~Uq~IIup Tribc of India PUYALLUP TRIBAL COUNCIL

ORDINANCE NO.________

WHEREAS, the Puyallup Tribe has existed since creation as the

aboriginal people who are. the owners and guardians of their lands

and waters; and

WHEREAS, the Puyallup Tribe is an independent sovereign nation,

having historically negotiated with several foreign nations,

inc~ludir~g the United States in the Medicine Creek Treaty; and

WHEREAS, the Puyallup Tribal Council is the governing body of the

Puyallup Tribe in accordance with the authority of its sovereign

rights as the aboriginal owners and guardians of their lands and

waters, reaffirmed in the Medicine Creek Treaty, and their

Constitution and By-Laws,. as amended, approved by the Assistant

Secretary of the Interior on the first day of June, 1970; and

WHEREAS, on January 15, 1991, the Tribal Council enacted Ordi

nance No. 15091 adopting the Puyallup Gaming Code to replace the

Tribes current Bingo and Gaming Codes; and

WHEREAS, pursuant to the Indian Gaming Regulatory Act (P.L. 100-

497, 25 U.S.C. 2701-2721)., the Tribal Council submitted Ordinance

No. 15091 and the Puyallup Gaming Code to the Secretary of

Interior for approval; and

WHEREAS, by letter dated March 11, 1991, the Tribal Council was

notified by the Superintendent of the BI.A. Puget Sound Agency

that the Portland Area Office had rescinded approval of the

Puyallup Gaming Code due to certain objections raised by the

Regional Solicitors Of f ice; and

WHEREAS, the Tribal Council has reviewed the objections raised by

the Regional Solicitor and finds it necessary to amend certain

provisions of the Puyallup. Gaming Code in order to obtain the

Secretarys approval, now, therefore

BE IT ENACTED by the Tribal Council of the Puyallup Tribe of

Indians that the following provisions .of the Puyallup Gaming Code

submitted for Secretarial approval shall be amended as follows:

1. Sections 2.04 and 2.17 shall be amended by deleting the

word Casino and substituting in its place the term gaming

establishment.

2. The first sentence of Section 2.05 shall be amended to

) read, Commissioners shall be compensated at a rate to be

2002 East 28th Street Tacoma, Washington 98404 20615976200
IID~9 1991 PUYALLUP TRIBAL COUNCIL -

ORDINANCE NO. hJ~O<I9 ~~T1~~iL P~tR!~TIO~

Page 2 -

f.~E~1CY

established annually by the Commission, and ar,proved by the

Tribal Council

3. Section 2.01 shall be amended by deleting the word

Person, and substituting in its place the word Indian.

4. Section 1.19 shall be deleted in its entirety.~

5. Section 1.15 shall be amended to read, Indian Land

means:

(a) Any lands title to which is either held in trust

by the United States for the benefit of the Puyallup

Tribe of Indians, or held by the Puyallup Tribe of

Indians subject to restriction by the United States

against alienation and over which the Puyallup Tribe of

Indians exercises governmental power; and

(b) Any lands located within the exterior boundaries

of the Puyallup Indian Reservation title to which is

either held in trust by the United States for the

benefit of an individual Indian, or held by an indivi

dual Indian subject to restriction by the United States

-.1 against alienation and over which the Puyallup Tribe of

Indians exercises governmental power.

CERTIFICATION

I, Rosalie Walker, hereby certify that the above ordinance was

duly enacted by the Puyallup Tribal Council on the J~– day of

1991; a quorum being present with a vote of ~2 for, ~

against, I abstaining.

Rosalie Walker, Secretary

Puyallup Tribe of Indians

ATTEST:

&~V~v~

Henry Jdb.~, ChaIhttan

Puyallup Tribe of Indians -

superintendent

Puget Sound Agency

~verett1 WasL~ingtOfl
T~ibo of Indic~i~~

PUYALLUP TRIBE OF INDIANS

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

2002 East 28th Street Tacoma, Washington 98404 206 I597~62O(
PUYALLUP TRIBZ OF INDIANS

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

INDEX

CRAPTER I

DEPIWITIONS

PAGE

§ 1.01 Definitions 1

§ 1.02 Calendar Year 1

§ 1.03 Chairman 1

§ 1.04 Class I Gaming 1

§ 1.05 Class II Gaming 1

§ 1.06 Class III Gaming 2

§ 1.07 Commission 2

§ 1.08 Commissioner 2

§ 1.09 Council 3

§ 1.10 Director 3

§ 1.11 Gaming or Gaming Activity 3

§ 1.12 Gaming Device 3

§ 1.13 Gaming Establishment or Gaming Premises 3

§ 1.14 Gross Revenue 3

§ 1.15 Indian Land 4

§ 1.16 Key Employee 4

§ 1.17 Licensee 4

§ 1.18 Net Revenue 4

§ . Management Contract 5

§ 1.20 Management Fee 5

§ 1.21 Operating Expense 5

§ 1.22 Patron 5

§ 1.23 Person 5

§ 1.24 Primary Management Officials 5

§ 1.25 Regulation 6

§ 1.26 Reservation 6

§ 1.27 Services 6

§ 1.28 Tribal Court 6

§ 1.29 TribalState Compact or Compact 6

§ 1.30 Tribe 6

§ 1.31 Words and Terms 6

§ 1.32 Working Days 6

3-
CHAPTER II

ADMINISTRATION AND ENFORCEMENT

§ 2.01 Unauthorized G~ing 7

§ 2.02 Ownership Revenues to Benefit the Tribe 7

§ 2.03 Establishment of Commission 8

§ 2.04 Restrictions on Commissioners 8

§ 2.05 Compensation of Commissioners 8

§ 2.06 Selection of Chairperson 9

§ 2.07 Meetings Open to Public 9

§ 2.08 Quorum 9

§ 2.09 Monthly Reports 9

§ 2.10 Powers 9

§ 2.11 Prior Notice of Action 10

§ 2.12 Reciuest for Commission Action 10

§ 2.13 Voting on Licensing 10

§ 2.14 Commission Findings 11

§ 2.15 Notification of Commission Decision 11

§ 2.16 Right to Appeal 11

§ 2.17 Appointment of Director 11

§ 2.18 Directors Contract 12

§ 2.19 Termination of Director 12

§ 2.20 Duties of Director 12

§ 2.21 Right of Inspection 14

§ 2.22 Confidentiality of Information 15

§ 2.23 Powers of Delegation 15

§ 2.24 Sanctions 15

§ 2.25 Limitations Period 16

§ 2.26 Violations of Code - Punishment 16

§ 2.27 Due Process Regarding Enforcement Actions 16

§ 2.28 Special Agents 17

§ 2.29 Independence of Commission 17

CHAPTER III

LI CENS ING

§ 3.01 Mandatory License 17

§ 3.02 Authorization of Class I Gaming Activity 18

§ 3.03 Licensing and Regulation of Class II Gaming

Activity; Net Revenue Allocation; Audits; Contracts 18

§ 3.04 Grandfathered License and Licenses that Mirror

State Restrictions 19

§ 3.05 Issuance of Tribal Gaining Licenses 20

§ 3.06 License and Regulation of Class III Gaming

Activities; Tribal State Reguired 20

§ 3.07 NonTransferability of License 20

§ 3.08 Granting of License - Malority Vote 20

§ 3.09 Application Fee 21

§ 3.10 Background Investigation 21

ii
5 3.12 ?ai1~ir.o~ ~1pp1jcai~t to Diso1o~. Material

Information. 21

§ 3.12 Temporary Employment Licenses 21

§ 3.13 Parameters of Licensee 22

§ 3.14 Licensing of Distributors 22

CHAPTER IV

MANAGEMENT CONTRACTS

§ 4.01 Commission Approval Required 22

§ 4.02 Approval of Management Contracts 24

§ 4.03 Percent;igeofnetreVaflue Fees 24

§ 4.04 Contract Disapproval 25

§ 4.05 Modifying or Voiding Contract 25

§ 4.06 Conveying Interest in Land 26

§ 4.07 Fee for Investigation Cost 26

CHAPTER V

AUDITING AND INTERNAL CONTROL

§ 5.01 Minimum Procedures for Control of Internal Fiscal

Affairs 26

§ 5.02 Commission Oversight of Internal Fiscal Affairs 27

§ 5.03 Commission Right to Conduct Audit 28

§ 5.04 Prohibition Against Embezzlement 28

§ 5.05 Non-Compliance 28

CHAPTER VI

AUTHORIZATION OF GAMING

§ 6.01 Prohibition Against Gaming 28

§ 6.02 Grace Period 28

§ 6.03 Authorization of Gaming 28

§ 6.04 Approval of Gaming Eguipment 29

§ 6.05 Posting of Rules 29

CHAPTER VII

EXCLUSION OR EJECTION OF INDIVIDUALS

§ 7.01 List of Undesirables 29

§ 7.02 Notice and Opportunity to be Heard 30

§ 7.03 Prohibition Against Listed Individuals 30

§ 7.04 Prohibition Against Certain Individuals 30

1i~.
CHAPTER VIII

CHEATING

§ 8.01 Unlawful Acts 30

§ 8.02 Prohibition against Electronic Aids 31

CHAPTER IX

NATIONAL INDIAN GAMING COMMISSION

and TRIBAL-STATE COMPACTS

§ 9.01 National Indian Gaming Commission Regulations 32

§ 9.02 National Indian Gaming Commission Assessment 32

§ 9.03 Compact with the State of Washington 32

CHAPTER X

MI SCELLA~OUS

§ 10.01 Security 32

§ 10.02 Maintenance of Code and Reg~ilations 32

§ 10.03 Compliance with Other Laws 33

§ 10.04 Amendments 33

§ 10.05 Severability 33

APPENDIX

ORDINANCE NO. 150191 -

Enacting Gaming Code

RESOLUTION NO. 010491 -

Amending Gaming Code

iv
PUYALLUP TRIBE 07 INDIANS

TRIBAL GAMING CODE

REVISED 4191., PBS. NO. 010491

CHAPTER I

DEPINIT IONS

Section 1.01 DefinitionS Unless a different code meaning is clearly

indicated, the terms used in this Code shall have the same meaning as

defined in the Indian Gaming Regulatory Act, Public Law 100 §497,

102 Stat. 2467 (Oct. 17 1988)

Section 1.02 Calendar Year means the period beginning January 1 at

12:00:01 and ending the immediately following December 31 at 12:00

oclock midnight.

Section 1.03 Chairman means the Chairman of the National Indian

Gaming Commission.

Section 1.04 Class I Gaming means social games played solely for

prizes of minimal value or traditional forms of Indian gaming engaged

in by individuals as a part of, or in connection with, tribal cere

monies or celebrations.

Section 1.05 Class II Gaming means

(a) the game of chance commonly known as bingo (whether or not

electronic, computer, or other technologic aids are used in connectic

therewith) -

(1) which is played for prizes, including monetary prizes,

with cards bearing numbers or other designations,

(ii) in which the holder of the card covers such numbers or

designations when objects, similarly numbered or designated, are dra~

or electronically determined, and

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, PBS. NO. 010491

Page].
(iii) in which-the game is won by the first person covering

a previously designated arrangement of numbers or designations on suc~

cards, including (if played in the same location) pull tabs, lotto

punch boards, tip jars, instant bingo, and other games similar to

bingo, and

(b) card games that are

(1) explicitly authorized by laws of the State of Washing

ton, or

(ii) are.not explicitly prohibited by the laws of the State

of Washington and are played at any location in the State of Washing

ton, but only if such card games are played in conformity with those

laws and regulations (if any) of the State of Washington regarding

hours or periods of operation of such card games or limitations on

wagers or pot sizes in such card games.

(c) The term class II gaming does not include

(i) any banking card games, including baccarat, chemin de

fer, or blackjack (21), or

(ii) electronic or electromechanical facsimiles of any game

of chance or slot machines of any kind.

(d) Notwithstanding any other provision of this section, the ter

class II gaming includes those card games played in the State of

Washington, that were actually operated in the State by an Indian

Tribe on or before May 1, 1988, but only to the extent of the nature

and scope of the card games that were actually operated by an Indian

tribe in the State on or before such date, as determined by the

Chairman of the National Indian Gaming Commission.

Section 1.06 Class III Gaming means all other forms of gambling

that are not Class I gaming or Class II gaming.

Section 1.07 Commission means the Puyallup Gaming Commission.

Section 1.08 Commissioner means one of the members of the Puyallup

Tribal Gaming Commission.

Puyallup Tribe of Indians

TRIBAL GAHING CODE

REVISED 4191, RES. NO. 010491

Page 2
-~.O9 Corn~ci1 means the Puyallup Tribal Council.

Section i.1O Director means the Director of the Puyallup Gaming

Coinmi.ssion appointed by the Council as the chief administrator of

Puyallup gaming.

Section 1.11. Gaming or Gaming Activity means to deal, operate,

carry on, conduct, maintain or expose for play any game played with

cards, dice, equipment or any mechanical, electromechanical or elec

tronic device or machine for money, property, checks, credit or any

representative of value, including, without limiting the generality oi

the foregoing, faro, monte, roulette, keno, bingo fantan, twentyone,

blackjack, sevenandahalf, big injun, kiondike, craps, poker, chuckaluck, chinese chuckaluck (dai shu) , wheel of fortune, chem de fer,

baccarat, pai gow, beat the banker, panguingui, slot machine, video

poker machine, pull tabs, bingo, any banking or percentage game or an~

other game or device approved by the Commission, but does not include

games played with cards in private homes or residences in which rio

person makes or charges money for operating the game, except as a

player.

Section 1.12 Gaming Device means any equipment or mechanical,

electromechanical or electronic contrivance, component or machine usec

remotely or directly in connection with gaming or any game which

affects the result of a wager by determining win or loss. The term

includes a system for processing information which can alter the

normal criteria of random selection, which affects the operation of

any game or which determines the outcome of a game.

Section 1.13 Gaming Establishment or Gaming Premises means any

premises where gaming, other than Class I gaming is operated or

conducted, and includes all buildings, improvements, equipment, and

facilities used or maintained in connection with such gaming.

Section 1.14 Gross Revenue means the total monetary value that

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 3
would be due to any operator of a gaming activity for any chance

taken, for any table fees for card playing, or other fees charged for

participation or admittance, as evidenced by required records. The

value shall be stated in~U.S. currency, before any deductions or

allowances for prizes, pay out of winnings, cost of operation, taxes,

labor expenses, equipment or materials used, or any other expenses.

In the absence of records, gross revenue shall be the maximum that

would be due to an operator from that particular activity if operated

at maximum capacity.

Section 1.15 Indian Land means:

(a) Any lands title to which is either held in trusut by the

United States for the benefit of the Puyallup Tribe of Indians, or

held by the Puyallup Tribe of Indians subject to restriction by the

United States against alienation and over which the Puyallup Tribe of

Indians exercises governmental power; and

(b) Any lands located within the exterior boundaries of the

Puyallup Indian Reservation title to which is either held in trust by

the United States for the benefit of an individual Indian, or held by

an individual Indian subject to restriction by the United States

against alienation and over which the Puyallup Tribe of Indians

exercises governmental power.

Section 1.16 Key Employee means all employees who have authority

over receipt or distribution of revenues from the gaming activity, and

shall include but not be limited to cashiers, dealers, pit bosses,

floor managers, supervisors and any other individual who has the

authority to sign checks or handle cash or currency.

Section 1.17 Licensee means any person who has been issued a valid

and current license pursuant to the provisions of this Gaming Code.

Section 1.18 Net Revenue means gross revenues of a gaming activity

less amounts paid out as, or paid for, prizes, winnings, and total

operating expenses, excluding management fees.

Puyallup Tribe of Indians

TRIBAL GAHING CODE

REVISED 4191, BBS. NO. 010491

Page 4
Section 1.3.9 Management Contract means any contract, agreement, or

other document establishing a relationship between the tribal govern

ment aind any person or entity in which such person or entity has

managerial responsibilities for a tribally owned Class II or Class III

gaming operation. The term Management Contract shall include all

collateral agreements.

Section 1.20 Management Fee means any monies paid from gaming

revenue to any person or entity contracted and/or licenses to operate

a gaming establishment. Such term shall not include monies paid for

operating expenses. Such term shall also include any monies paid to

the owner of a gaming establishment licenses pursuant to § 3.03 of

this Code.

Section 1.21 Operating Expense means any expense incurred in the

daily operation of a gaming activity that is specifically designated

as an operating expense in a management contract; provided, in the

case of an establishment licensed by the Tribe pursuant to § 3.03, the

term shall mean an expense specifically designated as an operating

expense in any regulation adopted by the Commission.

Section 1.22 Patron means any person or group of persons on Indian

land, who participate as players in games as defined by this Code, or

who are physically present on premises wherein or whereon such games

are being played.

Section 1.23 Person means any association, partnership, cor

poration, firm trust or other form of business association as well as

a natural person.

Section 1.24 Primary Management Officials shall include all offi

cials of the gaming activity who exercise authority over daily opera

tion of the gaming, including the authority to hire and fire

employees, to supervise employees or to establish operational policy

for the gaming activity. Such officials shall include, but not be

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 5
liTnited to, all owners, officers, shareholders, or partners of the

management contractor, if any.

Section 1.25 Recrulation means the regulations of the Commission

under this Cbde.

Section 1.26 Reservation when not qualified, means the Puyallup

Indian Reservation, established pursuant to the provisions of the

Treaty of Medicine Creek, 10 Stat. 1132, signed December 26, 1854,

ratified March 3, 1855, and declared April 10, 1855, including but not

limited to:

(a) the area of approximately 18,000 acres lying within the

survey boundaries of the Puyallup Reservation, as described in the

Executive Orders dated January 20, 1857 and September 6, 1873;

(b) the additional area of approximately 11,000 acres which has

been reserved for the Tribe, but not yet been surveyed; and

(C) any other lands designated as reservation lands by the

Secretary of the Department of Interior.

Section 1.27 Services means labor provided by one person to or for

another, where such labor is provided in pursuit of the purpose of

gaming on Indian land.

Section 1.28 Tribal Court means the Tribal Court of the Puyallup

Tribe of Indians.

Section 1.29 Tribal-State Compact or Compact means a written

document, either negotiated and agreed to by the Puyallup Tribe and an

official or agency of the State of Washington, or prescribed by the

Secretary pursuant to 25 U.S.C. 2710(7) (B) (vii), governing the conduct

of Class III gaming activities on Indian lands.

Section 1.30 Tribe means the Puyallup Tribe of Indians.

Section 1.31 Words and Terms Tense, riamber and gender. In con

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 6
structing the provisions of this Code, save when otherwise plainly

declared or clearly apparent from the context;

(a) words in the present tense shall include the future tense;

(b) words in masculine, feminine and neuter genders shall

include all genders;

(C) words in the singular shall include the plural, and in the

plural shall include the singular.

Section 1.32 Working days means ~Monday through Friday except

Federal or Tribal holidays.

CHAPTER II

ADMINISTRATION AND ENFORCEMEN1~

Section 2.01 Unauthorized Gaining Any Indian who commits any act of

unauthorized gaming on this reservation or on any Indian land shall be

guilty of a crime and shall be prosecuted in Tribal Court. Prosecu

tion for such a crime in Tribal Court is not meant to be exclusive; a

finding of guilt or innocence shall not deprive the federal government

from criminal jurisdiction. However, it is hereby declared that Class

I, Class II and authorized Class III gaming, conducted on this reser

vation or on any Indian land, that fully complies with the definitions

of this Code shall not be subject to any criminal penalties.

Section 2.02 Ownership - Revenues to Benefit the Tribe Except for

those licenses issued pursuant to § 3.04, the Tribe shall have sole

proprietary interest in, and the sole responsibility for the conduct

of the gaming activity. Such provision does not, however, limit the

Tribes ability to enter into a management contract wherein net

revenues are divided between the Tribe and other parties to the

contract. A gaming establishment shall be operated so as to produce

the maximum amount of net revenues to the Tribe. Net revenues will go

entirely to the Tribe and will be used solely for the following

purposes:

(a) to fund tribal government operations or programs;

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 7
(b) to provide for the general welfare of the Tribe and its

members;

(C) to promote tribal economic development;

(d) to donate to charitable organizations; or

(e) to help fund operations of local government agencies. Net

revenues from the gaming:establishment may be used to make per capita

payments to members of the Tribe upon the preparation of a plan to

allocate revenues to the above uses and approval of this plan by the

Secretary of the Interior.

Section 2.03 Establishment of Commission The Puyallup Tribal Gaining

Commission is hereby established. The Commission shall consist of

seven (7) members appointed by a majority vote of the Council. Only

enrolled members of the Tribe may be appointed to the Commission. A

commissioner shall serve for three (3) years and may be removed from

office prior to the end of his term only for cause and by a unanimous

vote of Council pursuant to a public hearing. In order to establish

an annually staggered Commission appointment schedule similar to that

of the Council, the first commissioners shall be appointed by the

Council as follows: three members shall serve three year terms, two

members shall serve two year terms, and two shall serve a one year

term for the initial appointment terms only. Thereafter all

successive terms of appointment shall run for three (3) years.

Vacancies shall be filled within 30 days by the Council.

Section 2.04 Restrictions on Commissioners Commissioners may hold

other tribal positions and may engage in business, provided, however,

that they shall not engage in any business which is subject to the

provisions of this Gaining Code. Commissioners may not gamble in the

gaming establishment nor have any personal financial interest in any

gambling by any patron.

Section 2.05 Compensation of Commissioners Commissioners shall be

compensated at the rate to be established annually by the Commission,

and approved by the Council. Commissioners shall be reimbursed for

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4192., RES. NO. 02.0491

Page 8
actual expenses incurred on Commission business, including necessary

travel expenses.

Section 2.06 Selection of Chairperson The Commission shall select

annually from its membership a chairperson, who shall have the power

to convene special meetings of the Commission upon 48 hours written

notice to members of the Commission.

Section 2.07 Meetings Open to Public General meetings of the

Commission may be open to the public, all meetings shall be governed

by Roberts Rules of order.

Section 2.08 quorum A qiioruni shall consist of four members of the

Commission. All decisions shall be made by a majority vote of the

Commission, unless indicated otherwise in this Code.

Section 2.09 Monthly Reports The Commission shall make monthly

reports to the Council within 30 days after the close of the month for

which the information is being required. The reports shall include a

full and cc~plete statement of gaming revenues paid to the Tribe,

expenses and all other financial transactions if the Commission arid a

summary of all licensing and enforcement actions.

Section 2.10 Powers The Commission shall exercise all powers

necessary to effectuate the purposes of this Code. The Commission may

exercise any proper power and authority necessary to perform the

duties assigned to it by the Code or Council, and is not limited by

enumeration of powers in this chapter. The Commission shall meet with

the Director not less than once each month to make recommendation and

set policy, to approve or reject reports of the Director and transact

other business that may be properly brought before it. The Commission

shall promulgate rules and regulations for the operation of the any

gaming establishment and shall hear and resolve all disputes regarding

any provision of the Code. In all decisions, the Commission shall act

to promote and ensure integrity, security, honesty, and fairness of

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 41-91, RES. NO. 010491

Page 9
the operation and administration of all gaming activities. The

Commission shall have the power and authority to deny any application,

to limit, condition, suspend, or restrict any license, make a finding

of suitability or approval of a license, or a finding of suitability

or approval of or the imposition of a fine upon any person licensed,

for any cause deemed reasonable by the Commission.

Section 2.11. Prior Notice of Actions In adopting, amending, and

repealing regulations, the Commission shall give prior notice of the

proposed action to all licensees and other persons whom the Commission

or Director has reason to believe have legitimate and bona fide

interest in such proposed action. Said notice shall inform such

persons as to the general nature of the proposed action and advise

them as to the manner in which comments on said proposed action shall

be received by the Commission. In emergencies, the Commission may

summarily adopt, amend or repeal any regulation if at the time the

Commission deter-mines such action is necessary for the immediate

preservation of the public peace, health, safety, morals, and good

order or general welfare, together with a statement of facts consti

tuting the emergency; provided, the Commission shall schedule such

emergency action for a regular hearing within 60 days.

Section 2.12 Request for Commission Action Any person who is deter

mined by the Commission or Director to be a bona fide interested party

may file petition in a manner and form approved by the Commission

requesting the adoption, amendment or repeal of a regulation. Upon

receipt of the petition, the Commission shall within 30 days deny the

request in writing or schedule the matter for action pursuant to this

chapter.

Section 2.13 Voting on Licensing Any Commission vote resulting in

approving, disapproving, revoking, suspending, limiting or condi

tioning a license under this Code shall be by secret ballot only;

provided, that in an emergency a secret phone vote may be polled

pursuant to Commission Regulations. Should an applicant disagree with

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 10
the determination of the Commission, the Co~imission shall hold a

hearing to review itsdecision, within three working days from the

date an applicant files his/her disagreement with the Commission. At

the hearing the burden shall be the applicant to show cause why the

Commissions determination was incorrect.

Section 2.14 Commission Findings Following such hearing, the

Commission shall, within three (3) days, reach a determination con

cerning:

(a) the accuracy of the preliminary certification of facts, and

(b) whether the license in question should be granted,

continued, suspended, revoked, conditioned, or limited, and

(C) whether or not any other action recommended to the Conunis

sion including, but not limited to, forfeitures, should be taken.

Section 2.15 Notification of Commission Decision Within three

working days following this determination the Commission shall inform

the subject in writing of that determination.

Section 2.16 Right to Appeal The subject shall have a right to

appeal the determination of the Commission to the Tribal Court.

Such appeal must be filed with the Tribal Court in written form on or

before the tenth day following receipt of the written determination of

the Commission. A determination of such appeal by the Tribal Court

shall be final and rio further appeal may be had. In any appropriate

case which has been referred to Tribal Court for final action, the

Tribal Court shall review, de novo, the determination of the Comxnis

sion. The Courts action shall be final and no further appeals may be

had.

Section 2.17 Appointment of Director The Council, upon recommenda

tion of the Commission, shall appoint a Director, who shall be respon

sible for the dayto-day management of the affairs of the Commission as

well overseeing the establishment and operation of all gaming activi

ties. A detailed background investigation shall have been conducted

Puyallup Tribe of Indians

TRIBAL GAHING CODE

REVISED 4191, RES. NO. 010491

Page 13.
.

on the Director before his appointment and the Commission shall

maintain oversight of the Director on an ongoing basis. Preference

will be given to applicants with experience in legal gaming or law

enforcement. With the narrow exception of tribal members who were

convicted for gaming offenses on the Puyallup Reservation prior to the

enactment of Tribal Bingo and Gaming Codes in December 1980, no one

convicted of a felony of any kind or a misdemeanor related to illegal

gambling or bribery can serve as Director. The Director shall not

have any personal interests in any gaming activity. The Director may

not gamble in the gaming establishment nor have any personal fnancial

interest in any gambling by any gaming establishment patron.

Section 2.18 Directors Contract The Director shall be hired on a

contract for a period of at least two years. The terms of the con

tract will be negotiated with the Commission and approved by the

Council. The Directors compensation shall be part of the

negotiations.

Section 2.19 Termination of Director The Director shall be termi

nated immediately and without the necessity of a vote of the Council

upon the Directors conviction in a federal or state court of com

petent jurisdiction for any felony or for any misdemeanor related to

illegal gambling or bribery or upon conviction in the Tribal Court of

any charge that the Council finds relates to the Directors honesty or

ability to fulfill his duties. If the Director is convicted of

violating any part of this Code, he shall be immediately terminated.

Section 2.20 Duties of Director The Director shall, subject to the

approval of the Commission, perform all duties, exercise all powers,

assume and discharge all responsibilities, and carry out and effect

all purposes of this Code relating to the establishment of all gaming

activity. In all decisions, the Director shall act to promote and

ensure integrity, security, honesty, and fairness of the operation and

administration of all gaming activity. The Directors duties shall

include but not be limited to the following:

Puyallup Tribe of Indians

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a) Negotiating contracts for payments by the Tribe for the

prOvision of security and other professional services. Such contracts

must be approved by the Commission and the Council and shall not

constitute a waiver of criminal jurisdiction by the Tribe;

b) correspond with the National Indian Gaming Commission and do

whatever is necessary to complete compliance with the rules and

regulations of that agency. Specifically, the Director shall arrange

for an annual outside audit of authorized gaming and will provide a

copy to the National Indian Gaming Commission;

(c) The Director will assure that all gaming activity is con

ducted in a manner which adequately protects the environment and the

public health and safety;

(d) The Director will arrange that there is an adequate system

which ensures that background investigations are conducted on all

primary management officials and key employees of any Gaming estab

lishment and that oversight of such officials and their management is

conducted on an ongoing basis. The Director will recommend to the

Commission, which shall have final authority, on the granting of

tribal licenses for primary management officials and key employees.

The Director shall immediately notify the National Indian Gaming

Commission of the issuance of such licenses. The Director will review

all applications and background investigations to ensure that no

person shall be eligible for employment in or with any part of the

gaming operation if that persons prior activities, criminal record,

if any, or reputation, habits and associations pose a threat to the

public interest or to the effective regulation of gaming, or create or

enhance the dangers of unsuitable, unfair, or illegal practices and

methods and activities in the conduct of gaming. The Director shall

notify the National Indian Gaming Commission of the results of such

background checks before the issuance of such licenses;

(e) Hiring, pursuant to the approval of the Commission, such

professional, clerical, technical, and administrative personnel as may

be necessary to carry out the provisions of this Code;

(f) Reviewing all records, documents, and anything else neces

sary and pertinent to enforcement of any provisions of this Code;

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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(g) Recommend to the Commission whether sanctions should be

imposed on any person subject to the jurisdiction of this Code.

Section 2.21 Right of Inspection The Commission, the Director and

their agents, inspectors, and employees have the authority:

(a) To inspect and examine all premises wherein gaming is

conducted or gambling devices or equipment are manufactured, sold or

distributed;

(b) To inspect all equipment and supplies in, upon or about a

gaming establishment, or inspect any equipment or supplies wherever

located, which may, or have been used in the gaming establishment;

(c) Summarily to seize and remove from a gaming establishment

(or whatever located) and impound such equipment or supplies for the

purpose of examination, inspection, evidence or forfeiture;

(d) To demand access to and inspect, examine and audit all

papers, books and records of applicants and licensees respecting any

income produced by any gaming business, and require verification of

income and all other matters affecting the enforcement of the policy

of or any of the provisions of this Code.

(e) To seize and impound any patrons winnings which the Commis

sion may have reasons to believe may have been won or obtained in

violation of this Code pending a civil forfeiture hearing on such

seizure;

(f) For the purpose of administration and enforcement of this

Code the Commission, the Director and their investigative personnel

may, if deemed necessary by the Tribal Council, have the powers of the

peace officer of the Puyallup Tribe of Indians for purposes of this

Code only;

(g) Commissioner and the Director shall each have full power and

authority to issue subpoenas and compel the attendance of witnesses

for hearings at any place within the Reservation, to administer oaths

and to require testimony under oath. Any process or notice may be

served in the manner provided for service of process and notices in

civil actions. The Commissioner and the Director may pay such trans

portation and other expenses of witnesses as it may deem reasonable

Puyallup Tribe of Indians

TRIBAL GANING CODE

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-. and proper.

Section 2.22 Confidentiality of Information The Commission and

Director may refuse to reveal, in any court proceeding the identity of

any informant, or the infor-xnation obtained from the informant, or both

the identity and the information.

Section 2.23 Powers of Delegation The Commission may organize itself

into a functional division as it may deem necessary and from time to

time alter such plan of organization as it may deem expedient. The

Commission shall establish its own budget for operations, including a

budget for the Director, and acquire such furnishings, equipment,

supplies, stationery, books, motor vehicles, and other things as it

may deem necessary or desirable in carrying out its functions, and

incur such other expenses, within the limit of funds available to it,

as it may deem necessary. Within the limits of a Council approved

budget, the Commission shall employ and fix the salaries of or

contract for the services of such professional, technical and

operational personnel and consultants as the execution of its duties

and the operation of the Director and Commission may require. At the

Councils discretion, said budget may be reviewed and modified by the

Council every six months. Upon the end of the budget year any surplus

which might exist shall be refunded to Council at their discretion.

The Commission and Director shall each keep and maintain a file of all

applications for licenses under this chapter, together with a record

of all action taken with respect to such applications. The Commission

and Director shall keep and maintain such other files and records as

they may deem desirable and all such records may be open to public

inspection as they may deem appropriate; provided, that the annual

Commission budget shall be made available to any tribal member upon

demand.

Section 2.24 Sanctions Any person who engages in activities on

property subject to the provisions of this Gambling Code without a

license, in violation of the license or terms imposed thereon, in

Puyallup Tribe of Indians

TRIBAL GAHING CODE

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violation of terms of suspension, or in violation of any regulation,

provision, or amendment under this Code shall be in violation of the

Code, including any person who unlawfully trespasses upon any premises

licensed by this Code without the consent of the licensee and/or the

Commission..

Section 2.25 Limitations Period No fine shall be assessed nor any

action taken for any violation under the preceding section unless a

charge is filed in proper form with the Commission of Tribal Court

within two years of the commission of the offense.

Section 2.26 Violations of Code Punishment Any violation of this

Code shall be punished by a fine of no more than five thousand dollars

($5000.00) for each separate count or violati.on, or one (1) year in

jail, or both. Each day of violation shall constitute a separate

count or violation under this Code. A violator may also be required

to pay court costs, storage fees, and auction or sales fees. All

property used or which may be used in activities in each and every

separate violation of this Code may become the property of the Tribe;

persons may be prohibited from trespassing on premises licensed under

this Code, licenses may be suspended, revoked, or limited and/or

establishments may be forcibly closed. All such action shall be taken

at the discretion of the Commission, subject to the right of appeal to

Tribal Court. Winnings found to have been received in violation of

this Code are forfeited and become the property of the Tribe.

Section 2.27 Due Process Regarding Enforcement Actions The Commis

sion shall promulgate regulations protecting due process rights of all

individuals subject to the enforcement of this Code. Such regulations

shall provide, at a minimum:

(a) provide standards for emergency or summary suspension of

license;

(b) provide fair notice and opportunity for hearing regarding

any revocation or suspension of license, and regarding any enforcement

action taken pursuant to this Code;

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TRIBAL GAMING CODE

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(c) provide right to appeal, de novo, of any Commission disci

plinary or enforcement action to Tribal Court.

Section 2.28 Special Agents The Commission shall authorize special

agents appbinted pursuant to Section 1 of Chapter IV of the Tribes

Law and Order Code or pursuant to any appropriate section and/or

chapter of any subsequent Law and Order Code to perform services

reasonably necessary to assure compliance with the provisions of this

Code only. Said special services of enforcement and surveillance

shall be under the authorization and direction of the Director, unless

otherwise determined by the Commission. This section shall in no way

be deemed to limit the normal law enforcement functions of these or

other tribal law enforcement officers not so authorized.

Section 2.29 Independence of Commission The Director, Commissioners,

members of the Council and their immediate families shall receive no

personal compensation, gift, reimbursement or payment of any kind from

any person doing or wishing to do business with the Tribe relating to

gaming nor with 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 for

feited to the Tribe and the offending persons shall be prosecuted to

the fullest extent possible under tribal law for accepting a bribe.

The 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.

CHAPTER III

LICENSING OF GAMES

Section 3.01 Mandatory License Any person seeking to conduct,

operate, or manage any gaming activity on Indian lands shall apply

for, and receive, all the required licenses from the Commission prior

to engaging in such gaming activities. Engaging in such gaming

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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activities without~first obtaining the required licenses shall be

:~ deemed a violatiori~of this Code and shall be punishable in accordance

with § 2.26.

8ection ~ Authorization o~ Class I ~.mjng Activity The Commission

may authorize Class I Gaming Activity to be played on Indian lands

that are within the jurisdiction of the Tribe.

Section 3.03 Licensing and Requlation of Class II Gaming Activity;

Net Revenue Al1ocation; Audits; Contracts

(a) A separate license issued by the Commission shall be re

quired for each place, facility, or location on Indian lands within

the Tribes jurisdiction at which any Class II Gaming Activity is

conducted.

(b) The Commission may license and regulate a tribally owned

Class II Gaming Activity if

(i) such gaming activity is located on Indian lands within

the Tribes jurisdiction, and the State of Washington 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

(ii) except as provided in Section 3.04, th.~ Tribe will

have the sole proprietary interest and responsibility for the conduct

of such gaming activity; and

(iii) net revenues from such Gaming Activity are used in

accordance with Section 2.02 of this Code; and

(iv) such gaming activity is subject to annual outside

audits, which may be encompassed within existing independent tribal

audit systems, and providec– to the Council; and

(v) all contracts for supplies, services, or concessions

for an aggregate amount in excess of $25,000 annually relating to such

gaming are also subject to independent audits; and

(vi) the construction and maintenance of the gamirg facili

ty, and the operation of that gaming, is conducted in a manner which

adecrnately protects the environment and the public health and safety;

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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and

-

(vii) all primary management officials and key employees o

the Class II gaming operation have successfully passed a background

inve~tigation which is approved by the Tribe and the National Indian

Gaming Commission.

Section 3.04 Grandfathered License and Licenses that Mirror State

Restrictions

(a) Licenses that Mirror State Restrictions The Commission

may license and regulate Class II gaming activities owned by any

person or entity other than the Tribe and conducted on Indian lands

within the Tribes jurisdiction, only if the requirements described i

section (b) (1) of this Section are met and are conducted in a manner

that is at least as restrictive as the regulations established by

Washington State law governing similar gaming within its jurisdiction

No person or entity, other than the Tribe, shall be eligible to

receive a license from the Commission to own a Class II gaming activi

ty conducted on Indian lands within the Tribes jurisdiction if such

person or entity would not be eligible to receive a license from the

State of Washington to conduct the same activity within its jurisdic

tion.

(b) Licenses

(i) The provisions of subsection (a) of this Section and

the provisions of Subsections (ii) and (iii) of Section 3.03(b) shall

not bar the continued operation of an individually owned Class II

gaming operation that was licensed and regulated by the Tribe and wa

operating on September 1, 1986, if

(A) Such gaming operation remains in full compliance

with all applicable Tribal and Federal laws, and is issued an annual

license renewal from the Commission, and

(B) Income to the Tribe from such gaming is used only

for the purposes described in Section 2.02 of this Code, and

(C) Not less than 60 percent of the net revenues is

income to the Tribe, and

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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(D) The bwner of such gaming operation pays the ap

propriate assessment levied by the National Indian Gaming Commission.

(ii) The exemption from application of this section pro

vided under this subsection may not be transferred to any person or

entity and shall remain in effect only so long as the gaming activity

remains within the same nature and scope as operated on October 17,

1988, which is the date of enactment of the Indian Gaming Regulatory

Act.

Section 3.05 Issuance of Tribal Gaming Licenses; Obiections The

Commission shall consult with appropriate law enforcement officials

concerning any gaming licenses it may issue. If, after is~uance of a

gaming license by the Commission, reliable information is received

that a primary management official or key employee does not meet the

standard established under Section 3.10 of this Code, the Commission

shall suspend such license and, after notice and hearing, may revoke

such license.

Section 3.06 License and Regulation of Class III gaining activities;

Tribal - State Compact Required The Commission may license and

regulate Class III Gaming Activity if -

(a) Such gaming meets the requirements of Section 3.03, and

(b) Conducted in conformance with the terms and conditions of a

valid TribalState Compact entered into by the Tribe and the State of

Washington.

Section 3.07 NonTransferability of License Any license issued

pursuant to the provisions of this Code is valid only for the person

or entity at the place of business shown on the face thereof. It is

not assignable or otherwise transferrable to any other person or

entity for any other location without approval of the Director and

Commission.

Section 3.08 Granting of License -

Majority Vote To approve of any

license issued pursuant to this Code, a quorum of the Commission must

Puyallup Tribe of Indians

TRIBAL GAMING~ CODE

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be present with a majority vote of approval by said quorum required.

A license will not be issued to a person whose license has previously

been revoked pursuant to this Code, or to whom the issuance of renewal

of a license has been denied, except with the unanimous approval of

the Commission members.

Section 3.09 Application Fee The Commission shall set a fee for

applications, background investigations, and licenses. All such fees

shall be made payable to the Puyallup Tribe and delivered to the

Puyallup Tribes Accounting office.

Section 3.10 Background Investigation No License shall be granted to

any person or entity who has been determined to be a person or entity

whose prior activities, criminal record, if any, or reputation,

habits, and associations pose a threat to the public interest or to

the effective regulation and control of gaming, or create or enhance

the dangers of unsuitable, unfair, or illegal practices, methods and

activities in the conduct of gaming or the carrying on of the business

and financial arrangements incidental thereto.

Section 3.11 Failure of Applicant to Disclose Material Information

An applicant for licensing shall make true and full disclosure of all

information to the Director and Commission as necessary or appropriate

in the public interest or as required in order to carry out the

policies of this Tribe relating to licensing and control of the gaming

industry. It is the duty of the applicant to disclose all information

material to whether his involvement with gaming would jeopardize or

compromise the Tribal interest, whether or not the applicant has been

specifically requested to provide that information. It shall consti

tute a violation of this code to fail to disclose, to mislead or to

misstate any such material information to the Director of the Commis

sion, or to any licensees employer.

Section 3.12 Temporary Employment Licenses The Commission may issue

a temporary employment license to any person or entity applying for a

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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Page 21
license to work in a licensed gaming establishment which shall be

valid pending the background investigation of the applicant. In no

event shall such temporary license be valid for greater than 180 days.

Section 3.13 Parameters of Licex~see Violations of any provision of

the Code or any of the Commissions reg-ulations by a licensee, his

agent, or employee shall be deemed contrary to the public health,

safety, morals, good order and general welfare of the Puyallup Tribe

and the inhabitants of the Puyallup Reservation, and shall be deemed

grounds for refusing to grant or renew a license, suspension or

revocation of a license, or shall constitute grounds for the filing of

charges by the Commission or Director. Acceptance of a gaming license

or renewal thereof, or condition imposed thereon, by a licensee,

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

all the regulations and conditions of the Director or Commission and

by the provisions of this Code as the same are now, or may hereafter

be amended or promulgated, and to cooperate fully with the Director

and Commission. It is the responsibility of the licensee to keep

himself informed of the contents of all such regulations, amendments,

provisions, and conditions, and ignorance thereof will not excuse

violations.

Section 3.14 Licensing of Distributors The Commission may authorize,

require, and issue such annual licenses as the Commission by regula

tion may provide, to any person or entity to engage in the selling,

distributing, or otherwise supplying gambling equipment or parapherna

lia for use in connection with licensed gaming activity.

CHAPTER IV

MANAGEMENT CONTRACTS

Section 4.01 Commission Approval Required

(a) Any management contract entered into by the Tribe for the

operation and management of Class II and Class III gaming activity

must be submitted to the Commission for approval, but, before approv

ing such contract, the Commission shall require and obtain the follow

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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Page 22
ing information:

(i) the name, address, arid other additional pertinent back

ground information on each person or entity (including comprising such

entity) having direct financial interest in, or management respon

sibility ford such contract, and, in the case of a corporation, those

individuals who serve on the board of directors of such corporation

and each of its stockholders who hold (directly or indirectly) 10

percent or more of its issued and outstanding stock; and

(ii) a description of any previous experience that each

person listed pursuant to subsection (1) has had with other gaming

contracts with Indian tribes or with the gaining industry generally,

including specifically the name and address of any licensing or

regulatory agency with which such person has had a contract relating

to gaming; and

(iii) a complete financial statement of each person listed

pursuant to subsection (i); and

(b) Any person listed pursuant to subsection (a) (i) shall be

required to respond to such written or oral questions that the Coininis

sion may propound in accordance with its responsibilities under this

section.

(c) For purposes of this Code, any reference to the management

contract described in Section 4.01(a) shall be considered to include

all collateral agreements to such contract that relate to the gaming

activity.

(d) After the Commission has given its approval of a management

contract, the Commission shall submit such contract to the National

Indian Gaming Commission for its approval. No such contract shall be

valid until the National Indian Gaming Commission has approved it.

(e) In making the determination to approve management contracts,

when the tribe has submitted competing bids or proposals involving

gaming wherein the bids or proposals will provide substantially the

same return to the Tribe and its membership, the Commission and the

Council shall give preference to tribal members. Further, preference

will be given to nonmember Indians and cooperative associations of

nonmember Indians over nonIndians.

Puyallup Tribe of Indians

TRIBAL GA1~ING CODE

REVISED 4191, RES. NO. 010491

Page 23
5ection 4,02 ~Drova1 of Xa.nageaent Cpntract8 The Commission may

approve any management contract entered into by the Tribe pursuant to

this Chapter only if it determines that such contract provides at

least:

(a) for adecp.iate accounting procedures that are maintained, and

for verifiable financial reports that are prepared, by or for the

Council on a monthly basis;

(b) for access to the daily operations of the gaming to appro

priate tribal officials who shall also have a right to verify the

daily gross revenues and income made from any such tribal gaming

activity;

(c) for a minimum guaranteed payment to the Tribe that has

preference over the retirement of development and construction costs;

(d) for an agreed ceiling for the repayment of development and

construction costs;

(e) for a contract term not to exceed five years, except that,

upon the request of the Tribe, the Commission may authorize a contract

term that exceeds five years but does not exceed seven years if the

Commission is satisfied that the capital investment required, and the

income projections, for the particular gaming activity require addi

tional time; and

(f) for grounds and mechanisms for terminating such contract,

but actual contract termination shall not require the approval of the

Commission;

(g) for preference to Tribal members and nonmember Indians in

hiring of employees for the gaming establishment and for provisions

that the management contract be subject to the TERO ordinance.

Section 4. 03 Percentageofnetrevenue Fees

(a) A management contract providing for a fee based upon a

percentage of the net revenues of a tribal gaming activity may be ap

proved by the Commission if such percentage fee is reasonable in light

of surrounding circumstances. Except as provided in this Section,

such fee shall not exceed 30 percent of the net revenues.

(b) Upon request of the Council, the Commission may approve a

Puyallup Tribe of Indians

TRIBAL GAMING CODE

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Page 24
management contract providing for a fee based u a percentage of the

net revenues of a tribal gaming activity that exceeds 30 percent but

not 40 percent of the net revenues if the Commission and Council are

satisfied that the capital investment required, and income projec

tions, for such tribal gaming activity require the additional fee.

Section 4.04 Contract Disapproval The Conimission shall not approve

any contract if it determines that:

(a) Any person listed pursuant to Section 4.01(a) (i) who

(i) is an elected member of the Council;

(ii) has been or subsequently is convicted of any felony or

gaining offense, with the narrow exception of tribal members who were

convicted for gaining offenses on the Puyallup Reservation prior to the

enactment of Tribal Bingo and Gaming Codes in December 1980;

(iii) has knowingly and willfully provided materially

important false statements of information to the Conunission or the

tribal officials who negotiate such contracts or has refused to

respond to questions propounded pursuant to Section 4.01(b); or

(iv) has been determined to be a person whose prior activi

ties, criminal record if any, or reputation, habits, and associations

pose a threat to the public interest or to the effective regulation

and control of gaming, or create or enhance the dangers of unsuitable,

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

of gaming or the carrying on of the business and financial arrange

ments incidental thereto;

(b) The management contractor has, or has attempted unduly to

interfere or influence for its gain or advantage any decision or

process of tribal government relating to gaming activity;

(C) The management contractor has deliberately or substantially

failed to comply with the terms of the management contract or the

provisions of this Code or any regulations adopted pursuant to this

Code or the Indian Gaining Regulatory Act.

Section 4.05 Modifying or Voiding Contract The Commission, after

notice and hearing, shall have the authority to require appropriate

Puyallup Tribe of Indians

TRIBAL GAXING CODE

REVISED 4191, RE8. NO. 010491

Page 25
contract modifications or may void any contract if it subsequently

determines that any of the provisions of this Chapter have been

violated.

Section 4,06 Conveying Interest in Land No management contract for

the operation of a gaming activity regulated by this Code shall

transfer or, in any other manner, convey any interest in land or other

real property, unless specific applicable statutory authority exists

and unless clearly specified in writing in said contract.

Section 4.07 Fee for Investigation Cost The Commission shall require

a potential contractor to pay a fee to cover the cost of the investi

gation necessary to reach a determination required in Section 4.04 of

this Chapter.

CHAPTER V

AUDITING AND INTERNAL CONTROL

Section 5.01 Minimum Procedures for Control of Internal Fiscal

Affairs The Commission shall promulgate regulations for control of

internal fiscal affairs of all gaming operations. At a minimum, those

regulations shall:

(a) Prescribe minimum procedures for safeguarding the gaming

operations assets and revenues, including recording of cash and

evidences of indebtedness, mandatory count procedures. Such proce

dures shall establish a control environment, accounting system, and

control procedures that safeguard the assets of the organization,

assures that operating transactions are properly recorded, promote

operational efficiency, and encourage adherence to prescribed poli

cies;

(b) Prescribe minimum reporting requirements to the Commission;

(c) Provide for the adoption an use of internal audits, by

internal auditors and Certified Public Accountants licensed to prac

tice public ~iccounting in the State of Washington;

(d) Formulate a uniform code of accounts and accounting classi

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 26
fications to assure consistence, comparability and effective disclo

sure of financial information. Such code shall require that records

be retained that reflect statistical drop (amount of cash wagered by

patrons), statistical win (amount of cash won by the gaming operation)

and the percentage of statistical win to statistical drop, or provide

similar information, for each type of game, or each device;

(e) Prescribe the intervals at which such information shall be

furnished;

(f) Provide for the maintenance of documentation (i.e, check

list, programs, reports, etc.) to evidence all internal work performed

as it relates to the requirements of this section; and

(g) Provide that all financial statements and documentation

referred to in subsection (f) be maintained for a minimum of five (5)

years.

Section 5.02 Commission Oversight of Internal Fiscal Affairs The

Commission shall, by regulation, require audits of the financial

statements of all gaming operations. Such audits must:

(a) be made by independent Certified Public Accountants holding

a permit issued by the State of Washington to practice public account

ing;

(b) include an opinion, qualified or unqualified or, if appro

priate, disclaim an opinion on the financial statements taken as a

whole in accordance with standards of the accounting profession

established by rules and regulations of the Washington State Board of

Accountancy and the American Institute of Certified Public Accoun

tants; and

(C) disclose whether the accounts, records and control proce

dures maintained by the gaming operation are as required by the

regulations promulgated by the Commission;

(d) provide for a preliminary review of the internal control

structure, upon adoption of the policies and procedures by the entity,

to disclose any deviation from prescribed rules and regulations and

report such findings to the Commission and management.

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

Page 27
8ectjon 5.03 Cpmmi~sipn Ri~]it to Conduct Audit The Commission shall

be able to retain its own appointed accountants, or direct an accoun

tant employed by the Tribe, to conduct its own audit of any gaming

operations.

section 5.04 Prohibition Against Embezzlement Any delay, maneuver or

action of any kind which in the opinion of the Director is effectuated

by any licensee to unlawfully divert gaining or other proceeds properly

belonging to the Tribe shall constitute grounds for taking disciplin

ary action against that licensee. If the Commission finds an unlawful

diversion was attempted, it shall sanction the licensee. Sanctions

may include fining, revoking, suspending, limiting or refusing to

renew the license.

Section 5.05 NonCompliance Failure to comply with this chapter or

the regulations promulgated thereunder, shall constitute a per se

violation of this Code.

CHAPTER VI

AUTHORIZATION OF GAMING

Section 6.01 Prohibition Ac~ainst Gaming No person duly authorized by

the Coimriission shall engage, conduct or condone any game unless such

game is approved by this Commission and regulations for rules govern

ing such game have been duly promulgated by this Commission.

Section 6.02 Grace Period The prohibition contained in Section 6.01

shall not apply to those gaines already being played as of the date of

enactment of this Code, provided, however, that the licensee conform

to the rules promulgated hereunder within five (5) days of such

promulgated.

Section 6.03 Authorization of Gaming The Commission may authorize

the playing of any game not prohibited by the laws of the State of

Washington. The Commission shall promulgate regulations for rules

Puyallup Tribe of Indians

TRIBAL GAMING CODE

REVISED 4191, RES. NO. 010491

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governing all authorized games, including regulations governing the

equipment (chips, dice, cards, tiles, etc.) used in such game. Any

provision in the Tribes Compact with the State of Washington provid

ing for notice to and comment from the State, shall be complied with

before any game is authorized by the Commission.

Section 6.04 Approval of Gaming Equipment The Commission shall have

the discretion to review and approve all gaming equipment and other

devices used in the gaming operation as to quality, design, integrity,

fairness, honesty, and suitability.

(a) The Commission may require a prototype or sample of any

model of gaming equipment or other device used in the gaming operation

to be placed in the custody of the Director and retained by him as a

control f or comparison purposes.

(b) Any evidence that gaming equipment or other devices used in

the gaming operation has been tampered with or altered in any way

which would affect the integrity, fairness, honesty or suitability of

the equipment or device shall be immediately reported to the Conunis

s ion.

Section 6.05 Posting of Rules The Rules of each authorized game

offered at any duly licensed gaming establishment shall be posted in a

conspicuous location and shall be clearly legible.

CEAPTER VII

EXCLUSION OR EJECTION OF INDIVIDUALS

Section 7.01 List of Undesir&bles The Commission may, by regula

tions, provide for the establishment of a list of persons who are to

be excluded or ejected from any duly licensed gaming operation. The

list may include any person whose presence in the gaming establishment

is determined by the Commission to pose a threat to the interests of

the Tribe, the State of Washington, or to licensed gaming. Race,

color, creed national origin or ancestry, or sex must not be grounds

for placing the name of a person on the list.

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Section 7,02 ?~otici ~nd opportunj~y to be heard The Commission shall

promulgate regulations providing fair notice and opportunity to be

heard to any individual whose name is being contemplated by the Tribe

to be placed on the list referred to in Section 7.01. Such regula

tions must provide the person an opportunity to show cause why his

name should be deleted from this list. The individual may appeal any

decision of the Commission to place his name on the list to Tribal

Court.

Section 7.03 Prohibition Against Listed Individuals It shall be a

violati:n of this Code for any licensee to knowingly fail to exclude

or eject from the gaming establishment any persons placed on the list

referred to in section 7.01. It shall be a violation of this Code for

any person whose name appears on the list referred to in Section 7.01

to enter into or engage in any game at a duly licensed gaining estab

lishment.

Section 7.04 Prohibition Against Certain Individuals It shall be a

violation of this Code for any licensee who knowingly fails to exclude

or eject from the gaming establishment any individual who:

(a) is visibly under the influence of liquor or any narcotic or

such other substance; or

(b) is under the age of eighteen years.

CHAPTER VIII

CHEAT ING

Section 8.02. Unlawful Acts It is unlawful for any person:

(a) to alter or misrepresent the outcome of a game or other

event on which wagers have been made after the outcome is made sure

but before it is revealed to the players;

(b) to place, increase or decrease a bet or to deter-mine the

course of play after acquiring knowledge, not available to all play

ers, of the outcome of the game or knowledge that is the subject of

the bet or wager;

(c) to aid anyone in acquiring such knowledge as set forth in

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-

subparagraph (b), for the purpose of increasing or decreasing a bet o

wager, or for the purpose of determining the course of play contirigen

upon that event or outcome;

~(d) to claim, collect or take, or attempt to claim, collect or

take, money or anything of value in or from a gambling game with

intent to defraud, without having made a wager contingent thereon, or

to claim, collect or take an amount greater than the amount won;

(e) knowingly to entice or induce another to go to any place

where a gambling game is being conducted or operated in violation of

the provisions of this chapter, with the intent that the other person

play or participate in that gambling game;

(f) to place or increase a bet or wager after acquirirlg knowl

edge of the outcome of the game or event which is the subject of the

bet or wager, including past-posting and pressing bets;

(g) to reduce the amount wagered or cancel the bet after acquir

ing knowledge of the outcome of the game or other event which is the

subject of the bet or wager, including pinching bets;

(h) to manipulate with intent to cheat, any component of a

gaming device in a manner contrary to the designed and normal opera

tional purpose for the component, with knowledge that the Inanipulatioi

affects the outcome of the game or with knowledge of any event that

affects the outcome of the game.

Section 8.02 Prohibition against Electronic Aids Except as specif i

cally permitted by the Director with approval of the Commission, no

person shall possess with the intent to use, or actually use, at any

table game, either by himself, or in concert with others, any calcula

tor, computer, or other electronic, electrical, or mechanical device

to assist in projecting an outcome at any table game, to keep track o~

or analyze the cards having been dealt, to change the probabilities of

any table game or the playing strategies to be utilized.

CHAPTER IX

NATIONAL INDIAN GAMING COMMISSION

and TRIBAL-STATE COMPACTS

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-9.01 National I~dian Gaming Co~is~ion Re~lation5 Not

withstanding any provision in this Gaming Code or any regulation

promulgated thereunder, the Commission is fully empowered to comply

with mall regulations promulgated by the National Indian Gaming Comxnis

sion, including, but not limited, to all requirements to report

ordinances, contracts, license applications, background checks, and

other information to the National Commission.

Section 9.02 National Indian Gaming Commission Assessment Not

withstanding any provision in this gaming Code or any regulation

promulgated thereunder, the Commission is fully empowered to comply

with all assessments authorized by the National Commission. Such

assessments shall be paid from the Treasury of the Puyallup Tribe of

Indians. This provision does not affect the responsibility of those

possessing grandfather licenses as set forth in § 3.04(b) to pay

assessments directly to the National Commission.

Section 9.03 Compact with the State of Washington Notwithstanding

any provision in this gaming Code or any regulation promulgated

thereunder, the Commission is fully empowered to comply with the

provisions of any compact properly executed between the Tribe and the

State of Washington.

CHAPTER X

MISCELLANEOUS

Section 10.01 Security Each licensed gaming establishment must

provide for reasonable security. All security personnel must be

licensed by the Commission.

Section 10.02 Maintenance of Code and Regulations Each licensee

shall obtain, maintain and keep current a copy of the Gaming code anc~

regulations promulgated thereunder, which shall be located at the

premises used for the conduct of a licensed activity. The Code and

regulations shall be produced by the licensee and shown to any persor.

upon demand. That the licensee may not have a current copy of the

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-Code, or each of the rules of the Commission, shall not in any way

diminish the licensees obligation to abide by the Code and regula

tions.

Section 10.03 Compliance with Other Laws The construction, main

tenance and operation of any facility in which gaming activities are

to take place shall be in a manner which adequately protects the

environment and the public health and safety and shall comply with any

otherwise applicable tribal and federal laws relating to environmental

protection and public health and safety.

Section 10.04 Amendments All provisions of this gaming Cdde are

subject to amendment by the Puyallup Tribal Council. All regulations

promulgated by the Commission are subject to proper revision, repeal,

or amendment by the Commission.

Section 10.05 Severability If any provision of this Code, or its

application to any purpose or circumstance, is held invalid by a court

of competent jurisdiction, the full remainder of the provision, or the

application of the provision through another person or circumstance,

shall not be affected.

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