license, the Commission may take enforcement action as it deems
necessary and appropriate.

Additional Powers. The powers of the Commission include the following:

(ly

(2)

(3)

4)

(5)

(6)

%

(8)

System__for Investigations _and__Licensing. Implement and
administer a system for investigating, licensing (including license
issuance, renewal, denial, and revocation, or exemption therefrom),
and monitoring Gaming Facilities, employees, vendors, investors,
and others connected with Gaming Activities, including any other
Person as required under Applicable Law.

On-site Regulation, Access _to Information. Conduct on-site
gaming regulation and control; inspect and test internal control
systems; audit, examine, and monitor each Gaming Facility;
prepare reports and monitor compliance, including the authority to
demand access to and inspect, examine, photocopy and audit all
papers, books and records related to any Gaming Facility or
Gaming Activities.

Coordination with Other _Governmental__Entities. Develop
necessary documentation and protocols, and establish joint
cooperative working relationships with federal, state, and local
jurisdictions as necessary and proper to ensure the effective
regulation of the Tribe’s Gaming Activities. Provide referrals and
information to the appropriate law enforcement officials when such
information indicates a violation of Tribal, federal or state statutes,
ordinances, regulations, codes or resolutions.

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

Patron Disputes. Resolve disputes between Patrons or players and
the Gaming Operation and promulgate associated Regulations.

Hearings and Appeals. Promulgate Regulations regarding hearings
and appeals from Commission actions.

Hiring of Staff. Hire staff and support services as deemed
necessary, subject to an approved Commission budget.

Reporting. Comply, with all applicable reporting requirements
established under Applicable Law.

Fees, Sanctions ns. Establish and impose application

_ fees, . license. _ fees, , investigative fees, sanctions, fines, and

conditions as appropriate.

12 4757513_8


7.03

7.04

7.05

7.06

consent from the Tribal Council. The individual members of the Commission are
officers of the Tribal government and shall be immune from suit when acting
within their official capacity to the fullest extent permitted by law.

Regulatory Authority. The Commission shall have the authority and
responsibility to regulate Gaming Activities within the Tribe’s Indian Lands. This
authority includes the power to regulate the Gaming Operations, Gaming Facility,
and to license all persons subject to the Commission’s licensing authority under
this Act and Regulations. The Commission shall ensure that all Gaming
Activities conducted within the Tribe’s Indian Lands are conducted in accordance
with Applicable Law.

Importance of Independence of Commission. The Tribe recognizes the
importance of an independent gaming commission in maintaining a well-
regulated Gaming Operation. The Commission shall be independent of the Tribal
Council in all matters within the Commission’s purview.

Commission Budget. Commission funding shall be in an amount adequate for
the Commission to properly fulfill all of its regulatory responsibilities under this
Act.

A. Annual Budget. Annually the Commission shall prepare a requested
budget for approval of the Tribal Council. Funding for all reasonable and
necessary costs and expenses of the Commission shall be the obligation of
the Tribe.

B. Commission Expenditures. Within the limits of an approved budget, the
Commission shall employ and fix the salaries of or contract for services of
such employees and:professional, technical and operational personnel and
consultants as the. execution of its duties and the operation of the
Commission may. require. The Commission may expend its budget for
operations and acquire such furnishings, equipment, supplies, stationery,
books, motor vehicles and other things as it may deem necessary in
carrying out its functions and incur such other expenses, within the limit
of funds available to it, as it may deem necessary. ;;fhe Commission shall
have the authority to expend funds within the approved budget without the
requirement of further authorization, subject-to generally: applicable tribal
accounting and procurement policies.

Composition of Commission. The Commission shall be composed of at least
three persons (each a “Commissioner,” and collectively “Commissioners”), a
majority of whom. shall be enrolled members. of the Tribe. A niajority of

Commissioners shall not be Close Relatives: - Commissioner positions shall be

filled by appointment by the Tribal Council. Commissioners shall serve staggered

' ‘three (3) year terms.’ To achieve such’ staggered ‘terms; ‘the initial Chair appointee
“shall ‘Serve ‘an’ initial term ‘of three*(3) years. ‘The sécond initial appointee shall

serve an initial term of two (2) years, and the third initial appointee shall serve for

6 4757513_8


(g) Information and data obtained by the Executive Director or
the Commission from a supplier relating to the
manufacturing of gaming devices or Gaming Services.

Retention of Records. All records retained by the Executive Director or
the Commission shall be retained for a period of at least three (3) years,
after which such records may be disposed of in the discretion of the
Commission. It is a violation of this Act for a person to falsify, destroy,
erase or alter any records of any kind or other information relating to the
Gaming Operation in a manner other than provided in this Act and the
Regulations.

8.04 Background Investigations of the Executive Director and Commission Staff.

A.

Background Investigation. The Commission shall ensure that a
background investigation is conducted on all prospective Commission
staff, including the Executive Director, upon receipt of a completed
application for employment at the Commission. The Tribe’s law
enforcement agency, or such other third-party investigative entity with
which the Commission may contract, shall assist the Commission in
conducting background investigations. All prospective Commission staff
shall consent to, and fully cooperate with the background investigation as
provided hereunder and as required by the Commission. The Commission
may permit a prospective employee to start work prior to the completion
of a background investigation.

Applicable Standards. ‘Individuals selected for appointment as Executive
Director shall be subject to the same background investigation process and
suitability standards that apply to Key Employees. Commission staff shall
be subject to such standards as the Commission may determine and
promulgate by Regulation.

Eligibility Determination. The Commission shall make the final eligibility
determination for the Executive Director and Commission staff. A person
is not eligible for employment by the Commission is a person who:

qd) Has been convicted’ of any felony, gaming offense, or any
misdemeanor offense of embezzlement, theft or any other money-
related or honesty-related misdemeanor offense, such as fraud; or

(2) Has: knowingly and willfully provided materially important false
_ Statements, or information or omitted materially important
information on his or her background questionnaire; or

(3) Has been determined to be a person whose prior activities, criminal

record, if any, ‘or reputation, habits, and associations pose a threat
to the public interest or to the effective regulation and control of

16 4757513_8


TABLE OF CONTENTS

PULPOSC..... ee ecsceseesessesesesrscsesnsesssescsvecsescsesasessacscanscsrsnsessresssesssesasasecaseseeseeduseesanerenseseeereesvens 1
Gaming Authorized.......ccscssesessesesessessssssesessssssssssssssssessessesssesssssscsesnsnsessssnseesssessssenssesenees 1
Deefinitions.......cocsvscssesssvoornssssnsneanoveseanenensovscansanovansoeavaseneceansoavsssens sd0SGGCibWSSTEG vassonoeavscenss 1
3.01 Applicable Law. ......cecsccscesessseseeseesseessessseessecssnssssecsnscssessecseesnsessescssecsecsnsesseeessecsses 1
3.02 Applicant... ceceseecsssesesesssesessesesecnssesacsssessssnsseenesetisssacsssnsacasensesacaeansacsessesasaneae 1
3.03 CEO.

3.04 — Class 1 Gaming... ceesecssecseseesecsessessecsecssessecseesnsssesueesssesseessseesssussvensessesseeseesessee 1
3.05 Class II Gaming. ........scecsesssessessssssesssessnessnecsnscsseecssecsusesnsestensesensnee

3.06 Class Ill Gaming. .sissssacsssssicaasscinncnnnnnamiaaninaniinanraanemaamaaiN 2
3.07 Close Relative.....wissssssisiicssssssrssnsssiacsassovussavvsissiccacaassacassisstbeasascissntaveavcesacbiiteiietsiu 2
3.08 — Compact. .........ssrerecsmsnenionannnnnsenusnntersnuaenscnesesadfasnntincenstionseecnessanenaddsvonenencoanetanened
3.09 — Commission. .0......c.scesseseesesseesesseseesssscsseesnssssssessesscsnsasessesnsseensenesseacsucaessnesucenseareaeesee 3
3.10 — Commissionenty sissssssissssasssssccswasusaassae sensi avssosiaenssinnsnitieswentconessdsa anteidonden nbstanvsssandah 3
3.11 Facility License... escesesessesseseseeseseesessssesrsssssssneasssssessssssestsnsecacstensacerereseerseneresneee 3
3.12 Gaming Activity..

3.13 Gaming Employee. -......cccseeseseesessessessessecstessesseenesseenesenees

3.14 . Gaming Facility. sssccvssssessvsssevssessessesncevesnesteotvseseonnstess

3.15 Gaming Financier.c.sscclessecsesecsetecsseesessessecssessessesssssesssssseensesssesssseeneessssnsseesvess 3
3.16 Gaming Operation.......ccccsssesesesseesessssseesessesecsseesesseestesssssssseeseesssesssssesseessssnssesenees 3
3.17 Gaming Services. .............000 Jresaesetatceeenat laces Lseteeees bs

3.18 Gaming Vendot......cccecceccccsecessesssseessssesscesssseessessesssssvesiesssescbessesesscnesesssenlesnennsseessees 3
3.19 © Indian Lands.ec..cc.cescesssssesiesteseeecesesssstesetieeesned

i 4757513_8


sovereign immunity or other objections to the authority of the Tribal Court
or the laying of venue in the Tribal Court regarding such actions.

Cc. Tribal Lottery System. Disputes involving the Tribal Lottery System shall
be resolved in accordance with this Section and consistent with
requirements set forth in the Compact.

13. Agent for Service of Process

The Tribe designates the Tribal Chairperson as the agent for any official determination,
order, or notice of violation.

14, —_ Limitations on Gaming

No Commissioner, Commission employee or member of Tribal Council shall engage, or
be permitted to engage, either directly or indirectly through another person, in any Gaming
Activities on the Tribe’s Indian Lands. Such limitation shall not apply in instances where, as
pre-approved by the Commission, the individual engages in such activities as a part of an event
designed specifically for such individuals or for training purposes.

15. Sovereign Immunity Preserved

Except as provided in the limited circumstance set forth in Section 12.06 of this Act,
nothing in this Act shall be construed as a waiver of the sovereign immunity of the Commission,
Tribe, or any governmental subdivision or economic enterprise of the Tribe. Any waiver of
sovereign immunity is not effective as a matter of law unless approved by resolution of the
Tribal Council.

16. Consent to Jurisdiction

Any person who applies for a license under this Act, applies for employment in the
Gaming Operation, enters into any gaming related contract or agreement with the Tribe or its
governmental subdivisions, participates in any Gaming Activity on the Tribe’s lands, shall be
deemed to consent to the civil jurisdiction of the Tribe, the Commission, and the Tribal Court.
Nothing in this Section shall limit the jurisdiction of the Tribe, the Commission, or the Tribal
Court under any circumstances not explicitly contemplated in this Act or the Regulations.

17. Compliance with Federal Law

The Gaming Operation shall comply with all applicable federal laws, including the Bank
Secrecy Act, 31 U.S.C. § 5311 et seq.

18. Repeal

To the extent that they are inconsistent with this Act, all prior tribal gaming acts of the
Tribe are hereby superseded, canceled, and repealed.

27 4757513_8


(10)

ay
(12)

(13)

(14)

Exclusion Policy. Develop an exclusion policy that includes the
right to a hearing for an excluded person and requires maintenance
of a list of persons barred from each Gaming Facility.

Game Rules. Approve all game rules and regulations.

Internal Controls, Security and Surveillance, Technical Standards,
Approve Gaming Operation internal controls and surveillance
measures, oversee Gaming Operation security, and promulgate
technical standards for gaming device operations.

Licensing and Registration Authority. In addition to the licensing
requirements expressly provided in Sections 9, 10 and 11, the
Commission may require licensure or registration for any Persons,
entities and facilities that the Commission determines is necessary
to ensure the integrity of Gaming Activities, eliminate a threat to
the public interest, or protect the gaming assets of the Tribe,
including individuals and entities that provide goods and services
to the Gaming Operation. The circumstances under which such
registration or license shall be required shall be set forth by the
Commission in one or more Regulations.

Other Duties. Carry out such other duties with respect to the
regulation of Gaming Activities on the Tribe’s Indian Lands as
required or permitted under Applicable Law, and otherwise as the
Tribal Council shall direct. This includes all action required or
permitted to be taken by the “Tribal Gaming Agency” as defined in
the Compact.

Delegation. The Commission may delegate duties and powers to the
Executive Director and other staff members, as the Commission
determines necessary and appropriate.

Commission Meetings and Reports.

()

(2)

The Commission shall meet in the manner determined by this Act

_ and the Regulations. For purposes of conducting any business, a
“ quorum of the Commission is a majority of all appointed

Commissioners and shall be no less than two (2) Commissioners.
All decisions of the Commission shall be made by a majority vote

‘at a duly called meeting of the Commission at which a quorum is

present.

The Commission and ‘Tribal Council shall meet regularly to

_discuss matters of common interest. At least, quarterly the
“Commission shall’ make reports to the Tribal Council. Such

reports shall contain the following information:

13 4757513_8


Cc.

associated with a tribe or a gaming operation. Failure to
consent to the disclosures indicated in this notice will result
in a tribe being unable to license you for a primary
management official or key employee position.

The disclosure of your Social Security Number (SSN) is
voluntary. However, failure to supply a SSN may result in
errors in processing your application.

False Statement Notice. The following additional notice shall be placed
on the application form for a Key Employee or a Primary Management
Official before that form is filled out by any Applicant:

A false statement on any part of your license application may be
grounds for denying a license or the suspension or revocation of a
license. Also, you may be punished by fine or imprisonment (U.S.
Code, title 18, section 1001).

11.02 Background Investigations.

A.

Scope of Background Investigation. The Commission shall conduct, or

cause to be conducted, a background investigation on each Primary
Management Official and Key Employee that meets or exceeds the
requirements of 25 C.F.R. §§ 556 and 558. The investigation must be
sufficient to allow the Commission to make a license eligibility
determination under this Act. At a minimum, the applications for a Tribal
gaming license shall contain the following information:

ie3)

2)

G)

(4)

(5).

oA description,

Full name, other names used (oral or written), social security
number(s), birth date, place of birth, citizenship, gender, and all
languages spoken and/or written;

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

The 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 under
paragraph A(2) of this subsection;

Current business and. residence ‘telephone numbers, and all cell
phoneinumbers;
A , i

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

19 4757513_8


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

Confidential Information.

ay

2)

Treatment of Confidential Information. The confidential
information and data listed in Section 8.03(C)(2) may be revealed
in whole or in part only in the course of the necessary
administration of this Act or the Regulations. This confidential
information may only be disclosed to members of management,
human resource personnel and/or others employed by the relevant
Gaming Operation on a need-to-know basis, for actions taken in
their official capacities. The confidentiality requirements of this
Act do not apply to requests for such records or information from
any Tribal, federal, or state law enforcement or regulatory agency,
or pursuant to a lawful court order, or for the use of such records or
information by the Commission and staff in the performance of
their official duties.

Information and Data that is Confidential. The following
information and data is confidential:

(a) Information and data included within any application for
license or supporting materials;

(b) Information and data required by this Act or the
Regulations to be furnished to the Commission or the
Executive Director, or, which may otherwise be obtained in
connection with the review of finances, earnings or revenue
of any Applicant or Licensee;

(c) Information and data pertaining to any Applicant’s criminal
record or background which have been furnished to or
obtained by the Commission or the Executive Director
from any source;

(d) Information and data provided to the Commission,
Executive Director or any Commission employee by a
governmental agency or an informant or otherwise
provided on the assurances that the information will be held
in confidence and treated as confidential;

(e) Information and data pertaining to the identity of any
informant;

@ “The identity ‘of each person interviewed in the course of a
background investigation; and

15 4757513_8


19. Effective Date

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

28 4757513_8


(2)

(b)

(o)

The Commission shall post the Proposed Rule Notice at a
place designated by the Commission within a Tribal
government building, or such other place as provided in the
Regulations, at least twenty (20) calendar days prior to the
Commission meeting at which the Commission is to
consider the proposed regulation. On or before the date of
posting, the Commission shall separately send the Proposed
Rule Notice to the Tribal Council and the CEO of the
Gaming Operation.

Upon receipt of comments from the Tribal Council, a
Gaming Operation or any other Person, the Commission
shall consider such comments before taking action to adopt
a proposed regulation or amend or repeal a Regulation.

Emergency Action. In the event the Commission determines that
an emergency is occurring, the Commission may summarily adopt,
amend or repeal any Regulation (an “Emergency Action”) in the
manner provided in this section.

(a)

(b)

(©)

@

To take Emergency Action, the Commission must:

(60) Determine the immediate adoption, amendment or
repeal of a Regulation is necessary for the
immediate preservation of the public peace, health,
safety, morals, good order or general welfare; and

Gi) Explain in writing the facts and circumstances that
caused the emergency.

The Commission shall inform the Tribal Council as soon as
reasonably possible about the Emergency Action and
reasons for the Emergency Action.

The Commission shall post notice of the Emergency Action
at the Gaming Facility or Tribal. administration complex
within one day of adoption. -

Regulations adopted under this subsection shall be effective
for a period not to exceed ninety (90) calendar days.
Should the Commission desire the Emergency Action to be
effective ‘past:that date, the Commission must post a
Proposed Rule Notice’and adopt, amend or repeal such
Regulation in’thé manner provided in Section 7.11(C)(1)
above.

10 4757513_8


3.06

3.07

3.08

(3) Win the game by being the first person to cover a designated
pattern on such cards;

B. If played in the same location as bingo or lotto, pull-tabs, punch boards,
tip jars, instant bingo, and other games similar to bingo;

Cc. Non-banking card games that:

qd) State law explicitly authorizes, or does not explicitly prohibit, and
are played legally anywhere in the State of Washington (the
“State”); and

(2) Players play in conformity with State laws and regulations (if any)
concerning hours, periods of operation, and limitations on wagers
and pot sizes; and

D. Card games played in the State, if:

(1) An Indian tribe actually operates the same card games as played on
or before May 1, 1988, as determined by the NIGC Chair; and

(2) _. The pot and wager limits remain the same as on or before May 1,
1988, as determined by the NIGC Chair.

Class II] Gaming. “Class III Gaming” means all forms of gaming that are not
Class I or Class II Gaming, including, but not limited to:

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

(1) Card games such as baccarat, chemin de fer, blackjack (21), and
pai gow (if played as house-banking games); and

(2) Casino games such as roulette, craps, and keno;

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

electromechanical facsimiles of any game of chance;

[os Any sports betting and pari-mutuel wagering, including, but not limited to,
wagering on horse racing, dog racing or jai alai; and

D. Lotteries.

Close Relative means a spouse, parent, step-parent, sibling, step-sibling, child,
step-child, grand-parent, and, grand-child.. The term “Close Relative” includes
spouses of the foregoing and persons sharing a household with the foregoing.
Compact. .. “Compact” means, the tribal-state gaming compact for Class III
Gaming between the Tribe and the State, and all approved appendices and
attachments thereto, each as may be amended from time to time.

2 47575138


12.

11.12

11.13

action that may result from the application process and expressly waive
any claim for damages as a result thereof.

E. Applicant Claim of Privilege. An Applicant may claim any privilege
afforded by law in connection with a gaming license application or
investigation, but a claim of privilege with respect to any testimony or
evidence pertaining thereto may constitute sufficient grounds for denial,
suspension or revocation.

F. Release _of Information. Persons applying for a license shall agree to
release all information necessary in order for the Commission and any
applicable federal or state entity to complete their suitability
determination. Applicants must update all such information promptly on
an on-going basis and furnish such information as may be required by law.

Standards. All persons engaged by or associated with any Gaming Activity on
the Tribe’s Indian Lands shall conduct themselves with honesty, integrity, and
such decorum and manners as necessary to reflect positively on the Tribe, its
members and the Gaming Activities. Any failure to abide by such standards, or
any violation of a rule, regulation, law, custom or tradition of the Tribe, the
Commission, or the Gaming Operation, or with the terms or conditions of the
license, may be grounds for immediate suspension or revocation of any license
issued hereunder.

Effect of Compact. Notwithstanding anything in this Act to the contrary, any
licensing procedures required under the Compact shall be implemented as
provided therein.

Patron Disputes |

12.01

12.02

12.03

Raising Disputes. Any Patron who has any dispute, disagreement, or other
grievance regarding the play or operation of any Gaming Activity, including a
refusal to pay any alleged winnings from Gaming Activities, may raise such
dispute with the following persons and in the following order: (a) a member of
the staff of the Gaming Operation, (b) the supervisor in the area in which the
dispute arose, (c) the CEO, (d) the Commission; and (e) Snoqualmie Tribal Court.

Patron Rights Regarding Disputes. At each level, the Patron has the right to
explain his or her side of the dispute and present witnesses in connection with any
factual allegation. At each level, if the dispute remains unresolved, the Patron
shall be given a copy of the procedures set forth in this Section 12 and informed
of the right to take the dispute to the next higher level as set forth in section 12.01
of this Section.

Raising Disputes. Resolution of ainy ‘dispute by staff of the Gaming Operation

shall always involve two or more staff members, one of whom shall have the title
of at least supervisor. Disputes, whether resolved or tiot, shall be the subject of a

25 47575138


Cc.
D.

The conclusions reached as a result of the background investigation; and

The basis for those conclusions.

11.06 Notice of Background Investigation Results.

A.

Before issuing a license to a Primary Management Official or Key
Employee, the Commission shall prepare a notice of results of the
Applicant’s background investigation to submit to the NIGC. The notice
of results must be submitted to the NIGC no later than sixty (60) calendar
days after the Applicant begins working for the Tribe.

The notice of results shall include the following:
(i) The Applicant’s name, date of birth, and social security number;

(2) The date on which Applicant began or will begin work as a Key
Employee or Primary Management Official;

(3) A summary of the information presented in the investigative
report, which shall, at a minimum, include: (i) licenses that have
-previously been denied; (ii) gaming licenses that have been
revoked, even if subsequently reinstated; (iii) every known
criminal charge brought against the Applicant within the last ten
. (10)-years of the date of the application; and (iv) every felony of
which the Applicant has been convicted or any ongoing
prosecution of Applicant for a felony; and

(4) A copy of the Commission’s eligibility determination.

11.07 Granting a ‘Gaming License.

a

"calendar days of issuance.

All Primary Management Officials and Key Employees of the Gaming

_ Operation must have a gaming license,issued by the Commission, which is

responsible for granting and issuing such gaming licenses.

The Commission may license a Primary Management Official or Key
Employee Applicant after submitting a notice of results of the Applicant’s
background investigation to the NIGC.

The Commission shall notify the NIGC of the issuance of a license toa
Primary Management Official or Key Employee within thirty (30)

_ The Tribe shall not employ . an individual in a Primary Management
“Official or Key Employee position who does not have a license after
. ninety (90), calendar days of beginning work at the Gaming Operation.

22 4757513_8


10.

11.

7.08

Removal for Cause.....ccccccrsossssssccssensveesee sisi nsstsiscsnsaabuitssavenssassisavsbustsdeaveaceviwsivuenw 8

7.09 Removal of a Commissioner.

7.10 Temporary Commissioner Appointments. .........cscseesseseeseseseeseeseseeseesesseeseeseesneeseraee 9
7.11 Powers and Duties of the Commission. ..........sccsssssesessesseseseessesssteseeseeseeseeseeenenseesee 9
Executive Director ......scscsecsesssesessesssesssssssesseeseesessssascsnessssnesseesncscencssessensssesesassnsanensceneeenees 14
8.01 Executive Director Appointment and Eligibility. .....0......cscssssesssessseseesseesessseess 14
8.02 Powers and Duties of Executive Director. ........cccesecessesesesseseesesresessesseesnessesssess 14
8.03 Files and Records of the Commission; Confidentiality of Information.............0 14
8.04. Background Investigations of the Executive Director and Commission Staff. .....16
Additional License Categories. .........ccccssssssssssssssssssssesssssssssssssssssssecsesssesseeseeerensseenssneseenes 17
9.01 Gaming Employee License...

9.02 Gaming Vendor License. 0.0.0... cessssecsesssssssscssssssseessssssesesnensssscsbsssesesveeneseessaneanenes 17
9.03 Gaming Financiers. .........cccceseeesessssesssssssssssssesssssssssssssssssesedecssssseereecerssesesenseeeesnenes 17
9.04 Nongaming Vendors. ......ccccsesecseeessesesessessessesseessesseesesssessesssseesssessessesseeseesesseeese 17
9.05 Vendor Licensing Exemptions........:...csscesssesssesssesssecsnecssesceeseesecaneesecsnesseesnecsnucense 17
9.06 Registration and Exemptions. ...........c.scssssessesessssessssssssseesesseaesesssssscersnenssseneseeneenes 17
Facility License .......ccssssssssssscssssssesesessssssssessssssessssesnsassscsessessssessesesssessesesssesesecspensseensseeereees 18
10.01 Requirement of Licensure...

10.02 License Not GuaranteeTMd.........ccscccssesssseeseesesssesnseseesnesseessenessensseeseensensesenessaeensecsees 18

Licenses for Key Employees and Primary Management Officials.

11.01
11.02
11.03
11.04

11.05

Application Forms, .......ccscsessesesseesecsssecscssesseesssssessesseessseensssesesaesussesseesesseesneenees 18
Background Investigations.............00 pvesvenugggareyencsseageger sons cSbbdadesepsbepesienalcssinsssahs 19
Eligibility Determination, .0........ccccsesessessessesseessesessesseessscsnssesssetsessssesseseeensenses 21
Temporary Licensure. .....s..scscssesssseeseessesessesseenscnsesnessecsssacssesesssaeesseneeneseeneeasenneeneeen 21
Investigative Reports. ........cecscscsesessssesessssesessesesatessesarsecacessesesecasaearaneasanenenansaensare 21

4757513_8


3.20 Key Employee.......ccceesssessecsssessessssscssssssssssssssscsssssssscsssasssessssssesassesasseasssssescsssnsees 4
3.21 Licensee. sisssssovsvsvcaxeseuccscsnsansavscnuawesaauetuswevescncivsenaisusersicscictaiiavescicissiscccsvesesscee 4

3.22 Management Contract. ..........ssstousssovesusssus nesaawonsseoestanenssnanbensavovsanavooweseonaeeuseunavvosessae 4

3.23 Net Revenues...

3.24 — PAtrOM. ....sssssseccorscessovsonensoononsepiidseunssiiidcaedasnsubnesilaicacdsnsnsaasosshieivnenavaeicanassasuesibioeaes 4
3.25 — PEPSOM.......sesessrvsscsornrssscsssessonnedsavsiauiizivevcurssuurea issdvacwsvausssaussberwaswussiesssreeusieaaTessduaseNabs 4
3.26 Primary Management Official. ..........ccssesssessesssecssesesseesssesseesseesssecseesseceseesteeseeeneeseee! 4
3.27 Regulation. ........cscescecseessesssessesssessseesecsnsesseseesussnesseesecasecssuscsnecssecssesanecanecseesecaneensess 5
3.28 Snoqualmie Tribal Coutt....... scisiswissscusssessissssscusssadaessaesassussseteosssdeseevskciasasesiilesssisiies 5
3.29 Tribal. scsisssscssvosscsusssvarusecoanssnsssrvasesssaneancsstesvistwcssuubantkonncaibuassvscouensuiatexecveascensacuesiet 5
3.30 = Tribal Lottery System. .......c.csessesessssessssssesessssssesssssesscsesssssssesasscassssssesssieereneaneeeees 5
3.31 Tribe.

Compact. .

Ownership of Gaming........cccscpsesssesssssecsseesessesssssessessssesssssssssesseeenssscsieosessesseessssebeseeenseeeaese 5
Use of Net Revenues......c.ccescesecsesssssessecsssssesssessssesseessessesseessseescsuesssesseesecsesasssessessegesereaseneane 5
6.01 Permitted Uses. ........sescecsessssesssessesssssessesssseeesssessescseseessesssesensseeseesssessesessnesseessseeesees 5
6.02 Per Capita Payments Require Federal Approval. ....:cccssccssssecssseessscssssesseseseenereseens 5
Snoqualmie Gaming ComMission ........c.ccsscsseseseessssesssssessesseseessenssasssssessassssscessreseereeesrens 5
7.01 Establishment of the Commission. ...........:sssesssseesecsessesseqseesessecesessetecenesseenesneseeneeee 5
7.02 Governmental Attributes of the Commission. ......:cie.iciseeledecsastesecsneeseessesseeseesseess 5
7.03 Regulatory Authority. .........scsssseseeseeeees teeacnseeeneacioed Jessen $ibsesanedstnetbensenedberecsdibiecoeed 6

7.04 Importance of Independence of Commission.
7.05 Commission Budget... teseeenees sassvsevssseosepessssossssadchitagesssevasecevsneeneseses 6

7.06. Composition of Commission,

7.07 Commissioner Qualifications and Eligibility Determinations.

4757513_8


General Powers of Commission.

(1)

(2)

G3)

a,

Monitoring of Compliance and Inspection. The Commission shall
have the power and duty to monitor all Gaming Operations for
compliance with Applicable Law. The Commission shall have the
power to require the Executive Director and Commission staff to
undertake such investigations, audits and inspections as
appropriate, review the results of inspections and take enforcement
action.

Access to Records. The Commission shall have access to all areas
of each Gaming Facility and Gaming Operation and to all of their
records.

Audit. The Commission shall ensure that each Gaming Operation
causes an independent audit of such Gaming Operation to be
conducted annually.

(a) Annual audits shall conform to generally accepted auditing
standards. All gaming-related contracts that result in the
purchase of supplies, services or concessions for more than
$25,000 in any year (except contracts for professional legal
and accounting services) shall be specifically included
within the scope of the annual audit. Copies of the annual
audit of each licensed Gaming Operation, and each audit
for supplies, services or concessions of each Gaming
Operation, shall be furnished by the Commission to the
NIGC within one hundred and twenty (120) calendar days
after the end of each fiscal year of the Gaming Operation.

(b) The Commission may require additional financial audits of
any Gaming Operation and regulatory audits of Gaming
Activity. The Commission shall require such audits to
occur when necessary to ensure integrity, security, honesty
and fairness of a Gaming Operation and all Gaming
Activity... The Commission shall take reasonable steps to
coordinate the timing of.any additional financial audits with
the annual audit required above, provided that the
Commission may require ‘audits to occur at any other time
if necessary to preserve the assets of the Tribe or ensure the
integrity, security, honesty and fairness of a Gaming
Operation or'any Gaining: Activity.

Binfotcenent Authority. When information received by the

Commission ‘through investigations, audit or otherwise indicates a
violation of Applicable Law or the terms and conditions of any

11 4757513_8


SNOQUALMIE TRIBE
TRIBAL GAMING ACT

1. Purpose

The Tribal Council of the Snoqualmie Tribe (the “Tribal Council”), empowered by the
Tribe’s Constitution to enact laws, hereby enacts this Tribal Gaming Act (this “Act”) in order to
govern and regulate the operation of Class II and Class III Gaming on the Tribe’s Indian Lands.

2. Gaming Authorized

All Gaming Activities on the Tribes Indian Lands are prohibited, except as expressly
permitted under this Act and the Regulations. All forms of Class II and Class III Gaming, as
defined in the Indian Gaming Regulatory Act (“IGRA”), 25 U.S.C. § 2701 et seq., are hereby
authorized. Unless specifically indicated otherwise, all provisions of this Act shall apply to
gaming on the Tribe’s Indian Lands.

3. Definitions

Defined terms in this Section 3 shall have the same meanings and effects as their
counterpart terms in IGRA and the National Indian Gaming Commission (““NIGC”) regulations,
25 C.F.R. § 500 et seq., to the extent such terms are defined in IGRA and the NIGC regulations.

3.01 Applicable Law. “Applicable Law” means IGRA and regulations promulgated
thereunder, the Compact, this Act, the Regulations, and all other applicable laws
or regulations promulgated under state, federal, or tribal law.

3.02 Applicant. “Applicant” means an individual or entity that applies for the
issuance or renewal of a Tribal gaming license.

3.03 CEO. “CEO” means that person or entity designated by the Snoqualmie
Entertainment Authority as the Chief Executive Officer of the Gaming Operation.

3.04 Class 1 Gaming. “Class I Gaming” means: (1) social games played solely for
prizes of minimal value or (2) traditional forms of Indian gaming when played by
individuals in connection with tribal ceremonies or celebrations.

3.05 Class 11 Gaming. “Class I] Gaming” means:

A. Bingo or lotto (whether or not electronic, computer or other technologic
aids are used) when players:
(1) Play for prizes with cards bearing numbers or other designations;
nude ad 4 :

(2) Cover numbers or designations when objects, similarly numbered
or designated, are drawn or electronically determined; and

1
4757513_8


gaming, or create or enhance the dangers of unsuitable, unfair, or
illegal practices, and methods, and activities in the conduct of
gaming or the carrying on of the business and _ financial
arrangements incidental thereto.

Additional License Categories.

9.01

9.02

9.03

9.04

9.05

9.06

Gaming Employee License. Each Gaming Employee shall be subject to the
licensing requirements of the Commission prior to commencement of
employment. Gaming Employee licenses shall be renewed annually.

Gaming Vendor License. Each Gaming Vendor shall be subject to the licensing
requirements of the Commission prior to the sale of Gaming Services to the Tribe.
Gaming Vendor licenses shall be renewed annually. The Tribe shall not enter
into, or continue to make payments pursuant to, any contract or agreement that
would require licensing of a Gaming Vendor if the Gaming Vendor has (a) not
obtained a license, (b) been denied a license, (c) been deemed unsuitable by the
Commission, or (d) allowed its license or suitability determination to expire
without renewal.

Gaming Financiers. Any person or entity that extends financing, directly or
indirectly, to the Gaming Facility or Gaming Operation shall be subject to the
licensing requirements of the Commission. Licensing requirements of the
Commission do not apply to financing provided by a federally regulated
commercial lending institution, the Tribe or the federal government. Federally
regulated commercial lending institutions are those regulated by the Securities
and Exchange Commission, the Office of the Comptroller of Currency, the
Federal Deposit Insurance Corporation, the United States Federal Reserve
System, the National Credit Union Administration, and/or the Washington State
Department of Financial Institutions. Gaming Financier licenses shall be renewed
annually. Gaming Financier licensing requirements and exemptions therefrom
may be more fully set forth in the Regulations and the Compact.

Nongaming Vendors. Persons that provide only nongaming goods and related
services to the Gaming Operation and:are deemed by the Commission not to be

~ Gaming Vendors may be subject to licensure, registration or exempted therefrom

in the manner provided by the Regulations.

Vendor Licensing Exemptions. The following categories are exempt from
Commission licensing requirements: (a) Gaming Vendors supplying less than
$25,000 in goods or services eamyuallys and (b) persons and entities supplying only
accounting or legal services. : :

Registration and Exemptions, mm ‘he Commission may develop processes for

registration and exemption of persons who fall into the categories described in
this ‘section to the extent such processes are not inconsistent with Applicable Law

17 4757513_8


oe 'No,

32 tH,
Sy
"Ona

q 6
Ve comm’

March 6, 2015

By First Class Mail

Carolyn Lubenau, Chairperson
Snoqualmie Indian Tribe

9571 Ethan Wade Way
Snoqualmie, WA 98065

Re: Snoqualmie Indian Tribe Ordinance Amendments, Snoqualmie Indian
Tribe Resolution 12-2015.

Dear Chairperson Lubenau:

This letter responds to your request on behalf of the Snoqualmie Indian Tribe for the
National Indian Gaming Commission (NIGC) to review and approve the Tribe’s
amendments to its gaming ordinance. The amendments were adopted by the Snoqualmie
Tribal Council in Resolution 12-2015. The amendments execute a wholly revised
Gaming Ordinance intended to more clearly align with the Tribe’s compact.

Thank you for bringing these amendments to our attention and for providing us with
acopy. These amendments are approved as they are consistent with the requirements of
the Indian Gaming Regulatory Act and the NIGC’s regulations. If you have any questions
or require anything further, please contact Staff Attorney Rea Cisneros at 202-632-7003.

Sincerely,

Jonodev Chaudhuri
NIGC Chairman (Acting)

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop # 1621 Washington, DC 20240 Tel: 202.632.7003 Fax: 202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulso OK; Oklahoma City, OK
WWW.NIGE.Gov


3.19

3.20

3.21

3.22

3.23

3.24

3.25

3.26

Indian Lands. “Indian Lands” means land within the limits of the Tribe’s Indian
reservation and land over which the Tribe exercises governmental power that is
either: (a) held in trust by the United States for the benefit of any Indian tribe or
individual; or (b) held by the Tribe or an individual and subject to restriction by
the United States against alienation.

Key Employee. “Key Employee” means a person who performs one or more of
the following functions: bingo caller; counting room supervisor; chief of security;
custodian of gaming supplies or cash; floor manager; pit boss; dealer; croupier;
approver of credit; or custodian of gambling devices, including persons with
access to cash and accounting records within such devices; if not otherwise
included, any other Gaming Operation employee whose total cash compensation
is in excess of $50,000 per year, the four most highly compensated persons in the
Gaming Operation, and any other person designated by the Commission as a Key
Employee.

Licensee. “Licensee” means a tribally owned Class II or Class II] Gaming
Operation, a person licensed by the Commission as a Primary Management
Official or Key Employee under the provisions of this Act, and any other Person
licensed as required by the Compact or otherwise pursuant to the Commission
regulation.

Management Contract. “Management Contract” means any contract,
subcontract or collateral agreement between the Tribe and a contractor or between
a contractor and a subcontractor if such contract or agreement provides for the
management of all or part of the Gaming Operation.

Net Revenues. “Net Revenues” means gross gaming revenues of the Gaming
Operation less: amounts paid out as, or paid for, prizes; and, total gaming-related
operating expenses, including all those expenses of, the Gaming. Operation
commonly known as operating expenses and non-operating expenses consistent
with professional accounting pronouncements, excluding management fees.

Patron. “Patron” means any individual who participates as a player i in a Gaming
Activity within a Gaming Facility.

Person. “Person” means any corporation, Jimited liability corporation,
partnership, firm, association, society or natural person.

Primary Management Official. “Primat'y Management Official” means: (1) the
person(s) having mariagement'responsibility for a Management Contract; (2) any
person who has authority: (a) to hire and fire employees of the Gaming Operation;
or (b) to set up working policy for the Gaming Operation; or (c) the chief
financial officer or other person whe has financial management responsibility;

“and 63) any other person designated’ by’ the Commission as a primary management

official.

4 4757513_8


3.09

3.10

3.11

3.12

3.13

3.14

3.15

3.16

3.17

3.18

Commission. “Commission” means the Snoqualmie Gaming Commission
established pursuant to this Act to perform regulatory oversight and to monitor
compliance with Applicable Law.

Commissioner. “Commissioner” means a Snoqualmie Gaming Commissioner.

Facility License. “Facility License” means the separate license issued by the
Commission to each place, facility or location on Indian Lands where the Tribe
elects to allow Class II or Class III Gaming.

Gaming Activity. “Gaming Activity” or “Gaming Activities” means any Class
I, Class II, or Class III Gaming activity authorized by this Act.

Gaming Employee. “Gaming Employee” means any individual employed in
connection with the Gaming Operation or Gaming Facility, whether employed or
contracted by the Tribe or by any person or enterprise providing gaming operation
and management services to the Tribe, including, but not limited to, Gaming
Operation managers and assistant managers; accounting personnel; surveillance
and security personnel; cashiers; dealers or croupiers; box men; floormen; pit
bosses; shift bosses; cage personnel; collection personnel; gaming consultants;
pari-mutuel clerks, management companies and their principals; and any other
person whose employment duties require or authorize access to restricted areas of
the Gaming Facility not otherwise opened to the public, or to areas designated by
the Commission and Washington State Gambling Commission.

Gaming Facility. “Gaming Facility” or “Facility’ means the building or
buildings or portions thereof in which Class II or Class III Gaming activities or
Gaming Operations occur. .The Gaming Facility shall be licensed by the
Commission. _

Gaming Financier. “Gaming Financier” means any who extends financing,
directly or indirectly to the Gaming Facility or Gaming Operation.

Gaming Operation. “Gaming Operation” means each economic entity that is
licensed by the Tribe, operates the games, receives the revenues, issues the prizes,
and pays the expenses. A Gaming Operation may be operated by the Tribe
directly, a management contractor or, under certain conditions, another Person.

Gaming Services. “Gaming Services” means the providing of any goods or
services to the Tribe, whether on or off site, directly or indirectly, in connection
with the operation of Class II or JL Gaming activities in a Gaming Facility,
including equipment, maintenance , (OF, security services. Gaming Services shall
not include professional legal and accounting services.

Gaming Vendor. “Gaming ‘Wendor* * means a manufacturer or supplier of Gaming
Services. , ; :

3 4757513_8


(2) Provide the suspended licensee with written notice of the
suspension and the proposed revocation; and

(3) Provide the suspended licensee with notice of a time and a place
for a hearing on the proposed revocation of a license.

B. After a revocation hearing, the Commission shall decide to revoke or
reinstate the suspended gaming license. The Commission shall notify the
NIGC of its decision within forty-five (45) calendar days of receiving
notification from the NIGC that the Key Employee or Primary
Management Official is not eligible for employment.

Cc. Nothing herein shall prohibit the Commission from taking immediate
action in emergency situations to protect the health and safety of patrons
and employees or assets of the Tribe. Such actions shall immediately be
followed by the hearing process.

11.10 Retention of Records. The Commission may promulgate Regulations regarding
the retention of records for Applicants and Licensees. With respect to Key
Employees and Primary Management Officials, the Commission shall retain
applications for licensing, investigative reports, and eligibility determinations for
no less than three (3) years from the date of termination of employment.

11,11 Additional Licensee and Applicant Provisions.

A. Licensing Procedure. The’ Tribe’s Gaming licensing procedure shall be
administered through the Commission. The program shall be an
investigative licensing process under which all Applicants for gaming
licenses ‘are évaluated ‘against the standards set forth in, and subject to,
Applicable Law.

B. Licensing Policy and Requirements.’ It is the policy of the Tribe that all
Gaming Activities be licensed and controlled so as to protect the morals,
good order and welfare of Tribal members and other persons on the
Tribe’s Indian Lands, and to preserve the honesty, fairness and integrity of
such Gaming Activities.

Cc. Gaming License is a Privilege. Any’ gaming license issued by the
Commission shall be deemed a privilegé and is subject to suspension or
revocation at any time. No license or license renewal shall be issued that
would place the Tribe in violation of Applicable Law. A gaming license
or finding of suitability is subject to renewal at least every year. Nothing

herein shall create a property interest. in the i issuance or retention of a
. license provided for by, this Act,

"

Dz. Burden on Applicant. ‘The burden of proving an ‘Applicant’s qualifications
to receive a license hereunder is at all times on the Applicant. Applicants
must accept any risk of adverse public notice, embarrassment or other

24 4757513_8


The Commission must reconsider a license application for a Primary
Management Official or Key Employee if it receives a statement of
itemized objections to issuing such a license from the NIGC, and those
objections are received within thirty (30) days of the NIGC receiving a
notice of results of the Applicant’s background investigation. The
Commission shall take the NIGC’s objections into account when
reconsidering a license application.

The Commission will make the final decision whether to issue a license to
an Applicant for a Primary Management Official or Key Employee
position.

If the Commission has issued a license to a Primary Management Official
or Key Employee before receiving the NIGC’s statement of objections,
notice and a hearing shall be provided to the Licensee as provided in
Section 11.09 below.

11.08 Denying a Gaming License.

A.

tn

The Commission shall not license a Primary Management Official or Key
Employee if the Commission determines, in applying the standards herein
for making a license eligibility determination, that licensing the person:

(1) _ Poses.a threat to the public interest;
(2) Poses a threat to the effective regulation of gaming; or

(3) Creates or enhances the dangers of unsuitable, unfair or illegal
practices, methods and/or activities in the conduct of gaming.

When the Commission does not issue a license to an Applicant for a
Primary Management Official or Key Employee position, or revokes a
previously issued license after reconsideration, it shall:

(1) _ Notify the NIGC; and

(2) Forward copies of its eligibility determination and notice of results
of the Applicant’s background investigation to the NIGC for
inclusion in the Indian Gaming Individuals Record System.

11.09 License Suspensions and Revocations. |

A

_ employment, the Commission s!

If, after: the issuance’ ofa gaming license, the“Tribe or Commission
receives notice that the NIGC has reliabld information indicating that a
Key Employee or a ‘Primary’ Management Official is not eligible for

baud

(1). Immediately suspénd such license;

23 4757513_8


12.

13.
14.
15.
16.
17,
18.

19.

11.06 Notice of Background Investigation Results. .........:ssesssssssecsesseesectestesteneeneeneenenses 22
11.07 Granting a Gaming License. 0.......cccececsseessesesseseesessescesseeessseesussuesueesssneareneentansinee 22

11.08 Denying a Gaming License........c.cccccecseseesesseseesesseseesessssseesesessesneesssnssncenseenseneanee 23

11.09 License Suspensions and Revocations.

11.10 Retention of ReCords.......c.cccesssssssesseessessesstsseesessessnessessserssecssscssnecssesaneareenecaneeneess 24
11.11 Additional Licensee and Applicant Provisions. ..........ccccsseseseeesseeseeseeseeneeseeeneee 24
11.12 Standards. .....ceccecccceccsssessecsssseessessecsvesesessessesesessesnesnescesusesedessesuesuesesesesntensanesnes 25
11.13 Effect of Compact. .....cccccsesseestsssessesseessseseeseseesescesesssscssssecseeseaneesesueesssseaseesessenees 25
Patron Disputes ..........0.ssessesesssoeensgiiiiidobsiasscasaniannassusocsdeoen h¥eesthiesetashspajatbsesresesseeensesseeeseneenn 25
12.01 Raising Disputes. ...........cccscsssessecseessssesssseesesssseesssessssiessessesseesneenesseeseeseenesessnsseenees 25
12.02 Patron Rights Regarding Disputes. ...........sesessesscssssesseseesecsccessneeneesesstesseaeeneenestenees 25
12.03 Raising Disputes. .........c.cccsissiessessessesseesesseessseeseeeeneeenees fosarona int tabtlaSdassvesansusasenasastet 25

12.04 Impact On Game Play.

12.05 Commission Decisions..........cseisssecissseesecssseeteseeestessseseneseees [Brcocttssatsruscttedorsaserssa 26

12.06 Appeal To Snoqualmie Tribal Court...

Agent for Service of Process. ......s:csessesssssressesssssscsessssesscsnsncsnesssseccnessvessceseenseneenseneaeaeneauee 27
Limitations on Gaming..........c.scsissississsssassstsssasiteonitsansinasssiutcieccerssbenseveketssboekoavivesvebeew 27
Sovereign Immunity Preserved........ssscsesssssessessesesessessssesesessessesbeessesseesecnesseeseeseieenseeneese 27
Consent to Jurisdiction..........cccsesssesssecssesssescssesseesseeseeselanssssssesevesanecsueessnessvessessubeneceeensesnee 27
Compliance with Federal Law ........ccssssisssssesseessensseseesstiecsessesecssesuecssnudenesneanecedeeeneeneenene’ 27
Repeal ......-scccsssosssoesssssarsersoesnconnectssiissssticstissscisevsvsecnisessusscu iusbsetati tecceliatscsseahecmcsecgsneent 27

Effective Date

4757513_8


8.

(a) Number and types of licenses issued in the previous
quarter;

(b) Number and types of licenses denied, suspended, restricted,
or revoked during the previous quarter and commentary
helpful to explain such actions where appropriate, provided
that confidential information shall not be disclosed;

(c) Reports of violations of this Act and the Regulations;

(d) — An overview of Commission expenditures for the prior
quarter;

(ce) Any other reports required by the Regulations; and

(f) All other information that the Commission deems relevant
in order to keep Tribal Council adequately informed as to
Commission regulatory matters.

Executive Director

8.01

8.02

8.03

Executive Director Appointment and Eligibility.

A. Appointment by the Commission. The position of Executive Director of
the Commission is hereby created. The Commissioners shall appoint the
Executive Director, subject. to, confirmation by the Tribal Council.
Appointment of the Executive Director shall be conducted in accordance
with the Tribe’s employment policies and procedures.

B. Limitations on Eligibility. No member of the Tribal Council and no other
person holding any tribal elective office is eligible for the appointment of
Executive Director.

Powers and Duties of Executive Director.The Executive Director shall be
responsible for the day-to-day operations of the Commission and shall have such
powers as are delegated by the Commission from time to time.

Files and Records of the Commission; Confidentiality of Information.

A. File Maintenance. The Executive Director shall maintain a file of all
applications for licenses under this Act and the Regulations, together with
a record of all actions taken with respect to those applications. The
Commission and Executive Director may maintain such other files or
_records as they. deem desirable.

‘eatt

BL. Confidentiality of Records. The Executive Director is responsible for and
shall ensure that all records and information obtained as a result of a
background investigation shall remain confidential and shall not be

14 4757513_8


(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 is an ongoing prosecution or a
conviction, the charge, the name and address of the court involved,
and the date of disposition, if any;

(9) For each misdemeanor conviction or ongoing misdemeanor
prosecution (excluding minor traffic violations) within ten (10)
years of the date of the application, the name and address of the
court involved and the date of disposition, if any;

(10) For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge is
within ten (10) years of the date of the application and is not
otherwise listed pursuant to paragraphs (A)(8) and (A)(9) of this
subsection, the criminal charge, the name and address of the court
involved and the date of disposition, if any;

(11) The name and address of any licensing or regulatory agency with
which the person has filed an application for an occupational
license or permit, whether or not such license or permit was
granted;

(12) A current photograph;
(13) Any other information the Commission deems relevant; and

(14) Fingerprints consistent with procedures adopted by the
Commission pursuant to 25 C.F.R. §:522(h).

Application File Maintained. When a Primary Management Official or
Key Employee is employed. by the Tribe, a complete application file,
containing all of the information listed in paragraph A of this subsection,
shall be maintained by the Commission.

Fingerprinting. Fingerprints of Primary Management Officials and Key
Employees shall be taken by: the‘Commission. Fingerprints of Primary
Management Officials and Key Employees will then be forwarded to the

- NIGC for processing through’ the Federal Bureau of Investigation (“FBI”)

and‘ the National Criminal Information Center to determine the
Applicant’s criminal history, if any.

20 47575138


SNOQUALMIE TRIBE
TRIBAL GAMING ACT

4757513_8


an initial term of one year. All subsequent appointments shall be for three (3)
years. Commissioners may serve successive terms of office without limitation.
Notwithstanding the foregoing, and at the discretion of the Tribal Council, a
Commissioner may continue to serve as Commissioner, with full authority, after
completion of a term until such time as a replacement is appointed by the Tribal
Council.

7.07 Commissioner Qualifications and Eligibility Determinations.

A.

D.

Experience and Training. The experience and training of a Commissioner
must be of sufficient scope, depth and relevancy to enable him or her to
fulfill his or her duties under this Act.

Ineligible Individuals. The following persons are not eligible to serve as a
Commissioner:

(1) Tribal Council members,
(2) Employees of a Gaming Operation,

(3) Individuals sharing a household with a Primary Management
Official or Key Employee,

(4) Any person who is employed or otherwise serves in a position with
responsibilities that create a conflict of interest or appearance of a
conflict of interest with the duties and responsibilities of the
Commission, and

(5) Individuals previously convicted of any felony, gaming offense or
misdemeanor offense of embezzlement, theft or any other money-
related or honesty-related misdemeanor offense, such as fraud.

Background Investigations of Commissioner Candidates. The Tribal
Council shall cause a criminal history check to be conducted by the
Tribe’s law enforcement agency or other third party investigative entity
(hereinafter, an “Investigator”) as it may choose for each Commissioner
candidate. All Commissioner candidates shall consent to, and fully
cooperate with the background investigation. The background
investigation shall include a criminal history check. The Investigator shall
prepare a written investigative report and a recommended eligibility
determination as to. whether a Commissioner candidate is eligible to hold
office. : : ,

Eligibility Determination. The Tribal Council shall review the

S gator’s report and’ récommendation and shall make an eligibility
determination’ before appointing an individual’ to’ the position of
Commissioner. A person is not eligible to hold office as a Commissioner
if such person:

7 4757513_8


7.10 Temporary Commissioner Appointments.

A.

Temporary Appointment Due to Recusal. The Tribal Council may
provide for temporary appointments of Commissioners in the event that a
majority of all appointed Commissioners are otherwise required to recuse
themselves in the manner provided within the Regulations. In such event
the appointment of one or more temporary Commissioners shall only be
for the limited purpose of participating in the matter within which a
Commissioner has been recused and only for the time period necessary to
act upon such matter.

Temporary Appointment Due to Departure of Commissioner. The Tribal
Council may appoint a temporary Commissioner in the event that a
Commissioner resigns, is removed, or otherwise departs the
Commission. The replacement Commissioner shall serve for the
remainder of the prior Commissioner’s term of appointment.

Requirements. A temporarily appointed Commissioner must otherwise
satisfy the requirements of this Act.

7.11 Powers and Duties of the Commission.

A.

General. Subject to the provisions of this Act, the Commission shall have
the power, duty, and primary responsibility necessary and proper to:
(i) carry out the Tribe’s regulatory requirements under Applicable Law,
(ii) enforce such requirements, (iii) protect the integrity of Gaming
Activities, and (iv) prevent the appearance of impropriety.

Licensing. The Commission shall have the power to conduct
investigations and determine the eligibility of any Applicant in accordance
with this Act and the Regulations. The Commission shall also have the
power to limit, revoke, terminate, condition, suspend, or restrict any
license and to reprimand, warn or fine a Licensee for violations of this Act
or the Regulations.

‘Rulemaking Authority. The Commission shall have the power to

promulgate. Regulations. implementing, interpreting and otherwise in
furtherance of this Act and the purposes thereof, and shall have the power
generally to promulgate Regulations relating to gaming on the Tribe’s
Indian Lands.

(1) Standard__ Regulations. In:. promulgating Regulations, _ the
Commission shall provide, notice of the proposed regulation
(‘Proposed Rule,Notice”) as set forth below.

(a) The Proposed Rule Notice shall describe the general nature
of the proposed regulation and advise how comments on
the proposed action will be received by the Commission.

9 4757513_8


SNOQUALMIE INDIAN TRIBE
RESOLUTION #12 -2015

Resolution Repealing the Snoqualmie Indian Tribe (2002) Gaming Act and Approving and
Adopting the Snoqualmie Indian Tribe Tribal (2015) Gaming Act
CERTIFICATION

Voted on this 22nd day of January, 2015 in Snoqualmie, WA at a duly called meeting of the Snoqualmie
Tribal Council with a quorum present and voting:

For 8 __, Against__0__, Abstaining_0_.

NAL
Carolyn Lubgnay/ Chairwoman

Page 2 of 2


10.

11.

and are in the public interest. The processes for registration and exemption shall
be more fully set forth in Regulations.

Facility License

10.01

10.02

Requirement of Licensure. The Commission is responsible for issuing Facility
Licenses to each place, facility or location on the Tribe’s Indian Lands where
Class II or Class III] Gaming is conducted. Each Gaming Facility must hold a
license. A Gaming Facility shall be constructed, maintained, and operated in a
manner that adequately protects the environment and the health and safety of the
public. The Commission shall identify the environmental, health and public
safety standards with which the Gaming Facility must comply, and specify the
form, conditions and content of a Facility License application.

License Not Guaranteed. The Commission shall issue a Facility License only if
the application includes the required information and documentation, and
sufficiently satisfies any additional conditions deemed necessary by the
Commission.

Licenses for Key Employees and Primary Management Officials

11.01

Application Forms.

A. Application Form, Every individual seeking employment as a Key
Employee or Primary Management Official shall submit an application for
licensure on such forms or in such manner as the Commission may
require.

B. Privacy Act Notice. The following notice shall be placed on the license
application form for a Key Employee or a Primary Management Official
before that form is filled out by any Applicant:

In compliance with the Privacy Act of 1974, the following
information is provided: Solicitation of the information on
this form is authorized by 25 U.S.C. §§ 2701 et seq. The
purpose of the requested information is to, determine the
eligibility of individuals to be granted. a.gaming license.
The information will be used by the Tribal gaming
regulatory authorities and-by the: National Indian Gaming
Commission members and staff. who have need for the
information in the performance of their official duties. The
information may be disclosed by. the Tribe or the NIGC to
appropriate Federal, Tribal, State, local, or foreign law
enforcement-and regulatory agencies when relevant-to civil,
criminal or regulatory: investigations or prosecutions or
‘when pursuant toa ‘requirement by a ttibe or the NIGC in
connection with the issuance, denial, or revocation of a
gaming license, or investigations of activities while

18 4757513_8


SNOQUALMIE INDIAN TRIBE
RESOLUTION #12 -2015

Resolution Repealing the Snoqualmie Indian Tribe (2002) Gaming Act and Approving and
Adopting the Snoqualmie Indian Tribe Tribal (2015) Gaming Act

WHEREAS, the Snoqualmie Indian Tribe is the sovereign entity recognized as a signatory Tribe
to the Point Elliot Treaty of 1855; and

WHEREAS, the Snoqualmie Tribal Council is the governing body of the Snoqualmie Indian
Tribe by authority of its Constitution; and

WHEREAS, the Snoqualmie Tribal Council is the duly elected council of the General
Membership and is responsible for the protection of the health, safety, and welfare of the
members of the Snoqualmie Indian Tribe; and

WHEREAS, the Snoqualmie Tribal Council previously adopted Tribal Council Act 3-02, Act
Related to Gaming, Snoqualmie Gaming Act (“2002 Gaming Act”) to govern gaming activities
taking place on the Tribe’s Indian lands; and

WHEREAS, the Snoqualmie Tribal Council desires to adopt a new Gaming Act which shall
supersede the (2002) Gaming Act, and all amendments thereto; and

WHEREAS, the Snoqualmie Tribal Council has reviewed the Snoqualmie Gaming Act attached
at Exhibit A and upon recommendation from the Snoqualmie Gaming Commission desires that it
shall become effective upon approval by the Chairman of the National Indian Gaming
Commission; and

NOW, THEREFORE BE IT RESOLVED, the Snoqualmie Tribal Council repeals the (2002)
Gaming Act and all tribal gaming ordinances and amendments thereto currently in effect, such
repeal being effective only upon receipt of the approval of the attached Snoqualmie (2015)
Gaming Act by the Chairman of the National Indian Gaming Commission; and

NOW, THEREFORE BE IT FURTHER RESOLVED, the Snoqualmie Tribal Council adopts
and approves the Snoqualmie (2015) Gaming Act attached hereto as Exhibit A, to be effective
only upon receipt of the approval of the Snoqualmie (2015) Gaming Act by the Chairman of the
National Indian Gaming Commission; and

NOW, THEREFORE BE IT FINALLY RESOLVED, that the Snoqualmie Tribal Council hereby
directs the Chairperson to submit the Snoqualmie (2015) Gaming Act to the Chairman of the
National Indian Gaming Commission for review and approval, and to take all such action that is
necessary to make the Snoqualmie Gaming Act attached at Exhibit A effective pursuant to
federal law and directs the Tribal Secretary to codify the same upon receipt of the approval of the
Snoqualmie (2015) Gaming Act by the Chairman of the National Indian Gaming Commission.

Page 1 of 2


12.04

12.05

12.06

detailed report by all staff involved to their supervisors, or, in the case of the
CEO, to the Commission.

Impact On Game Play. In the event of a dispute by a Patron that cannot be
resolved by ordinary means by Gaming Operation staff as to the outcome, prize,
wager made, or any other aspect of the Patron’s participation in a game being
played, all relevant data shall be immediately collected, including, but not limited
to, all meter readings, memory records, surveillance tapes, and any other reports
or information regarding the play in dispute. Following the collection of all
relevant data, the Commission shall be notified and requested to (a) make an
evaluation of whether or not the dispute involves the integrity of the hardware or
software being used and (b) try and resolve the dispute. The CEO shall send a
report of disputes to the Commission, and the Commission shall maintain records
of those disputes.

Commission Decisions. All disputes which are submitted to the Commission
shall be decided by the Commission based on information provided by the Patron,
any witnesses or documents provided by the Patron, the CEO, and any other
person who has relevant information to provide. The Commission’s decision
shall be issued within sixty (60) days of submission, shall be in writing, shall be
based on the facts surrounding the dispute, and shall set forth the reasons for the
decision.

Appeal To Snoqualmie Tribal Court.

A. Tribal Court Review. If the complainant Patron is dissatisfied with the
decision issued by the Commission, he or she may appeal to the
Snoqualmie Tribal Court within thirty (30) days of the issuance of the
written decision from the Commission. The appeal ‘shall be only on the
record and shall not be heard de novo. If the Court finds that the decision
of the Commission was issued arbitrarily and capriciously, clearly
erroneously, ‘or in violation of ‘the Tribe’s Constitution or the

‘constitutional rights of Indians established under the Indian Civil Rights
Act, 25 U.S.C. §§ 1301-1303, made upon unlawful procedure or some
other cleat’ error of law, the Snoqualmie Tribal Court shall vacate and
remand the decision to the Commission to take action consistent with the
Snoqualmie Tribal Court’s determination, Otherwise, the decision of the
Commission shall be upheld unless further appeal is permitted pursuant to
Tribal law. '

Tribal Court ‘Jurisdiction. The Tribal Court shall have exclusive jurisdiction in
Patron actions arising pursuant to and permitted by this Section 12 and the
Commission shall be bound by and take action consistent with the Tribal

_ Court’s determination. . To the extent necessary to. ensure the Tribal
_ Court’s jurisdiction over Patron actions arising pursuant to and permitted
by this Section 12, the approval of this provision, as authorized by Tribal
Council Resolution #x, shall constitute a limited, irrevocable waiver of

26 4757513_8


11.03

11.04

11.05

D. Compliance with NIGC Standards. The Commission shall amend the
application and investigation procedure for a Gaming License in the event
that the Commission receives notice that the application and investigation
procedure must be modified to conform to the standards of the NIGC.

E. Additional Procedures. The Commission may promulgate such practices,
procedures and Regulations as it determines are necessary and appropriate
to satisfy its background investigation obligations.

Eligibility Determination.

A. Before a license is issued to a Primary Management Official or Key
Employee, the Commission shall make a finding concerning the eligibility
of that person for receiving a gaming license by reviewing the Applicant’s
prior activities, criminal record, if any, and reputation, habits and
associations.

B. If the Commission, in applying the standards adopted in this Act,
determines that licensing the person poses a threat to the public interest or
to the effective regulation of gaming, or creates or enhances the dangers of
unsuitable, unfair or illegal practices, methods and/or activities in the
conduct of gaming, the Commission shall not license that person in a Key
Employee or Primary Management Official position.

(er Copies of the eligibility determination shall be included with the notice of
results that must be submitted ‘to the NIGC before a Primary Management
Official or Key Employee may be licensed.

Temporary Licensure. All Key Employees and Primary Management Officials
of the Gaming Operation must have a gaming license. An Applicant who has
submitted an application as a Key Employee or Primary Management Official
may be given a temporary license for a period of ninety (90) calendar days by the
Executive Director. The Executive Director may issue a temporary license upon a
determination that the application is complete and, if true, would allow the
Applicant to receive a license. No Key Employee or Primary Management
Official shall continue. to be employed if that Key Employee or Primary
Management Official does not have a license within ninety (90) calendar days
from the start of employment.

Investigative Reports. Pursuant to the procedures set forth herein, the
Commission shall create and maintain an investigative report for each background
investigation of a Key Employee or Primary Management Official. An
investigative report shall include all of the following information:

A. _ Steps taken in ‘conducting the background investigation;

B. The results obtaitied from thé background investigation;

21 4757513_8


3.27

3.28

3.29
3.30

3.31

Regulation. “Regulation” means a regulation of the Commission promulgated
pursuant to this Act.

Snoqualmie Tribal Court. “Snoqualmie Tribal Court” means the court
designated by the Tribe as the Snoqualmie Tribal Court.

Tribal. “Tribal” means of or pertaining to the Tribe.

Tribal Lottery System. “Tribal Lottery System” means the lottery system
operated by the Tribe pursuant to the Compact.

Tribe. “Tribe” means the Snoqualmie Tribe.

4, Compact.

The Compact shall be deemed to be incorporated herein, and in the event of any conflict
between a provision of this Act and a provision of the Compact, the provision set forth in the
Compact shall be controlling, except in the event that the provision set forth herein or in any
Regulation is more stringent. The adoption of the Compact and incorporation herein shall under
no circumstances be deemed to affect the operation by the Tribe of any Class II Gaming, or to
confer upon the State any jurisdiction over Class II Gaming conducted by the Tribe.

5. Ownership of Gaming

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of
any Gaming Operation authorized by this Act.

6. Use of Net Revenues

6.01

6.02 -

Permitted Uses. Net Revenues from Tribal Gaming Activities shall be used only
for the following purposes: (i) to fund Tribal government operations and
programs, (ii) to provide for general welfare of the Tribe and its members, (iii) to
promote Tribal economic development, (iv) to donate to charitable organizations,
or (v) to help fund operations of local government agencies.

Per Capita Payments Require Federal Approval. If the Tribe elects to make
per capita payments, it shall authorize such payments only pursuant to a revenue
allocation plan approved by the Secretary of the Interior under § 2710(b)(3) of
IGRA.

7. Snoqualmie Gaming Commission

7.01

7.02

Establishment of the: Commission. |The Tribe: hereby establishes the
Commission as an independent ee subdivision of the Tribe.

Governmental Attributes of 1 e Commission. The Commission, as a political
subdivision of the Tribe,, possesses all, the rights, privileges and immunities of the
Tribe, including, without limitation, sovereign immunity.from suit absent express

5 4757513_8


7.08

7.09

() Js ineligible pursuant to Section 7.07(B);

(2) Has knowingly and willfully provided materially important false
statements or information or omitted materially important
information on his or her background questionnaire; or

(3) Has been determined to be a person whose prior activities, criminal
record, if any, or reputation, habits, and associations pose a threat
to the public interest or to the effective regulation and control of
gaming, or create or enhance the dangers of unsuitable, unfair, or
illegal practices, methods, or activities in the conduct of gaming or
the carrying on of the business and financial arrangements
incidental thereto.

Removal for Cause. A Commissioner may be removed from the position of
Commissioner for the following reasons:

A. Gross Neglect of Duty. This includes substantial or repeated failure to
exercise authority or discharge responsibilities as required by Applicable
Law.

B. Misconduct. This includes (i) a conviction or a plea of guilty or no contest
to any felony, or to a misdemeanor involving dishonesty, (ii) a substantial
violation of a Regulation; (iii) a knowing violation of applicable Tribal
law that expressly assigns duties or responsibilities to the Commission; or
(iv) misconduct in office that threatens the integrity of the Commission or
creates an appearance of impropriety of a Commissioner.

(on Failure _to Attend Commission Meetings. Failure to attend four (4)
consecutive regularly scheduled meetings of the Commission, or failure to
attend six (6) regularly scheduled meetings in a twelve (12) month period.

D. Ineligibility. The Commissioner becomes ineligible pursuant to Section
7.07(B) or 7.07(D).

Removal of a Commissioner. If the Tribal Council has reason to believe that
cause for removal of a Commissioner exists, the’ Tribal Council shall cause an
investigation to be conducted. If, in the Tribal Council’s determination, the
investigation confirms the existence of cause for removal, the Tribal Council shall
notify the Commissioner of the time and place for a hearing before Tribal
Council, which describes the purpose of the hearing and all claims and allegations
to be addressed in the hearing. The Commissioner shall be afforded reasonable
notice of the hearing and given the right to be heard at the hearing. The Tribal
Council may only remove a Commissioner upon a finding of clear and convincing
evidence that cause for remoyal the Commissioner exists.

8 4757513_8