.

“Low Security Employee”:

(1)
In a Class II Gaming Operation, Low Security Employee means any
employee of the Class II Tribal Gaming Operation who is not a Primary Management
Official or a Key Employee.
(2)
In a Class III Gaming Operation, Low Security Employee shall have the
meaning defined in the Compact.
(s)
“Management Contract”: any contract, subcontract, or collateral agreement
between the Tribes and an outside Management Contractor, not a regular employee of
the Tribes, if such contract or agreement provides for the management of all or part of a
Gaming Operation.
(t)
“Management Contractor”: a natural person or entity (other than the Tribes) that
has entered into a Management Contract with the Tribes pursuant to 25 U.S.C. §
2710(d)(9) and 2711.
(u)
“Tribal Internal Control Standards” (“TICS”) or “Minimum Internal Control
Standards” (“MICS”):
(1)
For Class II Gaming, means the Tribal Internal Control Standards adopted
by the Tribes consistent with 25 CFR Part 543.
(2)
For Class III Gaming, means the Tribal/State “Minimum Standards for
Internal Controls” attached as the Appendix to the Compact, including revisions made
pursuant to § 8(A) of the Compact.
(v)
“Net Revenues”: gross gaming revenues of a Gaming Operation less amounts
paid out as, or paid for, prizes, and total gaming-related operating expenses, including
all those expenses of the Gaming Operation commonly known as operating expenses,
non-operating expenses consistent with professional accounting pronouncements, and
the cost of interest on debt service, but excluding management fees, if any.
(w)

“NIGC”: the National Indian Gaming Commission.

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(x)
“Oregon State Police” or “OSP”: the Gaming Enforcement Division, or that
administrative unit, of the Department of State Police established under ORS 181.020,
charged with gaming enforcement regulatory responsibilities, or its successor agency
established by law.
(y)

“Primary Management Official”:
(1)

A person having management responsibility for a Management Contract;

(2)
A person with authority to hire and fire or set up working policy for a
Gaming Operation;
(3)
A Chief Financial Officer or other person who has financial management
responsibility;
(4)
If not otherwise included, in a Class III Gaming Operation, any other
person who would be considered a Primary Management Official under the Compact; or
(5)
Any other person designated by the Commission as a Primary
Management Official.
(z)

“State”: the State of Oregon.

(aa) “Tribal-State Compact” or “Compact”: the agreement between the Tribes and the
State of Oregon, and approved by the Secretary of the Interior pursuant to 25 U.S.C.
2710(d)(8), governing the conduct of Class III Gaming on CTCLUSI Indian Lands.
(bb) “Tribal Council”: the Tribal Council of the Confederated Tribes of Coos, Lower
Umpqua, and Siuslaw Indians.
(cc) “Tribal Court”: the Tribal Court of the Confederated Tribes of Coos, Lower Umpqua,
and Siuslaw Indians.
(dd) “Vendor”: any manufacturer, consultant or supplier of goods or services related to
Class II or Class III Gaming.
5-2-4 Ownership
The Tribes shall have sole proprietary interest in and responsibility for conducting any
Class II and Class III Gaming Operations authorized by this Gaming Code.
5-2-5 Unauthorized Gaming
The Tribes shall initiate an action against any person or entity conducting or taking part
in unauthorized Class II or Class III Gaming on CTCLUSI Indian Lands in the Tribal
Court, or if the Tribal Court lacks jurisdiction, in any court of competent jurisdiction.

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5-2-6 Use of Net Revenues
Net Revenues from Class II and Class III Gaming shall be used only for the following:
funding tribal government operations and programs; providing for the general welfare of
CTCLUSI and its members; promoting tribal economic development; donations to
charitable organizations; or helping to fund operations of local governmental agencies.
5-2-7 Gaming Commission
(a)
The Gaming Commission is hereby established to regulate Class II and Class III
Gaming on CTCLUSI Indian Lands. The Commission shall consist of five (5) members
appointed by a majority vote of the Tribal Council.
(b)
The purpose of the Commission and Commission Staff is regulatory, not
managerial. The Commission, Commission Staff, or individuals designated to perform
Commission duties shall not participate in any way in the management of a Gaming
Operation. The Commission and Commission Staff shall conduct oversight to ensure
compliance with the Compact, and with tribal, federal, and, if applicable, State law and
regulations. The Commission shall serve as the licensing authority for individuals
employed in a Gaming Operation and shall ensure that appropriate background
investigations are conducted as part of the licensing process. The Commission and
Commission Staff shall also monitor compliance with the MICS or TICS, as appropriate,
for a Gaming Operation. In order to carry out its regulatory duties, the Commission and
Commission Staff shall have unrestricted access to all areas of a Gaming Operation
and to all records. The Commission shall have the authority to take enforcement
actions, including suspension or revocation of an individual gaming license when
appropriate.
(c)
CTCLUSI recognizes the importance of an independent Commission in
maintaining a well-regulated Gaming Operation. The Commission shall act
independently and autonomously from the Tribal Council in all matters within its
purview. No prior or subsequent review by the Tribal Council of any actions of the
Commission shall be required or permitted, except as otherwise explicitly provided in
this Gaming Code.
(d)

Commissioners must meet the following minimum eligibility requirements:
(1)

Commissioners must be at least twenty-one (21) years of age;

(2)
Commissioners must successfully complete a background investigation,
as set forth in CLUSITC 5-2-15;
(3)

No member of the Tribal Council may serve as a Commissioner;

(4)

No employee of a Gaming Operation may serve as a Commissioner.

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(e)

The following restrictions shall apply to Commissioners:
(1)

Commissioners are prohibited from gaming in a Gaming Facility;

(2)
Commissioners shall not have any financial interest in any gaming by any
Gaming Facility patron; and
(3)
Commissioners are prohibited from accepting complimentary items from a
Gaming Operation, excepting authorized accommodations, meals, and related
expenses in connection with official Commission duties.
(4)
Commissioners are prohibited from voting in any matter wherein he or she
or a member of his or her Immediate Family has a direct personal and/or
financial interest.
(f)
The Commission shall exercise all powers necessary to regulate Class II and
Class III Gaming on CTCLUSI Indian Lands, consistent with IGRA, this Gaming Code,
the Compact and other applicable law. The duties of the Commission include the
following without limitation:
(1).

Developing all necessary license application forms;

(2)
Processing all license applications, making determinations regarding the
suitability of applicants for licensing, issuing licenses to qualified persons and
notifying the NIGC of the issuance or denial of such licenses as required by
IGRA and the NIGC implementing regulations;
(3)
Approving, denying, limiting, conditioning, revoking, rescinding or
suspending any gaming license or assessing a fine against any person or entity
licensed or required to be licensed pursuant to this Gaming Code, IGRA, the
Compact and other applicable law and regulations;
(4)

Determining appropriate license fees;

(5)
Promulgating and amending regulations as the Commission deems
necessary to implement this Gaming Code and the Tribal-State Compact;
(6)
and

Imposing civil penalties or other sanctions including seizure of property;

(7)
Executing all other duties assigned to the Commission in the Compact
and/or by the Tribal Council.
(g)
Terms of office for Commissioners shall be three (3) years or until a successor is
appointed. Upon NIGC approval of amendments to this Gaming Code expanding the
size of the Gaming Commission from three (3) to five (5) members, the initial terms of
Commissioners will be staggered as follows: one member shall serve an initial term of
one (1) year; two members shall serve an initial term of two (2) years; and two
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members, including the Chair, shall serve an initial term of three (3) years. Subsequent
to the initial term, each Commissioner may be appointed to additional three-year terms,
at the discretion of the Tribal Council. Upon approval of this Gaming Code by the NIGC,
the Tribal Council shall appoint a Chair and a Vice-Chair, who shall thereafter serve
their initial terms.
(h)
Commissioners may be removed from office prior to the expiration of their
respective terms only for cause by a majority vote of the Tribal Council. Neglect of duty,
misconduct, malfeasance, or other acts that would render a Commissioner unqualified
for his/her position shall be cause for removal. Commissioners will be given an
opportunity to provide evidence rebutting the grounds for their proposed removal. A vote
of the Tribal Council on the decision to remove a Commissioner shall be final and not
subject to appeal.
(i)
The Tribal Council shall promptly fill Commission vacancies. Newly appointed
Commissioners shall fill the term of the Commissioner whom they are replacing.
(j)
A Commissioner's seat shall be immediately vacant upon conviction of any
felony, conviction of any misdemeanor related to illegal gambling or bribery, or upon
having three (3) consecutive unexcused absences from Commission meetings.
(k)
As set forth in CLUSITC 5-2-8(a), nothing in this Gaming Code prohibits the
Executive Director from simultaneously serving on the Commission. In the event that
the Executive Director serves on the Commission and his or her employment is
terminated for any reason, he or she shall also immediately vacate his or her seat on
the Commission. Thereafter, the Tribal Council may in its sole discretion choose to
appoint the former Executive Director to the vacant Commission seat if the former
Executive Director is qualified for the position.
(l)
The Tribal Council shall establish compensation rates for Commissioners.
Commissioner compensation shall not be based on a percentage of gaming revenue.
(m) Any regulations promulgated by the Commission to implement this Gaming Code
and the Tribal-State Compact shall be subject to the following requirements:
(10
The Commission shall provide a minimum of thirty (30) days’ notice of
proposed regulations.
(2)
Notice of the proposed regulation(s) shall be posted at the Gaming
Facility, the tribal offices, and the tribal community center, and provided to the
Tribal Council and the management of all Gaming Facilities.
(3)
The notice shall specify the purpose of the proposed regulation, the
proposed language, and the factors the Commission has considered in its
determination to enact the proposed regulation, and an address at which the
Commission shall receive comments.

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(4)
During the notice period, the Commission shall receive comments
regarding the proposed regulation at the Commission offices, or at a designated
mailing address.
(5)
After the notice period has ended, the Commission shall consider
comments on the proposed regulation at a public meeting.
(6)
Thereafter, the Commission shall determine whether any changes should
be made to the proposed regulation based on comments received and whether
to adopt the proposed regulation.
(7)
The validity of any Commission regulation may be determined by the
Tribal Court in the following manner:
(a)
The CTCLUSI Chief Executive Officer may file a petition for Tribal
Court review of a Commission regulation at any time.
(b)
Any person or entity that commented on a proposed Commission
regulation as provided in CLUSITC 5-2-7(m)(4) may file a petition for
Tribal Court review of the regulation within ten (10) days of the
Commission’s adoption of the regulation.
(c)
The validity of any Commission regulation may be determined by
Tribal Court upon enforcement of such regulation or order in the manner
provided by Tribal law, except that Tribal Court shall not declare a
Commission regulation invalid as to any licensee that agreed to be bound
by the regulation as a condition of the licensee’s license.
(d)
Tribal Court shall declare a Commission regulation invalid only if it
finds that the regulation:
(i)

Violates constitutional provisions;

(ii)

Exceeds the authority of the Commission; or

(iii)
Was adopted without compliance with applicable rulemaking
procedures, provided, however, that any such challenge must be
brought within ninety days of the adoption of the regulation.
(n)
The Commission shall meet as often as required to discharge its responsibilities
and duties under this Gaming Code.
(o
A quorum of the Commission shall consist of three (3) members. All decisions
shall be made by a majority vote of the Commission.
(p)
The Commission, through the Executive Director, shall make quarterly reports to
the Tribal Council within thirty (30) days of the end of each quarter. The reports shall

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include, at a minimum, a description of the work performed by the Commission during
the previous quarter, as well as a summary of all licensing and enforcement actions.
(q)
In all decisions, the Commission and Commission Staff shall act to promote and
ensure integrity, security, honesty and fairness of operation and administration of all
gaming activities.
(r)
The Commission Staff shall prepare an annual budget, which shall be timely
submitted to the Tribal Council for approval and published with the Tribes’ annual
budget. At the end of the budget year, any unexpended funds may be applied to the
following year's budget at the Tribal Council's discretion.
(s)
Subject to the annual budget approved by the Tribal Council, the Executive
Director may organize the Commission Staff into divisions and employ such staff as
necessary to implement this Gaming Code. All Commission Staff must satisfy all of the
minimum eligibility requirements applicable to Commissioners, as set forth in CLUSITC
5-2-7(d), and are subject to the restrictions set forth in CLUSITC 5-2-7(e).
(t)
The Commission Staff shall maintain files and records of the Commission and
shall make such records available for inspection, as required by the Compact, this
Gaming Code and applicable law. All files and records maintained by the Commission
Staff shall be open for inspection by the Tribal Council, unless otherwise restricted by
applicable law.
5-2-8 Commission Executive Director
(a)
The Tribal Council shall appoint an Executive Director. The Executive Director
and all Commission Staff must satisfy all of the minimum eligibility requirements
applicable to Commissioners, as set forth in CLUSITC 5-2-7(d) of this Gaming Code.
(b)
The Executive Director shall be responsible for the hiring and firing of
Commission Staff and for the day-to-day monitoring of gaming activities, including the
implementation and enforcement of the regulations promulgated by the Commission.
(c)
The Executive Director shall attend and be permitted to participate actively in all
meetings of the Commission.
(d)

Removal of the Executive Director:
(1)
The Executive Director shall be immediately and automatically removed if
at any point during his/her employment the Executive Director fails to meet the
minimum eligibility standards for Commissioners set forth in CLUSITC 5-2-7(d),
engages in conduct prohibited by CLUSITC 5-2-7(e), or is convicted of any felony
or any misdemeanor related to illegal gambling or bribery.
(2)
Subject to the provisions of subsection (1) above, the Executive Director
shall serve at the pleasure of the Tribal Council.

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(3)
Notwithstanding the provisions of CLUSITC Chapter 9-4, if the Executive
Director is removed for any reason, there shall be no right of appeal.
(e)
The Executive Director, supported by Commission Staff, shall carry out all duties
and responsibilities assigned to the Executive Director under this Gaming Code. The
Executive Director shall at all times act to promote and ensure the integrity, security,
honesty and fairness of the operation and administration of all gaming activity. The
duties of the Executive Director include, but are not limited to, the following:
(1)
Overseeing the Gaming Operations to ensure compliance with this
Gaming Code and the Compact;
(2)
Communicating with the NIGC and agencies of the State of Oregon,
including the Oregon State Police, as necessary and appropriate to ensure
compliance with applicable NIGC regulations, the Tribal-State Compact and this
Gaming Code;
(3)
Ensuring there is an adequate system for background investigations of
license applicants and licensees, and that oversight of licensees is conducted on
an ongoing basis;
(4)
Conducting or causing to be conducted background investigations as set
forth in this Gaming Code;
(5)
Submitting a notice of results of the background investigation of any Key
Employee or Primary Management Official to the NIGC, as set forth in 25 CFR
Parts 556 and 558;
(6)
Submitting a complete copy of the background investigation report on any
High Security or Primary Management Official to the Oregon State Police as
required by the Compact;
(7)
Conducting or causing to be conducted testing for illegal drug use as set
forth in this Gaming Code;
(8)
Inspecting and examining all premises where gaming is conducted or
Gambling Devices and/or equipment are stored, sold or distributed, and
inspecting and examining all Gambling Devices, equipment and supplies to
ensure compliance with this Gaming Code and any other applicable law;
(9)
Inspecting and reviewing all gaming contracts to ensure compliance with
this Gaming Code and any other applicable law; and inspecting and reviewing
records, books and financial documents relating to the conduct of gaming to
determine compliance by the licensee with this Gaming Code and any other
applicable law;
(10) Establishing a list of persons not permitted by the Executive Director to
game in a Gaming Facility;
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(11)
and

Safeguarding the assets transported to, from and within a Gaming Facility;

(12) Investigating possible violations of this Gaming Code or the Compact, and
recommending to the Commission whether sanctions should be imposed on any
person subject to the jurisdiction of this Gaming Code.
5-2-9 Audit
(a)
The Tribes, in conjunction with the Commission and Commission Staff, shall
cause to be conducted an annual independent audit of each Class II and Class III
Gaming Operation on CTCLUSI Indian Lands and, if required, shall cause the results of
that audit to be timely submitted to the NIGC.
(b)
All gaming related contracts that result in purchases of supplies, services, or
concessions for more than $25,000 in any year, except contracts for legal and
accounting services, shall be specifically included within the scope of the audit.
5-2-10 Construction, Maintenance and Operation of Facility
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. This shall
include compliance with the Tribes’ Building Code, CLUSITC Chapter 8-4, as may be
amended.
5-2-11 Individuals Required to Be Licensed By the Commission
(a)
Class II Gaming Operations: Primary Management Officials, Key Employees and
Low Security Employees of Class II Gaming Operations shall be licensed by the
Commission in accordance with the provisions of this Gaming Code and any applicable
NIGC regulations.
(b)
Class III Gaming Operations: Primary Management Officials, Key Employees,
High Security Employees and Low Security Employees of Class III Gaming Operations
shall be licensed by the Commission in accordance with the provisions of this Gaming
Code, the Compact, and any applicable NIGC regulations.
5-2-12 License Applications
(a)
The Commission shall adopt license application forms for all prospective
employees of Class II or Class III Gaming Operations required by the Tribes to be
licensed.
(b)
The following notice shall be placed on the Tribe’s 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
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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
Tribe 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.
(c)
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).
(d)
The Commission Staff shall notify in writing existing Key Employees and Primary
Management Officials who have not completed an application containing the notices set
forth above that they shall either:
(1)
Complete a new application form that contains the Privacy Act, false
statement, and disclosure notices; or
(2)
Sign a statement that contains the Privacy Act, false statement and
disclosure notices and consent to the routine uses described in those notices.
(e)
In accordance with the Compact, the application form to be signed by an
applicant for a tribal gaming license in a Class III Gaming Operation shall include a
notice that the applicant consents to disclosure to the State of relevant tribal records.
5-2-13 Background Investigations of Applicants for Positions in the Class II and Class III
Gaming Operations
(a)
Each applicant for a position as a Primary Management Official, Key Employee
or Low Security Employee shall provide all of the following information, which shall be
used to conduct a background investigation:

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(1)
Full name, other names used (oral or written) including nicknames and
aliases, social security number(s), birth date, place of birth, citizenship, gender,
all languages (spoken or written);
(2)
All the following information currently and for at least the previous five (5)
years: business and employment positions held, ownership interests in those
businesses, business and residence addresses, and driver’s license number(s)
or state-issued identification card(s);
(3)
Names and current addresses of at least three (3) personal references,
including at least one personal reference who was acquainted with the applicant
during each period of residence listed under paragraph (a)(2) of this section;
(4)

Current business, residence and mobile telephone numbers;

(5)
A description of any existing and previous business relationships with
Indian tribes, including ownership interests in those businesses;
(6)
A description of any existing and previous business relationships with the
gaming industry in general, including ownership interests in those businesses;
(7)
The name and address of any licensing or regulatory agency with which
the applicant has filed an application for a license or permit related to gaming,
whether or not such license or permit was granted, and, if any disciplinary actions
were taken by any such licensing or regulatory agency, a description of such
disciplinary actions;
(8)
The name and address of any licensing or regulatory agency with which
the applicant has filed an application for an occupational license or permit,
whether or not such license or permit was granted;
(9)
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 and
disposition, if any;
(10) For each misdemeanor or infraction conviction or ongoing prosecution
(except minor traffic violations): the charge, the name and address of the court
involved, and the date and disposition, if any;
(11) For each criminal charge (except minor traffic charges), whether or not
convicted, and not otherwise listed: the charge, the name and address of the
court involved, and the date and disposition, if any;
(12)

Current photograph or photo identification;

(13)

Any other information the Commission may deem relevant; and

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(14) Fingerprints consistent with procedures adopted by CTCLUSI according to
CLUSITC 5-2-14.
(b)
In addition to the requirements set forth in subsection (a), each applicant for a
position as a Primary Management Official, Key Employee, High Security Employee or
Low Security Employee of a Class III Gaming Operation shall also provide full and
complete information regarding all criminal proceedings, except for minor traffic
offenses, to which the applicant has been a party, regardless of when such criminal
proceedings occurred, as required by the Compact.
(c)
In conducting a background investigation, the Commission and Commission Staff
shall keep confidential the identity of each person interviewed in the course of the
investigation.
(d)
When a Primary Management Official or Key Employee is employed by the
Tribes, a complete application file, containing all of the information listed in CLUSITC
5¬2-13(a), shall be maintained.
5-2-14 Fingerprinting of Certain Applicants for Positions in the Class II or Class III
Gaming Operation
(a)
Fingerprinting of Primary Management Officials, Key Employees and Low
Security Employees of a Class II Gaming Operation. In addition to the requirements set
forth in CLUSITC 5-2-13 of this Gaming Code, applicants for a position as a Primary
Management Official, Key Employee or Low Security Employee of a Class II Gaming
Operation shall have fingerprints taken consistent with procedures adopted by the
Commission according to 25 CFR § 522.2(h). Fingerprints shall be taken, processed
and reviewed by an official of the Gaming Commission Licensing Section or Tribal
Police Department using state and federal data banks, including the criminal history
records maintained by the Federal Bureau of Investigation. The Commission Staff may
submit fingerprint cards of applicants for a position as a Primary Management Official or
Key Employee to the NIGC for processing, as provided in 25 CFR § 514.15.
(b)
Fingerprinting of Primary Management Officials, Key Employees and High
Security Employees of a Class III Gaming Operation. In addition to the requirements set
forth in CLUSITC 5-2-13 of this Gaming Code, applicants for a position as a Primary
Management Official, Key Employee, or High Security Employee of a Class III Gaming
Operation shall provide fingerprints. Fingerprints shall be taken, processed and
reviewed by an official of the Gaming Commission Licensing Section or Tribal Police
Department using state and federal data banks, including the criminal history records
maintained by the Federal Bureau of Investigation. The Commission Staff may, in the
alternative, choose to have the fingerprints taken, processed and reviewed by an official
of the Oregon State Police in accordance with the Compact, or may submit fingerprint
cards of applicants for a position as a Primary Management Officials or Key Employee
to the NIGC for processing, as provided in 25 CFR § 514.15.
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(c)
The Commission Staff may, in its discretion, require any other prospective or
current employee in a Class II or Class III Gaming Operation to provide fingerprints as
part of the background investigation.
5-2-15 Background Investigations of Commissioners and the Executive Director
(a)
The Commission Staff shall conduct a background investigation on each
prospective Commissioner and on the Executive Director prior to his/her appointment.
Each prospective Commissioner and the Executive Director shall provide all of the
information required by CLUSITC 5-2-13(a)(1-14), as well as any other information the
Commission Staff may deem relevant, which shall be used to conduct the background
investigation.
(b)
Each prospective Commissioner, the Executive Director and Commission Staff
shall have fingerprints taken, processed and reviewed by an official of the Tribal Police
Department or Gaming Commission Licensing Section using federal data banks,
including the criminal history records maintained by the Federal Bureau of Investigation.
The Commission Staff may, in the alternative, request to have fingerprints taken,
processed and reviewed by an official of the Oregon State Police.
(c)
In conducting a background investigation of a prospective Commissioner or
Executive Director, the Commission Staff shall keep confidential the identity of each
person interviewed in the course of the investigation.
(d)
The Commission shall, by separate regulation, establish minimum criteria for the
eligibility of Commissioners, the Executive Director and Commission Staff, which shall
be at least as stringent as the eligibility requirements for issuance of a gaming license to
a High Security Employee or Primary Management Official in a Class III Gaming
Operation, as set forth in § 7(A)(5) of the Compact.
5-2-16 Eligibility Determinations and Issuance of Licenses to Officials and Employees of
the Class II and Class III Gaming Operations
(a)
Prior to granting a gaming license to any individual required by the Commission
to be licensed in a Class II or Class III Gaming Operation, the Commission Staff shall
verify the information provided by the applicant, interview applicant's references, and
review the results of the applicant’s background investigation, prior activities, criminal
records (if any), reputation, habits and associations, and any other information deemed
relevant to make a finding concerning the eligibility of the applicant for employment in a
Class II or Class III Gaming Operation. The Commission Staff shall prepare an
investigative report that includes, at a minimum, the steps taken in conducting a
background investigation, any results obtained, the conclusions reached, and the bases
for those conclusions.
(b)
If, on the basis of the investigative report, the Commission determines that
employment or licensure of the individual in a Class II or Class III Gaming Operation
would pose a threat to the public or Tribal interest or to the effective regulation of
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gaming, or would create or enhance the danger of unsuitable, unfair or illegal practices
or activities in the conduct of gaming, the Tribes, the Commission, or a Class II or Class
III Gaming Operation, whichever is appropriate, shall not employ or license the
individual. The decision of the Commission shall be final and not subject to appeal.
(c)
The Commission shall not issue a license to any prospective Primary
Management Official, Key Employee, High Security Employee or Low Security
Employee of a Class III Gaming Operation if the Commission determines that
employment or licensure of the individual in the Class III Gaming Operation is prohibited
by the Tribal-State Compact.
(d)
The Tribe shall not employ an individual in a Primary Management Official or Key
Employee position who does not have a gaming license after ninety (90) days of
beginning work at a Gaming Operation. The Commission may temporarily license a
gaming employee to work in a Class II or Class III Gaming Operation; provided
however, that such temporary licenses may not be issued for a period exceeding ninety
(90) days, and employees shall remain on probation until the background investigation
set forth in CLUSITC 5-2-13 of this Gaming Code is completed. In addition, where the
temporary license is being issued to an employee in a Class III Gaming Operation, the
Commission shall comply with the applicable provisions of the Compact.
(e
Employee Gaming Licenses subject to this Code may not be granted for a period
exceeding three (3) years.
(f)
The Commission may license a Primary Management Official or Key Employee
applicant after submitting a notice of results of the applicant’s background investigation
to the NIGC, as required by CLUSITC 5-2-19.
5-2-17 Request for Hearing on Denial or Nonrenewal of License.
(a)
If an applicant for employment at the Class II or Class III Gaming Operation
disagrees with an initial licensing decision of the Commission, or a decision by the
Commission not to renew a license, she or he may request a hearing before the
Commission not later than seven (7) days after receipt of notification of the
Commission’s decision. The Commission may, in its discretion, hold a hearing to review
its decision.
(b)
Following such hearing, the Commission shall affirm, modify or reverse its initial
licensing decision.
(c)
Any denial of a gaming license by the Commission shall be final. There shall be
no right of appeal.

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5-2-18 Procedures for Forwarding Applications of Primary Management Officials,
and High Security Employees of the Class III Gaming Operation to OSP
(a)
The Commission Staff shall forward copies of the applicant information for
Primary Management Officials and High Security Employees to the OSP, as provided in
the Compact.
(b)
If the Commission Staff conducts a background investigation on a Primary
Management Official or a High Security Employee of a Class III Gaming Operation, the
Commission Staff shall submit the completed investigative report to the OSP within sixty
(60) days, as set forth in the Compact.
5-2-19 Reporting to the NIGC
(a)
Before issuing a license to a Primary Management Official or Key Employee, the
Commission shall prepare a notice of results of the applicant’s background investigation
to submit to the NIGC.
(1)
The notice of results must be submitted to NIGC no later than sixty (60)
days after the applicant begins working for the Tribes.
(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 ten (10) years of the date of the application; and
(iv)
every felony offense of which the applicant has been
convicted or any ongoing prosecution; and
(D)
A copy of the eligibility determination made in accordance with
CLUSITC 5-2-16.
(b)
The Commission shall notify the NIGC of the issuance of a license to a Primary
Management Official or Key Employee within thirty (30) days of issuance.

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(c)
When the Commission does not license a license to an applicant for a Primary
Management Official or Key Employee position, or revokes a previously issued license
after reconsideration, it shall:
(1)

Notify the NIGC; and

(2)
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.
5-2-20 Recurring Background Investigations
(a)
If, after issuance of a gaming license to a Primary Management Official, Key
Employee, or other person required by the Commission to be licensed in a Class II
Gaming Operation, the Commission Staff may conduct additional background
investigations, at any time during the term of their employment, to determine whether
the license should be suspended or revoked in accordance with CLUSITC 5-2-25 of this
Gaming Code.
(b)
As provided in the Compact, the Commission Staff or the State may conduct
additional background investigations of any Class III Gaming employee at any time
during the term of employment.
(c)
The Commission Staff may conduct additional background investigations of a
Commissioner if, at any point during that Commissioner’s term, the Commission
receives information indicating that the Commissioner may not meet the eligibility
requirements for Commissioners set forth in this Gaming Code.
5-2-21 Drug Testing
(a)
Each Commissioner, Commission Staff member, Primary Management Official,
Key Employee, High Security Employee and Low Security Employee, upon selection or
hire and prior to appointment or licensure, or upon renewal of a license, may be
required to undergo testing for illegal drug use, the results of which may be used in
appointment and licensing determinations.
(b)
The Commission may condition a license on the licensee’s periodic, random
testing for illegal drug use if the results of the background investigation indicate that
such drug testing is warranted.
(c)
The Commission may adopt regulations relating to drug testing of licensed
employees during their employment.
(d)
Commissioners and Commission Staff shall be subject to the Tribe’s policies and
procedures for employee drug testing. Employees of a Class III Gaming Operation shall
be subject to the Class III Gaming Operation’s policies and procedures for employee
drug testing.
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5-2-22 Records Retention
(a)
The Commission shall retain, for no less than three years from the date a
Primary Management Official or Key Employee is terminated from employment with the
Tribe, the following documentation:
(1)

Applications for licensing;

(2)

Investigative reports; and

(3)

Eligibility determinations.

5-2-23 Licensing of Vendors
(a)
The Commission shall promulgate regulations for licensing of Vendors and
ensure that a background investigation is conducted in accordance with such
regulations and the Compact.
(b)

The Commission shall adopt license application forms for Vendors.

(c)
All applicants for a Vendor license shall provide all financial and operating data
requested by the Commission Staff and/or the State.
(d)
Vendor licenses may not be granted for a period exceeding seven (7) years in
duration.
5-2-24 Gaming Facility Licenses
The Commission shall issue a separate license to each place, facility or location on
Indian Lands where Class II and/or Class III Gaming is conducted under this Gaming
Code, and shall provide NIGC with all required notices regarding such licenses as set
forth in 25 CFR Part 559.
5-2-25 License Suspension and Revocation
(a)
If, after issuance of a gaming license to any employee of a Class II or Class III
Gaming Operation, the Commission receives notification from the NIGC, or reliable
information from any other source, that a licensee may be ineligible for licensure, or
may have violated this Gaming Code or regulations promulgated by the Commission,
the Commission Staff shall immediately suspend such license, initiate an investigation
and prepare a recommendation to the Commission.
(b)
The Executive Director shall provide notice to the licensee, all Gaming
Operations, the Human Resources Department and the Commission of the suspension
and any proposed fine and/or revocation. The notice shall include the date, time and
place for a hearing on the fine and/or revocation, as well as a written statement of the
charges, setting forth the acts or omissions with which the licensee is charged and
specifying the sections of this Gaming Code, the Compact, Commission regulations or
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any other applicable law alleged to have been violated. The hearing shall not take place
less than ten (10) days after the licensee has received notice of the charges, in order to
provide the licensee with an opportunity to file a written response. The Commission may
grant an extension of time for the hearing upon request by the Executive Director or the
licensee.
(c)
After the hearing, the Commission shall render a written decision which shall
contain findings of fact and conclusions of law.
(d)

In the case of a Primary Management Official or a Key Employee, the

Commission shall notify the NIGC within forty-five (45) days of the decision to revoke or
reinstate the license. In the case of all other licensees, the Commission shall notify the
Oregon State Police of the decision when required to do so under the Tribal-State
Compact.
(e)

The decision of the Commission shall be final. There shall be no right of appeal.

5-2-26 Reconsideration of Licensing Applications
(a)
If, within thirty (30) days of receiving a notice of results of an application for a
Primary Management Official or Key Employee, the NIGC provides Commission with a
statement itemizing objections to the issuance of the license, the Commission shall
reconsider the application, taking into account the objections itemized by the NIGC. The
Commission shall make the final decision whether to issue a license to such applicant.
(b)
If the Commission has issued a license before receiving the NIGC’s statement of
objections, the Commission shall immediately suspend the license and shall provide the
licensee with written notice of suspension, and shall notify the licensee of a time and
place for a hearing to consider the itemized statement of objections; provided, however,
that the requirement to provide notice and a hearing shall not apply to a temporary
license issued in accordance with CLUSITC 5-2-16(d), which is intended to expire within
ninety (90) days of issuance.
(c)

Any such hearing shall follow the procedures described in CLUSITC 5-2-25.

5-2-27 Player Disputes
(a)
A Gaming Operation shall immediately notify the Executive Director and the
Executive Director shall investigate all unresolved patron disputes equal to or over $500
and shall render a written decision within thirty (30) days of being notified of the player
dispute.
(b)
If a Gaming Operation is unable to resolve a player dispute involving winnings
less than $500, the Gaming Operation shall inform the player that a complaint may be
filed with the Executive Director within five (5) days of the dispute, and provide the
player with the Executive Director's address, telephone number and regular office
hours. Upon receipt of a complaint, the Executive Director shall perform an
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investigation and render a written decision within thirty (30) days of the receipt of the
complaint.
(c)
If the player or a Gaming Operation disagrees with the Executive Director's
decision, either may file a petition for review with the Commission within fourteen (14)
days of the receipt of the Executive Director's decision. The Commission shall provide
notice to the parties which shall include the date, time and place for a hearing on the
decision. The hearing shall not take place less than ten (10) days after the parties have
received notification of the Executive Director’s decision in order to provide the parties
with an opportunity to submit written responses to the decision. The Commission may
grant an extension of time for the hearing upon request by either party.
(d)
After the hearing, the Commission shall render a written decision which shall
contain findings of fact and conclusions of the law.
(e)

The decision of the Commission shall be final. There shall be no right of appeal.

5-2-28 Tribal Internal Control Standards
(a)
The Executive Director shall prepare proposed Tribal Internal Control Standards
(TICS) for the Class II Gaming Operation in accordance with applicable law, including
25 CFR Part 543, and shall submit the proposed TICS to the Commission for adoption
and implementation.
(b)
The Tribal/State “Minimum Standards for Internal Controls” attached as the
Appendix to the Compact, including revisions made pursuant to § 8(A) of the Compact,
shall apply to all Class III Gaming on CTCLUSI Indian Lands; provided, however, that
the level of control established under the Compact meets or exceeds the level of control
set forth in 25 CFR Part 242, as amended from time to time, to the extent that the
regulations set forth in Part 242 are valid and enforceable as a matter of law.
5-2-29 Violations of this Gaming Code
(a)
Any person who engages in activities on property subject to this Gaming Code
without a license, in violation of a license or terms imposed thereon, in violation of any
provision or amendment of this Gaming Code, or any regulation promulgated by the
Commission, shall be in violation of this Gaming Code.
(b)
It shall be a violation of this Gaming Code for a Tribal Council member,
Commissioner, the Executive Director, Commission Staff member and/or his or her
Immediate Family to receive personal compensation, gift(s), reimbursement or
payment(s) of any kind from any person doing or wishing to do business with the Tribes
relating to gaming, or from any person wishing to obtain an unfair advantage in any
authorized wager on gaming. Any property received in violation of this provision,
including cash payments, shall be immediately forfeited to the Tribes and the offending
person(s) shall be prosecuted to the full extent possible under tribal law. The
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Commission shall cooperate to the fullest extent possible with any federal or State law
enforcement agency to pursue prosecution under applicable federal or State law.
(c)
The Commission shall have the authority to establish by regulation additional
violations of this Gaming Code.
5-2-30 Applicable Law
(a)
To the extent that any provision of this Gaming Code as it relates to the Class III
Gaming Operation is inconsistent with the Compact, the Compact shall govern.
(b)
The Tribes shall comply with applicable NIGC regulations to the extent those
regulations are binding, valid and enforceable as a matter of law.
5-2-31 Effective Date
Upon approval of the Gaming Code or any amendment thereof by NIGC, the Gaming
Code or amendment shall be effective on the date specified in the Tribal Council
resolution adopting the Gaming Code or amendment. If no effective date is specified in
such resolution, the Gaming Code or amendment shall be effective in accordance with
tribal law.

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APPENDIX A
LEGISLATIVE HISTORY AND EDITORIAL CHANGES
The Tribal Court Clerk at the direction of the Chief Executive Officer and with the
consent of the Tribes’ General Counsel is authorized to administratively correct
any reference to Tribal Administrator to Chief Executive Officer on October 11,
2020. These changes are technical in nature and do not effect a substantive
change to the Code.
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua and Siuslaw
Indians adopted the revisions to Chapter 5-2 (Gaming) by Ordinance No. 030E on April
27, 2016. Vote was 5 (for), 0 (against), 2 (absent) and 0 (abstaining). The Tribes
submitted the amended Gaming Code to the NIGC for review and approval on May 12,
2016. Because 90 days have elapsed since the submission of the amended Gaming
Code to the NIGC, the amended Gaming Code is now considered to have been
approved but only to the extent that such ordinance is consistent with the provisions of
IGRA and the NIGC regulations. The amended Gaming Code is effective as of August
10, 2016.
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua and Siuslaw
Indians adopted the revisions to Chapter 5-2 (Gaming) by Ordinance No. 030D on
December 13, 2015. Vote was 6 (for), 0 (against), 0 (absent) and 1 (abstaining).
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians adopted Ordinance No. 030C revising Gaming Code Section 5-2-6, in a Tribal
Council meeting on February 23, 2011. Vote was 6 (for), 0 (against) and 1 (absent).
The NIGC approved the Tribes’ Gaming Ordinance No. 030B by letter from Chairman
Philip N. Hogan on January 5, 2004, under the Indian Gaming Regulatory Act (IGRA).
The Gaming Ordinance was approved for gaming only on Indian Lands, as defined in
IGRA and the NIGC regulations, over which CTCLUSI exercises jurisdiction.
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians at a special meeting on December 8, 2003, through Resolution 03-066, affirmed
the authenticity of Gaming Ordinance No. 030B.
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians enacted amendments to Gaming Ordinance 030B by Resolution 03-065 at a
special Tribal Council meeting on December 8, 2003. Vote was 7 (for), 0 (against) and 0
(abstaining).
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians enacted amendments to Gaming Ordinance 030A by Resolution 03-045 at a
Tribal Council meeting on August 25, 2003. Vote was 6 (for), 0 (against) and 0
(abstaining).
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The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians enacted Gaming Ordinance 030A by Resolution 03-007 at a Tribal Council
meeting on January 12, 2003. Vote was 6 (for), 0 (against) and 0 (abstaining).
The Tribal Council of the Confederated Tribes of Coos, Lower Umpqua, and Siuslaw
Indians enacted Gaming Ordinance 030 by Resolution 01-090 at a Tribal Council
meeting on December 9, 2001. Vote was 7 (for), 0 (against) and 0 (abstaining).

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Aconfederated_clusi%3A3995d2c70c8045d5. Public record. Not legal advice.