(c) Cashier’s Cage/Gaming Station Security. To protect the gaming operation and the Tribe
from theft, the Gaming Agency shall perform the duties assigned to the Agency regarding

gaming station and cashier’s cage security and the procedure for counting and recording the
contents of drop boxes as outlined in the Compact.

(d) Employee _and Customer Safety. To ensure that the physical safety of the casino
employees and the public are adequately protected and that the gaming operation is complying
with the standards for public health and safety required in the Compact, the Gaming Agency
shall:
(i) Review the policies and procedures of the Casino with respect to health and safety
and meet at least quarterly with the Casino’s Human Resources Department to ensure that
the Casino’s policies and procedures: meet the standards for public health and safety
required by the compact.
(ii) Review the records of all health and safety inspections performed at the Casino
and determine whether any violations of the applicable health and safety requirements
have been corrected.
(iii) | Keep a log and follow-up on any possible safety hazard reported to or observed
by any Gaming Agent in the course of his or her regular duties.
(iv) Report any safety concerns to the Casino General Manager and the Tribal Gaming
Commission.

(e) Surveillance/Illegal Gambling Activity. The Gaming Agency has the authority to
investigate any illegal gambling or unlawful activity at the gaming facility and has the duty to
protect the gaming operation from theft. To protect the establishment and the patrons from
illegal gambling or related activity, gaming agents shall:
69) Monitor the surveillance cameras at all times during casino hours.
(ii) Keep a surveillance log recording all surveillance activities in the monitoring
room and recording all unusual occurrences for which a gaming agent is assigned to
investigate.
(iii) Ifa gaming agent suspects that illegal gaming activity or theft is occurring on a
gaming table or anywhere at the facility, the agent shall notify the Director of the Gaming
Agency, as soon as practicable.
(iv) _ Ifthe illegal gaming activity is being conducted by a person who is likely to flee,
the agent may temporarily detain the individual and shall then immediately notify law
enforcement.
(v) The Executive Director and the Agency shall work together with law enforcement
to investigate any suspected illegal activity at the Casino. The investigation shall be
conducted in as discreet a manner as possible to minimize the disruption of the casino
operation and to avoid unnecessary alarm to casino patrons.
(vi) To the extent such information will not jeopardize the investigation, the Executive
Director shall advise the General Manager on the status of the investigation, as soon as
practicable.

16
TITLE 17 - GAMING


Before convening in executive session, the presiding officer of the governing body shall
publicly announce the purpose for excluding the public from the meeting place, and the
time when the executive session will be concluded. The executive session may be
extended to a stated later time by announcement of the presiding officer.

(i) Conduct of Meetings. Meetings of the Commission shall be conducted according to
Robert's Rules of Order.

G) Commission Decisions. The Commission shall attempt to reach consensus on all
decisions, but in those cases where agreement cannot be reached, official actions of the
Commission shall be determined by vote.

(k) Proxy Voting. There will be no voting by proxy on any Commission matters.
17.03.06 Records

(a) Minutes. The Secretary shall maintain a permanent volume of the minutes of
Commission meetings and shall provide copies of the meeting minutes to each Commission
member. The minutes must be submitted to the Tribal Council within 20 days for their review as
well as making them accessible for viewing by the Tribal members.

(b) Commission Actions. The Secretary shall keep a permanent compilation of Commission
actions and reports and documents concerning Commission relations and accounts with all
institutions, advisory committees and consultants with whom the Commission has business or
official relationships.

17.03.07 Budget

The Gaming Commission shall create a proposed budget of necessary expenditures annually and
shall submit such budget to the Tribal Council and the Budget Committee for approval through
the tribal budget process. The Gaming Commission budget shall be separated from the Gaming
Agency budget.

17.03.08 Powers and Duties

(a) Oversight of Tribal Gaming Agency. The Commission shall provide oversight to the
Tribal Gaming Agency and oversee the activities and duties assigned to the Director and the
Tribal Gaming Agency in this ordinance to ensure compliance with this Ordinance and the Tribal
State Gaming Compact.

(b) Meetings with State Gaming Agency. The Commission shall meet with the State Gaming
Agency not less than quarterly, or as agreed by the Commission and State Agency, to review past
practices and examine methods to improve the regulatory program created by the Compact.

10
TITLE 17 - GAMING


(iv) _ For employee licenses, the individual seeking a license.

(d) Applicants must provide a general release and waiver for release of information required
to conduct the review and investigation.

(e) The Gaming Agency will only consider applications that are fully completed and
submitted on the approved Gaming Agency’s forms. Application forms are available
from the office of the Gaming Agency or will be mailed upon request.

17.06.04 Fingerprints

Each applicant for a Key Employee or Primary Management Official shall be required to have
fingerprints taken as part of the license application procedure. Fingerprints will then be
forwarded to the NIGC for processing through the FBI and NCIC to determine the applicant’s
criminal history, if any.

17.06.05 Waiver of Liability

(a) The application to receive a gaming license constitutes a request for determination of the
applicant’s general character, integrity and ability to participate or engage in or to be
associated with the gaming operation. Any written or oral statement made in the course
of an investigation, proceeding or process of the Gaming “Agency by any member,
employee or agent of the Tribe or by any witness, testifying under oath, which is relevant
to the investigation, proceeding or process, is absolutely privileged and shall not impose
any liability for slander, libel or defamation, or constitute any grounds for recovery in any
legal action. An applicant must accept all risk of adverse public notice, embarrassment or
other action that may result from the application and investigation process, and must
expressly waive any claim for damages as a result of the process.

(b) All applicants shall expressly waive any and all liability as to the Tribe, its commissions,
employees and agents for any damages resulting from disclosure or publication in any
manner of information acquired by the Gaming Agency during its licensing or other
investigations, inquiries or hearings.

17.06.06 Withdrawal of Application

An applicant may request to withdraw the application by submitting to the Gaming Agency a
written request for withdrawal. To be effective, the written request to withdraw must be received
by the Gaming Agency at least twenty-four (24) hours before the Gaming Agency approves or
issues a denial of the license.

22,
TITLE 17 — GAMING


NISQUALLY LAW AND ORDER CODE
TITLE 17
GAMING

17.01 GENERAL PROVISIONS

17.01.01 Purpose

The Nisqually Indian Tribe has established a casino gaming operation for the purpose of
promoting tribal economic development, self-sufficiency, and support for the programs and
people of the Nisqually Tribe. To help achieve these goals, the Tribe has entered into a Compact
with the State of Washington for the operation and regulation of Class III gaming. The purposes
of this Title are as follows:

(a) To support the continued operation of Class II and Class III gaming at the Tribe’s gaming
operation.

(b) To meet the regulatory requirements for Class III gaming that are included in the
Compact between the Nisqually Tribe and the State of Washington.

(c) To avoid unnecessary use of tribal resources through duplicity of actions between the
gaming operation and the tribal gaming agency.

17.01.02 Gaming Authorized

(a) Class I gaming shall be allowed within the jurisdictional territory of the Nisqually Tribe
and shall not be regulated. Class I games include social games solely for prizes of
minimal value or traditional forms of Indian gaming engaged in by individuals as a part
of, or in connection with, Tribal ceremonies or celebrations.

(b) Class II gaming as defined in Section 17.01.09(a) and Class III gaming defined in Section
17.01.09(b) are authorized at wholly-owned tribal enterprises. No entity other than the
Nisqually Tribe or a tribally owned corporation may conduct Class II or Class III gaming
on lands under the jurisdiction of the Nisqually Tribe.

(c) Class III gaming shall be conducted in accordance with the terms of a gaming compact
between the Tribe and the State of Washington or as otherwise allowed by federal law.

17.01.03 Environment and Public Health and Safety

(a) Gaming Facilities shall be constructed, maintained and operated in a manner that
adequately protects the environment and public health and safety.

TITLE 17 — GAMING


Section 17.06.09 is amended to read as follows:

17.06.09 Eligibility Determination

The Gaming Agency shall review and_verify a person's prior activities, criminal record, if any, and
reputation, habits and associations to make a finding concerning the eligibility of the applicant for
employment in a gaming operation. If the Gaming Agency 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, methods and activities in the conduct of gaming, the Agency shall
deny the application for a license.

BE IT FURTHER RESOLVED, that the Tribal Attorneys shall forward a copy of this resolution
to the National Indian Gaming Commission.

Certification

I certify that the above Resolution was adopted at a regular meeting of the Nisqually Tribal
Council held on the fot May of Ju 2012 at the Nisqually Tribal
Center, at which time a quorum was present fand voting & FOR _@__ AGAINST

~___ ABSTENTIONS.

ATTEST:
f
edd yi Lin Lyd Don DSeeunduo
thia Tyall, Chairman 7 Jedi”’Sanders, Secretary

ually Indian Tribe Nisqually Indian Tribe


(f) Inspection/Monitoring

(i) A Tribal Gaming Agent shall be present in the facility during all hours of the
gaming operation and shall have immediate access to any and all areas of the gaming
operation for the purpose of ensuring compliance with the provisions of the Compact and
this Ordinance.

(ii) Inspectors shall record in a permanent and detailed manner any and all unusual
occurrences within the gaming facility. Each incident, without regard to materiality, shall
be assigned a sequential number and, at a minimum, the following information shall be
recorded as required by the Compact or as otherwise agreed to between the State Gaming
Agency and the Tribe:

the assigned number;

the date;

the time;

the nature of the incident;

the person involved in the incident; and

the security department or Tribal Gaming Agency employee assigned.

mM OOD

(ii) Any violation(s) of the provisions of the Compact, or of tribal law by the Tribal
gaming operation, a gaming employee, or any person on the premises whether or not
associated with the Tribal gaming operation shall be reported immediately to the Tribal
Gaming Agency.

(iv) Monitoring shall be conducted in a manner that produces the least possible
disruption to the gaming operation and the service to casino patrons and adequate staffing
of agents will be maintained to support the Tribal gaming operation in maintaining
compliance for the purpose of providing quality service to patrons.

(g) Appendix X and X-2. The Gaming Agency shall fulfill the requirements of the compact
for resolving player’s disputes regarding participation in a game set as described in section 3.6.2
of Appendix X and X-2 of the Compact and shall fulfill all other duties assigned to the Tribal
Gaming Agency under those Appendices.

(h) Audits. The Gaming Agency shall provide assistance to the independent external auditor
as requested and shall assist in ensuring a timely response to all audit findings. The Gaming
Agency shall rely on the independent audits of the gaming operation, the independent auditor’s
required reports regarding material weakness in accounting and internal controls, and the opinion
of the independent auditor as to whether the operation has followed the system of accounting and
internal control on file with the Tribal Gaming Agency. It is the intent of this section that the
Agency work with both the gaming operation and the external auditor to ensure ongoing
compliance. It is not the intent that the Agency duplicate audit functions that have already been
performed.

17
TITLE 17 —- GAMING


17.06.10 Licensing Prior to Employment

Unless otherwise exempted by the Gaming Agency, or as provided for in this code or regulations
promulgated there under, an individual or entity required to be licensed must obtain the required
license, whether regular, temporary or conditional, prior to commencing their employment at or
by any gaming operation.

17.06.11 License in Compliance with Applicable Laws

No gaming license shall be granted in violation of any provision of tribal laws and regulations,
provisions of an applicable Tribal-State compact, IGRA and regulations promulgated there
under, or other applicable law. The Gaming Agency shall deny a license to any individual or
entity based on such criteria.

17.06.12 License and Investigation Reports to NIGC

(a) Within sixty (60) days after a licensee begins work in a gaming operation as a key
employee or primary management official, the Gaming Agency will complete and
forward to the National Indian Gaming Commission (NIGC) the application materials,
investigative reports and eligibility determination used to evaluate the applicant or
licensee eligibility for a license. The investigative report provided shall include at least
the following information: _ :

@ Steps taken in conducting the background investigation;
(ii) Results obtained;

(iii) | Conclusions reached; and

(iv) _ The basis for those conclusions.

(b) The Gaming Agency shall submit, with the investigative report, a copy of the eligibility
determination, unless the NIGC shall have advised the Gaming Agency that the
submission of the eligibility determination is not necessary. This determination shall
include a statement describing how the information was submitted by the applicant
verified; a statement of results following an inquiry into the applicant’s prior activities,
criminal record, if any, and reputation, habits and associations; a statement showing the
results of interviews of a sufficient number of knowledgeable people (such as former
employers, personal references, and others referred to by the applicant) in order to
provide a basis for the Gaming Agency to make a finding concerning the eligibility for
certification required for employment in a gaming operation; and a statement
documenting the disposition of all potential problem areas noted and disqualifying
information obtained.

(c) If, upon investigation and for any reason, the Gaming Agency does not issue or renew a

license for a key employee or management official, the Gaming Agency will notify NIGC
of such denial and may forward copies of the eligibility determination and investigative

25
TITLE 17 — GAMING


(g) Gaming Facility License. The Gaming Agency will issue a license to each tribally owned
facility or location where Class II or Class III gaming is to be conducted on tribal lands. Gaming
facility licenses are valid for no more than one (1) year from date of issuance. Inspection of
gaming facilities for the purposes of licensing includes review of security and surveillance
procedures and equipment; compliance with tribal ordinances and other applicable laws and
regulations, including the requirements of the Compact regarding gaming facilities; and
compliance with applicable safety requirements and codes.

17.06.02 Temporary or Conditional License

Any person or entity applying for a license under these regulations may be granted a temporary
or conditional license in lieu of a regular license, pending completion of a full and complete
investigation and review of the application, or in order to address specific areas of concern. The
expiration date and any applicable conditions to be satisfied prior to issuance of the regular
license will be stated on the temporary or conditional license. The Gaming Agency will not
authorize the continuation of employment of any person as a key employee or primary
management official for more than ninety (90) days, unless that person or entity holds a valid
license, issued by the Gaming Agency.

17.06.03 License Applications

A license applicant must submit all applicable material, including any fees required, to the office
of the Nisqually Tribal Gaming Agency. License applications are subject to the following
requirements:

(a) Applications must be submitted on forms approved by the Gaming Agency. An
application is considered incomplete until all information requested is provided to the
Gaming Agency. If the application is incomplete or if the applicant fails to promptly
provide any additional materials requested, the license may be denied. If the applicant
does not respond to notification of an incomplete application, the failure to submit
additional materials, or the failure to submit required fees, within thirty (30) days of the
notice, the Gaming Agency may close the applicant’s file.

(b) Applications must. be signed under oath by an individual attesting that the information
provided in the application and any accompanying materials is true, accurate and
complete.

(c) Applications must be signed by the following:

(i) For a corporation (non-profit or for profit), the highest ranking officer or official
of the corporation.

Gi) Fora sole proprietorship, the principal owner.

(iii) Fora partnership, all partners; for a limited partnership, the general partner.

21
TITLE 17 - GAMING


to it by the customer and the manager. The Gaming Commission shall then issue
a written decision and mail to the parties by registered mail or certified mail,
return receipt requested.

(b) The liability of the Gaming Operation in any dispute over game winnings shall be limited
to an amount of the alleged winnings, and a customer shall not be entitled to an award of special
or punitive damages, attorney’s fees, or damages for mental distress.

(c) The decision of the Gaming Commission shall not be subject to judicial review.

17.03.11 Fiduciary Duty of Commissioners

Commission members serve as fiduciaries for the Nisqually Tribe, and as such must follow the
strict fiduciary standards normally applicable to Tribal officials, including the Tribe's Code of
Conduct. Commission members owe the Tribe the duty of undivided loyalty and cannot be
influenced by individual interest or interests of a third party. Commission members shall act
fairly, justly, honestly, with sound judgment and prudence, but shall not be responsible for mere
mistakes or errors of judgment.

17.04 TRIBAL GAMING AGENCY

17.04.01 Purpose

The Tribal Gaming Agency has been created to maintain the integrity of the Tribe’s Class III
gaming operation, to ensure compliance with the Tribal-State Compact and to reduce the dangers
of unfair or illegal practices in the conduct of Class III gaming. The Nisqually Tribal Gaming
Agency shall be the primary regulator of gaming as defined in the Tribal-State Gaming Compact.

17.04.02 General Requirements

Tribal Gaming Agency personnel shall be independent of the Tribal gaming operation, and shall
be supervised and accountable only through the Gaming Agency’s chain of command. No
employee of the gaming operation may be an employee of the Tribal Gaming Agency. All
Gaming Agency employees shall meet standards equal to the requirements for license under this
Title and the Compact.

17.04.03 Chain of Command

The Executive Director shall be selected by the Nisqually Tribal Council. For the purposes of
ensuring compliance with the Tribe’s administrative policies, the Executive Director shall be
supervised by the Tribe’s Chief Executive Officer. The Executive Director shall have direct
supervision of the Agency’s staff.

14
TITLE 17 - GAMING


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 or the minor or other
legally incompetent person, under a plan approved by the Tribal Council and the
Secretary of the Interior. The Tribal Council must also establish criteria and a process for
withdrawal of funds by the parent or legal guardian.

(iii) The Nisqually Tribal Court shall be the forum for resolution of disputes
concerning the allocation of net gaming revenues and the distribution of per capita
payments.

(iv) | The Tribal Council shall ensure that the Tribal revenue allocation plan reserves an
adequate portion of net gaming revenues from the tribal gaming activity to do one or
more of the following purposes: fund Tribal government operations or programs; provide
for the general welfare of the Tribe or its members; promote tribal economic
development; donate to charitable organizations; or to help fund operations of local
government.

(vy) The Tribal Council shall ensure that distributions of per capita payments are made
according to specific eligibility requirements.

(vi) | The Tribal Council shall ensure that Tribal members are notified of the tax
liability for per capita payments and how taxes will be withheld.

17.03 TRIBAL GAMING COMMISSION

17.03.01 Establishment

(a) There is hereby established a Nisqually Tribal Gaming Commission which has been
created to provide oversight to the Tribal Gaming Agency, to act in an advisory capacity to the
Tribal Council and to interact with the State Gaming Agency on matters specified in this Code.

(b) The Tribal Gaming Commission is a subordinate agency of the Nisqually Indian Tribe.
The Commission shall comply with all Tribal administrative policies, including, but not limited
to, personnel, Indian preference in hiring, procurement, travel, budgeting, IT, and vehicle use
policies. Except for the appointment of Commissioners, the Gaming Commission shall utilize
the Tribe’s Personnel Department for recruitment and hiring of Gaming Commission staff.

(c) It is the intent of the Tribal Council that the Gaming Commission shall be bound by all

the provisions of Title 2 (Committees and Commissions) that are not inconsistent with the
provisions of this Title 17.

TITLE 17 - GAMING


MY 2
Nisqually Indian Tribe 2 2p
Tribal Council Resolution No. © [-2012

A RESOLUTION TO AMEND GAMING CODE ADOPTED BY RESOLUTION 54-2012

WHEREAS, the Nisqually Indian Tribe is the successor descendent entity of the Nisqually
Nation signatory to the Treaty of Medicine Creek of 1854 (10 Stat. 1132), and unto this day has
retained and maintained its Tribal identity, its governing body, and its sovereign powers;

WHEREAS, the Nisqually Indian Tribe is a federally recognized American Indian Tribe
organized under its governing Constitution and Bylaws approved by the U.S. Secretary of the
Interior on September 9, 1946 and amended on October 28, 1994, pursuant to Section 16 of the
Indian Reorganization Act, 25 U.S.C. 476;

WHEREAS, the Nisqually Tribal Council is the duly constituted governing body of the
Nisqually Tribe, and the Tribal Council is the duly elected representative body of the Gencral
Council by the authority of the Tribe’s Constitution and Bylaws, as amended;

WHEREAS, the Nisqually Tribal Council adopted Resolution 54-2012 on May 31, 2012,
approving a new gaming ordinance to replace and supersede the existing gaming ordinance as
Title 17 of the Nisqually Law and Order Code;

WHEREAS, the Tribe forwarded a copy of the new gaming code to the National Indian Gaming
Commission for review and approval as required by the National Indian Gaming Act; and,

WHEREAS, the National Indian Gaming Commission is requiring certain changes before
approving the new gaming ordinance.

NOW, THEREFORE, BE IT RESOLVED that the following amendments shall be made to the
gaming code that was approved by Resolution 54-2012:

A new subsection (d) is added to section 17.01.02 to read as follows:

17.01.02 Gaming Authorized

(d)_The tribe shall have the sole proprietary interest in and responsibility for the conduct of any gaming
operation on lands under the jurisdiction of the Tribe.

A new section 17.01.10 is added to read as follows:

17.01.10 Agent for Service under 25 CFR 519.1

The agent for service of any official determination, order or notice of violation under 25 CFRS19.1 is the
Nisqually Tribal Council Secretary.



a statement itemizing objections to the issuance of a license to an applicant, the Tribal
Gaming Agency will reconsider the application taking into account the objections raised.
The Tribal Gaming Agency will fully consider the information provided by the NIGC
and issue a formal decision after full reconsideration of the application and additional
information.

(b) If, within the thirty (30) day period, the NIGC requests additional information concerning
a license applicant for whom a report is provided, that request will suspend the thirty (30)
day period until the Chairman of the NIGC receives the information requested.

(c) If, after issuance of a license, the Tribe receives reliable information from the NIGC that
the licensee is not eligible for employment under the above provisions, the Gaming
Agency will take the following steps:

@ Suspend the license and notify the licensee immediately of the suspension and
proposed revocation of the license;

(ii) Notify the licensee of a time and a place for a hearing on the proposed revocation
of the license; and

(ii) Conduct the revocation hearing and make a determination whether to revoke or to
reinstate the license; and

(iv) Notify the NIGC of the final decision regarding the revocation or re-instatement
of the license.

17.06.17 Grounds for Denial, Suspension or Revocation of License

The Gaming Agency may deny, suspend or revoke a license when the applicant or licensee, or
any other person or entity with an ownership or management interest in a business applicant:

(a) Is determined to be a person whose prior activities, criminal record, if any, or reputation,
habits and associations pose a threat to the effective regulation of gaming or create or
enhance the chances of unfair or illegal practices, methods and activities in the conduct of
the gaming activities;

(b) has violated, or has failed or refused to comply with the provisions, requirements,
conditions, limitations or duties imposed by this Code, an approved Gaming Commission
regulation, the Tribal-State compact, the IGRA and regulations promulgated there under,
or any other applicable laws or regulations;

(c) knowingly causes, aids, abets or conspires with another to cause any person to violate any
of the applicable laws or regulations;

(d) has obtained a license by fraud, misrepresentation, concealment or through inadvertence
or mistake;

28
TITLE 17 —- GAMING


(b)

()

(@)

(e)

®

(g)

(h)

(i)

@

“Class III Gaming” shall mean all forms of gaming defined by 25 USC 2703(8), and by
the regulations of the National Indian Gaming Commission and authorized as Class III
games under the Nisqually Indian Tribe — State of Washington Gaming Compact. Pull
tabs and punchboards are deemed to be Class II games when operated in conjunction with
Bingo.

“Closely Associated Independent Contractor” shall mean any contractor that shares
common ownership, officers or directors with any management principal or person
related thereto.

“Compact” shall mean the Nisqually Indian Tribe — State of Washington Gaming
Compact and all amendments and appendices thereto.

“Commission or “Gaming Commission” shall mean the Nisqually Gaming Commission,
as established herein.

“Gambling” shall mean staking or risking something of value upon the outcome of a
contest of chance or a future contingent event not under the person’s control or influence,
upon an agreement or understanding that the person or someone else will receive
something of value in the event of a certain outcome.

“Gaming Contractor” shall mean any person or entity that supplies Class III or Class II
gaming devices or other Class III or Class II gaming equipment, personnel or services
including gaming management or consulting services to any Class III gaming activity or
eniterprise.

“Gaming Employee” shall mean any individual employed in the operation or
management of gaming in connection with the Tribe’s gaming operation or facility,
whether employed by or contracted to the Tribe or by or to any person or enterprise
providing gaming operation and management services to the Tribe, including, but not
limited to, gaming operation managers and assistant managers; accounting personnel;
surveillance and security personnel; cashiers; dealers or croupiers; box men; floormen;
pit bosses; shift bosses; cage personnel; collection personnel; gaming consultants; pari-
mutuel clerks; management companies and their principals; and any person whose
employment duties require or authorize access to areas of the gaming facility related to
gaming which are not otherwise opened to the public, or to areas designated by the Tribal
and State Gaming Agencies.

“Gaming Enterprise” -or “Gaming Operation” shall mean any enterprise operated by the
Tribe on Nisqually Tribal Lands for the conduct of any form of Class III or Class II

gaming.

“Gaming Facility” means a building in which Class II or Class III gaming activities are
conducted.

TITLE 17 - GAMING


(b) The Nisqually Tribal Council shall adopt standards that assure the adequate protection of
the environment and public health and safety.

17.01.04 Internal Controls

The Tribal Gaming Operation, under the direction of MCEC, shall develop internal controls as
required by the Tribal State Gaming Compact and shall submit such controls and any
amendments to the Tribal Gaming Agency and the Tribal Gaming Commission for review and to
the State Gaming Agency for approval as required by the Tribal-State Gaming Compact.

17.01.05 Sovereign Immunity

Nothing in this Title shall be construed as a waiver of the Nisqually Tribe’s sovereign immunity
from suit. The Tribe’s sovereign immunity is expressly preserved.

17.01.06 Effective Date

This Title shall become effective upon its approval by the Chairman of the National Indian
Gaming Commission. .

17.01.07 Repealer

Upon approval by the Chairman of the National Indian Gaming Commission, this Title shall
supersede and replace all prior laws, regulations and policies related to the regulation of gaming
under the jurisdiction of the Nisqually Indian Tribe, including, but not limited to, all prior
provisions of Title 17 and all regulations of the Nisqually Gaming Commission that were
adopted by either the Nisqually Tribal Council or the Commission prior to the enactment of this
Title except that the following regulations adopted by the Tribal Gaming Commission shall
remain in effect until repealed by the Tribal Gaming Commission:

(a) Regulation #08-97 (Hearing Procedures);

(b) Regulation #09-98 (Identification Badges).

17.01.08 Illegal Gambling or Related Activity

RCW 9.46.075; 9.46.140; 9.46.155; 9.46.160; 9.46.170; 9.46.180; 9.46.185; 9.46.190; 9.46.196;
9.46.198; 9.46.220; 9.46.221; 9.46.222; 9.46.240; or 67.16.060; as now or hereinafter amended,
to the extent such amendments concern the same subject matter as the old statutory provision, are
hereby incorporated into this Title as tribal law regarding any gaming affected by those sections.

17.01.09 Definitions
(a) “Class II Gaming” shall mean all forms of 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.

TITLE 17 —- GAMING


17.04.04 Administrative Policies

The Gaming Agency is a subordinate agency of the Nisqually Indian Tribe and shall comply
with the Tribe’s organizational structure. The Gaming Agency shall comply with all tribal
administrative policies, including, but not limited to, personnel, Indian preference in hiring,
procurement, travel, budgeting, IT, and vehicle use policies. Gaming Agency budgets shall be
separate from the Gaming Commission budget and shall be approved through the tribal budget
process. The agency shall utilize the Tribe’s Personnel Department for recruitment and hiring of
Agency staff.

17.04.05 Duties of Executive Director

(a) The Executive Director shall be responsible for the day-to-day operations of the Agency
and shall supervise all Agency staff;

(b) The Executive Director shall be responsible for ensuring that the agency complies with
all tribal administrative policies.

(c) The Executive Director shall ensure the Gaming Commission is informed of all
information and activities of Agency staff.

(d) The Executive Director shall be responsible for the budget of the Agency, as well as the
submission of its budget for review and approval through the tribal budget process.

(e) The Executive Director shall be responsible for the efficient operation of the Agency and
shall supervise all Agency staff.

( The Executive Director shall ensure that the Agency fulfills its responsibilities in a
manner that provides the least possible disruption to the gaming operation and its goal of
providing quality service to customers.

(g) The Executive Director shall meet with the State Gaming Agency as requested.

(h) The Executive Director shall forward all customer complaints regarding game winnings
that the Agency receives to the Casino General Manager to handle according to the

procedures established in section 17.03.10.

17.04.06 Duties and Responsibilities of Agency

(a) The Agency shall take and process applications for gaming licenses, conduct the
necessary background investigations, and forward completed application packets to the Gaming
Agency Executive Director with a recommendation for approval or disapproval.

(b) The Agency shall require all Casino employees to wear in plain view identification cards
issued by the Agency.

15
TITLE 17 - GAMING


(v) “Tribal Court” shall mean any court established by the Tribe to hear disputes or, if there
is none, the Tribal Council.

(w) “Tribal Gaming Agency” shall mean the single Tribal agency primarily responsible for
onsite regulation, control and security of all gaming conducted on Tribal lands and all
gaming authorized by the Compact.

(x) “Tribal Member” shall mean any duly enrolled member of the Tribe.

17.02 USE OF GAMING REVENUE

17.02.01 Use of Gaming Revenue

Net revenues from tribal gaming shall be used only for the following purposes:
(a) to fund tribal government operations and programs;

(b) to provide for the general welfare of the Tribe and its members;

(c) to promote tribal economic development;

(d) to donate to charitable organizations; or

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

17.02.02 _ Per Capita Payments

(a) “Per Capita Payment" means the distribution of money or other thing of value to all
members of the Tribe, or to identified groups of members, which is paid directly from the net
revenues of any tribal gaming activity. It is not necessary to have a provision allowing net
gaming revenues to be used for payment of revenue-sharing provisions in Tribal-State compacts;
these fall under promotion of tribal economic development because the Tribe must gain an
economic benefit in return for the payments.

(b) Ifthe Tribe elects to make per capita payments to tribal members from revenues derived
from its gaming operations, it shall ensure that the following requirements of 25 C.F.R. Part 290
are met:
(@) The Tribal Council shall authorize and issue such payments only in accordance
with a revenue allocation plan submitted to and approved by the Secretary of the Interior
under 25 U.S.C. $2710(b)(3).

(ii) | The Tribal Council shall ensure that the interests of minors and other legally
incompetent persons who are entitled to receive any per capita payments under a per
capita payment plan are protected and preserved, and that the per capita payments are

5
TITLE 17 — GAMING


17.06.07 Application Forms

(a)

(b)

(c)

The Gaming Agency shall provide application forms and instructions, as applicable, to
any individual or entity seeking to be licensed.

All license applicants must acknowledge in writing the applicability of the Privacy Act of
1974 and sign a notice regarding the penalty for making false statements on the
application. The following notices shall be placed on the application form.

(60) 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 the
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 supply a SSN may result in errors in processing your application.

(ii) . 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, § 1001).

Any gaming employee identified in subsection (b) above, which has not signed an
application containing the above notices, must either: (i) sign a statement which contains
the notices; or (ii) complete and sign a new application form which contains the notices.

17.06.08 Information Required From License Applicants

All License applicants, shall provide information to the Gaming Agency including, but not
limited to, the following:

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Full name, current address and telephone number(s) (both business and residence), date
and place of birth, Social Security number(s); any other names used (oral or written),
citizenship, gender, and all languages spoken or written;

23
TITLE 17 — GAMING


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AUG - 6 2012
Cynthia lyall, Chairman
Nisqually Indian Tribe
4820 She-Nah-Num Drive S.E.
Olympia, WA 98513

RE: Gaming Ordinance Amendments, Resolution Numbers 54-2012 and 69-2012

Dear Ms. lyall:

This letter responds to your request on behalf of the Nisqually Indian Tribe
for the National Indian Gaming Commission (NIGC) to review and approve the
Tribe’s gaming ordinance. The gaming ordinance was adopted by the Nisqually
Tribal Council in Resolution No. 54-2012 and its amendments by Resolution No. 69-
2012.

Resolution No. 54-2012 rescinds and replaces your current gaming ordinance
to provide more clarity regarding the respective roles of the gaming regulators.
Resolution No. 69-2012 clarifies that the Tribe will have the sole proprietary interest
in the gaming operation, amends the False Statement Notice and Privacy Act
language, designates an agent for service of process, and removes the 10 year
limitation on disclosing felonies on gaming license applications for key employees
and management officials.

Thank you for bringing the amended gaming ordinance to our attention. The
ordinance is approved, as it is consistent with the requirements of the Indian
Gaming Regulatory Act and NIGC regulations. If you have any questions, please
contact Staff Attorney Alison Grigonis at (202) 632-7003.

Sincerely,

Lun

Tracie L. Stevens
Chairwoman

Cc: Nisqually Tribal Council

NATIONAL HEADQUARTERS 1441 L. St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 +WWW.NIGC.coVv

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


17.03.04 Officers

There shall be a Chairperson, Vice-Chairperson, Secretary and Treasurer of the Nisqually Tribal
Gaming Commission elected from its membership who shall be appointed for a term of one (1)
year by simple majority vote of the Nisqually Tribal Gaming Commission. The duties of the
officers shall be as follows:

(a) The Chairperson shall generally preside over meetings, sign documents on behalf of
the Commission when authorized by the Commission to do so, and carry out other
responsibilities as assigned by the Commission or the Tribal Council.

(b) The Vice-Chair shall preside over meetings of the Commission in the absence of the
Chair, and carry out other responsibilities as assigned by the Commission or the Tribal
Council.

(c) The Secretary shall keep a record of all matters transacted at meetings, shall maintain
all other records and documents of the Commission and shall carry out other responsibilities
as assigned by the Commission or the Tribal Council.

(d) The Treasurer shall keep a full and accurate record of all financial transactions related
to the operating function of the Commission and shall monitor the Commission’s budget.
The Treasurer shall also participate in the audit review process described in Section 17.03.09
and carry out other responsibilities as assigned by the Commission or the Tribal Council.

17.03.05 Meetings

(a) Regular. Regular meetings of the Commission shall be held on a schedule adopted by the
Commission, but shall be held at least four (4) times per year. Meetings shall be held at times
most convenient to the greatest number of Commission members. Change in regularly
established meeting days and times will be communicated to all members of the Commission by
the Secretary.

(b) Special. Special meetings of the Commission maybe called at the request of any member
and only by the poll of the Secretary. Special meetings would be called when there is specific
action affecting the financial and/or regulatory stability of the Gaming facilities. Reasonable
notice of each special meeting shall be given to each Commission member.

(c) Location. All meetings of the Commission shall be held at locations which are
accessible to the public and to physically handicapped persons to the maximum extent
feasible. The Commission shall endeavor to hold meetings on tribal premises whenever
possible.

(d) Notice of Meetings. A written schedule of the regular meetings shall be provided to each
member of the Commission and to the Tribal Council. Any change in the date of a previously

8
TITLE 17 — GAMING


17.03.02 Membership

(a) Selection. The Gaming Commission shall consist of five (5) voting Tribal members who
are appointed by the Tribal Council. Commissioners must meet standards equal to the
requirements for license under this Title and the Compact.

(b) Ineligible Persons. The following persons shall be ineligible for appointment as Gaming
Commissioners:
(i) Any person employed in or in conjunction with the management, supervision, or
conduct of any gaming activity on the Reservation, or until at least two (2) years have
passed since that employment;
(ii) Any person related to any gaming supplier or gaming contractor, including any
principal thereof or persons related to any associated independent contractor;
(ii) | Any member of the Tribal Council, during his/her term thereof;
(iv) _ Any person who cannot obtain or maintain a valid license issued by the Nisqually
Tribal Gaming Commission.

(c) Terms of Office. Commissioners shall serve a term of three (3) years. The terms of the
Commissioners shall be staggered.

(d) Compensation. Commission members shall receive stipends and travel reimbursement
in accordance with Tribal policies. The Tribal Council shall determine and authorize the amount
of the stipend and shall consider the time requirements and the duties and responsibilities of the
Commissioners in making such determination.

17.03.03 Removal

(a) Without Cause. The Tribal Council may replace a Commissioner without cause when
that Commissioner’s term of office expires or upon resignation of the Commissioner.

(b) With Cause. The Tribal Council may replace a Commissioner before the
Commissioner’s term expires for any of the following reasons:
(i) Upon recommendation by a majority vote of the Gaming Commissioners;
Gi) | When the Tribal Council determines that the Commissioner has committed
misconduct, neglect of office, abuse of office, or for other good cause;
(iii) | When a Commissioner becomes ineligible to be a Commissioner under the
requirements of Section 17.02.02(b) above;
(iv) | When the Tribal Council determines that the Commissioner is no longer able to
fulfill the duties of a Commissioner because of health, family obligations, or other
reasons.

(c) Hearing. A Commissioner, whose removal is at issue, shall have the right to be heard
and may present evidence concerning his/her removal to the Tribal Council. The hearing before
the Tribal Council shall be held in executive session if requested by the Commissioner or if the
Tribal Council determines an executive session is necessary under its own rules.

7
TITLE 17 - GAMING


and the Gaming Commission may offer such information and documents as are relevant to the
determination of the applicant’s suitability for license and may call witnesses to testify in such a
proceeding if such witnesses can provide information regarding the applicant’s suitability. No
determination of the Gaming Commission shall be considered valid if it would place the Tribe in
violation of an applicable Tribal-State compact, the IGRA and regulations promulgated there
under, or any other applicable law.

17.06.20 Hearings Closed to Public

All hearings regarding gaming license proceedings or reconsideration of an application shall be
closed to the public unless the applicant or licensee requests that the hearing be open to the
public in which case, the hearing can be opened to the public by a_ majority vote of the Gaming
Commission.

17.06.21 Notification of Licensing Action

The Gaming Agency shall promptly notify, in writing, each applicant upon the grant or denial of
the certification. To the extent required under federal or state laws and regulations, or other
applicable law, the Gaming Agency shall promptly notify the NIGC and any other applicable
federal or state agency of all certification issued.

17.06.22 Duty of Licensee to Report

(a) Any person licensed by the Gaming Agency who is arrested or charged with a felony or a
misdemeanor in any court, or who is arrested or charged with any violation of the Nisqually
Criminal Code, must report such arrest or charge to the Gaming Agency within seventy-two (72)
hours.

(b) Any person licensed by the Gaming Agency has a duty to report any known violation of
the Compact or any known or suspected crime against a person or property to the Gaming
Agency.

(c) Failure of a licensee to report may result in the suspension or revocation of the gaming
license.

30
TITLE 17 - GAMING


(e) fails to promptly produce for inspection or audit any book, record, or document required
by the Tribe’s laws or regulations;

(69) has been convicted of, or forfeited bond upon a charge of, or pleaded guilty to the crime
of forgery, larceny, extortion, conspiracy defraud, tax evasion, or similar offenses, or of
any crime, whether a felony or misdemeanor, involving moral turpitude or any gambling
activity; or

(g) allows any person who has been convicted of, or forfeited bond upon, any of the offenses
above to participate in the management or operate in a key position with the entity
licensed by the Gaming Agency, without prior notice to and written approval from the
Gaming Agency.

17.06.18 License Suspension or Revocation Process

(a) Any license issued under these regulations may be suspended or revoked by the Gaming
Agency for the reasons listed in 17.06.17, provided that the licensee may request a hearing
before the Gaming Agency held not more than twelve (12) or less than eight (8) working days
from the time the certification holder is given notice of the alleged breach or violation. The
licensee, and any person directly affected by the license action shall have the right to be present
and to offer oral or documentary eviderice relévant to the breach or violation charged.
Notwithstanding the foregoing, the Gaming Agency may summarily suspend or revoke any
license if the continued licensing appears to constitute a threat to the public health, safety or
welfare.

(b) Upon receiving written notice of the suspension or revocation of any license issued by the
Gaming Agency the licensee is required, within five (5) days, to surrender and return the license
to the Gaming Agency.

17.06.19 Appeal of Denial. Suspension or Revocation of License

(a) Decisions of the Gaming Agency regarding the denial, suspension or revocation of
licenses shall be final and effective when issued.

(b) An applicant or licensee whose license is denied, revoked or suspended by the Gaming
Agency may, within fifteen (15) business days after the date of receipt of a written decision of
the Gaming Agency, file a an appeal to the Gaming Commission requesting a hearing to
reverse the decision. The petition must set forth the basis of the appeal. If no appeal is filed
within the time prescribed, the Gaming Agency decision shall be deemed final and not subject to
further reconsideration or appeal to and review by the Gaming Commission.

(c) The Gaming Commission shall consider the evidence presented by the applicant and the
Gaming Commission, prior to making a determination on the licensing decision. The appellant

29
TITLE 17 - GAMING


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“Gaming Services” means the providing of any goods or services to the Tribe, whether
on or off site, directly in connection with the operation of Class III or Class II gaming in
a gaming facility, including equipment, maintenance or security services for the gaming
operation. Gaming services shall not include professional legal and accounting services.

“Illegal Gambling or Related Activity” shall mean any violation of RCW 9.46.075;
9.46.140; 9.46.155; 9.46.160; 9.46.170; 9.46.180; 9.46.185; 9.46.190; 9.46.196;
9.46.198; 9.46.220; 9.46.221; 9.46.222;; 9.46.240; or 67.16.060; as now or hereinafter
amended, to the extent such amendments concern the same subject matter as the old
statutory provision.

“Key Employee” shall mean a person who performs one or more of the following
functions: bingo caller, counting room supervisor, chief of security, custodian of gaming
supplies or cash, floor manager, pit boss, dealer, croupier, approver of credit, or custodian
of gaming devices including those persons with access to cash and accounting records
within such devices. If not otherwise included, any other person whose total cash
compensation is in excess of $50,000 per year, and the four (4) most highly compensated
persons in the Gaming Enterprise are included in the definition of key employees.

“MCEC Board” shall mean the Medicine Creek Enterprises Corporation’s Board of
Directors.

“Person” shall mean any natural person or entity, including but not limited to
corporations, partnerships and trusts.

“Person related to” shall refer to persons who are related as a spouse, grandparent, parent,
child, step-child, grandchild, or sibling.

“Primary Management Official” shall mean the person who has management
responsibility for a management contract; any person who has authority to hire and fire
employees or to set up working policy for the Gaming Enterprise; or the chief financial
officer or other person who has financial management responsibility.

“Promotional Contest of Chance” shall mean a game of chance in which a prize is
offered, the element of chance is involved in the selection of winners, but no valuable
consideration is required to participate.

“Reservation” or “Tribal Lands” shall mean all lands under the jurisdiction and control
of the Nisqually Tribe.

“State” shall mean the State of Washington.
“Tribal Council” shall mean the elected governing body of the Tribe, as set forth in the

Tribe’s Constitution and By-laws.

TITLE 17 - GAMING


(d)

and other table games or activities designated as Class III gaming, must qualify for and
hold a Class III Certification.

(ii) If Class II and Class III games are combined in a single facility, then the Class II
table gaming employees must also qualify and hold a Class III Certification. This
provision shall not apply to employees engaged in activities related to bingo, pull-tabs
and/or punchboards.

Financiers. Any individual or entity, other than a federally regulated commercial lending

institution, the Tribal government or the federal government, who extends financing either
directly or indirectly to the gaming facility or operation must qualify for and receive a Class III

Certification.
(e) Management Companies

@

@) Any individual or business entity with which the Tribe enters into a contractual
agreement for financing, development, management or operation of any Class II or Class
III gaming enterprise, must qualify for and receive a Class III Certification.

(ii) No license shall be granted to a management company if any elected official of
the Tribe or a member of a committee or agency of the band serves on the board of
directors or holds (directly or indirectly) ten percent (10%) or more of the issued and
outstanding stock of the corporation, or ten percent (10%) or more of the beneficial
interest in any partnership, trust, or other entity, in any such corporation, partnership,
trust or other entity, having a financial interest in, or management responsibility for, such
contract. Notwithstanding the foregoing, no license shall be granted to the management
company if any member of the Gaming Commission holds any interest whatsoever
(directly or indirectly), in such company. Nor shall any such license be granted if any
elected official of the Tribe, member of the Gaming Commission, or a member of any
other committee or agency of the Tribe has a financial interest in or management
responsibility for any agreement between such management company and the Tribe.

Suppliers, Distributors and Manufacturers License.

(i) Any manufacturer, distributor, or supplier of gaming services, as defined in
section 17.01.09, must qualify for and receive a license. Individuals or entities that supply
legal and accounting services are not required to be licensed.

(ii) | The Gaming Commission may, consistent with the Tribal State Compact, adopt
regulations naming specific licensing authorities that it recognizes and may authorize
exemptions to the licensing process for any supplier, distributor and manufacturer which
has received a license from one of the named regulatory authorities.

20
TITLE 17 —-GAMING


(d)

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report, if any, to the NIGC for inclusion in the Indian Gaming Individuals Records
System.

The Gaming Agency will retain the applications of key employees and management
officials, including reports of background investigations, for a period of no less than three
(3) years from the date of denial of license or termination of employment, whichever is
later.

For license applicants who are not key employees or primary management officials, no
investigative report or eligibility determination will be forwarded to NIGC, unless
specifically requested by NIGC and approved by the Gaming Commission.

17.06.13 Certification for Business Entities

(a)

Any entity seeking license as a financier, a management company or a supplier,
distributor or manufacturer of gaming services shall provide the following information on
the application:

i) Name of business, business address, business phone, federal tax ID number (or
SSN if a sole proprietorship), main office address if different from business
address, any other names the applicant has done business under, type of service
applicant will provide;

i) Whether the applicant is a partnership, corporation, limited liability company,
sole proprietorship, or other entity;

(iii) 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;

(iv) Trade name, other names ever used, names of any wholly owned subsidiaries or
other businesses owned by the vendor or its principals;

(v) General description of the business and its activities;

(vi) Whether the applicant will be investing in or loaning money to the gaming
operation and, if so, how much;

(vii) A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those businesses;

(viii) A list of Indian tribes with which the vendor has an existing or previous business
relationship, including ownership, financial, or management interests in non-
gaming activities;

(ix) Names, addresses, and phone numbers of three business references with whom
the company had regularly done business for the last five years;

(x) 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;

(xi) If the business has ever had a license revoked for any reason, the circumstances
involved;

(xii) 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;

26
TITLE 17 — GAMING


17.05

BARRING PROCEDURES

17.05.01
17.05.02
17.05.03
17.05.04

17.06

Grounds for Barring of a Patron by Tribal Gaming Agency .

Intoxicated Patrons.
Length of Barring
Appeal Procedure...

LICENSING

17.06.01
17.06.02
17.06.03
17.06.04
17.06.05
17.06.06
17.06.07
17.06.08
17.06.09
17.06.10
17.06.11
17.06.12
17.06.13
17.06.14
17.06.15
17.04.16
17.06.17
17.06.18
17.06.19
17.06.20
17.06.21
17.06.22

Required Licenses

Temporary or Conditional License.

License Applications...
Fingerprints...
Waiver of Liability.
Withdrawal of Application
Application Forms ............

Information Required from License Applicants

Eligibility Determination ...

Licensing Prior to Employment
License in Compliance with Applicable Laws ...
License and Investigation Reports to NIGC..
Certification for Business Entities
Business Entity Background Investigation.

License Fees szcccascerczsis-.s:
NIGC Review of Licensing

Grounds for Denial, Suspension or Revocation of License
License Suspension or Revocation Process...
Appeal of Denial, Suspension or Revocation of License

Hearings Closed to Public..

Notification of Licensing Action .

Duty of Licensee to Report

TITLE 17 —- GAMING
TABLE OF CONTENTS


(c) Supervisory Staff Requirements. In the event the State Gaming Agency determines that
the gaming operation’s minimum requirements for supervisory staff at table gaming pits is
inadequate, the Commission shall confer with the State in good faith in an effort to reach an
agreement on supervisory staff requirements as required by the Compact.

(d) Meetings with Gaming Operation. The Commission shall meet not less than once a
month with the General Manager of the gaming operation, the MCEC Board or its designated
member(s) and the Director of the Gaming Agency. The purpose of the meeting shall be to
discuss ongoing and future issues and areas of concern. The intent of this meeting requirement is
to resolve ongoing or future issues through ongoing dialogue between the respective parties.

(e) Barred Patrons

(i) The Commission shall establish a list of persons barred from the gaming
facilities by the Tribal Gaming Agency. This list shall be sent quarterly to the
Nisqually Tribal Council and shall be sent to the State Gaming Agency as
required by the Compact or as otherwise agreed to between the State Gaming
Agency and the Tribe.

(ii) The Commission shall hear appeals from barred patrons as described in section
17.05.04.

(63) Cashier’s Cage. The Commission shall review any report from the Agency regarding
Cashier’s Cage security. If the Cashier’s cage is not in compliance with the security standards
set forth in Compact and/or any MOU between the Tribe and the State Gaming Agency, the
Commission shall require the gaming operation to modify its cashier’s cage to remedy the
deficiency.

(g) Investigation. The Commission, through the Tribal Gaming Agency, shall investigate
any reported violation of the Compact provisions and shall work with and assist the Tribal
gaming operation to correct the violation and to bring the Tribal gaming operation into
compliance with the applicable provisions of the Compact or Nisqually Tribal law.

(h) Hearings on Appeals. The Commission shall hold appeal hearings for denial, suspension
or revocation of a license pursuant to section 17.06.20 and may establish internal procedures for
such hearings.

(i) Reporting to State Gaming Agency. The Commission through the Tribal Gaming
Agency, shall forward all reports of violation(s) of the provisions of the Compact by the Tribal
gaming operation, a gaming employee, or any person on the premises to the State Gaming
Agency as required by the Compact. The Tribal Gaming Commission shall forward copies of
all completed incident and investigation reports and final dispositions to the State Gaming
Agency as required by the Compact or as otherwise agreed to between the State Gaming Agency
and the Tribe. Upon written request, a copy of all of the above mention reports shall be provided
to the casino’s General Manager, or designee, and to the Tribal Council.

11
TITLE 17 - GAMING


(b) The independent auditor’s report shall contain information regarding any material
weakness in accounting and internal controls, and the opinion of the independent auditor as to
whether the operation has followed the system of accounting and internal control on file with the
Tribal Gaming Agency.

(c) The independent auditor shall give a final report to the Tribal Council, the MCEC Board
and the Tribal Gaming Commission to discuss any findings or irregularities in the audits and to
make recommendations regarding any necessary corrective action.

(d) The Gaming Commission shall submit the resulting audit reports to the National Indian
Gaming Commission and to the State Gaming Agency as required by the Compact or as
otherwise agreed to between the State Gaming Agency and the Tribe.

(e) The Gaming Commission shall rely on the independent audits of the gaming operation,
the independent auditor’s required reports regarding material weakness in accounting and
internal controls, and the opinion of the independent auditor as to whether the operation has
followed the system of accounting and internal control on file with the Tribal Gaming Agency.
The Gaming Commission shall not conduct its own additional audits without the permission of
the Tribal Council.

17.03.10 Customer Disputes over Game Winnings

(a) It is the intent of the Tribal Council that all customer disputes regarding game winnings
be resolved fairly, justly, equitable and expediently. In order to implement this directive, the
gaming operation and the Gaming Commission shall abide by the following dispute resolution
process:

@ The manager shall attempt to resolve the dispute with the parties.

(ii) If the dispute is unresolved, the manager shall inform the customer of the right to
request an investigation by the Gaming Commission.

(iii) The Gaming Commission, through the Executive Director, shall conduct
whatever investigation it deems necessary and shall determine whether payment
should be made.

(iv) The Executive Director shall provide written notice to the manager of the
Executive Director’s determination. The customer will also be advised by
certified mail of the Executive Director’s decision resolving the dispute within
thirty (30) days after the date that the Gaming Commission first receives
notification from the manager or a request to conduct an investigation from the
customer.

(v) The decision of the Executive Director is effective on the date it is received by
the aggrieved party, as reflected on the return receipt.

(vi) Within thirty (30) working days after the date of receipt of the written decision
of the Executive Director, the aggrieved party may file a petition with the
Gaming Commission requesting a review of the decision. The Gaming
Commission may set a hearing on the matter, or may make a decision based
solely upon the Executive Director’s decision and other documentation provided

13
TITLE 17 -GAMING


NISQUALLY LAW AND ORDER CODE

TITLE 17

GAMING
17.01 GENERAL PROVISIONS
17.01.01 easel
17.01.02 Gaming Authorized. 1
17.01.03 Environment and Public Health and Safety 1
17.01.04 Internal Controls ..... 2
17.01.05 Sovereign Immunity. Ps
17.01:06 Effective Date .. 2
17.01.07 Repealer....... 2
17.01.08 Illegal Gambling or Related Activity sana
17.01.09 Definitions. 2
17.02 USE OF GAMING REVENUE
17.02.01 Use of Gaming Revenue
17.02.02 Per Capita Payments...
17.03 TRIBAL GAMING COMMISSION
17.03.01 Establishment
17.03.02 Membership ..
17.03.03 Removal .
17.03.04 Officers ..
17.03.05 Meetings..
17.03.06 Records ..
17.03.07 Budget... .
17.03.08 Powers and Duties. 10
17.03.09 Audit .. 2
17.03.10 Customer Disputes over Game Winnings
17.03.11 Fiduciary Duty of Commissioners...........
17.04 TRIBAL GAMING AGENCY
17.04.01
17.04.02 General Requirements. .
17.04.03 Chain of Command.. 14
17.04.04 Administrative Policies Ris)
17.04.05 Duties of Executive Director . 15
17.04.06 Duties and Responsibilities Of Agency .......c.ssssssesesesnseseesesneensestessees 1S

i

TITLE 17 — GAMING
TABLE OF CONTENTS


(b)
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1 @
1 ©
1 ©
+ (g)
(h)
aaa)
a

The name, address, and telephone number for all businesses ‘and organizations in which
the applicant has any financial interest and the details of that financial interest;

Currently and for at least the previous five (5) years: business and employment positions
held, ownership interests in those businesses, business and residence addresses, and
driver’s license numbers;

Names and current addresses of at least three (3) personal references, including one
personal reference who was acquainted with the applicant during each period-of
residence listed in subsection (6) above;

Description of any existing and previous business relationships with Indian tribes,
including ownership interests in those businesses;

Description of any existing and previous business relationships with the gaming industry
generally, including ownership interests in those businesses;

Name and address of any licensing or regulatory agency (federal, tribal, state, local or
foreign) with which the person has ever filed either: (a) an application for a license or
permit related to gaming, and whether or not such license or permit was granted, or (b) an
application for an occupational license or permit, whether or not such license or permit
was granted;

For each felony, misdemeanor, tribal, or traffic criminal charge or on-going prosecution
(excluding minor traffic violations for which the fine is no more than two hundred dollars
($200.00)) within at least ko (10) _yeaks of the date of the application, the name and
address of the court involved, and the date and disposition, if any, of the case;

Current photographs;

Any other information the Tribe or the Gaming Agency deems relevant.

17.06.09 Eligibility Determination

The Gaming Agency shall review a person's prior activities, criminal record, if any, and
reputation, habits and associations to make a finding concerning the eligibility of the applicant
for employment in a gaming operation. If the Gaming Agency 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, methods and activities in the
conduct of gaming, the Agency shall deny the application for a license.

24
TITLE 17 -GAMING


Nisqually Indian Tribe vw 19

Tribal Council Resolution No. 5 ‘/_-2012

A RESOLUTION TO ADOPT A NEW GAMING CODE AS TITLE 17 OF THE
NISQUALLY LAW AND ORDER CODE

WHEREAS, the Nisqually Indian Tribe is the successor descendent entity of the Nisqually
Nation signatory to the Treaty of Medicine Creek of 1854 (10 Stat. 1132), and unto this day has
retained and maintained its Tribal identity, its governing body, and its sovereign powers;

WHEREAS, the Nisqually Indian Tribe is a federally recognized American Indian Tribe
organized under its governing Constitution and Bylaws approved by the U.S. Secretary of the
Interior on September 9, 1946 and amended on October 28, 1994, pursuant to Section 16 of the
Indian Reorganization Act, 25 U.S.C. 476;

WHEREAS, the Nisqually Tribal Council is the duly constituted governing body of the
Nisqually Tribe, and the Tribal Council is the duly elected representative body of the General
Council by the authority of the Tribe’s Constitution and Bylaws, as amended;

WHEREAS, the Nisqually Tribal Council determined that the Tribe’s gaming ordinance codified
as Title 17 was in need of updating to provide a greater degree of certainty regarding the roles of
the various tribal entities involved in the regulation and management of the Tribe’s casino;

WHEREAS, the Tribal Council sought input from the Tribal Gaming Commission, the Medicine
Creek Enterprises Corporation and the State of Washington in regard to the drafting of a new
code; and,

WHEREAS, the attached gaming code incorporates many of the comments that were received on
the draft code and provides greater certainty regarding the roles of the various entities.

NOW, THEREFORE, BE IT RESOLVED that the attached Gaming Code is hereby approved by
the Tribal Council to replace and supersede the existing Title 17 of the Law and Order Code
upon approval by the National Indian Gaming Commission;

BE IT FURTHER RESOLVED, that the Tribal Attorneys shall forward a copy of the attached

code to the National Indian Gaming Commission for review and approval as required by the
National Indian Gaming Act.

Certification
I certify that the above Resolution was adopted at a regular meeting of the Nisqually Tribal
Council held on the 2) _ day of __{Yeu “ ; 2012 at the Nisqually Tribal
Center, at which time a quorum was present voting FOR _ a AGAINST
= ABSTENTIONS.

ATTEST: » CM
Ny hia Yh Sem Serrctun
(6;

‘thia Lyall, Chairman Jean Sghders, Secretary
isqually Indian Tribe Nisqually Indian Tribe


Subsection (b) of section 17.06.07 is amended to read as follows:

17.06.07 Application Forms

(6) All license applicants must acknowledge in writing the applicability of the Privacy Act of 1974 and
sign a notice regarding the penalty for making false statements on the application. The following notices
shall be placed on the application form.
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 granted a gaming license. employed in a
i ion: The information will be used by the Tribal gaming regulatory authorities and by the
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 the a Ftribe’s being unable to license hire
you in a primary management official or key employee position. The disclosure of your Social Security
Number (SSN) is voluntary. However, failure supply a SSN may result in errors in processing your
application.

(ii) A false statement on any part of your application may be grounds for denying a license or the
suspension or revocation of a license. not-hiring-you,or-for-fi + fi begi ‘k- Also, you may
be punished by fine or imprisonment. (U.S. Code, Title 18, § 1001).

Subsection (h) through (1) of section 17.06.08 are amended to read as follows:

17.06.08 Information Required From License Applicants
All License applicants, shall provide information to the Gaming Agency including, but not limited to, the
following:

yk fal seal tribal. trafGie-criminal-ch: i th veludi
sis 7 F SPI
iner-traffie-violations for-which the fnei: than-twe-hundred dollars-($200.00))-within-at least +
40) £ the -date-of th lication—th and_add £-th rt-invelved_and-the-date-and
bs PP? 5

(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 tribal, criminal traffic, or misdemeanor (excluding minor traffic violations) ongoing
prosecution or conviction within 10 years of the date of the application, the name and address of the court
involved and the date and disposition;

@)__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
subsection (h) or (i) of this section, the criminal charge, the name and address of the court involved and the

date and disposition:

(+k) Current photographs;

(H) Any other information the Tribe or the Gaming Agency deems relevant.


(xiii) List the business’ funding sources and any liabilities of $50,000 or more.

(xiv) _A list of the principals of the business, their social security numbers, addresses
and telephone numbers, title, and percentage of ownership in the company; and

(xv) Any further information the Tribal Council 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 applicant's vendor license.

(c) A vendor may submit 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 Tribal Council not contained in the other application.

17.06.14 Business Entity Background Investigation

The Gaming Agency shall complete an investigation of the gaming vendor. This investigation
shall contain, at a minimum, the following steps:

(a) Verify of the business’ incorporation status and qualification to do business in the state
where the gaming operation is located;

(b) Obtain a business credit report, if available, and conduct a Better Business Bureau check
on the vendor.

(c) Conduct a check of the business’ credit history;

(d) Call each of the references listed in the vendor application; and

(e) Conduct an investigation of the principals of the business, including a criminal history
check, a credit report, and interviews with the personal references listed.

17.06.15 License Fees

The Gaming Agency may charge a fee, subject to approval by the Tribal Council, to cover its
expenses in investigating and processing license applications. Applicants may be required to pay
a reasonable deposit for costs of gathering information and investigation prior to beginning
processing of the application. At the discretion of the Tribal Council, members of the Tribe may
be exempted from any license fees or costs.

17.06.16 NIGC Review of Licensing

(a) The NIGC has a period of thirty (30) days after receipt of the report provided by the
Gaming Agency as established above, to notify the Tribe of any objections to the
issuance of a license. If the NIGC, within the thirty (30) day period, provides to the Tribe

27
TITLE 17 - GAMING


scheduled regular meeting shall be communicated to each Commission member and to the Tribal
Council a reasonable time in advance of the rescheduled meeting time. The Chair shall send 24
hour notice of special meetings to all Commissioners unless the Commissioners concur on the
need to meet earlier.

(e) Attendance. Unexcused absence by any Commission member from three (3) or more
meetings per calendar year shall be good cause for removal from the Commission.

(f) Quorum. A quorum shall consist of three (3) members of the Commission. No business
shall be transacted unless a quorum is present.

(g) Meetings Open to Tribal Members. All meetings of the Commission shall be open to
members of the Tribe.

(h) Executive Sessions. The Gaming Commission may hold an executive session during a
regular or special meeting, however an executive session may be held only for the following
reasons:
(i) To discuss the details of an on-going criminal investigation involving a casino
patron or an employee of the Casino or the Gaming Agency;
(ii) To evaluate complaints or charges brought against an employee of the Casino or
the Gaming Agency;
(iii) | To discuss with legal counsel representing the Commission or the Tribe matters
relating to enforcement actions, or to discuss with legal counsel representing the
Commission or the Tribe litigation or potential litigation to which the Tribe, the
Casino, or a member acting in an official capacity is, or is likely to become, a
party, when public knowledge regarding the discussion is likely to result in an
adverse legal or financial consequence to the Tribe.

This subsection (h)(iii) does not permit a governing body to hold an executive
session solely because an attorney representing the agency is present. For
purposes of this subsection (h)(iii), "potential litigation" means matters protected
by RPC 1.6 concerning:

A. Litigation that has been specifically threatened to which the Tribe, the
Casino, or an officer or member acting in an official capacity is, or is
likely to become, a party;

B. Litigation that the Commission reasonably believes may be commenced
by or against the Tribe, the Casino, or an officer or member acting in an
official capacity; or

Gi Litigation or legal risks of a proposed action or current practice that the
Commission has identified when public discussion of the litigation or legal
risks is likely to result in an adverse legal or financial consequence to the
Tribe;

TITLE 17 —-GAMING


Gj) Sanctions. The Commission may establish a list of fines and sanctions that may be
imposed against any gaming employee or any other person directly or indirectly involved in, or
benefiting from, the gaming operation who violates this code or the terms of the Compact,
provided; that such list must be approved by the Nisqually Tribal Council prior to imposition of
any such fine or sanction.

(k) Reports to Tribal Council. The Commission shall keep the Tribal Council informed of
the activities of the Gaming Agency and provide the Tribal Council with reports of any
violations of this Title or the Compact as well as an update of the required meetings between
operations, TGA and the Commission. The Commission shall also keep up to date on the status
of laws and policies related to tribal gaming regulation and advise the Tribal Council on relevant
updates or changes.

0) Modifications to Title or Regulations. The commission may recommend to the Tribal
Council modifications to this Title or propose regulations that the commission will follow in
connection with carrying out its responsibilities. These regulations shall be published in form and
approved by the Tribal Council. In order to preserve the independence of the Commission, the
Council shall not disprove any proposed regulations unless such proposals are determined to be
beyond the scope of the Commission’s authority as set forth in this ordinance. Regulations shall
be signed by the Tribal Chairman or designee prior to submission to the State Gaming Agency.

(m) Recommendations for Compact Amendments. The Commission may recommend that
the Tribal Council negotiate changes to the Tribal-State Gaming Compact or to the Appendices
thereto, but may not unilaterally negotiate such changes. The Commission may also recommend
that the Tribal Council adopt MOU’s with the state gaming agency. No compact or appendix
amendment shall be valid without the signature of the Tribal Chairman or his or her designee.

17.03.09 Audit

(a) The Tribal Council or its designee shall select independent certified accountants to
perform an annual audit of the gaming operation at the gaming operation’s expense. The audit
shall include the following:

(i) An audit of the annual financial statement, books and records of the gaming
Operation;

(ii) An audit of all gaming related contracts that result in the purchase of supplies,
services, or concessions in excess of $25,000.00 annually, except contracts for
professional legal or accounting services;

(iii) A review of the accounting methods and procedures used by the gaming
operation;

(iv) A review of the methods and procedures used by the gaming operation to count
and handle cash, chips, tokens, negotiable instruments and credit instruments;
and,

(v) A review of the gaming facilities internal control procedures and the gaming
operation’s compliance therewith.

12
TITLE 17 - GAMING