Seventh Amendment to the Tribal-State Compact for Class III Gaming — Puyallup Tribe of Indians
Summary
The Seventh Amendment to the Tribal-State Compact for Class III Gaming between the Puyallup Tribe of Indians and the State of Washington, with the attached Amended and Restated Compact and appendices. The amendment states that the restated Compact supersedes the Original Compact entered on May 28, 1996, as amended, in its entirety. It replaces Appendices A, B, S, X2 and Y, deletes Appendices C and X and the Appendix X2 Addendum, and adds Appendices D, G, L and W, including Electronic Table Games and Rules Governing Wide Area Progressives. The Compact takes effect on publication of notice of approval by the Secretary of the Interior under 25 U.S.C. § 2710(d)(3)(B). The signature blocks name Bill Sterud, Chairman, and Bob Ferguson, Governor.
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
Cite this document
“Seventh Amendment to the Tribal-State Compact for Class III Gaming — Puyallup Tribe of Indians.”
Original at app.leg.wa.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/2025-08-11-a33424-d289622-puyallup-tribe-of-indians-seventh-amendment-a84714f94f/
, SHA-256 4d718f4e6077d77f52d790ddfb7a1300a87b7cdb3eee101b77649ba42b26be0e.Full text
SEVENTH AMENDMENT TO THE TRIBAL – STATE COMPACT
FOR CLASS III GAMING BETWEEN
THE PUYALLUP TRIBE OF INDIANS AND THE STATE OF WASHINGTON
The PUYALLUP TRIBE OF INDIANS (“Tribe”) and the STATE OF WASHINGTON (“State”)
(together the “Parties”) entered into a Class III gaming compact on May 28, 1996 (hereafter the
“Original Compact”), pursuant to the Indian Gaming Regulatory Act (“IGRA”). Over the years,
the Parties amended the Compact. The Parties have now reached an agreement to amend and
restate the Compact as set forth below.
T
COMPACT AMENDMENT
AF
1. The attached Amended and Restated Tribal – State Class III Gaming Compact
supersedes the Original Compact entered on May 28, 1996, as amended, in its
entirety.
The amended and restated Compact contains bargained for concessions, limitations, and
agreements of the Tribe and the State. The Parties agree that Section III contains
interdependent conditions and consequences such that Section III is accepted as a whole.
2. Replace Appendix A - Standards of Operation and Management for Class III
Activities.
DR
Appendix A “Standards of Operation and Management for Class III Activities” as set
forth in the Tribe’s Original Compact is replaced in its entirety by the attached amended
and restated Appendix A.
3. Replace Appendix B - Satellite (Off-Track) Wagering on Horse Races.
Appendix B “Satellite (Off-Track) Wagering on Horse Races” as set forth in the Tribe’s
Original Compact is replaced in its entirety by the attached amended and restated
Appendix B.
4. Delete Appendix C - Class III Gaming Station Transfer Agreement.
Appendix C “Class III Gaming Station Transfer Agreement” added in the Tribe’s Second
Amendment is deleted in its entirety.
5. Add Appendix D - Definitions.
The Compact is hereby amended to add Appendix D “Definitions,” in the form attached
hereto.
6. Add Appendix G - Electronic Table Games.
The Compact is hereby amended to add Appendix G “Electronic Table Games,” in the
form attached hereto. The attached Electronic Table Games Appendix was bargained for
and in exchange for provisions therein and Section III in the amended and restated
Compact.
7. Add Appendix L - Licensing, State Certification, Eligibility Determination, and
Registration Procedures.
The Compact is hereby amended to add Appendix L “Licensing, State Certification,
Eligibility Determination, and Registration Procedures,” in the form attached hereto.
8. Replace Appendix S - Sports Wagering.
Appendix S “Sports Wagering” added in the Tribe’s Sixth Amendment is replaced in its
entirety by the attached amended and restated Appendix S. The attached Sports Wagering
T
Appendix was bargained for and in exchange for provisions therein and Section III in the
amended and restated Compact.
9. Add Appendix W - Rules Governing Wide Area Progressives.
AF
The Compact is hereby amended to add Appendix W “Rules Governing Wide Area
Progressives,” in the form attached hereto.
10. Delete Appendix X - Rules Governing Tribal Lottery Systems.
Appendix X “Rules Governing Tribal Lottery Systems” added in the Tribe’s First
Amendment is deleted in its entirety.
11. Replace Appendix X2 - Rules Governing Tribal Lottery Systems.
Appendix X2 “Rules Governing Tribal Lottery Systems” added in the Tribe’s Fourth
DR
Amendment is replaced in its entirety by the attached amended and restated Appendix
X2. The attached Appendix X2 was bargained for and in exchange for provisions therein,
and Sections III and X of the amended and restated Compact.
12. Delete Appendix X2 Addendum.
Because many of the terms in Appendix X2 Addendum were incorporated into Section
III.K and Section X of the amended and restated Compact, Appendix X2 Addendum has
been deleted.
13. Replace Appendix Y - Requirements for Electronic Gambling Devices.
Appendix Y “Appendix Colville” added in the Tribe’s Memorandum of Incorporation,
effective June 29, 2004, is replaced in its entirety by the attached amended and restated
Appendix Y “Requirements for Electronic Gambling Devices.”
The Tribe 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).
IN WITNESS WHEREOF, the Puyallup Tribe of Indians and the State of Washington have
executed the Compact.
THE PUYALLUP TRIBE OF INDIANS STATE OF WASHINGTON
BY: BY:
BILL STERUD BOB FERGUSON
Chairman Governor
DATED:
T DATED:
AF
DR
T
AF
TRIBAL – STATE COMPACT
FOR CLASS III GAMING
BETWEEN THE
DR
Puyallup Tribe of Indians
AND THE
State of Washington
TABLE OF CONTENTS
Page
INTRODUCTION AND PARTIES .............................................................................................. 1
INTENT STATEMENT ................................................................................................................ 1
DECLARATION OF POLICY AND PURPOSE ......................................................................... 1
I. TITLE ................................................................................................................................ 2
II. DEFINITIONS ................................................................................................................... 2
III. NATURE AND SCOPE OF CLASS III GAMING .......................................................... 3
A. Number and Location of the Gaming Facilities ................................................ 3
B. Ownership of Gaming Facilities and Gaming Operation ................................ 3
C.
D.
E.
T
Alcoholic Beverage Service ................................................................................. 3
Size of Gaming Floor ........................................................................................... 3
Hours of Operation .............................................................................................. 3
F.
G.
H.
I.
J.
K.
AF
Prohibition on Minors ......................................................................................... 3
Prohibition on Firearms ...................................................................................... 4
Acceptance of Electronic Benefits Cards from the State of
Washington ........................................................................................................... 4
Forms of Payment ................................................................................................ 4
Patron Credit Program ....................................................................................... 4
Number of Tribal Lottery System Player Terminals ....................................... 6
DR
IV.
L.
M.
N.
O.
P.
Q.
Number of Gaming Stations ............................................................................... 7
Wagering Amounts – Gaming Stations.............................................................. 7
Wagering Amounts – Player Terminals ............................................................ 8
Public Health, Safety, and Environmental Protection ..................................... 8
Community Contributions .................................................................................. 9
Problem Gambling and Responsible Gaming Program ................................... 9
CLASS III GAMING ACTIVITIES AND OTHER GAMING ACTIVITIES ............... 11
A. Class III Table Games ....................................................................................... 11
B. Tribal Lottery System........................................................................................ 12
C. Tribal Lottery System Wide Area Progressives.............................................. 13
D. Electronic Gambling Devices ............................................................................ 13
E. Keno .................................................................................................................... 13
i
TABLE OF CONTENTS
(continued)
Page
F. Washington State Lottery Tickets .................................................................... 14
G. Lottery-Type Games .......................................................................................... 14
H. Satellite (Off - Track) Wagering on Horse Races ........................................... 14
I. Sports Pools ........................................................................................................ 14
J. Punchboards and Pull Tabs – Separate Locations ......................................... 15
K. Sports Wagering................................................................................................. 15
V. LICENSING, STATE CERTIFICATION, ELIGIBILITY DETERMINATION,
AND REGISTRATION ................................................................................................... 15
A.
B.
C.
T
Gaming Facilities ............................................................................................... 15
New Facility or Expansion of Existing Facility ............................................... 15
Gaming Employees ............................................................................................ 16
VI.
D.
E.
F.
AF
Manufacturers and Suppliers of Gaming Services ......................................... 16
Financiers............................................................................................................ 16
Identification Cards ........................................................................................... 16
TRIBAL ENFORCEMENT OF COMPACT REQUIREMENTS .................................. 17
A.
B.
C.
Tribal Regulation ............................................................................................... 17
Tribal Gaming Agency ...................................................................................... 17
Tribal Gaming Agents ....................................................................................... 17
DR
VII.
D.
E.
F.
Investigation ....................................................................................................... 18
Reporting of Violations...................................................................................... 18
Gaming Operation Closure ............................................................................... 18
STANDARDS OF OPERATION .................................................................................... 18
A.
B.
C.
Adoption of Standards of Operation and Management ................................. 18
Game Rules Posting ........................................................................................... 19
Additional Operation Requirements ................................................................ 19
D. Records Retention .............................................................................................. 20
VIII. COOPERATIVE ENFORCEMENT OF COMPACT REQUIREMENTS ..................... 20
A. State Gaming Agents – Monitoring .................................................................. 20
B. Access to Records ............................................................................................... 21
C. Investigations ...................................................................................................... 21
ii
TABLE OF CONTENTS
(continued)
Page
D. TGA Access to SGA Records ............................................................................ 22
E. Cooperation With TGA ..................................................................................... 22
IX. JURISDICTION .............................................................................................................. 22
A. Jurisdictional Issues Generally ......................................................................... 22
B. Criminal Matters ............................................................................................... 22
C. Civil Matters ....................................................................................................... 23
D. Sanctions and Civil Fines .................................................................................. 23
E. Limited Application of State Criminal Law .................................................... 23
F.
G.
H.
T
Law Enforcement Coordination ....................................................................... 23
Reporting Requirements ................................................................................... 24
Preservation of Tribal Self-Government ......................................................... 24
X.
XI.
AF
REIMBURSEMENT FOR REGULATORY EXPENSES INCURRED BY THE
STATE GAMING AGENCY .......................................................................................... 24
A.
B.
C.
D.
Set-up Fee ........................................................................................................... 24
Annual Regulatory Fees .................................................................................... 25
Regulatory Fee Disputes .................................................................................... 25
Alternative Fee Agreements .............................................................................. 26
DISPUTE RESOLUTION AND REMEDIES FOR BREACH OF COMPACT ............ 26
DR
A.
B.
C.
D.
E.
F.
Introduction ........................................................................................................ 26
Dispute Resolution Alternatives ....................................................................... 26
Injunction Against the State ............................................................................. 28
Injunction Against the Tribe, the Gaming Operation, or any
Individual ............................................................................................................ 28
Limited Waiver of Sovereign Immunity .......................................................... 28
References ........................................................................................................... 29
XII. LIMITATION OF LIABILITY ....................................................................................... 29
XIII. EFFECTIVE DATE, DURATION, AND AMENDMENTS .......................................... 29
A. Effective Date ..................................................................................................... 29
B. Voluntary Termination ..................................................................................... 29
C. Subsequent Negotiations ................................................................................... 30
D. Changes to State Law ........................................................................................ 30
iii
TABLE OF CONTENTS
(continued)
Page
E. Clarification, Amendments, and Renegotiations ............................................ 30
XIV. NOTICES......................................................................................................................... 32
XV. SEVERABILITY ............................................................................................................. 32
APPENDIX A – STANDARDS OF OPERATION AND MANAGEMENT FOR CLASS III
ACTIVITIES
APPENDIX B – SATELLITE (OFF-TRACK) WAGERING ON HORSE RACES
APPENDIX D – DEFINITIONS
APPENDIX G – ELECTRONIC TABLE GAMES
T
APPENDIX L – LICENSING, STATE CERTIFICATION, ELIGIBILITY DETERMINATION,
AF
AND REGISTRATION PROCEDURES
APPENDIX S – SPORTS WAGERING
APPENDIX W – RULES GOVERNING WIDE AREA PROGRESSIVES
APPENDIX X2 – RULES GOVERNING TRIBAL LOTTERY SYSTEMS
APPENDIX Y – REQUIREMENTS FOR ELECTRONIC GAMBLING DEVICES
DR
iv
INTRODUCTION AND PARTIES
This Class III Tribal – State Gaming Compact (“Compact”) is between the Puyallup Tribe of
Indians (“Tribe”), a federally recognized Indian tribe and sovereign entity, and its fellow
sovereign, the State of Washington (“State”) (together, the “Parties”). The Parties enter this
Compact pursuant to the federal Indian Gaming Regulatory Act (“IGRA”) in the spirit of
cooperation, collaboration, and mutual respect.
INTENT STATEMENT
For nearly three decades, the Tribe and the State have ensured the fair and lawful operation of
Class III Gaming. Their success in preventing corrupt and criminal influences within the industry
displays a storied history in regulating Class III Gaming. Consistent with the intent and
objectives set forth in IGRA, the Tribe takes the lead as the primary regulator of Gaming on
Tribal Lands and the State offers valuable assistance and support as a co-regulator.
T
The amended Compact continues this robust history of collaboration between the Tribe and the
State which benefits their citizens and the public. Together, the Parties will keep Class III
Gaming safe, well-regulated, and carried out in accordance with IGRA’s stated policy goals.
AF
The Original Compact, entered into on May 28, 1996, went through many amendments. This
made the Compact not only difficult to navigate, but hard to read and implement. The Parties
endeavored to address these issues in this amended Compact. They merged similar requirements,
eliminated obsolete provisions, and revised other sections to comply with IGRA’s implementing
regulations. The amended Compact is now streamlined and updated to optimize use and
understanding by operators and regulators.
Controlling Class III Gaming on the Puyallup Indian Reservation remains mutually beneficial for
both the Tribe and the State. To maintain this positive position, the Parties remain committed to
an amicable and valuable government-to-government relationship as reflected under the
D
amended Compact.
R
DECLARATION OF POLICY AND PURPOSE
IGRA provides a statutory and regulatory framework for the operation of Class III Gaming by
Indian tribes on tribal lands, in coordination with state governments. Indeed, the core goals of
IGRA are to promote lawful and protected Gaming activities for purposes of promoting tribal
economic development, tribal self-determination, and strong tribal governments.
25 U.S.C. § 2702(1).
Indian Gaming creates employment opportunities, advances economic and social development,
and generates funding for essential government services for the benefit of the Tribe’s citizens
and the regional community. To further this, the Tribe will continue to utilize Class III Gaming
net revenues to:
(a) Fund Tribal government operations or programs;
(b) Provide for the general welfare of the Tribe and Tribal citizens;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 1
(c) Promote Tribal economic development;
(d) Donate to charitable organizations; and/or
(e) Help fund operations of local government agencies, 25 U.S.C.
§ 2710(b)(2)(B).
Good faith negotiations between the Parties produced the terms and conditions of this Compact.
The result is an agreement that sets forth a comprehensive framework for the operation of
Class III Gaming to achieve the following regulatory goals:
(a) Ensure the fair and honest operation of Class III Gaming activities;
(b) Maintain the integrity of all actions conducted in regard to Class III
Gaming activities;
(c)
T
Prevent unsavory and unsuitable persons from having any direct or
indirect involvement with Class III Gaming activities at any time or in any
capacity;
(d)
(e)
(f)
(g)
AF
Establish and maintain responsible accounting practices and procedures;
Maintain effective control over the financial practices related to Class III
Gaming activities, including establishing the minimum procedures for
internal fiscal affairs and the safeguarding of assets and revenues along
with reliable recordkeeping;
Prevent cheating and fraudulent practices; and
Protect the health, welfare, and safety of all citizens.
D
In light of the policies and purposes stated in IGRA above, and in consideration of the mutual
undertakings and agreements set forth below, the Tribe and the State enter into the following
R
Compact.
I. TITLE
This document will be cited as “Puyallup Tribe of Indians – State of Washington Gaming
Compact.”
II. DEFINITIONS
Defined terms used in the Compact and Appendices are included in Appendix D, known as the
Definitions Appendix.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 2
III. NATURE AND SCOPE OF CLASS III GAMING
The Tribe and State agree that Section III contains interdependent conditions and consequences
and are hereby accepted as a whole. Each of the provisions in Section III were bargained for
concessions, limitations, and agreements of the Parties.
A. Number and Location of the Gaming Facilities
(1) The Tribe may establish two Gaming Facilities to be located on Tribal Lands.
(2) Any Gaming Facility may be expanded to include additional buildings or
portion(s) thereof connected to become part of that Gaming Facility. Any
connected structures of that Gaming Facility must provide corridors connecting
such buildings or portion(s) thereof with a safe, secure, and direct path for the
public, employees, and assets. All Compact requirements shall apply to such
B.
additional buildings.
T
Ownership of Gaming Facilities and Gaming Operation
C.
D.
AF
The Gaming Operation, including all Gaming Facilities, shall be owned by the Tribe or
any corporation or other entity wholly owned by the Tribe and formed under Tribal law.
Alcoholic Beverage Service
Standards for alcohol service within the Gaming Facilities shall be subject to applicable
law or applicable agreement between the Tribe and the Washington State Liquor and
Cannabis Board, or its successor agency.
Size of Gaming Floor
DR
E.
F.
The actual size of the Class III Gaming floor within each Gaming Facility shall be
determined by the Tribe.
Hours of Operation
Operating hours shall be determined by the Tribe.
Prohibition on Minors
No person under the age of 18 shall participate in any Gaming activities authorized by the
Compact, or be employed in any Gaming Operation, or be allowed on the Class III
Gaming floor during actual hours of operation. Provided, such age limitation shall not
apply to a person accompanied by an adult for the specific and limited purpose of
proceeding directly and immediately across the Gaming area for legitimate non-gaming
purposes, with no Gaming area loitering or Gaming participation by the underage person
or accompanying adults. Persons of the ages 18, 19, and 20 may patronize and participate
in Class III Gaming activities, so long as they do not purchase or consume alcoholic
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 3
beverages on the Premises in accordance with Washington State liquor laws or an
applicable written agreement between the Tribe and the Washington State Liquor and
Cannabis Board or successor State agency.
G. Prohibition on Firearms
The possession of firearms by any person within the Gaming Facility shall be strictly
prohibited. Provided, this prohibition shall not apply to authorized agents or officers of
the TGA, Tribal Law Enforcement Agency, SGA, or federal, State, and Non-Tribal Law
Enforcement.
H. Acceptance of Electronic Benefits Cards from the State of Washington
All Cash dispensing outlets located within the Gaming Facilities, including without
limitation automated teller machines (ATM) and point of sale machines, shall not accept
I.
electronic benefits cards (EBT).
Forms of Payment T
J.
AF
All payment for wagers made for Class III Gaming authorized under the Compact,
including the purchase of chips for use in wagering, shall be made by Cash or Cash
Equivalent. Cash payments for wagers made through near-field communication (NFC)
devices, EMV (Europay, Mastercard, and Visa) or smart cards, or similar secure payment
technologies may be utilized upon agreement between the TGA and the SGA, and
documented in a Memorandum of Understanding. Except for use of credit cards or an
approved Patron credit program implemented under Section III.J, no credit shall be
extended to any Patron of a Gaming Facility for Gaming activities.
Patron Credit Program
DR
(1)
(2)
Authorized. The Gaming Operation may establish a credit program for Patrons
who meet the criteria set forth in credit procedures developed by the Gaming
Operation and approved by both the TGA and the Tribe.
Minimum Requirements. The purpose of a credit program is to increase safety by
offering Patrons an alternative to carrying significant amounts of Cash on their
person. Critically, a credit program must prohibit the extension of credit to
Patrons who cannot afford to gamble or to Patrons who have exhibited signs of
problem gambling. To achieve this purpose, the credit program must include the
below safeguards, in the form of credit procedures, that specify at least the
following:
(a) All Patrons requesting credit are required to submit a complete Tribal
credit application and be provided problem gambling information;
(b) The minimum and maximum amount any Patron can request;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 4
(c) The process for review and verification of the credit application, which
review process shall include, at a minimum, Proof of Identity, obtaining a:
(i) credit report, (ii) 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 (iii) bank verification
of accounts;
(d) When a Patron’s credit application will be reviewed after initial
application and preapproval;
(e) Patrons will not be extended credit if they are known to the Gaming
Operation to have a history of problem gambling, if actively barred by the
Tribe for self-exclusion, or if the Gaming Operation’s review of a credit
report indicates the Patron is proposing a line of credit beyond their
(f)
means;
T
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;
(g)
(h)
(i)
AF
Information about Patrons requesting credit will not be shared or used for
marketing or promotional purposes with entities outside the Gaming
Operation;
How the preapproval amount is determined to be consistent with the
Patron’s credit report, the preapproval amount is documented, and the
Patron is notified;
The preapproval will be granted by a Gaming Employee that is
DR
(j)
independent of the Patron; and
The repayment and debt collection requirements and notification includes:
(i) repayment time frames not to exceed ninety (90) days from the day of
extension of credit; (ii) any late payment fees, interest charges, or similar
fees or charges, settlement process and reports, and prohibition of further
credit extension with an unpaid balance; (iii) setoff against any game
winnings, jackpots, prizes, and suspension or revocation of any incentive
or points programs, complimentary amenities, and amenities; and (iv)
following applicable federal debt collection laws.
(3) Approval Process. After the Tribe’s governing body has approved the credit
procedures, the TGA must forward to the SGA a copy of the approved credit
procedures, and any changes to the credit procedures, for review and concurrence
pursuant to the Internal Control process set forth in Section VII.A prior to
implementation of or change to any credit program.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 5
K. Number of Tribal Lottery System Player Terminals
(1) History. The Tribal Lottery System was established in Appendix X in 1998,
which was updated in Appendix X2 in 2007, and updated again in 2017 with an
Addendum to Appendix X2. As part of the Tribe’s 2025 amended and restated
Compact, this Section III.K now governs the “Allocation” of Player Terminals, as
acknowledged in Appendix X2, Section 12.1.
(2) Allocation, Transfer Allocation, Total Operating Ceiling. The legacy versions of
Appendices X, X2, and the X2 Addendum imposed limitations on the Player
Terminal allocation as well as the total number of Player Terminals that may be
operated in the Tribe’s Gaming Facilities. Except as provided in Sections III.K(3)
and (4), the following limitations apply:
(a) All Eligible Tribes, including the Tribe, are entitled to an initial Player
T
Terminal allocation of 1,125 (“Allocation”). Like other Eligible Tribes,
the Tribe may choose to operate a Player Terminal from its Allocation or
transfer that right to operate a Player Terminal to another Eligible Tribe
(known as a “lease”); the right to operate a Player Terminal and the ability
(b)
AF
to lease that right to another tribe are mutually exclusive.
When the Tribe elects to lease the right to operate Player Terminals to or
from another Eligible Tribe (“Transfer Allocation”), the lease is done
pursuant to an intertribal transfer agreement, the form of which will be
determined by the Tribe; provided, however, the transfer agreement is not
effective until the SGA has received notice of the transfer, a notice that
must include: (i) the identity of the parties to the transfer agreement, (ii)
the number of Player Terminals transferred under the agreement, and (iii)
the start and end date of the transfer agreement.
DR (3)
(c) Each Eligible Tribe is entitled to an operating ceiling of 3,000 Player
Terminals in its Gaming Facilities, and three tribes, the Muckleshoot
Tribe, the Tulalip Tribes, and the Puyallup Tribe, are each entitled to an
operating ceiling of 4,000 Player Terminals (“Total Operating Ceiling”).
Additional Allocation and Adjusted Operating Ceiling. The Tribe may choose to
receive up to an additional 1,000 Player Terminals (“Additional Allocation”)
increasing its total allocation to 2,125 and its operating ceiling to 5,000
(“Adjusted Operating Ceiling”), but the Additional Allocation and Adjusted
Operating Ceiling are available only upon the triggering events and restrictions
below:
(a) After operating for at least two (2) years at its Total Operating Ceiling of
4,000 Player Terminals in its Gaming Facilities, the Tribe may operate
500 of the Additional Allocation of Player Terminals.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 6
(b) After the Tribe has operated 4,500 Player Terminals in its Gaming
Facilities for six (6) months, the Tribe may operate the remaining
500 Player Terminals of the Additional Allocation.
The Tribe may not use the Additional Allocation to replace the Transfer
Allocation.
(4) Increase to Allocation.
(a) In the event any other Eligible Tribe becomes entitled to an increased
allocation of Player Terminals under that tribe’s version of Appendix X2
or Addendum thereto, the Tribe shall be automatically entitled to the same
increase in its Allocation, and the State shall provide prompt notification
of the increase to the Tribe.
(b)
T
If the Tribe’s Allocation is increased under Section III.K(4)(a), then the
Tribe’s Additional Allocation will decrease by the same number of Player
Terminals. For example, if each Eligible Tribe is entitled to an additional
50 Player Terminals, then the Tribe will also be entitled to 50 Player
L.
AF
Terminals as a part of its Allocation, but the Tribe’s Additional Allocation
will be reduced by 50 Player Terminals.
Number of Gaming Stations
(1) The maximum number of Gaming Stations within the Gaming Facilities
combined shall not exceed a total of 125 Gaming Stations. The Tribe, in its sole
discretion, shall determine the allocation of the 125 Gaming Stations between the
Gaming Facilities.
DR
(2)
(3)
The calculation of Gaming Stations related to Electronic Table Games is specified
in Appendix G.
The Tribe must obtain a transfer of a Gaming Station authorization from another
tribe that has entered into a compact with the State for the operation and use of
Gaming Stations beyond 75 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 form of which will be determined by the Tribe; provided,
however, the transfer agreement is not effective until the SGA has received notice
of the transfer, and such notice must include: the identity of the parties to the
transfer agreement, the number of Gaming Stations transferred under the
agreement, and the start and end date of the transfer agreement.
M. Wagering Amounts – Gaming Stations
(1) Gaming Station wager limits must not exceed one thousand dollars ($1,000)
except in a High Limit Room, as described in Section III.M(3).
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 7
(2) The wager limits for Electronic Table Games are five hundred dollars ($500) as
specified in Appendix G.
(3) The Gaming Operation may offer wager limits above one thousand dollars
($1,000), but not to exceed five thousand dollars ($5,000), at Restricted Access
Tables only in a High Limit Room. A “High Limit Room” means a clearly
identified area of the Gaming Facility separated by a 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. Restricted Access Tables shall
be limited to customers pre-screened by the Gaming Operation. The pre-screening
qualifications and screening process will be set forth in a Memorandum of
Understanding agreed upon by the TGA and the SGA.
(4)
T
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, are barred for self-exclusion, or self-identify as needing assistance with
problem gambling.
N.
AF
Wagering Amounts – Player Terminals
(1)
(2)
(3)
The purchase price for a single Electronic Scratch Ticket may not exceed thirty
dollars ($30).
Each Tribal Lottery System On-line Lottery Game wager may not exceed thirty
dollars ($30).
If the Washington State Lottery approves a purchase price per ticket greater than
that provided under the Compact, the Gaming Operation may increase its
DR
O.
maximum wagers and purchase price for Electronic Scratch Tickets or On-line
Lottery wagers to match the Washington State Lottery increase, provided that the
State and the Tribe agree to incorporate into the Compact, consistent with
Section XIII.E, only the specific provisions and restrictions related to the
purchase price, and such agreement will be documented in a memorandum of
incorporation.
Public Health, Safety, and Environmental Protection
(1) For the purposes of the Compact, the Gaming Operation shall comply with all
applicable federal and Tribal laws with respect to public health and safety,
including environmental protection laws, building codes, and food and beverage
handling standards.
(2) The Tribe shall make reasonable provisions for emergency service accessibility
and for adequate emergency fire, medical, and related relief and disaster services
at the Gaming Facilities.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 8
(3) Because air quality in any Gaming Facility is an important part of protecting
public health and safety, the Tribe agrees to provide a non-smoking area in each
Gaming Facility.
P. Community Contributions
As contemplated in IGRA and the Tribal Gaming Code, revenues from the Gaming
Operation have been donated to charitable organizations and used to help fund operations
of local government agencies since the Gaming Operation opened in 1996. The Tribe’s
substantial contributions have had a significant positive impact on the surrounding
community and charitable organizations. The State encourages the Tribe to continue
making such community investments to support public services, and to ensure the safety
of Gaming Operation Patrons and Gaming Employees, and to continue supporting the
valuable work of charitable organizations throughout Washington.
Q.
T
Problem Gambling and Responsible Gaming Program
The Tribe and the State recognize the importance of responsible gaming as part of the
shared responsibility to protect the health, welfare, and safety of the citizens of the Tribe
AF
and of the State. If not already implemented, the Gaming Operation must establish a
comprehensive education and awareness program that includes, at a minimum, the
following:
(1) Annual Training. The Gaming Operation will provide annual training and
education for all Gaming Employees to cover the following topics: how to
identify problem gamblers, how to provide assistance to problem gamblers when
asked, underage Gambling prevention, responding to unattended children,
information about the Tribe’s self-exclusion/barring process, and information
about the increased risk of problem gambling among people who work in the
DR
(2)
Gaming industry.
Policy. The Gaming Operation will create and maintain a responsible gaming
policy that will be made available to Patrons within the Gaming Facilities and on
the Gaming Operation’s website. The policy will include at least the following:
(a)
(b)
Information about responsible gaming;
Resources for people seeking information about problem gambling and
mitigating Gambling related harms;
(c) Information about how and where to seek treatment;
(d) Information about the process for self-exclusion measures created under
Section III.Q(3);
(e) National or local hotline numbers for people seeking assistance with
problem gambling;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 9
(f) A description of self-imposed limits offered by the Gaming Operation, if
any; and
(g) A description of procedures used to prevent underage people from
Gambling.
(3) Self-Exclusion Program. The Gaming Operation will establish a self-exclusion
program whereby a self-identified problem gambler may request exclusion from
the Gaming Facilities. Information about the self-exclusion program will be made
available to Patrons within the Gaming Facilities and on the Gaming Operation’s
website, and, if economically feasible, available within Player Account
applications. At a minimum, the website must have the ability for a Patron to
make an appointment with the Gaming Operation to self-exclude and include
information about how a Patron can initiate the process of self-exclusion.
T
When a Patron agrees to self-exclusion, the Gaming Operation will provide the
Patron with a list of resources for problem gamblers and the toll-free helpline
number for problem gambling and Gambling disorders. The Gaming Operation
will also make all commercially reasonable efforts to remove a Patron from
(4)
AF
mailing lists, including marketing and promotional materials, and deny or close
all complimentary amenities to a self-excluded Patron.
Responsible Gaming Signage and Posting.
(a) The Gaming Operation will display a commitment to responsible gaming
and a link to the policy, created pursuant to Section III.Q(2), designed to
target Patrons at locations such as all public entrances and exits to the
Gambling area, in or near Gambling areas, and in any areas where Cash or
electronic transfer of funds are available to Patrons. The Gaming
DR (b)
(c)
Operation will more fully describe where signage will be placed in an
internal policy, a copy of which will be provided to the SGA.
Each ETG Terminal, Mobile Sports Wagering application, and each
Sports Wagering Kiosk will display a commitment to responsible gaming
and a link to the policy created pursuant to Section III.Q(2). The method
of display will be determined by the Gaming Operation and approved by
the TGA.
The Gaming Operation’s advertising and marketing materials will contain
a responsible gaming message and a toll-free help-line for problem
gamblers, where practical or feasible.
(d) All direct advertising, marketing, or promotional materials will include a
clear and conspicuous method allowing Patrons to unsubscribe from future
advertising, marketing, or promotional communications.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 10
(5) Self-Imposed Limits.
(a) Either through the Mobile Sports Wagering application or through the
Player Accounts, the Gaming Operation shall include the option to self-
impose limitations on wagering parameters including, at a minimum,
(i) limits on the dollar amount of deposits a Patron can make into a Player
Account within a specified time period, (ii) limits on dollar amounts to
spend/wager within a specified time period, and (iii) limits on the total
amount of time available for play or wagering during a specified time
period. If a Patron imposes a limit, it will be effective without any changes
for at least twenty-four (24) hours.
(b) Should an interactive responsible gaming application or program be
developed to offer Patrons additional opportunities to opt-in to self-
(6)
T
imposed limitations on Class III wagering, then the Tribe will consider
whether implementing such application or program at its Gaming Facility
is feasible.
Tribal Certification. No later than June 30 of each year, the TGA will certify to
IV. AF
the SGA that the Gaming Operation’s responsible gaming education and
awareness program satisfied the requirements described in this Section III.Q for
the prior calendar year.
CLASS III GAMING ACTIVITIES AND OTHER GAMING ACTIVITIES
The Gaming Operation may conduct in the Gaming Facilities, subject to the terms and conditions
of the Compact, any or all of the Class III Gaming activities not specifically prohibited by
federal law and not prohibited by the State as a matter of criminal law; provided any Class III
Gaming activity or Class III Gambling Device not authorized in the Compact is prohibited.
D
A.
R
Class III Table Games
(1)
(2)
Existing Games. The Gaming Operation may offer any Class III table game
authorized for play in the State of Washington pursuant to the table game rules
approved at the time of the effective date of the Compact.
Modifications. If the Gaming Operation wishes to modify game rules of an
approved Class III table game, it shall first provide the modified game rules to the
TGA for review and approval. Once the TGA has reviewed and approved the
modified game rules, the TGA shall provide the SGA with the approved
modifications to the rules. If the SGA takes no action on the submitted
modifications to the game rules within twenty (20) days, the Gaming Operation
may begin offering the table game. If, however, the SGA disagrees with the
proposed modified game rules, it shall provide a notice of disagreement to the
TGA setting forth with specificity the reasons for such disagreement. Upon a
notice of disagreement, the TGA and the SGA shall meet, and in good faith try to
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 11
resolve the differences. If unsuccessful, the matter shall be resolved pursuant to
Section XI.
(3) Approved in Washington After Effective Date. If the Gaming Operation wishes to
offer any Class III table game not approved at the time of the effective date of the
Compact but subsequently authorized for play in the State of Washington and
played in accordance with the rules as approved, it shall first provide the game
rules to the TGA for review and approval, and the TGA shall provide the table
game rules to the SGA at least twenty (20) days prior to the time play shall begin.
If, however, the SGA disagrees with the proposed table game rules, it shall
provide a notice of disagreement to the TGA, setting forth with specificity the
reasons for such disagreement. Upon a notice of disagreement, the TGA and the
SGA shall meet, and in good faith try to resolve the differences. If unsuccessful,
the matter shall be resolved pursuant to Section XI.
(4)
T
New Table Games. If the Gaming Operation wishes to offer any Class III table
game that does not fall under subsections (1), (2), or (3) above, it shall first
provide the game rules to the TGA for review and approval. Once the TGA has
reviewed and approved the table game rules, the following items shall be
AF
submitted to the SGA at least sixty (60) days prior to the time play shall begin:
(a)
(b)
(c)
(d)
The proposed rules;
Manner of regulation;
Manner of play; and
Any equipment included as part of the proposal. A working model of the
equipment will be submitted to the SGA prior to installation and
DR (5)
implementation of the equipment.
If the SGA takes no action on the submission within sixty (60) days, the Gaming
Operation may begin offering the game. If, however, the SGA disagrees with the
submission, it shall provide a notice of disagreement to the TGA setting forth with
specificity the reasons for such disagreement. Upon a notice of disagreement, the
TGA and the SGA shall meet, and in good faith try to resolve the differences. If
unsuccessful, the matter shall be resolved pursuant to Section XI.
Electronic Table Games. The Gaming Operation may offer Electronic Table
Games, operated in conformity with Appendix G.
B. Tribal Lottery System
The Gaming Operation may offer Tribal Lottery Systems operated in conformity with
Appendix X2.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 12
C. Tribal Lottery System Wide Area Progressives
The Gaming Operation may offer Tribal Lottery System Wide Area Progressives
operated in conformity with Appendix W.
D. Electronic Gambling Devices
The Gaming Operation may offer Electronic Gambling Devices, as defined herein and
the Johnson Act, 15 U.S.C. § 1171, operated in conformity with Appendix Y.
E. Keno
(1) The Gaming Operation may offer any Keno System approved for play in the State
of Washington pursuant to the game rules and Internal Controls approved at the
time of the effective date of the Compact.
(2)
(3)
T
The wagering limit for Keno is five hundred dollars ($500).
If the Gaming Operation wishes to offer a modification to the game rules or
Internals Controls of a currently authorized Keno System or a new Keno System
AF
that was not approved at the time of the effective date of the Compact, but was
subsequently authorized for play in the State of Washington, it shall first provide
the game rules or Internal Controls to the TGA for review and approval, and the
TGA shall provide the game rules or Internal Controls to the SGA at least twenty
(20) days prior to the time play shall begin. If the SGA takes no action within
twenty (20) days, the Gaming Operation may begin offering the game. If,
however, the SGA disagrees with the proposed game rules or Internal Controls, it
shall provide a notice of disagreement to the TGA, setting forth with specificity
the reasons for such disagreement. Upon a notice of disagreement, the TGA and
DR (4)
the SGA shall meet, and in good faith try to resolve the differences. If
unsuccessful, the matter shall be resolved pursuant to Section XI.
If the Gaming Operation wishes to offer a Keno System that does not fall under
Section IV.E(1) or (3), it shall first provide the game rules, manner of regulation,
and manner of play to the TGA for review and approval. Once the TGA has
reviewed and approved the submission as described above, the game rules,
manner of regulation, manner of play and the proposed Keno System equipment
will be submitted to the SGA for review, testing, and approval at least sixty (60)
days prior to time play shall begin. If the State takes no action on the submission
within sixty (60) days, the Gaming Operation may begin offering the game. If,
however, the SGA disagrees with the submission, it shall set forth with specificity
the reasons for such disagreement. Upon a notice of disagreement, the TGA and
the SGA shall meet, and in good faith try to resolve the differences. If
unsuccessful, the matter shall be resolved pursuant to Section XI.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 13
F. Washington State Lottery Tickets
The sale of State lottery tickets on Tribal Lands shall be subject to the provisions of
RCW 67.70, WAC 315, and the Tribal Gaming Code.
G. Lottery-Type Games
(1) The Gaming Operation may offer games including keno-type games, instant
tickets, raffles, or other lottery-type games authorized for play for any purpose by
any person, organization, or entity in the State of Washington that are not
otherwise treated as Class II Gaming in Washington pursuant to 25 U.S.C.
§ 2703(7); provided, that the Gaming Operation shall first provide the proposed
rules, manner of regulation, manner of play, and if the proposal includes
Gambling equipment, the proposed equipment, to TGA for review and approval.
(2)
T
Once the TGA has reviewed and approved the submission as described in
subsection (1) above, at least sixty (60) days prior to the time play shall begin, the
TGA will submit to the SGA the following:
(a)
(b)
(c)
(d)
AFProposed rules;
Manner of regulation;
Manner of play; and
If the proposal includes Gambling equipment, the proposed equipment
will be submitted to the SGA for testing and approval prior to installation
and implementation.
DR
H.
(3) If the State takes no action on the submission within sixty (60) days, the Gaming
Operation may begin offering the game. If, however, the SGA disagrees with the
submission, it shall set forth with specificity the reasons for such disagreement.
Upon a notice of disagreement, the TGA and the SGA shall meet, and in good
faith try to resolve the differences. If unsuccessful, the matter shall be resolved
pursuant to Section XI.
Satellite (Off - Track) Wagering on Horse Races
The Gaming Operation may offer Satellite (off-track) Wagering on horse races, in
conformity with Appendix B.
I. Sports Pools
The Gaming Operation may offer sports pools on regularly scheduled athletic contests of
100 squares wherein each square is sold for not more than one hundred dollars ($100)
and all proceeds, less a Tribal administrative charge of no more than 50 cents (.50) for
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 14
each ten dollars ($10) wagered, are awarded as prizes. The sports pool may be conducted
only as follows:
(1) A board or piece of paper is divided into 100 equal squares, each of which
constitutes a chance to win in the sports pool and each of which is offered directly
to prospective contestants;
(2) The purchaser of each chance or square signs their name on the face of each
square purchased;
(3) No later than prior to the start of the subject athletic contest, the pool is closed and
no further chances are sold;
(4) After the pool is closed a prospective score is assigned, by a random drawing to
each square; and
(5)
T
The sports pool board must be available for inspection by any Player purchasing a
chance, the TGA, and the SGA, at all times prior to the payment of the prize.
J.
K.
AF
Punchboards and Pull Tabs – Separate Locations
The Gaming Operation may utilize punchboards and pull tabs in each Gaming Facility
and at other locations under the Tribe’s jurisdiction subject to regulation and licensing by
the TGA and operated in a manner consistent with the sale of punchboards and pull tabs
under IGRA.
Sports Wagering
The Gaming Operation may offer Sports Wagering operated in conformity with
DR
A.
V.
Appendix S.
LICENSING, STATE CERTIFICATION, ELIGIBILITY DETERMINATION,
Gaming Facilities
AND REGISTRATION
The Gaming Facilities authorized and regulated by the Compact shall be licensed by the
TGA in conformity with the requirements of the Compact and the Tribal Gaming Code
prior to commencement of operation.
B. New Facility or Expansion of Existing Facility
Verification that the Compact and Tribal Gaming Code requirements have been met for
any new or additional Gaming Facilities, or for expansion of an existing Gaming Facility,
shall be made by the TGA and the SGA. The TGA and the SGA shall meet as soon as
practicable, but in any event, before construction begins of a new, or expansion of an
existing, Gaming Facility to discuss expectations and timelines, including the schedule
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 15
for routine status meetings. The TGA and the SGA 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 shall be scheduled at least
thirty (30) days prior to the scheduled opening to the public. If a Gaming Facility fails to
meet the pre-operation requirements, the TGA or the SGA must send a written and
detailed non-compliance letter and report to the Tribe and the Chief Executive Officer
seven (7) business days before the scheduled opening to the public. If the TGA and the
SGA 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. If a dispute regarding this inspection cannot be
resolved by the TGA and the SGA, the Parties may seek resolution pursuant to
Section XI. Provided, if the issues identified in the non-compliance letter do not include
requirements addressing the security, integrity, operation scope, or licensing of essential
C.
T
personnel, the Parties may mutually agree to a corrective action plan to promptly address
the deficiencies and agree to operate the Gaming Facility pending the corrective action
plan.
Gaming Employees
D. AF
Appendix L governs the licensing of Gaming Employees, a process that includes both the
TGA and the SGA.
Manufacturers and Suppliers of Gaming Services
Each manufacturer and supplier of Gaming Services and its representatives shall be
licensed by the TGA and certified by the SGA as described in Appendix L, Section 3,
prior to the sale of any Gaming Services to the Tribe.
D
E.
R
F.
Financiers
Any party who intends to extend financing, directly or indirectly, to the Gaming
Operation must obtain a Tribal license and State Certification as described in
Appendix L, Section 3, before executing any financing agreement and annually thereafter
as long as the financing agreement is in effect.
Identification Cards
The TGA shall require all Gaming Employees, representatives of manufacturers and
suppliers of Gaming Services, and representatives of Sports Wagering Vendors to carry
on their person at all times identification cards issued by the TGA which include the
licensee’s photo, first name, an identification number unique to the licensee’s Tribal
license, a Tribal seal or signature, and a date of expiration. The TGA will determine
which Gaming Employees are not required to visibly display their identification card and
will identify those Gaming Employees to the SGA upon request.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 16
VI. TRIBAL ENFORCEMENT OF COMPACT REQUIREMENTS
A. Tribal Regulation
The ultimate responsibility for ensuring the regulation, control, and integrity of the
Gaming activities authorized by the Compact will be that of the Tribe. The Tribe will
provide for and oversee or delegate the following functions:
(1) Enforcement of all applicable laws and regulations in the Gaming Facilities; and
(2) Ensuring the physical safety of all people in the Gaming Facility.
B. Tribal Gaming Agency
The TGA shall have the primary responsibility for the on-site regulatory compliance of
T
the Gaming Operation authorized by the Compact and enforcement of such compliance
on Tribal Lands.
As part of its structure and as related to the regulation and integrity of Gaming, the TGA
will perform the following functions or ensure that they are being performed by the Tribe
or its designee:
(1)
(2)
(3)
AF
Ensuring the physical safeguarding of Gaming assets;
Protecting the Patrons’ and the Gaming Facilities’ property from illegal activity;
As directed by Tribal Law Enforcement, temporarily detaining any person who
may be involved in illegal acts, for the purpose of notifying Tribal or Non-Tribal
Law Enforcement; and
DR
C.
(4) Recording, in a permanent and detailed manner, any unusual occurrences, all
incidents requiring further review, alleged violations, and investigations occurring
within the Premises.
Tribal Gaming Agents
(1) The TGA shall employ qualified agents. TGA agents shall be independent of the
Gaming Operation, and shall be supervised by and accountable only to the TGA
or to the Tribal Law Enforcement, if so authorized by the TGA. TGA agents shall
not be required to be certified by the State.
(2) A Tribal Gaming Agent shall be present in the Gaming Facilities during such
times as prescribed by the Tribe through the Tribal Gaming Code in an amount
sufficient to perform the TGA’s responsibilities and duties under the Compact.
The TGA shall notify the SGA of any proposed changes to the Tribal Gaming
Code that would revise such on-site hours, and no changes in hours will be
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 17
implemented until the SGA has commented or thirty (30) days has lapsed,
whichever occurs first.
D. Investigation
(1) The TGA shall investigate any reported, observed, or suspected violation of the
Compact or the Tribal Gaming Code and shall require the Gaming Operation to
correct the violation upon such terms and conditions as the TGA determines
necessary.
(2) If requested by the TGA, the SGA shall assist in any investigation initiated by the
TGA and provide other related investigation services for which the Tribe agrees
to reimburse the SGA for its costs.
E. Reporting of Violations
(1)
T
If the Gaming Operation, a Gaming Employee, manufacturer or supplier of
Gaming Services, or any person on the Premises whether or not associated with
the Gaming Operation becomes aware of any violation of the provisions of the
F.
(2)
AF
Compact or illegal activity, such Individual shall immediately report the violation
or illegal activity to the TGA. The TGA shall notify the SGA within seventy-two
(72) hours of the time any Gambling and Gambling-related crimes or suspected
Gambling crime were reported.
The TGA shall make available to the SGA at the TGA office, or another site as
agreed, all completed incident and investigation reports and final dispositions of
investigations.
Gaming Operation Closure
DR
A.
The TGA will notify the SGA in the event of an unplanned closure of any Gaming
Facility to the public for longer than twenty-four (24) hours. Notice will be provided as
soon as possible but no later than seventy-two (72) hours after the closure began.
VII. STANDARDS OF OPERATION
Adoption of Standards of Operation and Management
The Internal Controls which govern the operation and management of the Gaming
Operation, have been approved by the TGA and concurred by the SGA based on the
minimum operating standards set forth in the Compact. Any new or revised Internal
Controls must ensure that the interests of the Tribe and the State relating to Class III
Gaming are preserved and protected, maintain the integrity of the Gaming Operation, and
reduce the dangers of unfair or illegal practices in the conduct of the Class III Gaming
Operation. The Gaming Operation must submit any new or revised Internal Controls and
copies of any forms used to the TGA for approval. The TGA will review any new or
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 18
revised Internal Controls to ensure compliance with Tribal law, in addition to the
requirements in the Compact.
(1) When the TGA approves new or revised Internal Controls, the TGA will send the
Internal Controls to the SGA for concurrence. The SGA’s concurrence will be
deemed granted after twenty (20) days of the receipt of such Internal Controls if
no disapproval in writing from the SGA is received by the TGA, unless otherwise
specified in the Compact. The SGA shall only disapprove such portions of any
new or revised Internal Controls it finds would have a material adverse impact on
public interest or on the integrity of the Gaming Operation and shall detail the
reasons for disapproval.
(2) The TGA shall ensure Internal Controls are not implemented until the SGA has
concurred or twenty (20) days has lapsed, and the Tribe did not receive a written
B.
disapproval within that time.
Game Rules Posting
T
Summaries of the rules of each game relevant to the method of play and odds paid to
C. AF
winning bets shall be displayed or available in the Gaming Facilities and as specified in
the Compact or Appendices. Betting limits applicable to any Gaming Station shall be
displayed at such Gaming Station.
Additional Operation Requirements
(1) The TGA shall require the audit of the Gaming Operation, not less than annually,
by an Independent Accountant, in accordance with the auditing and accounting
standards for audits of casinos of the American Institute of Certified Public
Accountants. Appendix A contains the requirements for audited financial
DR
(2)
(3)
statements and other reports.
To ensure integrity, detailed security and surveillance logs will be kept in
accordance with the specifications set out in the Internal Controls, and in a written
or computerized record that shall be available for inspection by the TGA and the
SGA in accordance with Section VIII.B.
Each Gaming Facility shall have a Closed Surveillance System according to the
specifications set out in Appendix A and the Internal Controls. Copies of the floor
plan, a depiction showing the type and location of surveillance cameras, and any
modifications thereof shall be provided to the TGA for review. If the floor plan or
Closed Surveillance System does not provide unobstructed camera views, the
floor plan or Closed Surveillance System must be modified in order to remedy
such deficiency. The TGA shall make available to the SGA the floor plan and
Closed Surveillance System in accordance with Section VIII.B.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 19
(4) The TGA shall establish a list of persons barred from the Gaming Facilities and
will make a copy of the list available to the SGA in accordance with
Section VIII.B.
D. Records Retention
Unless otherwise specified in these standards or exempted by the TGA, all records,
documents, and data required to be maintained in this Section VII shall:
(1) Be maintained at such location as approved by the TGA; and
(2) Be retained for at least two (2) years in a manner and location that assures
reasonable access by the TGA and the SGA.
VIII. COOPERATIVE ENFORCEMENT OF COMPACT REQUIREMENTS
T
The Tribe recognizes the benefit of cooperative monitoring, investigating, and reporting between
the Tribe and the State to further the goal of fair and honest Gaming. The cooperative
enforcement of the Compact requirements will be conducted as described in this Section.
A.
AF
State Gaming Agents – Monitoring
(1) The TGA and the SGA shall work together cooperatively to monitor the Gaming
Operation to ensure that Gaming is conducted in compliance with the provisions
of the Compact. The SGA will coordinate inspections or investigations with the
TGA prior to onsite monitoring of the Gaming Operation unless coordination
would compromise the inspection or investigation, in which case the SGA will
coordinate with the Tribe.
DR
(2)
(3)
SGA agents shall provide proper identification at the time of inspection to the
appropriate Tribal representatives; provided the SGA Director may assign agents
to work in an undercover capacity to assist in monitoring the provisions of the
Compact. The TGA and the SGA shall establish protocols that allow the TGA to
confirm that the SGA agent is duly authorized by the State to monitor the Gaming
Operation.
Agents of the SGA and, as applicable, the Washington Horse Racing
Commission, shall have access to all areas of the Gaming Facility during
operating hours with prior notice to the TGA, and with or without giving prior
notice to the Gaming Operation.
(4) Following an investigation, and to the extent such disclosure does not jeopardize
the investigation or the personal safety of any person, the SGA shall provide the
TGA with a report of the investigation, including information about evidence
gathered in connection with the investigation.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 20
B. Access to Records
(1) Agents of the SGA may review at the TGA office, Gaming Facilities, or another
location to be determined by the TGA, during operating hours, all applicable
Class III Gaming records maintained by the Gaming Operation as necessary to
verify compliance with provisions of the Compact and all records related to
Gambling and Gambling-related crimes.
(2) Regardless of the storage system used for Class III Gaming records, the records
shall be in a format accessible by agents of the SGA.
(3) The SGA is mindful of the Tribe’s desire for privacy and agrees to examine all
records at the TGA office, Gaming Facilities or other location to be determined by
TGA, to the extent practical. Where the SGA determines it is necessary to make
and retain a copy of any such record for the purpose of an investigation, it will
T
notify the TGA of the specific document it requests to be copied and will limit the
scope of its request to only such documents or portions of such documents
necessary for its investigation.
C.
(4)
AF
Any information or records provided to the SGA shall be deemed strictly
confidential and proprietary information of the Tribe and shall not be disclosed
except as required under law or the terms of the Compact. The SGA or, as
applicable, the Washington Horse Racing Commission, shall notify the Tribe, by
certified mail, or by other mutually agreed upon means, of requests for disclosure
of the Tribe’s information and shall not disclose any such information until the
Tribe, the State, or both have had a reasonable opportunity to challenge the
request.
Investigations
DR
(1)
(2)
As appropriate under federal law and State law, one or more of the TGA, Tribal
Law Enforcement, Non-Tribal Law Enforcement Agencies, and the SGA under
RCW 9.46.210, will have concurrent jurisdiction to investigate violations of the
provisions of the Compact and Gambling and Gambling-related crimes, and to
bring administrative and criminal charges, in accordance with the Compact, and
applicable Tribal and State laws and regulations. Notwithstanding the foregoing,
the Tribe may refer the investigation of violations of federal law to federal
authorities.
The SGA will notify the TGA of any alleged violations of the provisions of the
Compact and may request the TGA take appropriate enforcement and/or
corrective action. If the TGA intends not to take the action recommended by the
SGA, it shall set forth with specificity the reasons for such disagreement. Upon a
notice of disagreement, the TGA and the SGA shall meet, and in good faith try to
resolve the differences. If unsuccessful, the matter shall be resolved pursuant to
Section XI.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 21
D. TGA Access to SGA Records
At the completion of any inspection or investigation, copies of the report will be
forwarded to the TGA along with copies of evidence and information pertinent to the
inspection or investigation. The TGA may inspect and copy records maintained by the
SGA concerning Class III Gaming by the Tribe subject to any constraints imposed by the
SGA’s accreditation as a law enforcement agency, requirements under RCW 9.46.210(4)
and RCW 10.97, and status as a member of a law enforcement intelligence sharing
organization, such as the Law Enforcement Intelligence Unit (LEIU), Fusion Centers,
INTERPOL, and similar organizations.
E. Cooperation With TGA
(1) To maintain the partnership for enforcement of the provisions of the Compact,
representatives of the TGA and the SGA will meet at least once every twelve (12)
(2) T
months to review the regulatory program for the Gaming Facilities.
The SGA and, as applicable, the Washington Horse Racing Commission, will
promptly notify the TGA or the Tribe of any activity suspected or occurring,
A.
AF
whether within a Gaming Facility or not, which adversely affects State, Tribal, or
public interests relating to the Gaming Facilities and Gaming Operation.
IX.
Jurisdictional Issues Generally
JURISDICTION
Except as expressly set forth herein, nothing in the Compact is intended nor shall it
confer upon the State or any other non-tribal entity any jurisdiction with respect to non-
gaming related activities on Tribal Lands. Except as expressly set forth herein, and then
DR
B.
only to the extent expressly set forth herein, the terms of the Compact do not constitute a
waiver of sovereign immunity from unconsented lawsuit and any such waiver is and shall
be deemed to be only a limited waiver solely for the purposes set forth in the Compact.
The terms of such limited waiver of sovereign immunity shall be strictly construed.
Criminal Matters
(1) Investigative Authority. The TGA, Tribal Law Enforcement, Non-Tribal Law
Enforcement Agencies, and the SGA under RCW 9.46.210, will have the
authority to investigate and arrest, if necessary, such persons involved in any
Gambling and Gambling-related crimes against the laws of the Tribe and
applicable laws of the State that occur within the Gaming Facilities or within
Tribal Lands, only in accordance with its respective jurisdictions.
(2) Jurisdictional Forums. Following investigation and arrest, formal charges may be
brought in the appropriate venue. Criminal prosecution of Non-Indians will be
through the proper state or federal courts. Criminal prosecution of Indians will be
through the proper Tribal or federal court.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 22
C. Civil Matters
(1) Concurrent Jurisdiction. The TGA and the SGA have concurrent jurisdiction to
investigate violations of the provisions of the Compact and to bring administrative
charges in the appropriate forum, in accordance with Tribal Laws or the
provisions of RCW 9.46 and WAC 230-17, made applicable by the Compact,
against any Applicant and/or Individual that is licensed by the TGA, and/or holds
a State Certification or is subject to Eligibility Determination, or Gaming
Employee Registration or is licensed by the SGA in accordance with the
provisions of the Compact.
(2) Tribal Jurisdiction. Civil disputes arising from the conduct of Gaming under the
Tribal Gaming Code may be heard in Tribal court or appropriate administrative
forum as established by the Tribal Gaming Code.
D. Sanctions and Civil Fines
T
The TGA and the SGA shall enter into a Memorandum of Understanding, which may be
amended from time to time, to define the schedule and distribution of civil fines and
E.
sanctions.
AF
Limited Application of State Criminal Law
For the purposes of 18 U.S.C. § 1166(d) and enforcing the provisions of the Compact,
and of protecting the public health, safety and welfare, and to the extent not inconsistent
with other provisions of the Compact, RCW 9.46.0245; 9.46.0269; 9.46.0364; 9.46.0368;
9.46.037; 9.46.038; 9.46.155; 9.46.160; 9.46.170; 9.46.180; 9.46.185; 9.46.190;
9.46.195; 9.46.196; 9.46.1961; 9.46.1962; 9.46.198; 9.46.212; 9.46.215; 9.46.217;
9.46.220; 9.46.221; 9.46.222; 9.46.225; 9.46.228 (1), (2), (4) & (5); 9.46.231; 9.46.235;
DR
F.
9.46.240; 67.04; 67.16; 67.24; 67.70; 74.08.580; 9A.52; 9A.56; 9A.60; 9A.68; 9A.82;
9A.83.020; 9.35.010; 9.35.020; as now or hereinafter amended, to the extent such
amendments concern the same subject matter as the old statutory provisions, shall be
applicable and incorporated herein as part of the Compact and the Tribe consents to this
transfer of jurisdiction to the State with respect to Gaming on Tribal Lands.
Law Enforcement Coordination
In an attempt to foster a spirit of cooperation between the Tribal Law Enforcement and
Non-Tribal Law Enforcement agencies authorized to enforce the criminal laws of the
State, the Tribe, and those laws affecting the public health, safety and welfare of the
surrounding communities, representatives of those law enforcement agencies may meet
periodically to discuss mutual concerns and coordinate the enforcement actions necessary
to minimize those concerns.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 23
G. Reporting Requirements
The Tribe shall cooperate with requests from the SGA to provide the information, on site
and during regular business hours per Section VIII.B(1), required for the SGA’s reporting
requirements under RCW 9.46.090. If the Tribe determines that providing any specific
information requested is inconsistent with its sovereignty and its need to protect its
proprietary business information, the Tribe will not provide such information and will
notify the SGA of such determination.
H. Preservation of Tribal Self-Government
Nothing in the Compact will be deemed to authorize the State:
(1) To regulate in any manner the government of the Tribe;
(2)
(3)
T
To interfere with the Tribe’s selection of its governmental officers, including
officers, agents, or employees of the TGA; or
To regulate or maintain any authority over any issue, matter, Individual, or the
X.
AF
Tribe that is not specifically and affirmatively addressed by the Compact, any
other law, or by agreement between the Parties.
REIMBURSEMENT FOR REGULATORY EXPENSES INCURRED BY THE
STATE GAMING AGENCY
State regulatory fees were once fully addressed in Appendix X2, Section 13, but are now
addressed in this Section X. Fees for State Certification, Employee Eligibility, and Registration
are included in Appendix L, Section 2.
D
A.
R
Set-up Fee
As part of the recoverable cost of regulating Tribal Lottery Systems under Appendix X2,
the SGA shall be entitled to the reasonable cost of initially setting up such regulation
(“Set-up Fee”) of one hundred eighty-four thousand, eight hundred sixty-six dollars
($184,866). The Tribe paid its pro rata share of the Set-up Fee (i.e., dividing the entire
amount due by the number of Eligible Tribes at the time such determination is made). In
the event the Tribe paid the State Gaming Agency more than its pro-rata share of the Set-
up Fee, it shall be reimbursed by way of future Regulatory Fee credits based on the
collection by the State Gaming Agency of additional pro-rata payments from other
Eligible Tribes, the addition of such tribes and resulting recalculation of the pro-rata
amount per tribe, or both, as the case may be. The pro-rata amount per tribe shall be
redetermined by the State Gaming Agency at least once a year to take into account the
collection of further tribal pro-rata payments or the addition of new Eligible Tribes, and
further credits due as a result thereof shall be applied to the next billing period.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 24
B. Annual Regulatory Fees
The Tribe agrees to pay its share of the State Gaming Agency’s Actual Costs which are
reasonably incurred in order to commence and carry out its regulatory functions with
respect to the Tribe’s Gaming under the Compact, through the payment of an annual
“Regulatory Fee.” For the sake of convenience and efficiency, the Regulatory Fee shall
also include any Actual Costs which were incurred by the State Gaming Agency in
connection with the Tribe’s Class III Gaming. “Actual Costs” as used herein shall mean
those costs that were reasonably incurred in order to protect the honesty and integrity of
the Gaming being operated by the Tribe under, and to monitor the Tribe’s compliance
with, the Compact. Costs incurred in common for more than one tribe shall be allocated
among such tribes. For purposes of this Section, prior years’ Actual Costs shall be based
on those such costs incurred for the twelve (12) months ending June 30. Regulatory Fees
shall be calculated and paid as follows:
(1)
T
Cost Allocation. Notwithstanding anything in the Compact to the contrary, the
Regulatory Fees for all Class III Gaming activities under the Compact, shall be set
by determining the cost of regulating the Tribe’s Class III Gaming activities using
the SGA’s cost allocation model currently in use.
(2)
AF
Billing and Payment. The SGA shall notify the Tribe of the forthcoming
Regulatory Fee at least forty-five (45) days prior to it becoming due. Regulatory
Fees may be paid for an entire year in advance of the date on which the billing
year commences (calendar year) or in no more than twelve equal monthly
installments, each of which shall be due on the first day of each month, which
monthly payments shall commence on the first day of the first month of the
billing year, or within forty-five (45) days following notification of the amount of
the forthcoming year’s Regulatory Fee, whichever is later.
DR
(3)
(4)
Audit. The SGA shall send the Tribe an annual audited accounting of Actual
Costs on or before April 30th of the following year.
Revisions to State’s Cost Allocation Model. The SGA may revise its cost
allocation model, which shall become effective upon ninety (90) days’ notice to
the Tribe. If the Tribe disputes the revised model, the SGA and the Tribe shall
meet and confer in an attempt to resolve the matter within thirty (30) days. If the
Parties cannot resolve the dispute, the dispute resolution provisions set forth in
Section X.C shall apply.
C. Regulatory Fee Disputes
If the Tribe disputes the State’s determination of the Regulatory Fee, the Tribe shall pay
no less than the amount of the fee which is not in dispute to the SGA when due and
deposit the disputed amount into an escrow account that is restricted until such dispute is
resolved. If the Tribe fails to make the required payment to the SGA or deposit into
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 25
escrow, the State may pursue any of the remedies set forth in Section XI for the Tribe’s
alleged breach thereof.
D. Alternative Fee Agreements
Notwithstanding any other provision of the Compact, the TGA and the SGA may enter
into an MOU regarding fees.
XI. DISPUTE RESOLUTION AND REMEDIES FOR BREACH OF COMPACT
A. Introduction
In recognition of, and consistent with, the government-to-government relationship of the
Tribe and the State, the Parties shall make their best efforts to resolve disputes by good
faith negotiations whenever possible. Therefore, the Parties hereby establish a method of
T
non-judicial dispute resolution in order to foster a spirit of cooperation and efficiency in
the administration and monitoring of performance and compliance by each other with the
terms, provisions, and conditions of the Compact.
B.
AF
Dispute Resolution Alternatives
(1) Meet and Confer. In the event of a dispute or disagreement between the Parties
regarding the implementation and compliance with any terms, conditions, and
provisions of the Compact, or otherwise by mutual agreement of the Parties,
disputes shall be resolved as follows:
(a) Either Party shall give the other, as soon as possible after the event giving
rise to the concern, written notice setting forth the nature of the dispute
(including reference to the relevant portions of the Compact), and the
DR (2)
(b)
issues to be resolved.
The Parties shall meet and confer in a good faith attempt to resolve the
dispute through negotiation not later than twenty (20) business days from
receipt of the notice.
Mediation. If the dispute is not resolved to the satisfaction of either Party within
twenty (20) business days of the first meeting, then the Parties, by agreement,
may seek and cause to have the dispute resolved by formal mediation, in which
event the Parties shall use their best efforts to select a mediator as soon as
possible. The mediator’s fees and attendant costs of mediation shall be borne
equally by the Parties.
The Parties understand that informal and formal mediation may not always lead to
satisfactory results. In the event either Party is dissatisfied with informal and/or
formal mediation, they may seek judicial resolution of any disagreement relating
to the administration, monitoring of performance and compliance with the terms,
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 26
provisions and conditions of the Compact. However, the Parties are free under the
Compact to agree to other alternative dispute resolution mechanisms.
(3) Standard Arbitration.
(a) In the event informal and/or formal mediation fails to resolve the dispute
between the Parties, the Parties may choose by mutual agreement to
resolve the dispute by arbitration. In no event may the request for
arbitration be made earlier than twenty (20) business days after a Party has
properly notified the other Party under the procedures set forth in
Sections XI.B(1) and (2).
(b) Sites for such arbitrations shall alternate between Tribal Lands and the
SGA or the Washington Horse Racing Commission offices, as applicable,
after each arbitration dispute, as follows: the first arbitration dispute, until
T
completed, shall be held on Puyallup Tribal Lands; the next arbitration
dispute, until completed, shall be held at the SGA or the Washington
Horse Racing Commission offices; and so forth.
(c)
(d)
AF
In the event the Parties agree to arbitration, the Tribe and the SGA or the
Washington Horse Racing Commission, as applicable, shall, within five
(5) business days, agree upon an arbitrator to decide the matter at issue or
agree upon a procedure for the selection of an arbitrator. The Parties shall
also agree on the rules, policies and procedures to be used in the
arbitration.
The arbitration, unless another date is stipulated to by the Parties, shall
occur no later than fourteen (14) business days from the date an arbitrator
is named. The arbitrator may, in their discretion, impose a case
DR (e)
management schedule on the Parties to provide for reasonable time needed
for discovery, fact gathering, expert witnesses, etc. Time periods shall be
reasonable and necessary as required by the circumstances, without
providing undue delay. In all circumstances, however, the arbitrator shall
issue a final decision no later than one (1) year from the initial written
request for arbitration. The Parties may, by mutual agreement, continue
the mediation process set out in Section XI.B(2) until the arbitration
begins.
The decision of the arbitrator shall be final for the purpose of concluding
the non-judicial phase of the arbitration process, but the final decision of
the arbitrator may be subject to judicial review.
(f) The arbitrator shall, consistent with the Compact, have the power to
impose fines only as consistent with Section IX.D and award equitable
relief in their discretion and as the circumstances warrant.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 27
(g) Each Party to the arbitration shall bear its own costs and attorney fees, and
the costs of the arbitrator(s) shall be borne equally by the Parties.
C. Injunction Against the State
The Tribe may bring an action to seek injunctive or other relief against the State, whether
against the SGA or the Washington Horse Racing Commission, if the Tribe determines
that the State is in breach or default or is otherwise acting contrary to or failing to act in
the manner required by the provisions of the Compact. Such action will be brought in the
U.S. District Court for the Western District of Washington, pursuant to RCW 9.46.36001.
Prior to bringing such action, the Tribe will notify the State and the SGA of the alleged
violation(s). For purposes of this remedy, the State consents to this suit and waives any
defense it may assert by way of its sovereign immunity.
D. Injunction Against the Tribe, the Gaming Operation, or any Individual
T
The State may bring an action to enjoin the Tribe, the Gaming Operation, or any
Individual if the State determines that any Gaming authorized by the provisions of the
Compact is being conducted in violation of the provisions of the Compact, or if any
E.
AF
Class III Gaming activity is being conducted on Tribal Lands in violation of the
provisions of the Compact. Such action will be brought in the U.S. District Court for the
Western District of Washington, pursuant to 25 U.S.C. § 2710(d)(7)(A)(ii). Prior to
bringing such action, the State will notify the Tribe of the alleged violation(s). For
purposes of this remedy, the Tribe consents to this suit and waives any defense it may
assert by way of its sovereign immunity.
Limited Waiver of Sovereign Immunity
The Tribe and the State agree and understand that waivers of sovereign immunity
DR
defenses must be express and unambiguous and are narrowly construed. Nothing
contained in the Compact shall be construed or interpreted to be a consent, grant, or
waiver of any sovereign right or immunity either the Tribe and/or its citizens or the State
enjoy, except as expressly provided hereinafter:
(1) The Tribe hereby agrees to a limited waiver of sovereign immunity from
unconsented suit for the sole purpose, and no other purpose, of consenting to the
suits specified in Section XI.B, such waiver to be in effect only so long as the
Compact is in effect, but in no event shall the limited waiver be construed to
allow for monetary relief against the Tribe, except to the extent it is for the
payment of fines and sanctions under Section IX.D, and in such case, against only
the revenues from the Gaming Facility or from the sale of Gaming-related assets.
(2) The State and the SGA represent and acknowledge that the State has waived its
sovereign immunity with respect to suits interpreting or enforcing any contract to
which the State and/or its subordinate agencies have entered into with a private
party, which includes an Indian tribe. In addition, the State and the SGA represent
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 28
and acknowledge that the State has waived its immunity from those suits as set
forth in RCW 9.46.36001. Notwithstanding such statutory waivers of immunity,
the State hereby reiterates and agrees to a limited waiver of sovereign immunity
for the sole purpose, and no other purpose, of consenting to the suits specified in
Sections XI.B and XI.C, and any other suits set forth in RCW 9.46.36001, such
waivers to be in effect only so long as the Compact is in effect.
F. References
The Parties are aware that some sections of the Compact contain an explicit reference to
Section XI in the event a dispute arises under that section. Notwithstanding such explicit
references, and with respect to all other sections of the Compact, it is the Parties’ intent
that any dispute of whatever kind, type, or nature arising under the Compact shall be
subject to the provisions of Section XI.
XII.
T
LIMITATION OF LIABILITY
Neither the Tribe nor the State are creating, or intending to create, any rights in third parties
which would result in any claims of any nature whatsoever against the Tribe or the State as a
AF
result of the Compact. Neither the Tribe nor the State have waived their immunity from third
party suits or claims of any kind or nature whatsoever against them, and nothing contained in the
Compact shall be construed to effect a waiver, in whole or in part, of said immunity.
A.
XIII. EFFECTIVE DATE, DURATION, AND AMENDMENTS
Effective Date
The Compact will be 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.
DR
B.
§ 2710(d)(3)(B).
Absent provisions to the contrary contained herein, any Internal Controls, game rules,
Memoranda of Understanding, and similar documents agreed to and in effect as of the
date of the publication of the Seventh Amendment, which Amendment consists of the
Compact and accompanying appendices, are to remain in full force and effect unless and
until they are subsequently modified pursuant to the process set forth in the Compact.
Voluntary Termination
The Compact will be in effect until terminated by written agreement of both Parties,
under the provisions of IGRA. Provided that if the Tribe wishes to unilaterally terminate
the Compact, the Tribe will provide written notice to the Governor of the State sixty (60)
days prior to termination of the Compact. Suspension of or an injunction against Class III
Gaming activities will not constitute termination for the purpose of this Section. Provided
further, State jurisdiction under the Compact shall continue until the completion of any
pending investigation or court action.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 29
C. Subsequent Negotiations
Nothing in the Compact will be deemed to waive the right of the Tribe to request
negotiations for a Tribal – State Compact with respect to a Class III Gaming activity
which is to be conducted on Tribal Lands, but is not permitted under the provisions of the
Compact, including forms of Class III Gaming which were not permitted by the State for
any purpose by any person, organization, or entity at the time when the Compact was
negotiated or amended but are subsequently so permitted by the State, in accordance with
25 U.S.C. § 2710(d)(3)(A).
D. Changes to State Law
If the laws of the State authorizing the activities set forth herein as Class III Gaming
activities are repealed, thereby prohibiting such Gaming for any purpose by any person,
organization or entity, it is the State’s position that the provisions of the Compact
T
providing for such Gaming would not be authorized and the continued operation of such
Gaming would constitute a violation of the Compact for which the State could bring an
action in Federal District Court pursuant to 25 U.S.C. § 2710(d)(7)(A)(ii).
AF
It is the Tribe’s position that, as a sovereign nation, it has the inherent right to engage in
Gaming activities within its own territorial jurisdiction and that the Compact is entered
into only for purposes of complying with IGRA. The Tribe disagrees that such
subsequent State legislation as described above would have this effect under IGRA and
the Compact, but does agree that the stated forum is the appropriate forum for the
purpose of litigating the issue.
Notwithstanding any other provisions of the Compact, if the laws of the State authorizing
any Class III Gaming activities are so repealed, the State may bring an action as set forth
above only after it provides twenty (20) business days’ written notice to the Tribe of the
DR
E.
State’s intention to bring such action and affords the Tribe a reasonable opportunity to
meet and confer with the State in a good faith attempt to resolve the issue(s) intended to
be addressed by such action.
Clarification, Amendments, and Renegotiations
(1) Compact Clarification. The Parties recognize that circumstances may arise in the
implementation, operation, and regulation of Class III Gaming that require
clarification of Compact provisions. For such mutually agreed-upon
clarification(s), the State and the Tribe will execute and sign a Memorandum of
Understanding that will be attached to and made part of the Compact.
(2) Amendments. Either Party may, in writing, request renegotiation of any of the
provisions of the Compact consistent with the requirements of IGRA and its
implementing regulations and RCW 9.46.360. The mutual agreement of both
Parties achieved through renegotiations will be documented in an amendment.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 30
The terms and provisions of the Compact will remain in effect unless and until the
Parties agree on the renegotiated terms.
(3) Amending Nature and Scope. The terms and conditions of the Compact related to
the nature and/or scope of Class III Gaming shall be amended upon written notice
and request by the Tribe to the State if and when:
(a) The laws of the State are amended, expanding Gaming beyond that which
is now allowed under the terms of the Compact; or
(b) A State or federal court within the State of Washington or a Federal court
interpreting the laws of the State of Washington issues a final and un-
appealable decision permitting participation in a Gaming activity that was
not authorized for any purpose by any person, organization, or entity at the
time the Compact was executed or not authorized by the Compact; or
(c)
T
Federal legislation authorizes the operation of or participation in Gaming
activity that was not authorized at the time the Compact was executed or
was not authorized by the Compact and is not prohibited under State law.
(d)
AF
Notwithstanding any other provision of the Compact to the contrary, in the
event that the State enters into or amends a compact with another tribe and
such agreement gives any such tribe more Gaming Facilities, activities,
stations, or higher wager limits, more hours of operation, or otherwise
approves a compact or amendment to a compact which gives such tribe an
expansion of terms, then the Compact shall, in the Tribe’s discretion, be
amended automatically to maintain equality and the amendment
documented in a memorandum of incorporation provided to the State.
DR
(4)
(5)
State Authorization of Additional Class III Gaming Activities. In the event the
State hereafter authorizes any additional Class III activity, the Tribe is authorized
to conduct such activity prior to completion of the subsequent negotiations as
provided in the Compact if such activity is conducted in accordance with all of the
limitations, regulations, and requirements of the State.
Process and Negotiation Standards. The Parties will confer and the required
negotiations will commence within thirty (30) days of a request to amend or
renegotiate. All matters involving negotiations or other amendatory processes
under Section XIII will be otherwise governed, controlled, and conducted in
conformity with the provisions and requirements of RCW 9.46.360 and 25 U.S.C.
§ 2710(d), except in sections where a different resolution is specifically provided
in the event of an unsettled dispute or where agreement is not reached by the
Parties.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 31
XIV. NOTICES
All notices required or authorized to be served will be in writing and will be sent by first class or
priority mail or be delivered by other expedited service to the following addresses, which can be
updated with advance notification to all Parties:
Tribal Chair Governor
Puyallup Tribe of Indians State of Washington
3002 Duct Cho St. P.O. Box 40002
Tacoma, Washington 98404 Olympia, Washington 98504-0002
Director, Law Office Director
Puyallup Tribe of Indians Washington State Gambling Commission
3002 Duct Cho St. P.O. Box 42400
Tacoma, Washington 98404 Olympia, Washington 98504-2400
Director, Puyallup TGA
Puyallup Tribe of Indians
5580 Pacific Highway East, Suite C
T
AF
Fife, Washington 98424-2601
XV. SEVERABILITY
In the event that any section or provision of the Compact is held invalid by a court of law, or
arbitrator(s), or its application to any particular activity is held invalid by a court of law, or
arbitrator(s), it is the intent of the Parties that the remaining sections of the Compact and the
remaining applications of such section or provision will continue in full force and effect.
IN WITNESS WHEREOF, the Puyallup Tribe of Indians and the State of Washington
D
have executed the Compact.
THE PUYALLUP TRIBE OF INDIANS
R
By:
DATED:
BILL STERUD
Chairman, Puyallup Tribe of Indians
STATE OF WASHINGTON
By:
DATED:
BOB FERGUSON
Governor
Puyallup Tribe of Indians – State of Washington Gaming Compact
Page 32
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX A
(AMENDED AND RESTATED)
STANDARDS OF OPERATION AND MANAGEMENT
FOR CLASS III ACTIVITIES
TABLE OF CONTENTS
T
SECTION 1 INTRODUCTION................................................................................................ 1
SECTION 2 DEFINITIONS ..................................................................................................... 1
AF
SECTION 3 ALTERNATIVE CONTROL PROVISIONS ................................................... 1
SECTION 4 SYSTEM OF ACCOUNTING AND INTERNAL CONTROLS..................... 1
SECTION 5 ADOPTION OF RULES FOR CLASS III ACTIVITIES ............................... 2
SECTION 6 PROGRESSIVE AND PLAYER SUPPORTED JACKPOTS ........................ 3
SECTION 7 ACCOUNTING RECORDS ............................................................................... 4
SECTION 8 FORMS, RECORDS, DOCUMENTS, AND RETENTION ............................ 5
SECTION 9 ANNUAL AUDIT AND OTHER REPORTS.................................................... 6
D
SECTION 10 ORGANIZATION OF THE GAMING OPERATION .................................... 7
SECTION 11 GAMING OPERATION CLOSURE ............................................................... 11
R
SECTION 12 CASHIER’S CAGE ........................................................................................... 11
SECTION 13 ACCOUNTING CONTROL WITHIN THE CASHIER’S CAGE ............... 13
SECTION 14 DROP BOXES AND CASSETTES .................................................................. 14
SECTION 15 DROP BOXES AND CASSETTES TRANSPORTATION AND
STORAGE .......................................................................................................... 15
SECTION 16 CHECKS AND CREDIT CARDS .................................................................... 16
SECTION 17 ACCEPTANCE OF GRATUITIES FROM PLAYERS AND
PATRONS .......................................................................................................... 17
SECTION 18 GAMING STATION INVENTORY REQUIREMENTS AND
PROCEDURES .................................................................................................. 17
i
SECTION 19 PROCEDURES FOR DISTRIBUTING AND REMOVING GAMING
CHIPS AND COINS TO AND FROM GAMING STATIONS ..................... 18
SECTION 20 COUNT ROOM: CHARACTERISTICS ........................................................ 19
SECTION 21 PROCEDURE FOR COUNTING AND RECORDING DROP BOX
CONTENTS........................................................................................................ 20
SECTION 22 SIGNATURES.................................................................................................... 21
SECTION 23 CLOSED SURVEILLANCE SYSTEM ........................................................... 22
T
AF
DR
ii
APPENDIX A
STANDARDS OF OPERATION AND MANAGEMENT
FOR CLASS III ACTIVITIES
SECTION 1 INTRODUCTION
This Appendix contains minimum standards of operation (“Standards”) for Class III Gaming
activities. Additional standards governing specific activities may be found in each activity’s
respective Appendix, such as Satellite (Off-Track) Wagering on Horse Races, Electronic Table
Games, Sports Wagering, Wide Area Progressives, and Tribal Lottery Systems. Specific
procedures will be handled as documented in the Compact, these Standards, and further detailed
T
in the Gaming Operation’s system of accounting and Internal Controls.
SECTION 2 DEFINITIONS
Capitalized terms used in this Appendix are defined in Appendix D “Definitions” and are
incorporated herein.
SECTION 3
AF
ALTERNATIVE CONTROL PROVISIONS
The Tribe may choose an alternative method to automate any processes, reports, or data
collection in this Appendix when approved by mutual agreement of the TGA and the SGA as set
out in Compact Section VII.A. Provided that the TGA certifies how the automation maintains the
integrity of the Gaming Operation, reduces the dangers of unfair or illegal practices in
conducting Class III Gaming, adequately preserves and protects the integrity and security of the
D
control, and complies with the Compact. This section cannot be used to modify other sections of
the Compact.
R
SECTION 4
4.1
SYSTEM OF ACCOUNTING AND INTERNAL CONTROLS
The Gaming Operation shall have a system of accounting and Internal Controls that
includes the following:
4.1.1 Administrative control, which includes but is not limited to the plan of
organization including an organizational chart, job descriptions, or comparable
information, and the procedures and records that are concerned with the decision
processes leading to management’s authorization of transactions; and
4.1.2 Accounting control which includes the plan of organization and the procedures
and records that are concerned with the safeguarding of assets and the reliability
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-1
of financial records and are consequently designed to provide reasonable
assurance that:
(a) Transactions are executed in accordance with the management’s general
and specific authorization which shall include the requirements of these
Standards;
(b) Transactions are recorded as necessary to permit preparation of financial
statements in conformity with Generally Accepted Accounting Principles
(GAAP) and with these Standards, and to maintain accountability for
assets;
(c)
(d)
T
Access to assets is permitted only in accordance with management’s
authorization which shall include the requirements of these Standards; and
The recorded accountability for assets is compared with existing assets at
4.2
AFreasonable intervals and appropriate action is taken with respect to any
differences.
The Gaming Operation’s system of accounting and Internal Controls shall provide for:
4.2.1
4.2.2
Competent personnel with an understanding of prescribed procedures; and
The segregation of Incompatible Functions so that no employee is in a position to
perpetrate and conceal errors or irregularities in the normal course of their duties.
D
4.3
R
Before new or modified controls are implemented they must be approved in accordance
with Compact Section VII.A.
SECTION 5 ADOPTION OF RULES FOR CLASS III ACTIVITIES
Game rules will be submitted in accordance with Compact Section IV. Game rules approved by
the TGA shall include:
5.1 Procedures of play;
5.2 Minimum and maximum permissible wagers;
5.3 Shuffling, cutting, and dealing techniques, as applicable;
5.4 Payout odds or prizes, including any payout limitations, on each form of wager;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-2
5.5 Procedures to be followed on occurrence of irregularities, including definition of
irregularities as applicable to each game;
5.6 Prohibition on side betting between and against Players, and/or the house;
5.7 Prohibition on side betting between Patrons against the Players and/or the House; and
5.8 Specifications provided by the equipment manufacturer or supplier applicable to Gaming
equipment:
5.8.1 Physical characteristics of chips; and
5.8.2
T
Physical characteristics of the following:
(a)
(b)
Authorized Class III Gaming tables;
Table layouts;
(c)
(d)
(e)
(f)
AFRoulette wheels or any wheels used in the play of a game;
Roulette ball or any balls used in the play of a game;
Cards (including procedures for receipt, storage, and destruction);
Dice (including procedures for receipt, storage, and destruction);
DR
(g)
(h)
(i)
(j)
(k)
Dealing shoes (including procedures for receipt and storage);
Shuffle machines;
Keno Systems;
Progressive computers and displays;
Such other equipment as may be required for use in authorized Class III
activities.
SECTION 6 PROGRESSIVE AND PLAYER SUPPORTED JACKPOTS
6.1 Unless governed by Appendix W (Rules for Governing Wide Area Progressives), any
progressive or jackpot prizes available on Class III Gaming activities will be submitted as
part of game rules in accordance with Compact Section IV and Appendices.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-3
6.2 Rules submissions submitted under Compact Section IV will include how each Gaming
Operation accounts for funds collected from each jackpot or progressive jackpot, and
how funds are accrued.
6.3 Summaries of the rules posted for Patrons required by Compact Section VII.B include
how funds are accrued and prizes available.
6.4 If the Gaming Operation discontinues a progressive or Player supported jackpot, they
must distribute the funds to the Patrons:
6.4.1 Within sixty (60) days;
6.4.2
6.4.3
T
The balance, less any seed money or money contributed by the Gaming
Operation; and
In a method approved by both the TGA and the SGA, to include:
SECTION 7
(a)
(b)
(c)
(d)
AFoffering a drawing;
transferring the funds to another jackpot;
offering as a prize on an approved tournament; or
other method of distribution that returns the balance to the Patrons.
ACCOUNTING RECORDS
D
7.1
R
7.2
7.3
The Gaming Operation shall maintain complete accurate and legible records of all
transactions relating to the revenues and costs of the Gaming Operation.
General accounting records shall be maintained on a double entry system of accounting
with transactions recorded on an accrual basis, and detailed, supporting, subsidiary
records sufficient to meet the requirements of Section 7.4.
The forms of accounts adopted should be of a standard form which would ensure
consistency, comparability, and effective disclosure of financial information.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-4
7.4 The detailed, supporting, and subsidiary records shall include, but not necessarily be
limited to:
7.4.1 Statistical game records to reflect Drop and Win or Loss amounts for each
Class III game in the Gaming Operation, and for each operational Gaming day
shift (“Win or Loss” means the determination by adding the amount of Cash, the
amount recorded on the Closer, and the total of the amounts recorded on Credits
and subtracting the amount recorded on the Opener and the total of the amounts
recorded on Fills removed from a Drop Box);
7.4.2 Investments in property and services, including equipment used in connection
with the operation of Class III Gaming;
7.4.3
7.4.4
T
Records of amounts payable by the Gaming Operation; and
Records which identify the purchase, receipt, and destruction of Gaming chips
SECTION 8
8.1
8.2
AF
used in wagering.
FORMS, RECORDS, DOCUMENTS, AND RETENTION
All information required by these Standards to be placed on a form, record, or document
shall be recorded in ink or stored in another permanent format.
Whenever duplicate or triplicate copies are required of a form, record, or document:
DR
8.2.1
8.2.2
8.2.3
The original, duplicate, and triplicate copies shall be color-coded, unless digitally
or electronically generated;
Where under these Standards, forms, records, and documents are required to be
inserted in a locked dispenser, the last copy shall remain in a continuous unbroken
form in the dispenser;
Where, under these Standards, forms or serial numbers are required to be
accounted for or copies of forms are required to be compared for agreement and
exceptions noted, such exceptions shall be reported immediately in writing to the
TGA for investigation; and
8.2.4 These forms, records, or documents may be digitally or electronically generated
and stored as data.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-5
8.3 Unless otherwise specified in these Standards, all forms, records, documents, and stored
data shall have the title imprinted or pre-printed or saved thereon or therein.
8.4 Unless otherwise specified in these Standards, all forms, records, documents, and stored
data required to be prepared, maintained, and controlled, shall be located on Tribal Lands
or such other location as is approved by the TGA. The records shall be stored in a manner
that assures reasonable accessibility to the TGA and the SGA.
8.5 Unless otherwise specified in these Standards, all records shall be kept for a period not
less than two (2) years from their respective dates. If not dated, then for two (2) years
from their time of creation.
SECTION 9
9.1
ANNUAL AUDIT AND OTHER REPORTS
T
At the close of the fiscal year, the Gaming Operation shall, at its own expense, have its
annual financial statements audited in accordance with generally accepted auditing
9.2
9.3
AF
standards by an Independent Accountant.
The annual financial statements shall be prepared in a comparative basis for the current
and prior fiscal year and shall present the financial position and results of operations in
conformity with GAAP.
The Gaming Operation shall require its Independent Accountant to render the following
reports:
DR
9.3.1
9.3.2
9.3.3
The audited financial statements, together with the report thereon of the Gaming
Operation’s Independent Accountant.
A report on material weakness in accounting and Internal Controls. Whenever, in
the opinion of the Independent Accountant, there exists no material weaknesses in
accounting and Internal Controls, the report shall say so; and
A report expressing the opinion of the Independent Accountant that, based on
their examination of the financial statements, the Gaming Operation has followed,
in all material respects, during the period covered by their examination, the
system of accounting and Internal Controls on file with the TGA. Whenever, in
the opinion of the Independent Accountant, the Gaming Operation has deviated
from the system of accounting and Internal Controls filed with the TGA, or the
accounts, records, and control procedures examined are not maintained by the
Gaming Operation in accordance with the Compact and these Standards, the
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-6
report shall enumerate such deviations regardless of materiality, the area(s) of the
system no longer considered effective and shall make recommendations in writing
regarding improvements in the system of accounting and Internal Controls.
9.4 The reports required by Section 9.3 and the other reports on accounting and Internal
Controls, administrative controls, or other matters relating to the Gaming Operation’s
accounting or operating procedures rendered by the Gaming Operation’s Independent
Accountant, shall be filed with the TGA by the Gaming Operation within one hundred
twenty (120) days following the end of each fiscal year or within thirty (30) days of
receipt, whichever is earlier. Notification will be sent to the SGA not later than one
hundred twenty (120) days following the end of the fiscal year when these statements are
T
available for review. Provided, extensions may be granted for extenuating circumstances
by the TGA.
SECTION 10 ORGANIZATION OF THE GAMING OPERATION
10.1
AF
The Gaming Operation shall, at a minimum, establish the following departments:
10.1.1 A gaming operations department, supervised by the Chief Operating Officer,
which shall perform independently of all other departments and shall report
directly to the Chief Executive Officer. The gaming operations department shall
be responsible for the operation and conduct of all Gaming activities in a Gaming
Facility or Premises as authorized.
10.1.2 A Security Department, supervised by the Director of the Security Department,
DR
which shall cooperate with, yet perform independently of, all other departments
and shall report directly to the Chief Executive Officer regarding matters of
policy, purpose, and responsibilities. The Security Department shall be
responsible for, but not limited to, the following:
(a)
(b)
The physical safety of all Patrons and employees, as well as their property;
The physical safety of the Gaming Facility and assets of the Gaming
Operation, to include Keys, as provided in the Gaming Operation’s
Internal Controls as approved by the TGA;
(c) The transfer of assets to and from the Cashier’s Cage and the Gaming
activities, as authorized by the TGA; and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-7
(d) The physical control of Gaming equipment inventories. Such inventories
shall specifically include cards, dice, shoes, and other Gaming equipment
deemed appropriate. The Security Department shall control the receipt,
storage, issuance, collection, disposition, and/or destruction of the same,
subject to oversight by operations management and as authorized by the
TGA.
10.1.3 A Surveillance Department, supervised by the Surveillance Department manager,
who shall cooperate with, yet perform independently of all other departments and
shall report directly to the Chief Executive Officer or the TGA director, as
determined by the Tribe, regarding matters of policy, purpose, and
T
responsibilities. The Surveillance Department will provide complete and total
access of surveillance activities and information to the TGA.
(a) The Surveillance Department shall be responsible for, but not limited to,
the following:
AF(i)
(ii)
(iii)
The clandestine surveillance of the Gaming Operation and conduct
of the Gaming activities;
The clandestine surveillance of the operation of the Cashier’s
Cage;
The video and audio recording of activities in the Count Room;
DR
(iv)
(v)
(vi)
The detection of cheating, theft, embezzlement, and other illegal
activities in the Gaming Operation and within the Gaming Facility,
Count Room, and the Cashier’s Cage;
The video recording of illegal and unusual activities monitored;
and
The immediate notification to the TGA upon the detection and
recording of cheating, theft, embezzlement, or other illegal
activities, and when appropriate, to Gaming Operation’s
Supervisors.
(b) No present or former Surveillance Department employee shall be
employed in any other capacity in the Gaming Facility or Gaming
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-8
Operation unless the TGA, upon written petition, approves such
employment in a particular capacity upon a finding that:
(i) One (1) year has passed since the former Surveillance Department
employee worked in the Surveillance Department;
(ii) Surveillance and security systems will not be jeopardized or
compromised by the proposed employment of the former
Surveillance Department employee in the capacity proposed; and
(iii) Errors, irregularities, or illegal acts cannot be concealed or
perpetrated by the former Surveillance Department employee’s
T
knowledge of the Closed Surveillance System in the capacity in
which the former Surveillance Department employee will be
employed.
AF
10.1.4 An Accounting Department, which shall have a director who will cooperate with,
yet perform independently of, all other departments and report directly to the
Chief Financial Officer. The Accounting Department will be responsible for, but
not be limited to, the following:
(a)
(b)
Accounting controls;
The preparation and control of records and data required by these
Standards; and
DR
(c) The control of stored data, the supply of unused forms, the accounting for
and comparing of forms used in the Gaming Operation and required by
these Standards.
10.1.5 A Cashier’s Cage supervised by the Cashier’s Cage director who shall supervise
Cage Cashiers and cooperate with, yet perform independently of, all other
departments, and shall be under the supervision of, and report directly to the Chief
Financial Officer. The Cashier’s Cage shall be responsible for, but not limited to,
the following:
(a) The custody of currency, coin, Patrons’ checks, Gaming chips, and
documents and records normally associated with the operation of a
Cashier’s Cage;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-9
(b) The approval, exchange, redemption, and consolidation of Patrons’ checks
received for the purpose of Gaming in conformity with the Gaming
Operation’s Standards;
(c) The receipt, distribution and redemption of Gaming chips in conformity
with these Standards; and
(d) Such other functions normally associated with the operation of a Cashier’s
Cage.
10.1.6 An Information Technology Department with limited administrative access to
electronic equipment and information systems for the purpose of technical
T
support, supervised by the director of the Information Technology Department,
who shall cooperate with, yet perform independently of, all other departments and
shall report directly to the Chief Executive Officer regarding matters of policy,
purpose, and responsibilities. For purposes of this section, limited administrative
AF
access means troubleshooting any issues within the system; patching, updating,
and keeping the system secure; administrative support for information technology
issues; verifying that back-ups of data are proceeding as normal; and monitoring
the health of the network/system infrastructure. The Information Technology
Department shall be responsible for, but not limited to, the following:
(a) Understanding the complex role of technology in the Gaming Facility and
within the Gaming Operation;
DR
(b)
(c)
Ensuring information technology functions for electronic equipment and
information systems throughout the Gaming Facility and within the
Gaming Operation are separated into distinct job duties to prevent an
Information Technology Department employee or Gaming Operation
Employee from creating Incompatible Functions, harming, manipulating,
concealing, or damaging an operational system or the services it provides,
whether by an accidental act, omission, or intentional act; and
No present or former Information Technology Department employee shall
be employed in any other capacity in the Gaming Operation or Gaming
Facility unless the TGA, upon written petition, approves such employment
in a particular capacity upon a finding that:
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-10
(i) The Gaming Facility’s and Gaming Operation’s electronic
equipment and information systems will not be compromised; and
(ii) Incompatible Functions, errors, irregularities, or illegal acts cannot
be concealed or perpetrated.
10.2 Gaming Operation personnel shall be trained in all accounting and Internal Controls
practices and procedures relevant to each employee’s individual function. Special
instructional programs shall be developed by the Gaming Operation in addition to any
on-the-job instruction sufficient to enable all members of the departments required by this
Standard to be thoroughly conversant and knowledgeable with the appropriate and
required manner of performance of all transactions relating to their function.
SECTION 11
11.1
GAMING OPERATION CLOSURE
T
The Gaming Operation will document in Internal Controls the process and procedures for
AF
any unplanned closure of any Gaming Facility, which at a minimum shall include:
11.1.1 When and how to notify Patrons of the closure, re-opening, and redemption
options;
11.1.2 When and how Patrons can redeem open Player Accounts or outstanding Gaming
chips or vouchers; and
11.1.3 A plan for honoring vouchers with expiration dates impacted by the closure.
D
SECTION 12
R
12.1
CASHIER’S CAGE
As part of the Gaming Operation there shall be on or immediately adjacent to the Gaming
floor a physical structure known as the Cashier’s Cage to house the Cage Cashiers and to
serve as the central location for the following:
12.1.1 The custody of the Cashier’s Cage inventory comprising currency, coin, Patrons’
checks, Gaming chips, forms, documents, and records normally associated with
the operation of a Cashier’s Cage;
12.1.2 The approval of Patrons’ checks for the purpose of Gaming in conformity with
these Standards;
12.1.3 The receipt, distribution, and redemption of Gaming chips in conformity with
these Standards; and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-11
12.1.4 Such other functions normally associated with the operation of a Cashier’s Cage.
12.2 As part of the Cashier’s Cage there may be a separate physical structure known as
satellite Cashier’s Cage(s) located on or immediately adjacent to the Gaming floor which
can include, but are not limited to, keno, Off-Track Betting, Sports Wagering, or Tribal
Lottery System cashiers who:
12.2.1 Buy and sell keno tickets, Off-Track Betting vouchers, Sports Wagering
Vouchers, and/or Tribal Lottery System vouchers; and
12.2.2 Such other functions normally associated with the operation of a Cashier’s Cage.
12.3
T
The Gaming Operation shall have, in addition to the funds normally maintained by the
Cashier’s Cage, a reserve Cash bankroll on hand in the Cashier’s Cage or readily
available to the Cashier’s Cage at the opening of every shift, in a minimum amount
established by the Gaming Operation.
12.4
AF
Each Cashier’s Cage will be designed and constructed to provide maximum security
including, at a minimum, the following:
12.4.1 A partially enclosed structure except for openings through which items such as
Gaming chips, checks, Cash, records, and documents can be passed to service the
public and Gaming Stations;
12.4.2 A manually triggered silent alarm system connected to the monitoring rooms of
DR
12.5
the Closed Surveillance System, the Security Department office, and the Tribal
Police Department;
12.4.3 Access through a locked door; and
12.4.4 Surveillance coverage which will be monitored by the Surveillance Department.
The Gaming Operation will place on file with the TGA the names of all persons
authorized to enter the Cashier’s Cage, those who possess the combination or the Keys or
who control the mechanism to open the locks securing the entrance to the Cashier’s Cage,
and those who possess the ability to operate the alarm systems.
12.6 The Cashier’s Cage shall be responsible for establishing procedures and controls
necessary to comply with the Bank Secrecy Act, 31 U.S.C. § 5311, et seq., as now or
hereafter amended.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-12
SECTION 13 ACCOUNTING CONTROL WITHIN THE CASHIER’S CAGE
13.1 The assets for which the Cage Cashiers are responsible shall be maintained on an Imprest
Basis; provided, the Cashier’s Cage may operate on a float basis if documented in the
system of accounting and Internal Controls and approved by the TGA. At the end of each
shift, the Cage Cashiers assigned to the outgoing shift shall record on a Cage Cashier’s
count sheet the face value of each Cage inventory item counted and the total of the
opening and closing Cage inventories and will reconcile the total closing inventory with
the total opening inventory.
13.2 Cage Cashiers’ functions will be, but are not limited to, the following:
T
13.2.1 Receive currency, coin, checks, Gaming chips, vouchers, or Cash Equivalents
from Patrons for, Gaming chip consolidations, total or partial redemptions, or
substitutions;
AF
13.2.2 Receive documentation with signatures thereon, required to be prepared for the
effective segregation of functions in the Cashier’s Cage;
13.2.3 Process Fills and Credits by exchanging chips, currency, coin, and paperwork as
authorized in these Standards;
13.2.4 Receive currency and coin from Count Rooms and Kiosks;
13.2.5 Prepare the overall Cashier’s Cage reconciliation and accounting records; and
DR
13.3
13.4
13.2.6 Perform such other functions as necessary to ensure proper accountability
consistent with these Standards.
Cage Cashier’s signatures from the incoming and outgoing shifts attesting to the accuracy
of the information will be at a minimum on the following sheets: the Cage Cashier’s
count sheet, the Fill bank closeout sheet, and the main bank closeout sheet.
At the conclusion of Gaming activity each day, at a minimum, copies of the cashier’s
count sheet, reconciliation, fill bank, main bank, and related documentation, will be
forwarded to the Accounting Department for agreement of opening and closing
inventories, and agreement of amounts thereon to other forms, records, and
documentation required by these Standards or for the recording of transactions.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-13
SECTION 14 DROP BOXES AND CASSETTES
14.1 In the Gaming Facility, each Gaming Station and Player Terminal will have attached to it
a container known as a Drop Box. All Cash, vouchers, duplicate Fills and Credits,
Requests for Fills and Credits, station inventory forms, and other forms will be deposited
in a Drop Box. Gaming Stations will have metal Drop Boxes. Each Player Terminal will
have either plastic or metal Drop Boxes. Each Kiosk and Sports Wagering Kiosk will
have within it a container known as a Cassette. Each Cassette will contain Cash and
coins.
14.2 Drop Box and Cassette requirements:
T
14.2.1 Each Drop Box and Cassette will have one separate lock securing the contents
placed into the Drop Box or Cassette, the Key to which will be different from any
other Key;
AF
14.2.2 Drop Boxes will have a separate lock and Key to secure a Drop Box to a Gaming
Station or a Player Terminal, a Key that must be different from the Key described
in Section 14.2.1.
Cassettes will have a separate lock and Key to secure a Cassette in each Kiosk
and Sports Wagering Kiosk, a Key that must be different from the Key described
in Section 14.2.1.;
14.2.3 For each Drop Box, there will be an opening through which currency, coins,
DR
forms, records, and documents can be inserted;
(a)
(b)
Permanently imprinted or impressed thereon, and clearly visible, a number
corresponding to a distinct number on the Gaming Station, Player
Terminal, Kiosk, or Sports Wagering Kiosk to which either the Drop Box
or Cassette is attached, and a marking to indicate game, table number,
Player Terminal, Kiosk, or Sports Wagering Kiosk, and shift.
Emergency Drop Boxes or Cassettes may be maintained without such
number or marking, provided the word “Emergency” is imprinted or
impressed thereon and, when put into use, are temporarily marked with the
number of the Gaming Station, Player Terminal, Kiosk, or Sports
Wagering Kiosk and identification of the game and shift.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-14
14.2.4 The Gaming Operation may use alternative Drop Box or Cassette labels which
can electronically store the identification number of the device or Gaming Station
to which it is attached.
(a) In the event barcodes are used, a distinct barcode will be attached on each
Drop Box or Cassette that, when scanned, assigns to that Drop Box or
Cassette the date, shift, and number that corresponds to a permanently
marked number on the Gaming Station, Player Terminal, Kiosk, or Sports
Wagering Kiosk to which it is attached.
(b) In the event “smart cans” are used, the Gaming Station, Player Terminal,
Kiosk, or Sports Wagering Kiosk number will be maintained on a chip
T
located in each individual smart can Drop Box or Cassette. This Gaming
Station, Player Terminal, Kiosk, or Sports Wagering Kiosk number will be
tracked and may be cleared and reset in a manner and a form acceptable to
the TGA and documented in the Gaming Operation’s system of
14.3
14.4
AFaccounting and Internal Controls.
The Key utilized to unlock the Drop Boxes or Cassettes from the Gaming Stations, Player
Terminals, Kiosk, or Sports Wagering Kiosk will be maintained and controlled by the
Security Department.
The Key to the lock securing the contents of the Drop Boxes and Cassettes will be
maintained and controlled by the TGA.
D
SECTION 15
R
15.1
DROP BOXES AND CASSETTES TRANSPORTATION AND
STORAGE
All Drop Boxes or Cassettes removed from the Gaming Stations, Player Terminals,
Kiosks, or Sports Wagering Kiosks will be transported, at a minimum, by one Security
Department Employee and one employee of the Gaming Operation and secured in the
Count Room at the completion of the Drop. A Tribal Gaming Agent will be required to
be on the Gaming floor while Drop Boxes and Cassettes are removed.
15.2 All Drop Boxes and/or Cassettes not attached to a Gaming Station, Player Terminal,
Kiosk, or Sports Wagering Kiosk will be stored in the Count Room in an enclosed
storage cabinet or trolley and secured in such cabinet or trolley by a separately keyed,
double locking system. The Key to one lock will be maintained and controlled by the
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-15
Security Department and the Key to the second lock will be maintained and controlled by
the TGA.
15.3 Drop Boxes, when not in use during a shift, may be stored on the Gaming Stations
provided that there is adequate security. If adequate security is not provided during this
time, the Drop Boxes will be stored in the Count Room in an enclosed storage cabinet or
trolley as required in Section 15.2.
15.4 In the event an emergency Drop for the Tribal Lottery System occurs during the Soft
Count process, empty and full Drop Boxes and/or Cassettes may be stored temporarily in
the Cashier’s Cage under the same Key requirements in Section 15.2, and under
surveillance camera requirements. At the conclusion of the Soft Count process, all Drop
Boxes will be relocated into the Count Room.
SECTION 16 CHECKS AND CREDIT CARDS
T
16.1
16.2
AF
Except as otherwise provided in this section or Compact Section III.J, no employee of the
Gaming Operation, and no person acting on behalf of or under any arrangement with the
Gaming Operation, will make any loan, or otherwise provide or allow any person any
credit or advance of anything of value or which represents value to enable any person to
take part in Gaming activity as a Player.
The acceptance of Patrons’ checks, paper or electronic, is allowed in accordance with
normal commercial practices.
DR
16.2.1 Withholding checks received from any deposit is considered an unauthorized
extension of credit.
16.2.2 Records will be maintained documenting all dishonored checks until paid in full.
The records must include, at a minimum, the person’s name, check amount, date
dishonored, and any amounts paid against the balance.
16.2.3 If a check is dishonored, the person shall be prohibited from submitting any future
check until the amount owed to the Gaming Operation is paid in full. If the
Gaming Operation uses a check guarantee and collection service, this
Section 16.2.3 would not apply unless the Gaming Operation chooses not to use
their guarantee service to pre-approve a particular check.
16.2.4 Checks converted to electronic checks shall have a receipt for the Cage Cashier to
reconcile their bank.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-16
16.3 All electronic checks exchanged at a check cashing kiosk shall be:
16.3.1 Pre-approved through an outside guarantee company;
16.3.2 Recorded by the check cashing system software, which is audited on at least a
weekly basis; and
16.3.3 Have evidence of the electronic check transaction maintained in accordance with
retention requirements.
16.4 Cash advances on Patrons’ credit cards or bank cards in accordance with normal
commercial practices are allowed.
SECTION 17
17.1
T
ACCEPTANCE OF GRATUITIES FROM PLAYERS AND PATRONS
No Gaming Employee working in management, supervision, accounting, security, or
surveillance shall solicit or accept any tip or gratuity from any Player, Patron, or Gaming
17.2
17.3
Employee.
AF
No Gaming Employee working in management, supervision, accounting, security, or
surveillance shall offer, give, or provide any tip or gratuity to any Gaming Employee
working in management, supervision, accounting, security, or surveillance.
The Gaming Operation shall establish a procedure for accepting and accounting for all
tips received by those Gaming Employees who are permitted to accept tips.
D
SECTION 18
R
18.1
GAMING STATION INVENTORY REQUIREMENTS AND
PROCEDURES
Gaming chips or coins cannot be added to or removed from Gaming Station inventory
during the gaming day except:
18.1.1 In exchange for Cash;
18.1.2 In payment of winning wagers and collection of losing wagers made at such
Gaming Station;
18.1.3 In exchange for Gaming chips received from a Player or Patron having an equal
aggregate face value; and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-17
18.1.4 In conformity with the Fill and Credit procedures described in Section 19 of these
Standards.
18.2 Gaming Station inventory slips, Opener, Closer, and triplicate are serially numbered and
document the value of each denomination of Gaming chips and coins on each Gaming
Station at a specified period of time, which will be at a minimum when a Gaming Station
is opened and closed.
18.2.1 Signatures attesting to the accuracy of the station inventory shall be of the
Gaming Operations Supervisor assigned to the Gaming Station and Dealer or
another table games employee.
T
18.2.2 Each copy of the Gaming Station inventory slip, Opener, Closer, and triplicate
will be distributed in accordance with approved accounting and Internal Controls.
18.2.3 Each Gaming Station inventory shall be stored in a separate locked, clear
18.3
18.4
AF
container secured to the Gaming Station while not in use, with the information on
a copy of the Gaming Station table inventory slip, visible from outside the
container.
The Keys to the locked containers containing the Gaming Station inventories shall be
maintained and controlled by the Gaming Operations Supervisor in a secure place and
will not be accessible to any Cashier’s Cage or Security Department personnel.
Any discrepancy between the Gaming Station inventory and the Gaming Station
DR
inventory slip shall be immediately reported to at least the Gaming Operations Shift
Manager, the Security Department, and the TGA. A Notification of Error (NOE) or
security report shall be completed in conformity with agreed upon system of accounting
and Internal Controls.
SECTION 19
19.1
PROCEDURES FOR DISTRIBUTING AND REMOVING GAMING
CHIPS AND COINS TO AND FROM GAMING STATIONS
Adding or removing Gaming chips or coins from a Gaming Station inventory using the
Fill and Credit procedures requires, at a minimum, the following:
19.1.1 A Request for Fill must be completed prior to the transfer of Gaming chips or
coins from the Cashier’s Cage to the Gaming Station with the signature of at least
the Gaming Operations Supervisor requesting the transfer of Gaming chips.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-18
19.1.2 A Request for Credit must be completed prior to the transfer of Gaming chips or
coins from the Gaming Station to the Cashier’s Cage with the signatures of at
least the Gaming Operations Supervisor requesting the transfer and a Security
Department Employee completing the transfer.
19.2 A Fill or Credit is serially numbered and documents at a minimum the date, time,
Gaming Station number, and the value of each denomination of Gaming chips and coins
being transferred.
19.2.1 Signatures attesting to the accuracy of the Fill or Credit shall include at least the
Gaming Operations Supervisor assigned to the Gaming Station, the Dealer
assigned to the Gaming Station, the Security Department Employee transferring
T
the Gaming chips or coins, and the Cage Cashier preparing the forms.
19.2.2 One copy of the Fill or Credit shall be placed in the Gaming Station Drop Box,
one copy shall be kept with the Cage Cashier’s records, and one copy shall be
AF
secured for comparison by the Accounting Department.
19.2.3 If an error is found on the Fill or Credit form, the form shall be marked “VOID”
on the original and duplicate form, and the preparer shall sign the voided form.
All voided forms shall be forwarded to the Accounting Department.
19.2.4 Each form shall be kept in a locked dispenser that will permit an individual slip in
the series and its copies to be written upon simultaneously, and that will discharge
the original and duplicate while the triplicate remains in a continuous, unbroken
DR
form in the dispenser or other secure method approved in the system of
accounting and Internal Controls.
19.2.5 Computer applications, alternative documentation, and/or alternative procedures
that may be used for distributing and removing Gaming chips and coins to
Gaming Stations must provide at least the level of control described by these
Standards. The Gaming Operation’s approved system of Internal Controls shall
specify the procedures used.
SECTION 20 COUNT ROOM: CHARACTERISTICS
20.1 The Gaming Operation will have a Count Room specifically designated for counting the
contents of, at a minimum, Drop Boxes and banks.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-19
20.2 The Count Room shall be designed and constructed to provide maximum security to
include, at a minimum, the following:
20.2.1 A door equipped with two separately keyed locks securing the interior of the
Count Room. The Keys shall be unique and different from any other Keys. One
Key shall be maintained and controlled by the Security Department and the other
Key maintained and controlled by the Gaming Operation or the TGA;
20.2.2 The Security Department shall establish a sign out procedure for all Keys
removed from the Security Department to access the Count Room; and
20.2.3 An alarm device connected to the entrance of the Count Room that verbally,
20.3
T
audibly, and visually signals the surveillance room whenever the door to the
Count Room is opened.
Located within the Count Room shall be a count table(s) constructed of clear glass or
AF
similar material for the emptying, counting and recording of the contents of, at a
minimum, Drop Boxes and banks.
SECTION 21
21.1
PROCEDURE FOR COUNTING AND RECORDING DROP BOX
CONTENTS
The opening, counting, and recording of the contents of Drop Boxes will be done by the
Count Team which shall consist of at least three employees assigned by the Gaming
Operation to perform the count, and who have no Incompatible Functions.
D
21.2
R
Surveillance will be notified at the start of the count. Immediately prior to the opening of
any Drop Boxes, the doors to the Count Room shall be securely locked and, except as
otherwise authorized by this Standard, no person shall be permitted to enter or leave the
Count Room until the entire counting, recording and verification process is completed;
provided, a person may leave or enter the Count Room during a normal work break after
the last opened Drop Box has been counted, verified, and recorded, or in an emergency.
Each Drop Box number will be called out and recorded by surveillance. Any discrepancy
during the Soft Count shall be announced clearly in English by the Count Team at the
time the discrepancy is observed.
21.3 As the contents of each Drop Box are counted separately at least twice, the amounts will
be recorded and/or compared to the Master Game Report for Gaming Stations, and Tribal
Lottery System reports for Player Terminals, Kiosks, and Sports Wagering Kiosks.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-20
21.4 After completion of the Drop and verification of the Master Game Report and Tribal
Lottery System reports, each Count Team member shall sign the report attesting to the
accuracy of the information recorded thereon.
21.5 All Cash and Gaming chips removed and counted shall be presented in the Count Room
to a Cage Cashier who shall verify the Cash and Gaming chips received and shall sign the
report evidencing the fact that both the Cage Cashier and Count Team have agreed on the
total amount of Cash and Gaming chips counted. Then the Cage Cashier shall take a copy
of the signed Master Game Report and Tribal Lottery System reports and the Cash and
Gaming chips into the Cashier’s Cage.
21.6 The Tribal Gaming Agent shall sign the report evidencing their presence during the
T
count. At no time after the Tribal Gaming Agent has signed the Master Game Report
shall any change be made to the Master Game Report without prior written approval of
the TGA.
21.7
21.8
AF
The paperwork from the Drop Boxes shall not be available to any Cashier’s Cage
personnel and shall be transported directly to the Accounting Department with one copy
of the signed Master Game Report and Tribal Lottery System reports.
The originals and copies of the Master Game Report and Tribal Lottery System reports,
Request for Fills, Fills, Request for Credits, Credits, and station inventory slips shall be
audited on a daily basis in the Accounting Department.
SECTION 22 SIGNATURES
D
22.1
R
Signatures of each person required by these Standards to sign or initial forms, records,
and documents shall:
22.1.1 Be, at a minimum, the signer’s first initial and last name;
22.1.2 Include their license, certificate, or permit number; and
22.1.3 Signify that the signer has prepared forms, records, and documents, and/or
authorized forms, records, and documents to a sufficient extent to attest to the
accuracy of the information recorded thereon, in conformity with these Standards
and the Gaming Operation’s system of accounting and Internal Controls.
22.2 Signature records shall be prepared for each person required by these Standards to sign or
initial forms, records, and documents, and shall include specimens of signatures, initials
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-21
of signers, and department. Such signature records shall be maintained on a dated
signature card filed alphabetically by last name. The signature records shall be adjusted
on a timely basis to reflect changes of personnel.
22.3 Signature records shall be securely stored in the Accounting Department or human
resource department.
22.4 Electronic signature records may be used in place of the above and shall be maintained in
a secure electronic format and shall be immediately available to the TGA and the SGA
upon request.
SECTION 23 CLOSED SURVEILLANCE SYSTEM
23.1
T
The Tribe shall install a Closed Surveillance System according to the following
specifications.
23.2
AF
The Closed Surveillance System shall include at least the following:
23.2.1 Light sensitive cameras, with some having pan, zoom, scan, and tilt capabilities,
to effectively and clandestinely monitor in detail and from various vantage points,
the following:
(a)
(b)
All Gaming activities conducted in the Gaming Facility and on Premises;
The operations conducted in the Cashier's Cage and any satellite Cashier’s
DR
(c)
(d)
(e)
Cage;
The entire Soft Count process and any other activities conducted in the
Count Room and the storage cabinets or trolleys used to store Drop Boxes;
The movement of Cash, Gaming chips, and Drop Boxes in the Gaming
Facility;
The entrances and exits to the Gaming Facility and the Count Room; and
(f) Such other areas as required by the Compact or as the TGA designates.
23.2.2 Video recording units with time and date insertion capabilities for recording what
is being viewed by any camera of the system;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-22
23.2.3 Audio capability of the entire Soft Count process and any other activities in the
Count Room; and
23.2.4 One or more monitoring rooms in each Gaming Facility which shall be in use at
all times by the employees of the Surveillance Department assigned to monitor
the activities in the Gaming Facility and on Premises.
23.3 Adequate lighting shall be present in all areas, including where Gaming activities occur,
in Pits, and where coverage of the Closed Surveillance System is required.
23.4 The Surveillance Department shall be required to maintain a surveillance log of all
surveillance activities in the Gaming Facility, on the Premises, and other areas as
T
required by the TGA. The log shall be maintained by surveillance room personnel and
shall include, at a minimum, the following:
23.4.1 Date and time of surveillance;
AF
23.4.2 Person initiating surveillance;
23.4.3 Reason for surveillance;
23.4.4 Time of termination of surveillance;
23.4.5 Summary of the results of the surveillance; and
23.4.6 A record of any equipment or camera malfunctions.
D
23.5
R
23.6
23.7
The surveillance log shall be available for inspection at any time by the TGA and the
SGA.
Video and audio recordings shall be retained for at least seven (7) days and, in the case of
recordings of evidentiary value, for a time period as determined by the TGA or the SGA.
Entrances to the closed surveillance monitoring rooms shall not be visible or accessible
from the Gaming floor.
23.8 Digital Surveillance.
23.8.1 Digital images shall record and playback images with sufficient magnification and
clarity that shows fluid motion and allows the viewer to clearly distinguish the
value of currency, coins, Gaming chips, playing cards, and outcome of the game
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-23
and effectively monitor in detail all areas in the Gaming Facility where Gaming is
conducted, including but not limited to, table games, Tribal Lottery System,
poker, Sports Wagering, Electronic Table Games, keno stations, Cashier’s Cage,
Count Rooms, Information Technology Department, and all Gaming activity
conducted on the Gaming floor by a Gaming Employee, Patron, or Player.
23.8.2 The recording systems must be equipped with an alarm that notifies the operator
of the recording system in the event of an equipment malfunction.
23.8.3 The system shall provide an authentication process such as encryption and/or
watermark to prevent and/or detect tampering.
T
23.8.4 Digital cameras can be programed to a motion detection setting, recording only
when motion is detected, which occurs anytime there is a pixel change viewed by
the camera. The pictures are still observable to the surveillance department
personnel but it does not provide a continuous recording when no motion is
AF
detected.
23.8.5 The recording system is password protected with only an authorized system
administrator user having the rights and the password to disable the “erase and
reformat” functions. This is to prevent access to system files by unauthorized
personnel.
23.8.6 Recordings from the digital Closed Surveillance System can only be viewed/read
by people with access to the proprietary reader software. Only a Gaming
DR
Employee, licensed by the TGA and certified, registered, determined eligible, or
licensed by the SGA as a Class III Gaming Employee, Tribal Gaming Agents,
agents of the SGA, members of Non-Tribal Law Enforcement, and people
authorized by the TGA may have access to live or recorded camera coverage.
23.8.7 Digital surveillance suppliers may have periodic remote access to perform routine
upgrades and maintenance under the following conditions:
(a) The TGA must approve the remote access prior to it occurring; and
(b) A log must be kept of the remote access to include who was accessing,
how long they were remotely connected, and the address of the remote
connection; and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-24
(c) All supplier representatives remotely accessing the Closed Surveillance
System must be licensed by the TGA and certified by the SGA; and
(d) At no time will the supplier representatives have access to manipulate or
change live or recorded camera coverage; and
(e) The physical connections must only be made for service work and must be
disconnected immediately following the completion of the work.
T
AF
DR
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix A – Standards of Operation and Management for Class III Activities
A-25
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX B
(AMENDED AND RESTATED)
SATELLITE (OFF-TRACK) WAGERING ON HORSE RACES
TABLE OF CONTENTS
SECTION 1 INTRODUCTION................................................................................................ 1
T
SECTION 2 DEFINITIONS ..................................................................................................... 1
SECTION 3 APPLICABILITY OF LAWS ............................................................................ 1
SECTION 4 REGULATION OF SATELLITE (OFF-TRACK) WAGERING .................. 1
4.1
4.2
4.3
4.4
4.5
4.6
4.7
AF
Wagering Permitted ............................................................................................... 1
Hours of Operation ................................................................................................ 3
Approval of Facility ............................................................................................... 3
Wagering Rules...................................................................................................... 3
Other Facilities within Area ................................................................................... 4
Amounts Received by Tribe .................................................................................. 4
Security Control ..................................................................................................... 4
DR
4.8 Accounting Practices and Audits ........................................................................... 4
i
APPENDIX B
SATELLITE (OFF-TRACK)
WAGERING ON HORSE RACES
SECTION 1 INTRODUCTION
This Appendix, added to the original Compact, contained conditions in order to operate or
participate in Sports Pools, Punchboards and Pull-Tabs, and Satellite (Off-Track) Wagering on
Horses. In 2025, the Tribe amended and restated its Compact, and as part of that effort, Sports
Pools, and Punchboards and Pull-Tabs were moved to the Compact Section IV.
SECTION 2 DEFINITIONS
T
Capitalized terms used in this Appendix are defined in Appendix D “Definitions” and are
incorporated herein. Except as otherwise provided herein, meanings ascribed to terms used in the
Horse Racing Law, Chapter 67.16 RCW, and the Horse Racing Commission Regulations, WAC
Title 260, are hereby adopted by reference wherever such terms are applicable in this Appendix.
SECTION 3
AF
APPLICABILITY OF LAWS
Wagering at the Tribe’s Satellite Wagering Facility will be conducted in accordance with the
Compact, the Indian Gaming Regulatory Act, the Interstate Horseracing Act, any ordinances or
regulations adopted by the Tribe, and Washington Horse Racing Laws as made applicable
herein. Nothing herein will otherwise be deemed a prohibition or limitation upon the tribal
operation of a Satellite Wagering Facility by the Tribe or on behalf of the Tribe.
D
SECTION 4
R
4.1
REGULATION OF SATELLITE (OFF-TRACK) WAGERING
Wagering Permitted. The Tribe is entitled to operate a single Satellite Wagering Facility
pursuant to the Compact subject to the following terms and conditions:
4.1.1 Unless permitted in accordance with Section 4.1.3, the Tribe may conduct
Satellite Wagering only on events Simulcast from any Washington State track
(whether of a live race, or an authorized Simulcast of an out-of-state signal) on
the same terms and conditions permitted for any other Satellite Wagering Facility
in the State without limitation on the distance such tribal facility is from a live
race meet, provided, the Tribe is entitled to receive Simulcast signals from each
Washington State track on terms at least as advantageous as those made available
by such track to any other satellite facility operated at a track holding a Class A or
Class B Washington Horse Racing Commission license or at any other facility
operated or leased by an entity holding such a license. Negotiations conducted
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix B – Satellite (Off-Track) Wagering on Horse Races
B-1
between the Tribe and the track shall cover areas including, but not limited to, the
following: percent of handle received; equipment required and who provides such
equipment; who provides Wagering Employees; and how and on what schedule
funds will be transferred. All wagers accepted at the tribal facility on such events
shall be made into the parimutuel pool of the Washington State track which
provides the Simulcast signal and shall be deemed to have been made at the
location of such pool for the purposes of assessment of fees, charges, taxes, or
other assessments. Nothing herein shall prohibit assessment by the Tribe of taxes,
fees, or other charges for wagering conducted at the tribal facility, nor shall the
State or any of its political subdivisions be authorized to impose any taxes, fees,
charges, or assessments upon the Tribe or any person or entity authorized to
conduct such activities on behalf of the Tribe for the Satellite Wagering activities
regulated hereunder, other than those generally applicable to the parimutuel pool.
4.1.2
T
In the event the Tribe believes it is not offered Simulcast signals from a
Washington State track on terms at least as advantageous as those made available
by such track to the other Satellite Wagering operators as set forth in
AF
Section 4.1.1, the Tribe may request a formal determination from the Horse
Racing Commission. The sole issues in such determination will be whether the
Washington State track provides terms to those other Satellite Wagering operators
which are more advantageous than those offered to the Tribe and, if so, what
terms are less advantageous to the Tribe. Provided, the Horse Racing Commission
shall conduct a hearing and render a decision within ninety (90) days after receipt
of the request for a determination from the Tribe, and further provided, that if the
Horse Racing Commission decision is not rendered within that time, the Tribe is
DR 4.1.3
entitled to conduct Satellite Wagering in accordance with the provisions of
Section 4.1.3. If the Horse Racing Commission determines that the terms offered
the Tribe are less advantageous, the Washington State track shall have thirty
(30) days to offer terms that are at least as advantageous to the Tribe, or the Tribe
will be entitled to conduct Satellite Wagering in accordance with Section 4.1.3. If
the Tribe disputes the determination of the Horse Racing Commission regarding
whether the terms offered to the Tribe are less advantageous, the Tribe or the
State may request arbitration under Compact Section XI.B(3).
If, following an adverse determination from the Horse Racing Commission, the
Washington State track does not offer the terms identified by the Horse Racing
Commission in accordance with Section 4.1.2, the Tribe shall be entitled to
negotiate for and receive Simulcast signals from out-of-state races for an
equivalent number of races, to be offered within the subsequent twelve (12)
month period, on such terms and conditions as it may obtain. Acceptance of
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix B – Satellite (Off-Track) Wagering on Horse Races
B-2
signals from out-of-state tracks shall be made in compliance with the Interstate
Horseracing Act, 15 U.S.C. § 3001, et seq. Nothing in this Section shall be
deemed to limit acceptance of satellite wagers to the extent permitted under the
Interstate Horseracing Act. Consent of the Horse Racing Commission, as required
under the Interstate Horseracing Act, shall not be unreasonably withheld. For
disputes concerning whether the Horse Racing Commission has unreasonably
withheld its consent, the Tribe or the State may request arbitration under Compact
Section XI.B(3).
4.2 Hours of Operation. The wagering authorized in the Tribe’s Satellite Wagering Facilities
shall be conducted within the hours authorized for Class III Gaming under Compact
Section III.E.
4.3
T
Approval of Facility. Subject to approval of the physical adequacy of the facility, the
Tribe’s Reservation is hereby approved as a location for the conduct of Satellite
Wagering as permitted under the Compact. The right of the Tribe to conduct Satellite
Wagering from a facility at such location shall not be affected by its distance from any
4.4 AF
live race meet being broadcast to such facility, and statutes and regulations imposing
distance limitations on the location of Satellite Wagering Facilities relative to live race
meets, including but not limited to RCW 67.16.200, shall not be applicable to the Tribe.
Wagering Rules. All of the rules set forth in WAC Chapter 260-48 (“Mutuels”) are
hereby incorporated by reference as being applicable to any Satellite Wagering Facility
authorized hereunder, subject to the following qualifications:
4.4.1 References therein to “racing associations” shall mean the Tribe.
DR
4.4.2
4.4.3
References therein to “enclosure of any race track” shall mean the Satellite
Wagering Facilities authorized hereunder.
Parimutuel machines shall be locked at the time and by the same means as are
applicable to parimutuel machines at other Satellite Wagering Facilities within the
State or as otherwise required by the parimutuel pool operator at the host race
track or other authorized source, if different therefrom, but in all cases prior to the
start of any race for which bets are being accepted.
4.4.4 References to “the manager of the parimutuel department” shall refer to any
person appointed to manage the Satellite Wagering Facility authorized under the
Compact.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix B – Satellite (Off-Track) Wagering on Horse Races
B-3
4.4.5 The Tribe may accept exotic bets, including but not limited to, daily doubles,
quinellas, exactas, wagering on “short fields,” daily triples, “Pick n,” trifectas, and
other exotic bets to the extent made available through parimutuel pools by the
parimutuel pool operator.
4.5 Other Facilities within Area. In the event the Horse Racing Commission considers
allocation of exclusive or limited areas in which Satellite Wagering Facilities may be
located, the Horse Racing Commission will give good faith consideration to designating
the Tribe’s Satellite Wagering Facility as one of those exclusive or limited area Satellite
Wagering sites. Notwithstanding the foregoing, the conduct of Satellite Wagering at any
other facility, including a live racing facility, in the State shall not affect the right of the
Tribe to operate its Satellite Wagering Facility at any time.
4.6
4.7
T
Amounts Received by Tribe. The Tribe may receive from Parimutuel Wagers made at its
Satellite Wagering Facility such amounts as may be negotiated between it and the
operator of the parimutuel pool (track).
Security Control. The Tribe shall maintain such security controls over any Satellite
4.8
AF
Wagering Facility authorized hereunder as would be required by the Horse Racing
Commission for a comparable facility off the Reservation. The Tribe shall remove, deny
access to, eject, or exclude Patrons whose presence within such facility would be contrary
to the interests of the Tribe or the State in operating an honest, legitimate facility or in
meeting the goals and objectives of the Compact or the Interstate Horseracing Act.
Accounting Practices and Audits. Any Satellite Wagering Facility authorized hereunder
shall maintain its books and records in accordance with Generally Accepted Accounting
DR
Principles and State and federal rules and regulations applying to Satellite Wagering
Facilities.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix B – Satellite (Off-Track) Wagering on Horse Races
B-4
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX D
DEFINITIONS
SECTION 1 INTRODUCTION
This Appendix includes all the defined terms used in the Compact, except it does not include
T
terms used exclusively in Appendix X2, which are defined therein.
SECTION 2 DEFINED TERMS
AF
Accounting Department means the Gaming Operation’s system of organization for daily
operations and functions of income audit, accounts payable, payroll, financial reporting, Soft
Count, and other duties to ensure compliance with accounting policies, procedures, Internal
Controls, and the Compact.
Applicant means any Individual who has applied for a Tribal license, State Certification,
Eligibility Determination, or Gaming Employee Registration whether or not such license, State
Certification, Eligibility Determination, or Registration is ultimately granted.
D
Authorized Sports Wagering Menu means the list of leagues, organizations, and types of
wagers approved for Sports Wagering.
R
Available for Lease means a Player Terminal that is part of an Eligible Tribe’s Allocation of
Player Terminals and is neither in use in any Eligible Tribe’s Gaming Facility or Facilities, nor
leased to another Eligible Tribe.
Cage Cashiers means a Gaming Employee performing any of the functions in the Cage as set
forth in the Compact.
Cash, when used as a noun, means U.S. currency in the form of coins or bills.
Cash Equivalent means U.S. currency in the form of a treasury check, personal check, travelers
check, wire transfer of funds, money order, certified check, cashier’s check, a check drawn on
the Gaming Operation payable to the Patron or to the Gaming Operation, a Patron’s debit or
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-1
credit card, a Patron’s reloadable prepaid card that has been verified as being issued to the Patron
and is non-transferable, ACH transfer if the operator has security measures and controls to
prevent ACH fraud regarding failed ACH deposits, or a voucher recording Cash drawn against a
credit card or charge card.
Cashier’s Cage or Cage means a secure work area within the Gaming Facility and a storage area
for the Gaming Operation’s bankroll which may include the bank, vault, or similar areas.
Cashless Transaction System means the system as outlined in Appendix X2, Section 2.1.
Cassette(s) means a locked container for use in a kiosk, having one or more monetary
denominations.
T
Chief Executive Officer or a similar position with equivalent authority, means the position
responsible for performing the functions of the highest-ranking executive of the Gaming
Operation, exercising the overall management and authority over all the operations and directing
of all employees of their Gaming Operation duties.
AF
Chief Financial Officer or a similar position with equivalent authority, means the executive of
the Gaming Operation exercising the overall management and authority over all financial
matters.
Chief Operating Officer or a similar position with equivalent authority, means the position
responsible for the operation and conduct of all Class III activities conducted in the Gaming
Facility.
D
Class III Gaming means all forms of Gaming as defined in 25 U.S.C. § 2703(8) and authorized
under Section IV of the Compact.
R
Closed Surveillance System means a recording system with a collection of surveillance cameras
in which live signals are recorded and are available to be viewed within the system and are not
publicly distributed or accessible.
Closer means the Gaming Station inventory slip upon which each Gaming Station inventory is
recorded at the end of each shift or gaming day, which shall be dropped into the Drop Box upon
completion of the inventory count.
Cloud Storage means data which is stored on remote servers accessed from the internet.
Collegiate Sport or Athletic Event means a sport or athletic event offered or sponsored by, or
played in connection with, a public or private institution that offers education services beyond
the secondary level, other than such an institution that is located within the State of Washington.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-2
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 in accordance with Appendix G.
Compact means the Class III Gaming Compact and Appendices between the Puyallup Tribe of
Indians and the State of Washington.
Conventional Parimutuel Pool means the total wager under the parimutuel system on any horse
or horses in a particular race to win, place, or show.
Count Room means a secure room where Drop Boxes are transported to and stored and the Drop
from Class III Gaming activities are counted in accordance with the Compact.
T
Count Team means Gaming Employees that perform the Soft Count.
Credit Slip or Credit means the three-part record reflecting the removal of Gaming chips and
coins from a Gaming Station in accordance with Appendix A.
AF
Dealer means a Gaming Employee who facilitates play at a Gaming Station, individually or as a
part of a crew, as authorized under approved Internal Controls or game rules.
Drop means the sum of the total amounts of currency, coin, Gaming chips, and vouchers
removed from a Drop Box.
Drop Box means the container attached to a Gaming Station, Player Terminal, or kiosk for
deposit of Cash and documents received in accordance with the Compact.
D
Electronic Gambling Device or Gambling Device means any device or mechanism the
operation of which a right to money, credits, deposits, or other things of value may be created, in
R
return for a consideration, as the result of the operation of an element of chance and any device
or mechanism which, when operated for a consideration, does not return the same value or thing
of value for the same consideration upon each operation thereof.
Electronic Sports or Esports Competition or Event means a live video game event or
tournament attended or watched by members of the public where games or matches are contested
in real time by Player(s) and team(s), and Player(s) or team(s) can win a prize based on their
performance in the live video game event or tournament.
Electronic Table Game or ETG means an electronic version of an approved Class III table
game.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-3
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 ETG 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.
Electronic Wagering System means an ETG Component of the ETG System that includes a
computer or server and any related hardware, software or other device that facilitates play at an
Electronic Table Game.
Eligibility Determination means the process described in Appendix L, Section 2.3 conducted by
the SGA.
T
Eligible Tribe means a Washington Tribe that has entered into a compact authorizing operation
of a Tribal Lottery System consistent with Appendix X2.
AF
ETG 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.
Exotic Parimutuel Pool means the total wagers under the parimutuel system on the finishing
position of two or more horses in a particular race, such as Quinella or Exacta wagers, or on
horses to win two or more races, such as Daily Double wagers, Pick Six wagers, or on other
wagers other than Conventional Parimutuel Pool wagers.
D
Fair means the odds of winning prizes being equal to other devices connected to the same WAP
within accepted statistical industry standards as verified by an approved gaming test laboratory.
R
Fill Slip or Fill means the three-part record reflecting the distribution of Gaming chips and coins
to a Gaming Station as provided in Appendix A.
Gaming or Gambling means staking or risking something of value upon the outcome of a
contest of chance or a future contingent event not under the Player’s control or influence, upon
an agreement or understanding that the Player will receive something of value in the event of a
certain outcome.
Gaming Employee means any person employed or otherwise employed as a contracted
employee in the operation or management of the Gaming Operation, whose job duties are
Gaming-related, including, but not limited to, Gaming Operation managers and assistant
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-4
managers; accounting personnel; security personnel; surveillance personnel; supervisors;
Dealers; box men; floormen; Pit Bosses; shift bosses; Cashier’s Cage personnel; Sports
Wagering personnel; collection personnel; and any other natural person whose employment
duties require or authorize access to restricted areas of the Gaming Facilities.
Gaming Facility or Gaming Facilities means the building or buildings or portions thereof in
which Class III Gaming activity occurs as authorized by the Compact.
Gaming Operation means the commerce, industry, or business conducted on Tribal Lands for
the purpose of providing any form of Class III Gaming in any Gaming Facility.
Gaming Operations Shift Manager or a similar position with equivalent authority, means the
position responsible for performing the functions of the supervisor assigned to each shift with the
T
responsibility for the supervision of Gaming activities conducted in the Gaming Facility. In the
absence of the Chief Operating Officer, the Gaming Operations Shift Manager shall have the
authority of the Chief Operating Officer.
AF
Gaming Operations Supervisor or a similar position with equivalent authority, means a person
in a supervisory capacity and required to perform certain functions under the Compact, including
but not limited to, Pit Bosses, Gaming Operations Shift Managers, the Operation managers and
the Chief Operating Officer.
Gaming Services means the providing of any goods or services to the Gaming Operation
directly in connection with the operation of Class III Gaming in a Gaming Facility and involving
restricted areas or access. Goods or services include, but are not limited to, equipment,
maintenance, management, and security services for the Gaming Facility.
D
Gaming Station means one conventional, physical Gaming table of the general size and scope
as commonly used in Nevada or in another U.S. jurisdiction as agreed by the Parties or
R
Electronic Table Games, subject to Appendix G.
Geofence means any technology used to create a virtual geographic boundary or technology
used to detect the physical location of a device a Patron is using to attempt to engage in Mobile
Sports Wagering.
IGRA means the Indian Gaming Regulatory Act, Pub. L. 100-497, codified at 25 U.S.C. § 2701
et seq. and 18 U.S.C. §§ 1166–1168. It is a federal law that establishes the jurisdictional
framework that governs Indian Gaming.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-5
Imprest Basis means the basis on which Cashier’s Cage funds are replenished from time to time
by exactly the amount of the net expenditures made from the funds and amounts received and in
which a review of the expenditure is made by a higher authority before replenishment.
Incompatible Function means a function, for accounting and Internal Controls purposes, that
places any person or department in a position to both perpetrate and conceal errors or
irregularities in the normal course of the person’s or department’s duties. Anyone both recording
transactions and having access to the relevant assets is in a position to perpetrate errors or
irregularities.
Independent Accountant means a professional accountant suitably qualified and sufficiently
independent to act as auditor of the Gaming Operation.
T
Independent Accounting Firm means a person or firm licensed by the Washington State Board
of Accountancy.
Indian means an enrolled member of a federally recognized American Indian tribe or Alaska
Native entity.
AF
Individual means, but is not limited to, natural persons and business entities including sole-
proprietorships, partnerships, corporations, joint ventures, organizations, and associations.
Information Technology Department means the Gaming Operation department whose
personnel ensure the physical security over computers, computer terminals, and storage media;
and oversee the installation, operation and maintenance of computer hardware, operating
systems, applications, software, and data communications relating to Gaming consistent with the
D
Compact and the Internal Controls.
Integrity Monitoring Provider means a Sports Wagering Vendor approved by the TGA and the
R
SGA to receive reports of Unusual Wagering Activity from the Gaming Operation for the
purpose of assisting in identifying Suspicious Wagering Activity.
Internal Controls means the documents that describe the internal operational system or internal
procedures of the Gaming Operation designed to promote efficiency, safeguard assets, and avoid
fraud and error.
Keno System means the collection of hardware and software components which facilitate the
play, reporting, and security of the keno game, including number selection devices, databases,
servers, networking devices, management terminals, kiosks, and other components used as
integral parts of the keno game.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-6
Key means an instrument for locking or a device that operates a lock designated to secure and
protect assets. A Key could include a unique hard Key, a plastic card with an encoded magnetic
strip or chip, magnetic lock, or similar device.
Kiosks are described in Appendix X2, Section 2.9. See Sports Wagering Kiosk definition below.
Layoff Wager means a wager placed or accepted between gaming operations for the purpose of
offsetting the tribal Sports Wagering liability.
Master Game Report means a record of the computation of the Win or Loss for each Gaming
Station, each game, and each gaming day shift and includes the total amount of currency and
coin counted, amount of the Opener and Closer, Fill and Credit serial numbers, individual and
total amounts of Fills and Credits, and Win or Loss.
T
Memorandum of Understanding or MOU means a document agreed upon by both the Tribe
and SGA that clarifies terms or details of agreed upon Compact provisions and does not add
provisions which would require an amendment.
AF
Minor League means a lower professional league or division within a sport, such as American
baseball or hockey, where a professional team has the exclusive contractual rights to promote
and relegate players.
Mobile Device means portable electronic equipment used in Mobile Sports Wagering, including
but not limited to a mobile phone, tablet, personal computer, electronic device, and any other
portable electronic device.
D
Mobile Sports Wagering means any Sports Wagering on a Mobile Device platform, including
Sports Wagers deployed and accessed through the internet or an application installed on a
Mobile Device.
R
National Indian Gaming Commission or NIGC means the commission established pursuant to
Section 5 of IGRA, 25 U.S.C. § 2704.
Non-Indian means a person not enrolled as a member of a federally recognized American Indian
tribe or Alaska Native entity.
Non-Tribal Law Enforcement means any non-Tribal law enforcement agency that has
jurisdiction to enforce State laws on Tribal Lands or is subject to the terms of a cross-
deputization, cooperation, or mutual aid agreement with the Tribe. Except as specifically
provided in the Compact, nothing in this definition or in any provision set forth in the Compact,
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-7
however, is intended to expand, waive, confer, or limit any jurisdiction upon any law
enforcement agency on Tribal Lands.
Opener means the Gaming Station inventory slip upon which each Gaming Station inventory is
recorded at the end of each shift and serves as the record of each Gaming Station inventory at the
beginning of the next shift.
Parimutuel Wagering means a form of wagering on the outcome of horse races in which those
who wager purchase tickets of various denominations on a horse or horses in one or more races.
When the outcome of the race or races has been declared official, there is a distribution of the
total wagers comprising each pool, less any amounts permitted to be retained by law or under the
Compact, to holders of winning tickets on the winning horse or horses.
T
Participant Tribe means a tribal government within the State that has been accepted to join in a
specific approved WAP.
Patron means any person on Tribal Lands who is physically present in a Gaming Facility,
AF
excluding on-duty Individuals licensed through the TGA.
Pit means the area enclosed or encircled by an arrangement of Gaming Stations, other than
Electronic Table Games, in which Gaming Operation personnel administer and supervise the
games played at the Gaming Stations by the Players located on the outside perimeter of the area.
Pit Boss means the position responsible for the overall supervision of the operation and conduct
of Gaming at the Gaming Stations within a single Pit and oversees any intermediate supervisors
assigned by the Gaming Operation to assist in supervision of Gaming Stations in the Pit.
D
Player means a natural person who engages in any form of Gaming in which the Player shall not
receive or become entitled to receive any profit therefrom other than personal Gaming winnings,
R
and without otherwise rendering any material assistance to the establishment, conduct, or
operation of a particular Gaming Activity.
Player Account means an electronic account established by a Patron for the purpose of Sports
Wagering, including deposits, withdrawals, wagered amounts, payouts on winning wagers, or
similar adjustments.
Player Terminals are described in Appendix X2, Section 2.13.
Premises means buildings that comprise a Gaming Facility and adjacent or adjoining amenities,
such as hotels, restaurants, conference or entertainment spaces, common areas, parking lots,
garages, and other improved areas; provided that such areas constitute Puyallup Tribal Lands,
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-8
and provided further, that such areas do not include non-adjoining convenience stores or golf
courses.
Principal means with respect to any Sports Wagering Vendor, supplier or manufacturer of
Gaming Services, or financier: (a) each of its officers and directors; (b) each of its owners or
partners, if an unincorporated business; (c) each of its shareholders who own more than ten
percent of the shares of the corporation, if a corporation; and (d) each person who has provided
financing for the enterprise constituting more than ten percent of the total financing of the
enterprise or project.
Professional Sport Event or Athletic Event means an event that is not a Collegiate Sport Event
or Collegiate Athletic Event at which two or more persons participate in a sports or athletic event
and receive compensation in excess of actual expenses for their participation in the event.
T
“Professional Sport or Athletic Event” does not include any Minor League sport.
Progressive Prize means a prize that increases by a predetermined amount based on play on a
Tribal Lottery System.
AF
Proof of Identity means valid legal identification that includes a current photograph such as a
driver’s license, state identification card, passport, or tribal identification card.
RCW means the Revised Code of Washington, as amended.
Registration means the process described in Appendix L, Section 2.4 conducted by the SGA to
determine, from the State’s perspective, if a person is of good character, honesty and integrity;
the person’s prior activities do not pose a threat to the public or to effective regulation of the
D
Compact; and that such person is likely to conduct Class III Gaming activities in accordance
with the Compact.
R
Request for Credit means the two-part document reflecting the authorization for preparation of
a Credit with respect to removal of Gaming chips and coins from a Gaming Station in
accordance with Appendix A.
Request for Fill means the two-part document reflecting the authorization for preparation of a
Fill for the distribution of Gaming chips and coins to a Gaming Station in accordance with
Appendix A.
Satellite Wagering means Parimutuel Wagering on Simulcast results as provided in
Appendix B.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-9
Satellite Wagering Facility means any facility in which Satellite Wagering is conducted in
accordance with Appendix B.
Security Department means a department within the Gaming Operation that is responsible for
ensuring the safety of Patrons, employees, Gaming Operation assets, and the Gaming Facility.
Security Department Employee means a Gaming Employee who is a member of the Security
Department as provided in the organization of the Gaming Operation in accordance with the
Compact.
Simulcast means the simultaneous television or radio transmission of a race to a facility other
than where the race meet is being held as provided in Appendix B.
T
Soft Count means the process in which Class III Gaming revenues are counted in accordance
with Appendix A.
Sports Governing Body means the organization that prescribes final rules and enforces codes of
conduct with respect to a sporting event and participants therein.
AF
Sports Wager or Mobile Sports Wager means the actual bet placed on sporting events, Athletic
Events, or competitions. A Sports Wager does not include wagers on horse racing authorized
pursuant to RCW chapter 67.16.
Sports Wagering means the business of accepting wagers on any of the following sporting
events, athletic events, or competitions by any system or method of wagering: (a) a Professional
Sport or Athletic Event; (b) a Collegiate Sport or Athletic Event; (c) an Olympic or international
D
sports competition or event; (d) an Electronic Sports or Esports Competition or Event; (e) a
combination of sporting events, athletic events, or competitions listed in (a) through (d) of this
subsection; or (f) a portion of any sporting event, athletic event, or competition listed in
R
(a) through (d). Sports Wagering does not include the business of accepting wagers on horse
racing authorized pursuant to RCW chapter 67.16.
Sports Wagering Kiosk means an unattended, self-service terminal, machine, or other device
provided by the Gaming Operation through which a Patron may place or redeem a Sports Wager.
Sports Wagering System means all equipment, hardware, data networks, communications
technology, and software used in the operation of Sports Wagering that directly affect the
wagering and results of Sports Wagering offered under Appendix S, including the following:
(a) Sports Wagering interactive components, including all associated equipment and software
that comprise the Sports Wagering platform used in a Sportsbook or used for online or Mobile
Sports Wagering; (b) Sports Wagering Kiosks; and (c) ticket or voucher redemption devices.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-10
“Sports Wagering System” does not include a Mobile Device owned and used by a Player to
place a Sports Wager.
Sports Wagering Vendor means an organization that provides any Gaming goods or services in
connection with the operation of Sports Wagering.
Sportsbook means the Sports Wagering area where transactions are conducted from a counter
located in a Sports Wagering lounge or other window locations as approved by the TGA. The
Sportbook does not include a window in the Cashier’s Cage designated only for the redemption
of winning Sports Wagering tickets.
State means the State of Washington, its authorized officials, agents and representatives.
T
State Certification means the process described in Appendix L, Section 2.2 utilized by the SGA
to ensure that all Individuals or other entities or persons required to be certified are qualified to
hold such State Certification in accordance with the Compact.
SGA means the Washington State Gambling Commission. SGA may also be known as the State
Gaming Agency
AF
Surveillance Department means the department that conducts clandestine observation of all
activities within the Gaming Facility in accordance with the Compact.
Suspicious Wagering Activity means Unusual Wagering Activity that cannot be explained and
is indicative of match fixing, the manipulation of an event, misuse of inside information, or other
prohibited activity.
D
TGA means the Puyallup Tribal Gaming Agency, which is primarily responsible for regulatory
oversight of Class III Gaming as authorized by Tribal law and recognized under the Compact.
R
Tribal Gaming Agent means an employee of the TGA duly appointed by the TGA as an agent.
Tribal Gaming Code means the Puyallup Tribe of Indians Gaming Code approved by the NIGC
pursuant to IGRA and codified in Chapter 13.04 (or its successor) of the Puyallup Tribal Code,
as amended, and any regulations or rules adopted by the Tribe thereunder.
Tribal Lands means Indian lands as defined by 25 U.S.C. § 2703(4)(A) and (B), subject to the
provisions of 25 U.S.C. § 2719, and subject to the jurisdiction of the Tribe.
Tribal Law Enforcement means any police force established and maintained by the Tribe
pursuant to the Tribe’s powers of self-government to carry out law enforcement within the Tribal
Lands or pursuant to a law enforcement commission.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-11
Tribal Licensing means the licensing process utilized by the Tribe to ensure all Individuals and
other entities required to be licensed are qualified to hold such license in accordance with
provisions of the Tribal Gaming Code, regulations, and the Compact.
Tribal Lottery System is described in Appendix X2, Section 2.15.
Tribal Member means an enrolled member of the Puyallup Tribe of Indians pursuant to the
membership laws of the Tribe.
Tribe or Tribal means the Puyallup Tribe of Indians, its authorized officials, agents, and
representatives.
Unusual Wagering Activity means abnormal wagering exhibited by a Player or Players and
T
deemed by the Gaming Operation as a potential indicator of suspicious activity. Abnormal
betting activity may include, but is not limited to, the size of a Player’s wager, or increased
wagering volume on a particular event or wager type.
WAC means the Washington Administrative Code, as amended.
AF
Wagering Employee means any person who is employed by the Gaming Operation or works at
any Satellite Wagering Facility, and who handles any monies, materials, records, or equipment
related to the Satellite Wagering, or who supervises any person who does so or supervises any
such supervisor as provided in Appendix B.
WAP Component means the hardware, the software, and any integral parts or combination
thereof necessary to operate the WAP.
D
WAP Controller means a WAP Component at each participating jurisdiction’s and/or
government’s Gaming Facility that accumulates Progressive Prizes and provides Progressive
R
Prize information to display for Players in accordance with Appendix W.
WAP Operator means the licensed manufacturer or Gaming service supplier that maintains the
WAP central system which communicates with individual WAP Controllers in accordance with
Appendix W.
Wide Area Progressive or WAP means a jackpot sharing system between multiple participating
jurisdictions and/or governments within and outside the State in accordance with Appendix W.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix D – Definitions
D-12
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX G
ELECTRONIC TABLE GAMES
TABLE OF CONTENTS
SECTION 1. CONDITIONS AND LIMITATIONS................................................................ 1
T
SECTION 2. DEFINITIONS ..................................................................................................... 1
SECTION 3. AUTHORIZATION ............................................................................................. 1
3.1 General Requirements............................................................................................ 1
3.2
3.3
3.4
3.5 AF
System Conditions ................................................................................................. 1
Specific Games. ..................................................................................................... 2
Wager Limits ......................................................................................................... 2
Electronic Wagering System.................................................................................. 3
SECTION 4. NUMBER OF GAMING STATIONS ................................................................ 3
SECTION 5. OPERATION AND REPORTING REQUIREMENTS................................... 3
5.1 Standards for Operation. ........................................................................................ 3
DR
5.2
5.3
5.4
Internal Controls .................................................................................................... 3
Required Reports ................................................................................................... 4
Training .................................................................................................................. 5
SECTION 6. APPROVAL OF ELECTRONIC TABLE GAME SYSTEMS ....................... 5
6.1
6.2
Purpose ................................................................................................................... 5
Independent Test Laboratory (ITL) Testing for ETG System, Upgrades,
and New Equipment; Modifications. ..................................................................... 5
6.3 Field Testing for ETG Systems.............................................................................. 5
6.4 Approval. ............................................................................................................... 6
6.5 Implementation of Approved ETG by another tribe .............................................. 6
SECTION 7. PROBLEM GAMBLING AND RESPONSIBLE GAMING ........................... 7
7.1 Commitment to Responsible Gaming .................................................................... 7
i
APPENDIX G
ELECTRONIC TABLE GAMES
SECTION 1. CONDITIONS AND LIMITATIONS
This Appendix contains the interrelated concessions, limitations, and agreement of the Tribe and
the State with respect to the subject matter addressed herein. Provisions of 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.
T
The Tribe shall provide at least ten (10) days’ advance notice to the State prior to implementation
of this Appendix.
Any provisions of the Compact that do not conflict with these standards shall apply to Electronic
AF
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 Seventh Amendment remain
in full force and effect unless and until they are subsequently modified pursuant to the process
set forth in the Compact. This Appendix G was bargained for and in exchange for all of the terms
contained herein, as well as Compact Section III.
SECTION 2. DEFINITIONS
Capitalized terms used in this Appendix are defined in Appendix D “Definitions” and are
D
incorporated herein.
SECTION 3.
R
3.1
3.2
AUTHORIZATION
General Requirements. 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 Memorandum of Understanding.
System Conditions. An ETG System is authorized when the ETG System does not allow
a Player 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:
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-1
3.2.1 There is a human Dealer involved in the play of the ETG (“Dealer Controlled”);
or
3.2.2 The play of the ETG does not involve a human Dealer, and the ETG System is
configured for play between two or more Players against the same roll of dice or
spin of the wheel, or a Communal Shoe of electronic cards (“Non-Dealer
Controlled”); however, only one Player is needed to initiate game play; or
3.2.3 It is a hybrid of Dealer Controlled and Non-Dealer Controlled, provided that any
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.
3.3 Specific Games.
3.3.1 T
The Tribe may offer for play an ETG version of any Class III table game
approved in Compact Section IV.A. Pay table or odds offered on an ETG shall be
3.3.2
3.3.3
AF
consistent with game rules as approved in Compact Section IV.A. ETG game
rules must be displayed on each ETG Terminal.
An ETG Terminal may allow for play any other Class III activity as authorized
under the Compact, other than the Tribal Lottery System or any Gaming activity
with a limited allocation.
Concurrent Play. Players may play more than one ETG concurrently using a
single ETG Terminal under the following requirements:
DR
(a)
(b)
(c)
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.
An ETG Terminal must display each ETG selected for play by the Player.
An ETG Terminal must display the decisions and outcomes of play for
each ETG selected by the Player.
(d) An ETG may not be added to or removed from an ETG Terminal in use by
a Player.
3.4 Wager Limits. Wager limits for ETGs shall not exceed five hundred dollars ($500).
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-2
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 Player’s play.
SECTION 4. NUMBER OF GAMING STATIONS
Every nine ETG Terminals shall constitute one Gaming Station. If the number of ETG Terminals
put into play is not perfectly divisible by nine, then any remainder less than nine will constitute a
Gaming Station. For example, if ten ETG Terminals are in operation, it will constitute two
Gaming Stations.
SECTION 5. OPERATION AND REPORTING REQUIREMENTS
5.1 Standards for Operation.
5.1.1 T
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
5.1.2
AF
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 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
established by this Appendix, any applicable provision of the Compact, including
DR 5.1.3
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 Compact Section XIII.E.
The TGA and the SGA 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, that maintain the integrity and security of the ETG
System.
5.2 Internal Controls. Prior to offering ETGs for play, the Tribe must implement Internal
Controls as minimum operating standards to govern the operation and management of the
ETG System.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-3
5.2.1 Initial Internal Controls. The TGA shall forward to the SGA its initial Internal
Controls for ETG Systems for review and concurrence in accordance with
Compact Section VII(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;
(b) User access controls for ETG personnel;
(c) Segregation of duties;
(d)
(e)
T
Procedures for receiving, investigating, and responding to Patron
complaints;
Accounting and auditing procedures;
(f)
(g)
(h)
AF Procedures to ensure the physical security of the ETG Systems, including
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;
DR
(i)
(j)
(k)
Procedures to ensure accurate accounting of wagers and payouts;
Procedures to ensure the logging of the events and the availability of
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
(l) Any other Internal Controls deemed necessary by the TGA and the SGA.
5.3 Required Reports. Reports necessary to record information as deemed necessary by the
TGA or as required by Internal Controls must be generated. These reports may include,
but are not limited to, all applicable reports as outlined in GLI-24 Section 2.21.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-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 SGA for training
purposes prior to field testing. The SGA will collaborate with the TGA to provide
additional training opportunities related to ETG Systems. The TGA and the SGA 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 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 T
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
6.2.2
AF
Appendix and any related MOU by an ITL selected by the Tribe from SGA’s
approved ITL list.
ITL Reports and Certification. At the conclusion of testing, the ITL shall provide
to the TGA and the SGA its certification and supporting documentation. If the
ITL provides sufficient documentation that the ETG System or relevant ETG
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.
DR
6.2.3 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 SGA: (a) changes to content not
related to any regulated feature; (b) adding or removing users; (c) any system
configuration changes that have no impact on the accuracy of report information
including Gaming revenue; and (d) minor modifications to hardware.
6.3 Field Testing for ETG Systems.
6.3.1 A new ETG System may only be offered for play subject to field testing at the
Tribe’s Gaming Facility as described below.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-5
6.3.2 The terms, conditions, criteria, and objectives for each ETG System to be field
tested must be jointly agreed to by the TGA and the SGA in writing prior to field
testing and must include at least:
(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; and
6.4
(e)
Approval.
T
Identification of who will receive updates, how the updates will be sent,
and when they will be sent.
6.4.1
6.4.2
AF
After a minimum of thirty (30) days of active operation of field testing free of
substantial errors, the TGA and the SGA 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 active
operation unless disapproved in writing by the TGA or the SGA detailing the
DR
6.5
6.4.3
reasons for disapproval.
Field testing may be suspended by the TGA, the SGA, or the manufacturer at any
time for non-compliance. Once the TGA and the SGA agree the non-compliance
issue is resolved, field testing may resume.
Implementation of Approved ETG by another tribe. The Tribe may conduct their own
field testing period as outlined above or, once field testing is completed for another tribe,
the Tribe may rely on that testing for approval when its ETG System is the same and
configured in the same way.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-6
SECTION 7. PROBLEM GAMBLING AND RESPONSIBLE GAMING
7.1 Commitment to Responsible Gaming. Compact Section III.Q governs the Tribe’s
commitment to a comprehensive problem gambling and responsible gaming program and
such provisions are incorporated herein.
T
AF
DR
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix G – Electronic Table Games
G-7
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX L
LICENSING, STATE CERTIFICATION, ELIGIBILITY DETERMINATION,
AND REGISTRATION PROCEDURES
TABLE OF CONTENTS
SECTION 1 DEFINITIONS ..................................................................................................... 1
SECTION 2 GAMING EMPLOYEES .................................................................................... 1
2.1
2.2
2.3
T
Overview ................................................................................................................ 1
Gaming Employee Tribal License and State Certification. ................................... 3
Gaming Employee Eligibility Determination. ....................................................... 9
2.4
AF
Gaming Employee Registration. .......................................................................... 15
SECTION 3 STATE ROLE FOR ISSUING STATE CERTIFICATION OF
MANUFACTURERS AND SUPPLIERS OF GAMING SERVICES
AND FINANCIERS ........................................................................................... 23
3.1
3.2
3.3
Manufacturers and Suppliers of Gaming Services............................................... 23
Financiers. ............................................................................................................ 24
Process. ................................................................................................................ 24
D
SECTION 4 SPORTS WAGERING LICENSING AND STATE
R
CERTIFICATION ............................................................................................. 28
4.1
4.2
4.3
4.4
Sports Wagering Vendors .................................................................................... 28
Tribal Licensing of Sports Wagering Vendors .................................................... 30
State Certification of Sports Wagering Vendors ................................................. 30
Fees for State Certification .................................................................................. 30
i
APPENDIX L
LICENSING, STATE CERTIFICATION, ELIGIBILITY DETERMINATION, AND
REGISTRATION PROCEDURES
The Puyallup Tribe of Indians and the State of Washington, through the TGA and the SGA, have
had a collaborative and productive working relationship related to the licensing and certification
of Gaming Employees, manufacturers and suppliers of Gaming Services, and Sports Wagering
Vendors. The Tribe and State intend to continue that relationship where the TGA issues licenses
and the SGA issues State Certifications to Gaming Employees, manufacturers and suppliers of
Gaming Services, and Sports Wagering Vendors. However, in the interest of flexibility, the
Parties wish to include the option to transition to an Eligibility and/or Registration model for
Gaming Employees in the future.
SECTION 1 DEFINITIONS
T
Capitalized terms used in this Appendix are defined in Appendix D “Definitions” and are
incorporated herein.
SECTION 2
2.1 AF
GAMING EMPLOYEES
Overview. The TGA shall license Gaming Employees and will work with the SGA for
the SGA to issue either State Certification to those Gaming Employees as described in
Section 2.2 or work with the SGA for the SGA to determine Eligibility as described in
Section 2.3 or work with the SGA for the SGA to verify Registration as described in
Section 2.4. Depending upon the duties involved in any position in the Gaming
DR
Operation, the TGA and the SGA, by mutual written agreement, may exclude some
Gaming Employees or include other employees not identified in this Appendix.
2.1.1
2.1.2
The options outlined in Sections 2.2, 2.3, and 2.4 are mutually exclusive and
cannot be utilized at the same time.
Transitioning between State Certification and Eligibility Determination. The TGA
may choose to transition from State Certification to the Eligibility Determination
provisions of the Compact. The TGA agrees that it will operate under the
Eligibility Determination provisions for at least two (2) years before returning to
the State Certification provisions. If the TGA chooses to return to the State
Certification provisions after at least two (2) years under the Eligibility
Determination provisions, it agrees that it will operate under the State
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-1
Certification provisions for at least two (2) years before transferring back to the
Eligibility Determination.
2.1.3 Transitioning from State Certification or Eligibility Determination to Registration.
If the TGA can demonstrate Tribal Licensing expertise by meeting all criteria
required in Section 2.4.1 and the SGA verifies the TGA has met the criteria, the
Tribe may choose to transition from State Certification or Eligibility
Determination to the Registration provisions of the Compact.
(a) The TGA must operate under the Registration provisions for at least two
(2) years before returning to the State Certification or Eligibility
Determination provisions. If the TGA chooses to return to the Eligibility
Determination or State Certification provisions after at least two (2) years
T
under the Registration provisions, they must operate under the State
Certification or Eligibility Determination provisions for at least two (2)
years before transferring back to Registration.
(b)
(c) AF Prior to any transition and every three (3) years thereafter, the TGA must
demonstrate and verify that it meets all criteria in Section 2.4.1, to be set
out in a Transition MOU, as set forth in Section 2.1.5.
If the Tribe determines that the TGA no longer meets the requirements set
forth in Section 2.4.1, the Tribe will immediately notify the SGA of the
TGA’s plan to transition back to either a State Certification or Eligibility
Determination process and provide the SGA thirty (30) days’ notice to
update their processes and reprogram their systems.
DR 2.1.4
(d) If the SGA finds the TGA no longer meets the requirements in
Section 2.4.1, the SGA will immediately notify the TGA and request a
meeting to discuss a transition plan back to either the State Certification or
Eligibility Determination process.
Submitting Transition Plan to the SGA.
(a) The TGA will submit the proposed transition date and licensing and State
Certification, Eligibility Determination, or Registration plan to the SGA at
least ninety (90) days prior to transitioning. The ninety (90) day period
will provide the SGA time to reprogram their systems, properly train staff
in the new procedures, and allow time for the SGA to verify that the TGA
meets the applicable criteria.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-2
(b) When transitioning to Registration, the TGA must also provide
documentation in their transition plan of how it meets the criteria in
Section 2.4.1.
(c) When returning to a previous process, the TGA will notify the SGA of
their plan to transition to a previous process and provide the SGA thirty
(30) days notice to update their processes and reprogram their systems.
2.1.5 Transition MOU. If the Tribe wishes to transition to another process, the TGA
and the SGA must enter an MOU (“Transition MOU”) that includes, at a
minimum: transition date; fees; the submittal process for State Certification,
Eligibility Determination, or Registration verification; annual review, including
the timing, process, and any costs associated with such review; and that State
T
Certification and Eligibility Determination applications and Registration
information must be submitted online. If the transition is to Registration, the
Transition MOU will also include the TGA’s verification that it meets all criteria
in Section 2.4.1. The MOU may be amended from time to time and will remain in
2.2
AF
effect while the TGA operates under either the Eligibility Determination or
Registration verification process.
Gaming Employee Tribal License and State Certification.
2.2.1 Tribal License and State Certification Required. Any employee that meets the
definition of Gaming Employee, regardless of the employee’s job title, must be
licensed by the TGA and relicensed annually, and must also receive State
Certification from the SGA and be recertified annually. The TGA may
DR 2.2.2
immediately issue a license if the Gaming Employee has a current State Gaming
license or State Certification issued by the SGA.
Pre-Certification Licensing.
(a) The TGA may perform an initial criminal background check on an
Applicant who has applied for a Class III Tribal gaming license by
accessing the Judicial Information System (“JIS”) or an alternative
repository for criminal history records as agreed to by the TGA and the
SGA.
(b) The criminal history results and preliminary TGA determination will be
submitted to the SGA along with the completed State Certification
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-3
application, the Applicant’s fingerprint cards, Proof of Identity, and the
fee required for State Certification.
(c) Only Applicants who meet the minimum requirements may begin working
at a Gaming Facility prior to receiving State Certification. “Minimum
requirements” shall mean that the Applicant is not on probation and that
they have none of the following: pending charges, outstanding warrants or
criminal judgements, felony convictions, or misdemeanor convictions
within the last ten (10) years.
(d) The pre-certification license shall become null and void and the Tribe
shall immediately cease to employ the Applicant if the SGA raises an
objection, with cause, to the application.
(e)
T
A pre-certification license from the TGA shall become null and void upon
either the issuance of State Certification or upon the issuance of a notice
of the SGA’s intent to deny State Certification.
2.2.3
AF
Procedures for Tribal License Applications and State Certification. Each
Applicant for a Tribal gaming license and for State Certification shall submit the
completed State Certification application form along with the required
information to the TGA. Each completed application that does not include a pre-
certification determination shall be accompanied by the Applicants’ fingerprint
card(s), Proof of Identity, and the fees required by the TGA and the SGA. Upon
receipt, the TGA will transmit the completed application, a set of fingerprint
cards, Proof of Identity, and required fees for each Applicant to the SGA.
DR
2.2.4 Background Investigations of Applicants. Upon receipt of a completed
application, attachments and the fee required for State Certification, the SGA
shall conduct the necessary background investigation to ensure the Applicant is
qualified for State Certification. Upon completion of the necessary background
investigation, the SGA shall either issue a State Certification or deny the
application based on criteria set forth in the Compact. If the SGA issues a State
Certification, the SGA shall forward the State Certification to the TGA. If the
application for State Certification is denied, a statement setting forth the grounds
for denial shall be forwarded to the Applicant in accordance with the provisions
of WAC 230-17 with a copy forwarded to the TGA. The SGA shall not apply to
any Applicant for State Certification required under the Compact a more rigorous
standard than that actually applied in the approval of SGA licenses or State
Certifications in non-tribal Gaming activities regulated by the SGA. All
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-4
background materials compiled by the SGA in connection with the background
investigation of any Applicant for State Certification shall be available to the
TGA at the SGA office upon request, subject to any constraints imposed by the
SGA’s accreditation as a law enforcement agency, requirements under
RCW 9.46.210(4) and RCW 10.97, and status as a member of a law enforcement
intelligence sharing organization, such as the Law Enforcement Intelligence Unit
(LEIU), Fusion Centers, INTERPOL, and similar organizations.
2.2.5 Grounds for Revocation, Suspension, or Denial of State Certification. The SGA
may revoke, suspend, or deny a State Certification under the provisions of
RCW 9.46.075, and rules promulgated thereunder, for any reason or reasons it
deems to be in the public interest. In addition, these reasons shall include, but
shall not be limited to, when an Applicant or holder of a State Certification or
Principal of an entity:
(a)
T
Is determined to be a person who because of prior activities, criminal
record, if any, or reputation, habits or associations poses a threat to the
(b)
(c)
AF effective regulation of Gaming or creates or enhances the chances of
unfair or illegal practices, methods and activities being used in the conduct
of the Gaming activities permitted pursuant to the Compact.
Has violated, failed, or refused to comply with the provisions,
requirements, conditions, limitations, or duties imposed by any provision
of a tribal – state compact.
Has failed to provide any information reasonably required to investigate
DR (d)
the application for State Certification or to reveal any fact which the
Applicant or holder of State Certification knows or should reasonably
know or is material to such application (i.e., a non-disclosure), or by
furnishing any information which is untrue or misleading in connection
with such application.
Has had a tribal or State gaming license revoked or denied during the
twelve (12) months prior to the date the TGA received the application; is
currently on probation imposed by any jurisdiction; or has demonstrated a
willful disregard or failed to comply with the requirements of any Gaming
regulatory authority in any jurisdiction, including offenses that could
subject the Individual to suspension, revocation or forfeiture of any
gaming license. For the purpose of reviewing any application for a State
Certification or for considering the denial of the application, or suspension
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-5
or revocation of any State Certification, the SGA may consider any prior
criminal conduct or current probationary status of the Applicant or holder
of a State Certification and the provisions of RCW 9.95.240 and
RCW 9.96A shall not apply to such cases.
(e) Notwithstanding anything herein to the contrary, in the absence of other
violations, it shall not automatically be grounds for revocation, suspension
or denial for an Indian person from a federally recognized tribe to have
been charged or convicted under State law of the following non-Gambling
related offenses if the charge or conviction occurred prior to United States
Supreme Court rulings clarifying State jurisdiction over Indians for such
offenses as, but not limited to: (1) fishing or hunting offenses;
(2) cigarette, fireworks, or alcohol sales offenses; or (3) cases involving
T
the exercise of trust or treaty rights. In the absence of other violations,
activities or factors which would warrant denial, revocation or suspension,
these Indian persons shall not be barred solely as a result of such activities
from State Certification.
(f)
AF The SGA will consult with the TGA prior to denying State Certification to
such an Applicant who does not meet the criteria for State Certification.
For Tribal Members who are Applicants for Class III Gaming State
Certification, and licensing, the SGA and the TGA may waive, by mutual
agreement, through a provisional or conditional State Certification, certain
criteria for such Tribal Members if the waiver does not pose an
appreciable risk to the public or the lawful operation of the Gaming
DR 2.2.6
Facility. If the TGA can show extenuating circumstances why a Tribal
Member who does not meet all criteria should be further considered for a
provisional or conditional State Certification, the TGA and the SGA may
agree to a temporary State Certification, based on specific conditions and a
further detailed review of the Applicant. Additional fees may be required
to maintain a conditional or provisional certification, which the Tribe
agrees to pay.
Right to Hearing for Revocation, Suspension, or Denial of State Certification. If
an application has not been withdrawn by the TGA during the State Certification
review process, any Applicant or holder of a State Certification shall be entitled to
notice and a full hearing on any action by the SGA which may result in the
revocation, suspension, or denial of State Certification. The notice and hearing
will be conducted in accordance with the procedures contained in the applicable
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-6
provisions of RCW 9.46, RCW 34.05, and WAC 230-17, and the records
involved shall be governed by the definitions set out in RCW 10.97.030. The
SGA shall notify the TGA of any determination under this subsection. If the
Applicant or holder appeals in accordance with the above, the TGA will stay its
proceeding pending the final outcome of the State appeal; provided, however,
nothing herein prevents the TGA from initiating a summary suspension.
2.2.7 Denial, Suspension, or Revocation of Licenses Issued by the TGA. The denial,
suspension, or revocation of any Tribal Gaming license by the TGA shall be in
accordance with the Compact, the Tribal Gaming Code, and regulations
governing such procedures and the grounds for such actions shall not be less
stringent than those of Section 2.2.5. The TGA shall notify the SGA of any
determination under this subsection. If the Applicant or license holder appeals the
T
revocation, suspension, or denial of State Certification in accordance with
Section 2.2.6, the TGA will stay its final proceeding pending the final outcome of
the SGA’s action.
2.2.8
AF
Duration and Renewal of Tribal Issued Licenses and State Certifications. Any
Tribal license or State Certification shall be effective for one (1) year from the
date of issuance of the license, State Certification, or temporary license or State
Certification, unless otherwise revoked or suspended. A Gaming Employee who
has applied for renewal prior to expiration may continue to be employed under a
temporary Tribal license or expired State Certification until the TGA or the SGA
takes action on the renewal or suspends or revokes the license. Applicants seeking
renewal shall provide information updating originally submitted information as
DR
requested, on the appropriate renewal forms, but shall not be required to re-submit
historical data already available to the TGA or the SGA. An additional
background investigation shall be required if new information concerning the
Applicant’s continuing suitability or eligibility for a Tribal license or a State
Certification is discovered by either the TGA or the SGA. The SGA shall forward
a copy of any updated information to the TGA, subject to any constraints imposed
by the SGA’s accreditation as a law enforcement agency, requirements under
RCW 9.46.210(4) and RCW 10.97, and status as a member of a law enforcement
intelligence sharing organization, such as the Law Enforcement Intelligence Unit
(LEIU), Fusion Centers, INTERPOL, and similar organizations.
2.2.9 Exchange of Tribal Licensing and State Certification Information. Any
administrative action or legal proceeding against a Tribal license will be
communicated to, and final disposition forwarded to, the SGA, and any
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-7
administrative action or legal proceeding against a State Certification will be
communicated to, and final disposition forwarded to, the TGA. Each agency will
maintain these licensing records in accordance with its respective record retention
requirement.
2.2.10 Summary Suspension of Tribal License. The TGA, pursuant to the laws and
regulations of the Tribe, may summarily suspend any Tribal license if the
continued licensing of a person or entity constitutes an immediate and potentially
serious threat to the public health, safety, or welfare or interferes with the
effective regulation of Gaming.
2.2.11 Summary Suspension of State Certification. The SGA, pursuant to RCW 9.46 and
WAC 230-17, may summarily suspend any State Certification if the continued
T
State Certification constitutes an immediate and potential serious threat to public
health, safety, or welfare.
2.2.12 Submission to State Administrative Process. Applicants for State Certification
AF
submit to State jurisdiction to the extent necessary to determine qualification to
hold such State Certification, including all necessary administrative procedures,
hearings and appeals pursuant to RCW 9.46, WAC 230-17, and the State
Administrative Procedures Act, RCW 34.05. Applicants who are Tribal Members
must grant a limited waiver of immunity, defense, or other objection they might
otherwise have to the exercise of State jurisdiction for these purposes, but only for
the purposes discussed in this subsection. Nothing in this section shall be deemed
or interpreted as a waiver of immunity or submission to State jurisdiction for any
DR
other purpose or cause of action.
2.2.13 Tribal Certification. The TGA may, in its sole election, rely upon the State
Certification of the SGA as the TGA’s qualification process for a Tribal Gaming
license.
2.2.14 Fees.
(a) For Tribal License. The TGA shall establish the fees for Tribal Gaming
licenses.
(b) State Certification. The fees for the initial and the renewal of State
Certification shall be determined pursuant to WAC 230-05.
(i) Provided, should actual costs incurred by the SGA exceed the
stated fees, those costs will be assessed to the Applicants during
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-8
the investigation process. Payment in full to the SGA will be
required prior to beginning or continuing the investigation for the
issuance of State Certification.
(ii) The SGA may modify any of the above fees consistent with like
fees charged by the SGA for non-compact Gaming elsewhere in
the State by giving the Tribe sixty (60) days’ notice of intent to
modify fees.
2.3 Gaming Employee Eligibility Determination.
2.3.1 A Gaming Employee must be licensed by the TGA and receive an Eligibility
Determination by the SGA prior to commencement of employment. Eligibility
2.3.2
Determinations are non-transferable.
T
The TGA may immediately issue a license if the Gaming Employee has a current
State Gaming license or State Certification.
2.3.3
2.3.4
AF
Any employee that meets the definition of Gaming Employee, regardless of the
employee’s job title, must be licensed by the TGA and must also receive an
Eligibility Determination from the SGA.
The TGA shall submit a list of the licensed and temporarily licensed Gaming
Employees to the SGA at least annually. The TGA shall include the licensee’s
complete name, aliases, and date of birth in its submission to the SGA.
DR
2.3.5
2.3.6
Tribal Application Forms. Application forms shall include, at a minimum, the
information required on State Certification applications and any additional
information required by the TGA. All Applicants required to be licensed by the
TGA shall complete forms furnished by the TGA and must provide information
relating to their complete criminal history, as well as all civil or administrative
violations of Gambling laws or regulations. Completed forms shall be
accompanied by the application and investigative fees set forth in the TGA’s
published schedule of fees.
Procedures for Tribal License Applications. The TGA shall be primarily
responsible for the conduct of background investigations for all Applicants for
Gaming Employee licenses. Each Applicant for a Tribal Gaming Employee
license shall submit the completed application along with the required information
and fees to the TGA. Each completed application shall include the Applicant’s
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-9
fingerprint card(s), Proof of Identity, and any other information required by the
TGA.
2.3.7 Background Investigations of Gaming Employee Applicants.
(a) Prior to hiring or licensing a prospective Gaming Employee, the TGA
shall obtain sufficient information and identification from the Applicant
on forms to be furnished by the TGA to permit a thorough background
investigation, together with such fees as may be required by the TGA. The
information obtained shall include, at a minimum, name (including any
aliases), current address, date and place of birth, criminal arrest and
conviction record, two sets of fingerprints, sex, height, weight, and Proof
of Identity.
(b)
T
When the TGA has completed its initial investigation of the Applicant,
and has issued a temporary license, it will, within five (5) business days,
forward the application, Judicial Information System (JIS) results or its
(c)
AF electronic equivalent, except as prohibited by federal law or policy; a set
of fingerprint cards; Proof of Identity; and the fee required to the SGA for
a final criminal history record and non-conviction data review, as
authorized under RCW 9.46.210(4) and as defined in RCW 10.97.030.
The SGA shall complete the Eligibility Determination. The SGA may find
an Applicant ineligible under the provisions of RCW 9.46.075, and rules
promulgated thereunder, for any reason or reasons it deems to be in the
public interest. In addition, these reasons shall include, but shall not be
DR
limited to, when an Applicant or holder of an Eligibility Determination:
(i) Is determined to be a person who because of prior activities,
criminal record, if any, or reputation, habits, or associations, poses
a threat to the effective regulation of Gaming or creates or
enhances the chances of unfair or illegal practices, methods, and
activities being used in the conduct of the Gaming activities
permitted pursuant to the Compact;
(ii) Has violated, failed, or refused to comply with the provisions,
requirements, conditions, limitations, or duties imposed by any
provision of a tribal – state compact;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-10
(iii) Has failed to provide any information reasonably required to
investigate the application, i.e., a non-disclosure;
(iv) Has failed to reveal any fact which the Applicant or holder knows
or should reasonably know is material to such application;
(v) Has furnished any information which is untrue or misleading in
connection with such application; or
(vi) Has had a tribal gaming license, State gaming license, or State
Certification revoked or denied during the twelve (12) months
prior to the date the SGA received the application; is currently on
probation imposed by any jurisdiction; or has demonstrated a
T
willful disregard or failed to comply with the requirements of any
Gaming regulatory authority in any jurisdiction, including offenses
that could subject the Individual or entity to suspension,
revocation, or forfeiture of any Gaming license. For the purpose of
(d)
AF reviewing any application for Eligibility Determination or for
considering the denial, suspension or revocation of any Eligibility
Determination, the SGA may consider any prior criminal conduct
or current probationary status of the Applicant or holder of an
Eligibility Determination and the provisions of RCW 9.95.240 and
RCW 9.96A shall not apply to such cases.
The SGA shall notify the TGA that either: (i) the criminal history and non-
conviction data review has revealed no information which would make the
DR (e)
Applicant ineligible for employment pursuant to Section 2.3.7(c); or
(ii) the criminal history and non-conviction data review has revealed that
the Applicant is ineligible for employment pursuant to Section 2.3.7(c).
The SGA will consult with the TGA prior to issuing an ineligibility
determination for Tribal Members after a criminal history and non-
conviction data review. For Tribal Members who are Applicants for
Eligibility Determination, the TGA and the SGA may waive, by mutual
agreement, through a conditional Tribal license, certain criteria for such
Tribal Members if the waiver does not pose an appreciable risk to the
public or the lawful operation of the Gaming Facilities. If the TGA can
show extenuating circumstances why a Tribal Member who does not meet
all criteria should be further considered for a conditional Tribal license,
the TGA and the SGA may agree that the SGA will issue an Eligibility
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-11
Determination with the conditional Tribal license, based on specific
conditions and a further detailed review of the Applicant. Additional fees
may be required to maintain a conditional Tribal license, which the TGA
agrees to pay.
(f) An Applicant or Gaming Employee who has been determined ineligible
for licensing by the SGA after criminal history and non-conviction data
review will not be licensed by the TGA except in conformity with
Section 2.3.7(e).
(g) All background materials compiled by the SGA in connection with the
background investigation of any Applicant for Tribal Licensing or SGA
Eligibility Determination verification shall be available to the TGA at the
T
SGA office upon request, subject to any constraints imposed by the SGA’s
accreditation as a law enforcement agency, requirements under
RCW 9.46.210(4) and RCW 10.97, and status as a member of a law
enforcement intelligence sharing organization, such as the Law
(h)
(i)
AF Enforcement Intelligence Unit (LEIU), Fusion Centers, INTERPOL, and
similar organizations.
The SGA’s determination of a Gaming Employee’s eligibility for a Tribal
license is valid only at the Gaming Facilities and is non-transferable.
The Gaming Operation shall not hire or continue to employ a Gaming
Employee, and shall terminate any probationary Gaming Employee, if the
TGA determines that the Applicant or Gaming Employee:
DR
(i) Has been convicted of any offense related to Gambling, or any
felony relating to fraud, misrepresentation, deception, or theft,
within the past ten (10) years. Nothing herein shall be interpreted
to prevent the TGA and/or the SGA from considering juvenile
convictions in a suitability determination, nor shall be interpreted
to excuse the Applicant’s obligation to disclose juvenile
convictions or arrests;
(ii) Has provided materially false statements or information on their
application or misstated or otherwise attempted to mislead the
TGA or the SGA with respect to any material fact contained in the
application;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-12
(iii) Is a member or associate of organized crime or is of notorious or
unsavory reputation; or
(iv) Has a reputation, habits, or associations that might pose a threat to
the public interest or to the effective regulation and control of
Gaming or the Gaming Operation, or create or enhance the dangers
of unsuitable, unfair, or illegal practices, methods and activities in
the conduct of Gaming or the Gaming Operation, or the carrying
on of the Tribal and financial arrangements incidental thereto. It is
intended that Applicants and Gaming Employees have the
continuing burden to satisfy all doubts as to their fitness. Where
doubt remains, an Applicant or Gaming Employee is not entitled to
be hired or to remain employed.
(j)
T
Additionally, the TGA shall not grant a license to an Applicant unless it is
satisfied that:
AF (i)
(ii)
The Applicant is of good character, honesty, and integrity;
The Applicant’s prior activities, criminal record (if any),
reputation, habits, or associations do not pose a threat to the public
interest of the Tribe or the State or the effective regulation and
control of Gaming or the Gaming Operation pursuant to the
Compact, or create or enhance the dangers of unsuitable, unfair or
illegal practices, methods, and activities in the conduct of Gaming
or Gaming Operation or the carrying on of the Tribal and financial
DR (iii)
(iv)
arrangements incidental thereto;
In all other respects, the Applicant is qualified to be licensed or
found suitable with the provisions and policies set forth in the
Compact; and
The Applicant has adequate competence and experience in
Gaming.
2.3.8 Background Investigations of Gaming Employees. The TGA and the SGA shall
retain the right to conduct such additional background investigations of any
Gaming Employee at any time during the term of that person’s employment and
may determine, in accordance with the process outlined in Section 2.3.7, that a
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-13
Gaming Employee is ineligible for licensing if the Gaming Employee does not
establish that they satisfy all of the criteria set forth above.
2.3.9 Denial, Suspension, or Revocation of Licenses Issued by TGA. The denial,
suspension, or revocation of any Tribal Gaming license by the TGA shall be in
accordance with the Compact, Tribal Gaming Code, and regulations governing
such procedures and the grounds for such actions shall not be less stringent than
those of Section 2.3.7(c). The TGA shall notify the SGA of any determination
under this subsection.
2.3.10 Duration and Renewal of Tribal Issued Licenses and Eligibility Determinations.
(a) Any Tribal license shall be effective for no longer than three (3) years
(b)
T
from the date of issuance unless the license is otherwise revoked or
suspended.
The Eligibility Determination shall be effective for a maximum of three
(c)
AF (3) years from the date of Eligibility Determination letter issuance. Should
the Tribal licensee become ineligible during the licensure period, the TGA
may either revoke the Tribal license or request that the TGA and the SGA
agree to mutually waive disqualifying criteria based on the conditional
Tribal license as outlined in Section 2.3.7(e).
A licensed Gaming Employee that has applied for renewal prior to
expiration may continue to be employed under the expired Tribal license
or Eligibility Determination until the TGA or SGA takes action on the
DR
renewal application or the license is suspended or revoked. Applicants
seeking renewal of a license, Eligibility Determination, or State
Certification shall provide information updating originally submitted
information as requested, on the appropriate renewal forms, but shall not
be required to re-submit historical data already available to the TGA or the
SGA. An additional background investigation shall be required if new
information concerning the Applicant’s continuing suitability or eligibility
for a Tribal license, or a State Certification is discovered by either the
TGA or the SGA. The SGA shall forward a copy of any updated
information to the Tribe, subject to any constraints imposed by the SGA’s
accreditation as a law enforcement agency, requirements under
RCW 9.46.210(4) and RCW 10.97, and status as a member of a law
enforcement intelligence sharing organization, such as the Law
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-14
Enforcement Intelligence Unit (LEIU), Fusion Centers, INTERPOL, and
similar organizations.
2.3.11 Exchange of Tribal Licensing Information. Any administrative action or legal
proceeding against a Tribal license will be communicated to the SGA, and the
final disposition shall be forwarded the SGA and maintained in accordance with
the agency’s record retention requirements for licensing records.
2.3.12 Summary Suspension of Tribal License. The TGA, pursuant to the Compact,
Tribal Gaming Code, and regulations, may summarily suspend any Tribal license
if the continued licensing of a person or entity constitutes an immediate and
potentially serious threat to the public health, safety, or welfare or interferes with
the effective regulation of Gaming or the Gaming Operation.
T
2.3.13 Onsite Review. The TGA and the SGA will conduct an annual review in
accordance with the Transition MOU. The TGA and the SGA will confirm the
accuracy and completeness of each agency’s respective Gaming Employee
AF
records. The TGA and the SGA will work together to document and resolve any
discrepancies and update their respective records as needed.
2.3.14 Fees.
(a)
(b)
For Tribal License. The TGA shall establish the fees for Tribal Gaming
licenses.
Transition. If the Tribe elects to transition to Gaming Employee Eligibility
DR
2.4
Determinations, initial and renewal fees for Gaming Employees and
annual review costs will be documented in an MOU. The TGA will
reimburse the SGA for the costs to transition to Eligibility Determination.
Gaming Employee Registration.
2.4.1 Criteria. Gaming Employee Registration requires the TGA to demonstrate Tribal
Licensing expertise without substantial or repeated, material discrepancies in
conducting Gaming Employee background investigations. In order to qualify for
Gaming Employee Registration, the following criteria must be met:
(a) The Tribe has operated Class III Gaming and the TGA has licensed
Gaming Employees for at least twenty (20) years; and
(b) The TGA regularly reviews and updates its regulations; and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-15
(c) The TGA director has demonstrated active involvement with licensing
denial, suspension, and revocation in accordance with the Tribal Gaming
Code; and
(d) The TGA has demonstrated a history of active involvement in the
licensing process and the Puyallup Tribal Court has demonstrated a history
of active involvement in license appeal hearings; and
(e) TGA licensing staff are fully versed in the Judicial Information System
(JIS) including the Superior Court Management Information System
(SCOMIS) or equivalent systems; and
(f) TGA licensing staff reviews all Gaming Employee information provided
T
in JIS, FBI records, and Lexis Nexis reports or equivalent systems.
The Tribe has demonstrated it meets all of the criteria above as required in
Section 2.1.3 and documented in the Transition MOU.
2.4.2
AF
Overview.
(a) Every Gaming Employee shall be licensed by the TGA prior to
commencement of employment and at least every three (3) years
thereafter. Every Gaming Employee must be registered with the SGA and
shall have their Gaming Employee Registration verified by the SGA
annually. Registration verifications are non-transferable.
DR
(b)
(c)
(d)
The TGA may immediately issue a license if the Gaming Employee has a
current State Gaming license or State Certification issued by the SGA.
Any employee that meets the definition of Gaming Employee, regardless
of the employee’s job title, must be licensed by the TGA and must also
receive Registration verification from the SGA.
The TGA shall provide a list of licensed and temporarily licensed Gaming
Employees to the SGA during the annual comparison review in the quarter
of each calendar year as determined in the MOU. The TGA shall include
the licensee’s complete name, aliases, date of birth, and identification
number unique to the Individual’s Tribal license in its submission to the
SGA.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-16
(e) The TGA, pursuant to the Tribal Gaming Code and regulations, may
summarily suspend any Tribal license if the continued licensing of a
person or entity constitutes an immediate and potentially serious threat to
the public health, safety, or welfare or interferes with the effective
regulation of Gaming.
(f) Tribal Gaming Employees shall be licensed by the TGA in accordance
with the Tribal Gaming Code and regulations.
(g) The TGA shall establish the fees for Tribal Gaming licenses.
(h) The TGA will forward to the SGA a copy of the final disposition of any
administrative action or legal proceeding taken by the TGA against a
2.4.3
Tribal Gaming license holder.
T
Respective Roles for Background Investigations for Tribal Gaming Employee
Licenses and State Registration.
(a)
AF Tribal Gaming Agency.
(i)
(ii)
The TGA will be responsible for the issuance of all Tribal Gaming
Employee licenses.
The TGA shall be primarily responsible for conducting
background investigations for all Applicants for Tribal Gaming
Employee licenses. Each Applicant for a Tribal Gaming Employee
DR (iii)
license shall submit the completed application along with the
required information and fees to the TGA.
Each completed application at a minimum shall include:
(1) Personal Information, including at least the following:
(A)
(B)
complete name, aliases,
date of birth,
(C) current address, and
(D) Proof of Identity;
(2) fingerprint card(s);
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-17
(3) information relating to the Applicant’s complete criminal
history, as well as all civil or administrative violations of
Gambling laws or regulations; and
(4) any other information required by the TGA.
(iv) The Gaming Operation shall not hire, or continue to employ a
Gaming Employee, and shall terminate any Gaming Employee, if
the TGA determines that the Applicant or Gaming Employee:
(1) Has been convicted of any offense related to Gambling, or
any felony relating to fraud, misrepresentation, deception,
theft, or physical harm to any person within the past ten
(2)
(10) years;
T
Has provided materially false statements or information on
their application or misstated or otherwise attempted to
AF (3)
(4)
mislead the TGA or the SGA with respect to any material
fact contained in the application;
Is a member or associate of organized crime or is of
notorious or unsavory reputation; or
Has a reputation, habits, or associations that might pose a
threat to the public interest or to the effective regulation
and control of Gaming or the Gaming Operation, or create
DR (v)
or enhance the dangers of unsuitable, unfair, or illegal
practices, methods and activities in the conduct of Gaming
or the Gaming Operation or the carrying on of the Tribal
and financial arrangements incidental thereto.
It is intended that Applicants and Gaming Employees have the
continuing burden to satisfy all doubts as to their fitness. Where
doubt remains, an Applicant or Gaming Employee is not entitled to
be hired or to remain employed.
(vi) Nothing herein shall be interpreted to prevent the TGA from
considering juvenile convictions in a suitability determination, nor
shall be interpreted to excuse the Applicant of its obligation to
disclose juvenile convictions or arrests.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-18
(vii) Additionally, the TGA shall not grant an application for a license
unless it is satisfied that the Applicant’s prior activities, criminal
record (if any), reputation, habits, or associations do not pose a
threat to the public interest of the Tribe or the State or the effective
regulation and control of Gaming or the Gaming Operation
pursuant to the Compact, or create or enhance the dangers of
unsuitable, unfair or illegal practices, methods, and activities in the
conduct of Gaming or the Gaming Operation or the carrying on of
the Tribal and financial arrangements incidental thereto.
(viii) When the TGA has completed its investigation of the Gaming
Employee Applicant and has issued a temporary license, it will
within five (5) business days:
(1)
T
Register online with the SGA a new or renewing Gaming
Employee or notify the SGA of a Change of Name and pay
the respective fees; or
AF (ix)
(2) Mail a new or renewal Gaming Employee Registration or
Change of Name application with respective fees.
The Registration will include: the Applicant’s personal
information; identification number unique to the Individual’s
Tribal license; results of the TGA’s investigation and summary of
investigative results found except as prohibited by federal law or
policy; Proof of Identity; a set of fingerprint cards; Judicial
DR (b)
(x)
Information System (JIS) results or its electronic equivalent; and
the applicable fees to the SGA.
The TGA will use the SGA’s online process to notify the SGA
when a Gaming Employee is no longer employed and/or licensed
by the TGA.
State Gaming Agency.
(i) The SGA will conduct an annual verification of Gaming Employee
Registrations that are received either online or by mail.
(ii) The SGA will complete the verification and notify the TGA if the
results indicate the person may be unqualified pursuant to this
section. If the SGA does not object, the Gaming Employee
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-19
Registration will expire no later than three (3) years from the date
of the Gaming Employee Registration, or upon notification of a
Tribal license revocation, or the person is no longer licensed by the
TGA, whichever occurs earlier.
(iii) The SGA retains the right to conduct an additional verification of
the Gaming Employee Registration of any Gaming Employee at
any time. There will be no additional cost to the TGA.
(iv) The SGA’s verification of the Gaming Employee’s Registration is
valid only at the Gaming Facilities and is non-transferable.
(v) For verification of the Gaming Employee Registration, the SGA
T
may consider any prior criminal conduct or current probationary
status of the Gaming Employee and the provisions of
RCW 9.95.240 and RCW 9.96A shall not apply to such cases.
AF (vi)
(vii)
The Gaming Employee Registration will also include information
as authorized under RCW 9.46.210(4) and as defined in
RCW 10.97.030.
The SGA may find a person to be unqualified under the provisions
of RCW 9.46.075 and rules promulgated thereunder. The SGA
may also find a person to be unqualified if such person has
engaged in an activity contrary to the public interest, including but
not limited to the following:
DR
(1)
(2)
Who because of prior activities, criminal record, if any, or
reputation, habits, or associations poses a threat to the
effective regulation of Gaming or creates or enhances the
chances of unfair or illegal practices, methods, and
activities being used in the conduct of the Gaming activities
permitted pursuant to the Compact;
Has violated, failed, or refused to comply with the
provisions, requirements, conditions, limitations, or duties
imposed by any provision of a tribal – state compact;
(3) Has failed to provide any information reasonably required
for Gaming Employee Registration;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-20
(4) Has failed to reveal any fact which the person knows or
should reasonably know is material to Gaming Employee
Registration;
(5) Has furnished anything untrue or misleading in connection
with Gaming Employee Registration information;
(6) Has had a Gaming license suspended for one (1) year or
longer, revoked or denied during the twelve (12) months
prior to the date of Gaming Employee Registration with the
SGA; is currently on probation imposed by any
jurisdiction; or has demonstrated a willful disregard or
failed to comply with the requirements of any Gaming
T
regulatory authority in any jurisdiction, including offenses
that could subject the Individual to suspension, revocation,
or forfeiture of any Gaming license; or
AF (7) Has demonstrated a willful disregard or failed to comply
with the requirements of any Gaming regulatory authority
in any jurisdiction, including offenses that could subject the
person to suspension, revocation, or forfeiture of any
Gaming license.
(viii) The SGA will work with the TGA when determining a person may
be unqualified for a Gaming Employee Registration.
DR
(ix) If a person may be unqualified for a Gaming Employee
Registration, the materials compiled by the SGA will be available
to the TGA at the SGA office upon request, subject to any
constraints imposed by the SGA’s accreditation as a law
enforcement agency, requirements under RCW 9.46.210(4) and
RCW 10.97, and status as a member of the Association of a law
enforcement intelligence sharing organization, such as the Law
Enforcement Intelligence Unit (LEIU), Fusion Centers,
INTERPOL, and similar organizations.
(x) Onsite Review. The SGA and the TGA will conduct an annual
Gaming Employee comparison review in a specific quarter of each
calendar year determined in the MOU. The SGA and the TGA will
confirm the accuracy and completeness of each agency’s
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-21
respective Gaming Employee records. The TGA and the SGA will
work together to document and resolve any discrepancies and
update their respective records as needed.
(c) Tribal Gaming Agency and State Gaming Agency.
(i) A licensed Gaming Employee seeking renewal of their Gaming
Employee license or re-registering with the SGA shall update
information originally submitted, as requested, on the appropriate
renewal forms, but shall not be required to re-submit historical data
already available to the TGA or the SGA. A Gaming Employee
that has applied for renewal prior to expiration may continue to
work under the expired Tribal license until the TGA or the SGA
(ii) T
takes action on the renewal application.
For persons found to be unqualified at any time they are registered
by the SGA, the TGA and the SGA will work together to
AF determine if the person should work for the Gaming Operation in a
position that requires a Gaming Employee license. If the TGA can
show extenuating circumstances why a person who does not meet
all criteria should be further considered, the TGA may waive,
through a conditional Gaming Employee license, certain criteria if
the waiver does not pose an appreciable risk to the public or the
lawful operation of the Gaming Operation or meet the criteria
under Section 2.4.3(a)(iv).
DR
(iii) If, after working with the TGA, the SGA still finds the person
unqualified, the SGA will provide written notice to the TGA
itemizing the objections. The TGA, however, will make the final
decision whether to issue a license or continue employment of the
person. The SGA’s Gaming Employee Registration of the person
will be limited to the TGA only and the TGA will continue to
register the person with the SGA as long as the person is employed
by the Tribe in a Class III Gaming position.
(d) Transition. If the Tribe elects to transition to Registration, initial and
renewal fees for Gaming Employees and annual review costs will be
documented in an MOU. The TGA will reimburse the SGA for the costs to
transition to Registration.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-22
SECTION 3 REQUIREMENTS FOR TRIBAL LICENSING AND STATE
CERTIFICATION OF MANUFACTURERS AND SUPPLIERS OF
GAMING SERVICES AND FINANCIERS
3.1 Manufacturers and Suppliers of Gaming Services.
3.1.1 Each manufacturer and supplier of Gaming Services and its representatives shall
be licensed by the TGA and receive State Certification from the SGA prior to the
sale of any Gaming Services to the Tribe. If a supplier or manufacturer is
currently licensed or State certified by the SGA to supply Gaming Services
pursuant to RCW 9.46.070, it shall be deemed State certified to supply the same
Gaming Services to the Tribe for the purposes of the Compact. The licensing and
State Certification shall be maintained annually after the initial State Certification.
3.1.2
T
The Tribe may, if it chooses, contract for management of the Gaming Facilities
and Gaming Operation. Any such contract shall subject the manager to the terms
of the Compact, including licensing pursuant to the requirements of this section.
3.1.3
3.1.4
AF
Firms or representatives providing professional legal and accounting services,
when licensed by the Washington State Bar Association or the Washington State
Supreme Court, the Washington State Board of Accountancy, or an equivalent
State or Provincial licensing body that has a reciprocity agreement with
Washington State, will not be subject to Tribal licensure or State Certification.
In the event a manufacturer or supplier demonstrates that their anticipated profits
from sales will be below the cost of obtaining a State Certification, it may apply
DR 3.1.5
for an abbreviated form of State Certification currently known as a special sales
permit.
In the event a manufacturer or supplier provides or intends to provide less than
fifty-five thousand dollars ($55,000) worth of Gaming Services annually, the
licensing and State Certification requirements may be waived upon the mutual
agreement of the TGA and the SGA. Beginning on the third anniversary of the
effective date of this Appendix and every three (3) years thereafter, this amount
shall be increased by a percentage equal to the increase in the Consumer Price
Index-All Urban Consumers (CPI-U), or if unavailable or discontinued, an
alternative index agreed upon by the Parties, over the prior three (3) year period.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-23
3.2 Financiers.
3.2.1 Any party who intends to extend financing, directly or indirectly, to a Gaming
Facility or Gaming Operation must obtain State Certification and a Tribal license
before executing any financing agreement and annually thereafter as long as the
financing agreement is in effect. The source of all funds must be disclosed and
any financing agreement(s) must be made available to the SGA, or if for a horse
racing Satellite Wagering Facility and related activities, to the Washington Horse
Racing Commission, for review prior to executing the financing agreement.
3.2.2 The requirements in Section 3.3 do not apply to financing provided by a federal or
state regulated commercial lending institution, the Tribe, or the federal
government. Federal or state regulated commercial lending institutions are those
T
regulated by the Securities and Exchange Commission, the Comptroller of the
Currency, the Federal Deposit Insurance Corporation, the United States Federal
Reserve System, the National Credit Union Administration, or the Washington
State Department of Financial Institutions or equivalent agency of another state.
3.3 Process.
3.3.1
AF
Overview.
(a) The SGA shall be primarily responsible for conducting background
investigations for all who apply for State Certification for financier,
manufacturer, and/or supplier of Gaming Services and their
representative(s). Each completed Tribal Gaming license application for a
DR
financier, manufacturer, and/or supplier of Gaming Services submitted to
the TGA will include the required information and fees, as set by the
TGA. In addition, each financier, manufacturer, and/or supplier of Gaming
Services and their representative(s) shall apply for State Certification and
shall submit the completed application(s) along with the required
information and fees to the SGA. Each completed application shall include
fingerprint card(s), Proof of Identity, and any other information required
by the SGA. These provisions shall also apply to Principals of a business
entity Applicant and their spouses who must be able to meet the same
State Certification requirements and who may be required to submit this
information.
(b) Upon completion of the necessary background investigation, the SGA
shall either issue a State Certification to the financier, manufacturer,
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-24
and/or supplier of Gaming Services or deny the application(s) based on
criteria set forth in the Compact and/or RCW 9.46 and WAC 230-17.
(c) Each manufacturer and supplier of Gaming Services shall obtain a State
Certification and Tribal license before the sale or installation of any
Gaming Services, except as provided under Section 3.1.5.
(d) If a financier is licensed by the SGA, it will be deemed State certified.
3.3.2 Duration and Renewal of Tribal Issued Licenses and State Certifications.
(a) Any Tribal license or State Certification shall be effective for one year
from the date of issuance of the license or State Certification, unless the
(b) T
license or State Certification is otherwise revoked or suspended.
Applicants seeking renewal of a license or State Certification shall provide
information updating originally submitted information as requested, on the
appropriate renewal forms, but shall not be required to re-submit historical
AF data already available to the TGA or the SGA. Additional background
investigation shall be required if new information concerning the
Applicant’s continuing suitability or eligibility for a Tribal license or a
State Certification is discovered by either the TGA or the SGA. Any
updated information received by the SGA shall be available to the TGA at
the SGA’s office upon request, subject to any of the constraints imposed
by the SGA’s accreditation as a law enforcement agency, requirements
under RCW 9.46.210(4) and RCW 10.97, and status as a member of a law
DR 3.3.3
enforcement intelligence sharing organization, such as the Law
Enforcement Intelligence Unit (LEIU), Fusion Centers, INTERPOL, and
similar organizations.
Grounds for Revocation, Suspension, or Denial of State Certification.
(a) The SGA may deny, suspend, or revoke a State Certification under the
provisions of RCW 9.46.075, and rules promulgated thereunder, for any
reason or reasons it deems to be in the public interest. In addition, these
reasons shall include, but shall not be limited to, when an Applicant or
holder of a State Certification or Principal of an entity:
(i) Is determined to be a person who because of prior activities,
criminal record, if any, or reputation, habits, or associations poses
a threat to the effective regulation of Gaming or creates or
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-25
enhances the chances of unfair or illegal practices, methods, and
activities being used in the conduct of the Gaming activities
permitted pursuant to the Compact;
(ii) Has violated, failed, or refused to comply with the provisions,
requirements, conditions, limitations, or duties imposed by any
provision of a tribal – state compact;
(iii) Has failed to provide any information reasonably required to
investigate the application for State Certification;
(iv) Has failed to reveal any fact which the Applicant or holder knows
or should reasonably know is material to such application;
(v)
(vi)
T
Has furnished any information which is untrue or misleading in
connection with such application; or
Has had a Tribal Gaming license or State Gaming license or State
AF Certification revoked or denied during the twelve (12) months
prior to the date the SGA received the application; is currently on
probation imposed by any jurisdiction; or has demonstrated a
willful disregard or failed to comply with the requirements of any
Gaming regulatory authority in any jurisdiction, including offenses
that could subject the Individual to suspension, revocation, or
forfeiture of any Gaming license. The TGA will forward to the
SGA a copy of the final disposition of any administrative action or
DR (b)
legal proceeding taken by the TGA against a Tribal license issued
to a financier, manufacturer, and/or supplier of Gaming Services.
For the purpose of reviewing any application for State Certification or for
considering the denial, suspension, or revocation of any State
Certification, the SGA may consider any prior criminal conduct or current
probationary status of the Applicant or holder of a State Certification and
the provisions of RCW 9.95.240 and RCW 9.96A shall not apply to such
cases.
(c) The SGA will consult with the TGA prior to denying a State Certification
when the Gaming Operation is considering using the financier,
manufacturer, or supplier of Gaming Services.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-26
3.3.4 Right to Hearing for Revocation, Suspension, or Denial of State Certification. If
an application has not been withdrawn by the TGA during the State Certification
review process, any Applicant for State Certification or holder of a State
Certification shall be entitled to notice and a full hearing on any action by the
SGA which may result in the revocation, suspension, or denial of State
Certification. The notice and hearing will be conducted in accordance with the
procedures contained in the applicable provisions of RCW 9.46, RCW 34.05, and
WAC 230-17, and the records involved shall be governed by the definitions set
out in RCW 10.97.030. Nothing herein shall prevent the TGA from invoking its
own disciplinary procedures and proceedings at any time. The TGA shall have the
right to appear and present argument and/or evidence in any hearings held
pursuant to this section.
3.3.5
T
Denial, Suspension, or Revocation of Licenses Issued by TGA. The denial,
suspension, or revocation of any Tribal Gaming license by the TGA shall be in
accordance with the Compact, Tribal Gaming Code, and regulations governing
such procedures and the grounds for such actions shall not be less stringent than
3.3.6
AF
those of Section 3.3.3.
Summary Suspension of Tribal License. The TGA, pursuant to the Tribal Gaming
Code, may summarily suspend any Tribal license if the continued licensing of an
Individual constitutes an immediate and potentially serious threat to the public
health, safety, or welfare or interferes with the effective regulation of Gaming or
the Gaming Operation.
DR
3.3.7
3.3.8
Summary Suspension of State Certification. The SGA, pursuant to RCW 9.46 and
WAC 230-17, may summarily suspend any State Certification if the continued
State Certification constitutes an immediate and potential serious threat to public
health, safety or welfare.
Submission to State Administrative Process. Applicants for State Certification
submit to State jurisdiction to the extent necessary to determine qualification to
hold such State Certification, including all necessary administrative procedures,
hearings and appeals pursuant to RCW 9.46, WAC 230-17, and the State
Administrative Procedure Act, RCW 34.05.
3.3.9 Fees. The fees for initial and the renewal of State Certification shall be
determined pursuant to WAC 230-05 for Manufacturers, Suppliers of Gaming
Services, and financiers, and its representatives. Payment in full to the SGA will
be required prior to beginning the investigation for the issuance of State
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-27
Certification. Provided, should actual costs incurred by the SGA exceed the stated
fees, those costs will be assessed to the Applicants during the investigation
process.
SECTION 4 SPORTS WAGERING LICENSING AND STATE CERTIFICATION
The TGA and the SGA will share information about significant licensing and State Certification
matters that reflect on the conduct of Sports Wagering.
4.1 Sports Wagering Vendors. Each Sports Wagering Vendor must be licensed by the TGA
and receive State Certification from the SGA in accordance with this section prior to the
sale or delivery of any component of the Sports Wagering System or Sports Wagering
services to the Tribe; however, to the extent they are not addressed herein, Section 2 and
T
Section 3 of this Appendix will apply. If a Sports Wagering Vendor has a State
Certification from the SGA to supply any component of the Sports Wagering System or
Sports Wagering services to any other tribe in Washington State, it shall be deemed State
certified to supply similar goods or services to the Tribe for the purposes of Appendix S,
AF
provided that such goods and services are within the same Sports Wagering Vendor
category, each of which are described in Sections 4.1.1–4.1.3.
4.1.1 Major Sports Wagering Vendor. Any person or entity that provides goods or
services integral to Sports Wagering must be licensed as a Major Sports Wagering
Vendor by the TGA and receive State Certification from the SGA. The following
vendors are integral to Sports Wagering:
(a) Manager of the Tribe’s Sports Wagering activities pursuant to an
DR
(b)
(c)
(d)
agreement approved by the National Indian Gaming Commission;
When the Tribe manages its own Sports Wagering activities, the Tribe’s
primary consultant who provides substantial Sports Wagering related
services;
Any manufacturer or distributor of the Sports Wagering System or a
component thereof;
Provider of book-making services; or
(e) Provider of Sports Wagering risk management services.
4.1.2 Mid-Level Sports Wagering Vendor. Any entity that provides security or integrity
services directly related to Sports Wagering must be licensed as a Mid-Level
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-28
Sports Wagering Vendor by the TGA and receive State Certification from the
SGA. For the purpose of this subsection, security or integrity services include the
following:
(a) Integrity monitoring services;
(b) Services related to compilation, furnishing, or storage of official data for
use in Sports Wagering;
(c) System security testing or certification services directly related to initial or
annual testing or assessment of the Sports Wagering System security;
(d) Services directly related to the creation and maintenance of a Geofence to
(e) T
ensure that wagers are placed within the Premises;
Player Account management services, including Software-as-a-Service
(SaaS); and
4.1.3
(f)
AF Any other provider of security or integrity services that the TGA and the
SGA agree must be licensed and receive State Certification as a Mid-
Level Sports Wagering Vendor because the provider’s services are
directly related to Sports Wagering.
Ancillary Sports Wagering Vendors. Any entity that provides necessary support
services to Sports Wagering must be licensed as an Ancillary Sports Wagering
Vendor by the TGA and receive State Certification from the SGA. For the
DR
purpose of this subsection, support services include at least the following:
(a)
(b)
(c)
Services related to the offering of mobile payment processing for use in
Mobile Sports Wagering;
Know your customer services for use in Mobile Sports Wagering; and
Marketing services in which compensation for such services is, by
contract, determined by the Tribe’s Sports Wagering revenue.
4.1.4 In the event a Sports Wagering Vendor provides or intends to provide Sports
Wagering goods or services less than the limit set forth in Section 3.1.5 annually,
the licensing requirements may be waived upon the mutual agreement of the TGA
and the SGA. This waiver does not apply to Sports Wagering Vendors whose
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-29
compensation is contractually determined by the Tribe’s Sports Wagering
revenue.
4.2 Tribal Licensing of Sports Wagering Vendors. All Applicants required to be licensed by
the Tribe shall complete forms furnished by the TGA. The TGA shall establish the Tribal
Licensing fees for Sports Wagering Vendors.
4.3 State Certification of Sports Wagering Vendors. Each Sports Wagering Vendor and its
representatives shall apply for State Certification by the SGA and shall submit the
completed applications along with the required information and fees to the SGA. The
SGA shall expedite Sports Wagering Vendor State Certification requests. For Applicants
who are business entities, the State’s application and investigation will extend to each
Principal of the entity but will not apply to spouses of any Principals. The SGA will
T
conduct interviews virtually and review documents electronically when possible. The
SGA will perform a site visit if an Applicant requests a site visit or if the SGA determines
that the information sought is critical to its investigation and such information cannot be
obtained by other reasonable measures.
4.4
AF
Fees for State Certification. The fees for initial and renewal State Certification shall be
determined pursuant to Title 230 WAC for Sports Wagering Vendors and their
representatives.
DR
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix L – Licensing, State Certification, Eligibility, and Registration Procedures
L-30
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX S
(AMENDED AND RESTATED)
SPORTS WAGERING
TABLE OF CONTENTS
T
SECTION 1 INTRODUCTION................................................................................................ 1
SECTION 2 DEFINITIONS ..................................................................................................... 1
SECTION 3 SPORTS WAGERING ACTIVITIES AND LOCATION ............................... 2
3.1
3.2
3.3
AF
Sportsbook ............................................................................................................. 2
Server ..................................................................................................................... 2
Mobile Sports Wagering ........................................................................................ 2
SECTION 4 SPORTS WAGERING KIOSKS........................................................................ 2
4.1
4.2
Location ................................................................................................................. 2
On Gaming Floor ................................................................................................... 2
DR
4.3
4.4
Off Gaming Floor .................................................................................................. 3
Pre-operation Inspection ........................................................................................ 3
SECTION 5 STANDARDS OF CONDUCT AND OPERATION ........................................ 3
5.1
5.2
5.3
5.4
Approved Sports Wagers ....................................................................................... 3
Prohibited Activities and Participants.................................................................... 5
Sports Wagering System ........................................................................................ 6
Wagering Limits .................................................................................................... 8
5.5 Reserve Requirement ............................................................................................. 8
5.6 Player Accounts. .................................................................................................... 8
5.7 Surveillance............................................................................................................ 9
5.8 Accounting Records ............................................................................................. 10
5.9 Internal Controls .................................................................................................. 10
i
5.10 House Rules ......................................................................................................... 13
SECTION 6 SPORTS WAGERING LICENSING AND CERTIFICATION ................... 13
SECTION 7 CRIMINAL ENFORCEMENT ........................................................................ 13
7.1 Anti-Money Laundering. ..................................................................................... 13
7.2 Sports Integrity..................................................................................................... 14
7.3 Information Sharing ............................................................................................. 15
SECTION 8 PROBLEM GAMBLING AND RESPONSIBLE GAMING ......................... 15
T
AF
DR
ii
APPENDIX S
SPORTS WAGERING
SECTION 1 INTRODUCTION
It is the intent of the Parties for the Tribe to operate Sports Wagering that will enhance the Tribe’s
existing Gaming Operation and draw customers into regulated Sports Wagering and away from
illegal sports wagering. Tribes in Washington State have more than twenty-five (25) years’
experience with, and a proven track record of, successfully operating gaming in accordance with
their compacts. Tribes in Washington and the SGA have a proven track record of successfully
regulating gaming together in accordance with respective compacts. The Parties agree that Sports
Wagering must be fair, secure, and maintain the highest integrity to ensure public confidence.
T
Sports Wagering conducted under this Appendix is authorized bookmaking and is not subject to
civil or criminal penalties under RCW 9.46. Gambling information transmitted over the internet for
any Sports Wagering conducted and operated under this Appendix is authorized. Mobile Sports
AF
Wagering does not constitute online Gambling when operated within the limitations of this
Appendix and requirements of the Federal Wire Act, 18 U.S.C. § 1084, as now or hereafter
amended.
This Appendix describes, authorizes, and sets forth, consistent with House Bill 2638 (2020),
provisions applicable to the operation of Sports Wagering. This Appendix sets out conditions under
which the Tribe and State will share information about significant events that reflect on the conduct
of Sports Wagering so that both Parties are informed of such events in this highly regulated
environment. Compact provisions that are not addressed in this Appendix remain in full force and
D
effect, unless and until they are subsequently amended pursuant to the processes set forth in the
Compact.
R
This Appendix, as originally added to the Compact by the Sixth Amendment in 2021, contained
interdependent conditions and consequences that were accepted as a whole in order to operate or
participate in Sports Wagering. In 2025, the Tribe amended and restated its Compact, and as part of
that effort, portions of this Appendix S were updated to better align with the Compact. This
Appendix S was bargained for and in exchange for all of the terms contained herein, as well as
Compact Section III.
SECTION 2 DEFINITIONS
Capitalized terms used in this Appendix are defined in Appendix D “Definitions” and are
incorporated herein.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-1
SECTION 3 SPORTS WAGERING ACTIVITIES AND LOCATION
3.1 Sportsbook. The Sportsbook must be located within a Gaming Facility. A Sportsbook
authorized by this Appendix will be inspected by the TGA and the SGA prior to
commencement of operation to verify its conformity with the requirements of this Appendix.
If a Sportsbook fails to meet any requirements of this Appendix, the TGA and/or the SGA
will send a non-compliance letter to the Tribe and Chief Executive Officer within seven (7)
working days after completion of the inspection. If the TGA and the SGA do not agree on
whether a Sportsbook meets the requirements, the TGA and the SGA will meet within seven
(7) working days from receipt of the non-compliance letter and work together to resolve
concerns. If a dispute regarding this inspection cannot be resolved by the TGA and the SGA
within thirty (30) days, the Parties may seek dispute resolution pursuant to the Compact.
3.2
3.3
T
Server. The server or other equipment used to accept and redeem Sports Wagers must be
located within a Gaming Facility. Cloud Storage may be used for duplicate or backup Sports
Wagering data, provided that such Cloud Storage facilities are located in Washington State.
Mobile Sports Wagering. The Gaming Operation must use a Geofence to ensure that all
AF
Mobile Sports Wagering must occur within the Premises. No less than sixty (60) days prior
to offering Mobile Sports Wagering, the Gaming Operation must submit a proposal to the
TGA for review and approval, and the TGA will forward the approved proposal to the SGA
for concurrence, which at a minimum must include, as applicable: (a) a description of the
Geofence technology that it will use to prevent Patrons from placing a Sports Wager, using a
Mobile Device, outside of the Premises; and (b) a map of the Premises. If the TGA and the
SGA take no action within sixty (60) days of receipt, the Tribe may implement the proposal.
Any substantial change in the Geofence technology will require that the Gaming Operation
DR
submit a revised proposal to the TGA for review and approval, and the TGA will forward
the approved proposal to the SGA for concurrence in accordance with this section. The TGA
and the SGA may only disapprove such portions of a proposal they find do not meet the
requirements of this Appendix and must detail the reasons for disapproval. If a dispute
regarding a proposal cannot be resolved by the TGA and the SGA within sixty (60) days, the
Parties may seek dispute resolution pursuant to the Compact.
SECTION 4 SPORTS WAGERING KIOSKS
4.1 Location. Sports Wagering Kiosks may be located anywhere within the Premises and are
subject to the surveillance requirements imposed by Section 5.7.
4.2 On Gaming Floor. Sports Wagering Kiosks located on the Gaming floor are subject to the
limits on anonymous Sports Wagers described in Section 7.1.1.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-2
4.3 Off Gaming Floor. Sports Wagering Kiosks located off the Gaming floor may not allow
anonymous Sports Wagers or Cash redemption.
4.4 Pre-operation Inspection. Sports Wagering Kiosks authorized by this Appendix will be
inspected by the TGA and the SGA prior to commencement of operation to verify its
conformity with the requirements of this Appendix. If a Sports Wagering Kiosk fails to meet
any requirements of this Appendix, the TGA and/or the SGA will send a non-compliance
letter to the Tribe and Chief Executive Officer within seven (7) working days after
completion of the inspection. If the TGA and the SGA do not agree on whether a Sports
Wagering Kiosk meets the requirements, the TGA and the SGA will meet within seven (7)
working days from receipt of the non-compliance letter and work together to resolve
concerns. If a dispute regarding this inspection cannot be resolved by the TGA and the SGA
within thirty (30) days, the Parties may seek dispute resolution pursuant to the Compact.
SECTION 5
5.1
T
STANDARDS OF CONDUCT AND OPERATION
Approved Sports Wagers. The Gaming Operation may accept a Sports Wager on any event
conducted by a league or organization, provided that the league, organization, and wager
AF
type are listed on the Authorized Sports Wagering Menu.
5.1.1 Posting.
(a)
(b)
A list of Sports Wagers available at the Gaming Operation will be made
available to its Patrons.
The SGA will post the Authorized Sports Wagering Menu on its website or
otherwise make it available to the public.
DR
5.1.2
5.1.3
Initial Authorized Sports Wagering Menu. The initial Authorized Sports Wagering
Menu will include every league, organization, and wager type authorized by any
U.S. jurisdiction or jurisdictions as mutually agreed upon by the Parties as of the
effective date of this Appendix, except for Prohibited Activities as listed in
Section 5.2.
Additions to Authorized Sports Wagering Menu.
(a) The Gaming Operation may apply to the TGA, in the form required by the
TGA, to add additional leagues, organizations, or wager types to the
Authorized Sports Wagering Menu. The TGA will provide notice to the SGA
of any approval no fewer than five (5) business days before the Gaming
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-3
Operation intends to offer a Sports Wager on the new league, organization, or
wager type.
(b) If the SGA believes that the new league, organization, or wager type violates
RCW 9.46.037, RCW 9.46.038, or this Appendix or otherwise lacks integrity,
the SGA will immediately notify the TGA, and no Sports Wagers will be
offered by the Gaming Operation on the new league, organization, or wager
type. The TGA and the SGA will meet within five (5) business days of the
TGA’s initial notice to the SGA of its approval to discuss the SGA’s
concerns. The timeframe for meeting may be extended by mutual agreement.
If, after meeting, the TGA and the SGA cannot come to agreement on the
TGA’s determination, the Gaming Operation may offer the Sports Wager(s)
at issue and the SGA may initiate dispute resolution pursuant to the Compact.
5.1.4
T
Removals from the Authorized Sports Wagering Menu.
(a) The TGA and the SGA will immediately notify the other agency if they
believe a league, organization, or wager type on the Authorized Sports
(b)
AF Wagering Menu violates RCW 9.46.037, RCW 9.46.038, or this Appendix,
lacks integrity, or has otherwise become compromised and believe it should
be removed from the Authorized Sports Wagering Menu.
If the TGA and the SGA agree on the removal, the SGA will provide
statewide notice to each tribal gaming agency of a tribe that operates sports
wagering, and inquire whether each tribal gaming agency agrees with the
removal. The SGA may remove a league, organization, or wager type when
DR
(c)
all such tribal gaming agencies affirmatively consent to removal.
If the TGA and the SGA disagree on whether an item should be removed, the
TGA and the SGA will meet within five (5) business days of the notice to
discuss each agency’s concerns. The timeframe for meeting may be extended
by mutual agreement. If after meeting, the TGA and the SGA cannot come to
agreement on whether to remove the league, organization, or wager type from
the Authorized Sports Wagering Menu, the Gaming Operation may continue
to offer the Sports Wager(s) at issue and the SGA may initiate dispute
resolution pursuant to the Compact.
5.1.5 Removals from the Gaming Operation’s List of Available Sports Wagers. If the
Tribe intends to remove a league, organization, or wager type from its list of
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-4
available Sports Wagers as described in Section 5.1.1(a), the TGA will notify the
SGA within five (5) business days after removal.
5.1.6 Layoff Wagers. The Gaming Operation may, in its discretion and subject to
limitations imposed by state and federal laws, make or accept Layoff Wagers. The
Gaming Operation must disclose its identity to the entity that is accepting the wager.
Such wagers must be reported to the TGA.
5.2 Prohibited Activities and Participants.
5.2.1 Prohibited Activities.
(a) The Gaming Operation may not accept any Sports Wager on a Collegiate
Sport Event or Collegiate Athletic Event offered or sponsored by a
(b) T
Washington collegiate institution.
The Gaming Operation may not accept any Sports Wager on a Minor League
sport.
(c)
(d)
(e)
AF Sports Wagers are not transferrable between Patrons.
No Gaming Employee may advise or encourage Patrons to place a Sports
Wager of any specific type, kind, subject, or amount. This restriction does not
prohibit general advertising, promotional activities, or answering general
questions about Sports Wagers.
The Gaming Operation will not knowingly accept a Sports Wager on an
DR
5.2.2
event where the outcome has already been determined (past posting).
Prohibited Participants. The Gaming Operation will make all reasonable efforts to
confirm that any Patron seeking to engage in Sports Wagering is not a Prohibited
Sports Wagering Participant. Prohibited Sports Wagering Participant means:
(a)
(b)
Any person under 18 years of age;
Any person placing a wager as an agent or proxy;
(c) Any athlete whose performance may be used to determine, in whole or in
part, the outcome of such wagering;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-5
(d) Any person who is an athlete, player, coach, manager, referee or other game
official, physician, trainer, team employee or governing body employee, in
any sports event overseen by such person’s Sports Governing Body;
(e) Any person with access to material, exclusive, non-public confidential
information about a sports event that is the subject of such wagering;
(f) Any person identified to the TGA and the SGA by a Sports Governing Body
that the TGA and the SGA agree is a person who should be a Prohibited
Sports Wagering Participant;
(g) Any person who holds a position of authority or influence sufficient to exert
influence over the participants in a sports event that is the subject of a wager;
(h)
T
Any person the Gaming Operation knows or reasonably should know, is
placing a wager by, or on behalf of a Prohibited Sports Wagering Participant;
and
5.3
(i)
AF Any person whose participation may undermine the integrity of wagering on
a sports event or the conduct of such sports event itself, or any person who is
prohibited for other good cause.
Sports Wagering System. No Sports Wagering System may be offered for play unless it has
been tested and certified by an Independent Test Laboratory as meeting the requirements set
forth in Section 5.3.2, and approved in accordance with Section 5.3.6.
5.3.1 Independent Test Laboratory. Any Independent Test Laboratory shall have
DR 5.3.2
demonstrated it is competent and qualified to conduct scientific tests and evaluations
of the Sports Wagering System and must be licensed by the TGA and certified by the
SGA. The SGA will maintain a list of licensed Independent Test Laboratories.
Minimum Standards. The Sports Wagering System must meet or exceed Gaming
Laboratories International’s GLI-33: Standards for Event Wagering Systems, and its
appendices, as amended or modified (“GLI-33”), and the standards established by
this Appendix and any applicable provision of the Compact. Alternative standards
may be agreed to by the TGA and the SGA if the standards meet the requirements
established in this Appendix.
5.3.3 Independent Test Laboratory Reports and Certification. At the conclusion of testing,
the Independent Test Laboratory shall provide to the TGA and the SGA a report that
contains findings, conclusions, and a certification that the Sports Wagering System
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-6
conforms to the requirements contained in this Appendix. If the Independent Test
Laboratory determines that the Sports Wagering System fails to conform to such
requirements or technical standards, and if modifications can be made which would
bring the Sports Wagering System into compliance, the report may contain
recommendations for such modifications. If the Independent Test Laboratory
provides sufficient documentation that the Sports Wagering System or a component
thereof has been tested and certified by that Independent Test Laboratory, without
any subsequent modifications, within the past one hundred eighty (180) days, the
Independent Test Laboratory may provide to the TGA and the SGA a report that
contains findings, conclusions, and the certification from the previous testing and
that shall be sufficient to satisfy this requirement.
5.3.4 Modifications. No substantive modification to any Sports Wagering System may be
T
made after testing, certification, and approval of a Sports Wagering System without
certification of the modification by an Independent Test Laboratory. The following
modifications are not considered substantive and do not require notification to the
SGA: (a) Changes to content not related to any regulated feature; (b) Installation or
5.3.5 AF
changes to backup software; (c) Adding or removing users; and (d) Any system
configuration changes that have no impact on the accuracy of report information
including Gaming revenue.
Emergency Certifications. Nothing in this subsection prevents the immediate
resolution of a critically urgent problem as long as documentation is submitted to the
TGA and the SGA that details the specifics of the emergency situation and the steps
taken to remedy the emergency. Once the emergency situation has passed, any
substantive modification must go through the process described in Section 5.3.3.
DR
5.3.6 Approval of Certification; Revocation. The TGA shall approve or disapprove of the
Sports Wagering System or a component thereof after reviewing the certification,
technical standards tested, and results of testing from the Independent Test
Laboratory, and will notify the SGA of its findings and decision. The SGA will
notify the TGA if the SGA determines a certification from the Independent Test
Laboratory was issued in error. The TGA and the SGA will meet and confer to
discuss the SGA’s concerns. The TGA may revoke its approval of the Sports
Wagering System or a component thereof if it finds that the certification was
erroneous.
5.3.7 Training. The SGA will collaborate with the TGA to provide training opportunities
at agreed upon location(s).
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-7
5.3.8 Security Assessment. Prior to offering Sports Wagering and annually thereafter, the
Gaming Operation must perform a system integrity and security assessment of the
Sports Wagering System, which shall be conducted by an independent technical
expert selected by the Gaming Operation and licensed by the TGA and certified by
the SGA. The independent technical expert’s report will be submitted to the TGA
and the SGA and will include: (a) the scope of review; (b) name and company
affiliation of the person(s) who conducted the assessment; (c) date of assessment;
(d) findings, (e) recommended corrective action, if applicable; and (f) the Gaming
Operation’s response to the findings and recommended corrective action, if
applicable.
5.3.9 Required Reports. The Sports Wagering System must be capable of generating those
reports necessary to record the adjusted gross receipts, wagering liability, ticket
T
redemption, and such other information relating to Sports Wagering as deemed
necessary by the TGA or as required by Internal Controls. These reports may
include, but are not limited to: (a) Gaming Operation revenue reports; (b) Gaming
Operation liability reports; (c) Future events reports; (d) Significant events and
AF
alterations reports; (e) Wager record information reports; (f) Market information
reports; (g) Contest/tournament information reports; (h) Player Account information
reports; (i) Sports Wagering System information reports; (j) Significant event
information reports; (k) User access information reports; and (l) Any other reports
required by the TGA.
5.3.10 Future Technology Permitted. Upon approval by both Parties, any technology not
specifically authorized by this Appendix may be utilized if the proposed technology
will protect, maintain, or enhance current integrity and security standards in the
DR
5.4
5.5
Compact or this Appendix.
Wagering Limits. Appropriate Sports Wagering limits will be set by the Gaming Operation,
consistent with limitations on anonymous Sports Wagering in accordance with Section 7.1.1
and the Reserve Requirement in Section 5.5.
Reserve Requirement. The Gaming Operation must have the ability to cover all outstanding
Sports Wagering liabilities.
5.6 Player Accounts.
5.6.1 Account Required. A Player Account is required to engage in Mobile Sports
Wagering. The Gaming Operation will limit each Patron to one active account and
username. The Gaming Operation will implement rules and procedures to terminate
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-8
all accounts of any Patron who knowingly and intentionally establishes or seeks to
establish multiple active accounts, whether directly or by use of another person as a
proxy.
5.6.2 In-Person Registration. To establish a Player Account, a Patron must register in-
person at the Gaming Facility and provide, at a minimum, the following information:
(a) legal name; (b) date of birth; (c) social security number, or the last four digits
thereof, or an equivalent identification number for a noncitizen Patron, such as a
passport or taxpayer identification number; (d) residential address; (e) email address,
if any; and (f) telephone number, if any. The Gaming Operation must verify the
Patron’s identity against a form of valid, federal, state, or tribal government-issued
photo identification. The Gaming Operation may utilize a third-party know your
customer services or governmental database to authenticate a Patron’s identity or
T
information. Prior to issuing a Patron a Player Account, the Patron must accept the
Gaming Operation’s terms and conditions for Sports Wagering, which must, at a
minimum, notify the Patron that the Player Account is non-transferrable and that the
Patron is prohibited from allowing any other person to access or use the Player
5.6.3
5.6.4
AF
Account.
Account Funding. A Player Account may be funded with U.S. currency through the
use of: (a) Cash; (b) Cash Equivalent; (c) a Patron’s deposit of Cash or vouchers at
the Sportsbook or other cashiering location, (d) promotional credit; (e) winnings;
(f) adjustments made by the Gaming Operation with documented notification to the
Patron; or (g) any other means approved by the TGA and the SGA.
Player Account Controls. The Gaming Operation must implement Player Account
DR
5.7
controls that meet or exceed those in Gaming Laboratories International’s GLI-33
(Standards for Event Wagering Systems), as amended or modified, or equivalent
standards as approved by the TGA with concurrence from the SGA, and the
standards established by this Appendix.
Surveillance. All physical components of the Sports Wagering System, except wiring,
cables, and conduit in which they are located, shall have the ability to be effectively and
clandestinely monitored and recorded by means of a Closed Surveillance System in
accordance with the Compact (including but not limited to Appendix A), or as otherwise
provided in the Tribe’s Internal Controls. Mobile Devices owned by the Gaming Operation
that are utilized by a Player as part of the Sports Wagering System may have lesser
surveillance requirements outlined in the Tribe’s Internal Controls.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-9
5.8 Accounting Records. As part of the accounting records required to be kept in accordance
with the Compact (including but not limited to Appendix A), the Gaming Operation must
keep detailed, supporting, and subsidiary Sports Wagering records to support those
accounting records in accordance with its Internal Controls. The Internal Controls must also
establish minimum audit standards.
5.9 Internal Controls. Prior to beginning Sports Wagering operations, the Tribe must implement
Internal Controls as minimum operating standards to govern the operation and management
of Sports Wagering.
5.9.1 Initial Internal Controls. The TGA shall forward to the SGA its initial Internal
Controls for review and concurrence in accordance with Compact Section VII(A).
The TGA shall detail how the Internal Controls meet or exceed the requirements
5.9.2
described in this Section 5.9.
T
Minimum Requirements. The Internal Controls will address, at a minimum, the
following:
(a)
(b)
AF Description of Gaming Employees who perform essential functions,
including management of Sports Wagering, supervisory authority over daily
operation of Sports Wagering, overseeing technology issues related to the
Sports Wagering System, acceptance of Sports Wagers in the Sportsbook,
handling payouts on winning tickets/vouchers, and coordination of
compliance efforts related to Sports Wagering;
In the event of a failure or malfunction of the Sports Wagering System’s
DR (c)
(d)
ability to pay winning Sports Wagers, the Gaming Operation shall have
Internal Controls detailing the method of paying winning Sports Wagers. The
Gaming Operation shall also file an incident report for each system failure
and document the date, time, and reason for the failure along with the date
and time the system is restored with the TGA;
User access controls for Sports Wagering personnel;
Segregation of duties;
(e) Automated and manual risk management procedures;
(f) Procedures for identifying and reporting fraud and suspicious conduct,
including identifying Unusual Wagering Activity and Suspicious Wagering
Activity and reporting such activity to an Integrity Monitoring Provider;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-10
(g) Procedures for identifying and preventing Sports Wagering by Prohibited
Sports Wagering Participants;
(h) Description of anti-money laundering compliance standards, which must
include limitations placed on anonymous wagering and prohibit anonymous
single Sports Wagers of two thousand dollars ($2,000) or more, and include
the retention of the wager record information with Player identification;
(i) Process for submitting or receiving approval of all types of wagers available
to be offered by the Sports Wagering System;
(j) Description of process for accepting Sports Wagers and issuing pay outs, plus
any additional controls for accepting Sports Wagers and issuing pay outs in
excess of ten thousand dollars ($10,000);
(k)
T
Description of a process for accepting multiple Sports Wagers from one
Player in a twenty-four (24) hour cycle, including a process to identify Player
structuring of Sports Wagers to circumvent recording and reporting
(l)
(m) AF requirements;
Opening and closing Sportsbook windows;
Procedures for reconciliation of assets and documents contained in a Sports
Wagering area cashier’s drawer, Sports Wagering Kiosk, and Mobile Sports
Wagering, which must include the Drop and count procedures for Sports
Wagering Kiosks;
DR
(n)
(o)
(p)
(q)
Procedures for cashing winning tickets at the Cage after the Sportsbook has
closed, if applicable;
Procedures for accepting value game chips for Sports Wagering, if
applicable;
Procedures for issuance and acceptance of promotion funds and free wagers
for Sports Wagering, if applicable;
Description of all integrated third-party systems;
(r) If Cloud Storage is utilized, a description of how the Cloud Storage complies
with applicable federal laws and a description of how the Cloud Storage
meets or exceeds the security standards from Center for Internet Security
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-11
(CIS), as amended or modified, or equivalent standards as approved by the
TGA with concurrence from the SGA;
(s) Procedures for closing out dormant Player Accounts;
(t) Procedures for making adjustments to a Player Account, including the
process for a Patron to close out a Player Account, and a process whereby a
Patron will be refunded after the closure of a Player Account;
(u) If the Sports Wagering System includes Mobile Sports Wagering, a method
for verifying Players’ wagers placed within the Premises;
(v) Procedures to maintain the security of identity and financial information of
Patrons;
(w)
T
Procedures for securely issuing, modifying, and resetting a Player Account
password, personal identification number, biometric login, or other approved
security feature, when applicable;
(x)
AFProcedures for Patron notification including any password or security
modification via electronic or regular mail, text message, or other manner
approved by the TGA, provided that such methods will include, at a
minimum: (i) if in person, verify the Patron’s identity against a form of valid,
federal, state, or tribal government-issued, photo identification, (ii) the
correct response to two or more challenge questions, (iii) strong
authentication, or (iv) two-factor authentication;
DR
(y)
(z)
(aa)
(bb)
Controls to prevent ACH fraud regarding failed ACH deposits into a Player
Account and policies regarding Player Account closure, dormant Player
Account, unclaimed funds in a dormant Player Account, and suspension and
subsequent restoration of a Player Account;
Change control procedure;
Procedures for receiving, investigating, and responding to Patron complaints;
Procedures to ensure security of the servers;
(cc) Procedures for line setting and line moving;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-12
(dd) Procedures regarding redemption of winning tickets, including but not
limited to, a method for redeeming lost tickets, if allowed, and a method for
redeeming tickets by U.S. Mail, if allowed;
(ee) Description of the circumstances, limitations, and method by which the
Gaming Operation will cancel wagers, which must at a minimum require
cancellation in the event of an obvious error and require that only a
supervisory employee of the Gaming Operation can void or cancel a wager;
(ff) Procedures for voiding wagers;
(gg) Accounting and audit procedures; and
(hh) Any other Internal Controls deemed necessary by the SGA and the TGA by
5.9.3
memorandum of agreement.
T
Revisions. Any new or revised Internal Controls adopted by the Tribe shall ensure
that the interests of the Tribe and the State relating to Sports Wagering are preserved
5.10
AF
and protected; maintain the integrity of Sports Wagering; and reduce the dangers of
unfair or illegal practices in the conduct of Sports Wagering. The TGA shall forward
to the SGA any proposed changes to the Internal Controls for review and
concurrence in accordance with Compact Section VII(A).
House Rules. The Gaming Operation will adopt comprehensive house rules, which must be
approved by the TGA, and made available to Patrons at the Gaming Facility and through the
Sports Wagering System. House Rules shall include: (a) Method for calculation and
payment of winning wagers; (b) Description of the process for handling incorrectly posted
DR
events, odds, wagers, or results; (c) Effect of schedule changes; (d) Method of notifying
Patrons of odds or proposition changes; (e) Acceptance of wagers at other than posted terms;
(f) Expiration of any winning ticket; (g) Lost ticket policy; (h) Method of contacting the
operator for questions and complaints; (i) A policy by which Gaming Operation can cancel
or void wagers; and (j) Description of Prohibited Sports Wagering Participants.
SECTION 6 SPORTS WAGERING LICENSING AND CERTIFICATION
Licensing and Certification for Sports Wagering Vendors is governed by Compact Section V.F and
Appendix L, Section 4.
SECTION 7 CRIMINAL ENFORCEMENT
7.1 Anti-Money Laundering.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-13
7.1.1 Limits on Anonymous Wagering.
(a) No Patron shall engage in Mobile Sports Wagering, as provided in
Section 5.6.1, without a Player Account.
(b) No Player may anonymously place a single Sports Wager of two thousand
dollars ($2,000) or more. The Internal Controls will detail acceptable forms
and methods of identifying a Player who places a wager of two thousand
dollars ($2,000) or more.
7.1.2 Federal Requirements. The Tribe is responsible for the regulatory oversight of Sports
Wagering Player Accounts and Patron funds held on deposit. The Tribe’s Internal
Controls will describe how the Tribe will comply with applicable federal
requirements including requirements imposed by the Federal Trade Commission
T
(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.
7.2
AF
Sports Integrity.
7.2.1
7.2.2
Collaboration. The TGA and the SGA shall collaborate in an effort to prevent and
detect competition manipulation through education and enforcement of the
provisions of Chapter 9.46 RCW, 67.04 RCW, or 67.24 RCW, or any other State
laws related to the integrity of sporting events, athletic events, or competitions within
the State.
Integrity Monitoring Provider.
DR
(a) To ensure the TGA and the SGA can monitor the integrity of Sports
Wagering, the Gaming Operation will require the collection of aggregate
Sports Wagering information, in a format that can be efficiently utilized,
provided to, and analyzed by an approved Integrity Monitoring Provider.
(i) In order to identify Unusual Wagering Activity and Suspicious
Wagering Activity, the Integrity Monitoring Provider will monitor
Sports Wagering information as outlined in the Internal Controls that
includes industry best practices.
(ii) Upon receiving any report of Unusual Wagering Activity or
Suspicious Wagering Activity from an Integrity Monitoring Provider,
the Gaming Operation will review such reports and notify the
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-14
Integrity Monitoring Provider of whether or not it has experienced
similar activity.
(b) As a condition of licensure by the TGA, the Integrity Monitoring Provider
will be required to:
(i) Share information about any Unusual Wagering Activity with other
Integrity Monitoring Providers and disseminate all reports of Unusual
Wagering Activity to all tribes offering Sports Wagering in
Washington; and
(ii) Immediately notify all other Integrity Monitoring Providers, the TGA,
and the SGA if the Integrity Monitoring Provider finds any
Suspicious Wagering Activity, including a previously reported
7.2.3
T
Unusual Wagering Activity that rises to the level of Suspicious
Wagering Activity.
Annual Report. The Tribe shall submit a yearly report to the SGA, which details
7.3
AF
services provided by the Integrity Monitoring Provider and summarizes any Unusual
Wagering Activity or Suspicious Wagering Activity notifications issued during that
time period.
Information Sharing. In addition to the information sharing provisions contained in the
Compact, the Tribe will establish an information disclosure policy that meets, at a minimum,
the information sharing requirements in RCW 9.46.0364, and sets forth the Tribe’s process
for sharing information with Local Non-Tribal Law Enforcement agencies and the SGA,
DR
when such officials are investigating Sports Wagering related crimes, including money
laundering and sports integrity, believed to have occurred within the Gaming Facility or
within Puyallup Tribal Lands. The Tribe will share the Sports Wagering information
disclosure policy, and any changes to the policy, with the SGA and provide the SGA a thirty
(30) day comment period before implementation. The Tribe will provide personal
identifiable information of Patrons to Local Non-Tribal Law Enforcement agencies and the
SGA in accordance with its information sharing policy.
SECTION 8 PROBLEM GAMBLING AND RESPONSIBLE GAMING
Compact Section III.Q governs the Tribe’s commitment to a comprehensive problem gambling
and responsible gaming program and such provisions are incorporated herein.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix S – Sports Wagering
S-15
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX W
RULES GOVERNING WIDE AREA PROGRESSIVES
TABLE OF CONTENTS
STATEMENT OF CONDITIONS AND LIMITATIONS ....................................................... 1
SECTION 1. INTRODUCTION................................................................................................ 1
1.1 Definitions.............................................................................................................. 1
1.2 Intent ...................................................................................................................... 1
T
SECTION 2. REQUIREMENTS ............................................................................................... 2
2.1
2.2
General Requirements............................................................................................ 2
Submission Process. ............................................................................................... 2
AF
SECTION 3. TESTING AND APPROVAL ............................................................................. 4
3.1
3.2
3.3
3.4
3.5
3.6
Independent Gaming Test Laboratory. .................................................................. 4
General Testing Requirements............................................................................... 5
Materials Provided to Gaming Test Laboratory. ................................................... 5
Approval by the SGA............................................................................................. 5
Installation.............................................................................................................. 6
WAP Operator Certification .................................................................................. 6
D 3.7 Payment of Fees. .................................................................................................... 6
SECTION 4. INSPECTIONS .................................................................................................... 7
R 4.1
4.2
4.3
4.4
4.5
SGA Inspection ...................................................................................................... 7
Inspection of WAP Operator ................................................................................. 7
Suspension of WAP ............................................................................................... 7
Reinstatement......................................................................................................... 7
Mathematical Verification ..................................................................................... 7
SECTION 5. PARTICIPATION IN ANOTHER APPROVED WAP ................................... 7
5.1 Requirements ......................................................................................................... 7
i
APPENDIX W
RULES GOVERNING WIDE AREA PROGRESSIVES
STATEMENT OF CONDITIONS AND LIMITATIONS
The Puyallup Tribe of Indians and the State of Washington (State) believe that conducting
Class III Gaming under the terms, limitations, and conditions set forth below will benefit the
Tribe and the State, will be Fair and protect the members of the Tribe and the other citizens of
the State, and is consistent with the objectives of the federal Indian Gaming Regulatory Act. The
Parties have agreed upon conditions of the terms, provisions, and limitations contained in this
Appendix W.
T
This Appendix contains interdependent conditions and consequences that must be accepted as a
whole in order to operate or participate in a Wide Area Progressive. As a result, authorization to
operate or participate in a WAP requires the Tribe to operate and participate in accordance with
all of the requirements of both this Appendix and the subsequent Memorandum of
AF
Understanding agreed to under Section 2.2.3.
SECTION 1.
1.1
1.2
INTRODUCTION
Definitions. Capitalized terms used in this Appendix are defined in Appendix D
“Definitions” and are incorporated herein.
Intent. The intent of the Parties is to allow the Tribe to use a WAP where Players are
entered into a pool for a Progressive Prize without the insertion of additional
DR
consideration.
1.2.1
1.2.2
1.2.3
The WAP must be Fair, secure, and auditable.
The WAP does not constitute a mechanical Gambling or lottery device activated
by the insertion of a coin or by the insertion of any object purchased by any
person taking a chance by Gambling in respect to the device.
The WAP does not constitute an electronic or mechanical device or video
terminal which allows for individual play against such device or terminal.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-1
SECTION 2. REQUIREMENTS
2.1 General Requirements. The basic requirements for a WAP authorized under Compact
Section IV are as follows:
2.1.1 Any WAP Controller utilized by the Tribe may operate only in conjunction with
the Tribal Lottery System and may not offer a game where the Player may play
against the device.
2.1.2 The restrictions on the use and operation of the Tribal Lottery System as governed
by Appendix X2, including prohibiting individual play against such devices or
terminals, are not changed by this Appendix.
2.1.3
2.1.4
2.1.5
T
The WAP will be Fair for Players in the State.
The game rules will be posted for the Patron.
The WAP will conform with 25 U.S.C. § 2710 (d)(1)(A), (B), and (C).
2.1.6
2.1.7
2.1.8
AF
The WAP will allow the SGA to remotely view the Gaming Operation’s reports
and activity in real time as specifically provided for in a full submission.
The Tribe will make available for review agreements and contracts regarding
WAP participation in accordance with Compact Section VIII.B.
Employees and/or representatives of a WAP Operator must meet the applicable
licensing and certification requirements in accordance with Compact Section V
DR 2.1.9
and Appendix L.
Each specific type of WAP approved will conform to the standards documented in
a Memorandum of Understanding after a full submission has been approved, and
the Tribe shall not begin operation of said WAP until the testing and certification
requirements referred to in Section 3 are met.
2.1.10 The Tribe will notify the SGA of its participation in a specific type of WAP and
will follow the requirements in an approved Memorandum of Understanding for
the specific type of WAP in order to participate in that WAP.
2.2 Submission Process.
2.2.1 Each full submission made must meet the requirements contained in the Compact,
Appendix X2, and this Appendix, and shall set the technical standards and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-2
Internal Controls for the operation of that type of WAP. Except for the Tribal
Lottery System as governed by Appendix X2, the Tribe and the SGA shall enter
into a separate Memorandum of Understanding for each specific type of WAP the
Tribe wishes to operate.
2.2.2 A “full submission,” as that term is used in this Appendix, shall include a detailed
description of technical standards and other information that includes at least the
following:
(a) How the system operates with the Tribal Lottery System, including
connections to the system and other jurisdictions, probability, and
summary of game rules which must be posted for the Patron in any
format;
(b)
T
WAP illustrations, schematics, block diagrams, circuit analyses, program
object and source codes, and hexadecimal dumps, which means the
compiled computer program represented in base 16 format;
(c)
(d)
(e)
AF Technical and operation manuals including operation, interface,
Progressive Prize verification, and random number generator standards;
System hardware specifications including all key WAP Components
including the WAP Controller;
Base software, which means the software platform upon which games are
loaded;
DR
(f)
(g)
(h)
Game software for one or more games, including game set size and point
of overlap;
System security including encryption, firewalls, Key controls, and
surveillance;
Odds for winning the Progressive Prize, the base Progressive Prize
amount, the reset Progressive Prize amount, the incremental increases of
the Progressive Prize, and any secondary pool increment(s);
(i) Accounting system requirements and reports which must include at least a
progressive balancing report and report of unusual events such as critical
memory clears, changes to Progressive Prizes, offline equipment, multiple
site prizes, and related reports;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-3
(j) Reports which must include at least a progressive summary, aggregate,
and payoff and any adjustments made by the WAP Operator on
Progressive Prize pools;
(k) Procedures for handling simultaneous Progressive Prize winners in
multiple locations or jurisdictions;
(l) Procedures to make changes or adjustments to or be removed from the
WAP, including notice requirements to the Participant Tribes and Players;
(m) Procedures for accepting additional Participant Tribes or participating
jurisdictions and/or governments into the WAP;
(n)
(o)
T
Procedures to handle system malfunctions and reporting those
malfunctions to participating jurisdictions and/or governments;
Player dispute procedures;
(p)
(q)
(r)
AF Procedures, including a timeframe, for Gaming Operations staff or WAP
Operator to provide notice to the TGA and the SGA of WAP non-
compliance;
Capability and process to allow the SGA to remotely view the Tribe’s
WAP to review reports and activity in real time; and
Any agreement, written specifications, or limitations required of a WAP
Operator by any other state or tribal government and affecting a WAP.
DR
2.2.3
SECTION 3.
The Tribe may present to the SGA, at any time, a WAP full submission it believes
satisfies the requirements of the Compact and this Appendix. Within ninety
(90) days of the Tribe’s providing of a complete, full submission for its proposed
WAP to the SGA, the Tribe and the SGA will execute a Memorandum of
Understanding as required by Section 2.1.9.
TESTING AND APPROVAL
3.1 Independent Gaming Test Laboratory.
3.1.1 Designation. The Tribe shall select one or more Gaming test laboratories
(hereinafter, “Gaming Test Laboratory”) to perform the testing required in this
Appendix. The selection of a Gaming Test Laboratory will be done according to
Appendix X2, Section 10.1.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-4
3.1.2 Gaming Test Laboratory Duty of Loyalty. The Tribe shall inform the Gaming
Test Laboratory, in writing, that irrespective of the source of payment of its fees,
the Gaming Test Laboratory’s duty of loyalty and reporting requirements run
equally to the Tribe and the SGA.
3.2 General Testing Requirements. The general purpose of testing the WAP and related WAP
Components is to determine the compliance of the WAP with the Memorandum of
Understanding agreed to by the Tribe and the SGA. Prior to operation of the WAP, the
WAP and related WAP Components shall be tested by a licensed Gaming Test
Laboratory to verify:
3.2.1 Compliance with the applicable requirements of the Compact, Appendix X2, and
this Appendix;
3.2.2
3.2.3
T
The WAP is Fair for both the Players and the participating gaming facilities; and
Compliance with the Memorandum of Understanding and currently accepted
3.3
AF
Gaming test industry standards with respect to multi-jurisdictional WAPs.
Materials Provided to Gaming Test Laboratory.
3.3.1 The Tribe shall provide or require that the WAP Operator provide to the Gaming
Test Laboratory a copy of the executed Memorandum of Understanding, and any
other information requested by the Gaming Test Laboratory. The Tribe shall make
all such materials available to the SGA upon request.
DR
3.3.2 If requested by the Gaming Test Laboratory, the Tribe shall require the WAP
Operator to transport not more than two working models of the WAP associated
Player Terminals, and any required system elements to a location designated by
the Gaming Test Laboratory for testing, examination, or analysis. Neither the
State nor the Gaming Test Laboratory shall be liable for any costs associated with
the transportation, testing, examination, or analysis, including any damage to the
WAP Components. If requested by the Gaming Test Laboratory, the Tribe shall
require the WAP Operator to provide specialized equipment or the services of an
independent technical expert to assist with the testing, examination, and analysis.
The Gaming Test Laboratory will notify the SGA of the request and need for the
request.
3.4 Approval by the SGA. Upon receiving the certification, technical standards tested, and
results of testing from the Gaming Test Laboratory, the SGA shall either approve or
disapprove the WAP or WAP Component thereof, based on the criteria contained in this
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-5
Appendix and the Memorandum of Understanding. The Tribe or WAP Operator may
request a temporary suspension of the SGA’s review of the WAP or WAP Component for
a mutually agreed upon time period through a written request to the SGA director.
During the SGA approval process, the Gaming Test Laboratory will meet with the SGA
and the TGA to inform regulatory staff of the certification process and technical
standards tested and provide training so that these personnel have an understanding of the
WAP, can create a regulatory program, and can better respond to questions and
complaints.
3.5 Installation.
3.5.1 No WAP may be offered for play unless:
(a)
(b)
T
Such WAP is approved as provided in this Appendix; and
The WAP prototype thereof has been tested and certified by the Gaming
Test Laboratory as meeting the requirements and Memorandum of
3.6
3.5.2
AF
Understanding specified by this Appendix.
The TGA and the SGA will meet to confer on WAP initial implementation and
Internal Controls changes to prepare for WAP operation. Initial Internal Controls
and any subsequent changes are to be completed in conformance with Compact
Section VII.
WAP Operator Certification. Before any WAP Component may be placed into operation,
DR
3.7
the Tribe shall first have obtained a written certification from the WAP Operator that,
upon installation, each such WAP Component:
3.6.1
3.6.2
Conforms to the specifications of the WAP as certified by the Gaming Test
Laboratory; and
Operates and plays in accordance with the applicable requirements of the
Compact, Appendix X2, this Appendix, and the Memorandum of Understanding.
Payment of Fees.
3.7.1 The Gaming Test Laboratory shall not accept a WAP submission from a WAP
Operator without first receiving an executed Memorandum of Understanding
from the Tribe. All Gaming Test Laboratory fees related to a WAP submission
shall be the responsibility of the WAP Operator.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-6
3.7.2 All SGA testing fees related to a WAP submission shall be the responsibility of
the WAP Operator.
SECTION 4. INSPECTIONS
4.1 SGA Inspection. The Tribe shall allow the SGA to inspect any WAP Components for the
purposes of confirming that such WAP Component is operating in accordance with the
requirements of the Compact, Appendix X2, this Appendix, and the Memorandum of
Understanding and that such WAP Component is identical to that tested by a Gaming
Test Laboratory. Inspections shall be pursuant to the Compact.
4.2 Inspection of WAP Operator. The WAP Operator shall allow the TGA and the SGA to
inspect any WAP Components for the purposes of confirming that such WAP Component
T
is operating in accordance with the requirements of the Compact, Appendix X2, this
Appendix, and the Memorandum of Understanding and that such WAP Component is
identical to that tested by a Gaming Test Laboratory.
4.3
4.4
4.5
AF
Suspension of WAP. If the TGA or the SGA determine there is a failure to comply with
the Memorandum of Understanding, either will immediately suspend a WAP’s operation.
Reinstatement. Reinstatement of a WAP’s operation shall occur once the TGA and the
SGA agree that a suspended WAP complies with the Memorandum of Understanding as
determined by follow-up testing by the Gaming Test Laboratory.
Mathematical Verification. If after an investigation the TGA or the SGA believe the
WAP is not operating in a Fair manner, either may request a mathematical review by an
D independent third-party. The WAP Operator will pay the cost of this review.
SECTION 5.
R
PARTICIPATION IN ANOTHER APPROVED WAP
The Tribe may participate in more than one approved WAP. When the Tribe elects to participate
in a WAP that has already been approved by the SGA, Section 1 through Section 4 do not apply
except as required by Section 5.1.3.
5.1 Requirements. Requirements for participation in another approved WAP:
5.1.1 When participating in a WAP that has already been approved by the SGA, the
Tribe must follow the requirements in the Memorandum of Understanding related
to that WAP.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-7
5.1.2 The Tribe will notify the SGA of its participation in or withdrawal from another
WAP and will make any and all copies of its participation agreements available
for review.
5.1.3 When the Tribe participates in an already approved WAP, the Tribe will follow
the requirements listed in Sections 1, 2.1, 3.5, 3.6, 4, and 5.
T
AF
DR
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix W – Rules Governing Wide Area Progressives
W-8
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX X2
(AMENDED AND RESTATED)
RULES GOVERNING TRIBAL LOTTERY SYSTEMS
TABLE OF CONTENTS
SECTION 1.
SECTION 2.
2.1
T
OVERVIEW ................................................................................................... 1
TERMS ........................................................................................................... 1
Cashless Transaction System ................................................................................. 1
2.2
2.3
2.4
2.5
2.6
2.7
AF
Central Computer ................................................................................................... 2
Electronic Accounting System............................................................................... 2
Electronic Scratch Ticket ....................................................................................... 2
Electronic Scratch Ticket Game ............................................................................ 2
Electronic Scratch Ticket Game Set ...................................................................... 3
Electronic Scratch Ticket Game Subset................................................................. 3
DR
2.8
2.9
2.10
2.11
2.12
2.13
Game Play Credits ................................................................................................. 3
Kiosks .................................................................................................................... 3
Manufacturing Computer ....................................................................................... 3
On-line Lottery Game ............................................................................................ 3
On-line Lottery Game Ticket ................................................................................. 3
Player Terminals .................................................................................................... 4
2.14 Template ................................................................................................................ 4
2.15 Tribal Lottery System ............................................................................................ 4
2.16 Virtual Environment .............................................................................................. 4
2.17 Virtual Machine ..................................................................................................... 4
i
SECTION 3. TRIBAL ELECTRONIC SCRATCH TICKET LOTTERY
GAME SYSTEM ............................................................................................ 4
3.1 Description of System Operation. .......................................................................... 4
3.2 Game Set and Subset Requirements. ..................................................................... 6
3.3 Data Required to be Available Prior to Commencement of an Electronic
Scratch Ticket Game .............................................................................................. 7
3.4 Data Required to be Available Following the Completion of a Scratch
Ticket Game ........................................................................................................... 8
3.5 Software Auditing Tool to be Made Available ...................................................... 8
3.6
3.7
3.8
T
No Auditing of Game Sets While in Play; Player Complaint Process. ................. 8
Manufacturing Computer. ...................................................................................... 9
Central Computer Used in Connection with Electronic Scratch Ticket
Game .................................................................................................................... 10
3.9
3.10
SECTION 4.
4.1
4.2
4.3
AF
Player Terminals Used in Electronic Scratch Ticket Games ............................... 11
Data Available for Inspection .............................................................................. 11
TRIBAL ON-LINE LOTTERY GAME SYSTEM ................................... 11
Description of System Operation ......................................................................... 11
Central Computer Used for On-line Lottery Game ............................................. 13
Player Terminals Used for On-line Games .......................................................... 14
DR
4.4
4.5
4.6
4.7
4.8
SECTION 5.
Verification and Viewing Requirements for On-line Game Results ................... 14
On-line Lottery Game Records ............................................................................ 14
Redemption Period............................................................................................... 14
Other Game Rules ................................................................................................ 15
Prizes; Jackpots .................................................................................................... 15
PLAYER TERMINALS .............................................................................. 15
5.1 Use as a Stand-Alone Gambling Device Prohibited ............................................ 15
5.2 Features ................................................................................................................ 15
5.3 Non-Volatile Backup Memory Required ............................................................. 16
5.4 On/Off Switch ...................................................................................................... 16
5.5 Static Discharge/Interference ............................................................................... 16
ii
5.6 Accounting Meters ............................................................................................... 16
5.7 No Automatic Clearing of Accounting Meters; Reading and Resetting
Meters .................................................................................................................. 17
5.8 Display of Information......................................................................................... 17
5.9 Protection of Displayed Information ................................................................... 17
5.10 Hardware Switches Prohibited............................................................................. 17
5.11 Networking Requirements ................................................................................... 17
5.12 Prohibited Software Functions............................................................................. 18
5.13 Quick-Pick Function ............................................................................................ 18
5.14
5.15
5.16
T
Wagers; Displaying Electronic Scratch Ticket Outcomes ................................... 18
Cash Standards ..................................................................................................... 19
Door Access Logging .......................................................................................... 19
SECTION 6.
6.1
6.2
6.3
6.4
AF
STANDARDS FOR RANDOM NUMBER GENERATORS USED
WITHIN THE TRIBAL LOTTERY SYSTEM ........................................ 20
Chi-Square Analysis ............................................................................................ 20
Runs Test ............................................................................................................. 20
Correlation Analysis ............................................................................................ 20
Serial Correlation Analysis .................................................................................. 20
D
SECTION 7.
R
7.1
SECTION 8.
8.1
8.2
8.3
ELECTRONIC ACCOUNTING SYSTEM .............................................. 20
Revenue Reporting Requirements ....................................................................... 20
CASHLESS TRANSACTION SYSTEM SECURITY,
REPORTING AND STORAGE REQUIREMENTS ............................... 24
Player Information ............................................................................................... 24
Smart Cards.......................................................................................................... 25
Other Functions.................................................................................................... 25
8.4 Kiosks .................................................................................................................. 26
SECTION 9. GENERAL SECURITY REQUIREMENTS ............................................ 26
9.1 Separation ............................................................................................................ 26
9.2 Security ................................................................................................................ 26
9.3 Secure Connections; DES or Equivalent Data Encryption .................................. 27
iii
9.4 Surge Protection; Uninterrupted Power System (UPS) ....................................... 27
9.5 Identification Plates ............................................................................................. 27
9.6 Locked Areas ....................................................................................................... 27
9.7 Access Control Standards .................................................................................... 27
9.8 MEAL Cards ........................................................................................................ 28
9.9 Access Control ..................................................................................................... 28
9.10 Cameras................................................................................................................ 28
9.11 Verification Data and Functions .......................................................................... 28
SECTION 10. TESTING OF TRIBAL LOTTERY SYSTEMS TO ENSURE
10.1
10.2
T
INTEGRITY ................................................................................................. 28
Designation of Independent Gaming Test Laboratory......................................... 28
Testing and Certification of Tribal Lottery Systems ........................................... 29
10.3
10.4
10.5
10.6
10.7
10.8
AF
Approval by the SGA........................................................................................... 30
Modifications of Approved Lottery Systems; Emergency Certifications............ 30
Manufacturer’s Conformity to Technical Standards............................................ 31
Payment of Gaming Test Laboratory Fees .......................................................... 31
Gaming Test Laboratory Duty of Loyalty ........................................................... 31
Random Inspections ............................................................................................. 31
D 10.9
SECTION 11.
R
SECTION 12.
12.1
12.2
SECTION 13.
SGA to be Supplied Model of Player Terminal and System ............................... 31
ALTERNATIVE STANDARDS PERMITTED........................................ 32
TRIBAL LOTTERY SYSTEM PLAYER TERMINAL
ACQUISITION AND OPERATION ......................................................... 32
Allocation............................................................................................................. 32
Other Circumstances ............................................................................................ 32
STATE REGULATORY FEES .................................................................. 32
SECTION 14. COMMUNITY INVESTMENTS AND PUBLIC HEALTH ................... 32
14.1 Community and Charitable Impact ...................................................................... 32
14.2 Problem Gambling and Responsible Gaming ...................................................... 32
14.3 Smoking Cessation and Prevention ..................................................................... 32
SECTION 15. HOURS OF OPERATION.......................................................................... 32
iv
APPENDIX X2
RULES GOVERNING
TRIBAL LOTTERY SYSTEMS
SECTION 1. OVERVIEW
This Appendix describes, authorizes, and sets forth provisions applicable to the operation of a
Tribal Lottery System conducted pursuant to the Indian Gaming Regulatory Act for playing
Electronic Scratch Ticket and On-line Lottery Games. The system utilizes Player Terminals with
video displays which allow Players to purchase chances and obtain Game result information, a
manufacturing computer which securely creates the finite set of chances used in the scratch ticket
T
portion of the system, a Central Computer which stores and transmits Game information and
makes draws for the On-line Lottery Game, and an electronic central security and accounting
system. In the Scratch Ticket Game, preexisting Scratch Tickets are dispensed in an electronic
format to Players through the Player Terminals on an on-demand basis. In the On-line Lottery
AF
Game, drawings are conducted on a Central Computer independently of any activity at Player
Terminals. The drawing results are then matched to Player selections previously made on the
Player Terminals. The system and games described and authorized herein are subject to the
technical provisions set forth herein. Further, nothing herein shall restrict the Tribe from
exercising any provision in its Compact not covered by this Appendix X2.
This Appendix X2, as originally added to the Compact by the Fourth Amendment in 2007,
contained interdependent conditions and consequences that were accepted as a whole in order to
operate or participate in the Tribal Lottery System. In 2025, the Tribe amended and restated its
D
Compact, and as part of that effort, portions of this Appendix X2 were updated to better align
with the amended and restated Compact. This Appendix X2 was bargained for and in exchange
for all of the terms contained herein, as well as Compact Section III and Compact Section X.
R
SECTION 2. TERMS
Terms used exclusively in this Appendix X2 are defined in this Section 2. Other capitalized
terms used in this Appendix are defined in Appendix D “Definitions” and are incorporated
herein.
2.1 Cashless Transaction System. The means by which a Player obtains, transfers, and
redeems Game Play Credits. The Cashless Transaction system permits a Player to play
the Tribal Lottery System without inserting Cash (coins, tokens, or paper currency) into,
and to win prizes without receiving Cash from, the Player Terminal. The Cashless
Transaction System includes the following components:
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-1
2.1.1 The Electronic Accounting System;
2.1.2 One or more of the following: Plastic, cardboard, magnetic, or “smart” cards;
paper; personal identification numbers (“PIN”); Game Play Credits obtained from
the exchange of Cash or Cash Equivalents; Game Play Credits displayed on the
Player Terminal which were earned as prizes from prior play and not redeemed;
and other means for effectuating play and awarding prizes without inserting or
dispensing Cash into or from the Terminal, provided that all Game Play Credits
(other than credits earned from prior play and remaining displayed on a Player
Terminal) must have been paid for by Cash or Cash Equivalent;
2.1.3 A means of accounting for Player deposits of Cash or Cash Equivalents and
exchanges for and redemption of Game Play Credits which is independent of the
2.1.4
T
Player Terminal, through a Player’s account, a voucher system, or a “smart” card
or similar device for recording individual Player data; and
A means by which Players can redeem unused Game Play Credits for Cash or
2.2
2.3
AF
Cash Equivalents. All redemptions for Cash must be through a cashier or
redemption system separate from the Player Terminal.
Central Computer. A computer which conducts drawings for On-line Lottery Games and,
for Electronic Scratch Ticket Games, stores and dispenses Electronic Scratch Tickets
from Scratch Ticket Subsets which have been loaded into it from a Manufacturing
Computer and are maintained in a secure manner.
Electronic Accounting System. A computer system that provides a secure means to
DR
2.4
2.5
receive, store, and access data and record critical functions and activities, as set forth in
Section 7.
Electronic Scratch Ticket. A predetermined winning or losing outcome in electronic
form. Each Scratch Ticket represents a chance from among the finite set of chances that
comprise an Electronic Scratch Ticket Game Set. Electronic Scratch Ticket may also be
known as “Scratch Ticket.”
Electronic Scratch Ticket Game. A Scratch Ticket lottery Game that is played in an
electronic environment. A game has a specific set of rules including: The theme and
types of symbols used; the total number of tickets in the game; the ratio or mix of
winning and losing tickets; the prize structure, including number and dollar value of each
prize; and price of a single ticket. The game is played by use of computer hardware and
software to manufacture, store, distribute, sell, and display Scratch Tickets to Players.
Electronic Scratch Ticket Game may also be known as “Game.”
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-2
2.6 Electronic Scratch Ticket Game Set. A finite set of Electronic Scratch Tickets that is
based on a Template that has been designed in accordance with a specific set of rules,
including the basic requirements of Section 3.2, governing the structure of an Electronic
Scratch Ticket Game. Based on that Template, an Electronic Scratch Ticket Game Set is
created in a Manufacturing Computer in a secure and verifiable electronic form prior to
the play of an Electronic Scratch Ticket Game. Each Electronic Scratch Ticket Game Set
is uniquely identifiable, by serial number or otherwise, so that it can be distinguished
from other Game Sets manufactured from the same Template. Electronic Scratch Ticket
Game Set may also be known as “Game Set” or “Set.”
2.7 Electronic Scratch Ticket Game Subset. A defined group of Electronic Scratch Tickets
that has been randomly selected from an Electronic Scratch Ticket Game Set and
transmitted to a Central Computer in a fixed order for play. Each Electronic Scratch
T
Ticket Game Subset is uniquely identifiable from all other Subsets selected from the
same Game Set. An Electronic Scratch Ticket Game Subset may also be known as
“Electronic Scratch Ticket Subset,” “Game Subset,” or “Subset.”
2.8
2.9
2.10
AF
Game Play Credits. A means of representing value obtained from the exchange of Cash
or Cash Equivalents, or earned as a prize, which is used as a means to effectuate play.
Game Play Credits may be redeemed for Cash or a Cash Equivalent.
Kiosks. Cash exchange or redemption terminals, which allow for Cash to cashless
transactions or cashless to Cash transactions with or without a cashier. A Player Terminal
is not a Kiosk.
Manufacturing Computer. A computer which creates Electronic Scratch Ticket Game
DR
2.11
2.12
Sets, randomly allocates tickets into Scratch Ticket Subsets, and delivers them to a
Central Computer.
On-line Lottery Game. A lottery game by which Players, through the use of Player
Terminals, select numbers, symbols, or other possible outcomes to be matched to
outcomes that are subsequently and randomly selected in drawings which are
electronically conducted on a Central Computer.
On-line Lottery Game Ticket. A paper, cardboard, or electronically encoded medium
onto which information is legibly printed, or is recorded electronically in a manner which
can cause a Player Terminal to display, the outcome(s) and prize(s) won, if any, and other
information associated with, an On-line Lottery Game drawing in which the Player is
enrolled.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-3
2.13 Player Terminals. Electronic computer terminals housed in cabinets with input devices
and video screens and with which Players play the On-line Lottery and Electronic Scratch
Ticket Games. Player Terminals are not capable of playing Gambling games as
stand-alone devices. Player Terminal may also be known as a “Terminal.”
2.14 Template. A software file containing all possible prize values for a Game Set to be
created, indicating the number of prizes for each prize value that will appear in the Game
Set.
2.15 Tribal Lottery System. Any lottery system operated pursuant to this Appendix. All
computers and Terminals and the combination and components thereof in each system
operated by the Tribe shall conform to the provisions of this Appendix.
2.16
T
Virtual Environment. A Virtual Environment is comprised of a host computer or server
and virtualization software. Virtualization refers to the abstraction of computer resources
from the underlying hardware. A layer of virtualization software called the hypervisor is
added between the hardware and operating system on a physical server. This
AF
virtualization layer allows multiple operating system instances to run concurrently within
Virtual Machines on a single computer. It dynamically partitions and shares the available
physical resources such as CPU, storage, memory, and I/O devices among multiple
Virtual Machines.
The hypervisor enables the operating system within the Virtual Machine, called the guest
operating system, to run unmodified and to behave as if it is running on physical
hardware. Virtual devices are implemented in software and function in exactly the same
way as their physical counterparts. The guest operating system interacts with the
DR
2.17
hypervisor’s abstraction layer of virtual hardware and not the physical hardware.
Virtual Machine. A Virtual Machine is a software implementation of a computing
environment that is operated using a Virtual Environment. Virtual Machines shall operate
separately and be securely isolated from other Virtual Machines within the Virtual
Environment, thereby emulating single physical computers.
SECTION 3. TRIBAL ELECTRONIC SCRATCH TICKET LOTTERY GAME
SYSTEM
3.1 Description of System Operation.
3.1.1 The Tribal Lottery System Game known as the Electronic Scratch Ticket Game
consists of a finite number of Electronic Scratch Tickets, a certain number of
which, if drawn, entitle a Player to prize awards at various levels. The Scratch
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-4
Tickets are designed from a Template in conformity with this Appendix and are
created in Game Sets on a Manufacturing Computer from which Scratch Tickets
are randomly selected and placed into Scratch Ticket Subsets. Each Game Set has
a predetermined number of winners and values and is designed so as to assure
Players of an at least 75 percent payback of the amounts paid in the aggregate for
all tickets in the Set. As a Game Set’s tickets are placed into Subsets, the pool of
tickets available from that Game Set for placement into Subsets diminishes, until
each ticket in the Game Set has been placed into a Subset.
3.1.2 Scratch Ticket Subsets are transmitted to the Central Computer, where they are
stored until dispensed electronically on demand to Player Terminals. Scratch
Tickets are electronically dispensed from the Central Computer in the order
within each Subset in which the tickets were received. Players compete against
T
each other to draw winning tickets. As Subsets are used they are replaced by
additional Subsets which have been created and delivered to the Central
Computer in the same manner, until the Game Set has been depleted, or pulled
from play, ending that particular Game. Different Games based on different Game
3.1.3
AF
Sets may be offered simultaneously through the Central Computer.
A Player initiates participation in an Electronic Scratch Ticket Game at a Player
Terminal, using Game Play Credits purchased on the Player Terminal through the
insertion of Cash, or through the Cashless Transaction System. The monitor
displays one or more of the Electronic Scratch Ticket Games that are offered by
the system, as well as other information such as graphics, Game play and outcome
information, and entertainment effects, subject to the limitations in Sections 5.2.2
DR 3.1.4
and 5.2.3. The Player may choose a particular Game and reveal the outcome, by
touching the screen, pressing a button once, or performing some other form of
interaction with the Player Terminal.
Following or as part of the Player’s selection of a Game or Games, the Player uses
Game Play Credits displayed on the Player Terminal to purchase one or more
Electronic Scratch Tickets. The pricing of tickets is governed by the provisions of
Section 3.2.1. Wagers are deducted from the Game Play Credits displayed on the
Player Terminal.
3.1.5 Prize structure, ticket purchase and selection, and wager information is displayed
or available on the Player Terminal with respect to any Game which is being
played through that Terminal.
3.1.6 After the Player purchases an Electronic Scratch Ticket, the outcome associated
with that ticket is shown on the Player Terminal. Any prizes won are displayed on
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-5
the Player Terminal and may be in the form of Game Play Credits, the right to
receive merchandise, or other valuable property.
3.1.7 Game Play Credits earned as prizes remain displayed and available for use in
further play from that Terminal. Game Play Credits also may be electronically
transferred to (a) a Player’s account in the Cashless Transaction System, (b) a
ticket or receipt printed by the Player Terminal, or (c) a “smart” card or similar
instrument. Once transferred, Game Play Credits may be (i) used for further play
on another Terminal or (ii) redeemed for Cash or Cash Equivalents through a
cashier or other separate redemption system. Merchandise or other property won
is collected in accordance with the rules of the Game.
3.2 Game Set and Subset Requirements.
3.2.1
T
Game Set Requirements. Each Game Set Template shall meet the following
minimum requirements:
(a)
(b)
(c)
AF Each Game Set shall be made up of a finite number of Electronic Scratch
Tickets;
All Scratch Tickets in a particular Game Set Template shall be of the same
purchase price. Compact Section III.N(1) governs wagering amounts, and
such provisions are incorporated herein. A single Ticket may offer an
opportunity to enter another Game Set;
The payout percentage for the entire Game Set shall be no less than
DR 3.2.2
(d)
(e)
75 percent of the total purchase price of all tickets in the set combined;
Each Game Set shall be assigned a unique serial number; and
Each ticket shall have a specific outcome and prize level associated with
it.
Game Set Verification Process. Prior to commencement of play, the initial Game
Set shall be verified as to the total number of tickets in the Set and the number of
winners at each prize level, including the amounts of such prizes and the number
of non-winners. The verification standards which the Game Set must meet are
those set forth in Section 3.3.
3.2.3 Transmission of Subsets to Central Computer. Following verification of the Game
Set, the Manufacturing Computer shall create ordered Scratch Ticket Subsets on
demand from the Central Computer and transmit the ordered Subsets to it.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-6
3.2.4 Subset Requirements. Each Electronic Scratch Ticket Game Subset shall meet the
following minimum requirements:
(a) Within a given Game Set, each Subset shall be the same size and
comprised of no less than 5,000, and no more than 10,000 Electronic
Scratch Tickets, provided that in order to complete the distribution of all
tickets in a Game Set, the final Subset derived from the Set may have less
than the number of tickets in any other Subset and be less than 5,000;
(b) Each Subset shall be individually and uniquely identified by the Game Set
serial number and a unique serial number for each Subset assigned in the
order in which the Subsets are created; and
3.2.5
(c)
T
Once an Electronic Scratch Ticket has been dispensed to a Player
Terminal from a Subset, it cannot be dispensed again.
Completion of Game. A Scratch Ticket Game is deemed to be completed only
3.3
AF
when all of the Electronic Scratch Tickets in a Game Set have been dispensed or
the Game Set has been taken out of play. If any Game Set is withdrawn from play
before completion of the Game, the Tribe shall ensure that at least 75 percent of
the revenues received from sales of Electronic Scratch Tickets in that Game have
been, or in future Electronic Scratch Ticket Games will be, awarded to Players.
Data Required to be Available Prior to Commencement of an Electronic Scratch Ticket
Game. The following data shall be available to the TGA and the SGA prior to the
commencement of an Electronic Scratch Ticket Game and shall be maintained and be
DR
viewable both electronically and if requested, by printed report, upon demand:
3.3.1
3.3.2
3.3.3
3.3.4
A unique identifying Game Set serial number;
A description of the Game Set theme sufficient to categorize the Game Set
relative to other Game Sets;
The number of total Scratch Tickets in the Game Set;
The number of Scratch Ticket Subsets to be created from the Game Set, and the
number of tickets in each Set;
3.3.5 The payout percentage of the entire Game Set;
3.3.6 The payout table for the Game Set and the number of Scratch Tickets at each
level of the payout table;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-7
3.3.7 The purchase price per ticket assigned to the Game Set; and
3.3.8 Such further information as the SGA may reasonably require to assure the
integrity and accuracy of the foregoing information.
3.4 Data Required to be Available Following the Completion of a Scratch Ticket Game.
Following the completion of an Electronic Scratch Ticket Game (i.e., upon the sale of all
tickets in a Game Set or the withdrawal of the Set from play), the following data shall be
available to the TGA and the SGA and shall be maintained and viewable both
electronically and if requested, by printed report, upon demand:
3.4.1 The Game Set and Game Subsets serial numbers;
3.4.2
3.4.3
T
The total number of Electronic Scratch Tickets unsold, if the Game is
removed from play;
The total number of Electronic Scratch Tickets purchased;
3.4.4
3.4.5
3.4.6
3.4.7
AF The time and date that each Subset was transmitted to the Central
Computer;
The time and date that the Game was completed or removed from play;
The final payout percentage of the Game; and
Price per Ticket.
D
3.5
R
3.6
Software Auditing Tool to be Made Available. For auditing Game Sets and Subsets that
have been archived, any Tribal Lottery System shall include and have available for the
TGA and the SGA a secure software tool which provides the same data as set forth in
Sections 3.3 and 3.4, provided that such tool shall be used only during authorized audits
of Tribal Lottery System Games and operations, or in cases of Player disputes, and shall
not be used for any other purpose without the consent of the TGA and the SGA.
No Auditing of Game Sets While in Play; Player Complaint Process.
3.6.1 No Audit of Set While in Play. In order to provide maximum game integrity, no
audit or other determination of the status of any Game Set or any Subset,
including but not limited to a determination of the prizes won or prizes remaining
to be won, shall be conducted by anyone, including the TGA and the SGA
personnel, while a Subset is in play without causing termination of the entire
Game Set from which the Subset was derived as provided in Section 3.6.3.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-8
3.6.2 Player Complaint Resolution: Impact on Game Set Play. In the event of a dispute
by a Player that cannot be resolved by ordinary means by Gaming Facility
personnel as to the outcome, prize, wager made, or any other aspect of the
Player’s participation in a Game Set being played, all relevant data shall be
immediately collected, including but not limited to all meter readings, memory
records, surveillance recordings, and any other reports or information regarding
play at the Terminal for the play in dispute. Following the collection of all
relevant data, the TGA shall be notified and requested to make an evaluation of
whether or not the dispute involves the integrity of the hardware or software being
used and to try and resolve the dispute. A report of all disputes shall be
maintained by the TGA. If the dispute is not resolved within seventy-two
(72) hours from the time of the complaint, the TGA shall immediately forward a
3.6.3
T
report to the SGA detailing the nature of the dispute. In the event the dispute is
resolved, the TGA is not obligated to report to the SGA, but shall make the TGA
reports available for review.
Termination of Game Set. Protection of game integrity, even if it requires the
AF
early withdrawal of a Game Set from play, shall be the primary goal of this
Appendix. If resolution of a Player dispute requires access to data or records
stored on any part of a system other than the Player Terminal involved in the
dispute, and such access can only be accomplished through a means by which
data would be revealed that could materially assist anyone in determining the
likelihood of a particular ticket being drawn, other than information available to
all Patrons, the Game Set shall be terminated prior to accessing such data or
records.
D
3.7
R
Manufacturing Computer.
3.7.1 Security from Alteration, Tampering, or Unauthorized Access. The
Manufacturing Computer shall provide a physical and electronic means, by use of
a password or other method approved by the TGA and the SGA, for securing the
Game Set against alteration, tampering, or unauthorized access. The
Manufacturing Computer shall provide a means for terminating the Game Set if
unopened ticket information from an operating Game Set or Subset has been
accessed except as permitted in this Appendix. The Gaming Test Laboratory shall
certify that such security system, and a means for monitoring its use in accordance
with this Appendix, is included in the system before it may be authorized for use.
Security systems and monitoring may be required for any component that has
electronic access to this system that may violate the integrity and security of the
Manufacturing Computer.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-9
3.7.2 Primary Purpose; Separation. The Manufacturing Computer shall be dedicated
primarily to those Tribal Electronic Scratch Ticket Gaming system functions
related to the creation of Scratch Ticket Game Sets and the creation,
randomization, and transmittal to the Central Computer of Scratch Ticket Subsets.
Notwithstanding the foregoing, the Manufacturing Computer may also be used for
other computer functions in the Tribal Lottery System or Electronic Accounting
System if such use will not affect the integrity or outcome of any Game.
3.7.3 Storage Medium; Backup. The Manufacturing Computer shall have a medium for
securely storing Electronic Scratch Ticket Game Sets and Subsets on the
Manufacturing Computer which shall be mirrored on-line by a backup medium
within the same cabinet or enclosure. In addition, duplicates of the Sets and
Subsets, as created and stored on the Manufacturing Computer, shall be stored in
T
a secure enclosure in the Gaming Facility separate from the Manufacturing
Computer. All storage shall be through an error checking, nonvolatile physical
medium, so that should the primary storage medium fail, there will be no critical
data loss.
3.8
3.7.4
AF
Randomization. The Manufacturing Computer shall utilize randomizing
procedures in the creation of the Subsets. The randomizing procedures shall be in
accordance with Section 6 of this Appendix.
Central Computer Used in Connection with Electronic Scratch Ticket Game. The
following requirements apply to any Central Computer used in connection with an
Electronic Scratch Ticket Game.
DR
3.8.1
3.8.2
Dispensing of Tickets. The Central Computer shall dispense, upon request from a
Player Terminal, Electronic Scratch Tickets.
Order of Scratch Tickets. The Central Computer shall maintain Electronic Scratch
Ticket Subsets in the order received from the Manufacturing Computer, and
transmit them in that order to Player Terminals on demand, provided that not less
than two and no more than five Subsets per Game Set shall be dispensed in
accordance with a predetermined order for rotating the Subsets. Subsets from
more than one Game Set may be stored on the Central Computer and made
available for play at the same time.
3.8.3 Storage Medium; Backup. The Central Computer shall have a medium for storing
Electronic Scratch Ticket Game Subsets and reflecting their current status of play,
which shall be mirrored on-line by a backup medium within the same cabinet or
enclosure. All storage shall be through an error checking, nonvolatile physical
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-10
medium, so that should the primary storage medium fail, there will be no critical
data loss.
3.8.4 No Randomization Capability. The Central Computer shall have no
randomization capability associated with its use in an Electronic Scratch Ticket
Game.
3.9 Player Terminals Used in Electronic Scratch Ticket Games. Player Terminals used in
connection with Electronic Scratch Ticket Games shall conform to the requirements of
Section 5.
3.10 Data Available for Inspection. The following data is required to be available for
inspection in compliance with Section 7.1.9 for any Player Terminal or Game Set:
T
3.10.1 All Game Set serial numbers, indicating the date and time the Game Set was put
in play, pulled from play, or completed.
3.10.2 By Game Set serial numbers, the Player Terminal numbers assigned and the dates
SECTION 4.
4.1
AF
and times of assignment to the Player Terminals.
TRIBAL ON-LINE LOTTERY GAME SYSTEM
Description of System Operation. Tribal On-line Lottery Games shall be played in
accordance with the following provisions:
4.1.1 A Player initiates participation in On-line Lottery Games at a Player Terminal,
using Game Play Credits through the insertion of Cash or from the Cashless
DR 4.1.2
Transaction System which are displayed on the Terminal video monitor. Play may
also be initiated through a Player Terminal dedicated to On-line Lottery Games,
or a clerk-operated Player Terminal. References herein to Player activity and
interaction with a Player Terminal in connection with an On-line Lottery Game
shall also mean activity and interaction by a clerk on behalf of a Player.
The Player Terminal video monitor displays one or more of the On-line Lottery
games that are offered by the system, as well as other information such as
graphics, game play, and outcome information, and entertainment effects, subject
to the limitation in Sections 5.2.2 and 5.2.3. The Player chooses a particular game
by touching the screen, pressing a button, or performing some other form of
interaction with the Player Terminal.
4.1.3 Following or as part of the Player’s choice of a game or games, the Player selects
numbers, symbols or other data to be matched in the Game by pressing buttons or
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-11
touching the video screen. The Player may also make such selections through the
“quick pick” method. The Player then uses Game Play Credits displayed on the
Terminal monitor to purchase one or more On-line Lottery Game Tickets
representing such selections, for drawings to be held in the future.
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. Compact
Section III.N(2) governs wagering amounts, and such provisions are incorporated
herein. Wagers are deducted from the Game Play Credits displayed on the Player
Terminal.
4.1.5 The Player’s wager and selected numbers, symbols, or other data to be matched in
the game, along with information identifying the drawing(s) to which they apply,
T
are provided to the Player in some tangible means, such as by electronic encoding
or printing on a paper, card, or other medium. In addition, the numbers, symbols,
or other data selected may be displayed on the Player Terminal.
4.1.6
4.1.7
AF
The Player is then entered into one or more future On-line Lottery Games, which
are conducted through drawings held on the Central Computer.
All drawings for any game are conducted within a period of five (5) minutes or
less, and all drawings for all games offered are held within that period. Drawings
are held on a regularly scheduled basis and regardless of whether any Player is
enrolled in a particular On-line Lottery Game. Games take place no more
frequently than thirty (30) minutes apart, determined by when the first drawing in
a game occurs. No more than five different On-line Lottery Games are offered at
DR 4.1.8
a time, unless the State increases the number of On-line Lottery Games it is now
playing, thereby entitling the Tribe to increase the number of games it offers in
accordance with the rules for doing so.
A Player Terminal may display a Player’s entry into an On-line Lottery Game and
the commencement of that game. The form of displaying information may be
entertaining and at the discretion of the Tribe, except as limited in Sections 5.2.2
and 5.2.3. For example, the Terminal may alert the Player through means of a
count-down that the drawing in which the Player is entered is about to occur.
Information regarding prizes that may be awarded for each game are made
available to the Player prior to commencement of the game.
4.1.9 Following each drawing, the results are displayed and made available in
accordance with the rules set forth in Section 4.4. Players win if their selections
match a required number of drawn numbers or symbols, in accordance with the
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-12
predetermined and published rules for that particular game. Results and prizes are
verified in accordance with the rules set forth in Section 4.4, and are paid in Game
Play Credits except where, due to the size of the prize, the rules specify some
other method of payment. Prizes may also be awarded in the form of merchandise
or other valuable property.
4.1.10 Game Play Credits earned as prizes remain displayed and available for use in
further play from that Terminal. Game Play Credits also may be electronically
transferred through the Cashless Transaction System, such as to (a) a Player’s
account in the Cashless Transaction System, (b) a ticket or receipt printed by the
Player Terminal, or (c) a “smart” card or similar instrument. Once transferred,
Game Play Credits may be (i) used for further play on another Terminal or
(ii) redeemed for Cash or Cash Equivalents through a cashier or other separate
4.2
T
redemption system. Merchandise or other property won is collected in accordance
with the rules of the game.
Central Computer Used for On-line Lottery Game. The following requirements apply to
AF
any Central Computer used in connection with an On-line Lottery Game.
4.2.1
4.2.2
Introduction. A Central Computer may, in addition to being available for use in
connection with Electronic Scratch Ticket Games, be utilized in the On-line
Lottery Game. The rules in Section 4.2 govern that activity.
Randomization Capability. The Central Computer shall have randomization
capability associated with its use in an On-line Lottery Game only. All drawings
shall be on a random basis, using the randomization requirements set forth in
DR 4.2.3
Section 6.
Independent Drawings; Schedule of Drawings. Drawings on the Central
Computer shall occur independently of any Player Terminal activity and
regardless of whether or not Players are enrolled in a game. On-line Lottery Game
drawings shall be held on a regularly scheduled basis in intervals of no less than
thirty (30) minutes. Once a drawing period begins, all drawings during that period
must be drawn within five (5) minutes. Each drawing shall have its own
identifying serial number.
4.2.4 Limit on Number of On-line Lottery Games. The Tribe may have no more than
five On-line Lottery Games in play at one time. Such games may be offered on
more than one system within the facility. The number of games offered may be
increased if, and by the same number, the State Lottery increases the number of
On-line Lottery Games it offers.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-13
4.3 Player Terminals Used for On-line Games. Player Terminals used in connection with On-
line Lottery Games shall conform to the requirements of Section 5. The following
provisions shall also be applicable:
4.3.1 A Player Terminal may, in addition to being available for use in connection with
Electronic Scratch Ticket Games, be used to play On-line Lottery Games. The
On-line Lottery Game may also be played from a Player Terminal dedicated to
selling On-line lottery tickets or by a clerk operating a Player Terminal for such
purposes. References to Player Terminals herein shall include such dedicated and
clerk-operated Terminals.
4.3.2 The Player Terminal shall enable a Player to select numbers, symbols, or other
data, through touching the screen or pressing one or more buttons on the
T
Terminal. The Player may also ask for a “quick pick” selection via the use of a
random number generator located in the Player Terminal and used solely for the
On-line Lottery Games, provided that such random number generator shall meet
the criteria set forth in Section 6.
4.4
4.3.3
AF
The Player’s wager and selected numbers, symbols, or other data, along with
information identifying the drawing(s) to which they apply, shall be provided to
the Player through the Player Terminal in some tangible means using electronic
encoding or printing on paper, card, or other medium. Such information may also
be displayed on the screen for review by the Player.
Verification and Viewing Requirements for On-line Game Results. The results of each
On-line drawing on a Central Computer shall be available for display on a Player
DR
4.5
Terminal on demand by Players enrolled in such games, and may be made available on
one or more scoreboards, video screens, or other electronic display devices sufficiently
visible to enable Players and other observers, including those not at Player Terminals, to
view the outcome of the game. Printed result reports shall be made available in
accordance with Section 4.5.
On-line Lottery Game Records. The following records with respect to each On-line
Lottery Game shall be maintained and be viewable both electronically and, if requested,
by printed report, upon demand: The outcome of each drawing including all numbers
drawn, the sequence of drawing, prizes available, prizes won (whether or not redeemed),
and related information. Such reports shall be made available in the casino for Player
reference for up to thirty (30) days following the close of any drawing period.
4.6 Redemption Period. Prizes may be redeemed by Players for a period of no less than forty-
eight (48) hours following the drawing in any On-line Lottery Game.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-14
4.7 Other Game Rules. The specific rules and prize structures for each On-line Lottery Game
may vary and shall be made available to Players prior to making any wagers on that
game. The rules shall indicate when, in relation to the commencement of the first drawing
in a game, no further wagers on that game may be made. 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 may not exceed the amounts set forth in
Section 4.1.4.
4.8 Prizes; Jackpots. Every On-line Lottery Game must have at least one “jackpot” level
prize paid, when won, from a lottery prize pool into which a percentage of each Player’s
wagers, as set forth in the rules for that game, is placed and in which the Tribe shall have
no interest. The prize pool may be seeded from time to time by promotional payments or
interest-free loans from the Tribe. Jackpot prizes not won in a particular game shall be
T
rolled forward into a future game in accordance with rules for disposing of such prizes.
Rollover funds may replace the need for seeding a pool if the amount of such rollover
funds exceeds the minimum prize available under the rules of that game. The Player pool
fund may not be used for any purpose other than payment of the jackpot prize.
SECTION 5.
AF
PLAYER TERMINALS
All Player Terminals shall conform at a minimum to the requirements of this Section 5.
5.1 Use as a Stand-Alone Gambling Device Prohibited. No Player Terminal shall be capable
of being used as a stand-alone unit for the purposes of engaging in any Gambling game,
including but not limited to the lottery games described in the Compact, or in any other
way prohibited in this Appendix.
D
5.2
R
Features. Player Terminals shall include the following features:
5.2.1 Operation either through the Cashless Transaction System, or through means for
accepting Cash (coins, tokens, or paper currency) for conversion into Game Play
Credits, which can then activate participation in the Game, provided the insertion
of Cash will not alone activate the game and such use of Cash is in accordance
with Section 5.15;
5.2.2 One or more of the following: A video monitor, electro-mechanical display,
printer, graphics, and signage, provided that slot machine-type spinning reel
mechanisms are prohibited in mechanical form; and
5.2.3 One or more of the following: electronic buttons, touch screen capability, and a
mechanical, electro-mechanical or electronic means of activating the Game and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-15
providing Player input, including a means for making Player selections and
choices in Games, provided that slot machine-type handles are prohibited.
5.3 Non-Volatile Backup Memory Required. A non-volatile backup memory or its equivalent
shall be maintained in a secure compartment on each Player Terminal for the purpose of
storing and preserving a redundant set of critical data which has been error checked in
accordance with this Appendix, and which data shall include, at a minimum, the
following Player Terminal information:
5.3.1 Electronic Meters required by this Appendix;
5.3.2 Recall of all wagers and other information associated with the last ten Electronic
Scratch Ticket plays and the last ten On-line Lottery Games played;
5.3.3
5.3.4
T
Error conditions that may have occurred on the Player Terminal; and
Recall of the last 20 Cash or Cash Equivalent deposits, with metering in the Game
of all funds deposited.
5.4
5.5
AF
On/Off Switch. An on/off switch that controls the electrical current that supplies power to
the Player Terminal must be located in a secure place that is readily accessible within the
interior of the Player Terminal.
Static Discharge/Interference. The operation of each Player Terminal must not be
adversely compromised or affected by static discharge, liquid spills, or electromagnetic
interference.
D
5.6
R
Accounting Meters. A Player Terminal must have electronic accounting meters which
have tally totals to a minimum of eight digits and be capable of rolling over when the
maximum value of at least 99,999,999 is reached. The Player Terminal must provide a
means for on-demand display of the electronic meters via a key switch or other secure
method on the exterior of the machine. Electronic meters on each Player Terminal for
each of the following data categories for Electronic Scratch Ticket Games and On-line
Lottery Games are required in compliance with Section 7.1.9:
5.6.1 Credits, or equivalent monetary units, wagered on a cumulative basis on that
Terminal;
5.6.2 Credits, or equivalent monetary units, won for the Player Terminal;
5.6.3 For Scratch Ticket Games, the number of Scratch Tickets purchased on the
Terminal; and
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-16
5.6.4 For On-line Lottery Games, the number of On-line Lottery wagers made on that
Terminal.
5.7 No Automatic Clearing of Accounting Meters; Reading and Resetting Meters. Under no
circumstances shall the Player Terminal electronic accounting meters be capable of being
automatically reset or cleared, whether due to an error in any aspect of its or a game’s
operation or otherwise. All meter readings must be recorded and dated in the presence of
a Tribal Gaming Agent both before and after an electronic accounting meter is cleared.
5.8 Display of Information. At a minimum, each Player Terminal shall have the following
Game information available for display on the video screen and/or displayed on the
Player Terminal itself, in a location conspicuous to the Player:
5.8.1
5.8.2
The rules of the Game being played;
T
The maximum and minimum wagers and the amount of credits, Cash Equivalents,
or additional game play opportunities, which may be won for each Electronic
5.9
5.8.3
5.8.4
5.8.5
AF
Scratch Ticket and On-line Lottery Game offered through that Terminal,
including the current values of any Progressive Prizes available;
The Player’s credit balance;
The outcome of the Electronic Scratch Ticket(s) then being played; and
Any prize won on the Electronic Scratch Ticket(s) then being played.
Protection of Displayed Information. The video screen or other means for displaying
DR
5.10
game rules, outcomes, and other game information shall be kept under a glass or other
transparent substance which places a barrier between the Player and the actual surface of
the display. At no time may stickers or other removable media be placed on the Player
Terminal’s face for purposes of displaying rules or payouts.
Hardware Switches Prohibited. No hardware switches may be installed on a Player
Terminal or any associated equipment which may affect the outcome or pay out of any
Game for which the Player Terminal is used. Switches may be installed to control the
ergonomics of the Player Terminal.
5.11 Networking Requirements. The use of firewalls and other system protections as approved
by the TGA and the SGA are required to protect the integrity of the Tribal Lottery
System and player accounts and:
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-17
5.11.1 Where the Tribe’s Tribal Lottery System or components are linked with one
another in a local network for progressive jackpot, function sharing, aggregate
prizes, or other purposes, communication protocols must be used which ensure
that erroneous data or signals will not adversely affect the operations of any such
system or components. No Class III Game or Gaming system in which any part or
component is located outside the Tribe’s Gaming Facilities shall be deemed
approved as part of the approval of this Appendix. Any proposal for such game or
gaming system, including the proposed rules, manner of regulation, and manner
of play, monitoring, and/or maintenance of the system, shall require submission
to, and approval by, the TGA and the SGA.
5.11.2 Dedicated and protected network connections prohibiting unauthorized access,
approved by the TGA and the SGA, may allow two or more of the Tribe’s Tribal
T
Lottery Systems to share Player information. Game tickets and other information
prohibited from being viewed, as outlined in other Sections of this Appendix,
shall not be available or transmitted between the Tribe’s connected Tribal Lottery
Systems or Gaming Facilities. Communications between the Tribe’s Gaming
5.12
AF
Facilities will require the use of approved firewalls that are configured and
operated to protect the Tribal Lottery System and Player information. Computer
systems linked between the Tribe’s Gaming Facilities may not be used to link
progressive jackpots.
Prohibited Software Functions. Player Terminals shall not have software or hardware that
determines the outcome of any Electronic Scratch Ticket Game. Nothing herein is
intended to prohibit the Player Terminal from creating the appropriate Scratch Ticket and
DR
On-line Game graphics and animation to correspond to, display or represent, in an
entertaining manner, the outcome. In addition, Player Terminals shall not have any
software that:
5.12.1 Determines which Scratch Ticket outcome from within the Scratch Ticket Subset
is transmitted to the Player Terminal; or
5.12.2 Alters the amount of the payout of the Electronic Scratch Ticket as received from
the Central Computer.
5.13 Quick-Pick Function. Nothing herein shall prohibit the use of a quick pick function on
the Player Terminal in conjunction with the playing of the On-line Lottery Game.
5.14 Wagers; Displaying Electronic Scratch Ticket Outcomes. Players shall make wagers
using a Player Terminal to purchase Electronic Scratch Tickets. Following a purchase,
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-18
the Electronic Scratch Ticket shall be displayed on the Terminal’s video screen for the
purpose of revealing the outcome of the selected ticket.
5.15 Cash Standards. When Cash is used, the following procedures shall be performed by
accounting/auditing employees who are independent of the transactions being reviewed:
5.15.1 For each Drop period, accounting/auditing employees shall compare the report
information required in Section 7.1.10 to the total Cash acceptor Drop amount for
the period. Discrepancies shall be resolved before the generation/distribution of
any statistical reports.
5.15.2 The TGA will be notified and follow-up shall be performed for any one machine
having an unresolved variance between actual Cash Drop and the report
T
information required in Section 7.1.10 in excess of an amount that is both more
than twenty-five dollars ($25) and at least three percent of the actual Cash Drop.
The follow-up performed and results of the investigation shall be documented and
maintained for inspection.
AF
5.15.3 At least annually, accounting/auditing employees and Tribal Gaming Agents shall
randomly verify that EPROM or other equivalent Game software media changes
are properly reflected in the analysis reports.
5.15.4 Accounting/auditing employees shall review exception reports on a daily basis for
propriety of transactions and unusual occurrences. The TGA will be notified in
writing of any unexplained or suspicious transactions or unusual occurrences.
DR
5.16
5.15.5 All auditing procedures and any follow-up performed shall be documented and
maintained for inspection.
5.15.6 Cash shall be removed from the Player Terminal in accordance with Appendix A
for secure and verifiable handling of Cash receipts from electronic games.
Door Access Logging. The Player Terminal shall record the date and time of any opening
of cabinet door(s); provided, that this information need not be retained on the Player
Terminal if it is communicated to another component of the system. This information
shall be retrievable in report form.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-19
SECTION 6. STANDARDS FOR RANDOM NUMBER GENERATORS USED
WITHIN THE TRIBAL LOTTERY SYSTEM
Any random number generation used in connection with the Tribal Lottery System must be by
use of a microprocessor and random number generation program that meets the following
random selection tests:
6.1 Chi-Square Analysis. Each card, symbol, number, or stop position which is wholly or
partially determinative of the outcome of the game satisfies the 99 percent confidence
limit using the standard chi-square analysis.
6.2 Runs Test. Each card, symbol, number, or stop position does not as a significant statistic
produce predictable patterns of game elements or occurrences. Each card symbol,
6.3
T
number, or stop position will be considered random if it meets the 99 percent confidence
level with regard to the “runs test” or any generally accepted pattern testing statistic.
Correlation Analysis. Each card, symbol, number, or stop position is independently
6.4 AF
chosen without regard to any other card, symbol, number, or stop position drawn within
that game play. Each card, symbol, number, or stop position is considered random if it
meets the 99 percent confidence level using standard correlation analysis.
Serial Correlation Analysis. Each card, symbol, number, or stop position is independently
chosen without reference to the same card, number, or stop position in the previous game.
Each card, number, or stop position is considered random if it meets the 99 percent
confidence level using standard serial correlation analysis.
D
SECTION 7. ELECTRONIC ACCOUNTING SYSTEM
One or more Electronic Accounting Systems shall be required to perform reporting and other
R
functions in support of the Tribal Lottery Game activities described in this Appendix. These
systems may communicate with the other computers described in this document utilizing the
protocol standards set forth in Section 9.3. The Electronic Accounting System shall not interfere
with the outcome of any Gaming functions.
7.1 Revenue Reporting Requirements. The following reporting capabilities must be provided
by the Electronic Accounting System:
7.1.1 Player Terminal Revenue Report. A revenue report for each Player Terminal must
be made and maintained on a confidential and secure basis which, at a minimum
on a daily and monthly basis, provides:
(a) The total aggregate amount won per Player Terminal;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-20
(b) The aggregate amount wagered per Player Terminal; and
(c) The amount of Cash deposited into each Player Terminal.
7.1.2 Closed Game Set Reports. Immediately after a Game Set is completed or pulled
from play, a report will provide the Game Set ending information described in
Section 3.4.
7.1.3 In Play Game Set Reports. One or more reports will be available for Game Sets
still in play, containing the information described in Sections 3.3.1 through 3.3.7.
7.1.4 On-line Lottery Game Reports. An On-line Lottery Game report must be made
and maintained on a confidential and secure basis which, at a minimum of a daily
T
and monthly basis, provides as to each On-line Lottery Game, the following
information:
(a) Total sales;
7.1.5
(b)
(c)
(d) AF Total won per prize level;
Total won per Player Terminal; and
Activity per jackpot prize, for the accounting period and to-date, per
Section 7.1.5.
Progressive Jackpot Report. A progressive jackpot report must be made for the
accounting period and to-date which provides:
DR
(a)
(b)
(c)
(d)
(e)
Amount seeded;
Amount in reserve fund;
Current jackpot;
Contribution total;
Total paid in prizes;
(f) Itemized jackpot awards; and
(g) Amount, time of award, and the Player Terminal on which the progressive
jackpot prize was won.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-21
7.1.6 Larger Prize Report. A report will be required for all prizes that exceed the
threshold that triggers additional procedures to be followed for the purposes of
compliance with federal tax reporting requirements. At a minimum, on a daily and
monthly basis, the report shall provide the following information per Player
Terminal:
(a) The date and time won; and
(b) Amount of all prizes.
7.1.7 Liability Reports. Liability reports will be required, at a minimum, on a daily and
monthly basis . They should provide a summary of the outstanding funds which
carry from business day to business day. At a minimum, they must include:
(a)
(b)
T
Amount of prizes which were awarded, but have not yet been claimed;
Detail of prizes for which redemption period expired during this reporting
period;
7.1.8
(c)
(d)
(e)
AF Unredeemed Game Play Credits;
Expired Game Play Credits; and
Daily and cumulative contributions to Progressive Prize pools which have
not yet been awarded.
Master Reconciliation Report. A master reconciliation report must be made
DR
available, at a minimum, on a daily and monthly basis. This report may be
provided as one single report, or as two or more individual reports. This report
provides a summary of all daily sources of funds and disposition of funds,
including the following:
(a)
(b)
Funds collected from cashiers, Player Terminals, and Kiosks;
Funds carried forward from prior business day, including liability from
prizes awarded, but not paid out, prize pool balances, and reserve funds,
etc.;
(c) Payments to Players;
(d) Funds available to operator; and
(e) Tickets and prizes dispensed and played to reconcile with amount won.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-22
7.1.9 Data Retention Requirements. Data necessary to audit compliance with the
standards set forth in this Appendix shall be maintained for a minimum of two (2)
years, and in connection with determining randomness, where applicable, for a
minimum of six (6) months. To the extent not inconsistent with the foregoing,
data shall be retained and backed up by the Electronic Accounting System
according to the following minimum requirements:
(a) Accounting records;
(b) Per Player Terminal, Cashier Terminal, or other points of Cash
exchange-daily records and meters: on-line for six (6) months;
(c) Daily records and meters: off-line for twelve (12) months;
(d)
(e)
T
Game Set Records, as to each Player Terminal and by Game Set;
The amount wagered and the amount won, daily by prize level, on-line:
six (6) months;
(f)
(g)
(h)
(i)
AF The amount wagered and the amount won, daily by prize level, off-line:
six (6) months;
On-line prize redemptions: thirty (30) days;
Dated Cash vouchers: thirty (30) days;
Cash vouchers cancelled by Player Terminal: seven (7) days;
DR
(j)
(k)
(l)
Cash vouchers redeemed by cashiers or redeemed at Kiosks: thirty
(30) days;
Log files that track password access to sensitive components: on-line for
ninety (90) days, off-line for twelve (12) months; and
Log files that track system events or errors: ninety (90) days.
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.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-23
SECTION 8. CASHLESS TRANSACTION SYSTEM SECURITY, REPORTING
AND STORAGE REQUIREMENTS
8.1 Player Information. The following requirements shall be met in connection with any
Cashless Transaction System:
8.1.1 All Player information must be stored on at least two separate non-volatile media;
8.1.2 An audit file must be kept of all Player financial transactions. This file must be
stored in at least two separate non-volatile media, and be accessible for purposes
of audit and dispute resolution to authorized individuals; this file must be
available on-line for a minimum of thirty (30) days, after which it must be
available off-line for a minimum of one hundred eighty (180) days;
8.1.3
8.1.4
T
Physical and operational controls must be used to protect Player information from
tampering or unauthorized access;
Passwords or personal identification numbers (PINs), if used, must be protected
8.1.5
8.1.6
8.1.7
AF
from unauthorized access;
All means for communicating information within the system shall conform to the
protocol standards set forth in Section 9.3;
All Player information shall be accurately recorded and such recording protected
by the system;
Any card or other tangible instrument issued to a Player for the purpose of using
DR 8.1.8
the Cashless Transaction System shall bear on its face a control or inventory
number unique to that instrument;
Encoded bearer instruments printed or magnetic may include coupons and other
items distributed or sold for game play, promotional, advertising, or other
purposes, but may not include Cash. Such instruments must be in electronically
readable form in addition to having unique identification information printed on
the instrument face. The daily and monthly reporting must include with respect to
such instruments:
(a) Cash converted to value in the Cashless Transaction System;
(b) Outstanding unredeemed balance;
(c) Value in the Cashless Transaction System converted to Cash;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-24
(d) Amount wagered; and
(e) Amount won.
8.1.9 Redemption periods, if any, shall be posted or otherwise disclosed to all Patrons.
8.1.10 Vouchers must bear on the face, in addition to the unique serial number, the
following:
(a) Time/Date printed;
(b) Unique identification from which it was printed; and
(c) Value of voucher.
8.2
T
Smart Cards. Any “smart card” (i.e., a card generally made of plastic with a computer
chip imbedded in it) system which the Tribe intends to implement as part of the Cashless
Transaction System shall be tested by the Gaming Test Laboratory to ensure the integrity
AF
of Player funds, following the standards applicable to Player information set forth in
Section 8.1. Any smart card must store on the card or on the system using the card an
audit trail of the last ten transactions involving the use of the card. Each transaction
record must include, at a minimum, the type of transaction, the amount of the transaction,
the date of the transaction, the time of the transaction, and the identification of the Player
Terminal or cashier terminal or other points of Cash exchange where the transaction
occurred. The minimum daily and monthly reporting for smart card activity must include:
8.2.1 Total of Cash transferred to smart cards;
DR
8.3
8.2.2
8.2.3
8.2.4
8.2.5
Total of smart card amounts transferred to Cash;
Total of smart card amounts transferred to Game Play Credits;
Total of Game Play Credits transferred to smart card amounts; and
Total unredeemed smart card balance.
Other Functions. Systems shall be permissible that allow Player tracking, maintenance
tracking, and other Gaming management or marketing functions. These systems shall not
interfere with, or in any way affect, the outcome of any tribal lottery game or the cashless
accounting system. Systems shall be permissible that allow Progressive Prize
management with the certification of the Gaming Test Laboratory and approval of the
SGA.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-25
8.4 Kiosks. Kiosks shall have reports that properly document all transactions, as well as
dedicated video surveillance, to protect the integrity of the cashless system used. Cash
boxes shall be designed so their contents are protected from unauthorized access, in
accordance with sections below:
8.4.1 Currency Exchange Terminal (CET). Cash boxes shall be designed so their
contents are protected from unauthorized access, in accordance with Appendix A
for the purpose of audit and security.
8.4.2 Ticket Redemption Kiosk (TRK) and Cashier Point of Sale. Cash boxes,
Cassettes, and Cash drawers shall be designed so their contents are protected from
unauthorized access, in accordance with Appendix A and shall be uniquely
labeled for the purpose of audit and security.
SECTION 9. GENERAL SECURITY REQUIREMENTS
T
The following requirements apply to all components of the Tribal Lottery System, including the
AF
Manufacturing Computer, the Central Computer, the Electronic Accounting System, and Player
Terminals.
9.1 Separation. The Manufacturing Computer, Central Computer, and Player Terminals in
each Tribal Lottery System shall be physically and operationally independent from one
another except as specified otherwise in this Appendix, such as for communications,
storage, and security monitoring, including the routing of communications among system
components, provided such routing does not affect the integrity of the communications or
the outcome of any game. All Tribal Lottery System cables shall be secured against
DR
unauthorized access.
9.1.1 An operationally independent Manufacturing Computer Virtual Machine and an
operationally independent Central Computer Virtual Machine are considered
separate. Operationally independent Virtual Machines may be located on the same
physical hardware without physical separation of the Virtual Machines. These
Manufacturing Computer and Central Computer Virtual Machines shall not reside
inside a Player Terminal. Virtual Machines only apply to the Manufacturing
Computer and Central Computer. All Virtual Machines and physical
combinations shall be clearly diagrammed and approved by the State as defined in
Section 10.
9.2 Security. The Manufacturing Computer and Central Computer must be in a locked,
secure enclosure with both camera coverage and Key controls in place. Routers, switches,
hubs, or other network access points, to include management terminals and terminals not
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-26
separated from the Tribal Lottery System by firewalls approved by the TGA and the
SGA, must also be in a locked, secure enclosure with both camera coverage and Key
controls in place. Access to Manufacturing Computers and Central Computers shall be
logged by the system to include the date and time of access and available to the TGA and
the SGA upon request.
9.3 Secure Connections; DES or Equivalent Data Encryption. Connections between all
components of the Tribal Lottery System shall only be through the use of secure
communication protocols which are designed to prevent unauthorized access or
tampering, employing Data Encryption Standards (DES) or equivalent encryption with
changeable seeds or algorithms.
9.4 Surge Protection; Uninterrupted Power System (UPS). Each component of the Tribal
T
Lottery System shall at all times be connected to a device which provides surge
protection on any line that feeds it and, with the exception of Player Terminals, shall be
connected to a temporary power source, such as an Uninterrupted Power System (UPS),
to provide means for an orderly shutdown of the computer in the event of a main power
9.5
9.6
AF
system failure.
Identification Plates. A non-removable plate shall be affixed to the exterior of each Player
Terminal which shall have written upon it the Terminal’s serial number and model
number of the component and name of the manufacturer. Other audit numbers may be
required to be affixed to provide a means of identifying individual Player Terminals for
correlation to required reports.
Locked Areas. The Manufacturing and Central Computers shall at a minimum, be
DR
9.7
enclosed in a locked and monitored cabinet. Access shall be through the use of access
controls provided in Section 9.7. The Player Terminal shall have, at a minimum, the
following separately locked areas, which shall be the only means of accessing any non-
public part of the Terminal: (a) a locked and monitored cabinet door; (b) a locked
compartment for removable media; (c) a locked outer Cash box door; and (d) a locked
Drop Cash box door. In addition, the Player Terminal shall have an enclosed
microprocessor compartment.
Access Control Standards. Keys which provide access to any locked compartment,
component or area of a Tribal Lottery System, as well as passwords, keycards, or PIN
numbers used to access the Tribal Lottery System, shall be maintained and used in
accordance with the access control standards enacted in the Tribe’s statement of
minimum Internal Controls.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-27
9.7.1 Each Individual accessing the Tribal Lottery System software except for Player
Terminals and unattended Kiosks by means of a password, keycard, or PIN,
including vendor representatives, must have a user name or user number unique to
that individual, and the Tribal Lottery System must log the date and time of
access. These access logs must be readily available for audit by the TGA and the
SGA.
9.8 MEAL Cards. For all entries into the locked areas of the Manufacturing Computer,
Central Computer, unattended Kiosks, or any Player Terminal, a written record must be
made on a machine entry authorization log (MEAL) indicating at least the following: the
time, date, and purpose of entering said locked area(s), and the name and employee
number (or other personal identification specific to such person) of the person doing so.
9.9
T
Access Control. In addition to maintenance of MEAL cards, the Manufacturing
Computer, Central Computer, and Virtual Environment as described in Sections 2.16
and 2.17 shall record and generate a report on any access including date, time of access,
and person (by employee number or other personal identification specific to such person)
9.10
9.11
AF
accessing the computer.
Cameras. For purposes of this section, all components of the Tribal Lottery System,
except wiring, cables, and conduit in which they are located, shall have the ability to be
effectively and clandestinely monitored and recorded by means of a Closed Surveillance
System in accordance with Appendix A and as authorized by the TGA and the SGA, in
compliance with the requirements of the Compact.
Verification Data and Functions. In addition to its functions in operating a connection
DR
with the Electronic Scratch Ticket and On-line Lottery Games, the Central Computer
may be used to record the data used to verify game play and to configure and perform
security checks on Player Terminals, provided such functions do not affect the security,
integrity or outcome of such Games.
SECTION 10.
10.1
TESTING OF TRIBAL LOTTERY SYSTEMS TO ENSURE
INTEGRITY
Designation of Independent Gaming Test Laboratory. The Tribe shall select one or more
Gaming test laboratories (hereinafter, “Gaming Test Laboratory”) to perform the testing
required in this Appendix. Any Gaming Test Laboratory selected shall have demonstrated
it is competent and qualified to conduct scientific tests and evaluations of electronic
Gaming systems and to otherwise perform the functions set forth in the Compact and
shall be licensed by the SGA. The SGA shall maintain a list of approved Gaming Test
Laboratories. The Tribe may request additional laboratories be placed on the SGA’s list
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-28
of Gaming Test Laboratories which request shall not be reasonably withheld. Any
laboratory that is currently licensed and approved by any state, province or country to test
or evaluate electronic Gaming devices or systems shall be placed on the list if after
review by the SGA it is found to be so qualified and otherwise meets the background and
licensing requirements applicable to such laboratories under Washington State Law. For
any testing required under this Appendix, the Tribe shall choose a laboratory from those
Gaming Test Laboratories on said SGA list. If, at any time, any of the Gaming Test
Laboratory’s licenses from any jurisdiction are suspended, terminated or subject to
disciplinary actions, the Gaming Test Laboratories may be removed from the SGA’s list.
If removed from the SGA list, the Tribe shall choose a new Gaming Test Laboratory as
provided herein.
10.2 Testing and Certification of Tribal Lottery Systems. No Tribal Lottery System or
T
component thereof may be offered for play unless:
10.2.1 Such Tribal Lottery System is approved by the SGA as provided in Section 10.3;
AF
10.2.2 The Tribal Lottery System, or component prototype thereof, has been tested and
certified by the Gaming Test Laboratory as meeting the requirements specified by
this Appendix;
10.2.3 If not already provided to the Gaming Test Laboratory, the Tribe shall provide, or
require that the manufacturer provide, to the Gaming Test Laboratory and the
SGA two copies of Tribal Lottery System illustrations, schematics, block
diagrams, circuit analyses, technical and operation manuals, program object and
source codes, hexadecimal dumps (the compiled computer program represented in
DR
base 16 format), and any other information requested by the Gaming Test
Laboratory or the SGA;
10.2.4 If requested by the Gaming Test Laboratory or the SGA, the Tribe shall require
the manufacturer to transport working models of the Tribal Lottery System to a
location designated by the Gaming Test Laboratory or the SGA for testing,
examination, or analysis. Neither the State nor the Gaming Test Laboratory shall
be liable for any costs associated with the transportation, testing, examination, or
analysis, including any damage to the components of the Tribal Lottery System. If
requested by the Gaming Test Laboratory or the SGA, the Tribe shall require the
manufacturer to provide specialized equipment or the services of an independent
technical expert to assist with the testing, examination, and analysis. For purpose
of continued monitoring, the SGA may retain working models of any Tribal
Lottery System or component after approval for as long as the equipment is in
play in the state of Washington.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-29
10.2.5 At the conclusion of each test, the Gaming Test Laboratory shall provide to the
TGA and the SGA a report that contains findings, conclusions, and a certification
that the Tribal Lottery System conforms or fails to conform to the requirements
contained in the Compact. If the Gaming Test Laboratory determines that the
device fails to conform to such requirements or technical standards, and if
modifications can be made which would bring the Tribal Lottery System into
compliance, the report may contain recommendations for such modifications. The
State is not bound by the findings, conclusions, or certifications of the Gaming
Test Laboratory for purposes of its enforcement of the provisions of the Compact
and may perform further testing on the system or components to verify
compliance.
10.3 Approval by the SGA. Upon receiving the certification from the Gaming Test
T
Laboratory, the SGA shall either approve or disapprove the Tribal Lottery System or
component thereof based on the technical criteria contained in this Appendix, within
sixty (60) days of receipt of the certification as to any new Tribal Lottery System or any
component thereof, and within fifteen (15) days of the receipt of the certification as to
AF
any modification of a system which has already been approved by the SGA. The
certification shall be deemed approved if no action is taken thereon by the SGA within
said sixty (60) day period or fifteen (15) day period, as may be applicable. The fifteen
(15) day period shall be extended for the first nine (9) months after the effective date of
this Appendix and, during that first nine (9) month period, such certification shall only be
deemed approved if no action is taken within thirty (30) days. Any disputes arising out of
the approval process in this Section 10.3 shall be resolved in accordance with Compact
Section XI.
D
10.4
R
Modifications of Approved Lottery Systems; Emergency Certifications. No modification
to any Tribal Lottery System may be made after testing, certification, and approval of a
Tribal Lottery System without certification of the modification by the Gaming Test
Laboratory under Section 10.2 and approval thereof by the SGA under Section 10.3. In
situations where immediate modifications are necessary to preserve the integrity of a
Tribal Lottery System which has been operating pursuant to an approval obtained under
Section 10.3, the Gaming Test Laboratory may issue an emergency certification of the
modification and that it must be made immediately to preserve the integrity of the Tribal
Lottery System. Such emergency certifications shall be deemed to be temporarily
approved by the SGA and remain in effect until the SGA takes action on the certification,
which shall be governed by Section 10.3, provided that no emergency certification shall
be valid or effective until actually approved by the SGA if it was not received by the
SGA within five (5) days after being issued.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-30
10.5 Manufacturer’s Conformity to Technical Standards. Before any component of a Tribal
Lottery System may be placed into operation, the Tribe shall first have obtained a written
certification from the manufacturer that, upon installation, each such component:
(a) conforms to the specifications of the Tribal Lottery System as certified by the Gaming
Test Laboratory; and (b) operates and plays in accordance with the requirements of the
Compact.
Authorization to operate a Tribal Lottery System requires that it operate and play in
accordance with the requirements specified by this Appendix; provided that while the
failure of such Tribal Lottery System to comply with such requirements will suffice as a
grounds to enjoin or otherwise terminate said Tribal Lottery System’s operation, such
non-compliance will not be deemed a violation of the Compact as long as the Tribe has
relied in good faith on the certification of the manufacturer and has retained a written
10.6
T
certification in the manner described in this section.
Payment of Gaming Test Laboratory Fees. The Tribe shall be responsible for the payment
of all Gaming Test Laboratory fees and costs in connection with the duties described in
10.7
AF
the Compact. The Tribe shall provide copies of all Gaming Test Laboratory invoices and
payments by the Tribe to the SGA, which shall have the right to audit such fees. In order
to assure independence of the Gaming Test Laboratory, any Gaming Test Laboratory
Payment delinquency by the Tribe of fees or costs due to the Gaming Test Laboratory
may be grounds by the SGA for rejecting such laboratory’s reports or certification.
Gaming Test Laboratory Duty of Loyalty. The Tribe shall inform the Gaming Test
Laboratory in writing that, irrespective of the source of payment of its fees, the Gaming
DR
10.8
10.9
Test Laboratory’s duty of loyalty and reporting requirements run equally to the Tribe and
the State.
Random Inspections. The Tribe shall allow the SGA to inspect any components of the
Tribal Lottery System for the purposes of confirming that such component is operating in
accordance with the requirements of the Compact and that such component is identical to
that tested by an Independent Test Laboratory. Inspections shall be pursuant to the
Gaming Facility access rules set forth in the Compact.
SGA to be Supplied Model of Player Terminal and System. If not already provided to the
SGA, the SGA shall, upon request, be supplied a Player Terminal Central Computer and
Manufacturing Computer to be held at the SGA’s offices for purposes of determining
compliance with these technical requirements.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-31
SECTION 11. ALTERNATIVE STANDARDS PERMITTED
Notwithstanding anything in this Appendix to the contrary, the SGA and the Tribe may agree on
alternative provisions to those set forth herein, provided such provisions adequately preserve and
protect the integrity and security of any game or Gaming system or component, or accounting or
auditing system or component, affected thereby.
SECTION 12. TRIBAL LOTTERY SYSTEM PLAYER TERMINAL ACQUISITION
AND OPERATION
12.1 Allocation. Compact Section III.K governs Player Terminal Allocations, and such
provisions are incorporated herein.
12.2
T
Other Circumstances. Except as specifically provided in Compact Section III.K, in the
event the State agrees (or is required by law or a court ruling to agree) to permit an
allocation of Player Terminals to a tribe which is greater, or is on terms which are more
favorable, than as set forth in the Compact, the Tribe shall be entitled to such greater
AF
allocation or more favorable terms.
SECTION 13. STATE REGULATORY FEES
Compact Section X governs the Set-up Fee and Annual Regulatory Fees, and such provisions are
incorporated herein.
SECTION 14.
14.1
COMMUNITY INVESTMENTS AND PUBLIC HEALTH
Community and Charitable Impact. Compact Section III.P addresses the Tribe’s
DR
14.2
14.3
contributions, and such provisions are incorporated herein.
Problem Gambling and Responsible Gaming. Compact Section III.Q addresses the
Tribe’s problem gambling and responsible gaming program, and such provisions are
incorporated herein.
Smoking Cessation and Prevention. Compact Section III.O(3) addresses the Tribe’s
commitment to public health, safety, and environmental protection, and such provisions
are incorporated herein.
SECTION 15. HOURS OF OPERATION
Compact Section III.E governs hours of operation, and such provisions are incorporated herein.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix X2 – Rules Governing Tribal Lottery Systems
X2-32
PUYALLUP TRIBE OF INDIANS – STATE OF WASHINGTON
CLASS III GAMING COMPACT
APPENDIX Y
(AMENDED AND RESTATED)
REQUIREMENTS FOR ELECTRONIC GAMBLING DEVICES
TABLE OF CONTENTS
Section 1.
1.1
1.2
1.3
T
INTRODUCTION................................................................................................ 1
Definitions.............................................................................................................. 1
General ................................................................................................................... 1
Intent ...................................................................................................................... 1
1.4
1.5
1.6
Section 2.
2.1
2.2
AF
Testing.................................................................................................................... 1
Judicially Articulated Restrictions ......................................................................... 2
Approval Process. .................................................................................................. 3
TESTING AND MACHINE APPROVAL ........................................................ 3
Designation of Independent Gaming Test Laboratory........................................... 3
Testing and Certification of EGDs ........................................................................ 4
DR
2.3
2.4
2.5
2.6
2.7
2.8
2.9
Approval by the SGA............................................................................................. 5
Modifications of Approved Systems: Emergency Certifications .......................... 5
Manufacturer’s Conformity to Technical Standards.............................................. 5
Payment of Gaming Test Laboratory Fees ............................................................ 6
Gaming Test Laboratory Duty of Loyalty ............................................................. 6
Random Inspections ............................................................................................... 6
SGA to be Supplied Model of Player Terminal and System ................................. 6
i
APPENDIX Y
REQUIREMENTS FOR ELECTRONIC GAMBLING DEVICES
SECTION 1. INTRODUCTION
1.1 Definitions. Capitalized terms used in this Appendix are defined in Appendix D
“Definitions” and are incorporated herein.
1.2 General. This Appendix is created to provide the basic “core” requirements for Electronic
Gambling Devices (“EGDs”) authorized under Compact Section IV.D and to establish
the approval and testing process for gaming machines and associated equipment that are
to be operated by the Tribe in the State of Washington, pursuant to the Compact
heretofore approved by the Secretary of the Interior. This Appendix does not apply to
T
EGD’s authorized under Appendix X2 to the Compact, which are governed by the
respective Appendix.
These standards take into consideration certain judicially articulated restrictions on the
1.3
AF
use and operation of EGDs. Those restrictions prohibit:
1.2.1
1.2.2
Individual play against such devices or terminals; and
Activation of Gaming devices by the insertion of a coin or currency.
Intent. The intent of this Appendix is to ensure that Gaming located on Tribal Lands
occurs in a manner that is:
DR
1.4
1.3.1
1.3.2
1.3.3
1.3.4
Fair;
Secure;
Auditable; and
Compliant with judicially articulated restrictions.
Testing. The general purpose of testing Gaming equipment is to determine the suitability
of such Gaming equipment for operation in the intended environment. Prior to operation,
all EGDs and associated equipment shall be tested by a licensed Gaming laboratory to:
1.4.1 Verify that they comply with the requirements of the Compact and this Appendix;
1.4.2 Ensure that they are fair to both the Players and the operators;
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix Y – Requirements for Electronic Gambling Devices
Y-1
1.4.3 Verify that they comply with currently accepted Gaming test industry standards
such as GLI 11 and 12; and
1.4.4 Ensure that the equipment does not constitute:
(a) Electronic, mechanical, or electro-mechanical devices or terminals which
allow for individual play against such devices or terminals, or
(b) Gambling that is activated/initiated by the insertion of a coin or currency.
1.5 Judicially Articulated Restrictions. EGDs may be utilized by the Tribe under the
following conditions:
1.5.1 The EGD is activated by a cashless transaction system1 and not by the insertion of
1.5.2
coin or currency;
T
The EGD does not allow for individual play against the device or terminal. The
Parties agree that this requirement can be met in the following non-exclusive
ways:
(a)
(b)
AFPlayers compete for a number from a predetermined set of numbers, each
associated with a specific outcome; or
Players compete in a pooled wagering system whereby prizes are awarded
from a wagering pool or pools made up of the Players’ wagers and the
house is entitled to a set amount of the pooled wagers. Systems meeting
the requirements of this subsection may allow for an initial seeding of the
DR 1.5.3
1.5.4
wagering pool by the house, and reseeding in circumstances of excessive
volatility.
Player terminals2 do not contain slot machine-type spinning reel mechanisms in
mechanical form, nor allow for activation by a slot machine-type handle; and
The Tribe and the SGA have signed an agreement for each specific type of EGD
which confirms that that type of EGD meets the foregoing requirements and sets
technical standards and Internal Controls for operation of that type of EGD.
1
This phrase does not have the same meaning as Cashless Transaction System as outlined in Appendix X2 Section
2.1.
2
This phrase does not have the same meaning as Player Terminal as outlined in Appendix X2, Section 2.13.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix Y – Requirements for Electronic Gambling Devices
Y-2
1.6 Approval Process.
1.6.1 Except for those EGDs governed by Appendix X2, the Tribe and the SGA shall
enter into an agreement for each specific type of EGD which the Tribe wishes to
operate. Each agreement shall confirm that the proposed type of EGD meets the
requirements contained in the Compact and this Appendix, and shall set the
technical standards and Internal Controls for the operation of that type of EGD.
Such technical standards and Internal Controls shall be uniformly applied to all
Washington State gaming tribes and shall include, but not be limited to: operation,
interface, and random number generator standards; game reports; accounting
system requirements and reports; cashless transaction system requirements and
reports; security system requirements; testing requirements; and regulatory fees.
1.6.2
T
The Tribe may present to the SGA, at any time, a machine concept it believes
satisfies the requirements of the Compact and this Appendix. Within thirty
(30) days thereafter, the SGA shall notify the Tribe of its acceptance or rejection
of said concept. If the SGA accepts the Tribe’s concept, the Tribe and the SGA
1.6.3
AF
shall have ninety (90) additional days to execute the agreement required by
Section 1.6.1; provided, however, said ninety (90) day period shall not commence
until the Tribe has made a full submission of its machine proposal to the SGA;
provided, further, that the Tribe shall not commence operation of said EGD until
the laboratory testing and certification requirements referred to in Section 1.4 are
met.
A “full submission,” as that term is used in Section 1.6.2, shall include machine
DR
SECTION 2.
hardware (a prototype EGD), base software (the software platform upon which
games are loaded), game software for one or more games, and a detailed narrative
description of said hardware, base software, and game software. Failure of the
Tribe and the SGA to agree upon a machine concept or failure to execute an
agreement required by Section 1.6.1 shall constitute a dispute or disagreement
between the Tribe and the SGA, subject to the dispute resolution provisions
contained in Compact Section XI.
TESTING AND MACHINE APPROVAL
2.1 Designation of Independent Gaming Test Laboratory. The SGA shall select one or more
gaming test laboratories (hereinafter “Gaming Test Laboratory”) to perform the testing
required in this Appendix and will create a list of the same. Any Gaming Test Laboratory
selected shall have demonstrated it is competent and qualified to conduct scientific tests
and evaluations of electronic Gaming systems and to otherwise perform the functions set
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix Y – Requirements for Electronic Gambling Devices
Y-3
forth in the Compact. The Tribe may request additional laboratories be placed on the
SGA’s list of Gaming Test Laboratories, which request shall not be unreasonably denied.
Any laboratory that is currently licensed and approved by any state, province or country
to test or evaluate EGDs or electronic Gaming systems shall be placed on the list if, after
review by the SGA, it is found to be so qualified and otherwise meets the background and
licensing requirements applicable to such laboratories under Washington State law. For
any testing required under this Appendix, the Tribe shall choose a laboratory from those
Gaming Test Laboratories on said SGA list. If, at any time, any of the Gaming Test
Laboratories’ licenses from any jurisdiction are suspended, terminated, or subject to
disciplinary actions, the Gaming Test Laboratories may be removed from the SGA’s list.
If removed from the SGA’s list, the Tribe shall choose a new Gaming Test Laboratory as
provided herein.
2.2
T
Testing and Certification of EGDs. No EGD may be offered for play unless:
2.2.1 Such EGD is approved by the Parties as provided in this Appendix; or
2.2.2
2.2.3
AF
The EGD prototype thereof has been tested and certified by the Gaming Test
Laboratory as meeting the requirements specified by this Appendix.
If not already provided to the Gaming Test Laboratory, the Tribe shall provide or
require that the manufacturer provide to the Gaming Test Laboratory two copies
of EGD illustrations, schematics, block diagrams, circuit analyses, technical and
operation manuals, program object and source codes, hexadecimal dumps (the
complied computer program represented in base 16 format), and any other
information requested by the Gaming Test Laboratory. The Tribe shall make all
DR 2.2.4
such materials available to the SGA upon request.
If requested by the Gaming Test Laboratory, the Tribe shall require the
manufacturer to transport not more than two working models of the EGD to a
location designated by the laboratory for testing, examination or analysis. Neither
the State nor the Gaming Test Laboratory shall be liable for any costs associated
with the transportation, testing, examination, or analysis, including any damage to
the components of the EGD. If requested by the Gaming Test Laboratory, the
Tribe shall require the manufacturer to provide specialized equipment or the
services of an independent technical expert to assist with the testing, examination
and analysis.
2.2.5 At the conclusion of each test, the Gaming Test Laboratory shall provide to the
TGA and the SGA a report that contains findings, conclusions, and a certification
that the EGD conforms or fails to conform to the requirements contained in the
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix Y – Requirements for Electronic Gambling Devices
Y-4
Compact. If the Gaming Test Laboratory determines that the device fails to
conform to such requirements or technical standards, and if modifications can be
made which would bring the EGD into compliance, the report may contain
recommendations for such modifications. The Parties are not bound by the
findings, conclusions or certifications of the Gaming Test Laboratory for purposes
of enforcement of the provisions of the Compact.
2.3 Approval by the SGA. Upon receiving the certification from the Gaming Test
Laboratory, the SGA shall either approve or disapprove the EGD or component thereof
based on the technical criteria contained in this Appendix and the agreement adopted
under Section 1.6, within sixty (60) days of receipt of the certification as to any new EGD
or component thereof, and within fifteen (15) days of the receipt of the certification as to
any modification to a system which has already been approved by the SGA. The
T
certification shall be deemed approved if no action is taken thereon by the SGA within
said sixty (60) or fifteen (15) day period, as may be applicable. Any disputes arising out
of the approval process in this Section 2.3 shall be resolved in accordance with Compact
Section XI.
2.4
AF
Modifications of Approved Systems: Emergency Certifications. No modification to any
EGD may be made after testing, certification, and approval of an EGD without
certification of the modification by the Gaming Test Laboratory under Section 2.3 and
approval thereof by the SGA under this Section 2.4. In situations where immediate
modifications are necessary to preserve the integrity of an EGD which has been operating
pursuant to an approval obtained under Section 2.3, the Gaming Test Laboratory may
issue an emergency certification of the modification and that it must be made
DR
2.5
immediately to preserve the integrity of the EGD. Such emergency certifications shall be
deemed to be temporarily approved by the SGA and remain in effect until the SGA takes
action on the certification, which shall be governed by Section 2.3, provided that no
emergency certification shall be valid or effective until actually approved by the SGA, if
it was not received by the SGA within five (5) days after being issued.
Manufacturer’s Conformity to Technical Standards. Before any component of an EGD
may be placed into operation, the Tribe shall first have obtained and submitted to the
SGA a written certification from the manufacturer that upon installation each such
component: (a) conforms to the specifications of the EGD as certified by the Gaming
Test Laboratory; and (b) operates and plays in accordance with the requirements of the
Compact Procedures.
Authorization to operate an EGD requires that it operate and play in accordance with the
requirements specified by this Appendix; provided that while the failure of such EGD to
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix Y – Requirements for Electronic Gambling Devices
Y-5
comply with such requirements will suffice as grounds to enjoin or otherwise terminate
said EGD’s operation, such non-compliance will not be deemed a violation of the
Compact as long as the Tribe has relied in good faith on the certification of the
manufacturer.
2.6 Payment of Gaming Test Laboratory Fees. The Tribe shall be responsible for the payment
of all Gaming Test Laboratory fees and costs in connection with the duties described in
this Appendix. The Tribe shall provide copies of all Gaming Test Laboratory invoices
and payments by the Tribe to the SGA, which shall have the right to audit such fees. In
order to assure independence of the Gaming Test Laboratory, any Gaming Test
Laboratory payment delinquency by the Tribe of fees or costs due to the Gaming Test
Laboratory may be grounds by the SGA for rejecting such laboratory’s reports or
certification.
2.7
T
Gaming Test Laboratory Duty of Loyalty. The Tribe shall inform the Gaming Test
Laboratory in writing that, irrespective of the source of payment of its fees, the Gaming
Test Laboratory’s duty of loyalty and reporting requirements run equally to the Tribe and
2.8
2.9
the State.
AF
Random Inspections. The Tribe shall allow the SGA to inspect any components of an
EGD for the purposes of confirming that such component is operating in accordance with
the requirements of the Compact and that such component is identical to that tested by an
independent test laboratory. Inspections shall be pursuant to the Compact.
SGA to be Supplied Model of Player Terminal and System. If not already provided to the
SGA, the SGA shall, upon request, be supplied all components of each EGD to be held at
DR
the SGA’s offices for purposes of determining compliance with these technical
requirements.
Puyallup Tribe of Indians – State of Washington Gaming Compact
Appendix Y – Requirements for Electronic Gambling Devices
Y-6
File and source
- File
- 2025-08-11_a33424_d289622_puyallup-tribe-of-indians-seventh-amendment-tent-agreement-r.pdf
- Size
- 1,911,333 bytes
- SHA-256
- 4d718f4e6077d77f52d790ddfb7a1300a87b7cdb3eee101b77649ba42b26be0e
- Original
- app.leg.wa.gov