Sixth Amendment to the Tribal-State Compact for Class III Gaming — Lummi Nation and State of Washington

Summary

Sixth Amendment to the Tribal-State Compact for Class III Gaming between the Lummi Nation and the State of Washington. The introduction says the parties entered the Compact on September 21, 1995, pursuant to the Indian Gaming Regulatory Act of 1988, and reached agreement on amendments at the request of the Nation. The amendments replace references to the Lummi Indian Gaming Commission with Lummi Tribal Gaming Commission, reflect the addition of a second facility, and provide that the Nation may establish one Class III Gaming Operation and two Gaming Facilities. Later sections cover forms of payment for wagers, hours of operation with grandfathered blackjack wager limits of up to one hundred dollars ($100), and appendices including Appendix G on Electronic Table Games.

Summary drafted by a model from the document's text below and checked by script against that text before publication. It is a navigation aid, not a reading of what the document proves. Where AI is used

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Full text

SIXTH AMENDMENT TO THE TRIBAL-STATE COMPACT
FOR CLASS III GAMING BETWEEN
THE LUMMI NATION AND THE STATE OF WASHINGTON

INTRODUCTION

The LUMMI NATION (hereafter “Nation”) and the STATE OF WASHINGTON (hereafter
“State”) entered into a Class III gaming compact (hereafter “Compact”) on September 21, 1995,
pursuant to the Indian Gaming Regulatory Act of 1988 (hereafter “IGRA”). At the request of the
Nation, the Nation and State entered negotiations for further amendments to the Compact. The
parties have reached an agreement on Compact amendments as set forth in this document. The
parties believe the conduct of Class III gaming under the terms and conditions set forth below

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will, from a regulatory perspective, benefit the Nation and the State and protect members of the
Nation and citizens of the State consistent with the objectives of IGRA.

COMPACT AMENDMENT

1. The Compact is amended throughout with the following replacements:

RA Replace each reference to Lummi Indian Gaming Commission with Lummi Tribal Gaming
Commission.

All references to “facility” in the Compact are amended to reflect the addition of a second
facility. Depending on the context, the term “facility” is replaced with “facilities” or, as
appropriate, the phrase “the facility” is replaced with “a facility” or “each facility.”

2. Compact Section II – J, K, and Z are amended to read as follows:

J. "Gaming Facility" or “Gaming Facilities” means the building or buildings or portions

D K.

Z.
thereof in which Class III Gaming activities as authorized by this Compact are
conducted on Lummi Nation Lands.
"Gaming Operation" means the enterprise or enterprises operated by the Nation on
Lummi Nation Lands for the conduct of any form of Class III gaming in any gaming
facility.
“Nation” means the Lummi Indian Nation, its authorized officials, agents and
representatives, to include federally or tribally chartered entities wholly-owned by the
Nation.

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3. Compact Section II is amended to add the following definition:

LL. “Lummi Reservation” or “Lummi Indian Reservation” for the purposes of this
Compact and all appendices and attachments thereto includes all “Lummi Nation
Lands” as defined in Section II(AA) of this Compact.

4. Compact Section II, is amended to add the definition of “Pit” as follows and the prior
definition of “Pit” in Appendix A, Section 1 is stricken:

MM. "Pit" means the area enclosed or encircled by an arrangement of gaming stations in
which gaming facility personnel administer and supervise the games played at the
tables by the patrons located on the outside perimeter of the area

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5. Compact Section III – D, F and I are amended to read as follows:

D. Authorized Gaming Operation and FacilityFacilities. 1. The Nation may establish one (1)
Class III Gaming Operation and two (2) Gaming facility Facilities, to be located on
Lummi Nation Lands for the operation of any Class III games authorized pursuant to this
Compact. The Nation shall give the State Gaming Agency at least sixty (60) days' notice
of any intention to relocate its Class III gaming activities to another facility, and also
shall provide the State Gaming Agency with a copy of any application that it may file to

RA serve alcoholic beverages in its Class III gaming facility when such application is filed
with the appropriate State licensing agency.

2. The facility authorized by this Compact shall be located on the Lummi Reservation.
Should the tribe request to re-negotiate the location issue, such re-negotiations shall
be conducted in accordance with 25 USC §2710 (d) and without prejudice to the
State's rights under 25 USC §2719. Arbitration remedies contained in this compact
shall not be applicable to any dispute arising from such re-negotiation.

E. Forms of Payment. All payment for wagers made in authorized forms of Class III gaming

D conducted by the Nation on its Lummi Nation Lands, including the purchase of chips or
tokens, for use in wagering, shall be made by Cash, or Cash Equivalent. Cash payments
for wagers made through near-field communication (NFC) devices, EMV or smart cards,
or similar secure payment technologies may be utilized upon agreement between the
Nation and the State Gaming Agency and documented in a Memorandum of
Understanding. Except for said use of credit cards, no credit shall be extended to any
patron of the gaming facility for gaming activities. No credit shall be extended to any
patron of the Gaming Facilities for gaming activities except as authorized in this
Compact and Appendices.

I. Hours of Operation. The Nation shall determine the hours of operation for each of its
gaming facilities pursuant to Appendix X2, Section 16. In recognition of the

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grandfathered status of the Nation's blackjack games, at all times the Nation may operate
its grandfathered house-banked blackjack games at wager limits of up to one hundred
dollars ($100) without limitation as to periods or hours of operation. Should the Nation
choose to utilize wagering levels above the one hundred dollar ($100) grandfather limit
for any of the grandfathered stations, those stations may operate for up to twenty (20)
hours per day and one hundred forty (140) hours per week on an annualized basis. The
Nation may conduct Class III gaming operations for up to one hundred and fifty-six (156)
hours per week in its Class III gaming facility. The Lummi Indian Gaming Commission
will provide to the State Gaming Agency and Whatcom County Authorities a schedule
indicating the hours of operation of its Class III facility. PROVIDED, that upon twenty
(20) days written notice to the Lummi Indian Gaming Commission and the State Gaming
Agency, the Nation may, not more than three (3) times in its facility in any twelve (12)
month period, conduct operations for up to one hundred and sixty (160) hours per week.

6.
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This shall be accomplished only by shifting hours or portions of hours from other weeks
and consequently reducing the corresponding period of operation during such weeks.

Compact Section IV. A is updated make existing information subsections 1. and adding
subsection 2. As follows:

2. New Facility or Expansion of Existing Facility
Verification that the Compact and Code requirements have been met for any new or

RA additional Gaming Facilities, or for expansion of an existing Gaming Facility shall be
made by the Tribal Gaming Agency and State Gaming Agency. The Tribal Gaming
Agency and State Gaming Agency shall meet as soon as practicable, but in any event,
before construction begins of the new, or expansion of an existing, Gaming Facility, to
discuss expectations and timelines, including the schedule for routine status meetings.
The Tribal Gaming Agency and State Gaming Agency shall monitor the pre-operation
requirements during the construction of the project, and each respective agency shall
notify the other immediately of any non-compliance finding and work to resolve the
issues throughout the project. A joint pre-operation inspection scheduled at least thirty
(30) days prior to the scheduled opening to the public. If a Gaming Facility fails to meet

D the pre-operation requirements, the Tribal or State Gaming Agency must send a written
and detailed non-compliance letter and report to the Nation and the Gaming Operation
Manager within seven (7) business days before the scheduled opening to the public. after
completion of the inspection. If the Tribal and State Gaming Agencies do not agree on
whether a Gaming Facility meets the requirements, the agencies will meet within seven
(7) business days from receipt of the non-compliance letter and work together to resolve
concerns.

7. Compact Section XV – D(9) is added as follows:

9. If the Washington State Lottery approves a purchase price per ticket greater than that
provided under this Compact, the Gaming Operation may increase its maximum wagers

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and purchase price for scratch tickets or On-Line Lottery Wagers to match the
Washington State Lottery increase, provided that the State and Nation agree to
incorporate into this Compact only the specific provisions and restrictions related to the
purchase price, and such agreement will be documented into a memorandum of
incorporation.

8. Add Appendix E – Limitations on Wagers, Credit, and Facilities and Problem Gaming
Resources, in the form attached to this Amendment in its entirety.

9. Add Appendix G – Electronic Table Games, in the form attached to this Amendment in
its entirety.

IN WITNESS WHEREOF, the Lummi Nation and the State of Washington have

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executed this Sixth Amendment to the Compact.

LUMMI NATION

BY: ________________________
ANTHONY HILLAIRE
Chairman
STATE OF WASHINGTON

BY: ________________________
ROBERT FERGUSON
Governor

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DATED: ____________________ DATED: ____________________

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LUMMI NATION
and the
STATE OF WASHINGTON CLASS III GAMING COMPACT

APPENDIX E
LIMITATIONS ON WAGERS, CREDIT, AND FACILITIES AND PROBLEM
GAMING RESOURCES

Table of Contents
1. Introduction......................................................................................................................... 1
2.
3.
4.
5.
6.
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Wagering Limits – Gaming Stations. ................................................................................. 1
Extension of Credit ............................................................................................................. 2
Wagering Limits – Player Terminals. ................................................................................. 3
Facility Limits – Gaming Stations and Player Terminals. .................................................. 4
Responsible Gambling ........................................................................................................ 7

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9.29.23GH
1. Introduction

This Appendix contains the concessions, limitations, and agreements of the Nation and State
with respect to the subject matter addressed herein. Where any provisions of this Appendix are
inconsistent with another provision of the Compact and Appendices, the provisions of this
Appendix shall govern unless and until they are subsequently amended pursuant to the
processes set forth in the Compact. The Nation and State agree that, although the Compact and
its appendices become effective upon publication of notice of approval by the Secretary of the
Interior of the United States in the Federal Register in accordance with 25 U.S.C. §
2710(d)(3)(B). The Nation shall provide notice to the State if, as, and when implementation of
Appendix E commences.

All terms not defined herein shall have the same definitions as in the Nation’s Compact and its
amendments and appendices.

2. Wagering Limits – Gaming Stations

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Section III (H) is amended to add subsection 5. and 6. as follows:

5. High Limit Room

“High Limit Room” means a clearly identified area of the Gaming Facility separated by a

RA permanent, physical barrier or a separate room in the Gaming Facility. “Permanent,
physical barrier” includes a partial wall, fence or similar separation. Stanchions or similar
movable barriers are not considered a permanent, physical barrier.

(a) The Gaming Operation may offer Gaming Station wager limits in the High Limit
Room up to five thousand dollars ($5000).

(b) Access to the Gaming Stations in the High Limit Room will be subject to pre-
screening qualifications and screening process set forth in a Memorandum of

D Understanding agreed upon by the State Gaming Agency and the Nation, as may be
amended from time to time.

(c) No customers may participate in Gaming at Gaming Stations in the High Limit
Room if they are known to the Gaming Operation to have a history of problem
gambling or currently barred for self-exclusion, or known by the Gaming Operation
as demonstrating significant characteristics associated with problem gambling.

(d) The Gaming Operation must follow the requirements of Title 31 U.S.C.

Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 1
6. High Limit Pits

“High Limit Pit” means a designated Pit in the Gaming Facility with Gaming
Station wager limits higher than five hundred dollars ($500), subject to the
requirements and limitations of this Appendix.

(a) The Gaming Operation will demarcate the High Limit Pit areas by including
visible signage to indicate that patrons are entering a high wager area, and with
visible signage on each table to indicate the minimum and maximum wagers
for tables in that pit.

(b) The Gaming Operation may offer Gaming Station wager limits not to exceed
one thousand dollars ($1,000) in the Gaming Facility’s High Limit Pits.

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(c) The exact mix of high wager gaming stations in the Gaming Operation shall be
left to the Nation’s discretion; however, no more than 25% of the gaming
stations in operation in a Gaming Facility may offer wagers between $500 and
$1,000 in the High Limit Pit(s), and the total number of gaming stations within
the High Limit Room and in the High Limit Pit(s) combined will not exceed
thirty-one (31) gaming stations.

RA (d) No customers may participate in Gaming in a High Limit Pit if they are
identified by Gaming Operation personnel to have a history of problem
gambling, or currently barred for self-exclusion, or identified by Gaming
Operation personnel as demonstrating significant characteristics associated with
problem gambling.

(e) The Gaming Operation must follow the requirements of Title 31 U.S.C.

3. Extension of Credit

D 3.1. Notwithstanding Section III.E of the Compact, the Gaming Operation may extend credit
to patrons who seek an extension of credit and who meet the criteria set forth in credit
procedures developed by the Gaming Operation. At a minimum, the credit procedures
must specify:

3.1.1. All patrons requesting credit are required to submit a complete tribal credit
application and be provided problem gambling information;

Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 2
3.1.2. The minimum and maximum amount any patron can request;

3.1.3. The process for review and verification of the credit application, which review
process shall include, at a minimum, proof of identity, obtaining a credit report,
gaming report unless this is the first casino credit for the patron (from Central
Credit Inc. or similar provider that provides information on the patron’s prior
casino credit), and bank verification of accounts;

3.1.4. When a patron’s credit application will be reviewed after initial application and
preapproval;

3.1.5. Patrons will not be extended credit if known to the Gaming Operation to have a
history of problem gambling, if actively barred for self-exclusion, or if the
Gaming Operation’s review of a credit report indicates the patron is proposing
to make wagers beyond their means;

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3.1.6. How each patron’s credit application information is kept confidential and secure
from unauthorized access, including who is authorized to access the credit
application information;

3.1.7. Information about patrons requesting credit are not shared or used for marketing
or promotional purposes with entities outside the Gaming Operation;

RA 3.1.8. How the preapproval amount is determined to be consistent with their credit report
the preapproval amount is documented, and the patron is notified;

3.1.9. The preapproval is granted by an employee that is independent of the patron;

3.1.10. The repayment and debt collection requirements and notification include:

3.1.10.1. Repayment timeframes not to exceed ninety (90) days from the day of

D extension of credit.

3.1.10.2. Any late payment fees, penalties, interest charges, or similar fees or
charges, settlement process and reports, and prohibition of further
credit extension with an unpaid balance.

3.1.10.3. Following applicable federal debt collection laws.

Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 3
3.2. The Tribal Gaming Agency shall forward to the State Gaming Agency a copy of
approved credit procedures, and any changes to the credit procedures for review and
concurrence prior to implementation per Section XI.A of the Compact.

4. Wagering Limits – Player Terminals.

4.1 Section 3.2.1(b) of Appendix X2 is amended as to read as follows:

(b) All Scratch Tickets in a particular Game Set shall be of the same purchase price.
;which shall not exceed $5.00, with the exception that up to 15 percent of the
Player Terminals in operation may have purchase prices of up to $20.00 per
Ticket. The purchase price for a single ticket may not exceed $30.00, provided
that tickets with a purchase price over $20.00 must have a minimum wager of no
less than $5.00 and the minimum and maximum wagers must be visibly

4.2 FT
displayed on such machines. A single Ticket may offer an opportunity to enter
another Game Set;

Section 4.1.4 of Appendix X2 is amended as to read as follows:

4.1.4 Each On-line Lottery Game may offer more than one method of winning a
prize, and each method may be represented by a separate wager, but each wager

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4.3
may not exceed $20.00 $30.00. Wagers are deducted from the Game Play
Credits displayed on the Player Terminal.

Section 7.1.10 of Appendix X2 is amended in its entirety to read as follows:

7.1.10 Other Reports. Revenue reports for the Tribal Lottery System must be made and
maintained on a confidential and secure basis which, at a minimum on a daily and
monthly basis, provides the amount of cash removed or dropped from Player
Terminals.

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5. Facility Limits – Gaming Stations and Player Terminals.

5.1.Section III(G) is amended to add subsection 6 as follows:

6. Increased Gaming Station Limit.
(a) The maximum number of Gaming Stations within the Gaming Facilities
combined shall not exceed a total of one hundred twenty-five (125)
Gaming Stations. The Nation, in its sole discretion, shall determine the
allocation of the 125 Gaming Stations between the Gaming Facilities.

Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 4
(b) The calculation of Gaming Stations related to Electronic Table Games is
specified in Appendix G.

(c) The Nation must obtain a transfer of a Gaming Station authorization from
another tribe which has entered into a compact with the State for the
operation and use of Gaming Stations beyond sixty (60) in total for all
Gaming Facilities. The transfer of a Gaming Station authorization from
another tribe shall be effectuated through the use of an agreement. The
Nation may not utilize the ability to operate a Gaming Station that is
acquired from another tribe until it completes delivery to the State Gaming
Agency of documentation confirming the tribe transferring the Gaming
Stations, number of Gaming Stations transferred, and start and end date of
the transfer.

5.2. Section 12.2.1 of Appendix X2 is amended to read as follows:

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Subject to Section 12.4 below, the Nation may operate no more than a combined Player
Terminal total ("Total Operating Ceiling") of 3,000 Player Terminals in its Gaming
Facilities. It is also agreed that upon the effective date of this Appendix, the Total
Operating Ceiling for the Muckleshoot Tribe, Tulalip Tribes, and Puyallup Tribe shall
be 3,500 for each of those three tribes until the third anniversary of the effective date of
this Appendix, at which time it shall increase to 4,000 for each of those same three
tribes. It is further agreed that the Nation shall not be entitled as a matter of right to an

RA increase in its Total Operating Ceiling based on the fact that the Muckleshoot Tribe, the
Tulalip Tribes, and the Puyallup Tribe are entitled under this Appendix to operate up to
the separate, higher Total Operating Ceiling(s) established specifically for them in this
Appendix.

6. Responsible Gambling
The Nation and State Gaming Agency recognize the importance of responsible gambling as
part of the shared responsibility to protect the health, welfare, and safety of the citizens of the

D Nation and of the State. As part of that responsibility, the Nation agrees to:

6.1.

6.2.
Provide complimentary, on-site space for responsible gambling resources and
information; and

Policy. Create and maintain a responsible gambling policy that, at a minimum, outlines
their commitment to responsible gambling, player protection, and mitigating gambling
related harms. The policy shall include information about how and where to seek
treatment; national or local hotline numbers; a description of self-imposed limits
offered by the Gaming Operation, if any; the process for self-exclusion/barring; and
preventing underage individuals from entering the Gaming Facility.

Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 5
6.3. Training. Provide annual training and education for all Gaming Employees to cover
how to identify problem gamblers, how to provide assistance when asked, the self-
exclusion/barring process, and where to direct patrons to find resources. For
management, additional training shall cover underage gambling prevention;
unattended children; the self-exclusion/barring process and how to initiate the process;
and the increased risk of gambling harms that Gaming Employees may face.

6.4. Self-Exclusion. The Nation shall:
a. Provide the self-exclusion process for patrons to self-exclude/bar themselves from
the Gaming Facility and make that process available on the Gaming Facility’s
website and Player Account applications.
b. Provide local resources and a toll-free number to a patron who self-excludes/bars
so they can seek further assistance.
c. Immediately remove a patron who self-excludes/bars from mailing lists and
promotional and marketing materials, and they will be denied all complimentary

6.5.
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items while excluded/barred.
d. Consider participating in the State Gaming Agency’s statewide self-exclusion
program.

Commitment to Responsible Gambling.
a. Each cashier station, entrance/exit, Gaming Station, Player Terminal, Kiosk, ETG
Terminal, Mobile Sports Wagering application and Sports Wagering Kiosk shall

RA display educational and informational materials that aim at the prevention of
problem gambling, a toll-free helpline number, and specify where to find problem
gambling assistance. Any link to the Nation’s responsible gaming policy in 1.
above shall be consistent with the information posted on the Gaming Facility’s
website and in a method determined by the Nation.
b. Include a responsible gambling message and toll-free hotline number on Class III
advertising, marketing, and promotional materials.
c. Provide recipients of Class III advertising, marketing, and promotional materials
with the ability to opt out of email, direct messaging, SMS marketing at any time.

D 6.6. Class III Gaming website information. The Nation shall, within 3 clicks from the main
website, make the following responsible gaming and problem gambling information
available on the Class III Gaming Facility website:

a.
b.
c.
d.
The responsible gaming policy outlined in 1. above,
A toll-free problem gambling hotline number,
Problem gambling resources,
Responsible Gaming information,
e. The Gaming Operations self-barring/exclusion process, and
f. On-line application/form to start the self-barring/exclusion process.

Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 6
6.7. Self-Imposed Limits.
Within 5 years, or as soon as feasible thereafter, implement an interactive responsible
gambling application or program for players such Gambling application or program
may be separate and need not be integrated into the authorized Class III Gaming
activities and other Gaming activities.

6.8. The Nation shall annually certify to the State Gaming Agency in writing compliance
with 6.1-6.7 above by December 31 of each year.

6.9. Consider additional ways to address problem gambling behaviors of patrons of the
Gaming Facility in future negotiations.

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D
Lummi Nation Class III Gaming Compact
Appendix E - Limitations on Wagers, Credit, Facilities; Problem Gaming Resources and Contributions
Page 7
LUMMI NATION
and the
STATE OF WASHINGTON
CLASS III GAMING COMPACT

APPENDIX G
ELECTRONIC TABLE GAMES

Table of Contents
SECTION 1. CONDITIONS AND LIMITATIONS ................................................................................ 1
SECTION 2. DEFINITIONS ..................................................................................................................... 1

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SECTION 3. AUTHORIZATION ............................................................................................................. 2
SECTION 4. NUMBER OF GAMING STATIONS ............................................................................... 3
SECTION 5. OPERATION AND REPORTING REQUIREMENTS ................................................... 3
SECTION 6. APPROVAL OF ELECTRONIC TABLE GAME SYSTEMS....................................... 5
SECTION 7. COMMUNITY CONTRIBUTIONS ................................... Error! Bookmark not defined.
SECTION 8. PROBLEM AND RESPONSIBLE GAMING................................................................... 6

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SECTION 9. ANTI-MONEY LAUNDERING ......................................................................................... 7

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SECTION 1. CONDITIONS AND LIMITATIONS

This Appendix contains the interrelated concessions, limitations, and agreement of the Nation
and State with respect to the subject matter addressed herein. Provisions of the Compact and
appendices, as amended (together, the “Compact”), that are not addressed in this Appendix
remain in full force and effect, unless and until they are subsequently amended pursuant to the
processes set forth in the Compact. This Appendix contains interdependent conditions and
consequences that must be accepted as a whole in order to adopt this Appendix.

The Nation and State agree that the Compact and its appendices become effective upon
publication of notice of approval by the Secretary of the Interior of the United States in the
Federal Register in accordance with 25 U.S.C. § 2710(d)(3)(B). The Nation shall provide at least
ten (10) days’ advance notice to the State prior to implementation of this Appendix.

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Any provisions of the Compact and Appendices that do not conflict with these standards shall
apply to Electronic Table Games. To the extent they do not conflict, existing Internal Controls,
game rules, and similar documents in effect as of the date of the publication of the Sixth
Amendment remain in full force and effect unless and until they are subsequently modified
pursuant to the process set forth in the Compact.

SECTION 2. DEFINITIONS

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The following terms apply to this Appendix. All capitalized terms not defined herein, to the
extent they do not conflict, shall have the same definitions as in the Compact.
“Component” means Electronic Table Game Terminals, any dealer interface, the
Electronic Wagering System, and hardware, software, and servers that function
collectively to simulate table game operations and are necessary to operate the Electronic
Table Game System.

“Communal Shoe” means a randomly shuffled and dealt deck or decks of cards, whether
physical or electronic, that removes each card played until the round of play is completed
according to the approved game rules.

D “Electronic Table Game” or “ETG” means an electronic version of a Class III table
game.

“Electronic Table Game System” or “ETG System” means a system that utilizes
electronics in connection with the generation, collection, storage, and communication of
game outcome, accounting, and significant event data, including all Components thereof,
to operate Electronic Table Games.

“Electronic Table Game Terminal” or “ETG Terminal” means a computer housed in a
cabinet with input device(s) and video screen(s) where a player may play Electronic
Table Games.

Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -1-
“Electronic Wagering System” means a Component of the ETG System that includes a
computer or server and any related hardware, software or other device that facilitates
patron play at an Electronic Table Game.

SECTION 3. AUTHORIZATION

3.1 The ETG System must be honest, fair, secure, reliable, auditable, and compliant with the
Compact and the standards contained in this Appendix and any related MOU.

3.2 System Conditions. An ETG System is authorized when the ETG System does not allow
a patron to play a device prohibited by RCW 9.46.0233(1)(b) and RCW 67.70.040(1)(a)
(“Play Against the Machine”). An ETG System does not allow Play Against the Machine
when:

3.2.1

3.2.2

3.2.3
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there is a human dealer involved in the play of the ETG (“Dealer Controlled”); or

the play of the ETG does not involve a human dealer, and the ETG System is
configured for play between two or more patrons against the same roll of dice or
spin of the wheel, or a Communal Shoe of electronic cards (“Non-Dealer
Controlled”); however, only one patron is needed to initiate game play; or

it is a hybrid of Dealer Controlled and Non-Dealer Controlled, provided that any

3.3
RA ETG played as Dealer Controlled follows applicable Dealer-Controlled standards
set forth in this Appendix and any ETG offered as Non-Dealer Controlled follows
applicable Non-Dealer Controlled standards set forth in this Appendix.

Specific Games

3.3.1 The Nation may offer for play an ETG version of any Class III table game
approved in Compact Section III.A. Pay table or odds offered on an ETG shall be
consistent with game rules as approved in Section XI.B.4 ETG game rules must
be displayed on each ETG Terminal.

D 3.3.2

3.3.3
An ETG Terminal may allow for play any other Class III activity as authorized
under the Compact and Appendices, other than the Tribal Lottery System or any
Gaming activity with a limited allocation.

Concurrent play. Patrons may play more than one ETG concurrently using a
single ETG Terminal under the following requirements:

a. An ETG Terminal must display clear information about each ETG available
for play and such information must be available to a patron without the patron
first placing a wager.

b. An ETG Terminal must display each ETG selected for play by the patron.

Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -2-
c. An ETG Terminal must display the decisions and outcomes of play for each
ETG selected by the patron.

d. An ETG may not be added to or removed from an ETG Terminal in use by a
patron.

3.4 Wager Limits. Wager limits for ETGs shall not exceed $500.

3.5 Electronic Wagering System. An ETG shall be activated with an Electronic Wagering
System that meets the standards described in Section 5.1.2. An ETG Terminal shall not
issue coin or U.S. currency at the conclusion of a patron’s play.

SECTION 4. NUMBER OF GAMING STATIONS

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Every nine (9) ETG Terminals shall constitute one Gaming Station. If the number of ETG
Terminals put into play is not perfectly divisible by nine (9), then any remainder less than nine
(9) will constitute a Gaming Station. For example, if ten (10) ETG Terminals are in operation, it
will constitute two (2) Gaming Stations.

SECTION 5. OPERATION AND REPORTING REQUIREMENTS

5.1. Standards for Operation.

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5.1.1

5.1.2
Any ETG must comply with the standards established by this Appendix and any
applicable provision of the Compact, and must meet or exceed all applicable
standards of Gaming Laboratories International’s Standards GLI-24 (Electronic
Table Game Systems) (“GLI-24”) and GLI-25 (Dealer Controlled Electronic
Table Games), as amended or modified. Any standards that contemplate features
or functionalities of an ETG System that conflict with Section 3 of this Appendix
are not applicable, and such features or functionalities are prohibited.

Any Electronic Wagering System must meet or exceed Gaming Laboratories
International’s Standard GLI-16 (Cashless Systems in Casinos), the standards

D 5.1.3
established by this Appendix, any applicable provision of the Compact, including
Cashless Transaction System as defined in Appendix X2, and any related MOU.
Provided, any “Cashless Systems in Casinos” that would add money to or take
money from a patron’s account without a cashier or kiosk would require
negotiations in Section XV.D.

The Tribal Gaming Agency and the State Gaming Agency may mutually agree in
writing to alternative standards for any ETG System authorized in Section 3 in
lieu of the GLI standards described in Sections 5.1.1 and 5.1.2 above that
maintain the integrity and security of the ETG System.

Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -3-
5.2. Internal controls. Prior to offering ETGs for play, the Nation must implement Internal
Controls as minimum operating standards to govern the operation and management of the
ETG System.

5.2.1 Initial Internal Controls. The Tribal Gaming Agency shall forward to the State
Gaming Agency its initial Internal Controls for ETG Systems for review and
concurrence in accordance with Compact Section XI.A.

5.2.2 Minimum Requirements. The Internal Controls will address the following, at a
minimum:

a. Description of Gaming Employees who perform essential functions,
supervisory authority, handling payouts on winning vouchers.

f.
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User access controls for ETG personnel;

Segregation of duties;

Procedures for receiving, investigation and responding to patron
complaints;

Accounting and audit procedures;

Procedures to ensure the physical security of the ETG Systems, including

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key controls and Closed Surveillance System coverage;

Procedures to ensure the integrity and security of all sensitive data and
software;

Procedures to ensure that access to sensitive data and software is limited to
appropriate personnel;

Procedures to ensure accurate accounting of wagers and payouts;

Procedures to ensure the logging of the events and the availability of

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records to permit an effective audit of the conduct of the ETG System and
the reporting of revenue;

All existing Internal Controls are updated, as necessary, to ensure there are
no conflicts with any Internal Controls governing ETG Systems; and

Any other internal controls deemed necessary by the State Gaming
Agency and Tribal Gaming Agency.

5.3. Required Reports. Reports necessary to record information as deemed necessary by the
Tribal Gaming Agency or as required by Internal Controls must be generated. These
reports may include, but are not limited to, all applicable reports as outlined in
Section 2.21 of GLI-24.

Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -4-
5.4. Training. A manufacturer’s prototype (e.g., test cart) of the version of the ETG System
that will be installed at the Gaming Facility will be delivered to the State Gaming Agency
for training purposes prior to field testing. The State Gaming Agency will collaborate
with the Tribal Gaming Agency to provide additional training opportunities related to
ETG Systems. The Tribal Gaming Agency and the State Gaming Agency may mutually
agree to an alternative to a prototype.

SECTION 6. APPROVAL OF ELECTRONIC TABLE GAME SYSTEMS

6.1. Purpose. The general purpose of testing an ETG System pursuant to this Section 6 is to
determine the compliance of the ETG System with this Appendix and any applicable
MOU(s).

6.2. Independent Test Laboratory (ITL) Testing for ETG System, Upgrades, and New
Equipment; Modifications.

6.2.1

6.2.2
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ITL Requirement. Each new or upgraded ETG System may be offered for play
only if it has been tested and certified as meeting the applicable standards of this
Appendix and any related MOU by an ITL selected by the Nation from SGA’s
approved ITL list.

ITL Reports and Certification. At the conclusion of testing, the ITL shall provide
to the Tribal Gaming Agency and the State Gaming Agency its certification and

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6.2.3
supporting documentation. If the ITL provides sufficient documentation that the
ETG System or relevant Component has been tested and certified by that ITL in
any other jurisdiction and it meets the requirements of this Appendix, without any
subsequent modifications, that shall be sufficient to satisfy this requirement.

Modifications. No substantive modification to any ETG System may be made
after testing, certification, and approval without certification of the modification
by an ITL. The following modifications are not considered substantive and do not
require ITL certification or notification to the State Gaming Agency: (a) changes
to content not related to any regulated feature; (b) adding or removing users;

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6.3.
(c) any system configuration changes that have no impact on the accuracy of
report information including gaming revenue; and (d) minor modifications to
hardware.

Field Testing for ETG Systems.

6.3.1 A new ETG System may only be offered for play subject to field testing at the
Nation’s Gaming Facility as described below.

6.3.2 The terms, conditions, criteria, and objectives for each ETG System to be field
tested must be jointly agreed to by TGA and SGA in writing prior to field testing
and must include at least:

Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -5-
a. The requirements and standards that must be met to determine successful
field testing.

b. The number of ETG Terminals to be included in the field test.

c. The demarcation of the testing area of the gaming floor and necessary
signage.

d. The appropriate length of the testing period.

e. Identification of who will receive updates, how the updates will be sent,
and when they will be sent.

6.3.3 Approval.

b.
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After a minimum of thirty (30) days of active operation of field testing
free of substantial errors, the Tribal Gaming Agency and State Gaming
Agency may end field testing and approve the ETG System if the final
joint field testing report provides, at a minimum, the details of testing, any
issues identified, the resolution of those issues, and overall performance
and compliance of the ETG System with applicable standards.

The ETG System shall be deemed approved after ninety (90) days of

6.4.
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active operation unless disapproved in writing by the Tribal Gaming
Agency or State Gaming Agency detailing the reasons for disapproval.

Field testing may be suspended by the Tribal Gaming Agency, State
Gaming Agency, or the manufacturer at any time for non-compliance.
Once the Tribal Gaming Agency and State Gaming Agency agree the non-
compliance issue is resolved, field testing may resume.

Implementation of Approved ETG by another tribe. The Nation may conduct their own
field testing period as outlined above or, once field testing is completed for another tribe,

D the Nation may rely on that testing for approval when its ETG System is the same and
configured in the same way.

SECTION 8. PROBLEM AND RESPONSIBLE GAMING

Commitment to Responsible Gaming. The Nation and State Gaming Agency recognize
the importance of responsible gambling as part of the shared responsibility to protect the
health, welfare, and safety of the citizens of the Nation and of the State. In addition to the
requirements of Appendix S, Section 8, the Nation agrees to display a commitment to
responsible gambling and a link to the Gaming Operation’s responsible gambling policy
on each ETG Terminal.

Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -6-
SECTION 9. ANTI-MONEY LAUNDERING

The Nation’s Internal Controls will describe how the Nation will comply with applicable federal
requirements including requirements imposed by the Federal Trade Commission (FTC), Office
of the Comptroller of the Currency (OCC), Financial Crimes Enforcement Network (FinCEN),
Consumer Financial Protection Bureau (CFPB), Office of Foreign Assets Control (OFAC) and
the US Department of Treasury.

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Lummi Nation—State of Washington Gaming Compact
Appendix G—Electronic Table Games -7-

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