NIGC, the State Gaming Agency, or other agencies as may be required by Tribal, federal or
State law or the Compact.

(A) License fees and costs. All license Applicants shall pay to the TGA a non-
refundable fee, in the amount set forth in Gaming Regulations, or fee schedule
approved by the TGC and Board pursuant to the Gaming Regulations. Unless
specifically waived by the TGA, all persons applying for a license shall be required to
pay all applicable license fees and costs when due, including a reasonable deposit for
costs that may be incurred in connection with the license application. Estimates of
licensing costs will be provided to Applicants upon reasonable request. All fees and
costs must be received by the TGA prior to issuance of the license, unless the Tribe or
the Gaming Operation has agreed to reimburse the TGA directly for all or part of such
fees and costs.

(x) Background Investigations.
(A) The TGA shall request frem-eaeh Primary Management Official, Key Employees,
dLany other Applicant fora Category Ai all information required by NIGC
regulations and the TGC, as more fully set forth in TGC regulations for:

(a) Primary Management Officials.

(b) Key Employees, and

(c) Any Applicant for a Category A license.

(B) The TGA shall conduct or cause to be conducted, an investigation sufficient to
make a determination of eligibility as required under this Ordinance and NIGC
regulations.

(C) The TGA inspector conducting the background investigation on behalf of the TGA
shall create an investigative report noting the steps taken, information gained, potential
problem areas, and disqualifying information, conclusions reached and basis thereof.
The report shall be reviewed by the Director or the Director's designee. The TGA, TGC
and TGA inspectors shall keep confidential the identity of each person interviewed in
the course of an investigation, other than disclosure as required under Tribal, federal or
State law.

(D) Fingerprints shall be taken by the trained personnel of the TGA. Fingerprints will
then be forwarded by the Director to the NIGC and to the State Gaming Agency, if
applicable, consistent with all applicable laws and the Compact. Fingerprints shall be
processed through the FBI and/or other available State sources as applicable to
determine the Applicant's criminal history, if any.

NOW THEREFORE BE IT FUTHER RESOLVED that the Tulalip Gaming Ordinance No. 55 Gaming
Regulation 6.030 (d) is hereby amended as presented (additions indicated by underlines, deletions indicated

by strikeouts).

d. Gaming Key Employees and Primary Management Officials shall be required to submit additional
information as provided for in these Gaming Regulations for Category A Licenses. All other
employees shall submit a short form licensing application for Category B Licenses.

ADOPTED by the Board of Directors of the Tulalip Tribes of Washington at a regular meeting assembled on


(viii)

(C) Category B License. Persons who are not among those identified in subsection (B)
above, but are to be employed at a Gaming Facility on Tulalip Tribal Lands in another
non-gaming capacity, shall be required to obtain a Category B license from the TGA.
Such persons shall complete a short form Category B application. A Category B license
may be denied if the TGA finds that the Applicant has been convicted of a felony or
crimes involving dishonesty, or is engaged in any activity which the TGA deems would
render such person a danger to the safety and security of the Tribe, property of the
Tribe, any Gaming employee or patron, or the public.

Those who do not meet the required qualifications shall be denied a Category B license,

or the license if issued, may be revoked. Non-gaming Key Employees shall be required
to submit to both tribal licensing requirements and NIGC licensing requirements.

(D) Gaming Vendor License. Vendors of goods and services directly related to Class
II & III Gaming and non-exempt Gaming financiers must meet all Tribal licensing and
State Certification and suitability requirements. Gaming vendor licensing requirements
may be more fully set forth in TGC regulations. The Gaming vendor license must be
renewed annually. The Tribe shall not enter into, or continue to make payments
pursuant to, any contract or agreement that would require licensing if the Gaming
vendor has been denied a license or is deemed unsuitable, or the license or suitability
determination has expired without renewal.

(E) Gaming Vendor License Exemptions for Gaming Financiers. Third party

financing extended or guaranteed for the Class II or Class III operation and facility by
an agency of the United States, a member institution of the FDIC, or an institution
regulated by the Comptroller of the Currency are exempt from licensing requirements.

(F) Non-Gaming Vendor License. Vendors who are deemed not to be Gaming
vendors and who provide only non-Gaming Goods and Related Services to the TGO
shall, unless exempt, complete a short form application.

(G) Non-Gaming Vendors Licensing Exemptions. The following categories of

vendors are exempt from licensing requirements: (1) non-Gaming vendors supplying
less than $25,000 in goods or services annually, (2) vendors supplying only accounting
or legal services, and (3) non-Gaming vendors supplying only food, beverage, gift
shop, advertising, promotional, entertainment or marketing goods and services.

(H) State Lottery Retailers. All State lottery retailers shall complete a short form
application.

(1) Temporary Licenses. Pending completion of an investigation for a license, the
Tribal Gaming Agency may issue a temporary license.

(J) Conditional Licenses. Licenses that contain conditions those are necessary for an
individual to qualify for a license.

License Renewal. All licenses, other than temporary licenses, shall be subject to renewal

annually. Licenses may be suspended or revoked upon the occurrence of any act which, if
known during the application process, would have disqualified such person or Entity for such a
license.

(ix) License Investigations. The TGA may employ all reasonable means, including engaging
outside services and investigators to acquire the information necessary to determine whether or

nota

license should be issued. Applicants shall agree to release all information necessary in

order for the TGA to achieve its goals under this section and to furnish such information to the


the 2) of. Det be l , 2007, with a quorum present, by a vote of —(D_for and O

against.

THE TULALIP TRIBES OF WASHINGTON

Melvin R. Sheldon, Jr., Chairman
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Marlin Fryberg, Secretary~ ~~ 7

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December 17, 2007 Ne comm”?

Via U.S. Mail and Facsimile

Melvin Sheldon, Jr., Chairman

Tulalip Tribes of the Tulalip Reservation
6700 Totem Beach Road

Tulalip, WA 98271

Fax: (360) 651-4032

RE: Amendment to Tulalip Gaming Ordinance No. 55
Dear Chairman Sheldon:

By letter dated October 29, 2007, the Bureau of Indian Affairs, Northwest Regional
Office, requested that the National Indian Gaming Commission’s (NIGC) Chairman
review and approve the Tulalip Tribes’ amendment to the Tulalip Gaming Ordinance No.
55 (Gaming Ordinance). The Tribes amended the Gaming Ordinance on October 5,
2007, via Resolution No. 2007-267 and received approval from the Superintendent for
the Bureau of Indian Affairs. In this amendment, the Tribes separate gaming key
employees from non-gaming key employees. Non-gaming key employees will not need
state certification under the compact but will need to comply with all NIGC and tribal
licensing regulations.

This letter constitutes approval of the amendment because nothing therein conflicts with
the requirements of the Indian Gaming Regulatory Act (IGRA) and the Commission’s
regulations.

Thank you for submitting the amendment for review and approval. If you have any
questions, please contact Staff Attorney Rebecca Chapman at (202) 632-7003.
, UY

Chairman

cc: Northwest Regional Office, Bureau of Indian Affairs, U.S. Department of the Interior

NATIONAL HEADQUARTERS 1447 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV

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


THE TULALIP TRIBES
Amendment to Ordinance 55 — Tulalip Gaming Ordinance
Resolution No.2007-_2(«'7

Amending the Tulalip Gaming Ordinance No. 55 Section 4(b) and Gaming Regulation 6.030(d).

WHEREAS the Board of Directors is the governing body of the Tulalip Tribes under the Constitution and
Bylaws of the Tribe approved by the United States Commissioner of Indian Affairs and the Secretary of the
Interior on January 24, 1936, pursuant to the Act of June 18, 1934 (48 Stat. 984, 25 U.S.C. §476); and

WHEREAS, pursuant to Art. VI. Section 1.F, the Board of Directors possesses the authority to manage all
economic affairs and enterprises of the Tulalip Reservation; and

WHEREAS, pursuant to Art. VI. Section 1.R, the Board of Directors possesses the authority to adopt
resolutions regulating the procedure of tribal agencies; and

WHEREAS, Tulalip Gaming Ordinance No. 55 currently requires all “Key Employees” to obtain Class III
state certification from the Washington State Gambling Commission; and

WHEREAS, the Indian Gaming Regulatory Act only requires tribal and NIGC certification and licensing for
Key Employees; and

WHEREAS, the Tulalip Tribes — Washington State Gaming Compact Section 4(b) only requires every
gaming employee to be licensed by the Tribal Gaming Agency and be certified by the State; and

WHEREAS, the Indian Gaming Regulatory Act defines “Key Employees” as an employee whose total cash
compensation is in excess of $50,000 per year (25 C.F.R. 501.14(b); and

WHEREAS, the majority of the Tulalip Gaming Organization’s employees earn in total cash compensation
over $50,000 per year; and

NOW THEREFORE BE IT RESOLVED that the Tulalip Gaming Ordinance No. 55 Section 4(b) is hereby
amended as presented (additions indicated by underlines, deletions indicated by strikeouts).

1. Licenses

(i) Licensing Program Overview. The Tribe's Gaming licensing program shall be
administered through the TGA. The program shall be an investigative licensing process under
which all Applicants for Class II and Class III Gaming licenses are evaluated against the
standards set forth in, and subject to the requirements of this Ordinance, all Gaming
Regulations promulgated hereunder, IGRA, NIGC regulations, Compact requirements, and any
other applicable Tribal, federal, or State laws.

(ii) Licensing Requirements. An annual Tribal Gaming license is required for:

(A) Each Class III Gaming Facility and Gaming Operation located on Tulalip Tribal
Lands;


(B) Each Class II Gaming Facility and Gaming Operation located on Tulalip Tribal
Lands;

(C) Each State lottery retailer located on Tulalip Tribal Lands;

(D) Each employee of a Class II or Class III Gaming Operation, the Director and all
TGA employees;

(E) Each Gaming vendor;
(F) Each non-exempt, non-Gaming vendor;
(G) Each non-exempt Gaming financer.

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

(iv) Applicant Claim of Privileges. 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, suspensién or revocation.

(v) Release of Information. Any persons applying for a license shall agree to release all
information necessary in order for the TGA, NIGC and the State Gaming Agency to complete
their suitability determination. Applicants must update all such information promptly on an on-
going basis.

(vi) Gaming license confers no property right. A Tribal Gaming license is a revocable

privilege, and no licensee shall have any vested or property right in a Tribal Gaming license. A
Tribal Gaming license is personal to the licensee, and may not be assigned or transferred.

(vii) Types of Licenses.
(A) Gaming Facility and Gaming Operation License. A single license for each Class

II or Class III Gaming Facility operating on Tulalip Tribal Lands.

(B) Category A License. Any Primary Management Official, Gaming Key Employee,
or closely associated independent contractor with influence over the management of the
Gaming Operation shall obtain a C ategory A license. The TGA shall conduct or cause
to be conducted a background investigation to determine if such person has:

1) Any criminal record or any reputation, prior activities, habits or associations
which might pose a threat to the public interest or to the effective regulation of
Gaming.

2) Anything else in his/her background that might create or enhance the dangers
of unsuitable, unfair, or illegal practices, methods and activities in the conduct
of Gaming.

Additional procedures for Category A licensing application and background
investigations shall be set forth by regulation. Those who do not meet the
required qualifications shall be denied a Category A license, or the license if
issued, may be revoked