COWLITZ INDIAN TRIBE (2023)

COWLITZ INDIAN TRIBE

COWLITZ TRIBAL GAMING COMMISSION

RESOLUTION No. 2023-01

TO AMEND COMMISSION LICENSING REGULATIONS

WHEREAS, the Cowlitz Tribal Gaming Commission (hereafter referred to as the Commission) is the

regulating body for Gaming on the Cowlitz Indian Reservation acting under the authority of the Tribe

pursuant to the Cowlitz Gaming Ordinance 21-01 as amended through April 10, 2021; and

WHEREAS, the Commission serves as the licensing authority for the Gaming Operation; and

WHEREAS, at a duly called meeting of the Cowlitz Tribal Gaming Commission on January 30, 2023, the

Commission adopted a resolution revising the Licensing Regulations CTGC-REG-2018-01 previously

adopted on November 21, 2018, to include new and revised licensing requirements;

NOW THEREFORE BE IT RESOLVED, the Commission, adopts the Licensing Regulations CTGCREG-2023-01.

CERTIFICATION

As an Officer of the Cowlitz Tribal Gaming Commission, I hereby certify the above resolution was duly

adopted at a regular meeting of the Commission on January 30, 2023, by a vote of Four (4) for, and zero

(0) against, and zero (0) abstentions.

_______________________________

Gregg Ford

Commission Chair

________________________________

Kristen Hitchcock

Commission Vice-Chair

LICENSING REGULATIONS

CTGC-REG-2023-01

Revised January 30, 2023

Adopted by Commission Resolution 2023-01

1. Background and Purpose

The Cowlitz Tribal Gaming Commission (“Commission”), as part of its regulatory responsibility with

respect to the Cowlitz Indian Tribe’s (“Tribe”) gaming activities, is authorized, under the provisions of

the Cowlitz Gaming Ordinance, as amended, to regulate all gaming activities occurring within the

Tribe’s Class II and Class III gaming facilities. In addition, to maintain compliance with the

requirements of the Tribal – State Compact, NIGC regulations, and provisions of IGRA, all Class II and

Class III gaming activities on the Cowlitz Reservation shall be licensed and regulated by the

Commission.

Licensing constitutes a critical part of gaming regulation and encompasses various Gaming and NonGaming Vendors, Financiers, Management Companies, employees and other labor, and Gaming

Facilities. The Commission authorizes the Tribal Gaming Agency (Agency) to administer licensing

functions per this regulation.

The Agency’s licensing program is an investigative licensing process in which all applicants are

assessed and evaluated against the eligibility standards adopted by the Agency, in conformity with

Federal and State gaming license requirements. All applicants that meet the qualifications for

licensing will be licensed by the Agency for an initial period and are subject to renewal periodically.

CTGC Licensing Regulations

2. Definitions

a. Class I Gaming: Social games solely for prizes of minimal value or traditional forms of Indian

gaming engaged in by individuals as part of, or in connection with, tribal ceremonies or

celebrations.

b. Class II Gaming: Bingo or Lotto (whether electronic, computer, or other technologic aids are

used); if played in the same location as Bingo or Lotto, Pull-Tabs, Punch Boards, Tip Jars,

Instant Bingo, and other games similar to Bingo. Poker, when conducted by the same

standards as Washington State card rooms.

c. Class III Gaming: Means all forms of gaming that are not Class I or Class II Gaming, including

table games such as Baccarat, Blackjack (21), Poker (to the extent not played as a Class II

game), Roulette, and Craps; Keno; Tribal Lottery Systems; sports betting and pari-mutuel

wagering including but not limited to wagering on horse racing, dog racing or Jai alai; and

lotteries.

d. Commission: The Cowlitz Tribal Gaming Commission established by the Tribal Council,

comprised of no more than five (5) members appointed by the Tribal Council. Where

appropriate, the term “Commission” also refers to the collective employees of the

Commission.

e. Compact: The Tribal-State Compact for Class III Gaming between the Cowlitz Indian Tribe and

the State of Washington, as amended.

f.

Federally Regulated Lending Institutions: Financiers regulated by the Securities and

Exchange Commission, the Office of the Comptroller of the Currency, the Federal Deposit

Insurance Corporation, the United States Federal Reserve System, the National Credit Union

Administration, and/or the Washington State Department of Financial Institutions.

g. Financier: Means any party extending financing, directly or indirectly, to the Gaming Facility

or Gaming Operation.

h. Gaming Activities: shall mean any Class II, or Class III Gaming conducted by or under the

jurisdiction of the Tribe, and all activities directly related.

i.

Gaming Employees: All employees of a Gaming Facility who manage, operate, maintain, setup or have access to components of Class II or Class III Games, or the cash or cash equivalents

associated with Class II or Class III games. Gaming Employees include but are not limited to:

a. Key Employees

b. Primary Management Officials

c. Class III Gaming Employee

d. Dealers, Cashiers, Service Technicians, Bankers and Security Personnel

The Commission or Agency may, at its own discretion, include other positions within the

definition of “Gaming Employee.”

j.

Gaming Facility: A building located within the tribal reservation or in the control of the Tribe

that conducts Class II or Class III Gaming Activity.

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CTGC Licensing Regulations

k. Gaming Operation: Means the enterprise or enterprises operated by the Tribe on tribal lands

for the conduct of any form of Class II or Class III Gaming.

l.

Gaming Vendor: Means a manufacturer or supplier of any goods or services directly in

connection with Gaming Activities, and involving restricted areas, systems, or access. Goods

or services include, but are not limited to, equipment, devices, maintenance, administration,

management, or security services for the Gaming Facility. The Agency determines whether a

provider is considered a Gaming Vendor, based on the Gaming Operation’s proposed

procurement of goods and services.

m. IGRA: Indian Gaming Regulatory Act

n. Key Employees: Class II or Class III Gaming Employees, including but not limited to those

performing one or more of the following functions, are considered Key Employees:

•

Bingo Caller

• Counting Room Supervisor

•

Chief of Security

• Custodian of gaming supplies or cash

•

Floor Manager

• Pit Boss

•

Dealer

• Croupier

•

Approver of Credit

• Custodian of gaming devices

•

Personnel responsible for maintenance or repair of gaming devices,

including those with access to cash and accounting records pertaining to

gaming devices

•

Those with access to confidential personnel records

•

Those with access to gaming systems and/or components

•

Those not otherwise included, whose total compensation exceeds

$50,000 per year

•

Those not otherwise included, who are among the four (4) most highly

compensated in the Gaming Operation

The Commission or Agency may, at its own discretion, include other positions within the

definition of “Key Employee.”

o. Management Company: Persons or entities with which the Tribe enters into an agreement

for development, management, or operation of any Class II or Class III Gaming Operation.

p. NIGC: The National Indian Gaming Commission.

q. Non-Gaming Employees: All employees of the Gaming Operation not defined under “Gaming

Employee”. An employee of the Gaming Operation is anyone on its payroll.

r.

Non-Gaming Vendor: Means any Vendor not identified as a Gaming Vendor by the Agency.

s. Ordinance: The Cowlitz Tribal Gaming Ordinance.

t.

Primary Management Officials (PMO): Persons associated with a Class II or a Class III

gaming enterprise who are considered Primary Management Officials Include:

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CTGC Licensing Regulations

•

Persons with management responsibility for a management contract

•

Persons authorized to hire and fire employees

•

Persons authorized to set up working policy for the Gaming Operation

•

The Chief Financial Officer, or others with financial management

responsibility

The Commission or Agency may, at its own discretion, include other positions within the

definition of “Primary Management Official.”

u. Reservation: The Cowlitz Indian Reservation.

v. Tribe: The Cowlitz Indian Tribe.

w. Tribal Gaming Agency (Agency): This is the administration offices that create, enforce, and

monitor gaming rules and regulations on the reservation. They are directed by the

Commission.

x. Vendor: Means any service supplier, distributor, manufacturer, company, or business that

sells, leases, rents, or offers a product or service, including non-gaming vendors engaged in

business with the Gaming Operation.

y. Vendor Employee (Vendor Employee): All employees of a Vendor that provides services to

the facility.

z. WSGC: The Washington State Gambling Commission.

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CTGC Licensing Regulations

3. Licensing Program

All Gaming Operation employees must be licensed by the Agency. Prospective employees must be

licensed prior to beginning employment.

All Vendors, Financiers, and persons employed by those companies must be licensed (temporary,

provisional, conditional, or regular license) prior to beginning employment or conducting business

with the Gaming Operation unless otherwise exempted.

The Agency may grant to any license applicant a temporary, provisional, or conditional license in lieu

of a regular license pending completion of the background investigation and application review, or to

address specific areas of concern. The expiration date and conditions established shall be stated on

a temporary, provisional, or conditional license or in associated materials provided.

The Agency is authorized to issue a license to any persons and/or entities holding a valid certification

or license from the NIGC or the Washington WSGC upon determination of suitability.

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CTGC Licensing Regulations

4. License Types

a. Vendor License – The Agency is authorized to issue a Vendor license to an organization that

will allow them to conduct business with Gaming Operation.

i.

Management Company / Financiers

a. The Federal government, Federally Regulated Lending Institutions, and Tribal

governments that extend financing to the Gaming Operation are exempt

from the licensing requirements.

b. No management contract shall be granted to a management company if any

elected official of the Tribe or a member of the Commission serves on the

board of directors or holds (directly or indirectly) ten percent (10%) or more

of the issued and outstanding stock of the corporation, or ten percent (10%)

or more of the beneficial interest in any partnership, trust, or other entity, in

any such corporation, partnership, trust or other entity that has a financial

interest in or management responsibility for such contract. No license shall

be granted if an elected official of the Tribe, member of the Commission, or

a member of any other committee or agency of the Tribe holds a financial

interest in or management responsibility for any other agreement between

the management company and the Tribe.

c. No management company or non-exempt financier shall be granted a license

should the Agency determine that such company, or its agents, have unduly

interfered with or influenced to their advantage any decision, or process of

Tribal government relating to the Gaming Operation, or has deliberately or

substantially failed to abide by the terms of the management contract, or the

Cowlitz Gaming Ordinance or regulations promulgated therein.

d. The Agency, at its discretion, may require any employee, officer, or director

of a management company or non-exempt financier to be licensed

individually should the interest of the Tribe be served by such licensing. At

the Agency’s request, the management company or non-exempt financier

shall require such persons to apply to the for a license in accordance with the

laws and regulations in effect at that time.

ii.

Suppliers, Distributors and Manufacturers

a. Gaming Vendors may not provide goods or services to the Gaming Operation

unless licensed in accordance with these regulations.

b. Third-party retail vendors who lease space in the Gaming Facility must be

registered or licensed with the Agency.

c. Suppliers of temporary help to third-party retail vendors must be registered

or licensed with the Agency.

d. Suppliers of temporary Gaming Operation labor must be licensed by the

Agency.

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CTGC Licensing Regulations

e. Suppliers of outsourced Gaming Operation labor must be licensed by the

Agency.

f.

Non-gaming Vendors may not provide goods or services to the Gaming

Operation unless licensed in accordance with these regulations, or an

exemption has been granted by the Agency.

g. In order to qualify for a license exemption, the non-gaming Vendor must first

complete an Agency form requesting the exemption.

h. Upon evaluation, a non-gaming Vendor license exemption may be granted by

the Agency when the provider of goods or services is within one of the

categories listed below. Vendor licensing exemptions are not guaranteed,

and the Agency may, at its discretion, require Vendor licensing.

i. Food and / or beverage supplier

ii. A source of non-gaming supplies

iii. An entertainment provider or performer

iv. Pre-operational development

v. A person or entity supplying legal, accounting, or outside auditing

services

vi. A person or entity whose estimated spend is not expected to

exceed $50,000 in gross sales per year

vii. A government entity

viii. A business regulated by another government entity

ix. Engaged in pre-operational development

x. A public utility

xi. Engaged for a casino sponsored event

xii. Engaged for non-gaming employee training or development

xiii. A provider of freight transportation or delivery services

xiv. An educational institution

xv. A media outlet

xvi. A provider of business travel

xvii. A provider of medical or emergency services

xviii. A provider of limited temporary services

xix. A federally regulated financial institution

xx. A qualified publicly traded company

iii.

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Gaming Facilities

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CTGC Licensing Regulations

a. The Agency is authorized to issue a facility license to the Gaming Operation upon

determination of proper Internal Controls, Operating Procedures, Security and

Safety Measures and Inspection of Gaming Equipment and Operation thereof.

The licensing inspection may include, but is not limited to, security and

surveillance procedures and equipment; and compliance with all applicable law

and regulations; including those relating to safety, food handling, and

environmental matters.

i. The facility license will be valid for two (3) years from date of issuance

unless otherwise revoked, suspended or invalidated.

b. Class II and Class III Gaming shall only be conducted in tribally owned, operated

and licensed Gaming Facilities.

c. The Commission or the Agency may inspect a licensed Gaming Facility at any

time, with or without prior notice.

b. Individual Licenses – The Agency is authorized to issue employee or company representative

licenses to individuals who work for the Gaming Operation or in the Gaming Facility, or who

manufacture, distribute, manage, or provide service to gaming equipment or other sensitive

Gaming Operation systems.

i.

Class A – All employees of the Gaming Operation who are 1) employed in a Gaming

related position; or 2) classified as a Key Employee or PMO, must obtain a Class A

Employee License.

ii.

Class B – Employees of the Gaming Operation who are not employed in a Gaming

related position and are not considered Key Employees or PMOs must obtain a Class

B Employee License, or higher.

iii.

Class C – Employees of the Gaming Facility who work for a third-party retail vendor

and have limited access to restricted areas of the Gaming Facility must obtain a Class

C License, or higher.

iv.

Class C-1 – Employees of the Gaming Facility who work for a third-party retail vendor,

have limited access to restricted areas of the Gaming Facility, and who work with and

/ or around minors under the age of 18 must obtain a Class C-1 License or higher.

v.

Class D – Outsourced labor (employees of the Gaming Facility who work for a third

party while performing duties that would normally qualify for a Class B license) must

obtain a Class D License. If the outsourced labor is temporary in nature, and meets

the conditions outlined in Section 4.b.viii.c., a limited licensing exemption may be

granted. Class A positions may not be outsourced.

vi.

Management Company Representatives – Any employee or representative of a

Management Company that performs work for the Gaming Operation must be

licensed by the Agency, unless exempted. This includes:

a. Any individual defined as a PMO

b. Any individual appointed to a Gaming Operation board or committee

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CTGC Licensing Regulations

c. Any individual who works in the Gaming Facility or performs work for the

Gaming Operation (remotely or on-site), or has access to gaming systems,

customer databases, or any other sensitive, internal information.

vii. Gaming Operation Boards and Committees – Any person appointed to a board or

committee that is responsible for managing all or part of the Gaming Operation is

considered a PMO and must be licensed by the Agency.

viii.

Vendor Employee (Vendor Representative)

a. The Agency is authorized to issue licenses to all persons working for Gaming

Vendors and Non-Gaming Vendors.

b. All Vendor Representative providing goods or services associated with

Gaming Activities, whether remotely or on-site, must be licensed.

c. Under certain conditions a licensing exemption may be granted for nongaming Vendor Representatives. The criteria for determining the licensing

exemption includes an assessment of the expected nature and scope of the

activities to be performed. Conditions that may qualify a Vendor

Representative license exemption include:

a. Instances where all Vendor employee work is conducted entirely

in public areas. If access and egress through non-public areas is

sought, a license may still be required.

b. Instances where a Vendor Employee works for a limited duration.

For example, reoccurring work that does not exceed six per year,

or a single, short-term, work period that lasts less than twoweeks.

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CTGC Licensing Regulations

5. License Application

a. Requirements

i. Each application for a license (or renewal of a license) shall be submitted on the

License/Renewal Application Form approved by Agency.

ii. Application forms are obtained from the Agency’s Licensing Department.

iii. Applications must be completed in full and include all information and attachments

requested.

iv. Completed applications must be submitted to the Agency with required attachments

and applicable fees.

v. Licenses will not be issued until the Tribal Gaming Agency is satisfied that the

applicant is completely qualified pursuant to applicable laws and regulations.

vi. Prior to issuing a license, a thorough investigation and review of all the information

available will be conducted by the Agency to the degree deemed necessary to confirm

the qualification of the applicant.

b. Application Forms

i. The Agency shall provide application forms and instructions, as applicable, to any

person or entity requesting a gaming license or renewal.

a. A privacy notice form will be included with the verbiage required by the

NIGC as contained in the latest rules and regulations published.

b. A Licensee Responsibility Agreement form that outlines the responsibilities

of the licensee to report changes in their criminal history, contact information

and any other changes of information the Agency requires as a part of the

licensing process must be completed.

ii. A Release of Information / Waiver of Privilege and a Waiver of Liability form must be

completed.

c. Supplemental Information

i. In addition to submitting a completed application form, the applicant or licensee shall

submit any supplemental information requested to the Agency within seven (7) days

following the date of the request or within such other time as the Agency may direct.

In the absence of extenuating circumstances, applicants failing to submit any of the

requested supplemental information to the Agency in a timely manner shall be

subject to denial of the license sought, and/or revocation of any license held.

d. Incomplete Applications

i. An initial application is not considered complete until the Agency receives all

information requested, including applicable fees. Incomplete applications are

rejected. An application is considered incomplete if:

a. The applicant fails to provide all information requested on the application

form and/or attachments.

b. The applicant fails to provide supplemental information requested during

the licensing investigation.

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CTGC Licensing Regulations

c. The applicant fails to submit proper fees as defined in the Tribal Gaming

License Fee Schedule.

d. The applicant fails to sign application, notices, waivers or any document

requiring applicant’s signature.

e. Signatures Required

The persons indicated below must sign applications, attesting under oath that the information

provided in the application and any accompanying materials is true, accurate, and complete.

Applicant

Signature Required

Corporation

The highest-ranking officer or official of the

corporation, or authorized designee

(profit or non-profit)

f.

Sole Proprietorship

The principal owner

Partnership

All partners

Limited Partnership

General Partner

Vendor Representative

Individual seeking the license

Individual

Individual seeking the license

Management Company

All Primary Management Officials

Management Company Representative

Individual seeking the license

Additional Signatures

i. The Agency or Commission may also require the signature of those listed below on

the application.

a. The Chair or members of the Board or Trustees.

b. The person in charge of financial records.

c. Any person with a substantial interest in the applicant’s business,

organization, or corporation.

g. Release of Information / Waiver of Privilege

Applicants must provide a general notarized release of information and waiver of any

privilege in connection with the release of information to conduct licensing, regulatory

review and investigation in order for the Agency to obtain information that otherwise

may be privileged.

h. Waiver of Liability

i. Applicants must expressly waive liability as to the Gaming Commissioners, the

Gaming Commission and its employees and agents, the Tribe, its officers, employees

and agents, and release said entities and individuals from any causes of action, suits,

judgments, claims, and demands resulting from processing applications for a gaming

license, including background investigations, or disclosure or publication of the

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CTGC Licensing Regulations

information acquired by the Agency or Commission during licensing, including

background investigation, or related inquiry or hearing.

ii. Any failure by the Agency or Commission to ensure that an applicant has expressly

waived liability shall not be, nor shall it be construed as being, an admission that any

liability would attach to the above identified persons and entities, or that there would

be any liability in the absence of any such Applicant liability waiver.

i.

Continuing Duty to Provide Information

i. Applicants and licensees have a continuing duty to provide any materials, assistance

or other information required by the Agency or Commission, and to fully cooperate

in any investigation conducted by or on behalf of the Agency. Any information

relevant to the license applicant or licensee’s suitability for gaming shall be provided

to the Agency or Commission, with or without a formal request. Information provided

on the license application that is inaccurate, or subject to change, requires that

applicants and licensees promptly notify the Agency of such changes or inaccuracies.

Failure to do so may result in denial, suspension or revocation of a license.

ii. Should, after a formal request to respond or produce information, evidence, or

testimony, an applicant or licensee, or person associated with the applicant or

licensee, refuse or fail to comply with such request, the Agency or Commission may

deny the application or revoke the license.

j.

Civil or Criminal Actions Filed Against an Applicant or Licensee

i. Each applicant or licensee shall report to the Agency any civil actions, criminal arrest

of, or criminal charges filed by, or against the applicant when applying for a license or

from the licensee within forty-eight (48) hours of the filing of such actions or

incidents. Civil cases involving personal injury, adoption, paternity, wage disputes

and noncriminal traffic infractions need not be reported. Said report shall consist of

a complete copy of the original documents filed and an affidavit signed by licensee

detailing the circumstances of such action or incident. The licensee shall notify the

Agency of the final disposition of the action or incident within thirty (30) days of

disposition, and provide any court documents detailing disposition of actions or

incidents. Any felony charge against a licensee must be reported in writing to the

Agency within 72 hours following the filing of such charge. Failure to report may

result in suspension or revocation of a gaming license.

k. Burden of Proof of the Applicant

i. The burden of proof, with respect to the granting of any gaming license, is at all times

upon the applicant. No license shall be granted unless and until the applicant has

satisfied the Agency of his / her suitability to hold such license.

l.

Determination of Suitability

i. General character, honesty, integrity, and suitability to participate or engage in, or to

be associated with the Gaming Operation. Any written or oral statement made in the

course of an Agency investigation, proceeding, or process by any member, employee

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CTGC Licensing Regulations

or agent of the Commission, or witness testifying under oath, which is relevant to the

investigation, proceeding, or process, is privileged and shall not impose any liability

for slander, libel or defamation, or constitute grounds for recovery in any legal action.

By submitting an application, Applicants accept all risk of adverse public notice,

embarrassment, or other action that result from the licensing process

m. Absence of Vested Right or Privilege

i. The issuance of any license by the Commission or the Agency shall not be construed

as granting a vested right to any of the privileges so conferred.

n. Withdrawal of Application

i. The applicant may withdraw an application for any license by submitting a written

notice of withdrawal to the Agency. That an application for a license has previously

been withdrawn shall not prejudice any future application for a license from the

Agency or Commission.

ii. WSGC may request that an application be withdrawn from State certification. Upon

the receipt of this request the Agency will forward recommendations to the

Commission for consideration and final disposition.

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CTGC Licensing Regulations

6.

License Background Investigation

Prior to licensing, the Agency is responsible for conducting background investigations of applicants’

prior activities, criminal record, reputation, habits, and associations to make a finding concerning the

eligibility of the applicant for employment in a Gaming Operation. During the investigation of the

applicant, should the Agency determine that employment of the applicant poses a threat to the public

interest, or to the effective regulation of gaming, or creates or enhances the dangers of unsuitable,

unfair, or illegal practices, methods and activities in the conduct of gaming, the license will be denied.

The applicant shall give full cooperation to the Agency and in all aspects of its investigation

a. Investigation Scope

All license applicants are subject to a complete background investigation prior to granting of

a license, except as otherwise provided herein. The Agency shall use all available resources

that may contribute to overall thoroughness while conducting a background investigation.

i.

Employee License

The scope of investigation includes, at a minimum, an investigation of applicant's

criminal history, personal history, and financial history in order to detect unusual

relationships or criminal associations, and to assess the applicant's suitability to

hold a gaming license. Background investigations shall include, but are not

limited to:

a. Verification (written or oral) of information submitted by applicant.

b. Interviews of professional references to verify applicant’s report. Inquiries

shall be of sufficient number and depth for the Commission to make a

finding concerning applicant's suitability for employment in or association

with the Gaming Operation.

c. Review of criminal history information. Applicants shown to have criminal

backgrounds may be issued a criminal conditional license upon approval of

the Commission.

d. Review of applicant's credit record. Applicants shown to be not responsible

for financial obligations, may be issued a credit conditional license, subject

to review after one year and approval from the Commission. The process

for assessing financial responsibility is outlined in the Agency’s Licensing

Credit Conditional Policy.

e. Document disposition of all potential problem areas noted and any

disqualifying information obtained for use in developing eligibility

determination report.

ii.

Vendor License

The scope of investigation of Vendor license applications includes, but is not

limited to:

a. Review of criminal history information related to employees of Vendors

providing gaming goods or services.

b. Review of financial information using Dunn and Bradstreet or other similar

information service.

iii.

NIGC Reporting

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CTGC Licensing Regulations

Within sixty (60) days of a license applicant reporting for work as a PMO or Key

Employee in the Gaming Operation, a completed application must be forwarded

to the NIGC by the Commission. Prior to issue of such license, the NIGC must

receive a report on each background investigation from the Commission.

Investigative reports shall, at a minimum, include the following:

a.

b.

c.

d.

Steps taken in conducting the background investigation

Results obtained

Conclusions reached

The basis for those conclusions

NIGC may notify the Commission of any objections to the issuance of a license

within the thirty (30) days from when the NIGC receives the application. If the

NIGC request further information concerning the Applicant, the 30-day period

will be extended to ensure the NIGC has a full 30 days to consider the application.

The Commission will reconsider the application upon the receipt of a statement

itemizing objections to the issuance of a license from the NIGC. A final decision

is issued by the Commission after full reconsideration of the application and any

additional information. The Commission will notify the NIGC of the final

determination and status of the license within (45) days of receiving the objection

from the NIGC.

A Key Employee or primary management official not licensed after ninety (90)

days may no longer be employed by a Gaming Operation.

b. Supervisor Review

Upon completion of the review process, the applicant file, including comments and other

information received, is forwarded to the Licensing Supervisor or his/her designee. All

materials are reviewed, investigative work is approved, and any pertinent information is

noted in a Notification of Results (NOR).

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CTGC Licensing Regulations

7. License Issuance

The Agency will have the authority to issue an unrestricted license upon completing an investigation

and supervisory review. No gaming license shall be issued in violation of this regulation or other

applicable law.

a. Conditional License

The Commission may grant a conditional license based on criminal or credit information that

is reported as part of the application and investigation process. The conditional will outline

more restrictions or conditions that is imposed on the licensee. Failure to comply with those

conditions will cause the immediate suspension of the gaming license by the Agency. A

conditional may only be granted by the Commission.

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CTGC Licensing Regulations

8. License Suspension

Should, after issuance of a license, the Agency or Commission receive reliable information indicating

that the licensee is ineligible for employment under the provisions herein the Agency shall take the

following steps:

a. Suspend the license and immediately notify the licensee of suspension and proposed

revocation

b. Provide written instructions and opportunity for licensee to request an appeal

c. If requested, notify the licensee of a time and place for a hearing on the proposed revocation

of the license

d. Conduct the revocation hearing to determine whether to revoke or reinstate the license

e. Notify the NIGC of the final decision regarding revocation or reinstatement of the Class A or

Class B license.

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CTGC Licensing Regulations

9. License Renewal

Applicants renewing a license are required by the Commission to submit updated information and

signed consents as requested on the license renewal application. Historical data already available to

the Commission need not be re-submitted.

Unless otherwise provided, all licenses shall be effective for one (1) year from the date of issuance,

unless revoked, suspended, or otherwise invalidated prior to expiration.

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CTGC Licensing Regulations

10. Loss or Destruction of License

Any license issued by the Agency is the property of the Commission. Licensees are expected to

demonstrate reasonable care and protection of the license and/or license badge.

Upon the loss or destruction of any license granted by the Agency, the licensee shall notify the Agency

and may be required to provide additional information or complete additional paper work.

Fees may be levied for replacement of a license. Any associated fees will be published in the Tribal

Gaming Fee Schedule. Badges damaged as a result of normal wear and tear will be replaced at no

charge provided the badge and/or damaged pieces are returned with the application.

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11. Transfer of Vendor License

Transfers of Vendor licenses issued by the Commission occur upon approval by the Executive Director

or the Commission and only under the following circumstances and conditions:

a. If the licensee is a corporation, except as provided in subsection (NOTE) below, a change in

ownership of stock shall not be deemed a transfer of a license: Provided, that any change in

the ownership of any stock in such corporation which results in any person or organization

becoming the owner of a substantial interest therein, who was not the owner of a substantial

interest immediately preceding the transaction, or which involves ten percent or more of any

class of stock, shall be reported to the Commission in writing and within ten days of the close

of such transaction, together with such information concerning the person or persons

receiving such stock as the director may require.

b. Where a change in the ownership of the stock of any corporate licensee results in any person,

together with any members of his or her immediate family, or results in any organization

becoming the owner of a majority of the voting shares of that corporation who or which had

not held a substantial interest in the corporation immediately prior to the change in

ownership, gambling licenses held by that corporation shall immediately terminate and be

void. In such cases a new license must be obtained from the commission prior to the operation

of any gambling activity requiring a license.

NOTE: Transfers to persons owning or holding a substantial interest in any of the entities to

which transfer is sought, not qualified to hold a gaming license, are not permitted. The license

or licenses of any corporation in which a person holds or acquires a substantial interest shall

be revoked should such person not qualify to hold a gaming license.

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12. Confidential Licensing Information

All licensing information submitted as part of the application process becomes the property of the

Commission and is subject to inspection and disclosure to Tribal, Federal or State law enforcement,

regulatory or judicial agency, or for the use of such information or records by the Commission and

staff in the performance of their official duties.

In all other respects, the Commission shall ensure that all records and information obtained as a result

of an employee background investigation shall remain confidential and shall not be disclosed to

person who are not directly involved in the licensing process. Under no circumstances shall

information obtained during the course of an employee background investigation be disclosed to

members of management, human resource personnel, or others employed by the tribal Gaming

Operation.

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13. Fees and Fines

a. License fees

License fees are established and published by the Commission in the Tribal Gaming Fee Schedule,

and may be changed at any time without prior notice for any class of license. License application

fees may include an amount sufficient to cover the reasonable costs of regulation and

enforcement.

b. Investigation fees

In the event the cost of investigation and processing an application exceeds the fee established,

the Commission may require that additional fees be paid prior to license issuance.

c. Payment of fees

Applicants must comply promptly with any request for a deposit to cover the estimated cost of

investigation and processing. Applicant's failure to pay any fee deposit when requested may

result in denial, suspension, or revocation of the license. The Commission, in its sole discretion,

may delay the issuance of a license for a sufficient period of time to ensure that a check offered

to cover such fees has been honored by the representative financial institution

d. Waiver of fees

The Commission reserves the right to waive or adjust license fees for a member of the Cowlitz

Tribe. The decision of the Commission regarding such requests shall be final and not subject to

appeal

e. Fines

Fines may be imposed in lieu of license suspensions and are required to be paid. Failure to pay

the fine within the required time frame may result in the suspension/revocation of the license.

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14. Retention Requirements for Applications

Applications for Class A, Class B, Management Company, and Management Company Representative

licenses, including reports of background investigations, are retained by the Commission for a period

of no less than three (3) years from the date of license, denial, or termination of employment,

whichever is later. Such records are made available for inspection by the NIGC upon request.

The Commission retains Class C license information for such employees, and to the extent necessary,

after termination of employment, or denial, suspension or revocation of the license. No investigative

report or eligibility determination need be forwarded to the NIGC for Class C license applicants unless

specifically requested by the NIGC and approved by the Commission.

The Commission retains Vendor and Vendor Representative license information and to the extent

necessary, after termination of business. No investigative report or eligibility determination need be

forwarded to the NIGC for Vendor and Vendor Representative license applicants unless specifically

requested by the NIGC and approved by the Commission.

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15. License Denial, Suspension, or Revocation

a. Grounds for Denial, Suspension, or Revocation

A quorum of the Agency may deny, suspend, or revoke a license anytime an applicant or

licensee:

i.

ii.

iii.

iv.

v.

vi.

vii.

viii.

ix.

x.

xi.

xii.

xiii.

Rev. 01/30/2023

Has violated, failed, or refused to comply with the provisions, requirements,

conditions, limitations or duties imposed by the Cowlitz Gaming Ordinance,

regulations promulgated thereunder, the Compact, or other applicable laws or

regulations

Has failed to provide information reasonably required to investigate his/her

application for a license, or has furnished information that is untrue or misleading in

connection with such application

Has demonstrated willful disregard for compliance with ordinances, regulations,

statutes, administrative rules, or court orders at the Tribal, Local, State, or Federal

level

Knowingly causes, aids, abets or conspires with another to cause any person to violate

any applicable laws or regulations

Has obtained a license by fraud, misrepresentation, concealment, or through

inadvertence or mistake, or has had a tribal or state gaming license revoked or denied

during the twelve (12) months prior to the date of submission of the application for a

license

Knowingly fails to report to the Commission a known violation of applicable laws or

regulations involving gaming activities or employees

Has been convicted of, forfeited bond upon a charge of, or pleaded guilty to any form

of criminal assault, any crime involving a threat of physical harm against another

person, or any crime involving an intention to inflict physical harm on another person,

whether any of these crimes is a misdemeanor or felony, the crime of forgery, larceny,

extortion, conspiracy to defraud, tax evasion, or similar offenses, or of any crime,

whether a felony or misdemeanor, involving moral turpitude or a gaming activity

Allows any person who has been convicted of or forfeited bond upon any of the

offenses above to participate in the management or operate in a key position with

the entity licensed by the Commission, without prior notice to and written approval

from the Commission

Poses a threat to the effective regulation of gaming or creates or increases the

likelihood of unfair or illegal practices, methods, and activities in the conduct of

gaming activities, as demonstrated through the person's prior activities, criminal

record, reputation, habits, or associations

Is the subject of an outstanding gross misdemeanor warrant or felony arrest warrant,

or is currently on probation for the conviction of any crime

Fails to provide an updated address for the delivery of licensing related information

to include but not limited to a notice of hearing.

Fails to pay a fine levied by the commission imposed at a revocation hearing.

Commits any other act that the Commission determines constitutes a sufficient

reason in the public interest for denial, suspension, or revocation of a license

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b. Surrender of License

Gaming licenses (badges) issued by the Gaming Commission are the property of the

Commission. Upon receiving notification of the suspension, revocation, or termination of any

license issued by the Commission, the licensee is required to surrender and return it to the

Commission immediately upon receiving such notification, when such license remains in

licensee’s possession. Licenses (primary and replacement) of terminated or resigning

employees must be returned to the Commission upon termination or resignation.

c. Summary Suspension

The Executive Director or his designee may direct an Enforcement Agent to exercise the

Commission's authority to summarily suspend any license issued based on approved policies

and procedures.

The Executive Director or his designee may authorize summary suspension of any license

issued to a licensee upon determination that such license has expired or that the licensee was

suspected of a serious criminal act. Summary suspensions must be communicated to a

quorum of the Commissioners at the Commission meeting following such suspension.

16. APPEALS AND HEARING PROCEDURES (Denials, Suspensions and Revocations)

a. Applicability

These Hearing Procedures apply to Licensees under the jurisdiction of the Cowlitz Tribal

Gaming Commission (hereafter referred to as “Commission”) and shall be used in all

Licensing Hearings conducted by the Commission.

b. Fair Hearings

The Commission is comprised of appointed officials with delegated authority under Tribal

and Federal law to promulgate regulations for the Cowlitz Indian Tribe’s Ilani Casino(s). The

Commission shall make every effort to take affirmative steps to provide fair and objective

hearings.

c. Roles and Responsibilities

The Commission shall serve in the capacity of “hearing officers”, of which one shall serve as

the “Presiding Officer.” The Regulatory Director or his/her delegate shall serve in the

capacity of “Petitioner,” whose responsibility is to provide facts and arguments relating to

the licensing matter. “Licensee” refers to applicants, employees, Vendors, and facilities and

includes both Key and non-Key licenses. Together, Petitioner and Licensee are referred to as

the “Parties.” The Commission reserves the right to designate and assign duties to the

Gaming Regulatory Director and/or Gaming Regulatory Administrative Assistant.

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d. Service of Notice to Deny, Suspend or Revoke a License

Notices and other hearing documents that deny, suspend or revoke a license shall be served

upon the Licensee by personal service or by United States mail. If the notice is served by

mail, it shall be addressed to the Licensee’s last known address. It is the Licensee’s’ duty to

keep the Commission’s designee informed of current address.

e. Right of Licensee

The Licensee whose license is suspended, or revoked:

i.

Has the right to a hearing before the Commission on the Gaming Regulatory Staff’s

Notice of Denial, Suspension or Revocation.

ii. Must file a written notice of appeal request to the Commission for a hearing within 30

days following the effective date of the Gaming Regulatory Staff’s, Suspension, or

Revocation as stated on the Notice. Failure to properly request a hearing in within 30

days waives the right to a hearing or any other appeal of the Commission’s or staff’s,

Suspension, or Revocation.

f.

Timing of Hearing

After receipt of a written request for an appeal and upon showing of good cause the

Commission shall schedule a hearing not later than 45 calendar days after receipt of the

request unless the Commission and the person requesting the appeal mutually agree to an

extension. Following the hearing the Commission shall make a decision to uphold, modify,

or reverse the staff’s notice imposing the suspension or revocation.

g. Prohibition of Ex Parte Communication

In an effort to assure a fair hearing process, unless required for the disposition of ex parte

matters authorized by law or by the Commission:

i.

Commissioners shall not communicate, directly or indirectly with any party or their

representative in connection with any issue of fact or law related to a hearing

except upon notice and opportunity to all parties to participate;

ii.

This section shall not preclude Gaming Regulatory staff from having contact with a

Licensee at any stage of the proceedings.

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h. Delegation of Chairperson

The Chairperson, or his/her designee, of the Commission may issue rulings on discovery

matters, scheduling matters, protective orders, continuances, the admissibility of evidence

and other procedural or pre-hearing matters that are not dispositive of the case or any

portion thereof. The Chairperson’s rulings are subject to consideration by the entire

Commission upon the request of any Commissioner or upon the request of a party or person

affected by the ruling. The failure of such person or party to request such relief shall not be

deemed to consent to the ruling nor waiver of any objection for purposes of judicial review.

i.

Appearance through an Advocate

Parties to proceedings governed by this regulation may appear personally or through an

advocate (i.e. attorney). If the party appears through an advocate, the party must attend

hearings unless excused by the Commission. Parties retaining an advocate who requires a

fee shall retain the advocate at their own cost.

i.

When a party has appeared through an attorney, service of notices of hearings,

decisions or any other matters shall thereafter be made upon the attorney.

ii.

When a party has appeared through a non-attorney advocate, service of all notices

of hearings, decisions or any other matters shall thereafter be made upon the

Licensee, who assumes the responsibility of sharing information with the advocate.

iii.

The Commission reserves the right to directly question the Licensee or any witness

during the hearing.

j.

Pre-Hearing Conferences

Prior to hearing on the merits under this regulation, the parties may meet to expedite the

disposition of the action, resolve discovery issues, and facilitate settlement of the case. The

Commission shall initiate this process. Absent unusual circumstances, the Commission will

not participate in the pre-hearing conference, however at the request of the parties, or

upon request of a party, and good cause shown, the Commission Chairperson, or his/her

designee, may participate in the pre-hearing conference.

i. The participants at the pre-hearing conference shall be prepared to consider and

take action with respect to any or all of the following:

a. Formulation and simplification of the issues;

b. Possibility of obtaining admissions of fact and of documents which will avoid

unnecessary proof, stipulation regarding the authenticity of documents;

c. Identification of witnesses and documents;

d. Possibility of settlement;

e. Such other matters as may aid in the disposition of the action.

k. Discovery and Mandated Exchanges

Prior to the hearing the parties shall exchange all evidence they intend to introduce, and

shall also exchange written lists of all persons each party intends to call as a witness. Each

witness shall be identified by name, with a brief description of the reason from which the

witness will be called. Failure to disclose evidence and witness lists at least seven (7) days

prior to the hearing may limit a party’s opportunity to introduce evidence.

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l.

Confidential and Privileged Materials

If any document or other material required to be produced is the subject of a privilege or is

confidential under applicable law or is subject to a confidentiality agreement, the document

shall be marked “confidential” before disclosure or use in a hearing. A Licensee shall not

further disseminate confidential or privileged materials except to counsel/advocate of

record in the action.

m. Depositions

A party may take the oral testimony of any witness whose name appears on the witness list

of an adverse party or other persons that may become a witness in a hearing on the merits.

Unless waived by the part that listed the witness, the scope of the deposition testimony

shall be limited to the subject matter of the witness’ expected testimony at the hearing. A

person deposed under this section may be examined and cross examined in the same

manner as if the person were called as a witness at a hearing on the merits.

i. The deposition of a party may be compelled by directing a notice of the deposition

to that party. The notice must contain the title and number of the proceeding, the

name and address of the person to be deposed, the date, time and place of the

deposition and the name and signature of the requesting party of their attorney.

The notice must be served on all parties to the proceeding.

ii. The deposition of a non-party may be taken as described above if the non-party

agrees to the deposition. If the non-party does not agree to the deposition, the

non-party may be compelled to appear and participate by and through the issuance

of a subpoena pursuant to this regulation.

iii. Depositions shall be taken before an officer authorized to administer oaths. A

deposition shall not be taken before a person who is a relative, employee, attorney

or counsel of any parties or is a relative or employee of such attorney or is

interested in the proceeding. Testimony shall be taken upon oath or solemn

affirmation. Unless the Commission orders otherwise, the testimony shall be

recorded. The cost of transcription shall be borne by the party requesting the

deposition. Such party shall provide a copy of the transcript to all parties involved in

the proceeding. A deposition may be used in a proceeding under this regulation for

the same or similar purposes as depositions may be used in a court of law or for any

other purpose allowed by the Commission. Objection may be made at the hearing

on the merits to receiving in evidence any deposition or part thereof for any reason

which would require the exclusion of the evidence if the witness were then present

and testifying. If a deposition is received in evidence, any party may rebut any

relevant evidence contained in the deposition.

n. Subpoenas

The Commission or its Chairperson shall issue subpoenas, including subpoenas for

production of documents and other tangible things, upon the request of a party, only for the

following purposes:

i. To compel a non-party to appear and give oral testimony at a deposition;

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CTGC Licensing Regulations

ii. To compel any person to appear at the hearing on the merits of the case to give oral

testimony alone, or to produce documents or other tangible evidence.

iii. Subpoenas shall be submitted to the Commission or its Chairperson for issuance on

a form approved by the Commission. Concurrently, with the submission of the

subpoena request to the Commission or its Chairperson, the requesting party shall

serve a copy on all other parties to the proceeding. Subpoenas will not be issued in

blank. A subpoena submitted for issuance must contain the title and number of the

case, the name of the person to whom it will be directed, the date, time and place

of hearing or deposition and the name and signature of the requesting party or their

attorney. A subpoena for the request of document must in addition contain a

complete description of specific documents or tangible things that the witness will

be required to produce at the hearing.

o. Protective Orders

Upon motion by a party or by a person to whom a subpoena is directed, or from whom

discovery or testimony is sought, the Commission may make any order which justice

requires to protect a party or person from annoyance, embarrassment, oppression or undue

burden or expense, including one or more of the following:

i. That a subpoena be quashed or modified;

ii. That the discovery not be had or that it be had only on specified terms and

conditions including a designation of the time or place;

iii. That certain matters not be inquired into or produced or that testimony or

production is limited in certain matters;

iv. That a deposition be conducted with no one present except persons designated by

the Commission or that a deposition transcript be sealed; or

v. That a trade secret or other confidential research, development or commercial

information not be disclosed or be disclosed only in a designated way.

p. Request for Information

Either party may make a written request to the commission for its assistance in obtaining

relevant documents, witnesses and other evidence within the Commission’s jurisdiction.

Information requests must be specific and contain type of evidence and date of occurrence.

Determinations regarding relevancy, admissibility, and confidentiality shall be in the

Commission’s sole discretion.

q. Limitations

If any party or their attorney/advocate fails reasonably to comply with these regulations, or

any order entered regarding any matter, including discovery, the Commission may impose

upon such party, advocate, or attorney, or both, appropriate limitations including an order

prohibiting the use of any witness or evidence which should have been disclosed, produced,

exhibited, or exchanged.

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r.

Sanctions

If any party or their attorney fails reasonably to comply with any provision of this regulation,

the Gaming Ordinance, or any order entered regarding any matter, including discovery, the

Commission upon motion or upon its own initiative, may impose upon such party or

attorney, or both, appropriate sanctions in regard to the failure as are just, including the

following:

i. An order prohibiting the use of any witness, document or tangible thing which

should have been disclosed, produced, exhibited, or exchanged pursuant to this

regulation or order of the Commission or Chairperson.

ii. An order that designated facts shall be taken to be established;

iii. An order to the disobedient part may not support or oppose designated claims or

defenses;

iv. An order striking out pleading or parts thereof, or staying further proceeding or

dismissing the proceedings or any part thereof, or entering a judgment by default

against the disobedient party.

s. Conduct of Hearings

The hearing before the Commission will proceed as follows:

i.

Opening comments and questions.

a. Presiding Officer

b. Petitioner

c. Licensee

ii. Case Presentation

a. Petitioner

b. Licensee

iii. Rebuttals

a. Petitioner

b. Licensee

iv. Commission /Hearing Officer’s Questions

v. Closing Argument

a. Petitioner

b. Licensee

t.

Evidence

The Commission shall consider evidence that it finds relevant and material to the hearing,

giving theevidence such weight as is appropriate. The Commission may limit testimony to

exclude evidence that would be immaterial or unduly repetitive. Upon request before the

hearing, the Commission in its discretion may permit the introduction of additional

previously undisclosed evidence.

u. Failure to Testify

If a party fails to testify in their own behalf or asserts a claim of privilege in response to any

question, the Commission may infer that such testimony or answer would have been

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adverse to Licensee’s case. Licensee may rebut such inference with an explanation based on

a legitimate legally binding reason, such as a confidentiality agreement.

v. Continuances

Continuances will not be granted except for good cause shown.

w. Default

Failure of a Licensee to appear personally at the hearing, unless otherwise excused by the

Commission, shall constitute admission of all matters and facts. A judgement by default

shall be rendered against an unexcused Licensee and the Commission may take action

against the gaming license without further notices to the Licensee.

x. Decision of the Commission (CIT Gaming Ordinance Section 39)

Within 10 days of the conclusion of the hearing the Commission will uphold, modify, or

reverse the appealed licensing action.

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