I

SWINOM1SI-1 INDIAN TRiBAL COMMUNITY LQ

SWINO~HSH INDIAN RESERVATION ~ /

ORDINANCE NO. 171

ORDINANCE REGULATING GAMING AND REPEALING AND SUPERSEDING

ORDINANCE NOS. 103, 104, 118, 130 and 151

WHEREAS. the Swinomish Indian Tribal Community (the Tribe) is a federally

recognized Indian Tribe organized pursuant to Section Sixteen of the Indian Reorganization Act of

1934 (25 U.S.C. § 476); and

WHEREAS, the Tribe is organized under a Constitution and Bylaws originally ratified by

the Tribe on November 16, 1935. and approved by the Secretary of the Interior on January 27,

1936. and as most recently amended and ratified by the Tribe on September 7, 1985 and approved

by the Secretary of Interior on October 22, 1985; and

~WHEREAS. the Swinomish Indian Senate (the Senate) is the duly elected governing

body of the Swinomish Indian Tribal Community and exercises governmental authority over all

lands and waters within the Swinomish Indian Reservation; and

WHEREAS, this Ordinance is hereby adopted pursuant to Article VI, Section 1(a), (k). (1),

(m) and (s) of the Swinomish Constitution; and

WHEREAS, the Code Project Staff of the Office of Tribal Attorney has edited, rearranged

and divided Ordinance Nos. 103. 104, 118, 130 and 151 into appropriate Titles, Chapters and

Subchapters; Specifically, the Staff have performed the following tasks:

(1) Edited the ordinance(s) to the extent deemed necessary or desirable, for the purpose of

modernizing and clarifying the language of such ordinance(s), but without changing the meaning of

any such ordinance.

(2) Substituted for the term this ordinance, where necessary the term section, part,

code, chapter, title, or reference to specific section or chapter numbers, as the case may

require.

(3) Corrected manifest errors in reference to other ordinances and manifest spelling, clerical

or typographical errors, additions, or omissions.

(4) Divided long sections into two or more sections and rearranging the order of sections to

insure a logical arrangement of subject matter.

(5) Changed the wording of section captions, if any, and providing captions to new chapters

and sections.

(6) Repleace gender specific terms with gender neutral terms, e.g., he and she for he;

fishers for fisherman; foreperson for foreman.

(7) Compiled and included the legislative history of all pertinent ordinances related to the

subject matter of this ordinance; and

WHEREAS, the Code Project Staff also has suggested substantive changes to Ordinance

Ordinance No.

Adopted

Page 1 of2
Nos. 103, 104. 118. 130 and 151:and

WHEREAS, the Gaming Commission has reviewed the attached Ordinance Regulating

Gaming and Repealing and Superseding Ordinance Nos. 103. 104, 118, 130 and 15 1 and

recommends its adoption by the Senate:

WHEREAS, the Senate has reviewed the suggested changes in this Ordinance and desires

to adopt this new Ordinance and to replace and supersede Ordinance Nos. 103, 104. 118. 130 and

15 I in their entirety with this new Ordinance; NOW THEREFORE,

BE IT ENACTED BY THE SWINOMISH INDIAN SENATE that the Ordinance

Regulating Gaming and Repealing and Superseding Ordinance Nos. 103, 104, 118. 130 and 151. a

copy of which is attached hereto. is hereby adopted and approved pursuant to the authority of the

Swinomish Constitution and By-laws.

3~r\ CQftJ~JN

Brian Cladoosby, Chairman

Swinomish Indian Senate

CERTIFICATION

As Secretary of the Swinomish Indian Senate, I hereby certify that the foregoing Ordinance was

approved at a Special Meeting of the Swinomish Indian Senate held on ~ 30 ,2003, at

which time a quorum was present and the resolution was passed by a vote of _~_ FOR,

0 AGAINST, and _Q~ ABSTENTIONS.

Lydia Charles, Secretary

Swinoniish Indian Senate

c:\docs\orthnaace\gcnenc7 Qrd

Superintendents approval pursuant to authorities to 209 DM 8,

Secretarys Order No. 3177,

Secretarys Order No. 3150, 10 BIAM

Bulletins 13, 14, 15 ~nd Amendments

thereto, and F~~t!:nH ?~ea Office 10

BIAM Bulletin No. u Jated Jan. 1,

Signature~U IC

=l~re No.

Date ~//~

Li

Page 2 of 2
Title 16

Gaming

Chapter

16-01 General Provisions

16-02 The Federal Act

16-03 Licenses for Key Employees and Primary Management Officials

16-04 S~inomish Gaming Commission

16-05 Swinomish Gaming Enterprise

16-06 Authorized and Prohibited Activities

16-07 Enforcement

16-08 Penalties for Violations

16-09 Repealer, Severability and Effective Date
Title 16 Gaming

Chapter 1 General Provisions

Sec.

16-01.010 Title

16-01.020 Authority

16-01.030 Purpose and Scope

16-01.040 Policy

16-01.050 Findings

16-01.060 Rules of Construction

16-01.070 Definitions

Legislative History

Enacted:

Gaming Ordinance, Ord. 103 (10/5/93), BIA (10/14/93). NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02). BIA (6/7/02), NIGC (7/17/02) (amending Ord. 103).

Ord. 118 (5/7/96), BR (5/23/96), NIGC (not required, 8/15/96) (amending Ord. 103).

Ord. 104 (11/3/93), BR (11/8/93), NIGC (11/10/93) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BIA (3/25/85).

I Ed. Note. The Indian Gaming Regulatory Act provides that the Chairman of the National Indian Gaming

Commission shall approve tribal ordinances and resolutions concerning Class 11 and Class m gaming. 25

USCA § 2710. The Chairmans approval of Ordinance 103 and Ordinance 104 was published in the Federal

Register on December 14, 1993 as is required under 25 CFR § 522.8. 58 Fed. Reg. 65406. On August 15,

1996, the NIGC Chairman determined that the amendments in Ordinance 118 did not require NIGC approval.

That decision notwithstanding, the Chairman pt!blished his approval of Ordinance 118 in the Federal Register on

June 2!, 1996. 61 Fed. Reg. 31963-02. The Chairmans approval of Ordinance 151 was published in the

Federal Register on August 26, 2002. 67 Fed. Reg. 54823-03.]

16-01.010 Title.

This Title shall be referred to as the Gaming Code.

16-01.020 Authority.

This Title is hereby enacted pursuant to Article VI (Powers of the Senate), Sections 1(a), (k), (1),

(m) and (s) of the Swinomish Constitution.

History] Ord. 103 (10/5/93).
16-01.030 Purpose and Scope.

The purposes of this Title are found to be as follows:

(A) To provide a new and continuous source of income and revenues to the Tribe in order to

provide social, cultural. and law enforcement services to members and other residents of

the Swinomish Indian Reservation.

(B) To create a control mechanism to insure the proper regulation of Class 1 and Class 111

authorized gaining activities.

(C) To provide members and guests an opportunity to participate in social games as

provided herein.

(D) To provide for the social welfare and protection of tribal members and all others who

reside within or pass through the Swinomish Indian Reservation.

(E) Except as specifically provided herein, the Swinorriish Indian Tribal Community by

enactment of this Title does not intend to authorize any form of gaming, gambling or

other wagering activity within the Swinomish Indian Reservation.

History] Ord. 103 (10/5/93).

16-01.040 Policy.

It is the policy of the Swinomish Indian Tribal Community to regulate and oversee the operation

of authorized gaming activities to the end that the Tribe is better able to provide its members

with community and social services; while at the same time, to insure that widespread gaming

is not allowed within the Swinomish Indian Reservation, and safeguard the public against the

influx of organized crime and undesirab~ persons.

History] Ord. 103 (10/5/93).

16-01.050 Findings.

The Senate makes the following findings:

(A) The Tribe is in need of developing ways and means of increasing tribal income and

revenue in order to promote the public welfare, provide for public protection through

Law Enforcement, and provide needed social, health and educational services to protect

the general welfare of its members;

(B) The generation of revenues through gaming activities for the promotion of tribal

governmental and social programs is in the Tribes interest as is participation in such

activities and social pastimes as are hereinafter authorized;
(C) Tribally owned and regulated Class II and Class III authorized gaming activities operated

under the direction of the Tribe will not lead to a proliferation of undesired gaming. or to

the influx of organized crime or other undesirable persons. but will serve the economic

needs of the Tribe: and

(D) The exercise of tribal power through this Title is necessary to protect the right of tribal

self-government and to regulate its internal relations so as to protect its political and

economic security.

History] Ord. 103 (10/5/93).

16-01.060 Rules of Construction.

Unless otherwise specifically provided:

(A) The masculine inchides the feminine;

(B) The singular includes the plural;

(C) Includes and including are not limiting; and

(D) Or is not exclusive.

History] Ord. 103 (10/5/93).

16-01.070 Definitions.

For purposes of this Title, unless otherwise expressly provided, the following definitions shall

apply:

(A) Act means the Indian Gaming Regulatoiy Act, Pub. L. 100-497, 25 U.S.C. § 2701 et

(B) Class H Gaming means Class H gaming as defined in accordance with the Act, 25 U.S.C.

§ 2703(7)(A).

(C) Class UT Gaming means Class H gaming as defined in accordance with the Act, 25

U.S.C. § 2703(8).

(D) Commission means the Swinomish Gaming Commission.

(F) Compact means the Tribal - State Compact for Class II Gaming between the Swinomish

Indian Tnl,al Community and the State of Washington, entered into on December 21,

1992, and approved by the Secretary of the Interior on February 11, 1993, in accordance

with the Act, and any duly approved amendments to such Compact.
(F) Gaming means any activity where the player stakes or risks something olvalue upon

the outcome of a contest of chance or a future contingent event not under his or her

control or influence, upon an agreement or understanding that he or she or someone else

Will receive something of value in the event of a certain outcome. but shall not include

bona tide business transactions valid under the law of contracts such as contracts for the

purchase of commodities or other items at a future date or contracts for insurance,

indemnity or guarantee to compensate unforeseeable loss, nor include traditional Indian

games played by tribal members and their guests.

(G) Gaming Business Committee or Business Committee means the body, established

pursuant to Section 16-05.020 of this Title, with responsibility for the management of

the Gaming Enterprise.

(H) Gaming Enterprise means the Swinomish Gaming Enterprise established by the Tribe

to conduct gaming operations of the Tribe on the Swinomish Indian Reservation.

(I) Gaming Facilities means any room or rooms in which Class H or Class Ill gaming is

conducted on the Swinomish Indian Reservation.

(J) National Indian Gaming Commission means the National Indian Gaming

Commission established pursuant to 25 U.S.C. § 2704.

(K) Net Revenues means gross revenues of a gaming activity less amounts paid out as. or

paid for, prizes and total operating expenses including debt service but excluding

management fees paid to a management contractor within the meaning of 25 U.S.C. §

2711 (c).

(L) Reservation means the Swinomish Indian Reservation including all Indian lands as

defined in 25 U.S.C. § 2703(4)(B).

(M) Senate or Tribal Senate means the Swinomish Indian Senate, the governing body of

the Swinomish Indian Tribal Community.

(N) State means the State of Washington.

(0) State Gaming Agency means the Washington State Gambling Commission or such

other agency as the State may establish to carry out the regulatory responsibilities of the

State under the Compact.

(P) Title means the Swinomish Indian Tribal Community Gaming Title.

(Q) Tribe means the Swinomish Indian Tribal Community, a federally recognized Indian

Tribe organized pursuant to Section Sixteen of the Indian Reorganization Act of 1934

(25 U.S.C. § 476).
ft1~stor~] Ord. 151 (4/9/02): Ord. 118(5/7/96): Ord. 104 (11/3/93): Ord. 103 (10/5/93).
TitLe 16 -

Gaming

Chapter 2 The Federal Act (IGRA)

Sec.

16-02.010 Construction to Be Consistent with the IGRA

16-02.020 Limitation on Gaming Operations

16-02.030 AppLication of Net Revenues

16-02.040 Annual Audit

16-02.050 Public Safety Standards

16-02.060 Background Investigations

16-02.070 Separate License

Legislative History

Enacted:

Gaming Ordinance. Ord. 103 (10/5/93), BLA (10/14/93), NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 104 (11/3/93), BIA (11/8/93). NIGC (11/10/93) (amending Ord. 103).

16-02.010 Construction to Be Consistent With The IGRA.

This Title shall be construed in a manner that conforms to the Indian Gaming Regulatory Act

(Act) in all respects, and if inconsistent with the Act in any manner, the provisions of the Act

shall govern.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-02.020 Limitation on Gaming Operations.

In compliance with 25 U.S.C. § 2710(b)(2)(A), the Tribe shall have sole proprietary interest and

responsibility for the conduct of any gaming activity on the Swinomish Indian Reservation;

provided, however, that nothing herein shall interfere with the exercise by any secured party of

its rights under any collateral lease, leasehold, mortgage or other financing agreement with the

Tribe to enforce its security interest in the premises on which such gaming activities may be

conducted, or to enforce its rights against gross revenues of the Tribe from its gaming activities

for the purpose of repayment of the debt obligations of the Tribe to such secured party in

accordance with the provisions of such agreements.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-02.030 Application of Net Revenues.
In compliance with 25 U.S.C. § 2710(b)(2)(B). net revenues from any gaming activity are not to

be used for purposes other than:

(A) to tiind tribal government operations or programs:

(B) to provide for the genera] welfare of the Tribe and its members;

(C) to promote tribal economic development;

(D) to donate to charitable organizations;

(E) to help hind operations of local government agencies; or

(F) to provide per capita payments to tribal members, but only upon approval of a plan by

the Secretary of Interior in accordance with 225 U.S.C. § 2710(b)(3).

History] Ord. 104(11/3/93); Ord. 103 (10/5/93).

16-02.040 Annual Audit.

In compliance with 25 U.S.C. § 27l0(b)(2)(C) and (D) and Section X.B(3) of the Compact. aU

gaming activities shall be subject to an audit by independent certified public accountants, not

less than annually, and copies of the annual audit shall be provided to the National Indian

Gaming Commission. All contracts for supplies, services, or concessions for a contract amount

in excess of $25,000 annually (except contracts for professional legal or accounting services)

relating to Class II or Class III gaming shall be subject to such audits.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-02.050 Public Safety Standards.

In compliance with 25 U.S.C. § 2710(b)(2)(E), the construction and maintenance of any gaming

facilities, and the operation of gaming activities, shall be conducted in a manner that adequately

protects the environment and the public health and safety and for that purpose shall comply

with the requirements of Section XIII of the Compact and all other applicable health, safety and

environmental standards enacted by the Tribe.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-02.060 Background Investigations.

In compliance with 25 U.S.C. § 2710(b)(2)(F):

(A) All Class III gaming employees, as defined in the Compact, including all primary

management officials and key employees of any Class H gaming enterprise, together

with such Class II gaming employees as are required by the Gaming Enterprise to secure
a tribal license and state certification, shall be subject to the state certification

requirements of the Compact as set forth in Section V of the Compact. which include

requirements for background investigations and ongoing review including annual

renewal of such tribal licenses and state certification for all gaming employees. The

Tribe shall notify the National Indian Gaming Commissioa of the results of the state

certification process for its primary management officials and key employees. The

investigation shall be conducted in accordance with the reizulations and procedures

established by the National Indian Gaming Commission 25 C.F.R. Parts 537. 556 and

558.

(B) All Class I gaming employees who are not certified by the state as gaming employees

pursuant to the Compact shall be required to obtain a license from the Commission

established pursuant to this Title. and for that purpose the Commission shall conduct

background investigations of all such employees and shall deny or revoke such licenses

for any employee whose prior activities, criminal record, if any, or reputation. habits and

associations pose a threat to the public interests 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 Commission shall notify the National

Indian Gaming Commission of the results of its background investigation for the

primary management officials and key employees of its Class H gaming operations who

are not certified by the state as gaming employees pursuant to the Compact. The

investigation shall be conducted in accordance with the regulations and procedures

established by the National Indian Gaming Commission, 25 C.F.R. Parts 537, 556 and

558.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-02.070 Separate License.

In compliance with 25 U.S.C. § 271 0(b)( 1), a separate license shall be required for each gaming

place, facility or location on the Swinomn~sh Indian Reservation.

ftlistory] Ord. 104(11/3/93); Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 3 Licenses for Key Employees and Primary Management

Officials

Sec.

16-01010 DetThitions

16-03.020 Application Forms

16-03.030 Background Investigations

16-03.040 Eligibility Determinations

16-03.050 Procedures

16-03.060 Report to the National Indian Gaming Commission

16-03.070 Granting a Gaming License

16-03.080 License Suspension

Legislative History

Enacted:

Gaming Ordinance, Ord. 103 (10/5/93), BIA (10/14/93), NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02), BJA (6/7/02), NIGC (7/17/02) (amending Ord. 103).

Ord. 118 (5/7/96), BIA (5/23/96), NIGC (not required, 8/15/96) (amending Ord. 103).

Ord. 104 (11/3/93), BIA (11/8/93), NIGC (11/10/93) (amending Ord. 103).

16-03.010 Definitions.

For the purpose of this Chapter, the following definitions apply:

(A) Key Employee means a person who performs one or more of the following functions:

(1) Bingo caller;

(2) Count room supervisor;

(3) Security manager;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit Supervisor;
(7) Dealer:

(8) Croupier:

(9) Approver of credit: and

(10) Custodian of gambling devices includin2 persons with access to cash and

accounting records within such devices.

(B) If not otherwise included, any other person whose total cash compensation is in excess

ot$50,000 per year; or

(C) If not otherwise included, the four (4) most highly compensated persons in the gaming

operation.

(D) ~Primasy Management Official means:

(I) The person having management responsibility for a management contract;

(2) Any person who has authority:

(a) to hire and fire employees; or

(b) to set up working policy for the gaming operation.

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

responsibility.

History] Ord. 118(5/7/96); Ord. 104(11/3/93); Ord. 103 (10/5/93).

16-03.020 Application Forms. ,

(A) The following notice shall be placed on the application form for a key employee or a

primary management official before that form is filled out by an applicant:

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

provided: Solicitation of the information on this form is authorized by 25

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

the eligibility of individuals to be employed in a gaming operation. The

information will be used by National Indian Gaming Commission members and

staff who have need for the information in the performance of their official

duties. The information may be disclosed to appropriate Federal, tribal, state,

local, or foreign law enforcement and regulatory agencies when relevant to civil,

criminal or regulatory investigations or prosecutions or when pursuant to a

requirement by a tribe or the National Indian Gaming Commission in connection

with the hiring or firing of an employee, the issuance or revocation of a gaming
license, or investigations of activities while associated with a tribe or a gaming

operation. Failure to consent to the disclosures indicated in this notice will

result in a tribes being unable to hire you in a primary managenient official or

key employee position.

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

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

(B) Existing key employees and primaiy management officials shall be notified in writing

that they shall either:

(1) Complete a new application form that contains a Privacy Act notice: or

(2) Sign a statement that contains the Privacy Act notice and consent to the routine

uses described in that notice.

(C) The following notice shall be placed on the application form for a key employee or a

primary official before that form is filled out by an applicant.

A false statement on any part of your application may be grounds for not hiring you. or

for firing you after you begin work. Also, you may be punished by fine or

imprisonment. (18 U.S.C. § 1001.)

(D) The Tribe shall notify in writing existing key employees and primary management

officials that they shall either:

(1) Complete a new application form that contains a notice regarding false

statements; or

(2) Sign a statement that contains the notice regarding false statements.

History] Ord. 103 (10/5/93).

16-03.030 Background Investigations.

(A) The Tribe shall request from each primary management official and from each key

employee all of the following information:

(1) Full name, other names used (spoken or written), social security number(s), date

of birth~, place of birth, citizenship, gender, all languages (spoken or written);

(2) Currently and for the previous five (5) years: business and employment positions

held, ownership interests in those businesses, business and residence addresses,

and drivers license numbers;

(3) The names and current addresses of at least three (3) personal references,
including one (I) personal reference who was acquainted with the applicant

during each period of residence listed under Section 16-03.030(A)(2):

(4) Current business and residence telephone numbers:

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

tribes, including ownership interests in those businesses:

(6) A description of any existing and previous business relationships with the

gaming indusuy generally, including ownership interests in those businesses:

(7) The name and address of any licensing or regulatory agency with which the

person has filed an application for a license or permit related to gaming, whether

or not such license or permit was granted;

(8) For each felony for which there is an ongoing prosecution or a conviction, the

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

if any;

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution

(excluding minor traffic violations), within ten (10) years of the date of the

application, the name and address of the court involved and the date and

disposition;

(10) For each criminal charge (excluding minor traffic charges), whether or not there

is a conviction, if such criminal charge is within ten (10) years of the date of the

application and is not otherwise listed pursuant to Section 16-03.030(A)(9), the

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

disposition;

(11) The name and address oçany licensing or regulatory agency with which the

person has filed an application for an occupational license or permit, whether or

not such license or permit was granted;

(12) A current photograph;

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

(14) Fingerprints consistent with procedures adopted by the Tribe according to 25

C.F.R. § 522.2(h).

(B) The Tribe shall conduct an investigation sufficient to make a determination under

Section 16-03.040 below. In conducting a background investigation, the Tribe or its

agent shall promise to keep confidential the identity of each person interviewed in the

course of the investigation.
History] Ord. 103 (10/5/93).

16-03.040 Eligibility Determination.

The Tribe shall review a persons prior activities, criminal record, if any. and reputation, habits

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

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

employment of the person poses a threat to the public interest or to the effective regulation of

gaming. or creates or enhances dangers of unsuitable, unfair, or illegal practices and methods

and activities in the conduct of gaming, a tribal gaming operation shall not employ that person

in a key employee or primary management official position.

History] Ord. 103 (10/5/93).

16-03.050 Procedures.

Procedures for forwarding applications and reports for Key Employees and Primary

Management Officials to the National Indian Gaming Commission:

(A) When a key employee or primary management official begins work at a gaming

operation authorized by this Title, the Tribe shall forward to the National Indian

Gaming Commission a completed application for employment and conduct the

background investigation provided for in Section 16-03.030.

(B) The Tribe shall forward the report referred to in Section 16-03.060 to the National

Indian Gaming Commission within sixty (60) days afler an employee begins work or

within sixty (60) days of the approval of this Title by the Chairman of the National

Indian Gaming Commission.

(C) The gaming operation shall not employ as a key employee or primary management

official a person who does not h;ve a license after ninety (90) days.

History] Ord. 151 (4/9/02); Ord. 103 (10/5/93).

16-03.060 Report to the National Indian Gaming Commission.

(A) Pursuant to the procedures set out in Section 16-03.050, the Tribe shall prepare and

forward to the National Indian Gaming Commission an investigative report on each

background investigation. An investigative report shall include all of the following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

(3) Conclusions reached; and
(4) The basis for those conclusions.

(B) The Tribe shall submit, with the report. a copy of the eligibility determination made

under Subsection 16-03.040 of this Section.

(C) If a license is not issued to an applicant, the Tribe:

(1) Shall notify the National indian Gaming Commission; and

(2) May forward copies of its eligibility determination and investigative report (if

any) to the National Indian Gaming Commission for inclusion in the Indian

Gaming Individuals Records System.

(D) With respect to key employees and primary management officials, the Tribe shall retain

applications for employment and reports (if any) of background investigations for

inspection by the Chairman of the National Indian Gaming Commission or his or her

designee for no less than three (3) years from the date of termination of employment.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-03.070 Granting a Gaming License.

(A) If, within a thirty (30) day period after the National Indian Gaming Commission

receives a report, the National Indian Gaming Commission notifies the tribe that it has

no objection to the issuance of a license pursuant to a license application filed by a key

employee or a primary management official for whom the tribe has provided an

application and investigative report to the National Indian Gaming Commission, the

Tribe may issue a license to such applicant.

(B) The Tribe shall respond to a request for additional information from the Chairman of

the National Indian Gaming Cor~mission concerning a key employee or a primary

management official who is the subject of a report. Such a request shall suspend the

thirty (30) day period under Section 16-03.070(A) until the Chairman of the National

Indian Gaming Commission receives the additional information.

(C) If, within the thirty (30) day period described above, the National Indian Gaming

Commission provides the Tribe with a statement itemizing objections to the issuance of

a license to a key employee or to a primary management official for whom the Tribe has

provided an application and investigative report to the National Indian Gaming

Commission, the Tribe shall reconsider the application, taking into account the

objections itemized by the National Indian Gaming Commission.

History] Ord. 103 (10/5/93).

16-03.080 License Suspension.
(A) It. after the issuance ota gaming license, the Tribe receives from the National Indian

Gaming Commission reliable information indicatin2 that a key employee or a pnmary

management official is not eligible for employment under Section 16-03.040. the Tribe

shall suspend such license and shall notify in writin2 the licensee of the suspension and

proposed revocation.

(B) The Tribe shall notify the licensee of a time and a place for a hearing on the proposed

revocation of a license.

(C) After a revocation hearing, the Tribe shall decide to revoke or to reinstate a gaming

license. The Tribe shall notify the National Indian Gaming Commission of its decision.

History] Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 4 Swinomish Gaming Commission

Sec.

I 6-04.010 Establishment

16-04.020 Powers

Legislative History

Enacted:

Gaming Ordinance, Ord. 103 (10/5/93), BR (10/14/93), NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151(4/9/02), BIA (6/7/02). NIGC (7/17/02) (amending Ord. 103).

Ord. 130 (12/1/98), BR (1125/99), NIGC (3/10/99) (amending Ord. 103).

Ord. 118 (5/7/96). BR (5/23/96), NIGC (not required, 8/15/96) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BIA (3/25/85).

16-04.010 Establishment.

There is hereby established a Swinomish Gaming Commission~ which shall be made up of at

least five (5) members and one (1) or more alternates who shall be appointed by the Senate.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).

16-04.020 Powers.

The Swinomish Gaming Commission:

(A) Shall administer this Title, by exercising general control over all games and activities

authorized or prohibited by this Title, as well as all powers necessaiy to accomplish the

purposes of this Title;

(B) Shall adopt and enforce rules and regulations in furtherance of the purposes of this Title

and the performance of its administrative functions;

(C) May investigate any aspect of the operations of the Gaming Enterprise in order to

protect the public interest in the integrity of such gaming activities and to prevent

improper or unlawful conduct in the course of such gaming activities, and shall

investigate any report of a failure of the Gaming Enterprise to comply with the

provisions of the Compact or this Title and may require the Gaming Enterprise to take
any corrective action deemed necessary by the Commission upon such terms and

conditions as the Commission may determine appropriate:

(D) May compel any person employed by or doing business with the Gaming Enterprise to

appear before it and to provide such information, documents or other materials as may

be in their possession to assist in any investigation;

(E) Shall carry out each of the responsibilities and duties set forth for the tribal gaming

agency in the Compact and in the Standards of Operation and Management;

(F) Shall prepare a plan for the protection of public safety and the physical security of

patrons in each of its gaming facilities, setting forth the respective responsibilities of the

commission, the security department of the Gaming Enterprise. the Tribal Police

Department, and any other local law enforcement agency;

(G) Shall review and approve floor plans and surveillance systems for each gaming facility

and shall confer with the State gaming agency regarding the adequacy of such plans and

systems;

(H) Shall establish and revise Standards of Operation and Management for Class Ill gaming

activities in accordance with the Compact;

(I) May issue licenses for key employees and primary management officials in accordance

with Chapter 16-03;

(J) May issue licenses for other Class H and Class m gaming employees, and for other

employees of the Gaming Enterprise, in accordance with Commission rules and

regulations, and, to the extent applicable, in accordance with the requirements of the

Compact;

(K) May suspend and revoke 1icense~ in accordance with Chapter 16-07;

(L) May issue and revoke vendor licenses to any persons or entities providing goods or

services to the Gaming Enterprise. No person or entity required by the Act, the

Compact, or the Cornrnissionts rules and regulations to have such vendor licenses shall

transact business with the Gaming Enterprise without a valid vendor license issued by

the Commission;

(M) May conduct such investigations into applicants for vendor licenses as it deems

necessary or appropriate;

(N) Shall establish a list of persons barred from the gaming facilities by the Gaming

Commission or the Gaming Enterprise, and may bar from the gaming facilities any

person whose presence may pose a threat to public health, public safety, the integrity of

gaming, or the assets of the Gaming Enterprise;
(0) Shall approve the rules olall games of chance operated by the Tribe pursuant to Section

II of the Compact and shall, in accordance with the provisions of the Compact. notit3i

the State Gaming agency of such rules and of any change in such rules:

(P) May impose penalties andlor fines for violations of this Title, the Compact,

Commission rules and re2ulations, or the Standards of Operation and Management in

accordance with Chapter 16-07 through Chapter 16-08 of this Title;

(Q) May in the name of the Tribe bring any civil action or criminal complaint in the courts

of the Tribe, the State or the United States to enforce the provisions of this Title or to

enjoin or otherwise prevent any violation of this Title, the Act, the Compact, or

Commission rules and re~rulations, occurring on the Swinomish Indian Reservation;

(R) May receive any complaint from an employee of the Gaming Enterprise or any member

of the public who is or claims to be adversely affected by an act or omission of the

Gaming Enterprise that is asserted to violate this Title, the Compact, or the Standards of

Management and Operation adopted pursuant to this Title, and may for this purpose, in

its sole discretion, conduct a hearing and receive evidence with regard to such complaint

if it deems an evidentiary proceeding useful in the resolution of such complaint and may

upon consideration of such complaint order such remedial action as it deems

appropriate to bring the Gaming Enterprise into compliance with such provisions;

(S) May adopt an annual operating budget, which shall be subject to the approval of the

Senate, and may in accordance with said budget employ such staff from time to time as

it deems necessary to fulfill its responsibilities under this Title, and may retain legal

counsel and other professional services including investigative services to assist the

Commission with respect to any issues over which the Commission exercises

jurisdiction. The expenses of the Commission in accordance with such budget shall be

assessed against the Gaming Enterprise and the Gaming Enterprise sball pay such

assessments to the Tribe;

(T) Shall adopt and enforce minimum internal control standards for all Class II and Class Ill

gaming; and

(U) May issue and revoke the license required by Section 16-02.070 for each gaming place,

facility or location on the Swinomish Indian Reservation.

History] Ord. 151(4/9/02); Ord. 130 (12/1/98); Ord. 118 (5/7/96); Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 5 Swinomish Gaming Enterprise

Sec.

16-05.010 Establishment

16-05.020 Gaming Business Committee

16-05.030 Records

Legislative History

Enacted:

Gaming Ordinance. Ord. 103 (10/5/93), BIA (10/14/93). NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02), BR (6/7/02), NIGC (7/i 7/02) (amending Ord. 103).

Ord. 118 (5/7/96), BR (5/23/96), N1GC (not required, 8/15/96) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BR (3/25/85).

16-05.010 Establishment.

The Swinomish Gaming Enterprise is hereby established as a subordinate economic enterprise

and subdivision of the Swinomish Indian Tribal Community tribal government.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).

16-05.020 Gaming Business Committee.

There is hereby established a Gaming Business Committee, which shall be made up of at least

four (4) members who shall be appointed by the Senate. A majority of the members shall

constitute a quorum. Action shall be taken by a majority vote of the Business Committee

members present and voting. The Business Committee shall have the following powers and

duties:

(A) Management. To manage the Swinoniish Gaming Enterprise for the benefit of the

Tribe and to be responsible directly to the Senate.

(B) Reports. To oversee the operation of all gaming activities regulated by the Gaming

Enterprise and to make regular reports to the Senate at least once every two (2) months

on the operation and financial status of each separate activity.

(C) Bank Accounts. To maintain, under the supervision and subject to the authority of the
Tribal Treasurer. a separate account for each bingo operation. and at least one other

separate account for revenues from all other gaming activities authorized by this Title.

(D) Records. To keep written records accounting for all monies received from and

expended upon the operation of all gaming activities conducted by the Gaming

Enterprise. The Senate may require the Gaming Enterprise to produce these records for

inspection without prior notice.

(E) Inspection. To inspect during business hours all premises at which any activity

authorized by this Title takes place including vehicles used in connection therewith.

(F) Books. To inspect, examine, and copy all books and records related to any gaming

activities conducted by the Gaming Enterprise. Such inspection may be carried out by a

Business Committee member or by an agent, tribal employee, attorney, or independent

certified public accountant acting on behalf of the Business Committee.

History] Ord. 151 (4/9/02); Ord. 118(5/7/96); Ord. 103 (10/5/93).

16-05.030 Records.

All official records of the Swinomish Gaming Enterprise and the Gaming Business Committee

shall be kept in the offices of the Gaming Enterprise and the Swinomish Indian Tribal

Community.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 6 Authorized and Prohibited Activities

Sec.

16-06.010 Tribe: Authorized Activities

16-06.020 Organizations

16-06.030 Washington State Lottery Sales

16-06.040 Prohibited Activities

16-06.050 Traditional Games

Legislative History

Enacted:

Gaming Ordinance. Ord. 103 (10/5/93), BIA (10/14/93), NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02), BIA (6/7/02), NIGC (7/17/02) (amending Ord. 103).

Ord. 104 (11/3/93), BIA (11/8/93), NIGC (11/10/93) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BR (3/25/85).

Authorization of Certain Gambling Activities, Res. 80-6-730 (6/24/80).

16-06.010 Tribe; Authorized Activities.

(A) The Swinomish Indian Tribai Community may conduct any Class II gaming activity

authorized by the Commission consistent with the provisions of this Title and the Act.

(B) The Swinomish Indian Tribal Community may conduct any Class ifi gaming activity

authorized by the Commission consistent with the provisions of this Title, the Act and

the Compact.

History] Ord. 104 (11/3/93); Ord. 103 (10/5/93).

16-06.020 Organizations.

The Senate may authorize tribal departments, political subdivisions or subordinate charitable

organizations of the Tribe to operate raffles. Such operation shall be consistent with this Title,

and any special conditions imposed by the Senate. The Senate shall determine by resolution

which tribal agencies, departments or political subdivisions qualify under this Section.

History] Ord. 103 (10/5/93).
S.

16-06.030 Washington State Lottery Sales.

The Senate may authorize entities of the Tribe to be Washington State Lotter vendors.

Washington State Lotterv sales on the Swinomish Indian Reservation shall be conducted in

contbrmance with the Compact and such rules and regulations as the Swiriomish Gaming

Commission may prescribe.

History] Ord. 151 (4/9/02).

16-06.040 Prohibited Activities.

Except as stated herein, no person is authorized by this Title to operate any gaming activity

within the Swinomish Indian Reservation.

History] Ord. 103 (10/5/93).

16-06.050 Traditional Games.

Traditional Indian games played by tribal members and their guests shall not constitute gaming

within the meaning of this Title.

History] Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 7 Enforcement

Sec.

16-07.010 Commission Agents

16-07.020 Inspection

16-07.030 Failure to Cooperate

16-07.040 Citations and Other Enforcement Actions

16-07.050 Removal

16-07.060 Permit and License Suspension and Revocation

Legislative History

Enacted:

Gaming Ordinance, Ord. 103 (10/5/93), BR (10/14/93), NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02), BR (6/7/02), NIGC (7/17/02) (amending Ord. 103).

Ord. 118 (5/7/96), BR (5/23/96), NIGC (not required, 8/15/96) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BR (3/25/85).

16-07.010 Commission Agents.

All provisions of this Title, and any regulations that may be promulgated pursuant thereto, shall

be enforced by agents commissioned by the Swinomish Gaming Commission.

History] Ord. 103 (10/5/93).

16-07.020 Inspection.

Any premises within the Swinomish Indian Reservation where gaming is conducted shall be

subject to inspection by the Commission and its agents.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).

16-07.030 Failure to Cooperate.

Failure to cooperate with the Commission or a Commission agent who is engaged in the

enforcement of this Title shall be a violation of this Title and shall be grounds for revocation of

any permit or license issued hereunder.
Historvj Ord. 118(5/7/96): Ord. 103 (10/5/93).

16-07.040 Citations and Other Enforcement Actions.

When a Commission agent has probable cause to believe that a violation of this Title, the

Compact. or the rules and regulations of the Commission is taking place or has taken place. the

agent shall issue the person or persons involved a civil citation and/or take other appropriate

enforcement action, including but not limited to license or permit suspension pursuant to

Section 16-07.060. If the person found to be in violation is not present, the citation shall be

served on the operator or employee present. Civil Citations shall require that the cited person

appear before the Swinomish Gaming Commission, which may, after a hearing is conducted

pursuant to Commission rule, impose the civil remedies provided for in Section 16-08.050.

The Commission may. in addition to or in the alternative, refer appropriate matters for criminal

prosecution in Tribal Court under Chapter 16-08, or, where there has been a violation of state or

federal law, refer such matters to the appropriate non-tribal law enforcement agency.

History] Ord. 151 (4/9/02); Ord. 118(5/7/96); Ord. 103 (10/5/93).

16-07.050 Removal.

A Commission agent may remove from a gaming facility any person subject to citation pursuant

to Section 16-07.040 or subject to license or permit suspension pursuant to Section 16-07.060

whenever the circumstances of the violation lead the agent to believe that continuation of the

activity poses a threat to public safety, the integrity of gaming, or the assets of the Gaming

Enterprise.

History] Ord. 151 (4/9/02); Ord. 103 (10/5/93).

16-07.060 Permit and License Suspension and Revocation.

(A) When a Commission agent has p;obable cause to believe that a violation of this Title,

the Compact, or the rules and regulations of the Commission is taking place or has

taken place, and the violation poses an immediate threat to public safety, the integrity of

gaming, or the assets of the Gaming Enterprise, the Tribe or a member of the public, the

agent may immediately suspend any Commission license or permit issued to the person

responsible for the violation.

(B) The Commission may, after notice to the person involved and an opportunity for a

hearing, revoke, suspend, or impose conditions upon any Commission license or permit

whenever necessary to enforce the provisions of the Act, the Compact, this Title, or

Commission rules and regulations.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 8 Penalties for Violations

Sec.

16-08.0 10 Criminal Offenses

16-08.020 Separate Offenses

16-08.030 Permit

16-08.040 Tribal Court

16-08.050 Civil Remedies

16-08.060 Violations

Legislative History

Enacted:

Gaming Ordinance, Ord. 103 (10/5/93), BIA (10/14/93), N1GC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02). BIA (6/7/02), NIGC (7/17/02) (amending Ord. 103).

Ord. 118 (5/7/96), BR (5/23/96), NIGC (not required, 8/15/96) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BR (3/25/85).

16-08.010 Criminal Offenses.

Any person, operator, player, permittee or employee of the Tribe who violates any provision of

this Title or any regulation adopted hereunder, and who is subject to the criminal jurisdiction of

the Swinomish Tribal Court, shall be gui1ty of a criminal offense and shall be subject to a fine

of up to five thousand dollars ($5,000.00) or imprisonment of not to exceed twelve (12)

months, or both, as well as the cost of prosecution.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).

16-08.020 Separate Offenses.

Each day that a violation continues shall be considered a separate offense for the purposes of

this Title.

History] Ord. 103 (10/5/93).

16-08.030 Permit.

If the Swinomish Tribal Court finds that a permittee or licensee has violated any part of this
Title, the Court shall order that any then valid permits or licenses be revoLed.

History] Ord. 118(5/7/96): Ord. 103 (10/5/93).

16-08.040 Tribal Court.

The Swinomish Gaming Commission and the Swinomish Tribal Court shall have exclusive

jurisdiction over any controversies arising under this Title. The Tribal Court shall have

exclusivejurisdiction to enforce Sections 16-08.0 10 through 16-08.030.

History] Ord. 15 1 (4/9/02); Ord. 118 (5/7/96); Ord. 103 (10/5/93).

16-08.050 Civil Remedies.

Any person who violates any provision of this Title, including any provision of the Compact

incorporated herein, or any Commission rule or regulation adopted pursuant to this Title, shall

be subject to civil penalties including exclusion from employment by any tribal gaming

enterprise, exclusion from attendance at any tribal gaming facility, exclusion from the

Swinomish Indian Reservation, the payment of restitution, and a monetaiy penalty of up to

$5,000.00 for each such violation. Each day that a violation continues shall be considered a

separate violation for the purposes of this section. The Gaming Commission shall have the

authority to impose such penalties on any person within the civil jurisdiction of the Tribe. The

Commission is hereby authorized to pursue civil remedies against violators in tribal, state, and

federal court.

History] Ord. 118 (5/7/96); Ord. 103 (10/5/93).

16-08.060 Violations.

It shall be a violation of this Title for any person to:

(A) Conduct or participate in any Class H or Class ifi gaming operation on the Swinomish

Indian Reservation except as authorized by this Title.

(B) Receive, distribute, apply, or divert any property, funds, proceeds or other assets of the

Gaming Enterprise to the benefit of any individual or any other person except as

authorized by this Title and approved by the Business Committee in the ordinary course

of business.

(C) Tamper with any equipment used in the conduct of tribal gaming operations with the

intent to cause any person to win or lose any wager other than in accord with the

publicly announced rules of such gaming operations.

(D) Do any other act in connection with the conduct of the tribal gaming operations with the

intent to affect the outcome of any wager other than in accord with the publicly

announced rules of such gaming operations.
(E) To participate as a player in any regular public bingo game. any lottery, any pari-mutuel

wager, or game of chance authorized pursuant to Chapter 16-06, conducted by the

Tribe, while such person is: (1) a member of the Gaming Commission: (2) a member of

the Business Committee; (3) an employee of the Gaming Commissiom or (4) an

employee of the Gaming Enterprise unless the employee of the Gaining Enterprises

participation is authorized by the rules and regulations of the Gaming Commission.

History] Ord. 151(4/9/02); Ord. 118 (5/7/96); Ord. 103 (10/5/93).
Title 16 -

Gaming

Chapter 9 Repealer, Severability and Effective Date

Sec.

16-09.010 Repealer

16-09.020 Severability

16-09.030 Effective Date

Legislative History

Enacted:

Gaming Ordinance. Ord. 103 (10/5/93). BIA (10/14/93). NIGC (11/10/93) (repealing

Ord. 50).

Amended:

Ord. 151 (4/9/02), BR (6/7/02), NIGC (7/17/02) (amending Ord. 103).

Ord. 130 (12/1/98), BR (1/25/99), NIGC (3/10/99) (amending Ord. 103).

Ord. 118 (5/7/96), BR (5/23/96), NIGC (not required, 8/15/96) (amending Ord. 103).

Ord. 104 (11/3/93), BR (11/8/93), NTGC (11/10/93) (amending Ord. 103).

Repealed or Superseded:

Gaming Ordinance, Ord. 50 (3/5/85), Enacting Res. 85-3-13, BR (3/25/85).

16-09.010 RepeaLer.

Ordinance Nos. 103, 104, 118, 130 and 151 are hereby repealed and superseded.

16-09.020 Severability.

Invalidation of any clause, paragraph, or part of this Title or any application thereof shall in no

way affect any other clause, paragraph or part thereof, or their application to other persons or

circumstances, but such other clauses, paragraphs and parts shall remain in full force and effect.

History] Ord. 103 (10/5/93).

16-09.030 Effective Date.

This Title shall be effective upon approval by the Secretary of the Department of the Interior, or

the Secretarys designee, and upon approval by the Chairman of the NJGC.

History] Ord. 151 (4/9/02); Ord. 130 (12/1/98); Ord. 118(5/7/96); Ord. 104(11/3/93); Ord.

103 (10/5/93).