Beverly J. Bennett, Chairperson 

Lower Elwha StKlallam Tribal Council 

1666 Lower Elwha Road 

Port Angeles, Washington 98362 

Dear Chairperson w en nett: 

This letter responds to your request to review and approve the 

tribal gaming ordinance adopted on February 11, 1994, for the 

Lower Elwha StKlallam Tribe (Tribe). This letter constitutes 

such approval under the Indian ~aming 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. Also, such 

approval does not constitute approval of specific games. 

It is important to note that 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. S 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. 5 556.5(b). 

Thank you for submitting the ordinance of the Lower Elwha 

SIKlallam Tribe 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. klece 

Anthony f. Hope 

chairman 

1850 M STREET. N.W.. SUITE 250 WASHINGTON. D.C. 26036 TEL.: 202.632-7003 FAX 202-632-7066 
rHA ROAD 

WA 98362 

Resolution 26-94 

Class I1 Gaming Ordinance 

February 1 1, 1994 

3 POUBCJ!, 

(206) 452-841 1 

FAX (206) 452-3428 

WHEREAS, The Lower Elwha Klallam Tribal Community Council is the governing body of 

the Lower Elwhrr Band of the Klallam Tribe in accordance with its Constitution and By-Laws, 

approved by the Secretaj of the Lnterior on April 28, 1968, and in accordance wth the 

h&an Reorganizat~on ~ct of June 18, 1934; and 

WHEREAS, the Lower E1,wha KlaIlarn Business Committee 1s responsible for the Health, 

Safety. Education, Welfare, Soclal md Economic Development, Natural resources, Law and 

Order, Judicial Services, Housing, and most importantly to preserve the Culture, Treaty 

R~ghts, and otherw~se promote the welfare of our Indian people; and 

1 WHEREAS, the Lower &ha Klallam Business Committee recognizes the need for a Class 

I1 Gaming Ordinance for the purpose of conducting Class LI gamlng on the Lower Elwha 

Tribal Lands; I 

I 

NOW THEREFORE BE IT RESOLVED, that the Lower Elwha Business Committee hereby 

approves the attached Class II Gaming Ordnance for the purpose of conduchng Class I1 

Gaming on the Lower Elwha Klallam Tr~bal Lands. 

I I CERTIFICATION 

I 

The above Resolulion war bresented at a rneetlng of the Lower Elwha Klallam Business 

Comm~ttee at which time a quorum was present and voted to adopt FORLAND AGAINSTA Dated this Lday of Februam , 1994. 

I 

Lower Elwha Klallatll Tribe Lower Elwha Klallam Tribe 

! 
Lower Elwha Class 11 Gaming Ordinance 

I. Purpose 

The Tribal Council (or Tribal Business Committee in the absence of a quorum of the 

Tribal Council), empowered by the Lower Elwha Tribe's Constitution to enact ordinances, 

hereby enacts this ordinance in order to set the terms for class I1 gamlng operations on Tribal 

lands. 

11. Gaming Authorized 

Class I1 gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25 

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

Indian Gaming Commission at 25 C.F.R. rj 502.3 (as published in the Federal register at 57 

FR 12382- 12393, April 9, 1992) is hereby authorized. 

111. Ownership of Gaming 

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

of any gaming operation author~zed by this ordinance (unless the Tribe elects to allow 

individually owned gaming). 

IV. Use of Gaming Revenue 

A. Net revenues from Class I1 gaming shall be used only for the following 

purposes: to fund Tribal government operations and programs; provide for the 

general welfare of the Tribe and its members; promote Tribal economic 

development; donate to charitable organizations; or help fund operations of 

local government agencies. 

B. If the Tribe elects to make per capita payments to Tribal members, it shall 

authorize such payments only upon approval of a plan submitted to the 

Secretary of the Interior under 25 U.S.C. 5 2710 (b)(3). 

V. Audit 

A. The Tribe shall cause to be conducted annually, as part of the Tribe's audit, an 

independent audit of gaming operations and shall submit the resulting audit 

reports to the National Indian Gaming Commission. 

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

concessions In excess of $25,000. annually, except contracts for profess~onal 
legal and accounting services, shall be specifically included within the scope of 

the audit that is described in subsection A. above. 

VI. Protection of the Environment and Public Health and Safety 

Class I1 gaming facilities shall be constructed, maintained and operated in a manner 

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

VII. Licenses for Key employees and Primary Management Officials 

The Tribe shall ensure that the policies and procedures set out in this section are 

implemented with respect to key employees and primary management officials employed at 

any class I1 gaming enterprise operated on Indian lands: 

A. Definitions 

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) Bingo Caller; 

(2) Counting Room Supervisor; 

(3) Chief of Security; 

(4) Custodian of gaming supplies or cash; 

(5) Floor manager; 

(6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit; 

(10) Custodian of gambling devises including persons 

with access to cash and accounting records within 

such devices; 

(b) If not otherwise included, any other person whose total 

cash compensation is in excess of $50,000. per year; or 

(c) If not otherw~se ~ncluded, the four most highly 

compensated persons in the gaming operation. 

2. Primary management official means 

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

(b) Any person who has authority: 

(I) To hire and fire gaming operation employees; or 

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

0 r 

(3) The Chief Financial Officer or other person who has 

financial management responsibility. 

B. Application Forms 

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

employee or a primary management official before that form is filled out be an applicant: 

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

Solicitation of the information on this form is authorized by the 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 

agenc'ies 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 and/or delays in processing your application. 

2. Existing key employees and primary management officials 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 for a key employee or a 

primary official before that form is filled out be 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. Code, 

Title 18, section 100 1) 

4. The Tribe shall notify in writing existing key employees and primary management 

officials 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. Background Investigations 

1. The Tribe shall request from each primary management official and from each key 

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: 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 the this 

section. 

d. Current business and residence phone numbers; 

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), within 10 years of the date of the 

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

disposition; 

j. For each criminal charge (excluding minor traffic charges), whether or 

not there is a conviction, if such criminal charge is within 10 years of 

the date of the application and is not otherwise listed pursuant to 

paragraph (1) (h) or (1) (i) of this section, 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; 

I. A current photograph; 

m. Any other information the Tribe deems relevant; and 

n. Fingerprints consistent with procedures adopted by the Tribe according 

to 25 C.F.R. 9 522.2 (h). 

2. The Tribe shall conduct an investigation sufficient to make a determination under 

subsection D. below. In conducting a background investigation, the Tribe or its agent shall 

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

investigation. 

D. Eligibility Determination 

The Tribe 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 or primary management official for employment in a gaming operation. If the 

Tribe determines that employment of the person poses a threat to the public interest or to the 

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

practices and methods and activities in the conduct of gaming, a tribal gaming operation shall 

not employ that person in a key employee or primary management official position. 

E. Procedures for forwarding Applications and Reports for Key Employees and 
Primary Management Officials to the National Indian Gaming Commission 

1. When a key employee or primary management official begins work at a gaming 

operation authorized by this ordinance, the Tribe 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 D of the section. 

2. The Tribe shall forward the report referred to in subsection F of the 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 or primary management 

official a person who does not have a license after 90 days. 

F. Report to the National Indian Gaming Commission 

1. Pursuant to the procedures set out in subsection E of this section, the Tribe shall 

prepare and forward to the National Indian Gaming Commission an investigative report on 

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

a. Steps taken in conducting a background investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions 

2. The Tribe shall submit, with the report, a copy of the eligibility determination 

made under subsection D. 

3. If a license is not issued to an applicant, the Tribe: 

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. 

4. With respect to key employees and primary management officials, the Tribe shall 

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

inspection by the Chairman of the Natlonal Indian Gaming Commission or designee for no 

less than three (3) years from the date of termination of employment. 
G. Granting a Gaming License 

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

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

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

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

and investigative report to the National Indian Gaming Commission, the Tribe may issue a 

license to such applicant. 

2. The Tribe 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 

per~od under paragraph G. (I) of this section until the Chairman of the National Gaming 

commission receives the additional information. 

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

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

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

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

the Tribe shall reconsider the application, taking into account the objections itemized by the 

National Indian Gaming Commission. The Tribe shall make the final decision whether to 

issue a license to such applicant. 

H. License Suspension 

I. If, after the issuance of a gaming license, the Tribe receives from the National 

Indian Gaming Commission reliable information ~ndicating that a key employee or a primary 

management official is not eligible for employment under subsection D. above, the Tribe shall 

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

proposed revocation. 

2. The Tribe 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 Tribe shall decide to revoke or to reinstate a gaming 

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

VIII. License Locations 

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

lands where class I1 gaming is conducted under this ordinance. 
1X. Repeal 

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

ordinances are hereby repealed. 

ADDITIONAL SUBMISSION REQUIREMENTS 

In addition to an ordinance, under 25 C.F.R. $552 or $523, a tribe must submit the 

following: 

1. Description of procedures for conducting background investigations; 

2. Description of procedures to issue tribal licenses to primary management 

officials and key employees; 

3. Description of procedures for resolving disputes between the gaming public and 

the Tribe or the management contractor (if any); 

4. Designation of an agent for service; 

5. Identification of a law enforcement agency that will take finger prints and 

describe procedures for conducting a criminal history check by a law 

enforcement agency; and 

6. Copies of all tribal gaming regulations.