JAN 5 2007 

Chairperson Frances G. Charles 

Lower Elwha Klallam Tribe 

285 1 Lower Elwha Road 

Port Angeles, WA 98363 

RE: Lower Elwha Klallam Tribe Gaming Ordinance of 2006 

Dear Chairperson Charles: 

This letter is in response to your request for the National Indian Gaming Commission 

(NIGC) to review and approve the Lower Elwha Klallam Tribe (Tribe) Ganling Control 

Ordinance (Ordinance) of 2006. The Tribe submitted the Ordinance to the NIGC on 

October 18,2006, as adopted by the Tribe on October 2,2006, in Resolution # 72-2006. 

Subsequently, the Tribe amended the Ordinance on December 19, 2006, in Resolution # 

89-2006, and submitted the superseding Ordinance to the NIGC for approval on 

December 26, 2006. This letter constitutes approval of the Tribe's submission under the 

Indian Gaming Regulatory Act (IGRA). It is important to note that the Ordinance is 

approved for gaming only on Indian lands, as defined in the IGRA, over which the Tribe 

has jurisdiction. 

itting the Ordinance for review and approval. The NIGC staff looks 

you and the Tribe on future gaming issues. 

NATIONAL HEADQUARTERS 1441 L St NW Su~te 9100, Washtngtm, DC 20005 Tel 202.632 7003 Fax- 202 632 7066 www.~lcc.cov 

REGIONAL OFFICES Portland. OR, Sacramento. CA, Phoenix, AZ: St Paul, MN: Tulsa, OK 
Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

Page 1 of 30 
Purpose 

Definitions 

Gaming Authorized 

Ownership of Gaming 

Use of Gaming Revenue 

Per Capita Payments 

Management of Tribal Gaming 

Board of Directors 

Gaming Commission 

Ethics 

Complimentary Items 

Audit 

Environment and Public Health and Safety 

Dispute Resolution 

Tribal Internal Control Standards 

Facility Licenses 

Agent for Service of Process 

Compliance with Federal Law 

Repeal 

Tribal Access to Financial Information 

Licenses for Key Employees and Primary Management Officials, and 

Other Gaming and Non-Gaming Employees 

License Application Forms 

License Fees 

Fingerprints 

Background Investigations 

Eligibility Determinations 

Procedures for Forwarding Applications and Reports for Key Employees 

and Primary Management Officials to the NIGC 

Report to the NIGC 

Granting a Gaming License 

Lower ELwha Klallam Tribe 

Gaming Control Ordinance 

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License Suspension 

Licenses for Vendors 

Submission of a Vendor License Application 

Contents of the Vendor License Application 

Vendor Background Investigation 

Vendor License Fee 

Vendor Background Investigation Report 

Exemption for Vendors Licensed by Recognized Regulatory Authorities 

Licenses for Non-Gaming Vendors 

Board of Review for Disputes 

Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

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Section 101. Purpose 

The Lower Elwha Klallam Tribe (Tribe), through the Lower Elwha Klallam Tribal Business 

Committee, empowered by the Lower Elwha Klallam Tribal Community Constitution, By-laws 

and Community Council Resolutions to enact ordinances, hereby enacts this ordinance in order 

to govern Class I, Class I1 and Class I11 gaming operations on the Tribe's Indian lands. This 

ordinance shall be known as the "Lower Elwha Klallam Gaming Control Ordinance of 2006." 

Section 102. Definitions 

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein shall 

have the same meaning as defined in the Indian Gaming Regulatory Act (IGRA), 25 U.S.C. fj 

2701 etseq., and its regulations, 25 C.F.R. fj 500 etseq., except for references to 

Commissioners and Commission, which shall mean Commissioners of the Elwha Klallam Gaming 

Commission established herein. Specifically: 

(a) Board of Directors means the Tribal Gaming Board of Directors, who shall serve as 

primary management officials in overseeing the General Manager and the day-to-day nonregulatory aspects of the gaming operation. 

(b) Class I Gaming means 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. 

(c) Class I1 Gaming means: 

(1) The game of chance commonly known as bingo (whether or not electronic, 

computer or other technologic aids are used in connection therewith); 

(A) which is played for prizes, including monetary prizes, with cards bearing 

numbers or other designations, 

(B) in which the holder of the card covers such numbers or designations when 

objects, similarly numbered or designated, are drawn or electronically 

determined, and 

(C) in which the game is won by the first person covering a previously 

designated arrangement of numbers or designations on such cards, including (if 

played in the same location) pull-tabs, lotto, punch cards, tip jars, instant bingo, 

and other games similar to bingo; and 

(2) Card games that: 

(A) are explicitly authorized by the laws of the State, or 

(B) are not explicitly prohibited by the laws of the State and are played at any 

location in the State, but only as such card games are played in conformity with 

those laws and regulations (if any) of the State regarding hours or periods of 

operation of such card games or limitations on wagers or pot sizes in such card 

Lower ELwha Klallam Tribe 

Gaming Control Ordinance 

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games. 

(3) The term "Class I1 Gaming" does not include: 

(A) any banking card games, including baccarat, chemin de fer, or blackjack 

(211, or 

(0) electronic or electromechanical facsimiles or any game of chance or slot 

machines of any kind. 

(d) Class 111 gaming means all forms of gaming that are not Class I gaming or Class I1 

gaming. 

(e) Closely Associated Independent Contractor means any contractor that shares 

common ownership, officers or directors with any management principal or person related 

thereto. 

(f) Commission means the Tribal Gaming Commission established to perform regulatory 

oversight and to monitor compliance with Tribal, Federal, and applicable State regulations. 

(g) Commissioner means a Tribal Gaming Commissioner. 

(h) Compact means a Tribal-State Compact concerning Class I11 gaming approved by the 

Secretary of the Interior and published in the Federal Register pursuant to 25 U.S.C. Ej 2710(d). 

(i) Complimentary shall have the meaning as set forth in 25 C.F.R. §542.2(a). 

(j) Director means a member of the Tribal Gaming Board of Directors. 

(k) Gaming means any activity in which a person stakes or risks something of value on the 

outcome of a contest of chance or a future contingent event, not under his or her 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, but shall not include bona fide business 

transactions. 

(I) Gaming Activities means any Class I, Class 11, or Class I11 gaming conducted by or 

under the jurisdiction of the Tribe. 

(m) Gaming Contractor means any person or entity that supplies gaming devices or other 

gaming equipment, personnel, or services (including gaming management or consulting 

services) to any gaming activity or enterprise. 

(n) Gaming Enterprise means any gaming business, event, enterprise or activity 

conducted by or under the jurisdiction of the Tribe. 

(0) Indian Lands means: 

(1) All lands within the limits of the Tribe' s reservation, as of October 17, 1988; 

(2) Any lands title to which is either held in trust by the United States for the 

benefit of the Tribe or individual or held by the Tribe or individual subject to 

restriction by the United States against alienation and over which the Indian 

Tribe exercises governmental power; and 

(3) For all lands acquired into trust for the benefit of an Indian tribe after October 

17, 1988, the lands meet the requirements set forth in 25 U.S.C. 82719. 

(p) Indian Tribe means the Lower Elwha Klallam Tribe. 

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(q) Key Employee means: 

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

(A) Bingo caller; 

(B) Counting room supervisor; 

(C) Chief of security; 

(D) Custodian of gaming supplies or cash; 

(E) Floor manager; 

(F) Pit boss; 

(G) Dealer; 

(H) Croupier; 

(I) Approver of credit; or 

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

accounting records within such devices; 

(2) If not otherwise included, any other person whose total cash compensation is in 

excess of $50,000 per year; or 

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

gaming operation. 

At the discretion of the Gaming Commission, other positions may be included under and subject 

to the requirements for Key Employees. 

(r) Net Revenues means gross gaming revenues of an Indian gaming operation less 

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

(2) Total gaming-related operating expenses, excluding management fees. 

(s) Person means any natural person or entity, including but not limited to corporations, 

partnerships, and trusts. 

(t) Primary Management Official means 

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

(2) Any person who has authority: 

(A) to hire and fire employees; or 

(B) to set up working policy for the gaming operation; or 

(C) the chief financial officer or other person who has financial management 

responsibility. 

(u) Related To shall be in reference to any matter specifically involving a close family 

relative. A close family relative means a spouse, children, foster and step-children, parents, 

grandparents, brothers and sisters, and those others who live in the home and are considered 

by the community to be part of the family. 

(v) Reservation means the Lower Elwha Klallam Reservation. 

(w) State means the state of Washington. 

(x) Tribal Business Committee means the governing body as elected officials of the 

Lower Elwha Tribal Community Business Committee, as set forth in the Tribal Constitution and 

By-laws. 

Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

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Section 103. Gaming Authorized 

All gaming on Tribal Lands, whether Class I, Class I1 or Class 111, is prohibited except as 

expressly authorized by this Ordinance. 

Section 104. Ownership of Gaming 

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

gaming operation authorized by this ordinance. 

Section 105. Use of Gaming Revenue 

(a) Net revenues from tribal gaming shall be used only for the following purposes: 

(1) To fund tribal government operations and programs; 

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

(3) To promote tribal economic development; 

(4) To donate to charitable organizations; or 

(5) To help fund operations of local government agencies. 

Section 106. 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. 

(b) If the Tribal Business Committee 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: 

(1) The Tribal Business Committee 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. fj 2710(b)(3); 

(2) The Tribal Business Committee shall ensure that the interests of minors and 

other legally incompetent persons who are entitled to receive any per capita 

payments under a Tribal per capita payment plan are protected and preserved, 

and that the per capita payments are disbursed to the parents or legal guardian 

Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

Page 7 of 30 
of such minors or legal incompetents in such amounts as may be necessary for 

health, education, or welfare of the minor or other legally incompetent person, 

under a plan approved by the Lower Elwha Klallam Tribal Business Committee 

and the Secretary of the Interior. The Tribe must also establish criteria and a 

process for withdrawal of funds by the parent or legal guardian; 

(3) The Lower Elwha Klallam Tribal Business Committee shall designate or create a 

Tribal court system, forum or administrative process for resolution of disputes 

concerning the allocation of net gaming revenues and the distribution of per 

capita payments and will explain how it will correct deficiencies; 

(4) The Lower Elwha Klallam Tribal Business Committee 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: 

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 help fund operations of local government; 

(5) The Lower Elwha Klallam Tribal Business Committee shall ensure that 

distributions of per capita payments are made according to specific eligibility 

requirements; 

(6) The Lower Elwha Klallam Tribal Business Committee shall ensure that Tribal 

members are notified of the tax liability for per capita payments and how taxes 

will be withheld. 

Section 107. Management of Tribal Gaming 

The Tribal Business Committee may enter into a contract for the management of its gaming 

operation with any person or entity. Such contract(s) shall be in compliance with all applicable 

laws. Management contracts shall be approved by the NIGC. The Tribal Business Committee 

shall specifically approve any management contract prior to its submission to the NIGC or 

another governmental entity for approval. 

No elected official of the Tribe, including the Gaming Commission, or any other committee or 

agency of the Tribe, shall 

have a financial interest in or management responsibility for any management contract 

or other such agreement entered into pursuant to IGRA; 

hold, directly or indirectly, ten percent (10%) or more of the issued and outstanding 

stock of any corporation or any other business entity having a business relationship with 

the gaming operation. 

Section 108. Board of Directors 

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(a) In addition to the General Manager for the facility, there may be established a Tribal 

Gaming Board of Directors which shall serve in a management oversight role over the General 

Manager and the day-to-day-operations of the gaming operation. In the event that the Tribal 

Business Committee enters into a management contract approved by the NIGC, the Board may 

delegate some or all duties to the approved management contractor. The Board of Directors 

shall oversee all non-regulatory aspects of the gaming operation. Regulation of the gaming 

operation shall be the sole responsibility of the Tribal Gaming Commission. 

(b) The Board of Directors shall consist of three (3) members: a Chairperson, ViceChairperson, and Director. Terms of office for members of the Tribal Gaming Board of Directors 

shall be as follows: the Chairperson shall serve an initial term of one year, with subsequent 

Chairpersons serving three-year terms. The Vice-Chairperson and other Director(s) shall serve 

an initial term of two years, with subsequent Vice-Chairpersons and Directors serving three-year 

terms. The members of the Board shall be subject to the same background requirements as 

key employees and primary management officials, and must be licensed accordingly. The 

minimum requirements for appointment as a member of the Board of Directors shall include at 

least one of the following: 

Degree in Business Administration, Accounting, Marketing, or an equivalent field; 

Minimum five (5) years experience in business management; 

Minimum two (2) years experience in casino management; or 

Demonstrated knowledge of Federal Indian law, the Indian Gaming Regulatory Act, and 

related statutes and regulations. 

OR 

A basic knowledge of gaming management, business, finance or law. 

(c)The Board of Directors shall perform the following duties: 

(1) Monitor and oversee the day-to-day operations of the gaming facility, whether 

managed by a Tribal employee or by an approved management contractor; 

(2) Inspect and examine, on a periodic basis, all books, records, and papers of the 

gaming facility; 

(3) Set hours of operation for the gaming facility; 

(4) Set wager limits; 

(5) Develop marketing plans; 

(6) Oversee the interview, selection, and training of employees of the gaming 

operation; 

(7) Establish employee policies, rates of pay, and hours of work; 

(8) Adopt an annual operating budget, subject to Tribal Business Committee 

approval; 

(9) Enter into contracts on behalf of the gaming facility, subject to Tribal Business 

Committee approval and NIGC review; 

(10) Hold hearings on employee complaints, in compliance with procedures 

Lower Elwha Klallam Tribe 

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established in the gaming ordinance and other Tribal gaming regulations or 

personnel policies; and 

(11) Any other duties necessary to monitor and oversee the gaming operation. 

(d) The Board of Director positions shall be filled through appointment by the Tribal 

Business Committee. 

(e) At least one member of the Board of Directors shall be a local business owner or retired 

business executiv4 with no ties to or financial interest in the gaming operation. 

(f) The Tribal Business Committee recognizes the importance of an independent Tribal 

Gaming Board of Directors in maintaining a well-managed gaming operation. To avoid potential 

conflicts of interest between the operation and regulation of the gaming facility, the Tribal 

Business Committee hereby finds that, at a minimum: 

(1) No member of the Tribal Business Committee or Tribal Gaming Commission 

may serve on the Board of Directors; 

(2) No person related to or living with any Tribal Business Committee member or 

Tribal Gaming Commissioner may serve on the Board of Directors; 

(3) Members of the Board of Directors are prohibited from gambling in the facility; 

and 

(4) Members of the Board of Directors are prohibited from accepting complimentary 

items from the gaming operation. 

(g) Members of the Board of Directors may be removed from office by the Tribal Business 

Committee prior to the expiration of their respective terms only for neglect of duty, misconduct, 

malfeasance, or other acts that would render the Director unqualified for his/her position. When 

the Tribal Business Committee believes that a removal is appropriate, it shall so notify the 

Director(s) and hold a hearing on the matter. The Tribal Business Committee may opt to 

preliminarily remove the Director pending the hearing. At the hearing, the Director may provide 

evidence rebutting the grounds for his/her removal. A vote of the Tribal Business Committee 

on the validity of the preliminary removal shall be final and not subject to further appeal. A 

finding by the Tribal Business Committee that the preliminary removal was wrongful shall entitle 

the affected Director to compensation for expenses incurred in appealing the wrongful removal, 

and shall entitle the Director to any pay withheld. 

(h) Members of the Tribal Gaming Board of Directors shall be compensated at a level 

determined by the Tribal Business Committee. 

Section 109. Gaming Commission 

(a) The Tribal Business Committee hereby establishes a Tribal Gaming Commission whose 

duty it is to regulate tribal gaming operations. The Tribal Gaming Commission shall consist of a 

minimum of three (3) members, not to exceed five (5) members. There shall be among them a 

Chairperson, Vice-Chairperson, and at least one additional Commissioner. 

Lower Elwha Klallam Tribe 

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Page 10 of 30 
. . 

(b) The purpose of the Tribal Gaming Commission is regulatory, not managerial. The 

Commission will conduct oversight to ensure compliance with Tribal, Federal and, if applicable, 

State laws and regulations. The Commission shall have the power to issue all gaming and nongaming licenses required or authorized under this Ordinance and will administer background 

investigations as part of the licensing process. The Commission will also have a role in 

monitoring compliance with the internal controls for the gaming operation and in tracking 

revenues. In order to carry out its regulatory duties, the Commission shall have unrestricted 

access to all areas of the gaming operation and to all records. The Commission shall have 

authority to take enforcement actions, including suspension or revocation of an individual 

gaming license when appropriate. 

(c) The Tribal Business Committee recognizes the importance of an independent Tribal 

Gaming Commission in maintaining a well-regulated gaming operation. The Commission shall be 

and act independently and autonomously from the Tribal Business Committee in all matters 

within its purview. No prior or subsequent review by the Tribal Business Committee of any 

actions of the Commission shall be required or permitted except as otherwise explicitly provided 

in this Ordinance. To avoid potential conflicts of interest between the operation and regulation 

of the gaming facility, the Tribal Business Committee hereby finds that, at a minimum: 

(1) No member of the Tribal Business Committee or Tribal Board of Directors may 

serve on the Gaming Commission; 

(2) No person directly related to or living with any Tribal Business Committee 

member or Tribal Board of Directors may serve on the Gaming Commission; 

(3) No member of the Tribal Business Committee may serve on the Gaming 

Commission; 

(4) Members of the Gaming Commission are prohibited from gambling in the 

facility; and 

(5) Members of the Gaming Commission are prohibited from accepting 

complimentary items from the gaming operation, excepting food and beverages 

valued at less than five dollars. 

(d) Tribal Gaming Commissioners positions shall be filled through appointment by the Tribal 

Business Committee. 

(e) Nominees for positions of Tribal Gaming Commissioner must satisfy the suitability 

standards set forth for Key Employees and Primary Management Oficials in this Ordinance. 

Such background investigations shall be performed under the direction of the Tribal Law 

Enforcement Agency or its designee. 

(f) The Tribal Gaming Commission shall: 

(1) Conduct or cause background investigations to be conducted on, at a minimum, 

Primary Management Officials and Key Employees; 

(2) Review and approve all investigative work conducted; 

(3) Report results of background investigations to the NIGC; 

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

Lower Eiwha KLallam Tribe 

Gaming Control Ordinance 

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obtain and process fingerprints; 

Make licensing suitability determinations, which shall be signed by the Chairman 

of the Gaming Commission; 

Issue gaming and non-gaming licenses to employees of the gaming operation, 

vendors of the gaming operation, and management officials; 

Establish standards for licensing Tribal gaming operations; 

Issue facility gaming licenses to Tribal gaming operations; 

Inspect, examine and monitor all gaming activities, and have immediate access 

to review, inspect, examine, photocopy and audit all records of the gaming 

establishment; 

Ensure compliance with all Tribal laws, rules and regulations regarding Indian 

gaming, and any applicable State and Federal laws; 

Investigate any suspicion of wrongdoing associated with any gaming activities; 

Hold hearings on patron complaints, in compliance with procedures established in 

the gaming ordinance and other Tribal gaming regulations; 

Comply with any and all reporting requirements under the IGRA, Tribal-State 

compact to which the Tribe is a party, and any other applicable law; 

Promulgate and issue regulations necessary to comply with applicable internal 

control standards; 

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

with gaming license applications; 

Promulgate and issue regulations on the levying of fines and/or suspensions or 

revocation of gaming or non-gaming licenses for violations of the gaming 

ordinance or regulations adopted hereunder, or any other applicable Federal or 

State gaming laws or regulations; 

Establish a list of persons not allowed to game in Tribal gaming facilities in order 

to maintain the integrity of the gaming operation; 

Establish a list of persons who have voluntarily asked to be excluded from Tribal 

gaming facilities, and create regulations for enforcing this exclusion; 

Provide referrals and information to the appropriate law enforcement officials and 

other governmental agencies when such information indicates a violation of 

Tribal, Federal or applicable State statutes, ordinances or regulations; 

Create a list of regulatory authorities that conduct vendor background 

investigations and licensing which the Commission recognizes as trustworthy; 

Draft regulations exempting vendors from licensing and/or background 

investigation requirements if they have received a license from a recognized 

regulatory authority; 

Perform such other duties the Commission deems appropriate for the proper 

regulation of the Tribal gaming operation; 

Promulgate such regulations and guidelines as it deems appropriate to 

Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

Page 12 of 30 
. 

implement the provisions of this Ordinance. 

(g) The Gaming Commission shall ensure that all records and information obtained as a 

result of an employee background investigation shall remain confidential and shall not be 

disclosed to persons who are not directly involved in the licensing and employment processes. 

Information obtained during the course of an employee background investigation shall be 

disclosed to members of management, human resource personnel or others employed by the 

Tribal gaming operation on a need-to-know basis for actions taken in their official capacities. 

This Section does not apply to requests for such information or records from any Tribal, Federal 

or State law enforcement or regulatory agency, or for the use of such information or records by 

the Commission and staff in the performance of their official duties. 

(h) The Commissioners shall serve for three-year terms, except that immediately after 

enactment of this ordinance, for the initial term, one Commissioner shall serve for one (1) year, 

one shall serve for two (2) years, and one shall serve for three (3) years. Commissioners shall 

be allowed to serve in office for two consecutive terms and then shall not be allowed to serve in 

office until one year has passed since he/she has left service of the Commission. 

(i) The following persons are not eligible to serve as commissioners as Tribal Gaming 

Commissioners: 

(1) Tribal Business Committee members, while serving as such; 

(2) Employees of the gaming operation, while serving as such; 

(3) Gaming contractors, including any principal of a management or other 

contracting company; 

(4) Persons related to or sharing a residence with any of the above; 

(5) Persons ineligible to be Key Employees or Primary Management Officials. 

(6) Any person who is not eligible pursuant to the Tribal Constitution and By-laws. 

Non-tribal members previously convicted of a felony, or embezzlement, of theft, or of any other 

money-related crime or honesty-related crime (such as fraud) cannot serve as Tribal Gaming 

Commissioners. Tribal members previously convicted of a felony, or embezzlement, of theft, or 

of any other money-related crime or honesty-related crime (such as fraud) will only be allowed 

to serve as Tribal Gaming Commissioners if the Tribal Business Committee specifically finds a 

significant amount of time has passed and that the person is now of trustworthy character. The 

Tribal Business Committee shall require a criminal history check with appropriate law 

enforcement agencies and shall review this criminal history report and make an appropriate 

suitability determination before appointing an individual to a position as a Tribal Gaming 

Commissioner. 

(j) The independence of the Tribal Gaming Commission is essential to a well-regulated 

gaming operation. For that reason, Commissioners may only be removed from office by the 

Tribal Business Committee prior to the expiration of their respective terms for neglect of duty, 

misconduct, malfeasance, or other acts that would render a commissioner unqualified for 

his/her position. Any allegations of neglect of duty, misconduct, malfeasance, or other acts that 

would render him or her unqualified for his/her position must be substantiated by a 

Lower Elwha KIaUam Tribe 

Gaming Control Ordinance 

Page 13 of 30 
preponderance of the evidence. Commissioners will be given an opportunity to provide 

evidence rebutting the grounds for their proposed removal before the removal is considered. A 

vote of the Tribal Business Committee on the validity of the removal shall be final and not 

subject to further appeal. A wrongful removal shall entitle the affected Commissioner to 

compensation for expenses incurred in an appeal and any pay withheld. 

(k) A majority of the Commission shall constitute a quorum. The concurrence of a majority 

of the members appointed to the Commission shall be required for any final determination by 

the Commission. The Commission may act in its official capacity even if there are vacancies on 

the Commission. 

(1) Tribal Gaming Commissioners shall be compensated at a level determined by the Tribal 

Business Committee. Commissioner compensation shall not be based on a percentage of 

gaming revenue to ensure the Commission is not improperly influenced. 

(m) The Commission shall keep a written record of all its meetings. 

(n) The Chairman shall preside over meetings of the Commission, and the Vice-Chair shall 

preside in the absence of the Chair. The Secretary shall record in writing the minutes of all 

Gaming Commission meetings and all related official actions of those meetings. 

(0) Regular meetings of the Commission will be held monthly, in addition to an annual Tribal 

Gaming Commission meeting to elect the officers. Additional meetings may be called by the 

Chair or by at least two (2) other Commissioners. Notice of meetings shall be given in writing to 

each Commissioner, or in person. Regular monthly meetings may be held by telephone 

conference call when necessary. 

(s) Commissioners shall be compensated for serving on the Tribal Gaming Commission. A 

stipend for attendance of meetings will be established by the Lower Elwha Business Committee. 

Commissioners shall be reimbursed for expenses incurred in connection with the performance 

of their Commission duties and shall receive a stipend for days spent in performance of their 

commission duties. 

(t) Commissioners will have primary responsibility for fulfilling the responsibilities under the 

terms of the Tribe's Gaming Compact with the State of Washington and its approved Appendix X. 

Section 110. Ethics 

(a) The Tribal Business Committee recognizes that the duties of the Gaming Board of 

Directors and the Tribal Gaming Commission include making important decisions on highly 

sensitive issues. As such, the Tribal Business Committee has determined that the Board of 

Directors and the Gaming Commission shall be held to extremely high ethical standards. Prior 

to taking their positions on the Board and the Commission (Members), the Members shall agree 

to be bound by the following principles: 

(1) Members shall not hold financial interests that conflict with the conscientious 

performance of their duties as managers and regulators. 

Lower ELwha KLalLam Tribe 

Gaming Control Ordinance 

Page 14 of 30 
(2) Members shall not engage in financial transactions using nonpublic information 

or allow the improper use of such information by others on their behalf to 

further any private interest. 

(3) Members shall not solicit or accept any gift or other item of monetary value, 

including complimentary items or services (see Section 111, below), from any 

person or entity seeking official action or inaction from, doing business with, or 

conducting activities regulated by the Member's organization, or whose interests 

may be substantially affected by the performance or nonperformance of the 

Member's duties. 

(4) Members shall make no unauthorized commitments or promises of any kind 

purporting to bind the Tribe. 

(5) Members shall not use their positions for private gain. 

(6) Members shall act impartially, in accordance with all relevant Tribal, Federal and 

State laws (where applicable), and shall not give preferential treatment to any 

private organization or individual, including to any persons related to Members. 

(7) Members shall ensure that Tribal property and gaming assets shall be properly 

segregated and safeguarded, and that such property and assets shall not be 

used for unauthorized activities. 

(8) Members shall not engage in outside employment or activities, including 

seeking or negotiating for future employment, which conflict with their official 

duties and responsibilities. 

(9) Members shall disclose waste, fraud, abuse and corruption to appropriate 

authorities. 

(10) Members shall endeavor to avoid any actions creating the appearance that they 

are violating the law or the ethical standards listed herein. 

(11) Members shall disclose any real or apparent financial or personal conflicts. If 

there is a real conflict or the appearance of one, the Member shall not take part 

in any decision related to the conflict. 

Section 111. Complimentary Items 

(a) The use of complimentary items shall be governed by regulations established by the 

Tribal Gaming Commission. 

(b) No Key Employee, Primary Management Official, Tribal Business Committee member, 

member of the Gaming Board of Directors or Tribal Gaming Commission, or any person directly 

related to or sharing a residence with the persons, shall be authorized to receive complimentary 

items other than food and beverages valued at under five dollars or, if at a public event held at 

the gaming facility, the free food and beverages offered to the general public. 

Lower Elwha Klallam Tribe 

Gaming Control Ordinance 

Page 15 of 30 
(c) Complimentary items shall be included in the annual budget for the gaming operation, 

with maximum limits specified, and shall be subject to approval by the Tribal Business 

Committee. 

Section 112. Audit 

(a) The Tribal Business Committee shall cause an annual outside independent audit of 

gaming operations to be conducted and shall submit the resulting audit reports to the National 

Indian Gaming Commission. 

(b) All gaming-related contracts that result in the purchase of supplies, services or 

concessions in excess of $25,000 annually, except contracts for professional legal and 

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

in subsection (a) above and such contracts shall so specify. 

Section 113. Environment and Public Health and Safety 

(a) Gaming facilities shall be constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and safety. 

(b) The Tribal Business Committee shall adopt standards that assure adequate protection of 

the environment and the public health and safety. 

Section 114. Patron Dispute Resolution 

(a) It is the intent of the Tribal Business Committee that all customer disputes be resolved 

fairly, justly, equitable and expediently. In order to implement this directive, the gaming 

operation shall adopt a dispute resolution process subject to approval by the 

Commission, which at a minimum shall include the following procedures: 

(1) The manager shall attempt to resolve the dispute with the parties. 

(2) If the dispute is unresolved, the manager shall inform the customer of the right 

to request an investigation by the Tribal Gaming Commission. 

(3) The Tribal Gaming Commission, through an inspector, shall conduct whatever 

investigation it deems necessary and shall determine whether payment should 

be made. 

(4) The Tribal Gaming Commission inspector shall mail written notice by certified 

mail, return receipt requested, to the manager and the customer of his decision 

resolving the dispute within thirty (30) days after the date that the Tribal 

Gaming Commission first receives notification from the manager or a request to 

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conduct an investigation from the customer. 

(5) The decision of the Inspector is effective on the date it is received by the 

aggrieved party, as reflected on the return receipt. 

(6) Within thirty (30) working days after the date of receipt of the written decision 

of the Inspector, the aggrieved party may file a petition with the Tribal Gaming 

Commission requesting a review of the decision. The Tribal Gaming Commission 

may set a hearing on the matter, or may make a decision based solely upon the 

inspector's decision and other documentation provided to it by the customer 

and the manager. The Tribal 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 under this Section 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, or damages for mental distress. 

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

Section 115. Tribal Internal Control Standards 

The Tribal Gaming Commission shall adopt and implement Internal Control Standards (ICS) for 

the operation of its Tribal gaming operation in accordance with applicable law. 

Section 116. Facility Licenses 

(a) The Tribal Gaming Commission shall issue a separate license to each place, facility or 

location on Indian lands where Class I1 and Class I11 gaming is conducted under this ordinance 

once every two (2) years. The Tribal Gaming Commission shall specify the form, conditions and 

content for the application for such licenses, which shall be submitted by the chief management 

official of the facility. The initial application shall include a legal description of the lands 

whereon the facility is located and a certification that said premises constitute "Indian lands" as 

specified in the Indian Gaming Regulatory Act, and shall identify the environmental, health and 

public safety standards with which the facility must comply and include certifications of 

compliance therewith. Each subsequent application for the renewal of such facility license shall 

identify any changes or additions to said legal description and applicable environmental, health 

and public safety standards and include current certifications of compliance therewith. The 

Tribal Gaming Commission shall only issue such licenses if the applications include the required 

information and certifications and further such conditions as the Tribal Gaming Commission 

shall have specified. 

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Section 117. Agent for Service of Process 

The Tribal Business Committee hereby designates the Chairperson of the Tribe as agent for 

service of process, who may be contacted at: 

2851 Lower Elwha Road 

Port Angeles WA 98363 

Section 118. Compliance with Federal Law 

The Tribe will comply with all applicable federal law, including the Bank Secrecy Act, 31 U.S.C fj 

5311 et seq. 

Section 119. Repeal 

All prior gaming ordinances are hereby repealed. 

Section 201. Licenses for Key Employees and Primary Management Officials, and 

Other Gaming and Non-Gaming Employees 

The Tribal Gaming Commission shall ensure that the policies and procedures set out in this 

Ordinance are implemented with respect to key employees and primary management officials at 

any gaming enterprise operated on Indian lands. The Tribal Gaming Commission will issue 

licenses and perform background investigations according to requirements at least as stringent 

as 25 C.F.R. Parts 556 and 558. The Tribal Gaming Commission shall also ensure that the 

policies and procedures set out in this Ordinance are implemented with respect to other gaming 

and non-gaming employees required to be licensed by the Tribal Gaming Commission. For the 

purposes of this Ordinance, the following license classifications shall be utilized: 

(a) A Class A license shall be obtained prior to any person being associated with any gaming 

activity as an inspector, management entity, primary management official, key employee, 

closely associated independent contractor, or other individual or entity with influence over the 

management or operation of gaming or a Class I1 or Class I11 employee, supplier, manufacturer 

or distributor. The Tribal Gaming Commission shall conduct or cause to be conducted a 

background investigation to determine if such person has any criminal record or any reputation, 

prior activities, habits or associations which might post a threat to the public interest or to the 

effective regulation of gaming, or anything else in the person's background which might create 

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or enhance the dangers or unfair or illegal practices, methods and activities in the conduct of 

gaming. 

(b) A Class B license shall be obtained by a person, over the age of 18 and not among those 

identified in subsection (a), who is employed at gaming facilities on Tribal Lands in some other 

capacity, such as in non-gaming-related activities. Such persons must establish that they have 

not been convicted of a crime, or engaged in any activity which the Tribal Gaming Commission, 

in its sole discretion, deems would render such person a danger to the safety or integrity of the 

gaming activity or the safety or property of the Tribe, a Tribal member, a gaming employee or 

patron, or a member of the public. 

(c) A Class C license may be issued to minors (persons age 18 and under), which will entitle 

them to work in any position for which a Class B license is required for adults and not otherwise 

prohibited by this Ordinance or other applicable law. Prior to issuance of a Class C license, such 

minors shall be deemed by the Tribal Gaming Commission to pose no threat to the safety or 

integrity of the gaming activity or the safety or property of the Tribe, a Tribal member, a 

gaming employee or patron, or a member of the public. Such licenses shall be valid for no more 

than six (6) months at a time and shall be revoked upon the minor reaching the age of eighteen 

(18), after which time either a Class A or Class B license, as applicable, will be required. Minors 

will not be employed as dealers or otherwise to operate or supervise the operations of games. 

Class A and Class B licenses, unless otherwise exempted by the Tribal Gaming Commission, 

shall be subject to renewal every year, and may be revoked or suspended upon the occurrence 

of any act which, if known during the application process, would have disqualified such person 

for such a license. 

Section 202. License Application Forms 

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

primary management official: 

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 el@ibility of 

individuals to be employed in a gaming operation. The information will be used by 

the Tribe and the National Indlbn Gaming Commission members and staff who 

have need for the information in the pefiormance of their oficial 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 

regulator y investigations or prosecutions or when necessary pursuant to a 

requirement by a Tribe or the National Indian Gaming Commission in connection 

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with the hiring or firing of an employee, the issuance or revocation of a gaming 

license, or investuaation of activities while associated with a Tribe or a gaming 

operation. Failure to consent to the disclosures indicated in this notice will result in 

a Tribe being unable to hire you in a primary management official or key employee 

position. 

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

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

(b) The following additional notice shall be placed on the application form for a key 

employee or a primary management official: 

A false statement on any part of your application may be grounds for not hiring 

you, or for firing you aRer you begin work. Also, you may be punished by fine or 

imprisonment. (U. S. Code, Title 18, Section 1001). 

(c) The Tribal Gaming Commission shall notify in writing existing key employees, 

primary management officials, and other Class A licensees unless otherwise exempted 

by the Gaming Commission, who have not completed an application containing the 

notices set forth above that they shall either: 

(1) Complete a new application form that contains both the Privacy Act and false 

statement notices; or 

(2) Sign a statement that contains the Privacy Act and false statement notices and 

consent to the routine uses described in that notice. 
connection with the hiring or firing of an employee, the issuance or 

revocation of a gaming license, or investigation of activities while 

associated with a Tribe or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a Tribe being unable to hire 

you in a prir/maty management oficial or key employee position. 

The dkclosure of your Social Security Number (SSNj is voluntaty. 

However, failure to supply a SSN may result in errors in processing your 

application. 

(2) A false statement on any part of your application may be grounds for 

not hiring you, or for fing you after you begin work, Also, you may be 

punished by fine or imprisonment, (Us S, Code, fitle 18, Section 1001). 

Section 203. License Fees 

The Tribal Gaming Commission may charge a license fee, subject to approval by the 

Tribal Business Committee, to cover its expenses in investigating and licensing Key 

Employees, Primary Management Officials and other licensees of the gaming operation. 

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 Business Committee and the Tribal Gaming Commission, 

members of the Tribe may be exempted from any license fees or costs. An estimate of 

such costs shall be provided to an applicant upon reasonable request. 

Section 204. Fingerprints 

Each applicant for a Key Employee, Primary Management Official or Class A license 

shall be required to have fingerprints taken as part of the license application 

procedure. Fingerprints shall be taken by the Washington State Patrol. Fingerprints 

will then be forwarded to the NlGC and the Washington State Gambling Commission for 

processing through the FBI and NClC to determine the applicant's criminal history, if 

any. The Tribal Gaming Commission may also require fingerprints from Class B and 

Class C license applicants. 
Section 205. Background Investigations 

(a) The Tribal Gaming Commission or its designee is responsible for conducting 

background investigations and suitability determinations on all Class A, Class B and Class 

C applicants. 

(b) The Tribal Gaming Commission shall request from each applicant for a license all 

of the following information: 

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

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

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

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

addresses, and drivers license numbers; 

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

including one personal reference who was acquainted with the applicant during 

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

(4) Current business and residence telephone numbers; 

(5) A description of any existing and previous business relationships with Indian 

Tribes, including ownership interests in those businesses; 

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

gaming industry generally, including ownership interests in those businesses; 

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

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

whether or not such license or permit was granted; 

(8) For each felony for which there was an ongoing prosecution or a conviction, 

within 10 years from the date of the application, the charge, the name and 

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

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution 

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

application, the charge, the name and address or the court involved, and the 

date and disposition; 

(10) For each criminal charge (excluding minor traffic violations), whether or not 

there is a conviction, if such criminal charge is within 10 years of the date of 

the application and is not otherwise listed pursuant to paragraph (b)(8) or 

(b)(9) of this section, the criminal charge, the name and address of the court 

involved, and the date and disposition; 

(11) The name and address of any licensing or regulatory agency (Federal, Tribal, 

State, local or foreign) with which the person has filed an application for an 

occupational license or permit, whether or not such license or permit was 

granted; 

(12) A photograph taken within the last year; 

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(13) Fingerprints shall be taken by [name of responsible law enforcement agency]; 

and 

(14) Any other information the Tribal Gaming Committee deems relevant. 

The Tribal Gaming Commission reserves the right, at any time, to request additional 

information either prior to, during or subsequent to any background investigation. 

(c) As part of its review procedure, the Tribal Gaming Commission or its agent shall employ 

or engage a private investigator to conduct a background investigation on each applicant 

sufficient to allow the Gaming Commission to make an eligibility determination under Section 

207 below: The investigator shall: 

(1) Verify the applicant's identity through items such as a social security card, 

drivers license, birth certificate or passport; 

(2) Contact each personal and business reference provided in the license 

application, when possible; 

(3) Obtain a personal credit check; 

(4) Conduct a civil history check; 

(5) Conduct a criminal history check via the submission of the applicant's 

fingerprints to the NIGC, and further obtain information from the appropriate 

court regarding past felony and/or misdemeanor convictions and criminal 

charges within the last ten years; 

(6) Inquire into any previous or existing business relationships with the gaming 

industry and Indian tribes by contacting the entities or tribes; 

(7) Verify the applicant's history and status with any licensing agency by contacting 

the agency; and 

(8) Taking other appropriate steps to verify the accuracy of the information, 

focusing on problem areas noted. 

(d) The investigator shall create an investigative report noting the steps taken, information 

gained, potential problem areas, and disqualifying information. 

(e) The Gaming Commission and its investigator shall endeavor to keep confidential the 

identity of each person interviewed in the course of the investigation, other than disclosure as 

required under Federal, Tribal or State law. 

Section 206. Eligibility Determination 

The Tribal Gaming Commission shall review a person's prior activities, criminal record, if any, 

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

employee or primary management official for employment in a gaming operation. If the Tribal 

Gaming Commission 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, a tribal gaming 

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operation shall not employ that person in a key employee or primary management official 

position. 

Section 207. Procedures for Forwarding Applications and Reports for Key 

Employees and Primary Management Officials to the National Indian Gaming 

Commission 

(a) On or before the date any key employee or primary management official is employed by 

a gaming enterprise authorized under this Ordinance, the Tribal Gaming Commission shall 

forward to the National Indian Gaming Commission a completed application for employment 

and conduct the background investigation, and make the determination referred to in Section 

207 of this Ordinance. 

(b) The gaming operation shall not employ as a key employee or primary management 

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

Section 208. Report to the National Indian Gaming Commission 

(a) The Tribal Gaming Commission shall prepare and forward a report on each background 

investigation to the National Indian Gaming Commission. An investigative report shall include all 

of the following: 

(1 Steps taken in conducting a background investigation; 

(2) Results obtained; 

(3) Conclusions reached; and 

(4) The bases for those conclusions. 

(b) The Tribal Gaming Commission shall forward the completed investigative report 

to the National Indian Gaming Commission within 60 days after an employee begins 

work or within 60 days of the approval of this Ordinance by the Chairman of the 

National Indian Gaming Commission. 

(c) The Commission shall submit, with the investigative report, a copy of the eligibility 

determination, unless the NIGC shall have advised the Tribal Gaming Committee 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 Tribal Gaming Commission to 

make a finding concerning the eligibility for licensing required for employment in a gaming 

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operation; and a Statement documenting the disposition of all potential problem areas noted 

and disqualifying information obtained. 

(d) If a license is not issued to an applicant, the Tribal Gaming Commission: 

(1) Shall notify the NIGC; and 

(2) Shall forward copies of its eligibility determination and investigative report (if 

any) to the NIGC for inclusion in the Indian Gaming Individuals Records 

System. 

(e) With respect to all employees, and in particular key employees and primary 

management officials, the Tribal Gaming Commission shall retain applications for employment 

and reports (if any) of background investigations for inspection by the Chairman of the NIGC or 

his or her designee for no less than three (3) years from the date of termination of 

employment. 

Section 209. Granting a Gaming License 

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

receives a report as required in this Ordinance, the National Indian Gaming Commission notifies 

the Tribal Gaming Committee that it has no objection to the issuance of a license pursuant to a 

license application filed by a key employee or a primary management official for whom the 

Tribal Gaming Committee has provided an application and investigative report to the National 

Indian Gaming Commission, the Tribal Gaming Commission, acting for the Tribal Business 

Committee, may issue a license to such applicant. 

(b) The Tribal Gaming Commission shall respond to a request for additional information 

from the Chairman of the National Indian Gaming Commission concerning a key employee or a 

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

30-day period under paragraph (a) of this section until the Chairman of the National Indian 

Gaming Commission receives the additional information. 

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

Commission provides the Tribal Gaming Commission with a statement itemizing objections to 

the issuance of a license to a key employee or to a primary management official for whom the 

Tribal Gaming Commission has provided an application and investigative report to the National 

Indian Gaming Commission, the Tribal Gaming Commission shall reconsider the application, 

taking into account the objections itemized by the National Indian Gaming Commission. The 

Tribal Gaming Commission shall make the final decision whether to issue a license to such 

applicant. 

(d) Pending completion of an investigation for a license, temporary licenses may be issued 

by the Tribal Gaming Commission. Such temporary licenses shall expire ninety (90) days from 

the date of issuance, upon issuance of a permanent license, or until an earlier specific 

expiration date, whichever comes first. 

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(e) All persons engaged by or associated with any gaming activity on Tribal Lands shall 

conduct themselves with honesty and integrity, and with such decorum and manners as may be 

necessary to reflect positively on the Tribe, its members and the gaming activity involved. Any 

failure to abide by such standards, or any violation of any rule, ordinance, custom or tradition of 

the Tribe, the Tribal Lands, or the gaming activity, or the terms or conditions of the license, 

may be grounds for immediate suspension or revocation of any license issued hereunder. 

Section 210. License Review 

All decisions of the Tribal Gaming Commission regarding the issuance of licenses shall be 

considered final and effective when issued. Provided that, within fifteen (15) days of receipt of 

the written decision regarding issuance of the license, an applicant may file a petition for 

reconsideration by the Tribal Gaming Commission. Any member of the Tribe who is denied a 

license by the Tribal Gaming Commission may, within thirty (30) days of receiving written notice 

of such denial, appeal the denial to Tribal Court, which shall have the power to reverse the 

decision of the Tribal Gaming Commission and order that such license be issued, provided that 

no such license shall be issued for more than one (1) year and shall be subject to the renewal 

procedures set forth herein, and provided further that no order of the Tribal Court issued shall 

be valid if such issuance would place the Tribe in violation of the Tribal-State Compact to which 

the Tribe is a party, or of any applicable law. 

Section 211. License Suspension 

(a) If, after the issuance of a gaming license, the Tribal Gaming Commission receives from 

the National Indian Gaming Commission reliable information indicating that a key employee or a 

primary management official is not eligible for employment, the Tribal Gaming Commission shall 

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

revocation. 

(b) The Tribal Gaming Commission shall notify the licensee of a time and place for a hearing 

on the proposed revocation of a license. 

(c) After a revocation hearing, the Tribal Gaming Commission shall decide to revoke or to 

reinstate a gaming license. The Commission shall notify the NIGC of its decision. 

Section 302. Submission of a Vendor License Application 

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

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

officers, directors, management, owners, partners, non-institutional stockholders that either 

own 10% or more of the stock or are one of the 10 largest stockholders if the entity is not 

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publicly traded, and the on-site supervisor or manager under the agreement with the Tribal 

Gaming Committee, if applicable. 

Section 303. Contents of the Vendor License Application 

(a) Applications for gaming vendor licenses must include the following: 

(1 Name of business, business address, business phone, federal tax ID number (or 

SSN if a sole proprietorship), main ofice address if different from business 

address, any other names the applicant has done business under, type of 

service applicant will provide; 

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

sole proprietorship, or other entity; 

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

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

different State than the State of incorporation; 

(4) Trade name, other names ever used, names of any wholly owned subsidiaries 

or other businesses owned by the vendor or its principals; 

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

(6) Whether the applicant will be investing in or loaning money to the gaming 

operation and, if so, how much; 

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

gaming industry generally, including ownership interests in those businesses; 

(8) 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; 

(9) Names, addresses, and phone numbers of three business references with whom 

the company had regularly done business for the last five years; 

(10) 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; 

(11) If the business has ever had a license revoked for any reason, the 

circumstances involved; 

(12) 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; 

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

(14) 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 

(15) Any further information the Tribal Gaming Committee deems relevant 

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(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 applicafion 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 Gaming Committee not contained in the other application. 

Section 304. Vendor Background Investigation 

The Tribal Gaming Commission shall employ or otherwise engage a private investigator to 

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. 

Section 305. Vendor License Fee 

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

Commission, to cover its expenses in investigating and licensing vendors of the gaming 

operation. 

Section 306. Vendor Background Investigation Report 

The private investigator shall complete an investigative report covering each of the steps taken 

in the background investigation of the gaming vendor and its principals, and present it to the 

Tribal Gaming Commission. 
Section 307. Exemption for Vendors Licensed by Recognized Regulatory 

Authorities 

The Tribal Gaming Commission may, consistent with the Tribal State Compact, if applicable, 

adopt regulations naming specific licensing authorities that it recognizes and may authorize 

exemptions to the vendor licensing process for vendors which have received a license from one 

of the named regulatory authorities. 

Section 308. Licenses for Non-Gaming Vendors 

For non-gaming vendors, the Tribal Gaming Commission is authorized to create a less stringent 

vendor licensing process, including a due diligence check rather than a full background 

investigation as laid out in Section 304. The Gaming Commission may investigate such vendors 

when appropriate and may conduct audits in addition to monitoring Tribal purchases. 
his/her duties as a member of the Board of Review. Compensation shall never be tied to tribal 

gaming revenues. 

The Board of Review members shall elect a Chairperson from among them, whose duty it shall 

be to preside over all meetings and hearings. In addition, the members shall elect a Vice-Chair 

who shall be the custodian of any evidence submitted, and who shall preside in the Chairperson's absence. The Board of Review shall meet no less than four times per year and shall 

keep official records of the meetings. The Board of Review shall issue its findings no later than 

three working days following a hearing on employee disputes. Findings of the Board shall be 

final when issued. 

No Board of Review member shall be removed prior to the end of his/her term without cause. 

Removal shall be effectuated by a majority vote of the entire Board of Review, and shall be a 

final decision. A Board of Review member shall not review any decisions affecting 

himself/herself, or any person directly related to him/her. 

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