20.01.11 Annual Audit

(a) Submission to NIGC. The Tribe shall cause an annual outside independent
Annual Audit of gaming operations to be conducted, and shall submit the
resulting audit reports to the National Indian Gaming Commission (NIGC)
not later than 120 days after the close of the Tribe's fiscal year.

(b) Contracts Included. All gaming related contracts that result in the
purchase of supplies, services, or concessions in excess of $25,000.00
annually, except contracts for professional legal and accounting services,
shall be included within the scope of the Annual Audit.

20.01.12__Environment and Public Health and Safety

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

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

20.01.13 Patron Dispute Resolution

Patrons who have complaints against the gaming establishment shall have as
their sole remedy the right to file a petition for relief with the Commission.
Complaints shall be submitted in writing, and at the discretion of the
Commission, the petitioner may be allowed to present evidence. The
Commission shall hold a hearing within 30 days of receipt of petitioner's
complaint. Petitioner may have counsel present at such hearing. The petitioner
may be allowed to present evidence, at the discretion of the Commission. The
Commission shall render a decision in a timely fashion and all such decisions
will be final when issued. Any patron complaint must be submitted to the
Commission within thirty (30) days of the incident giving rise to the complaint.
All claims by patrons shall be limited to a maximum recovery of $750.00 per
occurrence, and a cumulative limit of $1,500.00 per patron in any twelve (12)
month period, except disputes relating to a patron’s entitlement to a game prize,
which shall be limited to the amount of such prize. The Commission's decision
shall constitute the complainant's final remedy.

20.01.14 Tribal Internal Control Standards

The Tribe shall adopt and implement Internal Control Standards (ICS) for the
operation of its Tribal gaming operation in accordance with applicable law. The
Tribe's ICS shall be set out in separate regulations to be reviewed and approved
by the Commission.

Amended 11/23/15 17


(f) Duties, The Commission shall:

(1)

2)
(G)
(4)

6)

(6)

”

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

Amended 11/23/15

Conduct or cause background investigations to be conducted on, at a
minimum, primary management officials and key employees and
vendors who are paid more than $25,000 in any calendar year for
goods or services provided to the gaming operation;

Review and approve all investigative work conducted;
Report results of background investigations to the NIGC;

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

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

Issue gaming licenses to management officials, key employees of the
operation, and vendors, consistent with the suitability determination;

Require all licensed employees to wear identification cards in plain
view while working in the gaming facilities;

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, Federal and applicable State laws,
rules, and regulations regarding Indian gaming;

Investigate any suspicion of wrongdoing associated with any gaming
activities;

Hold hearings on patron complaints, in compliance with procedures
established in this ordinance and other Tribal gaming regulations;

Comply with any and all reporting requirements under the IGRA, the
Compact, and any other applicable law;

Promulgate and issue regulations necessary to comply with
applicable internal control standards;

11


(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, ever as of the date of the application, the charge, the name
and address of the court involved, and the date and disposition if any;

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

(10) For each criminal charge (excluding minor traffic charges), whether
or not there is a conviction (including both juvenile and adult
infractions), 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, 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) Two current photographs;

(13) Fingerprints obtained in accordance with procedures adopted by the
Tribe pursuant to 25 C.F.R. §522.2(h);

(14) A complete credit history; and
(15) Any other information the Tribe or the Commission deems relevant.

(©) Application on file, When a primary management official or key employee
is employed by the Tribe, a complete application file, containing all of the
information listed in Section 20.01.22(b), shall be maintained.

20.01.23 Procedures for Conducting a Background Check on Applicants

(a) Investigation. As part of its review procedure, the Commission or its agent
shall conduct a background investigation on each applicant sufficient to
allow the Commission to make an eligibility determination under Section
20.01.24. The investigation shall:

Amended 11/23/15 21


20.01.34
20.01.35
20.01.36
20.01.37

20.01.38
20.01.39

Vendor Background Investigation ..
Vendor License Fee .
Suspension or Revocation of a Vendor License........:sssssessssecssseeeeen 30
Exemption for Vendors Licensed by Recognized Regulatory

Authorities
Licenses for Non-Gaming Vendors..
Repeal wcscsssssssssccssssssssvsesssesessssssseecsececesssensssssuuassesssseeesssssnsscssersnveseseessean 31

Amended 11/23/15


20.01.15 Agent for Service of Process

The Tribe hereby designates the Executive Director of the Tribe as agent for
service of any official determination, order or notice of violation. The Executive
Director of the Tribe may be contacted at:

Port Gamble S’Klallam Tribe
31912 Little Boston Road N.E.
Kingston, Washington 98346

20.01.16 Compliance with Federal Law

The Tribe will comply with all applicable federal law, including the Bank
Secrecy Act, 31 U.S.C. § 5311 et seq.

20.01.17 __ Facility Licenses

(a) Separate Licenses. The Commission shall issue a separate license annually
to each place, facility, or location on Indian lands where class II and/or
class III gaming is conducted under this ordinance.

(b) Application and Standards. The 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, a certification that said premises constitute “Indian lands”
as specified in the IGRA, and the initial application shall identify the
environmental, health, and public safety standards with which the facility
must comply and shall include a certification that the facility is in
compliance with such standards. Each subsequent application for the
renewal of such facility license shall identify any changes or additions to
the legal description and applicable environmental, health, and safety
standards and include current certifications of compliance with all such
standards. The Commission shall only issue such licenses if the
applications include the required information and certifications and such
further conditions as the Commission shall have specified. In the event
that the Commission determines that a facility license should be denied,
the Board of Directors will have thirty (30) days to cure the deficiencies
that gave rise to the denial of a license.

20.01.18 Licenses for Key Employees and Primary Management Officials

The Tribe shall ensure that the policies and procedures set out in this section are
implemented with respect to key employees and primary management officials
employed at any gaming enterprise operated on Indian lands. The Tribe will
issue licenses annually and perform background investigations according to

Amended 11/23/15 18


(b)

©

(d) every felony offense of which the applicant has been convicted or
any ongoing prosecution; and
(4) A copy of the eligibility determination made in accordance with
Section 20.01.24.

Time for Filing. The Commission shall forward the notice to the National
Indian Gaming Commission no later than 60 days after the applicant
begins working for the Tribe.

Eligibility Determination. The Commission shall submit, with the
investigative report, a copy of the eligibility determination, unless the
NIGC shall have advised the Tribe that the submission of the eligibility
determination is not necessary. This determination shall include the
following Statements: 1) a Statement describing how the information
submitted by the applicant was verified; 2) a Statement of results
following an inquiry into the applicant's prior activities, criminal record,
if any, and reputation, habits, and associations; 3) 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 Commission to make a
finding concerning the eligibility for licensing required for employment
in a gaming operation; and 4) a Statement documenting the disposition of
all potential problem areas noted and disqualifying information obtained.

20.01.27__Granting a Gaming License

All primary management officials and key employees of the gaming operation
must have a gaming license issued by the Commission. The Commission is
responsible for granting and issuing gaming licenses to primary management
officials and key employees.

(a)

(b)

Issuance of License. After receiving the fingerprint processing results, the
Commission shall have 60 days to send the notification of results to the
NIGC. The Commission may issue a temporary license to a primary
management official or key employee applicant after submitting a
notification of results of the applicant’s background investigation to the
NIGC, as required by Section 20.01.26.

The NIGC’s notification to the Tribe that it has no objection to the issuance
of a license for a primary management official or a key employee is due
within 30 days of the NIGC receiving the Commission’s notification of
results. Once the Tribe receives notification from the NIGC, the
Commission, acting for the Tribe, may issue a license with no restrictions.

NIGC Request for Information. The Commission shall respond to a request
for additional information from the Chairman of the National Indian

Amended 11/23/15 24


Q)

Sign a statement that contains the Privacy Act and false statement
notices and consent to the routine uses described in that notice.

20.01.20 License Fees

The Tribe may charge a license fee, to be set by the Commission, to cover its
expenses in investigating and licensing Key Employees and Primary
Management Officials of the gaming operation.

20.01.21 Fingerprints

Each applicant for a primary management official or a key employee shall be
required to have fingerprints taken as part of the license application procedure.
The Commission will take, or will establish procedures for a designee to take,
fingerprints. The Commission will then forward fingerprints to the NIGC for
processing through the FBI and the National Crime Information Center (NCIC)
to determine the applicant's criminal history, if any.

20.01.22 Background Investigations and Suitability Determinations

(a) Responsibility. The Tribe shall perform a background investigation for
each primary management official and key employee in its gaming
operation. The Commission is responsible for conducting background
investigations and suitability determinations.

(b) Required Information. The Commission shall obtain from each primary
management official and from each key employee all of the following
information:

Q)

(2)

@)

(4)

6)

Amended 11/23/15

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

Currently and for the previous 10 years: business and employment
positions held, ownership interests in those businesses, business and
residence addresses, and drivers license numbers;

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;

Current business and residence telephone numbers, and all cell
phone numbers;

A description of any existing and previous business relationships
with Indian tribes, including ownership interests in those businesses;
20


Such persons shall:

(1)

(2)

@)

(4)

(5)
(6)

(”)

@)

()

(10)

Not hold financial interests that conflict with the conscientious
performance of their duties as managers and regulators (Per capita
distributions, if any, are not to be considered such financial interests);

Not engage in financial transactions using nonpublic information or
allow the improper use of such information by others to further any
private interest;

Not solicit or accept any gift or other item of monetary value,
including complimentary items or services (see Section 20.01.09),
from any person or entity seeking official action or inaction from,
doing business with, or conducting activities overseen, managed or
regulated by such person's organization, or whose interests may be
substantially affected by the performance or nonperformance of such
person's duties;

Make no unauthorized commitments or promises of any kind
purporting to bind the Tribe, Noo-Kayet Development Corporation
or any subsidiaries thereof;

Not use their positions for private gain;

Act impartially, in accordance with all relevant Tribal, Federal and
applicable State laws, and shall not give preferential treatment to any
private organization or individual, including to any persons in their
immediate families;

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;

Not engage in outside employment or activities, including seeking or
negotiating for future employment, which conflict with their official
duties and responsibilities;

Disclose waste, fraud, abuse, and corruption to appropriate
authorities;

Endeavor to avoid any actions creating the appearance that they are
violating the law or the ethical standards listed herein;

(11) Disclose any real or apparent financial or personal conflicts of interest;

Amended 11/23/15

if there is a real conflict or the appearance of one, such person shall
not take part in any discussion of or decision related to the conflict of

interest.
b


(v) Noo-Kayet Development Corporation means the Noo-Kayet Development
Corporation, a federally-chartered corporation established under 25 U.S.C.

§ 477 and wholly-owned by the Tribe.

(x) Primary Management Official means

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

(2) any person who has authority:
(A) _ tohire and fire employees; or
(B) to set up working policy for the gaming operation; or

(C) _ the Casino chief financial officer or other person who has
financial management responsibility.

(y) State means the State of Washington.

(z) Tribe means the Port Gamble S’Klallam Tribe.
20.01.03 Gaming Authorized

Class II and Class III gaming are hereby authorized.

20.01.04 __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, which interest
and responsibility may be held by and through Noo-Kayet Development
Corporation unless and until such interest and responsibility may be
transferred to a subsidiary of Noo-Kayet Development Corporation.

20.01.05 Use of Gaming Revenue
Net Revenues from tribal gaming shall be used only for the following purposes:
(a) _ to fund tribal government operations and programs;
(b) to provide for the general welfare of the Tribe and its members;
(c) to promote tribal economic development;
(d) to donate to charitable organizations; or

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

Amended 11/23/15 7


(b) Report. The staff of the Commission 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 Commission.

20.01.35 __Vendor License Fee

The Tribe 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.

20.01.36 Suspension or Revocation of a Vendor License

(a) Notice from the NIGC or the State, If, after the issuance of a vendor license,
the Commission receives from the National Indian Gaming Commission,
the State, or any other credible source reliable information indicating that a
vendor is not eligible for a license, the Commission shall suspend such
license and shall provide the licensee with written notification of the
suspension and the proposed revocation, including any fines that may be
levied.

(b) Revocation Hearing. The Commission shall notify the licensee of a time
and a place for a hearing on the proposed revocation of a license. The
licensee may be represented by legal counsel at the licensee’s own expense
at any revocation hearing.

(c) Notice of Decision. After a revocation hearing, the Commission shall
decide whether to revoke or. to reinstate a gaming license. If the
Commission determines that the licensee 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 and methods and
activities in the conduct of gaming, then the Commission shall revoke the
license. The Commission shall notify the National Indian Gaming
Commission and the State of its determination on each license.

(d) Determinations Final. All revocation determinations are final and shall not
be reviewed or reconsidered unless the Commission determines that it did
not have all of the relevant evidence when it reached a determination on a
license.

20.01.37__Exemption for Vendors Licensed by Recognized Regulatory Authorities

The Commission may adopt regulations naming specific licensing authorities
that it recognizes and may authorize exemptions to the vendor licensing
process for vendors that have received a license from one of the named
regulatory authorities.

Amended 11/23/15 30


Retention of Applications and Records. With respect to all employees, the
Commission shall retain applications for employment and for reports (if any) of

background investigations for no less than three (3) years from the date of
termination of employment. For primary management officials and key
employees, the Commission shall retain applications for employment and for
licensing, investigative reports, and eligibility determinations for no less than
three (3) years from the date of termination of employment.

20.01.31 Licenses for Vendors

(a)

()

()

Covered Vendors. Vendors of gaming services or supplies with a value of
$25,000 or more annually must have a vendor license from the
Commission issued annually pursuant to regulations established by the
Commission, in order to transact business with the Tribal gaming
operation. Contracts for professional legal and accounting services or with
federally regulated commercial lending institutions, the Port Gamble
S’Klallam Tribal government, or the federal government for are excluded
from the licensing requirements of this section.

Gaming Vendors. Gaming vendors are vendors, including the
manufacturers of gaming equipment, who provide gaming supplies and
services, including financiers and providers of cash-related services that
are not federally regulated commercial lending institutions.

Non-Gaming Vendors. Non-gaming vendors provide services that do not
have the ability to impact the integrity of the Tribal gaming operations,
such as media advertising, facility maintenance workers, linen and
laundry services, and food and beverage suppliers. The Commission shall
create a regulation detailing which vendors fall into this category and shall
maintain a register of the non-gaming vendors that it licenses. The
regulation may exempt from licensing requirements non-gaming vendors
who: 1) are Tribal, Local, State, or Federal government agencies; 2) are
regulated by the United States, the State of Washington or the Tribe; or 3)
will provide goods of insubstantial or insignificant amounts or quantities
if the Commission determines that licensing of the vendor is not necessary
to protect the public interest.

20.01.32__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 the 10 largest stockholders, and the on-site supervisor or manager
under the agreement with the Tribe, if applicable.

Amended 11/23/15 27


Q)

@)

(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 boards, tip jars, instant bingo,
and other games similar to bingo, and

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 if 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 games.

The term “class II gaming” does not include:

(A)

()

any banking card games, including baccarat, chemin de fer, or
blackjack (21), or

electronic or electromechanical facsimiles of any game of
chance or slot machines of any kind.

(g) Class III gaming means all forms of gaming that are not class I gaming or
class II gaming.

(h) Commission means the Tribal Gaming Commission established to perform
regulatory oversight and to monitor compliance with Tribal, Federal, and
applicable State regulations. The Commission is the same entity referred to
in the Compact as the Tribal Gaming Agency.

(i) Commissioner means a member of the Commission.

Gj) Compact means a Tribal-State Compact entered into and in effect by and
between the Tribe and the State concerning class III gaming approved by
the Secretary of the Interior and published in the Federal Register
pursuant to 25 U.S.C. § 2710(d).

Amended 11/23/15


TITLE 20
GAMING

20.01.01__Purpose

20.01.02

Pursuant to Article IV, Section 3.A. of the Constitution of the Port Gamble
S’Klallam Tribe, the Tribal Council is empowered to enact laws and hereby
enacts this ordinance in order to govern Class II and Class III gaming
operations on the Tribe’s Indian lands.

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. § 2701 et seq., and its regulations, 25 C.F.R. §
500 et seq. Specifically:

()

()

©)

(a)

©)

i)

Board of Directors means the Board of Directors of the Noo-Kayet
Development Corporation (or any of its subsidiaries that owns and
manages the gaming operations), which shall serve as primary
management officials in overseeing the General Manager and the non-
regulatory aspects of the gaming operations.

Bylaws means the Bylaws of Noo-Kayet Development Corporation or any
of its subsidiaries that owns and manages the gaming operations.

Charter means the Federal Charter of Incorporation of Noo-Kayet
Development Corporation or any of its subsidiaries that owns and
manages the gaming operations.

CEO means the Chief Executive Officer of the Noo-Kayet Development
Corporation or any of its subsidiaries that owns and manages the gaming
operations.

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.

Class II 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):

Amended 11/23/15 3


20.01.09 Complimentary Items

(a)

(b)

()

Regulations. The use of complimentary items shall be governed by
regulations established by the Commission.

Prohibition. No Key Employee, Primary Management Official, Tribal
Council member, Director, the CEO, Commissioner, or any person in the
immediate family of such persons, shall be authorized to receive
complimentary items other than food and beverages valued at under
twenty-five (25) dollars, or, if at a public event held at the gaming facility,
the free food and beverage offered to the public.

Budget and Limitations. 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 Board of Directors.

20.01.10 Executive Director and Staff of the Tribal Gaming Commission

()

©)

Hiring. The Commission shall select and employ an Executive Director
and staff to assist in carrying out the duties of the Commission. The
Commission shall utilize the Human Resources office of the Tribe to assist
in the selection of a Director and staff. The Executive Director and staff
shall be subject to background investigations conducted by the
Commission prior to employment consistent with the same procedures
and standards applied to primary management officials and key
employees pursuant to this Ordinance. The Executive Director and staff of
the Commission shall comply with and be subject to the Personnel Policies
and Procedures of the Tribe.

Supervision and Evaluation. The Commission shall directly supervise the
Executive Director to ensure that the Executive Director is providing the
management and supervision of the staff that is necessary for the
implementation of this Ordinance, any regulations issued by the
Commission and all applicable federal and state laws. The Commission
shall provide for an evaluation of the performance of the Executive
Director annually and shall provide for the participation of the Executive
Director of the Tribe in such annual evaluation. The annual evaluation of
the Executive Director shall be subject to the approval of a majority of the
Commission and shall be provided to the Tribal Council.

Suspension and Removal. The Commission shall have the sole authority to
suspend or remove the Executive Director of the Commission and may do
so without cause. The Commission shall utilize the Human Resources
office of the Tribe to assist in the process to ensure compliance with
Human Resources policies and procedures, including the Personnel
Policies and Procedures of the Tribe.

Amended 11/23/15 16


individual subject to restriction by the United States against
alienation and over which the Indian Tribe exercises governmental
power; and

(3) all lands acquired into trust for the benefit of the Tribe after October
17, 1988, and which meet the requirements set forth in 25 U.S.C. §
2719.

(t) 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;

() — Approver of credit; or

J) Custodian of gambling devices including persons with access
to cash and accounting records within such devices;

(2) if not otherwise included, any other pérson 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.

(u) 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.

Amended 11/23/15 6


(1) Verify the applicant's identity through items such as a social security
card, driver's 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) Obtain a Washington Judicial Information History;
(5) Conduct a civil history check;

(6) 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 or criminal charges, including convictions
or charges committed as a juvenile;

Inquire into any vious or existing business relationships with the
iq y pre 3 P'
gaming industry and Indian tribes by contacting the entities or tribes;

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

(9) Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.

(b) Report. The Commission shall create and maintain an investigative report
for each background investigation of a primary management official or
key employee. Investigative reports shall include all of the following
information: the steps taken in conducting the investigation, results
obtained, potential problem areas, conclusions reached, and the basis for
those conclusions.

(©) Confidentiality. The Commission shall keep confidential the identity of
each person interviewed in the course of the investigation, other than
disclosure as required under Federal, Tribal, or applicable State law.

20.01.24 Eligibility Determination

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 a person’s prior activities, criminal
record, if any, and reputation, habits, and associations. If the Commission, in
applying the standards adopted in this ordinance, determines that licensing and
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
Amended 11/23/15 22


4\ONAL 'No,

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gen”.
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VG com

January 19, 2016
By Facsimile and First Class Mail

Jeromy Sullivan, Chairperson
Port Gamble S’Klallam Tribe
31912 Little Boston Road NE
Kingston, Washington 98346
Fax: (360) 297-7097

Re: Port Gamble S’Klallam Tribe gaming ordinance amendments

Dear Chairperson Sullivan:

This letter responds to your request for the National Indian Gaming Commission
to review and approve an amendment to the Port Gamble S’Klallam Tribe’s gaming
ordinance, which is codified as Title 20, The Tribal Council approved Resolution No. 15-
A-162 on November 23, 2015. The gaming ordinance was amended to conform with
planned amendments to the Tribe’s federal charter and authorizes Noo-Kayet
Development Corporation, or a subsidiary, to oversee the conduct of the Tribe’s gaming

enterprise.

Thank you for bringing the amendment to my attention. The amendment is
approved as it is consistent with the Indian Gaming Regulatory Act and NIGC
regulations. If you have any questions, please feel free to contact Staff Attorney Esther

Dittler at 202-420-9229.

Sincerely,

VAI LHe-

nodev O. Chaudhuri
Chairman

Y

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; Tulsa OK; Oklahoma City, OK
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(12) Perform any other duties necessary to monitor and oversee the
gaming operation and which are consistent with the authority of the
Board of Directors as that authority is established in the Charter and
the Bylaws; and

(13) Make monthly written reports to the Tribal Council and, if a
subsidiary of Noo-Kayet Development Corporation owns and
manages the gaming operations, the Board of Directors of Noo-Kayet
Development Corporation, on the gaming operations, including a
comparison of the actual revenues and expenditures compared to the
approved budget.

Conflicts of Interest. The Tribe recognizes the importance of an
independent 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 Tribe hereby finds that, at a
minimum:

(1) Neither any Director nor the CEO may serve on the Commission;

(2) No person in the immediate family of any Director or of the CEO
may serve on the Commission;

(3) The Directors and the CEO are prohibited from gambling at the
iS
gaming operation; and

(4) The Directors and the CEO are prohibited from accepting
complimentary items from the gaming operation.

Sovereign Immunity. The sovereign immunity of the Tribe is hereby
extended to, and shall protect the Board of Directors, each Director and the
CEO from civil liability for any act, omission or statement taken or made
in the lawful performance of their duties under this ordinance except as
may be provided in the Charter.

20.01.07 Tribal Gaming Commission

(a)

(b)

Establishment. The Tribe hereby establishes a Tribal Gaming Commission
whose duty it is to regulate tribal gaming operations. The Commission
shall consist of five (5) members. There shall be among them a
Chairperson, Vice-Chairperson, a Secretary and two additional
Commissioners.

Purpose and Authority. The purpose of the Commission is regulatory, not
managerial. The Commission will conduct oversight to ensure compliance

with Tribal, Federal, and, if applicable, State laws and regulations. The

Amended 11/23/15 9


20.01.06 Board of Directors

(a) Responsibility. The Board of Directors shall serve in a management
oversight role over the General Manager and the operations at the gaming
facilities. 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 Commission.

(b) CEO. The Board of Directors may authorize the CEO to exercise any or all
of its duties and responsibilities on a day-to-day basis between meetings of
the Board of Directors.

(c) Licensing. The Directors and the CEO shall be subject to the same
background investigation requirements as key employees and primary
management officials, and must be licensed accordingly.

(d) Duties. The Board of Directors shall perform the following duties:

(1) Monitor and oversee the operations of the gaming facility, whether
managed by the General Manager or by an approved management
contractor employed pursuant to IGRA;

(2) Inspect and examine on a regular basis all financial statements, cash
flow and audit reports, books, records, and papers of the gaming
facility

(3) Set hours of operation for the gaming facility;
(4) Set wager limits;
(5) Develop and approve marketing plans;

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

(7) Oversee the interview, selection, management and training of the
General Manager of the gaming operation, subject to any limitations
set forth in the Charter and the Bylaws.

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

(9) Adopt an annual operating budget, including capital outlay and fund
allocations subject to Tribal Council approval;

(10) Adopt financial policy and internal control procedures;
(11) Enter into contracts on behalf of the gaming operation;

Amended 11/23/15 8


(12) A list of lawsuits to which the applicant has been a defendant,
including the name and address of the court involved, and the date
and disposition if any;

(13) A list of the applicant's funding sources and any liabilities of $50,000
or more;

(14) A complete credit history and report;

(15) A list of the principals of the applicant, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership
in the company; and

(16) Any further information the Commission deems relevant.

(b) Required Notice. The following notice shall be placed on the application
form for a vendor and its principals:

“Inclusion of false or misleading information in the vendor application
may be grounds for denial or revocation of the Tribe’s vendor license.”

(c) Applications Filed With Other Jurisdictions. 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 Commission not contained in the
other application.

20.01.34 Vendor Background Investigation

(a) Investigations, The Commission or its agent shall complete an
investigation of the gaming vendor. This investigation shall include, at a
minimum, the following steps:

(1) Verification of the business’ incorporation status and qualification to
do business in the State where the gaming operation is located;

(2) Conduct a Better Business Bureau check on the vendor;
(3) Conduct a check on the vendor's credit history;
(4) Interview each of the references listed in the vendor application; and

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

Amended 11/23/15 29


20.01.33__Contents of a Vendor License

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

(1)

2)

@B)

(4)

2)
(6)

(”)

@)

(9)

(10)

(11)

Amended 11/23/15

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

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

If the applicant is a corporation, the application must include the
state of incorporation and the qualification to do business in the State
of Washington if the state of incorporation of the applicant is other
than Washington;

Trade name, other names ever used, names of any wholly owned
subsidiaries or other businesses owned by the applicant or its
principals;

General description of the business and its activities;

Whether the applicant will be investing in or lending money to the
gaming operation and, if so, how much;

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

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

Names, addresses, and phone numbers of three business references
with whom the applicant has regularly done business for the last five
years;

The name and address of any licensing or regulatory agency with
which the applicant has filed an application for a license or permit
related to gaming, whether or not such license or permit was granted;

If the applicant has ever had a license revoked for any reason, the
circumstances involved;


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(m)
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Complimentary means a service or item provided at no cost, or at a
reduced cost, to a customer.

Conflict of Interest means an action or decision by a Director, the CEO, or
a Commissioner that benefits the official or the official’s immediate family
in a manner that is materially different from the benefit to the general
membership of the Tribe.

Director means a Member of the Board of Directors.

Executive Director means the employee hired by the Commission who is
primarily responsible for carrying out the duties of the Commission.

Financial Interest means an interest held by a Director, the CEO, or a
Commissioner, or their immediate family, in any income, investment,
employment, or other beneficial interest in property or a business or any
interest in employment or prospective employment in the gaming
operation or with the Commission.

Gaming Services means the provision of any goods or services to the Tribe
with a value in excess of $25,000 annually, whether provided on or off of
the Tribe’s reservation, directly in connection with the operation of Class II
or Class III gaming in a gaming facility, including equipment, maintenance,
or security services for the gaming facility. Gaming services shall not
include professional legal or accounting services or indirect goods and
services such as food and beverage suppliers.

General Manager means the person serving as the chief operating officer
of the gaming operation.

Gift means any gratuity, special discount, favor, hospitality, payment, loan,
subscription, economic opportunity, advance, deposit of money, services
or other benefit received without the payment of consideration and not
extended or provided to the general public; excluding gifts from family
members.

IGRA means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq.

Immediate family of a person means the parents, brothers, sisters, spouse,
children, grandchildren and members of the household of that person.

Indian lands means:
(1) all lands within the limits of the Tribe's reservation;

(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

Amended 11/23/15 5


requirements established by the Commission that are at least as stringent as 25
CER. Parts 556 and 558 and the Compact.

20.01.19 License Application Forms

(a) Required Notices. The following notice shall be placed on the Tribe's
license application form for a key employee or a primary management
official before it is filled out by the applicant:

(1) 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
authority 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 to a
requirement by a tribe or the NIGC in connection with the issuance,
denial, or revocation of a gaming license, or investigations of
activities while associated with a tribe or a gaming operation. Failure
to consent to the disclosures indicated in this notice will result in a
tribe being unable to license you for a primary management official
or key employee position.

(2) 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 before it is filled out by
an applicant:

(1) 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).

(©) Existing Employees. The Commission shall notify in writing existing key
employees and primary management officials 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

Amended 11/23/15 19


(©)

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.

The Commission shall notify the NIGC of the issuance of a gaming license
to a primary management official or key employee within 30 days of
issuance.

The Commission shall not employ an individual in a primary management
official or key employee position who does not have a license after 90 days
of beginning work at the gaming operation.

NIGC Objections. If, within the thirty (30) day period described in
paragraph (a) of this section, the National Indian Gaming Commission
provides the Tribe with a Statement itemizing objections to the issuance of
a license to a key employee or to a primary management official for whom
the Commission has provided a temporary license, the Tribe shall
reconsider the application, taking into account the objections itemized by
the National Indian Gaming Commission. The Tribe shall make the final
decision whether to issue a license to such applicant. A decision to deny a
license to an applicant is final and not subject to review unless the
Commission subsequently determines that it did not have all of the
relevant evidence when it reached the decision to deny the license.

The Commission shall take the NIGC’s objections into account when
reconsidering a license application.

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 required by
Section 20.01.29.

20.01.28 Denying Gaming Licenses

(a)

Denial of Gaming License. The Commission shall not license a primary
management official or key employee if the Commission determines, in
applying the standards in 20.01.24 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

Amended 11/23/15 25


20.01.01
20.01.02
20.01.03
20.01.04
20.01.05
20.01.06
20.01.07
20.01.08

20.01.09
20.01.10
20.01.11
20.01.12
20.01.13
20.01.14
20.01.15
20.01.16
20.01.17
20.01.18
20.01.19
20.01.20
20.01.21
20.01.22
20.01.23
20.01.24
20.01.25

20.01.26
20.01.27
20.01.28
20.01.29
20.01.30
20.01.31
20.0132
20.01.33

Amended

TITLE 20

GAMING CODE

Chapter 20.01 Gaming

Tribal Gaming Commission . d
Ethics Requirements for Members of the Board of Directors, the
CEO and the Tribal Gaming Commission... sone
Complimentary Items i
Executive Director and Staff of the Tribal Gaming Commission... eevee 15
Annual Audit...
Environment and Public Health and Safety.

Patron Dispute Resolution. 16
Tribal Internal Control Standards. 17
Agent for Service of Process....... 17
Compliance with Federal Law.. 17
Facility Licenses...

Licenses for Key Employees ‘and Primary ‘Management Officials
License Application Forms
License Fees,
Fingerprints...
Background Investigations and Suitability Determinations .
Procedures for Conducting a Background Check on Applicants.
Eligibility Determination... a .
Procedures for Forwarding. Applications and Reports for Key
Employees and Primary Management Officials to the National
Indian Gaming Commission
Report to the National Indian Gaming Commission.
Granting a Gaming License
Denying Gaming Licenses
Gaming License Suspension and Revocation
Records Retention...
Licenses for Vendors ...
Submission of a Vendor License Application
Contents of the Vendor License Application.

11/23/15


(16) Promulgate and issue regulations on the levying of fees and/or taxes
associated with gaming license applications;

(17) Promulgate and issue regulations for the conduct of hearings and the
levying of fines, not to exceed $5,000.00 per violation per day, and/or
suspension or revocation of gaming licenses for violations of the
gaming ordinance, or any other Tribal, Federal or applicable State

gaming regulations;

(18) Establish a list of persons not allowed to game in the Tribal gaming
facility in order to maintain the integrity of the gaming;

(19) Establish a list of persons who have voluntarily asked to be excluded
from the Tribal gaming facility and create regulations for enforcing
this exclusion;

(20) Provide referrals and information to the appropriate law enforcement
officials when such information indicates a violation of Tribal,
Federal or applicable State statutes, ordinances, or resolutions;

(21) Create a list of regulatory authorities that conduct vendor
background investigations and licensing which the Commission
recognizes as trustworthy;

(22) Draft regulations exempting vendors from the licensing and/or
background investigation requirements if they have received a
license from a recognized regulatory authority;

(23) Perform such other duties as the Commission deems appropriate for
the proper regulation of the Tribal gaming operation;

(24) Make monthly written reports to the Tribal Council on the activities
of the Commission, including a comparison of the actual revenues
and expenditures compared to the approved budget; and

(25) Promulgate such regulations and guidelines as the Commission
deems appropriate to implement the provisions of this Ordinance.

(g) Confidentiality of Information. The 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

Amended 11/23/15 12


neglect of duty, misconduct, malfeasance, or other acts that would render
him or her unqualified for the position as Commissioner must be
substantiated by a 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
Council on the validity of the removal shall be final and not subject to
further appeal.

(k) Quorum. 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 or final action by the
Commission. The Commission may act in its official capacity even if there
are vacancies on the Commission.

() Compensation. Tribal Gaming Commissioners shall be compensated at a
level determined by the Tribal Council. Commissioner compensation shall
not be based on a percentage of gaming revenue in order to ensure the
Commission is not improperly influenced. A Commissioner's
compensation shall not be reduced during that Commissioner's term of
office.

(m) Meetings and Records. The Commission shall meet at the call of the Chair
or any three members, as necessary, but in any event shall meet at least
once each month and the Secretary shall maintain a written record of all
actions taken with due regard to the need to protect proprietary
information and the privacy of individuals. The Commission may meet in
closed session when considering applications for licensing, law
enforcement or security matters, for deliberations following a hearing,
discussing personnel matters or meeting with legal counsel.

(n) Sovereign Immunity. The sovereign immunity of the Tribe is hereby
extended to, and shall protect the Commission and each of its members
from, civil liability for any act, omission, or statement taken or made in the
lawful performance of their duties under this ordinance.

20.01.08__Ethics Requirements for Members of the Board of Directors, the CEO and the
Tribal Gaming Commission

(a) Prohibited Conduct, The Tribe recognizes that the duties of the Board of
Directors, the CEO, and the Commission include making important
decisions on highly sensitive issues. As such, the Tribe has determined
that the Board of Directors, the CEO, and the Commission shall be held to
extremely high ethical standards. Prior to taking their positions on the
Board and the Commission, or as CEO, each person shall agree to be
bound by the following principles:

Amended 11/23/15 4


CERTIFICATION

WE HEREBY CERTIFY that on this date there was a regular meeting
held of the Port Gamble S'Klallam Tribal Council on the Port Gamble S'Klallam Indian
Reservation, at which time a quorum was present;

WE FURTHER CERTIFY, that the above numbered resolution, was at

said meeting, introduced, evaluated, and was passed by a voteof_D _| 5S FOR,
_0 AGAINST, © _ ABSTAIN dated this 2-3 day of (Ive Oe, 2015.

AL - Of —

Jeromy Sif aad ¥ Attest:
deromy Sf Council Member

PORT GAMBLE S'KLALLAM TRIBE / RESOLUTION NO. 15-A-162 PAGE 3 OF 3


illegal practices, methods and/or activities in the conduct of gaming, then the
Commission shall not license or employ that person in a key employee or
primary management official position. The Commission shall notify the
National Indian Gaming Commission and the State of its eligibility
determination on each license. All eligibility determinations are final and shall
not be reviewed or reconsidered for a period of twelve months unless the
Commission determines that it did not have all of the relevant evidence when it
reached an eligibility determination.

Copies of the eligibility determination shall be included with the notice of
results that must be submitted to the NIGC before the licensing of a primary
management official or key employee.

20.01.25 Procedures for Forwarding Applications and Reports for Key Employees and
Primary Management Officials to the National Indian Gaming Commission

(a) New Employees or Officials. When a key employee or primary
management official is employed to work at a gaming operation

authorized by this ordinance, the 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 20.01.23.

(b) Failure to Obtain License. The gaming operation shall not employ as a key
employee or primary management official a person who does not have or
obtain a license after 90 days of employment.

20.01.26 Report to the National Indian Gaming Commission

(a) Content of Report. Before issuing a license to a primary management
official or key employee, the Commission shall prepare and forward a
notice of results of the applicant's background investigation to the
National Indian Gaming Commission. The notice of results shall include
the following information:

(1) The applicant’s name, date of birth, and social security number;
(2) The date on which the applicant began, or will begin, working as a
primary management official or key employee;
(3) A summary of the information presented in the investigative report,
including:
(a) licenses that have previously been denied;
(b) gaming licenses that have been revoked, even if subsequently
reinstated;
(c) every known criminal charge brought against the applicant
within the last 10 years of the date of the application; and

Amended 11/23/15 23


RESOLUTION NO. 15-A-162

THE
PORT GAMBLE
S'KLALLAM
TRIBAL COUNCIL
OF THE
PORT GAMBLE
S'KLALLAM TRIBE

1.

WHEREAS, the Port Gamble S'Klallam Tribe entered into the Treaty of
Point No Point with the United States of America on January 26, 1855, reserving sovereign and
aboriginal rights in perpetuity; and

Il.

WHEREAS, the Port Gamble S'Klallam Reservation was proclaimed on
June 16, 1938 to be an Indian reservation, held in trust by the federal government “..for the
benefit and use of the Port Gamble Band of Clallam Indians...”, under the provisions of Section 5
of the Indian Reorganization Act, the purchase of which was paid in full by Tribe; and;

Tl.

WHEREAS, the Port Gamble S’Klallam Tribe’s General Council
delegated the Tribe’s authority to negotiate and enter into treaties, compacts, contracts and
agreements on behalf of the Tribe with other governments and their officers and agencies and
with public and private persons and entities, to the Tribal Council under Article IV, Section 3,
(H) of the Constitution of the Port Gamble S’Klallam Tribe, approved by the Secretary of
Interior on July 7, 2007, amended by certified election on July 8, 2013; and

Iv.

WHEREAS, on December 16, 2014, after a public hearing on that date,
the Tribal Council amended Title 20 to facilitate the planned transfer of the Tribe’s gaming
enterprise to Noo-Kayet Development Corporation (“NKDC”), a corporation chartered under 25
U.S.C. 477 and wholly-owned by the Tribe; and

PORT GAMBLE S'KLALLAM TRIBE / RESOLUTION NO. 15-A-162 PAGE | OF 3


20.01.38 Licenses for Non-Gaming Vendors

For non-gaming vendors, the Commission is authorized to create a less
stringent vendor licensing process, including a due diligence check rather than
a full background investigation as required in Section 20.01.34. The
Commission may investigate such vendors when appropriate and may conduct
audits in addition to monitoring Tribal purchases.

20.01.39 Repeal
All prior gaming ordinances of the Tribe are hereby repealed.

Legistlative history: Adopted by Tribal Council Resolution 09-A-039; April 28, 2009;
approved by the NIGC June 29, 2009. Resolution No. 14-A-180; passed

12/16/2014; approved by NIGC March 24, 2015; amended this Title for the following reasons:
1) moved management oversight of the Point Casino from the tribal government to the
a Development Corporation, a Section 17 Corporation; 2) removed
gaming board of directors from oversight role of the Point Casino’s general manager and of
the Casino and placed role with the Board of Directors of the NeekayetNoo-Kayet
Development Corporation; 3) clarified that the delegation of authority of the
NeokayetNoo-Kayet Development Corporation is under the Corporation’s governing
document and its corporate charter; 4) gave the Nookaye(Noo-Kayet Development
Corporation the hiring authority over the General Manager and gave Tribal Council
confirmation authority; 5) required Tribal Gaming Commission’s Executive Director to
complete personnel evaluations conducted by the Tribal Gaming Commission’s Board in
conjunction with the Port Gamble S’Klallam Tribe’s Executive Director; and 6) required
gaming service providers who provide services to the Point Casino at $25,000 or more to be
licensed. Amended 11/23/2015 via Resolution 15-A-162, Section 20.01.02 changed definitions of
Board, Bylaws, Charter, and CEO to recognize the NKDC may form a subsidiary to manage
gaming operations; Section 20.01.04 changed to recognize the responsibility of the casino’s
interest may flow through a subsidiary of the NKDC; Section 20.01.06 removed Board Removal
language, Boart Meetings & Records language, and Quorum language because those requirements
are addressed in the NKDC Bylaws.]

Amended 11/23/15 31


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

(b) Notice of Denial of Gaming License. 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, the Commission shall:

(1) Notify the NIGC and the State; and

(2) Forward copies of its eligibility determination, notice of results, and
investigative report (if any) to the NIGC for inclusion in the Indian
Gaming Individuals Records System.

20.01.29 Gaming License Suspension and Revocation

(a) Notice from the NIGC or the State. If, after the Tribal Gaming Commission
issues a gaming license to a primary management official or key employee,
the Commission receives from the National Indian Gaming Commission,

" the State, or any other credible source of reliable information indicating
that a key employee or a primary management official is not eligible for
licensure, the Tribal Gaming Commission shall immediately suspend the
license and shall provide written notification to the licensee of the
suspension and the proposed revocation, including any fines that may be
levied.

(b) Revocation Hearing. The Tribal Gaming Commission shall notify the
licensee of a time and a place for a hearing on the proposed revocation of a
license. The licensee may be represented by legal counsel at the licensee’s
own expense at any revocation hearing. The right to a revocation hearing
vests only when a license is granted under an ordinance approved by the
NIGC Chair.

(c) Notice of Decision. Following a revocation hearing, the Tribal Gaming
Commission shall decide whether to revoke or to reinstate the gaming
license at issue. The Commission shall notify the National Indian Gaming
Commission and the State of its decision to revoke or reinstate a license
within 45 days of receiving notification from the NIGC that a primary
management official or key employee is not eligible for licensure.

(da) Determinations Final. All revocation determinations are final and shall not
be reviewed or reconsidered unless the Commission determines that it did
not have all of the relevant evidence when it reached a revocation
determination.

20.01.30 Records Retention
Amended 11/23/15 26


Commission will serve as the licensing authority for individuals employed
in the gaming operation 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
or vendor gaming license when appropriate.

(c) Independence and Conflict of Interest, The Tribe 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 Council in all matters
within its purview. No prior or subsequent review by the Tribal Council 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 Tribe hereby finds that, at a minimum:

(1) No member of the Tribal Council may serve on the Commission;

(2) No Commissioner may serve on the Tribal Council or the Board of
Directors or as the CEO;

(3) No member of the immediate family of any Tribal Council member
may serve on the Commission;

(4) Commissioners are prohibited from gambling at the gaming
operation; and

(5) Commissioners are prohibited from accepting gifts from licensees or
applicants for licenses or complimentary items from the gaming
operation, excepting food and beverages valued under twenty-five
dollars and gifts given uniformly to a class of people such as gifts
given to all tribal elders.

(4) Appointments. Commissioner positions shall be filled through
appointments made by the Tribal Council.

(e) Background Investigations. Nominees for positions of Commissioner shall
be subject to a background investigation and must satisfy the suitability
standards set forth for key employees and primary management officials,
found in Sections 20.01.22 and 20.01.23 of this Ordinance. The background
investigations shall be performed under the direction of the Tribal Council.

Amended 11/23/15 10


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) Terms of Office. The terms of office for Commissioners shall be as follows:
the Chair shall serve an initial term of one year, with subsequent Chairs
serving three-year terms. The Vice-Chair and one Commissioner shall
serve an initial term of two years, with subsequent Vice-Chairs and
Commissioners serving three-year terms. Secretary and one Commissioner
shall serve a three-year term, with subsequent Secretaries and
Commissioners serving three-year terms.

(i) Persons Not Eligible for Appointment. The following persons are not

eligible to serve as Commissioners:

(1) Tribal Council members, while serving as such; Directors, while
serving as such; the CEO, while serving as such; employees of the
gaming operation, while serving as such; gaming contractors
(including any principal of a management or other contracting
company); persons in the immediate family of any of the above;
persons ineligible to be key employees or primary management
officials.

(2) Non-tribal members previously convicted of a felony, of
embezzlement, of theft, or of any other money-related crime or
honesty-related crime (such as fraud) cannot serve as Commissioners.
Tribal members previously convicted of a felony, of embezzlement, of
theft, or of any other money-related crime or honesty-related crime
(such as fraud) will only be allowed to serve as Commissioners if the
Tribal Council specifically finds that a significant amount of time has
passed and that the person is now of trustworthy character.

The Tribal Council 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 Commissioner. No one may be appointed to
the Commission who would not otherwise be eligible for an individual
gaming license, although a license need not be required.

() Removal_of Commissioners. The independence of the Commission is
essential to a well-regulated gaming operation. For that reason,
Commissioners may only be removed from office by the Tribal Council
prior to the expiration of their respective terms for neglect of duty,
misconduct, malfeasances, or other acts that would render a
Commissioner unqualified for his or her position. Any allegations of

Amended 11/23/15 13