Via First Class Mail 

David Lopeman, Chairman 

Squaxin Island Tribe 

10 S.E. Squaxin Lane 

Shelton, WA 98584 

May 6, 2016 

Re: Squaxin Island Tribe Gaming Ordinance Amendment 

Dear Chairman Lopeman: 

This letter responds to your request for the National Indian Gaming Commission 

to review and approve an amendment to the Squaxin Island Tribe's gaming ordinance. 

The Squaxin Island Tribal Council approved Resolution No. 15-75 on November 12, 

2015. The resolution, which was received on December 17, 2015, amends the Tribe's 

gaming ordinance to conform to NIGC's revised regulations. 

The ordinance appears to contain a scrivener's error. Section 6.08.21 O(H) of the 

ordinance provides " [i]fthe Commission has issued a license to a primary management 

official or key employee before receiving the NIGC's statement of objections, notice and 

a hearing shall be provided to the licensee, as required by Section 6.08.200." We believe 

that the reference should cite to § 6.08.240 - Gaming License Suspensions and 

Revocations. Please let us know if you disagree with our reading of the ordinance. 

Thank you for bringing the amendment to my attention. The amendment is 

approved as it is consistent with the Indian Gaming Regulatory Act and NIGC 

regulations. If you have any questions, please feel free to contact Staff Attorney Esther 

Dittler at 202-420-9229. 

Sinc.erely, 

onodev 0. Chaudhuri 

cc: Mark E. Allen, Squaxin Island Legal Department 

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Moil Slop# 1621 Wo~hingl n, DC 20240 Tel: 202.632.7003 Fox: 202.632.7066 

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WWW.NI OC.GOV 
SQCJAXIN ISLAND TRIBE 

RESOLUTION N0. 15-..:J!2' 

of the 

SQUAXIN ISLAND TRIBAL COUNCIL 

WHEREAS, the Squaxin Island Tribal Council is the Governing Body of the Squaxin Island Tribe, its 

members, Its lands, its enterprises and its agencies by the authority of the Constitution and Bylaws of 

the Squaxin Island Tribe, as approved and adopted by the General Body and the Secretary of the Interior 

on July 8, 1965; and 

WHEREAS, under the Constitution, Bylaws and inherent sovereignty of the Tribe, the Squaxin Island 

Tribal Council is charged with the duty of protecting the health, security, education and general welfare 

of tribal members, and of protecting and managing the lands and treaty resources and rights of the 

Tribe; and 

WHEREAS, the Tribe is a federally-recognized Indian Tribe possessing reserved powers, including the 

powers of self-government; and 

WHEREAS, the Squaxin Island Tribal Council has been entrusted with the creation of ordinances and 

resolutions in order to fulfill their duty of protecting the health, security, education and general welfare 

of tribal members, and of protecting and managing the lands and treaty resources of the Tribe; and 

WHEREAS, by Resolution No. 94-78 the Squaxin Island Tribal Council adopted a Gaming Ordinance, 

which from time to time has been amended, such Gaming Ordinance and amendments having been 

approved by the National Indian Gaming Commission (NIGC); and 

WHEREAS, by Resolution No. 14-40 the Squaxin Island Tribal Council amended the Gaming Ordinance 

and had it sent to NIGC for approval, but it was disapproved due to requirements imposed by the NIGC 

relating to new provisions required in any Indian Gaming Ordinance submitted for approval after 

August, 2013; 

WHEREAS, the rejection of the Gaming Ordinance by NIGC, as adopted by Resolution 14-40, required 

the drafting of a new Gaming Ordinance; 

WHEREAS, the Squaxin Island Tribe Gaming Commission has reviewed the attached Gaming Ordinance 

and, by Commission Resolution 15-01, have unanimously recommend approval of such Ordinance by 

Tribal Council. 

SQOAXJN ISLAND TRIBE I 10 S.E. Squaxin Lane I Shelton, WA 98584 I Phone (360) 426-9781 

Fax (360) 426-6577 www.squaxinisland.org 
Resolution No. 15 -£ 

Page 2 of 2 

WHEREAS, the Squaxin Island Tribal Council finds that it would be in the best interests of the Tribe to 

repeal Resolution No. 14-40 and to adopt the Gaming Ordinance, as attached, and to have it submitted 

to NIGC for approval; and 

WHEREAS, NIGC, subject to approval, should consider the attached Gaming Ordinance as the Gaming 

Ordinance of the Squaxin Island Tribe, replacing any and all prior ordinances and/or amendments. 

THEREFORE BE IT RESOLVED, that the Squaxin Island Tribal Council hereby repeals Resolution 14-40, 

and hereby approves and adopts the Gaming Ordinance, as attached; and 

BE IT FURTHER RESOLVED, that the attached Gaming Ordinance shall be sent to the NIGC for approval; 

and 

BE IT FURTHER RESOLVED, the NIGC, subject to approval, shall consider the attached Gaming Ordinance 

as the Gaming Ordinance of the Squaxin Island Tribe, replacing any and all prior ordinances and/or 

amendments. 

CERTIFICATION 

The Squaxin Island Tribal Council hereby certifies that the foregoing Resolution was adopted at the 

regular meeting of the Squaxin Island Tribal Council, held on this 121

n day of November, 2015, at which 

time a quorum was present and was passed by a vote of i for and .J2 against, with O abstentions. 

Attestedby: ~£~ L 

Charlene Krise, Secretary 
Chapter 6.08 Gaming Ordinance 

6.08.010. Purpose 

The Tribal Council of the Squaxin Island Tribe ("Tribe"), empowered by the Tribe's 

Constitution and other sovereign and governing authority to enact ordinances, hereby 

enacts this ordinance in order to govern and regulate the operation of class I, II and Ill 

gaming operations on the Tribe's Indian lands. 

6.08.020 Interpretation 

This chapter shall be deemed an exercise of the sovereign power of the Squaxin Island 

Tribe and all provisions of this chapter shall be liberally construed for the 

accomplishment of the statement of purpose. 

6.08.030. Definitions 

The following terms shall have the same meaning and effect as those same terms are 

defined in the Indian Gaming Regulatory Act ("IGRA"), 25U.S.C. §§ 2701 et seq., and 

the National Jndian Gaming Commission ("NIGC") regulations, 25 C.F.R. §§ 500 et seq., 

if they are defined in IGRA and the NIGC's regulations. 

A. Class I gaming. "Class I gaming" means: 

1 . Social games played solely for prizes of minimal value; or 

2. Traditional forms of Indian gaming when played by individuals in connection 

with tribal ceremonies or celebrations. 

B. Class II gaming. 

1. Bingo or lotto (whether or not electronic, computer or other technologic aids 

are used) when players: 

a. Play for prizes with cards bearing numbers or other designations; 

b. Cover numbers or designations when objects, similarly numbered or 

designated, are drawn or electronically determined; and 

c. Win the game by being the first person to cover a designated pattern 

on such cards; 

2. Pull-tabs, punch boards, tip jars, instant bingo and other games similar to 

bingo, if played in the same location as bingo or lotto; 

3. Non-banking card games that: 
a. State law explicitly authorizes, or does not explicitly prohibit. and are 

played legally anywhere in the state; and 

b. Piayers play in conformity with state iaws and regulations concerning 

hours, periods of operation, and limitations on wagers and pot sizes; 

4. Card games played in the states of Michigan, North Dakota, South Dakota or 

Washington, if: 

a. A tribe actually operates the same card games as played on or before 

May 1, 1988, as determin.ed by the N IGC Chair; and 

b. The pot and wager limits remain the same as on or before May 1, 

1988, as determined by the NIGG Chair; 

5. Individually owned class II gaming operations. 

a. That were operating on September 1, 1986; 

b. That meet the requirements of 25 § U.S.C. 2710(b)(4)(8); 

c. Where the nature and scope of the game remains as it was on October 

17, 1988;and 

d. Where the ownership interest or interests are the same as on October 

17, 1988. 

C. Class Ill gaming. All forms of gaming that are not class I or class II gaming, 

including, but not limited to: 

1. Any house banking game, including but not limited to: 

a. Card games such as baccarat, chemin de fer, blackjack (21), _and pai 

gow (if played as house-banking games); and 

b. Casino games such as roulette, craps, and keno; 

2. Any slot machines, as defined in 15 U.S.C. § 1171(a)(1), and electronic or 

electromechanical facsimiles of any game of chance; 

3. Any sports betting and parimutuel wagering, including, but not limited to, 

wagering on horse racing, dog racing or jai alai: or 

4. Lotteries. 

D. Commission. Means and refers to the Squaxin Island Gaming Commission, 

established to perform regulatory oversight and to monitor compliance with tribal, 

federal, and applicable state regulations. Any reference to the Commission in 

regards to its function and duties shall include and contemplate such functions 

and duties being carried out with the assistance of Commission staff. 

E. Commissioner. A member of the Commission. 

F. Contractor. Means and refers to any management contractor who operates for 

the Tribe, tribal premises used for Class II or Class Ill gaming, or operates as 

Page 2 of 22 

Approved by Tribal Council on _____ 2015 
lessee under a lease with the Tribe and any lessor of gaming equipment or 

supplier of gaming services to the Tribe. 

G. Directly related to. A spouse, child, parent, grandparent, grandchild, aunt, uncle 

or first cousin. 

H. Facility License. A separate license issued by the Tribe to each place, facility or 

location on Indian lands where the Tribe elects to allow class II or Ill gaming. 

I. Gaming Operation. Each economic entity that is licensed by the Tribe, operates 

the games, receives the revenues, issues the prizes, and pays the expenses. A 

gaming operation may be operated by the Tribe directly; by a management 

contracto.r; or, under certain conditions, by another person or entity. 

J. Indian lands. 

1. Land within the limits of an Squaxin Island Reservation; or 

2. Land over which an Indian tribe exercises governmental power and that is 

either: 

a. Held in trust by the United States for the benefit of any Indian tribe or 

individual; or 

b. Held by an Indian tribe or individual subject to restriction by the United 

States against alienation. 

K. Key Employee. 

1. A person who performs one or more of the following functions: 

a. Bingo caller; 

b. Counting room supervisor; 

c. Chief of security: 

d. Custodian of gaming supplies or cash; 

e. Floor manager; 

f. Pit boss; 

g. Dealer; 

h. Croupier; 

i. Approver of credit; or 

j. Custodian of gambling devices, including persons with access to cash 

and accounting records within such devices; 

2. If not otherwise included, any other person whose total cash compensation is 

in excess of $50,000 per year; 

3. If not otherwise included, the four most highly compensated persons in the 

gaming operation; or 

Page 3 of 22 

Approved by Tribal Council on _____ 2015 
4. Any other person designated by the tribe as a key employee. 

L. Licensee. A tribaiiy owned ciass ii or ciass iii gaming operation or a person 

licensed by the Commission as a primary management official, key employee or 

other gaming employee under the provisions of this ordinance. 

M. Management Contract. Any contract, subcontract or collateral agreement 

between an Indian tribe and a contractor or between a contractor and a 

subcontractor if such contract or agreement provides for the management of all 

or part of a gaming operation. 

N. Net Revenues. Gross gaming revenues of an Indian gaming operation less: 

1. Amounts paid out as, or paid for, prizes; and 

2. Total gaming-related operating expenses, including all those expenses of the 

gaming operation commonly known as operating expenses and non-operating 

expenses consistent with professional accounting pronouncements, excluding 

management fees. 

0. Person. Means a natural person, finn, association, corporation or other legal 

entity. 

P. Player. Means any person paying some amount of U.S. currency to the Tribe or 

the contractor or the agent, servant or employee of the Tribe or such contractor 

for admission to, or participation in, Class II or Class Ill gaming and who has 

some reasonable expectation of receiving· a prize as a result of participating, 

playing or wagering on such Class II or Class Ill gaming. 

Q. Primary Management Official. 

1. The person(s) 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; or 

c. The chief financial officer or other person who has financial 

management responsibility. 

3. Any other person designated by the Tribe as a primary management official. 

R. Prizes. Means and refers to any United State currency, cash or other property or 

thing of value awarded to a player of Class Hor Class Ill gaming. 

S. Tribal Council. Means and refers to the Squaxin Island Tribal Council, the 

governing body of the Squaxin Island Tribe. 

Page 4 of 22 

Approved by Tribal Council on _____ 2015 
T. Tribal-State Compact. The Tribal-State compact (Compact) means an agreement 

between the Tribe and the State of Washington concerning class Ill gaming 

under 25 U.S.C. § 2710(d). 

U. Tribe. Tribe means the Squaxin Island Tribe, a federally recognized Tribe, as 

located in Mason County, State of Washington. 

6.08.040. Gaming Authorized 

Class II and Ill gaming are authorized to be conducted on the Tribe's Indian lands, if 

such gaming is conducted in accordance with this Ordinance, the Indian Gaming 

Regulatory Act, the NIGC's regulations, the Compact, and any other applicable laws or 

regulations. 

6.08.050 Ownership of Gaming 

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of 

any and all gaming operation(s) authorized by this Ordinance. Individually owned 

gaming operations are prohibited. 

6.08.060. Use of Net Gaming Revenues 

A. Net revenues from Tribal gaming shall be used only for the following purposes: 

1. To fund Tribal government operations or programs; 

2. To provide for the general welfare of the Tribe and its members; 

3. To promote Tribal economic development; 

4. To donate to charitable organizations; or 

5. To help fund operations of local government agencies. 

6.08.070. Per Capita Payments 

A. Net revenues from any class II and/or class Ill gaming activities conducte~ or 

licensed by the Tribe may be used to make per capita payments to Tribal 

members if: 

1. The Tribe has prepared a plan to allocate revenues to one or more of the five 

uses authorized by section 6.08.060 (A) of this Ordinance; 

Page 5 of 22 

Approved by Tribal Council on _____ 2015 
2. The plan is approved by the Secretary of the Interior as adequate, particularly 

with respect to the uses described in sections 6.06.06 (A) (1) and (3) of this 

Ordinance; 

3. The interests of minors and other legally incompetent persons who are 

entitled to receive any of the per capita payments are protected and 

preserved, and the per capita payments are disbursed to the parents or legal 

guardian of such minors or legal incompetents in such amounts as may be 

necessary for the health, education, or welfare of the minor or other legally 

incompetent person; and 

4. The per capita payments are subject to Federal taxation and the Tribe notifies 

its members of such tax liability when payments are made. 

6.08.080. Gaming Commission. 

A Squaxin Island Gaming Commission shall be established as follows: 

A. Membership. The Commission shall consist of five members of the General 

r."11nril nf tho:> ~n11~vin lcbnrl Triho onnnint.on ht1 tho C::::n1 1ovin 1.,1 ... ,,.~ Trl)..,.,,1 ---• •-•• -• •• •- -....,--••••• ,_,....,., ·- I 11-- -,..,..._,, ,., ___ , ''•'-I .....,"1W~l1"11 I IVl'iAI IY I I I~""' 

Council. Members shall be appointed for three-year terms1 however, initial 

appointments may be for a shorter time period, and staggered, so that terms 

terminate each year. If a Commission is not appointed, the Squaxin Island Tribal 

Council will be appointed and serve as the Commission. Members may not have 

a direct or indirect financial interest in the Class JI or Class Ill gaming activities. 

The Commission shall establish minimum training standards for the 

Commissioners, and each new Commissioner to the Commission must complete 

such training within six months of being appointed to the Commission. 

B. Meetings. The Commission shall meet monthly or at the · request of the 

Chairperson, the Council or three members of the Commission. A quorum shall 

be three members. Voting shall be by majority unless only three members are 

present in which case a unanimous vote is required. Notice of the meetings is to 

be given to the Commissio.n members and to the Tribe five days prior to the 

meeting except in the case of an emergency meeting. An agenda shall be 

established; minutes shall be recorded, maintained and filed. Any Commissioner 

having three unexcused absences from regularly scheduled Commission 

meetings, during the course of any calendar year, shall have his or her 

appointment to the Commission automatically terminated. Such conduct and the 

automatic termination shall be communicated to the Tribal Council by the 

Commission, at which time Tribal Council shall appoint a new Commissioner to 

complete the term of the Commissioner removed from the Commission. 

C. Compensation. The members of the Commission may be compensated in an 

amount and pursuant to a schedule adopted by the Tribal Council. Compensation 

Page 6 of22 

Approved by Tribal Council on _ _ _ _ _ 2015 
and expenses shall be paid from taxes or profits paid to the Tribe from the Class 

II and Class Ill gaming activities. 

D. Staff. The Commission is authorized to hire or contract for staff. 

E. Powers and Duties. 

1. Conduct background investigations, or cause such investigations to be 

conducted, for primary management officials and key employees; 

2. Review and approve all investigative work conducted in connection with the 

background investigations of primary management officials and key 

employees; 

3. Create and maintain investigative reports based on the background 

investigations of primary management officials and key employees; 

4. Obtain and process fingerprints, or designate a law enforcement agency to 

obtain and process fingerprints; 

5. Make licensing eligibility determinations; 

6. Submit a notice of results to the NIGC of the background investigations done 

for each primary management official and key employee applicant; 

7. Issue gaming licenses to primary management officials and key employees of 

the operation, if warranted by the eligibility determination; 

8. Establish standards for licensing Tribal gaming facilities; 

9. Issue gaming licenses to Tribal gaming facilities; 

10. Inspect, examine and monitor all of the Tribe's gaming activities, and have 

immediate access to review, Inspect, examine, photocopy and audit all 

records of the gaming establishment; 

11. Ensure compliance with all Tribal, state and federal laws, rules and 

regulations regarding Indian gaming; 

12. Investigate any suspicion of wrongdoing associated with any gaming 

activities; 

13. Hold hearings on patron complaints, in accordance with procedures 

established in this Ordinance and/or any Commission regulations; 

Page 7 of 22 

Approved by Tribal Council on _____ 2015 
14. Comply with any and all reporting requirements under IGRA, the NIGC's 

regulations and any tribal-state compact to which the Tribe is a party, and any 

other applicabie iaw; 

15. Promulgate and issue regulations necessary to comply with applicable 

internal control standards; 

16. Promulgate and issue regulations on the levying of fees and/or taxes 

associated with gaming license applications; 

17. Promulgate and issue regulations on the levying of fines and/or the 

suspension or revocation of gaming licenses for violations of this ordinance or 

any Tribal, federal or state gaming regulations, if applicable; 

18. Establish a list of persons not allowed to game in the Tribe's gaming facilities 

in order to maintain the integrity of the gaming operation; 

19. Establish a list of persons who have voluntarily agreed to be excluded from 

the Tribal gaming facility, and create regulations for enforcing the exclusions; 

20. Provide referrals and information to the appropriate law enforcement officials 

when such information indicates a violation of Tribal, federal or state statutes, 

ordinances, regulations, codes or resolutions; 

21. Create a list of regulatory authorities that conduct background investigations 

of, and license, vendors who are recognized as trustworthy; 

22. Draft regulations exempting vendors from the licensing and/or background 

investigation requirements if they have received a license from a recognized 

regulatory authority; 

23. Perform such other duties the Commission deems appropriate for the proper 

regulation of the Tribal gaming operation; and 

24. Promulgate such regulations and guidelines as deemed appropriate to 

implement the provisions of this Ordinance, .so long as they are in furtherance 

of, and not in conflict with, any provisions of this ordinance. 

25.The Commission will also have a role in monitoring compliance with the 

gaming operation's internal controls and in tracking gaming revenues. In 

order to carry out its regulatory duties, the Commission shall have 

unrestricted access to all areas of the gaming operation and to all of its 

records. The Commission shall have authority to take enforcement actions, 

including suspension or revocation of an individual gaming license, when 

appropriate. 

Page8 of22 

Approved by Tribal Council on _____ 2015 
F. Reporting. The Commission shall cause a report to be submitted quarterly to the 

Council on the Commission's responsibilities. The Commission shall report to the 

Council twice annually on the performance of any approved Management 

Company with whom the Tribe has an approved contract. 

G. Confidential Records. The Commission shall ensure that all records and 

information obtained as a result of an employee background investigation shall 

remain confidential and shall not be disclosed to any persons who are not directly 

involved in the licensing and employment processes. Information obtained during 

the course of an employee background investigation shall be disclosed to 

members of management, human resource personnel and/or others employed by 

the Tribal gaming operation on a need-to-know basis, for actions taken in their 

official capacities. 

The confidentiality requirements above, do not apply to requests for such records 

or Information from any tribal, federal, or state law enforcement or regulatory 

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

in the performance of their official duties. 

6.08.090 Audits 

A. The Tribe shall cause to be conducted independent audits of gaming operations 

annually and shall submit the results of those audits to the NIGC. 

1. Annual audits shall conform to generally accepted auditing standards. 

B. All gaming-related contracts that result in the purchase of supplies, services or 

concessions for more than $25,000 in any year (except contracts for 

professional legal and accounting services) shall be specifically included within 

the scope of the audit conducted under Section 6.08.090(A) of this Ordinance. 

C. Copies of the annual audit of each licensed gaming operation, and each audit for 

supplies, services or concessions of each gaming operation, shall be furnished to 

the NIGC within 120 days after the end of each fiscal year of the gaming 

operation. 

6.08.100. Environment and Public Health and Safety 

A. Each gaming facility shall be constructed, maintained, and operated in a manner 

that adequately protects the environment and the health and safety of the public. 

B. The Commission shall identify and enforce laws, resolutions, codes, policies, 

standards, or procedures, which are applicable to each gaming place, facility or 

location, to ensure adequate protection of the environment and the health and 

safety of the public. 

Page9 of 22 

Approved by Tribal Council on _ ____ 2015 
6.08.110. Patron Dispute Resolution 

o~+N"'\nc t,uifh l'omnl.-:.:; ..... +Ct> ~g~="s" +hL'\ gr\11"'¥\in ..... e«"j.,,h,l;~h~""'' '"'"" ........ "'"""' ... : ..... ,,,.. """'"'""" ... :,.a_,.a +-.,. 1 G\.IVll\,;t Vv1u1 '-" '''t-''"'''''.;J 0 QUI l \lfQ Clll1tll~ O\Ciltrr.IUWIUllQll'- \llV\ V\llVSVYl"O t-'IVYIUCU IVI 

by Squaxin Island Tribe Tort Claim Ordinance) shall have as their sole remedy the right 

to file a petition for relief with the Commission. Complaints shall be submitted in writing. 

The Commission shall hold a hearing within 30 days of receipt of the petitioner's 

complaint. The petitioner may have counsel present at the hearing. The petitioner may 

be allowed to present evidence, at the discretion of the Commission. After the hearing, 

the Commission shall render a decision in a timely fashion. All such decisions will be 

final when issued. Any patron complaint must be submitted to the Commission within 

thirty (30) days of the incident giving rise to the complaint. All claims by patrons shall be 

limited to a maximum recovery of $500.00 per occurrence, and a cumulative limit of$ 

1,000.00 per patron in any 12-month period, except disputes relating to a patron's 

entitlement to a game prize, which shall be limited to the amount of such prize. The 

Commission's decision shall be considered final, and not subject to appeal. 

6.08.120. Facility Licenses 

A. The Tribe shall issue a separate license to each place, facility or location on 

Indian lands where Class II and/or Class Ill gaming is conducted under this 

Ordinance. 

B. The Commission is responsible for issuing new or renewed facility licenses to 

each place, facility or location. 

6.08.120. Agent for Service of Process 

The Tribe designates the Chairman of the Squaxin Island Tribal Council as the agent for 

service of any official determination, order or notice of vlolatlon. 

6.08.140. Tribal Access to Financial Information 

A copy of the Tribal gaming operation's annual audit will be made available for review to 

the Squaxin Island Tribal Council. 

6.08.140. License Application Forms 

A. The following notice shall be placed on the Tribe's license application form for a 

key employee or a primary management official before it is filled out by an 

applicant: 

In compliance with the Privacy Act of 197 4, 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 granted a gaming license. The information will be used by the 

Tribal gaming regulatory authorities and by the National Indian Gaming 

Page 10 of 22 

Approved by Tribal Council on _ ____ 2015 
Commission members and staff who have need for the information in the 

performance of their official duties. The information may be disclosed by the Tribe 

or the NIGG 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 

NIGG in connection with the issuance, denial, or revocation of a gaming license, 

or investigations of activities while associated with a tribe or a gaming operation. 

Failure to consent to the disclosures indicated in this notice will result in a tribe 

being unable to license you for a primary management official or key employee 

position. 

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

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

B. The following additional notice shall be placed on the application form for a key 

employee or a primary management official before it Is filled out by an applicant 

A false statement on any part of your license application may be grounds for 

denying a license or the suspension or revocation of a license. Also, you may be 

punished by fine or imprisonment (U.S. Code, title 18, section 1001 ). 

6.08.150. License Fees 

The Tribe may charge a license fee, to be set by the Commission, to cover its expenses 

in investigating and licensing key employees and primary management officials of the 

gaming operation. 

6.08.160. Fingerprints 

The Commission shall perform a background investigation for each primary 

management official and key employee of the gaming operation. The Commission shall 

request fingerprints from each primary management official and key employee. 

Fingerprints shall be taken by the Commission and will then be forwarded to the NIGG 

for processing through the Federal Bureau of Investigation ("FBI") and the National 

Criminal Information Center to determine the applicant's criminal history, if any. 

6.08.170. Background Investigations 

A. The Commission shall perform a background investigation for each primary 

management official and key employee in the gaming operation. 

B. The Commission is responsible for conducting the background investigations of 

primary management officials and key employees. 

C. The Commission shall obtain from each primary management official and key 

employee all of the following information: 

Page 11of 22 

Approved by Tribal Council on _____ 2015 
1. Full name, other names used (oral or written), social security number, birth 

date, place of birth, citizenship, gender and all languages spoken and/or 

'Atr"if+o,....)• 

YYlll.\.QI J J 

2. Currently, and for the previous five (5) years, business and employment 

positions held, ownership interests in those businesses, business and 

residential addresses, and driver's license numbers; 

3. The names and current addresses of at least three (3) personal references, 

including one ( 1) personal reference who was acquainted with the applicant 

during each period of residence listed under paragraph (C)(2) of this section; 

4. Current business and residential telephone numbers, and all cell phone 

numbers; 

5. A description of any existing and previous business relationships with other 

tribes, including any ownership interests in the businesses; 

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

gaming industry generally, including ownership interests in the 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 of 

disposition, if any; 

9. For each misdemeanor conviction or ongoing misdemeanor prosecution 

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

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

disposition, if any; 

10. For each criminal charge {excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge is within 1 O years of the date of 

the application, and is not otherwise listed pursuant to paragraphs (C)(8) or 

(C)(9) of this Section, the criminal charge, the name and address of the court 

involved, and the date of disposition, if any; 

11. 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; 

12.A photograph;19 

13. Any other information the Tribe deems relevant; and 

Page 12 of 22 

Approved by Tribal Council on _____ 2015 
14. Fingerprints obtained in accordance with procedures adopted by the Tribe 

pursuant to 25 C.F.R. § 522.2(h).20. 

D. When a primary management official or key employee is employed by the Tribe, 

a complete application file, containing all of the information listed in Section 

6.08.160 (c), shall be maintained. 

6.08.180. Background Investigations and Investigative Reports. 

A. The Commission shall be responsible for conducting a background investigation 

of each applicant for a primary management official or key employee position. 

The investigation must be sufficient to allow the Commission to make an eligibility 

determination under Section 6.08.190 of this Ordinance. 

B. The Commission shall create and maintain an investigative report for each 

background investigation of a primary management official or key employee. 

C. Investigative reports shall include all of the following information: 

1. Steps taken in conducting the investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The basis for those conclusions. 

6.08.190. Ellglbility Determinations 

A. Before a license is issued to a primary management official or key employee, the 

Commission shall make a finding concerning the eligibility of that person for 

receiving a gaming license by reviewing the applicant's prior activities, criminal 

record, if any, and reputation, habits and associations. 

B. If the Commission, in applying the standards adopted in this Ordinance, 

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

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

unfair or illegal practices, methods and/or activities in the conduct of gaming, he 

or she shall not license that person in a key employee or primary management 

official position. 

C. Copies of the eligibility determination shall be included with the notice of results 

that must be submitted to the NIGC before the licensing of a primary 

management official or key employee. 

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Approved by Tribal Council on _ ____ 2015 
6.08.200. Notice of Results of Background Investigations 

A. Ri::..fnri::> ic:c:11inn ~ lir.oneo ti'\ a prima"'' mcu"IOt"IO ..... ot'\+ l"lffil'i~I ,.. .. "e" 0 ......... 1"""""' +he --·-•- •--"""' .. "tf '-"' """"''""" "" '"'' ,, t n.•1U .. 4:::J¥1ft"ll\. VlllVIUI VI f\ y ""''''t''V.JQVy U•V 

Commission shall prepare a notice of results of the applicant's background 

investigation to submit to the NlGC. 

1. The notice of results must be· submitted to the NIGC no later than 60 days 

after the applicant begins working for the Tribe. 

B. The notice of results shall include the following information: 

1. The applicant's name, date of birth, and social security number; 

2. The date on which the applicant began, or will begin, working as a primary 

management official or key employee; 

3. A summary of the information presented in the investigative report, including: 

a. licenses that have previously been denied; 

b. gaming licenses that have been revoked, even if subsequently 

reinstated; 

c. every known criminal charge brought against the applicant within the 

last 1 O years of the date of the application; and 

d. every felony offense of which the applicant has been convicted or any 

ongoing prosecution; and 

4. A copy of the eligibility determination made in accordance with Section 

6.08.190. 

6.08.210. Granting Gaming Licenses 

A All primary management officials and key employees of the gaming operation 

must have a gaming license issued by the Tribe. 

B. The Commission Is responsible for granting and issuing gaming licenses to 

primary management officials and key employees. 

C. The Commission may license a primary management official or key employee 

applicant after submitting a notice of results of the applicant's background 

investigation to the NIGC, as required by Section 6.08.200. 

D. The Commission shall notify the NIGC of the issuance of a license to a primary 

management official or key employee within 30 days of issuance. 

E. The Tribe shall not employ an individual in a primary management official or key 

employee position who does not have a license after 90 days of beginning work 

at the gaming operation. 

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Approved by Tribal Council on _____ 2015 
F. The Commission must reconsider a license application for a primary 

management official or key employee if it receives a statement of itemized 

objections to issuing such a license from the NIGG, and those objections are 

received within 30 days of the NIGG receiving a notice of results of the 

applicant's background investigation. 

1. The Commission shall take the NIGC's objections into account when 

reconsidering a license application. 

G. The Commission will make the final decision whether to Issue a license to an 

applicant for a primary management official or key employee position. 

H. If the Commission has issued a license to a primary management official or key 

employee before receiving the NIGC's statement of objections, notice and a 

hearing shall be provided to the licensee, as required by Section 6.08.200. 

6.08.220. Denying Gaming Licenses 

A. The Commission shall not license a primary management official or key 

employee if it is determined, in applying the standards in Section 6.08.190 for 

making a license eligibility determination, that licensing the person: 

1. Poses a threat to the public interest; 

2. Poses a threat to the effective regulation of gaming; or 

3. Creates or enhances the dangers of unsuitable, unfair or illegal practices, 

methods and/or activities in the conduct of gaming. 

B. When the Commission does not issue a license to an applicant for a primary 

management official or key employee position, or revokes a previously issued 

license after reconsideration, it shall: 

1. Notify the NIGG; and 

2. Forward copies of its eligibility determination and notice of results of the 

applicant's background investigation to the NIGC for inclusion in the Indian 

Gaming Individuals Record System. 

6.08.240. Gaming License Suspensions and Revocations 

A. If, after a license is issued to a primary management official or a key employee, 

the Commission receives notice from the NIGG that the primary management 

official or key employee is not eligible for employment, the Commission shall do 

the following: 

Page 15 of 22 

Approved by Tribal Council on _ ____ 2015 
1. Immediately suspend the license; 

2. Provide the licensee vvith \"lritten notice of the suspension 

revocation; and 

3. Provide the licensee with notice of a time and place for a hearing on the 

proposed revocation of the license. 

B. The right to a revocation hearing vests only when a license is granted under an 

ordinance approved by the NIGG Chair. 

C. Following a revocation hearing, the Commission shall decide whether to revoke 

or reinstate the license at issue. 

D. The Commission shall notify the NIGC of its decision to revoke or reinstate a 

license within 45 days of receiving notification from the NIGC that a primary 

management official or key employee is not eligible for employment. 

6.08.250. Records Retention 

A. The Tribal Gaming Commission shall retain, for no less than three years from the 

date a primary management official or key employee is terminated from 

employment with the Tribe, the following documentation: 

1. Applications for licensing; 

2. Investigative Reports; and 

3. Eligibility Determinations. 

6.08.260. Licenses for Vendors 

Vendors of gaming services or supplies, with a value of $25,000 or more annually, must 

have a vendor license from the Tribal Gaming Commission In order to transact business 

with the Tribal gaming operation. Contracts for professional legal and accounting 

services are excluded from this Section. 

6.08.270. Submission of a Vendor License Application 

In order to obtain a gaming vendor license, the business must complete a vendor 

application and submit to background checks of itself and its principals. Principals of a 

business include those officers, directors, managers, owners, partners, and noninstitutional stockholders that either own 10% or more of the business' stock or are the 

10 largest stockholders, as well as the on-site supervisors or managers designated in 

an agreement with the Tribe, if applicable. 

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Approved by Tribal Council on _____ 2015 
.. 

6.08.280. Contents of the Vendor License Application 

A. Applications for gaming vendor licenses must include the following: 

1. Name of business, business address, business telephone number(s), federal 

tax identification number (or social security number, if a sole proprietorship), 

main office address (if different from business address), any other names 

used by the applicant in business, and type of service(s) applicant will 

provide; 

2. Whether the applicant is a partnership, corporation, limited liability company, 

sole proprietorship or other entity; 

3. If the applicant is a corporation, the state of incorporation and the qualification 

to do business in the State of Washington, if the gaming operation is in a 

different state than the state of incorporation. 

4. Trade name, other names ever used and names of any wholly owned 

subsidiaries or other businesses owned by the vendor or its principals; 

5. General description of the business and its activities; 

6. Whether the applicant will be investing in, or loaning money to, the gaming 

operation, and, if so, how much; 

7. A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

8. Names, addresses and telephone numbers of three (3) business references 

with whom the company has regularly done business for the last five (5) 

years; 

9. The name and address of any licensing or regulatory agency with which the 

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

whether or not such license or permit was granted; 

1 O. If the business has ever had a license revoked for any reason, the 

circumstances involved; 

11.A list of lawsuits to which the business has been a defendant, including the 

name and address of the court involved, and the date and disposition, if any; 

12.A list the business' funding sources and any liabilities of $50,000 or more; 

13. A list of the principals of the business, their social security numbers, 

addresses, telephone numbers, titles, and percentage of ownership in the 

company; and 

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Approved by Tribal Council on _____ 2015 
14. Any further information the Commission deems relevant. 

B. The following notice shall be placed on the application form for a vendor and its 

principals: 

Inclusion of false or misleading information in the vendor application may be 

grounds for denial or revocation of the Tribe's vendor license. 

C. A vendor may submit to the Commission a copy of a recent license application to 

another jurisdiction if it contains the information listed above. The vendor will be 

required to submit, in writing, any changes in the information since the other 

license application was filed, and any information requested by the Tribe not 

contained In the other application. 

6.08.290. Vendor Background Investigations 

The Commission shall complete an investigation of a gaming vendor. This investigation 

shall include, at a minimum, the following steps: 

A. Verification of the vendor's business' incorporation status and qualifications to do 

business in the state where the gaming operation is located; 

B. Obtaining a business credit report, if available, and conducting a Better Business 

Bureau check on the vendor; 

C. Conducting a check of the vendor's business' credit history; 

D. Calling and questioning each of the references listed in the vendor application; 

and 

E. Conducting an investigation of the principals of the vendor's business, including 

facilitating a criminal history check, obtaining criminal history check results, 

obtaining a credit report, and interviewing the personal references listed. 

6.08.300. Vendor License Fees 

The Tribe may charge a license fee, to be set by the Tribal Gaming Commission, to 

cover its expenses in investigating and licensing vendors of the gaming operation. 

6.08.310. Vendor Background Investigation Reports 

An Investigative report covering each of the steps taken in the background investigation 

of the gaming vendor and its principals. shall be completed and considered by the 

Commission. 

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Approved by Tribal Council on ___ __ 2015 
6.08.320. Exemption for Vendors Licensed by Recognized Regulatory 

Authorities 

The Commission may adopt regulations naming specific licensing authorities that it 

recognizes and may authorize exemptions to the vendor licensing process for vendors 

who have received a license from one of the named regulatory authorities. 

6.08.330. Gaming Operations. 

A. The Tribe's Class II gaming may be conducted each and every day of the week 

and at such hours of the day or night as determined in the exercise of the Tribe's 

sole discretion, and there shall be no limit as to prize money for any single 

gaming activity, bingo game or session except as determined in the exercise of 

the Tribe's sole discretion. The Tribe's Class Ill gaming may be conducted each 

and every day of the week and at such hours of the day or night as determined in 

the exercise of the Tribe's sole discretion> and there shall be no limit as to prize 

money for any single gaming activity, bingo game or session except as 

determined in the exercise of the Tribe's sole discretion and as limited, if at all, by 

agreement in a tribal-state compact. 

B. All persons involved in the conduct of Class II and Class Ill gaming must be a 

bona fide employee of the Tribe or contractor. 

C. No person under the age of eighteen (18) shall participate in any Class II or 

Class Ill gaming. If liquor is served at any gaming facility, no person under the 

age of twenty-one (21) shall participate in any Class II or Class Ill gaming. 

D. No person who holds, operates, conducts or assists in holding, operating or 

conducting Class II or Class Ill gaming may play at the game at which such 

person is holding, operating, conducting or assisting. 

E. All persons operating or assisting the operation or conduct of any Class II or 

Class Ill gaming shall wear their Identification Badge, issued by the Tribal 

Gaming Agency. The Badges shall be legible tags evidencing the person's name 

and photo, and the legend of the Tribe. Identification Badges must be visible and 

worn or otherwise affixed to all persons operating or assisting in the operation of 

any Class II or Glass Ill gaming, in accordance with applicable internal controls. 

6.08.340 Violations-Jurisdiction. 

A. It is unlawful for any person to: 

1. Alter or misrepresent the outcome or other event on which wagers have been 

made after the outcome is made sure but before it is revealed to the players; 

2. Place, increase or decrease a bet or to determine the course of play after 

Page 19 of22 

Approved by Tribal Council on _____ 2015 
acquiring knowledge, not available to all players of the outcome of the game 

or any event that affects the outcome of the game or which is the subject of 

tho hof l"\r tn ~in an\11""\0 in ~"'""' 1i .. inn C'I tl"h kr."'u1lndrtn /nr> +he ............ ,.,.,.,.. ,..~ •• '" """""' "'' "'"' '°"''""' ''1'°"' ''* JI' M'-''1""" U I~ ~UVJ I tVVWIV ~V •VI U I ,..,Ut t'VOQ UJ 

placing, increasing or decreasing a bet or determining the course of play 

contingent upon that event or outcome; 

3. Claim, collect or take or attempt to claim, collect or take, money or anything of 

value in or from a gambling garnet with intent to defraud, without having made 

a wager thereon, or to claim, collect or take an amount greater than the 

amount won; 

4. Knowingly to entice or induce another to go to any place where a gambling 

game is being conducted or operated in violation of the provisions of the 

tribal-state compact or this chapter with the intent that the other person play 

or participate in that gambling game; 

5. Place or increase a bet after acquiring knowledge of the outcome of the game 

or other event which is the subject of the bet, including past-posting and 

pressing bets; 

6. Reduce the amount wagered or cancel the bet after acquiring knowledge of 

the outcome of the game or other event which is the subject of the bet, 

including pinching bets; 

7. Manipulate with the intent to cheat, as defined below, any component of a slot 

machine or gaming device in a manner contrary to the design and normal 

operational purpose for the component. including, but not limited to, varying 

the pull of the handle of a slot machine or gaming device, with knowledge that 

the manipulation affects the outcome of the game or with knowledge of any 

event that affects the outcome of the game; 

8. Knowingly to use other than coins or tokens approved by the Tribe, or other 

lawful coin, legal tender of the United States of America, or to use coin not of 

the same denomination as the coin intended to be used in the gambling 

game; 

9. Use any device or means to cheat as defined below. or to possess any such 

device while at the Tribe's gaming facility; 

1 O.Any person having a direct or indirect financial interest in a management 

contract, a person having management responsibility for a management 

contract, or their agents to significantly and unduly influence the adoption of 

an ordinance or resolution regarding Class 11 or Class Ill gaming; 

11.Give or provide, or offer to give or provide, directly or indirectly to any Tribal 

Council or Commission member, primary management official, key employee, 

Page20 of22 

Approved by Tribal Council on ____ _ 2015 
.. 

employee, contractor, or any person with an indirect or direct interest in the 

operation of Class II or Class Ill gaming any commission or reward, or share 

of the money or property paid or received through gambling activities, in 

consideration for obtaining any license, authorization, permission or privilege 

to participate in any gaming operations except as authorized by this chapter 

or the rules and regulations adopted pursuant to this chapter. 

B. For purposes of this section, "cheat" means to alter the selection of criteria which 

determined the result of a Class II or Class Ill gaming activity, or the amount or 

frequency of payment in such gaming activities. 

C. Any person who willfully or knowingly violates any provision of this chapter, or 

any rule or regulation authorized thereunder, shall be guilty of a criminal offense 

punishable by a fine not to exceed five hundred dollars ($500.00) for each 

violation, or for each day the violation continues, or by imprisonment for not more 

than six months, or both. 

D. Any person who willfully and knowingly violates any provision of this chapter, or 

any rule or regulation authorized thereunder, may have the equipment, material 

and supplies used in conducting the unlawful activity seized and forfeited. 

E. The Tribal Courts shall have exclusive civil and criminal jurisdiction with respect 

to Class II gaming. The Tribe may, with respect to Class Ill gaming, enter into a 

tribal-state compact allocating criminal jurisdiction and establishing enforcement 

protocols. Nothing, however, in this chapter shall be construed to authorize or 

require the criminal trial and punishment by the Tribe of non-Indians except to the 

extent allowed or required by any applicable present or future act of Congress or 

any applicable federal court decision. 

F. The Tribe shall retain the right to revoke any license of any contractor who 

engages in conduct other than as authorized by this chapter, the tribal-state 

compact or the contractor's agreement with the Tribe, which involves moral 

turpitude, dishonesty or any act which is punishable as a felony or misdemeanor 

involving moral turpitude under state or federal laws, or which involves a violation 

of tribal law. 

6.08.350. Net Revenue Tax. 

There shall be a trlbal tax of that percentage of the net Class II and Class Ill gaming 

revenue equivalent to one and one-half percent ( 1.5%) of gross revenues within the 

jurisdiction of the Tribe. The tribal tax shall be assessed and paid monthly into the 

Squaxin Island general fund. "Net revenues" means gross gaming revenues less 

amounts paid out as, or paid for, prizes; and total gaming-related operating expenses, 

excluding management fees. The Council may reduce or waive such tax as necessary 

to promote economic development on the reservation. 

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Approved by Tribal Council on _____ 2015 
6.08.360. Compliance. with Federal Law 

The Tribo s~a1 1 ""omni" u"1•h a" 0 """1;,.,,.hlo '!l"'" .. 1 1"''•'S i"'"1 • • • • v '' 1 v '''t' y .,.. \ ' "g..,.., •VCAV ~ l\,;;nro.AVtClu IQVY , nu.,1uu11s~ ' ,,u"'"' +hn u v B"nk Cl Se,.. VtV"-'Y ..... ,.. .. r\\,l.t " .... 

31 U.S.C. § 5311 et seq. 

6.08.370 Severabllity Clause. 

The provisions of this chapter shall be severed and if any phrase, clause. sentence or 

provision of this chapter is found to be contrary to the Tribe's Constitution, or declared to 

be in violation of applicable federal law or is held to be invalid, the validity of the 

remainder of this chapter shall not be affected and shall remain in full force and effect. 

6.08.380 Enactment of Tribal-State Compact. 

The provisions of this chapter relating to the operation of Class Ill gaming shall become 

effective upon the effective date of the tribal-state compact. The Tribe enacts and 

incorporates herein by reference all of the provisions of the tribal-state compact as fully 

set forth in this chapter. 

6.08.390. Repeat 

To the extent that they are inconsistent with this Ordinance, all prior Tribal gaming 

ordinances are hereby repealed. 

6.08.400. Effective Date 

This ordinance shall take effect immediately upon its approval by the NIGC Chair. 

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Approved by Tribal Council on _____ 2015