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SAH-KU-MEH-HU

SAUK SU~AT~LE INDIAN TRiBE

5318 Chief Brown Lane

Darrington, WA 98241

RESOLIY~1ON 04/02/00

BE IT RESOLVED BY THE TRIBAL COUNCIL

OF THE SAUK-SUJATTLE INDIAN TRTBE

IN THE STATE OF WASifiNCTON

WHEREAS, the Sauk-Suiattle Tribal Council is the governing body of the Sauk-Suiattle indian

Tribe of the authority of its Constitution and By-Laws as approved by the Secretary of the

Interior on September 17,1975; and in accordance with the Lndian Reorganization Act of June

18, 1934; and

WHEREAS, the Sauk-SuiaUie Tribal Council is the duly elected governing body oldie Sauk

Stsi attic Indian Tribe; and

WHEREAS, the Sauk-Suiattle Tribal Council is charged wi(h the responsibility for the

protection of the Health, Safety, and Welfare of the Members of the Sauk-Suiattle Indian Tribe;

and

WHEREAS, the Sauk-Suinnie Tribal Council, at a duly constituted meeting held on April 7,

2000, considered the attached Sauk-Suiattle Gaming Act prepared in compliance with the Indian

Gaming Regulatoiy Act of 1 99R; and

THEREFORE BE IT RESOLVED, the Sauk-Suiattle Tribal Council has detennined that the best

interest and welfare of the Tribe would be served by adopting the said Gaming Act and hereby

approves its adoption

NOW TIJEREFORE BE IT RESOLVED, that the Sauk-Suiattle Tribal Council hereby adopts

the Sauk-Suiattle Gaming Act and directs the Tribes Gaming Commission to seek approval for

such from the National Indian Gaming Commission.

BE IT FURTHER RESOLVED, that the Sauk-Suiattlc Tribal Council authorizes the Tribal

Council Chairman to sign all documents on behalf of the Sauk-Suiattle Indian Tribe, and in his

absence, the Vice-Chairptmon of the Sauk-Suiattle Tribal Council is authorized to sign all

documents.

The Root-Digging

People

360-436-0131

360-435-8366

FAX 360-436-EM I

CrRTIFICATION

The above resolution. was~ duly approved by the Sauk-Suiattle Tribal Council at a regular

meeting held on the 7~ day of April 2000 at which time a quorum was present.
SAUK-SUIATTLE GAMING COMMISSION

BACKGROUND INVESTIGATION

and

LICENSING REGULATIONS

Under the Sauk-Suiattle Gaming Act of 1999

Section 1. LICENSING PROGRAM OVERVIEW

The Sauk-Suiattle Indian Tribes (Tribe) gaming licensing program is administered

through the Sauk-Suiattle Gaming Commission (Gaming Commission). It is an investigative

licensing process under which applicants for a class III or class II gaming license are evaluated

against the standards set forth in, and subject to the following applicable laws:

1.1 Sauk-Suiattle Gaming Act of 1999 (Gaming Act), and gaming regulations

promulgated thereunder;

1.2 Indian Gaming Regulatory Act (IGRA) and National Indian Gaming Commission

(NIGC) regulations;

1.3 Tribal-state compact requirements, to the extent applicable; and

1.4 Other applicable tribal, federal or state laws and regulations.

All class II and class III gaming activities shall be licensed and regulated. All those

engaged in gaming activities on the Reservation must have a valid license issued by the Gaming

Commission. As part of the licensing program, the Gaming Commission may, at any time,

require drug or alcohol testing for applicants and licensees. Applicants who meet the standards

for licensing will be granted a license, which must be renewed at least every two years. A

gaming license is deemed a privilege that is subject to suspension or revocation at any time.

Section 2. LICENSE APPLICATION REQUIREMENTS

All key employees, primary management officials and employees and others required

under the Compact must be licensed by the Tribe. Persons and entities seeking a license may

obtain the Gaming Commission application forms at the Gaming Commission office. The

completed forms, with fees and other required information and attachments must be returned to

the Commission office. Unless otherwise exempted by the Gaming Commission in compliance

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with all requirements under the Ordinance, IGRA and regulations promulgated thereunder, an

individual or entity required to be licensed must obtain the required license (regular, temporary,

provisional, or conditional) prior to the commencement of their employment at any Tribal

Gaming Enterprise.

2.1 Completing Applications

An application is not deemed complete until the Gaming Commission receives all

information required or requested, and any applicable fees. If the application is incomplete and

applicant does not respond to written notification of such, or fails to submit additional materials

or fees within thirty (30) days of written notice, the Gaming Commission may deny the license,

revoke any license held, and close the applicants file.

2.2 Signatures Required

Applications must be signed by the persons indicated below, under oath, attesting

that the information provided in the application and accompanying materials is true, accurate and

complete.

2.2.1 For a corporation (non-profit or for profit), the highest ranking officer or

official of the corporation.

2.2.2 For a sole proprietorship, the principal owner.

2.2.3 For a partnership, all partners; for a limited partnership, the general

partner.

2.2.4 For employee licenses, the person seeking a license.

2.3 Additional Signatures

The Gaming Commission may also require the signature of the following persons

on the application:

2.3.1 The chair or members of the board of directors or trustees.

2.3.2 The person in charge of financial records.

2.3.3 Any person with a substantial interest in the applicants business,

organization or corporation.

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2.4 Class A and B License Application Information

All Class A and Class B license applicants, unless specifically exempted by the

Gaming Commission in compliance with IGRA, regulations promulgated thereunder, and the

Compact, shall provide licensing information including but not limited to the following:

2.4.1 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;

2.4.2 The name, address, and telephone number for businesses and

organizations in which the applicant has any financial interest and the details of

that financial interest;

2.4.3 Criminal, personal, and financial history information required by the

Gaming Commission;

2.4.4 Currently and for at least the previous ten (10) years: business and

employment positions held, ownership interests in those businesses, business and

residence addresses, and drivers license numbers;

2.4.5 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 2.4.4 above;

2.4.6 Description of any existing and previous business relationships with

Indian tribes, including ownership interests in those businesses;

2.4.7 Description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in those businesses;

2.4.8 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, 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;

2.4.9 For each felony for which there is currently or has been, during at least the

previous ten (10) years, an on-going prosecution or a conviction: the charge, the

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

case;

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2.4.10 For each misdemeanor conviction or on-going prosecution (excluding

minor traffic violations for which the fine is no more than twenty-five dollars

($25.00)), within at least ten (10) years of the date of the application: the name

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

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

there is or was a conviction, if such criminal charge is within no less than ten (10)

years of the date of the application and is not otherwise listed in 2.4.9 or 2.4.10

above: the criminal charge, the name and address of the court involved and the

date and disposition, if any, of the case;

2.4.12 Current photographs;

2.4.13 Fingerprints consistent with procedures adopted by the Gaming

Commission under 25 C.F.R. § 522.2(h) and the Ordinance;

2.4.14 Corporate applicant articles of incorporation and by laws or, for other

business or organization, those documents which establish the entitys

organizational structure and purposes;

2.4.15 Details and copies of franchise or other agreements, whether written or

oral, between the applicant and distributors or manufacturers or suppliers of

equipment, or between the applicant and any person or entity where those

agreements related to gaming activities or gaming equipment; and

2.4.16 Any other information the Gaming Commission deems relevant.

2.6 Release of Information / Waiver of Privilege

Applicants must provide a general release and waiver of any privilege in

connection with the release of information for the purpose of a background or other investigation

investigation so the Gaming Commission may obtain information, including that which

otherwise may be privileged.

2.7 Waiver of Liability

Applicants must expressly waive liability as to the Tribe and its agencies,

commissions, employees, and agents for any damages resulting from disclosure or publication of

the information acquired by the Gaming Commission during licensing, or other investigation,

inquiry or hearing.

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2.8 Fingerprinting and Investigation

Background investigations (including fingerprinting) are required for Class A

license applicants. Class A may include but is not limited to employees; persons or entities with

an interest in supplies or equipment; financiers; suppliers; consultants; distributors; vendors; and

manufacturers. The Gaming Commission may submit fingerprints to the Federal Bureau of

Investigation (FBI), the NIGC, or another tribal, federal, local, or state agency to obtain

applicants criminal information records, and may otherwise search records of such agencies for

criminal background information.

2.9 Supplemental Licensing Information

In addition to the completed application form and attachments, applicants and

licensees must submit any supplemental information requested by the Gaming Commission.

Information must be provided within thirty (30) days from the date of request, unless a shorter

time is otherwise established by the Gaming Commission. Failure to submit requested

information in a timely manner shall be grounds for denial of the license sought, or revocation of

any license held.

2.10 Drug and Alcohol Testing

The Tribe intends to operate its gaming activities in a drug and alcohol free

workplace. Drug or alcohol testing may be required at any time for any applicant or licensee,

under provisions of a drug and alcohol policy.

2.11 Continuing Duty to Provide Information

Applicants and licensees have a continuing duty to provide any materials or other

information required by the Gaming Commission, and to fully cooperate in any investigation

conducted by or on behalf of the Gaming Commission. Any information relevant to the license

applicant or licensees suitability for gaming shall be provided to the Gaming Commission, with

or without a formal request. If information provided on the license application changes or

inaccurate, applicants and licensees must promptly notify the Gaming Commission of such

changes or inaccuracies. If, subsequent to a formal request to respond or produce information,

evidence, or testimony, an applicant or licensee or a person associated with the applicant or

licensee, refuses or fails to comply with such request, the Gaming Commission may deny the

application or revoke the license.

2.12 License in Compliance with Law

No gaming license shall be granted in violation of the Gaming Act or other

applicable law, including IGRA and regulation promulgated thereunder, or a Gaming Compact.

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2.13 Burden of Proof- Licensing

The burden of proof with respect to the granting of any gaming license is at all

times upon the applicant or licensee. No license shall be granted unless and until the applicant

has satisfied the Gaming Commission of their suitability to hold such license.

2.14 Determination of Suitability

Application for a gaming license constitutes a request for determination of the

applicants general character, honesty, integrity, and suitability to participate or engage in or to be

associated with the gaming operation. Any written or oral statement made in the course of a

Gaming Commission investigation, proceeding, or process 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 privileged and shall not impose any liability for slander, libel or

defamation, or constitute grounds for recovery in any legal action. Applicants must accept all

risk of adverse public notice, embarrassment or other action which may result from the licensing

process, and must waive any claim for damages.

2.15 Applicant Claim of Privilege

During the licensing process or subsequent investigation, the applicant or licensee

may claim any privilege afforded by law in connection with the application or investigation.

Applicants claim of privilege, however, with respect to any testimony or evidence, or the

applicants failure to produce documents or information required, may be grounds for denial,

suspension, or revocation of a license.

2.16 Withdrawal of Application

Gaming applicants may request withdrawal of the application by submitting a

written request to the Gaming Commission. The Gaming Commission may, in its sole

discretion, grant or deny a request for withdrawal. The written request to withdraw an

application should be received by the Gaming Commission at least twenty-four (24) hours prior

to issuance or denial of the license.

Section 3. AUTHORIZED GAMING LICENSE CLASSES

3.1 Class A

Any license issued to a person or entity for employment in, association with, or to

do business with any class II or class III gaming operation in a gaming-related capacity, shall be

considered a Class A license. Further, any person associated with the Tribes class II or class III

gaming activities as an investor or other person owning or controlling ten percent (10%) of an

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interest in any management entity, closely associated independent contractors, and primary

management officials and key employees must obtain a Class A license.

3.2 Class B

Persons or entities not otherwise subject to the provisions of Section 12.0 of these

regulations who are associated with, or doing business with a gaming activity or enterprise in a

non-gaming related capacity may apply for a Class B license. The Gaming Commission reserves

the right to require such persons or entities to be licensed under the requirements for a Class A

license.

Section 4. LICENSING PROGRAM

All persons employed in class II or III gaming or gaming related activities either within or

outside of the gaming operation and, unless exempted, employees involved in the gaming

operation in a non-gaming position must be licensed (temporary, provisional, conditional or

regular license) prior to beginning employment or conducting business with the gaming

operation. Management companies and financiers; and unless otherwise exempted, suppliers,

distributors, manufacturers, and vendors shall be licensed. The Gaming Commission shall

inspect and license all gaming facilities. All licensing shall be in compliance with applicable

law, including tribal law and regulations, IGRA and regulations promulgated thereunder, and any

applicable Gaming Compact.

4.1 Key Employees

Class II or III gaming employees including but not limited to those who perform

one or more of the following functions are considered Key Employees, and must obtain a Class

A license: 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

gambling devices, including persons with access to cash and accounting records within such

devices. If not otherwise included, all persons whose total cash compensation exceeds $50,000

per year and the four (4) most highly compensated persons in the gaming operation must qualify

for a Class A license. The Gaming Commission may, in its sole discretion, include other

positions within the definition of Key Employee.

4.2 Primary Management Officials

Primary Management Officials associated with a Class II or a Class III gaming

enterprise are required to qualify for a Class A license and include: any person having

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 operation; and the chief financial

officer or other person who has financial management responsibility. The Gaming Commission

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may, in its sole discretion, include other positions within the definition of Primary Management

Official.

4.3 Gaming Commission Licenses

The Gaming Commission may issue the following licenses:

4.3.1 Class ill Gaming Employee License

Persons employed in class III gaming activities, including banking card

games, lottery-type games, roulette, craps, and other table games or activities

designated as class III gaming, and including all class III key employees and

primary management officials, must qualify for and hold a Class A gaming

employee license.

4.3.2 Class II Gaming Employee License

Persons employed in or associated with class II gaming activities,

including bingo, non-banking or other class II card games, puiltabs, punchboards,

or other Class II gaming activities, as well as any class II key employee or primary

management official, must qualify for and hold a Class A gaming employee

license.

4.3.3 Employee License -

Non-Gaming

Persons employed in a class II or class III gaming facility in a non-gaming

related position including but not limited to facilities maintenance and food

services employees, must qualify for and hold a Class B license.

4.3.4 Vendor Employee

Persons employed by a vendor, supplier, or other service provider who

work within the gaming facility may also be required to complete an application

for licensing or registration under the provisions of Section 12.0 of these

regulations.

4.3.5 Management Company / Financiers

4.3.5.1 Persons or entities with which the Tribe enters into an agreement

for financing, development, management or operation of any class II or III

gaming operation, must qualify for a Class A license, and are subject to the

requirements set forth in Section 12.0 of these regulations. The Gaming

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Commission may issue a license to any such persons and entities without

further investigation if they hold a valid certification or license from the

NIGC. The federal government, commercial lending institutions, and

tribal governments that extend financing (directly or indirectly) to the

gaming operation are exempt from the licensing requirements, unless

otherwise required by the Gaming Commission.

4.3.5.2 No license shall be granted to a management company if any

elected official of the Tribe, or a member of the Gaming Commission

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 that has a financial interest in or management responsibility for such

contract. No license shall be granted if an elected official of the Tribe,

member of the Gaming Commission, or a member of another committee

or agency of the Tribe has a financial interest in or management

responsibility for any other agreement between the management company

and the Tribe.

4.3.5.3 No management company shall be granted a license if the Gaming

Commission determines that the company or its agents have unduly

interfered with or influenced for their advantage any decision or process of

tribal government relating to the gaming operation or has deliberately or

substantially failed to follow the terms of the management contract or the

Tribes gaming laws.

4.3.5.4 The Gaming Commission, in its sole discretion, may require any

employee, officer, or director of a management or financing company to be

licensed individually if the interest of the Tribe will be served by such

licensing. Upon Gaming Commission request, the management or

financing company shall require such persons to apply to the Gaming

Commission for a license in accordance with the laws and regulations then

in effect.

4.3.6 Suppliers. Distributors and Manufacturers

Manufacturers, distributors, and suppliers of gaming services or goods are

subject to the requirements set forth in Section 12.0 of these regulations.

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4.3.7 Gaming Facility

4.3.7.1 The Gaming Commission shall issue a license to each facility

where class II or III gaming is conducted on the Reservation. A gaming

facility license is valid for two (2) years from date of issuance unless

otherwise revoked, suspended or invalidated. The licensing inspection

may include but is not limited to security and surveillance procedures and

equipment; and compliance with all applicable law and regulations;

including those relating to safety, food handling, and environmental

matters.

4.3.7.1 The Gaming Commission may inspect a licensed gaming facility at

any time, with or without prior notice, and may take action to:

4.3.7.1.1 Ensure the safety and welfare of employees, tribal

members, patrons, and the general public;

4.3.7.1.2 Ensure the honesty and integrity of any gaming

activity offered;

4.3.7.1.3 Ensure the conduct of employees and patrons is

regulated and that operation and regulation of gaming activities,

food and beverages, entertainment, and other matters as the

Gaming Commission shall determine, complies with applicable

law; and

4.3.7.1.4 Ensure compliance with all other applicable laws

and regulations.

4.3.8 Renewal

The Gaming Commission shall require applicants renewing a license to

submit updated information as requested on the license renewal application.

Applicants for renewal will not be required to re-submit historical data already

available to the Gaming Commission. Unless otherwise specifically provided in

these regulations, all licenses shall be effective for two (2) years from the date of

issuance, unless revoked, suspended, or otherwise invalidated prior to expiration.

A licensee that has applied in a timely manner to renew a license may continue to

be employed or provide goods or services under an expired license until the

Gaming Commission takes action to grant or deny the license, or until the license

is revoked, suspended, or otherwise invalidated.

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4.3.9 Temporary, Provisional, or Conditional

The Gaming Commission may grant to any license applicant a temporary,

provisional, or conditional license in lieu of a regular license pending completion

of the background investigation and application review, or 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,

provisional, or conditional license. The Gaming Commission will not authorize

the continuation of employment of a person as a Key Employee or Primary

Management Official for more than ninety (90) days, unless that person or entity

holds a valid Class A license issued by the Gaming Commission.

Section 5. LICENSE APPLICATION - REQUIRED NOTICES

5.1 Required Notices

Key employees and primary management officials, and other applicants unless exempted

by the Gaming Commission, 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.

Employees who have not signed an application containing the required notices must either sign a

statement which contains the notices or complete and sign a new application form which contains

the notices.

Section 6. CONFIDENTIAL LICENSING INFORMATION

All licensing information submitted as part of the application process becomes the

property of the Gaming Commission and may be subject to inspection and disclosure unless

otherwise protected under provisions of tribal laws or regulations, or an applicable exception as

follows:

6.1 Documents Designated as Confidential

An applicant may designate specific materials or documents the applicant

reasonably believes to contain confidential information by clearly marking those materials or

documents as Confidential. Those Confidential materials and documents shall not be subject

to public disclosure or made part of the public record of the Gaming Commission without first

providing the applicant notice and an opportunity for a Gaming Commission hearing regarding

whether the materials, documents, or information should be made public. The Gaming

Commission will balance the applicants claimed confidentiality concerns against the materiality

of the information to the license application, the publics right to be made aware of the

information, and the Gaming Commissions need to make the information part of the public

record in order to remain fully accountable for the licensing decision. The Gaming Commission

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shall consider all facts and circumstances relevant to making a proper ruling. The decision of the

Gaming Commission shall be final when issued.

6.2 Arrest and Conviction Records

Information or statements regarding arrests or convictions of any person will not

be disclosed to the public, except as relevant to the applicant or licensees suitability in a hearing

to appeal denial, revocation, or suspension of a license; in another legal proceeding, or as

otherwise required by law.

6.3 Identity of Persons Interviewed

The identity of each person interviewed in the course of a licensing background

investigation shall be kept confidential.

Section 7. BACKGROUND INVESTIGATIONS

The Gaming Commission is responsible for conducting background investigations prior

to licensing of applicants to ensure the Tribes gaming operation does not employ or contract

with those whose prior activities, criminal record, reputation, habits, and associations pose a

threat to the interest of the Tribe or gaming public, or to the effective regulation of gaming, or

enhance the danger of unfair, unsuitable, or illegal practices and activities in the conduct of

gaming.

7.1 Investigation Scope and Standards

Class A license applicants, and other applicants unless exempted by the Gaming

Commission, shall be subject to a complete background investigation, including fingerprinting,

prior to granting of a license. The Gaming Commission shall use any information available to it

in conducting a background investigation. Applicants will be assessed and evaluated under

standards at least as stringent as those contained in the Tribes laws and regulations, an

applicable tribal-state gaming compact, and other applicable law. The Gaming Commission

reserves the right to conduct a more comprehensive investigation than required under other

licensing jurisdictions or applicable laws.

7.1.1 Coordination with Enforcement Agencies

The Gaming Commission shall refer persons to the Skagit County Sheriffs

Office for fingerprinting, and will coordinate with that recognized law

enforcement agency, as necessary, regarding criminal history information,

investigation procedures, as well as for taking applicant fingerprints. Criminal

history checks for key employees, primary management officials and others

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required to be licensed under the Compact will be conducted through the

Washington State Gambling Commission or the NIGC.

7.1.2 Inspection of Applicant Books and Records

The books and records of applicants shall be subject to inspection at any

time, on demand and with or without notice, during any application or other

investigation process and the term of any license granted.

7.2 Licensing Authority and Responsibility

The Gaming Commission has the authority and responsibility to conduct

background investigations, develop and transmit to the NIGC the eligibility determination and

investigative reports, and to license employees and other persons and entities involved in gaming

activities or doing business with the gaming enterprise. For Class A license applicants, and other

applicants unless exempted by the Gaming Commission, the Gaming Commission will conduct,

or cause to be conducted, a background investigation. After independent review of all

background investigation materials, the Gaming Commission will issue or deny the license

requested.

7.3 Investigation Resources Available

The Gaming Commission shall establish the investigation process based on

requirements under applicable law, availability of staff and resources, and other considerations

and requirements. In all cases, the final decision regarding the issuance or denial of any license

remains with the Gaming Commission. The Gaming Commission is authorized to conduct

investigations and develop eligibility and suitability determinations through:

7.3.1 Gaming Commission staff;

7.3.2 Agreement with the other jurisdictions, or as otherwise required under a

gaming compact; or

7.3.3 Agreement with one or more independent investigators or investigatory

entities (private or public) to perform all or any portion of the services required.

7.4 Investigation Staff- qualifications and Hiring

Gaming Commission staff responsible for the review and investigation of gaming

applicants include qualified Administrators, Reviewing Agents (Agents) and Supervisors, with

training and experience in conducting background investigations. Investigation staff will have

training and experience in application review, accounting, auditing, andlor law enforcement. At

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least one Agent must be qualified by experience or training to review criminal records and law

enforcement matters. Candidates for Gaming Commission staff positions must apply with the

Gaming Commission office. Candidates will be tested and pre-screened prior to interviewing

with the Gaming Commission. The Gaming Commission may require that candidates pass a

background investigation, including personal, criminal and financial background, prior to

employment.

7.5 Application Investigation Process

Applications will be dated, logged in, and reviewed by the Administrator upon

receipt. The Administrator will ensure all required information has been provided, and will

contact applicants by telephone, facsimile, or in writing regarding any incomplete information or

additional materials required prior to processing the application. The Administrator will ensure

that application fees have been paid, note payment made, and forward any fees for deposit.

7.5.1 Fingerprint Cards

Fingerprint cards are processed as required by the agency transmitting the

cards to the FBI for processing. Fingerprint cards sent to the NIGC for FBI

processing will be sent directly from the law enforcement agency completing

those cards. Fingerprint cards processed will be subject to the procedures of the

authorized processing agency. As appropriate, the Administrator will forward the

fingerprint cards to the authorized agency for processing.

7.5.2 Application Review

When the application is deemed complete and ready for review and

investigation, the Administrator forwards the application to one or more Agent(s)

or outside investigators for review. A record of each application is maintained by

the Administrator, with date application was received, name of reviewing agent,

action dates, and other tracking information.

7.5.3 Agent Review and Investigation

The license application will be fully reviewed by one or more Agents. An

Agent with training or experience in reviewing such records will review the

applicants criminal history information prior to completion of the review process.

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7.5.4 On Site Review and Investigation

For management companies and other business applicants, and others as

deemed necessary, the Gaming Commission may require an on-site review of

records and operations prior to completion of the review process. Such review

will be conducted by one or more Agents qualified to review and assess

applicants records.

7.5.5 Application Information to NIGC

When a key employee or primary management official begins work at the

gaming operation, the Administrator will forward employee application

information to the NIGC.

7.5.6 Gaming Commission Licensing Responsibility

If the Gaming Commission contracts with an independent individual or

entity for background investigations, a Gaming Commission Agent will review

each background investigation report from the independent investigator, approve

or disapprove the investigative work, and compile the eligibility determination

and other materials for Gaming Commission consideration. The final

determination regarding the issuance or denial of the gaming license remains, at

all times, with the Gaming Commission.

Section 8. CLASS LICENSE REVIEW REOUIREMENTS

8.1 Scope of Investigation

The scope of review of Class A license applications includes, at minimum,

investigation of applicants criminal history, personal history, and financial history in order to

detect unusual relationships or criminal associations, and to assess applicants reputation.

Background investigations shall include, but are not limited to:

8.1.1 Verification (written or oral) of information submitted by applicant.

8.1 .2 Law enforcement record search, as available, to ensure applicant has no

outstanding warrants.

8.1.3 Req~iest for information about the applicant, directed to enforcement

authorities in jurisdictions where the applicant has worked or lived during the past

ten (10) or more years. Agents inquire into applicants prior activities, criminal

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

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8.1.4 Personal, professional, and developed references will be interviewed to

develop applicants report, including unusual relationships, financial problems, or

criminal record. Inquiries shall be of sufficient number and depth for the Gaming

Commission to make a finding concerning applicants suitability for employment

in or association with the gaming enterprise.

8.1.5 Review of criminal history information from the FBI fingerprint check and

other available sources.

8.1.6 Review of applicants credit record.

8.1.7 Document the disposition of all potential problem areas noted and any

disqualifying information obtained for use in developing eligibility determination

report.

8.2 Determining Eligibility

During the review and investigation of all Class A license applicants, the Agent

will complete a checklist containing information required for the eligibility determination.

Information will be verified, problem areas and discrepancies noted, and other comments

provided as applicable.

8.3 Supervisor Review

When the review process is completed the applicant file, with comments and other

information received by Agents, will be forwarded to the Supervisor. The Supervisor will review

all materials, approve the investigative work, and note any other pertinent information. The

Supervisor will finalize the eligibility (suitability) determination for Gaming Commission review

and action.

8.4 Applicant Investigative Report

Applicant investigative reports will establish a record of the review process,

including the steps taken in conducting the background investigation, the results obtained,

conclusions reached, and the basis for reaching such conclusions and determinations.

8.5 Gaming Commission Approval

The application and investigative materials will be reviewed, and approved or

disapproved by action of members of the Gaming Commission.

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8.6 Licensing Information to NIGC

Unless otherwise exempted by the NIGC, the Gaming Commission will forward

all approved key employee and primary management official files to the NIGC together with a

copy of the completed license eligibility determination and the investigative report.

8.7 License Issuance

Upon Gaming Commission approval, a gaming license either with or without

restrictions may be issued to the applicant.

8.8 Temporary or Provisional Licenses

The Gaming Commission may issue a temporary or provisional license to the

applicant prior to completion of the investigative process; provided that no temporary license will

remain valid for more than ninety (90) days. The Gaming Commission will not authorize the

continued employment of a person as a key employee or primary management official for more

than 90 days unless that person holds a valid license issued by the Gaming Commission.

Section 9. CLASS B LICENSE REVIEW

9.1 Gaming Commission Processing and Review

Class B license applicants will obtain and submit forms as provided in these

regulations for such licensing. Gaming Commission Agents will review Class B applications and

develop an eligibility determination report for internal use. Licenses will be granted or denied

based on information obtained during the review process.

9.2 Scope of Investigation

Class B background investigations will be conducted by Gaming Commission

staff in a similar manner but generally with a narrower scope than the investigation for Class A

applicants. The Gaming Commission may, in its sole discretion, conduct a more comprehensive

investigation for Class B applicants as deemed necessary. Class B license investigations shall

include:

9.2.1 Review of application to ensure complete information provided;

9.2.2 Verification of information submitted by applicant;

9.2.3 Search of law enforcement records for outstanding warrants;

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9.2.4 Review credit history, including applicants credit report as deemed

necessary.

9.2.5 Inquiry of sufficient depth into applicants prior work record, personal, and

criminal record, if any, to develop an understanding of applicants reputation,

habits and associations. This inquiry may include interviewing (by phone or in

person) personal and professional references, former employers, and others in

order to provide a basis for the development of an eligibility determination, and to

assess the applicants suitability for a gaming license; and

9.2.6 Documentation of any potential problem areas and disqualifying

information obtained.

Section 10. NIGC LICENSE AND INVESTIGATION REPORTS

10.1 Investigation Reporting Process

Within sixty (60) days after a Class A license applicant or licensee begins work in

the gaming operation, or within sixty (60) days after approval of the Ordinance by the NIGC, the

Gaming Commission will forward to the NIGC application information, investigative report and

eligibility determination used in evaluating applicants eligibility for a license. The responsibility

for transmittal (or causing the transmittal) of investigative reports to the NIGC remains with the

Commission Chairman. Investigative reports shall include at least the following information:

10.1.1 Steps taken in conducting the background investigation;

10.1.2 Results obtained;

10.1.3 Conclusions reached; and

10.1.4 The basis for those conclusions.

10.2 NIGC Notification of License Denial

If the Gaming Commission determines it will not issue or renew a Class A

license, the Gaming Commission will notify the NIGC of such denial and may forward copies of

the eligibility determination and investigative report, if any, to the NIGC for inclusion in the

Indian Gaming Individuals Records System.

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10.3 Retention of Applications

10.3.1 Class A

The Gaming Commission will retain applications for Class A licenses,

including reports of background investigations, for a period of no less than three

(3) years from the date of license denial or termination of employment, whichever

is later. Such records will be made available for inspection by the Chairperson of

the NIGC or their designee.

10.3.2 Class B and other licenses

The Gaming Commission will retain Class B and other license information

for such employees and to the extent necessary after termination of employment

or denial, suspension or revocation of the license. No investigative report or

eligibility determination will be forwarded to the NIGC for these license

applicants who are not key employees or primary management officials under

IGRA, unless specifically requested by the NIGC and approved by the Gaming

Commission.

Section 11. NIGC REVIEW OF LICENSING

11.1 NIGC 30-Day Review Period

The NIGC has thirty (30) days after receipt of the report provided by the Gaming

Commission as required in Section 10.0, to notify the Tribe of any objections to the issuance of a

Class A license. If the NIGC, within the thirty (30) day period, provides to the Gaming

Commission a statement itemizing objections to the issuance of a license to a Class A license

applicant, the Gaming Commission will reconsider the application taking into account the

objections raised. The Gaming Commission will issue a final decision after full reconsideration

of the application and any additional information.

11.2 Suspension of Review Period

If, within the thirty (30) day period in section 11.1, the NIGC requests additional

information concerning a Class A applicant for whom a report is provided, that request suspends

the thirty (30) day period until the NIGC receives the information requested.

11.3 Notice of Disqualifying Information

If, after issuance of a Class A license, the Gaming Commission receives reliable

information from the NIGC that the licensee is not eligible for employment under the provisions

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herein, the Gaming Commission will take the following steps:

11 .3.1 Suspend the license and notify the licensee immediately of the suspension

and proposed revocation;

11.3.2 Notify the licensee of a time and a place for a hearing on the proposed

revocation of the license;

11.3.3 Conduct the revocation hearing and make a determination whether to

revoke or to reinstate the license; and

11.3.4 Notify the NIGC of the final decision regarding the revocation or

reinstatement of the Class A license.

11.4 Applicability to Class B Licenses

The above provisions of Section 11 may, in the sole discretion of the Gaming

Commission, be applicable to Class B licenses.

Section 12. VENDOR LICENSING

12.1 Individuals and business entities (including principals, officers, directors,

representatives, owners, on-site representatives, and other persons working with the business

entity) doing business with the Tribes gaming enterprise, whether or not the goods or services

provided are gaming related, unless otherwise exempted by the Gaming Commission in

compliance with the IGRA and regulations promulgated thereunder, and the Compact with the

State of Washington, are subject to the following regulations and procedures and to all other

provisions of the Gaming Act and these regulations. The Gaming Commission may, in its sole

discretion, issue a license without further investigation to such individuals or business entities

holding a valid certification or license from the Washington State Gambling Commission.

12.2 Definitions

For the purposes of these procedures, the following definitions shall be applicable:

12.2.1 Gaming Vendor

Gaming Vendor shall mean an individual or business entity providing

goods or services to the Tribe or the gaming enterprise, whether on or off site,

related to the operation of the Tribes class II or class III gaming activities, and

shall include but is not limited to gaming-related equipment, maintenance,

management or consulting services, financing, gaming supplies, and security or

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surveillance services. Gaming vendors include manufacturers, suppliers, and

distributors of such equipment, services, or supplies. For the purposes of these

regulations, gaming services shall not include professional legal and accounting

services nor provision of indirect goods or services such as food and beverages,

laundry services, and the like.

12.2.2 Vendor

Vendor shall mean an individual or business entity providing only nongaming related goods or services to the Tribe or the gaming enterprise, whether on

or off site, in connection with the operation of the Tribes Class II or Class III

gaming activities, and shall include but is not limited to food and beverage

suppliers, laundry service suppliers, non-gaming related equipment, clothing,

food, or supplies for resale in the gaming facility, magazines, and publications.

12.2.3 The Gaming Commission, in its sole discretion, may waive the licensing

requirements for Vendors and Gaming Vendors providing goods or services of no

more than $25,000 in value in any twelve (12) month period. All license

requirements shall be applicable when the goods or services provided total

$25,000 in any twelve (12) month period.

12.2.4 The Gaming Commission, in its sole discretion, may require an employee,

officer, or director of a Vendor or Gaming Vendor to be licensed individually,

even if the Vendor or Gaming Vendor is otherwise exempted from licensing

requirements, if the Gaming Commission determines that the interest of the Tribe

will be served by such licensing. At the request of the Gaming Commission, the

Vendor or Gaming Vendor shall require such persons to apply to the Gaming

Commission for a license in accordance with the laws and regulations then in

effect.

12.3 Vendor Contracts Subject to Licensing and Independent Audit

Under the Gaming Act, all contracts with Vendors and Gaming Vendors,

including each supplier, manufacturer, distributor, or other services supplier doing business with

the Tribes gaming activities (Vendor Contracts) are subject to licensing by the Gaming

Commission. Payments to Vendors and Gaming Vendors may be delayed until the licensing

process is completed. All Vendor Contracts in the amount of $25,000 or more annually for

supplies, services, or concessions related to gaming activities on the Reservation are also subject

to independent audit.

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12.4 Time for License Application

Each Vendor or Gaming Vendor, as defined herein, is responsible for filing a

license application with the Gaming Commission within five (5) business days after execution of

a contract to do business with the Tribes gaming enterprise, and prior to receiving payment

thereunder. The Gaming Commission may, in its sole discretion, require licensing or other pre

approval of the company or individuals to be completed prior to execution of the contract or prior

to beginning any work with the gaming enterprise.

12.5 Vendor Licensing and License Categories

The Gaming Commission is authorized to issue three categories of Vendor

Licenses. The Gaming Commission shall require Vendors and Gaming Vendors to complete the

process for one of those three categories. All three categories of Vendor Licenses are considered

Class A licenses, subject to the specific provisions of this Section 12.0.

12.6 Vendor License Information Reuuired

The Gaming Commission shall require all Vendors and Gaming Vendors to

submit basic licensing information to the Gaming Commission. The Gaming Commission is

further authorized to require the submission of either a greater or lesser amount of information

from any Vendor or Gaming Vendor based on factors including but not limited to (a) their

relationship to the gaming activities; (b) size, complexity, and organizational structure of the

vendor; (c) total dollar amount of contracts with the Tribe andlor the gaming enterprise; (d)

licensing status in other jurisdictions; (e) total number of contracts with the Tribe andlor the

gaming enterprise; (f) number of on-site employees; (g) frequency and amount of overall contacts

with the Tribe andlor the gaming enterprise; (h) reputation and record of the vendor in prior

dealings with the Tribe andlor the gaming enterprise; and (g) general reputation of the vendor in

business dealings and in the community.

12.6.1 Category A-I Vendor License

Individuals and entities defined herein as Gaming Vendors, as well as

those providing non-gaming services, materials, or equipment and that must

access any secure or non-public area of the gaming facility (such as locksmiths,

alarm contractors, surveillance equipment maintenance) shall apply for a Category

A-i Vendor License if their contracts with the Tribe are, or are estimated to be,

$25,000 or more within the twelve month period beginning with the date of the

initial contract. Category A-i Vendor Licensees must be investigated and fully

licensed before the total of their contracts with the tribes gaming activities

exceeds the $25,000 amount.

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12.6.2 Category A-2 Vendor License

Individuals and entities defined herein as Vendors, and including those

providing non-gaming goods and services who must access any secure or non

public area of the gaming facility (such as locksmiths, plumbers, electrical

contractors, computer support services, camera suppliers), as well as independent

concessionaires who provide goods or services to the public through the gaming

facility (such as, for example, catering companies, valet services, cash machine

services, and the like) shall apply for a Category A-2 Vendor License, if the total

of their contracts with the Tribe and its gaming enterprise are, and are reasonably

estimated to be, no more than $25,000 within the twelve month period beginning

with the date of the initial contract.

12.6.3 Category A-3 Vendor License

All other providers of either gaming or non-gaming related goods or

services (including distributors, manufacturers, or suppliers) to the gaming

enterprise, and are not otherwise included in Categories A-i or A-2, shall apply

for a Category A-3 license. At the discretion of the Gaming Commission, any

Category A-3 Vendor may be required to meet the licensing requirements of a

Category A-i or A-2 Vendor.

12.7 Vendor License Fees and Costs

Basic Vendor License fees shall be established by the Gaming Commission for

category A-i, A-2, and A-3 licenses. Initial license fees shall be available on request from the

Gaming Commission and may be adjusted from time to time to cover the actual cost of

investigation and licensing. The Gaming Commission is further authorized to increase or

decrease basic license fees for any Vendor or Gaming Vendor based on the amount of business

the vendor has done or expects to do with the Tribes gaming activities, or to waive or defer

license fees as the Gaming Commission, in its sole discretion, deems appropriate. In processing

Vendor applications, the Gaming Commission may, in its sole discretion, use in-house

investigation services, outside investigation services, or a combination of both. The Gaming

Commission may require additional fees at any time during the licensing and investigation

process to cover costs and expenses of investigation, licensing, and regulation.

12.8 Basic Vendor License Information Required

The Gaming Commission shall require the following information, unless the

Gaming Commission, in its sole discretion, specifically waives some or all of the information

required from Vendors and Gaming Vendors as part of the licensing process:

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12.8.1 Completed Vendor Application for the company and for each person

required by the Gaming Commission to be licensed as part of the Vendor License

process, including application attachments and license fees;

12.8.2 Copy of company Personnel Policy;

12.8.3 Copy of company Drug and/or Alcohol Program, with certification of its

implementation;

12.8.4 Copy of all contractual agreements with Tribes gaming activities; and

12.8.5 Any other materials requested by the Gaming Commission.

12.9 Gaming Commission Vendor License Investigation and Processing

12.9.1 Gaming Commission staff shall provide in-person or send a Vendor

Application packet to Vendors and Gaming Vendors who request such

information, are identified by the gaming enterprise, or are otherwise identified by

the Gaming Commission as requiring a Vendor License.

12.9.2 Gaming Commission staff shall review incoming completed applications

for the following:

12.9.2.1 All portions of the application have been completed and are

legible;

12.9.2.2 Photographs and fingerprint cards (if required) have been

included;

12.9.2.3 Legible copies of all required identification documents

have been provided (Washington Drivers License, Alien

Registration, Naturalization documents, and the like);

12.9.2.4 All required fees have been provided;

12.9.2.5 Application and all required forms have been signed and

notarized as necessary;

12.9.2.6 Any other required attachments such as financial

information, business organizational documents, and the

like have been provided; and

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12.9.2.7 The application materials include information required for

vendor on-site representatives; company owners, directors,

and officers; and any other individuals required to be

licensed or investigated as part of the company application.

12.9.3 Upon completion of the above review, the Gaming Commission may

authorize the issuance of a temporary Vendor License that will be valid for no

more than a one (1) year period.

12.9.4 Gaming Commission staff will continue to process the completed

application as follows:

12.9.4.1 Social security number review and verification for each

owner and other individuals as required to be licensed as

part of the vendor licensing;

12.9.4.2 Review financial reports and organizational documents

provided;

12.9.4.3 Verify PUC including number, insurance, and number and

type of vehicles;

12.9.4.4 Review state and federal tax returns as required;

12.9.4.5 Obtain business credit information and report;

12.9.4.6 Conduct asset search, if deemed necessary after above

review;

12.9.4.7 Check state and federal civil, criminal, and bankruptcy

court records for jurisdiction where business located and

where principals reside, if necessary;

12.9.4.8 Check references listed, including at least one bank

reference;

12.9.4.9 For any employee whose proposed job duties with the

gaming enterprise include driving or carrying passengers,

conduct DMV record review; search state and local court

records; review copy of drivers license and medical card;

conduct reference checks; and review and verify

employment history;

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12.9.4.10 For any employee proposed as an on-site representative at

the Gaming Enterprise, verify social security number;

search state, local, and federal court records; verify prior

employment; verify and contact personal references to the

extent necessary (may include developed references);

review and verify professional licenses; obtain credit report;

and conduct DMV record review; and

12.9.4.11 The Gaming Commission may conduct the investigation

specified above through use of qualified in-house staff, or

may contract with another jurisdiction, individual, or

agency to conduct some or all of the above work, or to

conduct further investigation.

12.9.5 Vendor Licenses (Category A-I, A-2, and A-3) may, in the sole discretion

of the Gaming Commission include the following:

12.9.5.1 Temporary Gaming License issued upon receipt and initial

review of the application as provided in 12.9.3 above;

12.9.5.2 Vendor Gaming License regular license issued upon

completion of investigation and valid for no more than two

(2) years (includes issuance of a photo identification to be

worn at all times when licensee and its on-site

representatives are in the gaming enterprise; and

12.9.5.3 Provisional License may be issued if applicant is unable to

pay total licensing fee at one time and payment schedule is

developed; if applicant (business or individuals) must

comply with specific provisions to maintain the license;

and other circumstances deemed appropriate to protect

persons and property.

12.9.6 Closure of Applicant Files During Gaming Commission processing, the

Applicants license file may be closed for reasons including but not limited to the

following: licensing and background information is not provided as requested; the

application is not completed or fees are not paid as required; or applicants

services are no longer required by the gaming enterprise. Prior to closing an

applicant file, Gaming Commission staff will send a letter via certified or

overnight mail to applicant at applicants last known address, with a copy to the

gaming enterprise, indicating the file is closed effective that date, and that no

further goods or services may be provided to the gaming enterprise.

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12.9.7 Denial of License to Applicant For applicants who, after investigation is

completed, are not deemed suitable to do business with the gaming enterprise, the

Gaming Commission staff will send a letter to the applicant at applicants last

known address, via certified or overnight mail, a letter indicating that the license

has been denied and setting forth the appeal procedures. If the appeal is not filed

within fifteen (15) days, or if the denial is not overturned as a result of the appeal

process, the applicant is no longer authorized to do business with the gaming

enterprise. Denial of the Vendor License may also be considered for other

purposes, and may result in the applicant being denied the opportunity to do

business with the Tribes government or other business enterprises.

Section 13. LICENSE AND INVESTIGATION FEE PROVISIONS

13.1 License Investigation Fees

Basic license fees are established and published by the Gaming Commission, and

may be changed without prior notice at any time for any class of license. If the cost of

investigation and processing an application exceeds the fee established, the Gaming Commission

may require that additional fees be paid prior to license issuance. License application fees may

include an amount to cover the reasonable costs of regulation and enforcement.

13.2 Payment of Fees

Applicants must comply promptly with any request for a deposit to cover the

estimated cost of investigation and processing. Applicants failure to pay any fee deposit as and

when requested may result in denial of the license. The Gaming Commission, in its sole

discretion, may delay the issuance of a license for a sufficient period of time to ensure that a

check offered to cover such fees has cleared the bank.

13.3 Waiver of Fees

The Gaming Commission reserves the right to waive or adjust license fees for a

member of the Tribe or for a member of another tribe. The decision of the Gaming Commission

regarding such requests shall be final and non-appealable.

Section 14. NOTIFICATION OF LICENSING ACTION

The Gaming Commission shall provide written notification to each applicant upon the

grant or denial of the license. To the extent required under federal, state, or other applicable

laws, the Gaming Commission will notify the NIGC and others as required regarding issuance,

revocation or denial or Class A licenses.

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Section 15. LICENSE NOT A VESTED RIGHT

The Gaming Commissions issuance of any license shall not be construed as granting a

vested right in any of the privileges the license confers.

Section 16. LICENSEE DUTIES AND RESPONSIBILITIES

16.1 Updating Information

Each licensee shall assume full responsibility for providing to the Gaming

Commission on an on-going basis, information to supplement, correct, or update that provided in

the original license application, as well as any other information that may impact the licensees

suitability for continued licensing. Failure to provide such information on a timely basis may

result in suspension, revocation, or denial of the license.

16.2 Compliance with Applicable Law and Conditions

Each licensee and licensees employees shall be legally responsible for compliance

with all applicable laws, including tribal, federal, and state laws and regulations. Further,

licensees issued a conditional or provisional license shall assume the responsibility for full and

timely compliance with any conditions or restrictions set forth in conjunction with issuance of

such license. Failure to comply with applicable law or conditions established may result in

suspension or revocation of the license issued.

16.3 Evidence of Suitability

The issuance or renewal of any license may be conditioned as necessary, including

successful completion of required programs or training or the presentation of evidence of the

person or entitys suitability.

16.4 Rewards, Bribes, and Compensation

No applicant or licensee shall give, provide, or offer to give or provide (directly or

indirectly) to any official of the Tribe, Gaming Commission, or any other employee or agency of

the Tribe any compensation, reward, or share of the money received through gambling activities

in consideration for obtaining a license or authorization to participate in any gaming operation.

Any violation shall result in denial or revocation of any license held or sought.

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16.5 Responsibility of Employees and Licensee Businesses

Licensees and employees of a business entity, as well as the licensee entity itself,

shall be legally responsible for any violation of the Tribes laws and regulations, license

requirements, and other applicable laws and regulations, including IGRA and any applicable

tribal-state compact.

Section 17. LICENSEE PROCEEDINGS CLOSED TO PUBLIC

Hearings regarding licensing proceedings or reconsideration of an application shall be

closed to the public unless specifically opened to the public by a two-thirds majority vote of the

Gaming Commission.

Section 18. LICENSE DENIALg SUSPENSION OR REVOCATION

18.1 Grounds for Denial, Suspension or Revocation

The Gaming Commission may deny a license, or suspend or revoke a license

when the applicant or licensee, or any other person or entity with any interest in the applicant or

licensee:

18.1.1 has violated, failed or refused to comply with the provisions, requirements,

conditions, limitations or duties imposed by the Ordinance and or other applicable

laws or regulations;

18.1.2 knowingly causes, aids, abets or conspires with another to cause any

person to violate any applicable laws or regulations;

18.1.3 has obtained a license by fraud, misrepresentation, concealment, or

through inadvertence or mistake;

18.1.4 fails to promptly produce for inspection or audit any book, record, or

document required by applicable laws or regulations;

18.1.5 has been convicted of, or forfeited bond upon a charge of, or pleaded

guilty to the crime of forgery, larceny, extortion, conspiracy to defraud, tax

evasion, or similar offenses, or of any crime, whether a felony or misdemeanor,

involving moral turpitude or a gambling activity; or

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4

18.1.6 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 Commission, without prior notice to and

written approval from the Gaming Commission.

18.2 Surrender of License

Upon receiving written notice of the suspension or revocation of any license

issued by the Gaming Commission, the licensee is required, within five (5) days, to surrender the

license and return it to the Gaming Commission.

18.3 Suspension or Revocation After Hearing

In addition to other procedures set forth in these regulations, any license issued

under these regulations may be suspended or revoked by the Gaming Commission for a breach or

violation of the provisions of applicable laws or regulations, and a hearing before the Gaming

Commission called no more than twelve (12) or less than eight (8) working days from the time

the licensee 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 sworn oral or

documentary evidence relevant to the breach or violation charged.

18.4 Summary Suspension or Revocation

Nothing in these regulations shall preclude the Gaming Commission from

summarily suspending or revoking any license if the continued licensing appears to constitute a

threat to Tribes or the public health, safety or welfare; enhance the opportunity for unfair or

unscrupulous practices in the gaming operation; or increase the likelihood that the integrity and

reputation of the gaming operation might be compromised.

18.5 Appeal of Denial, Suspension or Revocation

18.5.1 Decisions of the Gaming Commission regarding the denial, suspension or

revocation of licenses shall be final and effective when issued.

18.5.2 An applicant or licensee whose license is denied, revoked or suspended

may, within fifteen (15) days after the date of receipt of a written decision of the

Gaming Commission, file a with the Gaming Commission a request to reconsider

the decision. The request must set forth the basis of the request for

reconsideration. If no request or petition for reconsideration is received by the

Gaming Commission within the time prescribed, the decision shall be deemed

final and not subject to further reconsideration, appeal, or review by the Gaming

Commission.

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4

18.5.3 Notwithstanding the above, a member of the Tribe may, in addition,

appeal a denial, suspension or revocation of a license to the Gaming Commission

within sixty (60) days of written notice under the provisions set forth in the

Ordinance.

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