OMMISSION 

Henry Cagey, Chairman 

Lummi Indian Business council 

2616 ~wina Road 

Bellingham,. Washington 98226-9298 

Dear Chairman Cagey: 

This letter responds to your request to review and approve 

the tribal gaming ordinance adopted by the Lummi Indian Business 

Council (the Tribe) on August 23, 1994. This letter constitutes 

such approval under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian 

Gaming commission (NIGC), the Chairman is directed to review 

ordinances with respect to the requirements of the IGRA and the 

implementing regulations. Thus, the scope of the Chairman's 

review and approval is limited to the requirements of the IGRA 

and the NIGC regulations. Provisions other than those required 

under the IGRA or the NIGC regulations that may be included in a 

tribal ordinance are not subject to review and approval. Such 

approval does not constitute approval of specific games. 

Therefore, approval does not extend to approval of "pull tab1@ as 

defined in the ordinance at S II(I), page 2. Also, the gaming 

ordinance is approved for gaming only on Indian lands as defined 

in the IGRA. 

With the Chairman's approval of the Tribe's gaming 

ordinance, the Tribe is now required to conduct background 

investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application 

for each key employee and primary management official pursuant to 

25 C.F.R. $ 556.5(a) and an investigative report on each 

background investigation before issuing a license to a key 

employee or primary management official pursuant to 25 C.F.R. 

§ 556.5(b). 

Thank you for submitting the ordinance of the Lummi Indian ' Business council for review and approval. The NIGC staff and I 

look forward to working with you and the Tribe in implementing 

the IGRA. 

Sincerely yours, 

Anthony J. Hope 

Chairman 

1850 M STREET. N W. SUITE 250 WASHINGTON. DC 20036 TEL 202-632.7003 FAX 202.632.7066 - 
LUMMI INDIAN BUSINESS COUNCIL 

2616 KWlNA RD. BELLINGHAM, WASHINGTON 98226-9298 (206) 734-8180 

DEPARTMENT: EXT. - 

RESOLUTION #94-I36 OF THE LUMMI INDIAN BUSINESS COUNCIL 

WHEREAS, the Lummi lndian Business Council is the duly constituted governing body 

of the Lummi lndian Reservation by the authority of the Constitution and By-Laws of the 

Lummi Nation of the Lummi Reservation, Washington, as approved on April 10, 1970, 

by the Assistant Commissioner of lndian Affairs; and 

WHEREAS, the Lummi lndian Business Council has previously adopted and subsequently 

amended the Lummi Gaming Ordinance No. 0-82-1; and 

WHEREAS, the lndian Gaming Regulatory Act of 1988 requires the National lndian 

Gaming Commission's review and approval of the tribes Gaming Ordinance; and 

WHEREAS, the Lummi Gaming Ordinance was submitted to the National lndian Gaming 

Commission and the National lndian Gaming Commission requires certain additions and 

modifications to the Lummi Gaming Ordinance to comply with the lndian Gaming 

Regulatory Act; and 

NOW THEREFORE BE IT RESOLVED, that the attached Lummi Gaming Ordinance, 

which incorporates the provisions required by the Indian Gaming Regulatory Act and 

National lndian Gaming Commission, is approved; and 

BE IT FURTHER RESOLVED, that the Lummi Gambling Ordinance No. 0-82-1, and all 

amendments thereto, are hereby repealed; and 

BE IT FURTHER RESOLVED, that the Chairman (or the Vice Chairman in his absence) 

is hereby authorized and directed to execute this resolution and any documents 

connected therewith, and the Secretary (or the Recording Secretary in his absence) is 

authorized and directed to execute the following certification. 

LUMMI INDIAN NATION 

~ahry M. C@Y, Chair &.- 

Lummi Indian Busin s 
CERTIFICATION 

adopted by a vote of 

Lummi Indian Business Council 

I ce"tythat~co;~t copyof a "ument 

in the possrsr~ as of this date 

Dated; 

Name print&l\ 

3~dai,~intmont expires .A 

STATE d -TON 

COUNWWWTCOU 

l~MNDb8b~Yd~apDId8 

-hhc-d-- 
CERTIFICATION 

As Secretary of the Lummi Indian Business Council, I hereby certify that the above 

Resolution 94-136 was adopted at a meeting of the Council held on the 

day of August, 1994, at which time a quorum of was present, and was 

adopted by a vote of For, Against, and Abstention(s). 

William Jones, Acting Secretary 

Lummi Indian Business Council 

To be ratified ,,? 

OFFICE of the Alacmmr 

WMMI NATlON 

STATE d WASHINGTON 

COUNTY OF WHATCOM 

IcuWyOPLthtrbabwsndcanOcOWd~ 

&cwnmmhOr-dLrrmO1 
RESOLUTION NO. 94-2 OF THE LUMMI INDIAN GAMING COMMISSION 

Whereas, the Lummi Indian Business Council is the duly constituted governing body of the Lummi 

Indian Reservation by the authority of the Constitution and By-Laws if the Lumrni Nation of the 

Lummi Reservation, Washington as approved on April 10, 1970, by the Assistant Commissioner 

ofIndian Mairs: and 

Whereas, the Lumrni Indian Business Council created the Lummi Indian Gaming Commission to 

regulate all gaming activities on the Lummi Indian Reservation: and 

Whereas, the Lummi Indian Gaming Commission has adopted the Lummi Indian Gaming Ordinance 

No. 82-1 as amended; and 

*\ 

Whereas, the Lummi Indian Gaming Commission shall update Ordinance No. 82- 1 to comply with 

N.I.G.C. 

NOW THEREFORE BE IT RESOLVED that the Lummi Indian Gaming Commission hereby 

revised Ordinance # 82-1 to comply with N.I.G.C. 

LUMMI INDIAN GAMING COMMISSION 

Larry G. wey, Chairman 

CERTIFICATION 

As Administrator of the Lummi Indian Gaming Commission, I hereby cert@ that the above 

Resolution # 94-2 was adopted at a SpeciaVRegular meeting of the Commission held on the 1 

day of f?- , 1994 at which time a quorum of 7 was present, and was adopted by a vote 

of 3 FOR, AGAINST, and 6 BSTENTION(S) 

STATE OF WAS INGTO%eG 

COUNTY OF ,>Lz-,t- 1 1 : us and dm+ rnrw !k%&%~ 

My appointment expires 
SECTION I . LEGISLATIVE FINDINGS AND DECLARATION OF POLICY .................................................. 1 

SECTION I1 . DEFINITIONS ..................................................................................................................................... 1 

SECTION I11 . GAMBLING PROHIBITED EXCEPT AS AUTHORIZED .......................................................... 3 

SECTION IV . AUTHORIZED GAMBLING ACTIVITIES ................................................................................... 3 

SECTION V . OWNERSHIP OF GAMING FACILITIES AND/OR ENTERPRISES ......................................... 4 

SECTION VI . USE OF GA~NG REVENUE ......................................................................................................... 4 

SECTION V11 . AUDIT ................................................................................................................................................ 4 

SECTION VIII . PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND SAFETY ........... 5 

SECTION IX . LUMMI INDIAN GAMING COMMISSION CREATED .............................................................. 5 

SECTION X . DESIGNATION OF AN AGENT BY A TRIBE ................................................................................ 7 

SECTION XI . LICENSES FOR KEY EMPLOYEES. PRIMARY MANAGEMENT OFFICIALS. AND 

STANDARD EMPLOYEES ....................................................................................................................................... 7 

SECTION XI1 . LICENSING OF GAMING PLACES. FACILITIES AND LOCATIONS .............................. 13 

SECTION XI11 . DAYS AND TIMES OF OPERATION ....................................................................................... 13 

SECTION XIV . MINORS PROHIBITED ............................................................................................................... 13 

SECTION XV . MISCELLANEOUS RULES AND REGULATIONS .................................................................. 13 

SECTION XVI . CUSTOMER DISPUTES .............................................................................................................. 15 

SECTION XVII . TRADITIONAL GAMES EXEMPTED .................................................................................... 17 

SECTION XVIII . CONSTRUCTION ...................................................................................................................... 17 

SECTION XIX . SEVERABILITY ........................................................................................................................... 17 

SECTION XX . REPEAL ........................................................................................................................................... 17 

Proposed Amendments 7/28/94 
Section I. LEGISLATIVE FINDINGS AND DECLARATION OF POLICY 

The Lummi Indian Business Council (LIBC), the governing body of the Lummi Indian Tribe, 

hereby finds and declares that the economic, educational, social, health, and general 

governmental welfare of the Lummi Indian Tribe and the Lummi people is threatened due to lack 

of adequate sources of governmental financing. 

The LIBC mher finds that governmental units have traditionally relied upon revenues from 

various types of gambling including but not limited to lotteries, horse racing, card games, bingo, 

punch boards, and pull tabs to support necessary governmental services. 

The LIBC further finds and declares that the existence of unregulated gambling activities within 

a given area may be an inducement to criminal activity. 

In light of these findings, the LIBC declares that strict tribal control over all gambling operations 

and activities on the Lummi Indian Reservation is both necessary and desirable to minimize the 

potential adverse effects of gambling on the Lummi Reservation and its people and to maximize 

the production of governmental revenues for the benefit of the tribe and its people. 

Section II. DEFINITIONS 

As used in this Ordinance, the following terms shall have the following meaning unless the 

context clearly requires otherwise: 

A) "Bingo" shall mean and refer to the activity commonly known as Bingo and all other 

similarly organized and played games wherein the participants pay a sum of money for the 

use or benefit of one or more pre-numbered cards. When the game commences, numbers 

are drawn by chance, one by one, and announced to the players until a participant or player 

announces that he has matched up on his pre-numbered purchased card enough randomly 

drawn numbers to complete the desired winning pattern of numbers. At this time, the 

participant calls out "Bingo" or such other desired word or phrase and is declared the winner 

of a pre-determined prize. 

B) "Bingo Cards" shall mean and refer to the flat, usually rectangular piece of paper or thin 

paste board, or a computerized or electronic equivalent thereof, normally employed by 

players engaged in the game of Bingo. More than one set of Bingo numbers may be printed 

on any single piece of paper. Only cards printed or authorized by the Lummi Indian 

Gaming Commission shall be used in any Bingo activities authorized under this Ordinance, 

and all printed cards shall bear the logo of the Lurnmi Indian Tribe. 

C) "Blackjack" shall mean the card game commonly known as blackjack or 21 in which the 

participants endeavor to draw or receive cards totaling not more than 21 points based upon 

values assigned to the face of the cards. 

D) "Contractor" shall mean and refer to any management contractor employed by the Lurnrni 

Indian Tribe to conduct any gambling operations authorized by this Ordinance. 

Lummi Gaming Ordinance Page 1 
E) "Gambling" shall mean engaging in an activity whereby a person stakes or risks something 

of value upon the outcome of chance or a future contingent event not under his control or 

influence, upon an agreement or understanding that he or someone else will receive 

something of value in the event of a certain outcome. 

F) "Player" shall mean a person who participates in a game other than as an employee or 

contractor of the house. 

G) "Poker" shall mean any of the various round card games in which the participants play 

against each other and attempt to achieve the highest ranking hand according to the rules of 

that particular type of game. 

H) "Private Social Game" shall mean any card game which constitutes gambling and which 

contains each of the following characteristics: 

(1) All participants in the game are players; 

(2) The players' success at winning money or any other thing of value by overcoming 

chance is, in the long-run, largely determined by the skill of the player; 

(3) No organization, corporation, person, or other entity collects or obtains or charges any 

percentage or portion of the money or thing of value wagered or won by any of the 

players; provided, however that this subsection shall not preclude a player from 

collecting or obtaining his or her winnings; 

(4) No organization, corporation, entity or person collects or obtains any money or thing of 

value from, or charges imposed any fee upon, any person which either enables him or 

her to play or results in or from his or her play; 

(5) The game is played on private property and is not open to members of the general 

public. 

I) "Pull Tab" is a game the essential elements of which are that participants purchase a chance 

or chances to win one of a fixed number of predetermined and announced prizes from 

among a fixed, predetermined and finite pool of like chances, such that the drawing of a 

chance from the pool reduces by one the chances remaining to be drawn, and the winning of 

a particular prize removes that prize from play until the pool of chances is exhausted or the 

game otherwise is withdrawn from play. Prizes are won by drawing chances displaying 

either numbers or symbols matching the winning combinations displayed on the game 

"flare" card. The game may be played using preprinted tickets made of single-folded or 

banded paper, laminated paste-board or printed tickets the faces of which are covered with a 

perforated paper strip or otherwise completely obscured to as to conceal from the view of 

players and operators the numbers or symbols printed thereon until the covering is torn or 

scratched off, paper tickets that are printed by a computerized or electronic dispenser that 

stores pre-programmed combinations on EPROM chips or cartridges, or other computerized, 

electronic or video technologic aids that expedite the play of the game while preserving the 

games essential elements, to the game of pull-tab, or representing a chance to containing a 

fixed, predetermined and finite number or chances. 

Lummi Gaming Ordinance Page 2 
J) "Punch board" means a board or device containing a number of receptacles of uniform size 

in which are placed, at random, punches (slips of papers or other substance, imprinted with 

numbers or symbols) and in which: 

(1) A specific serial number is assigned to the punch board and printed on each punch; 

(2) A flare or face sheet covers the receptacles and sets out the winning numbers or 

symbols and prizes which may be won; 

(3) Upon the payment of consideration, a player may select and remove a punch from a 

receptacle; and 

(4) A prize is awarded if the number or symbol, set out on the selected punch, matches a 

symbol on the flare or face sheet. 

K) "LIBC" shall mean the Lurnrni Indian Business Council. 

L) "LIGC" shall mean the Lummi Indian Gaming Commission. 

Section Ill. GAMBLING PROHIBITED EXCEPT AS AUTHORIZED 

Except as specifically authorized under this Ordinance, all gambling is prohibited within the 

exterior boundaries of the Lumrni Indian Reservation and any other lands under the jurisdiction 

of the LIBC. Unauthorized gambling hereby is declared to be a public nuisance, and the LIBC, 

through the LIGC or other agents, shall have the right and power to abate same by initiating a 

civil action in the Lurnrni Reservation Court or other court of competent jurisdiction, or by such 

other means as may be necessary and appropriate under the circumstances. In any civil action 

brought under this Section, the court shall be authorized to grant temporary, preliminary andlor 

injunctive relief, as deemed appropriate. All unauthorized gaming devices, equipment, records, 

receipts and proceeds may be impounded at the direction of the LIBC or the court under Title 14 

of the Lurnmi Code of Laws, and to forfeiture upon entry of final judgment in any such 

proceeding. The court may, in its discretion, award the LIBC civil damages against the 

operator(s) of any unauthorized gambling activity; said damages shall be presumed to be $1,000 

per each and every violation of this provision. For the purpose of this Section, each unauthorized 

game constitutes a separate violation and cause of action for which damages can be awarded. 

Section IV. AUTHORIZED GAMBLING ACTIVITIES 

Class I1 gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-77 ("IGRA"), 25 

U.S.C. Section 2703 (7)(A) and (C) and by regulations lawfully promulgated by the National 

Indian Gaming Commission ("NIGC") that now or hereafter may be in effect is hereby 

authorized. Except for the LIBC, acting by and through its employees and contractors, it 

shall be unlawful for anyone to perform, conduct, operate, maintain, or supervise any bingo 

game or series of bingo games, games similar to Bingo, including Pulltabs and Punchboards, 

non-banking card games or banked blackjack. All Class I1 games conducted by the LIBC 

shall be conducted in accordance with the terms and conditions of this Ordinance, any 

regulations promulgated by the LIGC pursuant thereto, and such other laws as may from time 

be applicable 

8/19/94 Lummi Gaming Ordinance Page 3 
B) ass I11 Gaming Authorized -- Tribal Mono& 

Class I11 gaming as defined in IGRA, 25 U.S.C. Section 2703 (8) and by regulations 

promulgated by the NIGC that now or hereafter may be in effect is hereby authorized, 

provided such gaming is also authorized by and consistent with a Tribal-State compact that 

has been approved by the Secretary of the Interior and is in effect, or otherwise has been 

authorized by the Secretary of the Interior or federal law. It shall be unlawful for anyone to 

perform, conduct, operate, maintain, or supervise Class I11 gaming activities on the Lummi 

Indian Reservation, except LIBC acting by and through its employees or contractors. All 

such games conducted by LIBC shall be conducted in accordance with the terms and 

conditions of this Ordinance, and any regulations promulgated by the LIGC, and any 

applicable Tribal-State compact or conditions prescribed by the Secretary of the Interior. 

Section V. OWNERSHIP OF GAMING FACILITIES AND/OR ENTERPRISES 

LIBC shall have the sole proprietary interest in and responsibility for the conduct of any gaming 

facilities andlor enterprise(s) authorized by this Ordinance. 

Section VI. USE OFGAMING REVENUE 

A) Except as specifically authorized pursuant to Subsection B of this Section, net revenues from 

Class I1 and Class I11 gaming on the Lurnmi Indian Reservation following payment of all 

prizes, capital expenditures, debts, and necessary expenses of management and operations, 

including taxes and assessments, shall be paid to the LIBC and shall be used only for the 

following purposes: 

(1) To find Tribal government operations and programs; 

(2) Provide for the general welfare of the Tribe and its members; 

(3) Promote Tribal economic development; 

(4) Donate to charitable organizations; or 

(5) Help fhd operations of local government agencies. 

B) If LIBC elects to make per capita payments to Tribal members, it shall authorize such 

payments only in conformity with a plan submitted to and approved by the Secretary of the 

Interior pursuant to 25 U.S.C. $2710 (b) (3). 

Section VII. AUDIT 

A) LIBC shall cause to be conducted at least annually an independent audit of all gaming 

operations and shall submit the resulting audit reports to the National Indian Gaming 

Commission, and to such other agencies as may be required by the terms and conditions of 

any Class I11 compact or other document authorizing Class I11 gaming on the Lummi Indian 

Reservation. 

Lummi Gaming Ordinance Page 4 
B) All gaming-related contracts that result in the purchase of supplies, services, or concessions 

in excess of $25,000100 annually, except contracts for professional legal and accounting 

services, shall be specifically included within the scope of the audit that is described in 

Subsection A above. 

Section VIII. PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND 

SAFETY 

The LIBC shall be responsible for assuring that the construction and maintenance of any gaming 

facilities, and the operation of gaming that is conducted in those facilities is conducted in a 

manner which adequately protects the environment and public health and safety. If the LIBC 

determines that the construction or proposed operation of any such facility is a major action 

posing a substantial risk of significant adverse affects on the quality of the reservation 

environment, it may require the preparation of a detailed statement addressing the environmental 

impact of the proposed action, any adverse environmental affects which cannot be avoided 

should the proposal be implemented, alternatives to the proposed action, the relationship between 

local short-term uses of the reservation environment and the maintenance and enhancement of 

long-term productivity, and any irreversible and irretrievable commitments of resources which 

would be involved in the proposed action should it be implemented. In determining whether 

such a statement is required, the LIBC shall consider the nature and scope of the proposed action, 

any and all impacts identified by the applicant, any and all mitigating actions or proposals 

suggested by the applicant and the general state of knowledge or information presently existing 

regarding the proposal and its potential impacts. 

Section IX. LUMMl INDIAN GAMING COMMISSION CREATED 

A) There is hereby created the Lummi Indian Gaming Commission, which shall consist of five 

persons who would themselves qualify for licensing under this Ordinance. At any time that 

said Commission should cease to exist or function, LIBC shall serve as the Commission, and 

shall promulgate and implement interim regulations to govern gaming on the Lummi Indian 

Reservation until such time as the commission is reestablished or resumes functioning under 

its own permanent regulations. 

B) The members of the LIGC shall be appointed by LIBC and shall not be removed from office 

before the expiration of the terms of office except for misconduct, neglect of duties, 

malfeasance in office, good cause, or other acts that would render such persons unqualified 

for licensure hereunder. An affirmative vote of LIBC, taken in an open meeting after a dulynoticed hearing at which the member charged with misconduct shall have the right to hear 

and present evidence concerning hisher removal, shall be required to remove a member of 

the Commission. At the request of the member whose removal is at issue, the hearing may 

be held in executive session. LIBC also may elect to receive in executive session any 

evidence public disclosure of which might compromise any on-going law enforcement 

investigation. 

Lummi Gaming Ordinance Page 5 
C) LIBC shall appoint a Chairperson of the LIGC, who shall be appointed for a term of three (3) 

years. Two members of the Commission shall be appointed for terms of three (3) years and 

two members shall be appointed for terms of two (2) years. Notwithstanding the foregoing, 

the incumbent members of the LIGC upon the adoption of this Ordinance shall continue to 

serve according to the same terms and conditions under which they originally were 

appointed. LIBC shall determine and authorize the compensation to be paid to members of 

the LIGC based upon LIBC's determination of the time required to be expended upon 

Commission duties and the qualifications of the appointed Commissioners. 

D) The LIGC shall be authorized and hereby is directed to promulgate, subject to review and 

approval by the LIBC, detailed and comprehensive regulations for the implementation and 

enforcement of this Ordinance. Said regulations shall describe and establish the rules for 

each specific Class I1 and Class I11 gaming activity to be authorized to be conducted on the 

Lummi Indian Reservation, and no form of such gaming may be conducted on the Lummi 

Indian Reservation without prior approval by the LIGC. 

E) The LIGC, independent of LIBC, shall have full authority to monitor compliance with this 

Ordinance and its Regulations, to investigate and prosecute violations of this Ordinance and 

the gaming regulations, and act to prevent any violation(s) thereof. 

F) Subject to the approval of LIBC and the appropriation of funds therefore, the LIGC shall be 

authorized to employ such staff as reasonably may be required to fulfill its responsibilities 

under this Ordinance. Compensation of Commission employees shall be limited to that 

which is comparable to compensation paid to persons performing similar duties in other 

governmental gaming regulatory agencies. 

G) Subject to the approval of LIBC, the LIGC hereby is authorized to establish and impose upon 

gaming facilities, permitees, applicants and licensees such application, permit and license 

fees as may be necessary to fully reimburse the Tribe for its actual costs of operating the 

LIGC, enforcing this Ordinance and LIGC regulations, processing of licensing and permit 

applications, and otherwise fulfilling its regulatory responsibilities under the Indian Gaming 

Regulatory Act (IGRA). 

H) Failure to timely pay any gaming-related fee imposed by LIBC or the LIGC, or to comply 

with an Comn~ission regulation or order, or any other violation of this Ordinance or the terms 

of any Class I11 gaming compact authorizing and regulating gaming on the Lummi Indian 

Reservation, shall be grounds for suspension or revocation of any license or permit issued 

pursuant to this Ordinance, exclusion of any non-member of the Lummi Nation from the 

Lurnmi Indian Reservation, and imposition of such other sanctions as the LIGC may deem 

appropriate. 

I) Any person or entity subject to any sanction or penalty by the LIGC shall have the right to 

appeal such sanction or penalty to LIBC in accordance with such rules and regulations as 

may be promulgated by LIBC for that purpose. The decision of LIBC on any appeal shall be 

final and not otherwise reviewable. 

Lummi Gaming Ordinance Page 6 
Section X. DESIGNATION OF AN AGENT BY A TRIBE 

As described in 25 C.F.R. 5 5 19.1 the principal agent shall be the Chairperson of the Lummi 

Indian Gaming Commission, with the LIGC Administrator being authorized to accept service in 

the Chairperson's absence. 

Section XI. LICENSES FOR KEY EMPLOYEES, PRIMARY MANAGEMENT 

OFFICIALS, AND STANDARD EMPLOYEES 

The LIGC shall ensure that the policies and procedure set out in this section are implemented 

with respect to key employees, primary management officials, and standard employees employed 

at any Class I1 andlor Class I11 gaming enterprise operated on Indian Lands within the boundaries 

of the Lummi Indian Reservation: 

For the purposes of this section, the following definitions apply: 

(1) Key Employee means; 

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

(1) BingoPull tab caller; 

(2) Count room employees; 

(3) Security employees; 

(4) Custodian of gaming supplies, software, or cash; 

(5) Shift Managers; 

(6) Gaming Supervisors; 

(7) Gaming Dual-Supervisors; 

(8) Dealers; 

(9) Cash Cage employees; 

(1 0) Approver of credit; 

(1 1) Accounting staff; 

(1 2) Food & Beverage Supervisor; 

(13) Custodian of gambling devices including persons with access to cash and 

accounting records within such devices andlor performing internal maintenance 

thereon; 

(14) Lurnrni Casino Board of Directors; 

(15) Any person who in the normal course of performing hisher duties has 

unsupervised or unrestricted access to any secure area of a gaming facility, or 

any other portion of a gaming facility in which the person would have 

unsupervised or unrestricted access to cash or original records of gaming 

activity. 

Lummi Gaming Ordinance Page 7 
(b) If not otherwise included, any other person whose total cash compensation is in 

excess of $50,000 per year; 

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

operation; 

(d) Any other Casino position(s) deemed to be a key position by LIGC. 

(2) Primary Management Official means; 

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

(1) General Manager; 

(2) Director of Security; 

(3) Controller; 

(4) Human Resources Director; 

(5) Casino Operations Manager; 

(6) Non-Gaqing Director 

(b) If otherwise not included, the person having management responsibility for a 

management contract; 

(c) If otherwise not included, any person who has authority: 

(1) To hire and fire employees; 

(2) To set up working policy for the gaming operation; 

(d) If otherwise not included, the chief financial officer or other person who has financial 

management responsibility; 

(e) Any other position(s) deemed to be a Primary Management Official by LIGC. 

(3) Standard Employee means; 

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

(1) Maintenance 

(2) Housekeeping 

(3) Valet 

(4) Food & Beverage employees (excluding supervisors); 

(b) Any other position(s) deemed to be a Standard Employee by LIGC. 

B) Bgglication Forms 

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

primary management official, or a standard employee before that form is filled out by an 

applicant: 

Lummi Gaming Ordinance Page 8 
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 tribe's being unable to hire you in a primary management official or key 

employee position. 

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

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

(2) Existing key employees, primary management officials, and standard employees shall be 

notified in writing that they shall either: 

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

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

described in that notice. 

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

primary management official, and standard employee 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. (U.S.C. , title 18, 9 100 1 .) 

(4) The existing key employees, primary management officials, and standard employees shall 

be notified in writing that they shall either: 

(a) Complete a new application form that contains a notice regarding false statements; or 

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

C) Backro . . und investi~ations 

(1) The LIGC shall request from each key employee, primary management official, and 

standard employee all of the following information: 

(a) Full name, other names used (oral or written), social security number (s), birth date, 

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

(b) Currently and for the previous 5 years: all business and employment positions held, 

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

license numbers; 

(c) The names and current addresses of at least three personal references, including one 

personal reference who was acquainted with the applicant during each period of 

residence listed under paragraph (1) (b) of this Subsection; 

(d) Current business and residence telephone numbers; 

8/19/94 Lummi Gaming Ordinance Page 9 
(e) A description of any existing and previous business relationships with Indian tribes, 

including ownership interests in those businesses; 

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

industry generally, including ownership interests in those businesses; 

(g) 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. 

(h) 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; 

(i) For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding 

minor traffic violations for which a fine of less than $200 was imposed), within ten 

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

the date and disposition; 

(i) For each criminal charge (excluding traffic violations for which a fine of less than 

$200 ordinarily is imposed), whether or not there is a conviction, if such criminal 

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

pursuant to paragraph (1) (h) or (1) (i) of this Subsection, the criminal charge, the 

name and address of the court involved and the date and disposition; 

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

has filed an application for an occupational license or permit, whether or not such 

license or permit was granted; 

(1) A current photograph; 

(m)Any other information the LIGC deems relevant; and 

(n) Fingerprints consistent with procedures adopted by the LIGC according to 25 C.F.R. 

5 522.2 (h). 

(2) The LIGC shall conduct an investigation sufficient to make a determination under 

Subsection E below. In conducting a background investigation, the LIGC andlor its agent 

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

the investigation, unless such person gives written consent to such disclosure. 

D) Fingepnntlng . . 

The LIGC is authorized to act as Lummi Law and Order officials for the purpose of 

administering the fingerprinting requirements in subsection C (n) above. The LIGC may 

delegate this authority to staff as required. 

Lummi Gaming Ordinance Page 10 
E) Eligibility Dete- . . 

The LIGC shall review a person's prior activities, criminal record, if any, and reputation, 

habits and associations to make a finding concerning the eligibility of a key employee, 

primary management official, or standard employee for licensing in a gaming operation. If 

the LIGC determines that licensing of the person poses a threat to the public interest or to the 

effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, the LIGC shall not license that 

person and the gaming operation shall not employ that person. 

. . F) bocedures for Forwardin? Applications and Reports for Kev Employees and Priw 

Management - Officbls to the National Indian gamin^ Commission 

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

authorized by this Ordinance, the LIGC shall forward to the National Indian Gaming 

Commission a completed application for employment and conduct the background 

investigation and make the determination referred to in subsection E of this Subsection. 

(2) The LIGC shall forward the report referred to in Subsection G of this section to the 

National Indian Gaming Commission within 60 days after an employee begins work or 

within 60 days of the approval of this Ordinance by the Chairman of the National Indian 

Gaming Commission. 

(3) The gaming operation shall not employ as a key employee, primary management official, 

or standard employee a person who does not have a license after 90 days. 

G) Report to the National Indian G minp Commission 

(1) Pursuant to the procedures set out in Subsection F of this section, the LIGC 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: 

(a) Steps taken in conducting a background investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

(2) The LIGC shall submit, with the report, a copy of the eligibility determination made 

under subsection E of this section. 

(3) If a license is not issued to an applicant, the LIGC: 

(a) Shall notify the National Indian Gaming Commission; and 

(b) 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. 

Lummi Gaming Ordinance Page I I 
(4) With respect to key employees and primary management officials, the LIGC 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. 

(5) The LIGC shall not submit a report to the National Indian Gaming Commission for 

standard employees. 

(I) No person shall be employed in any capacity by any gaming operation regulated by this 

Ordinance unless helshe first obtains and possesses in good standing a license issued by 

the LIGC. 

(2) The LIGC may issue a temporary license to any person who satisfactorily completes an 

application for a license from the LIGC; provided that in the judgment of the LIGC 

issuance of the temporary license will not jeopardize public safety or the integrity of the 

gaming operations. Temporary license shall not be issued for a period greater than 90 

days. Existing employees may be granted a temporary license valid for up to 90 days 

following adoption of this Ordinance by the LIBC. 

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

a report, the National Indian Gaming Commission notifies the LIGC that it has no 

objection to the issuance of a license pursuant to a license application filed by a key 

employee or primary management official for whom the LIGC has provided an 

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

LIGC may issue a license to such applicant. The LIGC may issue a license to a standard 

employee immediately following completion of an eligibility determination as required in 

subsection E above. 

(4) The LIGC shall respond to a request for additional information from the Chairman of the 

National Indian Gaming Commission concerning a key employee or a primary 

management official who is the subject of a report. Such a request shall suspend the 30- 

day period under paragraph (H)(l) of this section until the Chairman of the National 

Indian Gaming Commission receives the additional information. 

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

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

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

provided an application and investigative report to the National Indian Gaming 

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

objections itemized by the National Indian Gaming Commission. The LIGC shall make 

the final decision whether to issue a license to such applicant. 

I) License suspension 

(1) If, after the issuance of a gaming license, the National Indian Gaming Commission 

receives reliable information indicated that a key employee or a primary management 

official is not eligible for employment under Subsection E of this part, the national Indian 

Gaming Commission shall notify the LIGC. 

8/19/94 Lurnrni Gaming Ordinance Page 12 
(2) The LIGC shall notify the licensee of a time and a place for a hearing on the proposed 

revocation of a license. 

(3) After a revocation hearing, the LIGC shall decide whether to revoke or to reinstate a 

gaming license, or take other action as may e deemed appropriate. The LIGC shall notify 

the National Indian Gaming Commission of its decision. 

Section XII. LICENSING OF GAMING PLACES, FACILITIES AND LOCATIONS 

A separate license shall be required for each place, facility, or location on Indian lands where 

Class I1 and/or Class I11 gaming is to be conducted on the Lummi Indian Reservation. 

Section XIII. DAYS AND TIMES OF OPERATION AND WAGER LIMITS 

Class 11, Class 111, and other gambling activities authorized by this Ordinance may be conducted 

at such days and times as are determined by the LIGC in the exercise of its regulatory authority 

within the constraints of tribal and federal law. 

Section XIV. MINORS PROHIBITED 

No person under the age of 18 years shall take part in any Class I1 or Class I11 gambling activities 

on the Lurnmi Reservation either as participant or employee and no person under the age of 21 

years may participate as a player in any Class I1 or Class I11 gambling activities other than bingo 

or pull tabs, provided, however, that this prohibition shall not apply to traditional Indian 

gambling games as authorized in Section XVI of this Ordinance. 

Section XV. MISCELLANEOUS RULES AND REGULATIONS 

All gaming conducted under the authority of this Ordinance shall be conducted in accordance 

with the following rules and regulations or such regulations as the LIGC may, from time to time, 

prescribe: 

(1) Qnl~ hause chips to be used. No person shall bring into a premises licensed to allow 

the playing of card games, nor introduce into any card game, any playing card or cards, 

or any poker chip or chips for use in wagering other than those obtained from the 

licensee on that business day. 

(2) mivin~ D advanta~e prohibited. No device, apparatus, 

mechanism or thing which may give the participant in a card game an advantage over 

any other participant in that game may be used by any person. 

(3) mers to be made with chips only. All wagers made in connection with a card game 

shall be made with chips furnished by the licensed premise. However, certain wagers 

may be made other than with chips when specifically permitted by regulations approved 

by the LIGC. 

(4) Chanee . . in method of wagering prohibited. Once a method of betting is chosen for a 

particular hand or game, that method must be used until the hand or game is completed. 

8/19/94 Lummi Gaming Ordinance Page 13 
(5) Side bets ? . . rohibited. Except as otherwise authorized by the LIGC on a game-specific 

basis, side bets among participants are prohibited. 

(6) Uers by other than participa . . . . nts ~rdiblted. Except for the game of paigow, only 

persons actually playing in the card game may wager upon the outcome of the game. 

Except when wagered on the game of paigow, wagers by persons other than those 

playing which in any way involves the outcome of the game, or of any aspect of the 

game, are prohibited. 

(7) Assistance and substitutes prohibited. No person shall allow a representative to sit in 

on a card game on his behalf for any purpose, or to render assistance to any participant 

in the game in any manner which gives that participant an advantage over the other 

participants. No person shall act as such a representative. 

(8) Licensee to ~revent chew. All licensees or operators of games authorized under this 

Ordinance shall not allow any player to play in such a manner as to cheat the persons 

with whom he is playing. The licensee or operator shall take all reasonably necessary 

steps to prevent cheating, and shall be responsible to ensure that games played upon the 

premises are fairly played. Any incident in which a person is suspected of or found 

cheating shall be reported immediately to the applicable law enforcement agency. 

(9) Intoxicated perspns shall not play or provide services. 

(a) No person who is visibly under the influence of liquor or any controlled substance 

shall be allowed to play, or continue to play, in any game or to participate in 

providing any services for the game. 

(b) It shall be the responsibility of the licensee or operator, and of those persons 

physically operating the games to ensure that no unauthorized person is allowed to 

participate in any manner in the playing of or providing services to any game. 

(10) House rules to be develo~ed and posted. Each entity operating a game under the 

provisions of this Ordinance shall develop and post in a conspicuous manner a 

summary of the rules for the conducting of such game not inconsistent with the 

provisions of this Ordinance and with the regulations of the LIGC. The LIGC shall 

establish the requirements for posting of house rules. 

(1 1) Picturecation reqw. All persons participating in the management or 

operation of any game under the provisions of this Ordinance while on premises shall 

wear an identification license which shall contain the person's name, photograph, and 

the licensed entity's name. The license shall be worn in plain view so as to be easily 

seen and read by persons participating in the event; provided however, that this section 

shall not apply to undercover personnel performing legitimate security or monitoring 

services for entity. Such persons shall carry proper identification on their person, but 

shall not be required to display it except upon the lawfbl direction of law enforcement 

personnel or the management of the operating entity. 

Lummi Gaming Ordinance Page 14 
(12) Plack_iack- 

(a) All blackjack games shall be conducted using a dealing "shoe" capable of holding at 

least four shuffled decks of cards at one time. The deal shall begin with the shoe 

containing at least four full decks of cards and proceed until, in the dealer's 

judgment, the cards should be reshuffled or the cards withdrawn for examination 

andlor replaced. The shoe shall then be refilled with four shuMed decks of cards 

and the process repeated. 

(b) All cards shall be dealt to the players face up. 

(c) No player shall remove or pick up cards from the table or "shuffle" or "cut" the 

cards. 

(d) Only playing cards meeting the standards of the U.S. gaming industry shall be used. 

(e) Cards may be shuffled using a device, apparatus, or mechanism. No device, 

apparatus, or mechanism which may give a participant in a card game any 

advantage over any other participant in that game may be used. 

(13) Mechanics . . 1 devices prpblbited. No mechanical devices proscribed by the provisions of 

15 U.S.C. 51 175 shall be used in any gaming activity under the authority of this 

Ordinance, unless the use thereof would not violate federal law. 

(14) Employee compensation to be reasonable. Compensation to the employees shall not 

exceed that which is normally paid in the gaming industry. 

Section XVI. CUSTOMER DISPUTES 

Gaming Disputes 

In the event a dispute develops between a dealer and a guest over rules of play, payoffs, or other 

transactions, the following procedure should be followed until the dispute is satisfactory 

resolved. 

(1) Dealer should immediately contact the floor supervisor. 

(2) The floor supervisor should listen to both sides of the dispute. 

(3) Depending upon the nature of the dispute, the floor supervisor should: 

(a) Explain the appropriate house rule to the guest. 

(b) Run cards back to determine facts. 

(c) Contact ~urveillance to review appropriate tape for determination of facts. 

(4) The floor supervisor should then settle the dispute by ruling on the facts. 

(5) If the guest asks to see a copy of the video tape, a copy of the tape should be made and 

shown to the guest in the Security Office. 

(6) In all disputes when there is a margin of doubt, the ruling should be made in favor of 

the guest. 

8/19/94 Lummi Gaming Ordinance Page 15 
Cash HandlingIlisputes. 

When there is a dispute between a cashier and a guest over a cash transaction, the following 

procedure should be followed: 

(1) Cashier should contact their immediate supervisor. 

(2) Supervisor should listen to both sides of the dispute. 

(3) If the dispute is over an amount of money less than $5.00 and there is any doubt as to 

the facts, the supervisor shall rule in favor of the guest. 

(4) In disputes of transactions larger than $5.00, the supervisor should contact Surveillance 

and ask for a review of the tape for determination of the facts. 

(5) If the guest asks to see the video tape, a copy should be made and shown to the guest in 

the Security Office. 

Pisru~tive Guests 

When an employee or supervisor notices drunkenness, guests under the influence of drugs or 

disruptive behavior, the incident should be immediately called to the attention of the Security 

Department andlor the Shift Manager. At least two employees (one a supervisory level) should 

observe the behavior before the action is taken. 

(1) Depending upon the nature of the problem, Security should: 

(a) If drunkenness or drug abuse is involved, ask the guest to leave the premises. In 

doing so, Security should offer to call a cab for the guest and encourage them not 

to drive while they are in their current condition. 

(b) In the case of abusive behavior, Security should ask the guest to immediately 

discontinue the disruptive behavior. If the guest refuses to do so, Security should 

then ask the guest to leave the Casino premises. 

(c) If a guest, who has been asked to leave the Casino premises refuses to do so, 

Security should immediately contact the Lurnmi Nation Law Order Department to 

request that the trespass laws be enforced. 

If a guest repeats drunkenness, drug abuse, or disruptive behavior at a later visit to the 

Casino, or if the problem is severe, the guest should be barred from the Casino for a 

period of time. Guests may appeal this type of a decision to the General Manager. 

Criminal Behavior 

In the event criminal behavior is observed on the Casino premises, Security should be 

immediately contacted. Security should then immediately contact the Lummi Nation 

Law and Order Department to report the activity. After contacting Lurnmi Law and 

Order, Security should continue to observe the offense. Under no circumstances should 

physical action or an attempt to apprehend be initiated. Upon the arrival of Lummi 

Nation Law and Order officers, the Security Department personnel should follow the 

direction of the police officers in charge. 

8/19/94 Lummi Gaming Ordinance Page 16 
Section XVII. TRADITIONAL GAMES EXEMPTED 

The provisions of this Ordinance shall not apply to bonafide Traditional Indian gambling games 

such as Sla-Hal also known as bone games or stick games, provided that such games are 

conducted by and for Indian persons at tribal celebrations or gatherings and not as a business. 

Section XVIII. CONSTRUCTION 

This Ordinance shall be liberally construed to carry out the purposes and policies of the 

Ordinance. 

Section XIX. SEVERABILITY 

If any provisions of this Ordinance or its application to any person or circumstances is held 

invalid the remainder of the Ordinance or the application of the provision to other persons or 

circumstances shall not be affected. 

Section XX. REPEAL 

All prior gaming ordinances, as originally enacted and as amended, hereby are repealed. 

Lummi Gaming Ordinance Page 17