April 3, 2018 

Via U.S. Mail and Facsimile 

Joseph Riley II, Tribal Council Speaker 

Little River Band of Ottawa Indians 

375 River Street 

Manistee, MI 49660 

RE: Amendments to Little River Band of Ottawa Indians Gaming 

Ordinance No.10-400-01 

Dear Mr. Riley: 

This letter responds to a February 15, 2018 request from the Unified Legal 

Department on behalf of the Little River Band of Ottawa Indians for the National 

Indian Gaming Commission Chairman to review and approve the Band's 

amendments to its gaming ordinance. 

The amendments to the gaming ordinance were adopted by Tribal 

Council Resolution No. 18-0214-057 on February 14, 2018, and reflect 

comprehensive review and revisions by the Tribal Council. The following 

summarizes the most notable changes: 

• Remove non-gaming activities 

• Remove unnecessary definitions 

• Correct definitions for uniformity, and 

• Minor amendments to conform with recent changes to NIGC regulations. 

Thank you for bringing these amendments to our attention and for 

providing us a copy of the updated ordinance. The ordinance is approved as it is 

consistent with the requirements of the Indian Gaming Regulatory Act and the 

NIGC' s regulations. If you have any questions, please contact Senior Attorney 

Jennifer Lawson at (202) 632-7003. 

NEW MAILING ADDRESS: NIGC/DEPARTMENT Of THE INTERIOR 1849 C Street NW, Moil Stop # 162 1 Washington, DC 20240 lel: 202.63:.UUO:J ~ox: 202.632.7066 

REGIONALOFflCfS Portland, OR; Sacromenlo, CA; Phoenix, AZ; SI. Poul, MN; Tulsa OK; Oklahoma Cily, OK 

WWW,NIGC.GOV 
Letter to Mr. Riley 

Re: Little River Band of Ottawa Ordinance approval 

April 3, 2018 

page2 of2 

Sincerely, 

o. 

onodev 0. Chaudhuri 

cc: Rebecca Liebing, Staff Attorney, Little River Band Unified Legal Department 
Little River Band of Ottawa Indians 

2608 Government Center Drive 

Manistee, :Ml 49660 

(231) 723-8288 

Resolution #18-0214-057 

Adoption ofTechnical Edits to Gaming Ordinance, Ordinance Number 10-400-01 and 

Authorization for the Unified Legal Department to Submit to National Indian Gaming 

Commission for Review and Approval 

WHEREAS, the status of the Gaa Ching Zif bi Daawaa Anishinaabek (Little River Band of 

Ottawa lndians) as a sovereign and Treaty-making power is confinned in numerous 

treaties, from agreements with the initial colonial powers on this land, to various 

treaties with the United States; and 

WHEREAS, the Little River Band of Ottawa Indians (Tribe) is descended from, and is the 

political successor to, the Grand River Ottawa Bands, signatories of the 1836 Treaty of 

Washington (7 Stat. 491) with the United States, as reaffirmed by federal law in P.L. 

103-324, enacted in 1994; and 

WHEREAS, the Tribe adopted a new Constitution, pursuant to a vote of the membership on 

May 27, 1998, which Constitution became effective upon its approval by the 

Assistant Secretary-Indian Affairs on July 10, 1998; and 

WHEREAS, the Tribe adopted amendments to the Constitution on April 26, 2004, which 

became effective upon approval by the Assistant Secretary-Indian Affairs on May 13, 

2004;and 

WHEREAS, the Tribe adopted amendments to the Constitution on July 11, 2016 which 

became effective upon approval by the Assistant Secretary-Indian Affairs on August 

24,2016;and 

WHEREAS, the legislative powers of the Little River Band are vested in the Tribal Council 

at Article IV, Section 7 of the Constitution; and 

WHEREAS, the Tribal Council is authorized under Article JV, Section 7(a) of the 

Constitution to enact ordinances and adopt resolutions to provide for the public 

health, peace, morals, education and general welfare of the Little River Band and its 

members and to govern the conduct of members of the Little River Band and other 

persons within its jurisdiction; and 
Resolution #18-0214-057 

Page 2of3 

WHEREAS, the Tribal Council is authorized under Article IV, Section 7(f) of the 

Constitution to create by ordinance regulatory commissions or subordinate 

organizations and to delegate to such organizations the power to manage the affairs 

and enterprises of the Little River Band; and 

WHEREAS, the Tribal Council adopted the Gaming Ordinance, Ordinance #02-400-01, to 

regulate the gaming enterprises of the Tribe and authorize and preemptively regulate 

the terms and conditions under which gaming may be conducted on the lands of the 

Tribe; and 

WHEREAS, Section 2710 of the Indian Gaming Regulatory Act requires that a Tribe adopt 

and submit its Gaming Ordinance to the Chairperson of the National Indian Gaming 

Commission for review and approval; and 

WHEREAS, Tribal Council ad opted a revised Gaming Ordinance, Ordinance #07-400-01, 

by Resolution #07-0912-494, which was reviewed and approved by the National 

lndian Gaming Commission; and 

WHEREAS, Tribal Council adopted Resolution #11-0119-017, acknowledging receipt of 

approval by the National Indian Gaming Commission, repealing Ordinance #07-400-

01 and replacing it with Ordinance #10-400-01; and 

WHEREAS, the Tribal Council revised Ordinance #10-400-10 to lower the legal age for 

gaming patrons and Gaming Employees from twenty-one (21) to eighteen (18), by 

Resolution #15-0211-030, permanently adopting amendments approved by the 

National Indian Gaming Commission; and 

WHEREAS, the Tribal Council is recommending revisions to Ordinance #10-400· l 0 to 

remove non-gaming activities, remove wmecessary definitions, correct definitions for 

uniformity and remove sections better addressed in Tribal Regulation; and 

WHEREAS, the Tribal Council by and through the Unified Legal Department has consulted 

with the National Indian Gaming Commission on the proposed amendments and 

suggested technical edits. 

NOW THEREFORE IT IS RESOLVED 11-IAT the Tribal Council of the Little River Band 

of Ottawa Indians hereby adopts, under authority of the Little River Band of Ottawa Indians 

Constitution, the amendments to the Gaming Ordinance, Ordinance #10-400-10, which 

Ordinance shall be effective after approval by the National Indian Gaming Commission. 

IT IS FURIBER RESOLVED THAT the Tribal Council authorizes Unified Legal 

Department to submit Gaming Ordinance #10-400-10 to the National Indian Gaming 

Commission for review and approval in accordance with the Indian Gaming Regulatory Act. 
Resolution # 18-0214-05 7 

Page 3of3 

CERTIFICATE OF ADOPTION 

I do hereby certify that the foregoing resolution was duly presented and adopted by 

the Tribal Council with 9 FOR, 0 AGAINST, 0 ABSTAINING, and 0 ABSENT at a regular 

session of the Little River Band of Ottawa Indians Tribal Council held on February 14, 2018, 

at the Little River Band's Government Center in Manistee, Michigan, with a quorum being 

present for such vote. 

Attest: 

Distribution: Council Records 

Tribal Ogema 

Tribal Court 

Gaming Commission 

LRCR General Manager 
Article 1. Purpose; Findings. 

GAMING ORDINANCE 

Ordinance # 10-400-0 I 

1.0 I. Purpose. The Little River Band of Ottawa Indians, acting through its Tribal Council in the 

exercise of its inherent sovereign power to enact ordinances, regulate the commercial 

enterprises of the Tribe, and otherwise safeguard and provide for the health, safety, and 

welfare of the members of the Tribe, hereby establishes this Ordinance for the purpose of 

authorizing and comprehensively and preemptively regulating the tetms and conditions 

under which Class II and Class III gaming may be conducted on the lands of the Tribe. 

1.02. Findings. The Tribal Council of the Little River Band of Ottawa Indians finds that: 

a. The Constitution of the Little River Band of Ottawa Indians delegates to the Tribal 

Council the responsibility to " ... exercise the inherent powers of the Little River 

Band of Ottawa Indians by establishing laws through the enactment of ordinances 

and adoption of resolutions not inconsistent with this Constitution: 

I . to govern the conduct of members of the Little River Band of Ottawa 

Indians and other persons within its jurisdiction. 

2. to promote, protect and provide for public health) peace, morals, education 

and general welfare of the Little River Band of Ottawa Indians and its 

members[.]" Article IV) Section 7 (a). 

b. The Constitution delegates to the Tribal Council the power and responsibility to 

manage all Tribal funds and direct how those funds may be used; Article IV) 

Section 7 (i) (2). 

c. Article V, Section 4 (a) (8), authorizes the Tribal Ogema to manage the economic 

affairs, enterprises, prope1ty and other interests of the Tribe, consistent with 

ordinances and resolutions enacted by the Tribal Council. 

Article 2. Adoption; Amendment; Repeal; Severability. 

2.01. Adoption. This Ordinance is adopted by the Tribal Council through: 

a. Resolution #97-0115-01 which adopted the original Ordinance; 

b. Resolution #99-0325-01 which re-codified and amended the Ordinance; 
c. Resolution #00-1218-01 which further amended the Ordinance; and 

d. Resolution #02-0508-08 which repealed Ordinance #97-400-01 and replaced it 

with Ordinance# 02-400-01. 

e. Resolution #05-0323-121 which deleted references to management contracts, and 

made numbering clarifications among other amendments. 

f. Resolution #07-0912-494 which repealed Gaming Ordinance #02-400-01 and 

adopted Gaming Ordinance #07-400-01, amending the Ordinance to clarify and 

define gaming and non-gaming activities arising out of the growth of the gaming 

enterprise effective upon receipt of approval by the National Indian Gaming 

Commission. 

g. Resolution #10-1006-330, correcting technical deficiencies identified by the 

National Indian Gaming Commission among other amendments, renumbering the 

Ordinance, and authorizing resubmission to the National Indian Gaming 

Commission. 

h. Resolution #11-0119-017, acknowledging receipt of approval of the National 

Indian Gaming Commission, repealing Ordinance #07-400-01 and replacing it with 

Ordinance # 10-400-0 I, and providing that the Ordinance is effective as of January 

20, 2011. 

1. Resolution #12-0919-249, amending the Ordinance on an emergency basis to 

clarify and define the background investigation process of Gaming and NonGaming Employee Licenses. 

J. Resolution #12-1031-289, permanently adopting emergency amendments enacted 

on September 19, 2012. 

I. Resolution #14-0917-289, adopting amendments to lower the legal age for gaming 

patrons and Gaming Employees from twenty-one (21) to eighteen (18)) bringing 

the Ordinance into compliance with NIGC Regulations and authorizing submission 

to the NIGC for approval. 

m. Resolution # 15-0211-030, permanently adopting amendments approved by the 

NIGC. 

n. Resolution #17-1104-376) approving the submission to NIGC of the amended 

Ordinance to remove non-gaming activities) remove unnecessary definitions) 

correct definitions for unifonnity, and remove sections better addressed in Tribal 

2 
Regulation. 

o. Resolution #18-0214-057, approving the submission to NIGC of amendments to 

the Ordinance after technical edits suggested by the NIGC. 

2.02. Amendment. This Ordinance may be amended from time to time in accordance with the 

procedures set fo11h in the in the Administrative Procedures Act - Ordinance. 

2.03 Repeal. This Ordinance may be repealed in accordance with the procedures set forth in the 

Administrative Procedures Act - Ordinance. 

2.04. Severability. If any provision of this Ordinance or its application to any person or 

circumstance is held invalid, the invalidity does not affect other provisions or applications 

of this Ordinance which can be given effect without the invalid provision or application, 

and to this end the provisions of this Ordinance are severable. 

Article 3. Definitions. 

3.01. General. In this Ordinance, except where otherwise specificaJly provided or the context 

otherwise requires, the following terms and expressions shall have the following meanings. 

The word "shall" is always mandatory and not merely advisory. 

3.02. Automated teller machines means machines that dispense cun-ency prompted by a 

customer's own credit or debit card that are not affixed to any gaming device and are not 

considered gaming devices. 

3.03. Class I Gaming means social games solely for prizes of minimal value or traditional fo1ms 

of Indian gaming engaged in by individuals as a part of, or in connection with, Tribal 

ceremonies or celebrations. 

3.04. Class JI Gaming means Class 11 gaming as defined in IGRA, 25 USC § 2703 (7). 

3.05. Class III Gaming means all fonns of gaming that are not Class l gaming or Class II gaming. 

3.06. Coin sorter and/or cash counter means mechanical equipment the purpose of which is to 

count and display the value of coin or currency. 

3.07. Compact (Tribal-State Compact) means an agreement between the State of Michigan and 

the Little River Band of Ottawa Indians concerning Class III gaming approved or deemed 

approved by the Secretary of the Interior and published in the Federal Register pursuant to 

25 u.s.c. § 2710 (d). 

3 
3.08. Complimentary service or item means a service or item provided at no cost or at a reduced 

cost to a customer, at the discretion of an agent on behalf of the gaming operation or by a 

third party on behalf of the gaming operation. 

3.09. Director means the Director of the Gaming Commission or any successor position with 

responsibility for overseeing the day-to-day operations of the staff of the regulatory agency. 

3.10. Employee means any individual employed by a gaming enterprise in any capacity, whether 

by general operational terms of employment, contract or agreement. 

3.11. Gaming Employee means a Key Employee or Primary Management Official, and includes 

individuals employed in one of the fo11owing capacities: 

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

b. any person who has authority to hire and fire employees; 

c. any person who has authority to set up working policy for a gaming activity in the 

gaming enterprise; 

d. the Chief Financial Officer or other person who has financial management 

responsibility; 

e. any person whose job description falls within the following departments: Finance, 

Information Technology, Security, Gaming Operations, Compliance and 

Marketing; and 

f. if not otherwise included, any person whose total cash compensation is in excess of 

$50,000. 

3.12. Gaming means Class II and Class III gaming authorized by this Ordinance, the Compact, 

and as may be further authorized under IGRA. 

3.13. Gaming device means a microprocessor-controlled electronic device which allows a player to 

play games of chance, some of which are affected by skill, which is activated by the insertion of a 

coin, currency, tokens, tickets, or by the use of credit, and which awards game credits, cash tokens, 

replays or a receipt that can be redeemed by the player. 

3.14. Gaming Employee License means a license issued to a Gaming Employee, including 

individuals hired by or contracted within an employment position with the gaming 

enterprise. Gaming Employee Licenses are classified as Key Employee Licenses and 

Primary Management Official Licenses. 

4 
3.15. Gaming enterprise means any commerciaJ enterprise of the Tribe authorized to engage in 

gaming, and all ancillary commercial activities within the gaming (facHity(ies)) and other 

improvements constrncted for the conduct of gaming. 

3.16. Gaming equipment or supplies shall mean any equipment or mechanical, 

electromechanical or electronic contrivance, component or machine used in connection 

with gaming. 

3.17. Gamingfacility means the building, buildings, or structures, wherein gaming is pennitted, 

performed, conducted, or operated, and associated or adjacent real property owned by the 

Tribe. Each gaming facility shall be constructed, maintained, and operated in a manner 

that adequately protects the environment, health, and safety of the public. 

3.18. Gaming rules means the Tribal laws, and Federal laws regarding gaming activities, 

including by way of example the Gaming Ordinance, the Compact, and the IGRA. 

3.19. Gaming service means any goods or services which directly relate to the conduct of 

gaming, security, or surveillance at a gaming enterprise. 

3.20. Gaming Vendors means any vendors providing gaming services or concessions, gaming 

equipment, gaming devices, or supplies to the gaming enterprise. 

3.21. General Manager means the highest level employee of the gaming enterprise. 

3.22. JGRA means the Indian Gaming Regulatory Act of 1988, 25 U.S.C. § 2701 el seq., as 

amended from time to time. 

3.23. Key Employee means: 

a. A person who performs one or more of the following functions: 

l . Bingo caller; 

2. Counting room supervisor; 

3. Chief of security; 

4. Custodian of gaming supplies or cash; 

5. Floor manager; 

6. Pit boss; 

5 
7. Dealer; 

8. Croupier; 

9. Approver of credit; or 

10. Custodian of gaming devices, including persons with access to cash and 

accounting records within such devices; 

b. If not otherwise included, any person whose total cash compensation is in excess 

of $50,000.00 per year; 

c. If not otherwise included, the four most highly compensated persons in the gaming 

operation; or 

d. Any other person desjgnated by the regulatory agency as a Key Employee. 

3.24. License means any official and revocable authorization granted for a limited period of time 

by the regulatory agency pursuant to this Ordinance to an applicant to conduct business or 

gain employment in any gaming enterprise. There are three types of licenses: Gaming 

Facility License, Gaming Vendor License, and Gaming Employee License. 

3.25. National Indian Gaming Commission (NJGC) means the Commission established pursuant 

to IGRA. 

3.26. Net revenues means the gross gaming revenues of an Indian gaming operation less: 

a. amounts paid out as, or paid for, prizes; and 

b. total gaming-related operating expenses, including all those expenses of the gaming 

operation commonly known as operating expenses and non-operating expenses 

consistent with professional accounting pronouncements, excluding management 

fees. 

3.27. Primary Management Official means an employee who meets the following qualifications: 

a. Any person who has authority: 

I. To hire and fire employees; or 

2. To set up working policy for any gaming activity; or 

6 
b. The Chief Financial Officer or other person who has financial management 

responsibility; 

c. Any person having management responsibility for a management contract; or 

d. Any other person designated by the regulatory agency as a Primary Management 

Official. 

3.28. Primary Management Official License means a license issued to a Primary Management 

Official, including individuals hired by or contracted within an employment position with 

the gaming enterprise. 

3.29. Regulatory agency means the Little River Band of Ottawa Indians Gaming Commission, 

created by Ordinance #04-400-04, or such other regulatory body created by Ordinance. 

3.30. Indian lands mean all lands now or in the future held in trust by the United States for the 

benefit of the Tribe acquired by or for the Tribe, or such other lands upon which gaming 

may lawfully be conducted pursuant to IGRA. 

3.31. Secretary means the Secretary of the United States Depattment of the Interior or his/her 

designee. 

3.32. Stale means the State of Michigan. 

3.33. Tribal Court means the Tribal Court and Tribal Court of Appeals of the Little River Band 

of Ottawa Indians and all other TribaJ judicial forums now or hereinafter established by the 

Tribe. 

3.34. Tribe means the Little River Band of Ottawa Indians. 

3.35. Tribal Member means an individual enrolled as a member of the Little River Band of 

Ottawa Indians. 

Article 4. Classes of Gaming Authorized; Minimum Gaming Age. 

4.01. Class JI Gaming Authorized Class 11 gaming is hereby authorized. 

4.02. Class 111 Gaming Authorized Class Ill gaming is also authorized. 

4.03. Class II and/or Class JI] Facility License Required. Class II and Class Ill gaming 

authorized by this Ordinance shall be conducted only by persons or entities which have 

7 
obtained a valid Gaming Facility License issued by the regulatory agency pursuant to 

criteria set forth in this Ordinance and regulations adopted pursuant to and consistent with 

this Ordinance. 

4.04. Gaming Age Minimum. No person under the age of eighteen (18) may gamble in a gaming 

enterprise authorized under this Ordinance. 

Article 5. Tribal Ownership Required. 

5.01. Sole Proprietmy Interest Required. The Tribe shall have the sole proprietary interest in, 

and responsibility for the conduct of any gaming enterprises authorized by this Ordinance. 

5.02. Private/Individual Ownership Prohibited. No individual, partnership, corporation or entity 

of any kind shall own in whole or in part any Class II or Class Ill gaming enterprise 

authorized or regulated by this Ordinance. 

5.03. Management Contracts Authorized. Nothing in this Ordinance shall preclude the Tribe 

from entering into management contracts as authorized under IGRA. 

5.04. Registered Agents. The Tribe designates the Tribal Ogema and the Tribal Council Speaker 

as the agents for service of any official detennination, Order or Notice of Violation. 

Article 6. Use of Gaming Revenue. 

6.0 I. Permitted Uses. Net revenues from Class II and Class III gaming shall be used only for the 

following purposes: 

a. to fund tribal government operations and programs; 

b. to provide for the general welfare of the Tribe and its members; 

c. to promote Tribal economic development; 

d. to donate to charitable organizations; 

e. to help fund operations of local governmental agencies. 

The Tribe may only make per capita payments to Tribal members from net revenues 

pursuant to the requirements of Tribal law, the Indian Gaming Regulatory Act and the plan 

approved by the Tribal Council and by the Secretary of the Interior. 

8 
Article 7. Audit and Record-keeping Requirements. 

7.01. Annual Audit. The regulatory agency shall cause to be conducted an independent audit of 

all gaming enterprises on an annual basis and shall submit the resulting audit reports to the 

Tribal Council and the NIGC. 

7.02. Audit to Include Contracts for Gaming Services, Concessions, Equipment, Devices or 

Supplies. All gaming-related contracts that result in the purchase of services, concessions, 

equipment, devices, or supplies for more than $25,000 in any year (except contracts for 

professional legal and accounting services) shall be specifically included within the scope 

of the audit conducted under Section 7.01 of this Ordinance,. 

7.03. Record-keeping Requirements. Each gaming enterprise conducting Class II or Class III 

gaming shall keep accounting records on a double entry system of accounting, maintaining 

detailed, supporting, and subsidiary records which can be identified to each gaming facility. 

Gaming enterprises subject to this provision shall maintain the following records for not 

less than five years: 

a. Revenues, expenses, assets, liabilities and equity for the location at which Class II 

or Class III gaming is conducted; 

b. Daily cash transactions for each Class II or Class III game at the location at which 

gaming is conducted, including but not limited to transactions relating to each 

gaming table bank, game drop box and gaming room bank; 

c. All markers, IOUs, returned checks, hold checks or other similar credit instruments; 

d. Individual and statistical game records (except card games) to reflect statistical drop 

and statistical win; for electronic, computer, or other technologically assisted 

games, analytic reports which show the total amount of cash wagered and the total 

amount of prizes won; 

e. Contracts, correspondence and other transaction documents relating to all vendors; 

f. Records of all gaming enforcement activities; 

g. Audits prepared by or on behalf of the Tribe; and 

h. Personnel information on all employees, including rotation sheets, hours worked, 

employee profiles and background checks. 

9 
Article 8. Licensing. 

8.01. Licenses Required. The regulatory agency, consistent with IGRA, the Compact, and this 

Ordinance, shall ensure that the following minimum groups are licensed. Provided that, the 

regulatory agency may develop additional licensing requirements or background 

information requirements within regulations that meet or exceed the requirements set forth 

in IGRA, the Compact or this Ordinance. 

a. Gaming facility(ies) 

b. Gaming employees of a gaming enterprise 

c. Gaming vendors 

8.02. Gaming Facility. No person shall conduct Class 11 or Class IJI gaming within the 

jurisdiction of the Tribe unless such gaming is conducted at a facility licensed by the 

regulatory agency as set forth in Article 9. 

8.03. Gaming Employees of a Gaming Enterprise. No person shall be employed in any gaming 

enterprise as a Key Employee or Primary Management Employee, including but not limited 

to consultants, independent contractors, and contracted employees, within the jurisdiction 

of the Tribe unless licensed by the regulatory agency as set forth in Article 10. 

8.04. Gaming Vendor. No gaming vendor shall contract with any gaming enterprise within the 

jurisdiction of the Tribe unless licensed by the regulatory agency in accordance with Article 

11. 

8.05. Temporary Licenses. The regulatory agency shall issue regulations that authorize the use 

of temporary licenses. Temporary licenses shall only be issued to an applicant after the 

completion of an application for a license and following a preliminary review period, 

during which time the regulatory agency shall perform a credit check and a background 

check. Temporary licenses shall be valid for no longer than thirty (30) calendar days from 

the date of issuance. A temporary license may be rescinded prior to the conclusion of the 

thirty (30) calendar day period if the applicant has been determined unsuitable for licensure 

under applicable gaming rules. Notice of rescission of a temporary license shall be 

presented to the applicant and the gaming enterprise. 

Article 9. Gaming Facility Licenses. 

9.01. License Required. As set forth in Section 8.02, no person shall conduct Class Il or Class 

III gaming activities within the jurisdiction of the Tribe unless such gaming activity is 

conducted at a gaming facility licensed by the regulatory agency. No license may be issued 

10 
for any gaming facility that is owned or operated by any person other than the Tribe. If a 

gaming activity is proposed in more than one building at the site of any gaming enterprise, 

a separate Gaming Facility License shall be required for each building or location where 

Class II or Class HI gaming is conducted under this Ordinance. 

9.02. Types of Licenses. The Tribe may issue each of the following types of Gaming Facility 

Licenses: 

a. Class II Operations in a Gaming Facility. This license shall be required of all 

gaming enterprises operating one or more Class II gaming activities in each gaming 

facility. 

b. Class Ill Operations in a Gaming Facility. This license shall be required for all 

gaming enterprises operating any gaming other than Class I or Class II gaming in 

each gaming facility. A Class III Gaming Facility License includes the operation 

of Class l or Class II gaming when so noted on the license application and on the 

issued license. 

9.03. Gaming Facility Application Procedures. In order to obtain a Gaming Facility License, the 

gaming enterprise requesting such license shall submit an application on the form provided 

by the regulatory agency. The applicant shall include all of the following infotmation: 

a. A description of the gaming activity proposed, including, but not limited to: 

1. the type of gaming proposed, along with all instructions, procedures, 

internal controls, and other documents related to the proposed gaming; and 

2. the maximum number and types of table games, card games, and gaming 

devices expected to be in the gaming facility at any one time; and 

3. the number and types of table games, card games, and gaming devices 

expected to be in use when the gaming facility first opens; and 

4. the days and hours of operation proposed. 

b. A description of the gaming facility proposed, including the layout of all table 

games, card games, and gaming devices and the surveillance systems within the 

gaming facility. 

c. The location proposed for such gaming facility. 

d. A description of the security, police, fire protection, environmental, health, safety, 

11 
and other public safety services to be available in the proposed gaming facility and 

to the patrons of such gaming facility. 

e. A description of the accounting procedures as required in Section 7.03 in each 

gaming facility. 

f. The name, address, title, and a job description (including duties and 

responsibilities) of each employee who will be employed at the proposed gaming 

facility. 

9.04. Threshold Criteria Which a Gaming Facility Must Meet. In addition to the information 

required in the Gaming Facility License application, an applicant for a Class II or Class Ill 

Gaming Facility License must provide documentation that the gaming enterprise and 

proposed gaming facility will meet the following threshold criteria: 

a. The proposed gaming facility is to be located on Indian lands, and if the lands are 

acquired after October, 17, 1988, they must be eligible for gaming under a specific 

provision of 25 U.S.C. § 2719. 

b. The proposed gaming activity is to be played as Class IT or Class III gaming as 

defined by this Ordinance and JGRA. 

c. The gaming enterprise and proposed gaming facility is authorized by a Tribal 

Council resolution. 

d. The Tribe or one of its subdivisions will have the sole proprietary interest and the 

Tribe will have the exclusive responsibility for the conduct of any gaming activity. 

e. The Tribal Council resolution authorizing the gaming enterprise and proposed 

gaming facility provides that: 

I . The revenues of the gaming enterprise shall be audited annually and copies 

of those audits will be provided to the regulatory agency, Tribal Council 

and the NIGC. 

2. The gaming enterprise shall comply with all Internal Revenue Service 

reporting and filing requirements. 

3. All of the net revenues of the gaming enterprise shall be used for the 

purposes stated in Article 6. 

4. All gaming vendor contracts shall be subject to the annual audit. 

12 
5. The construction or maintenance of the gaming facility and the operation of 

the proposed gaming facility shall be conducted in a manner that adequately 

protects the environmental, health, and safety of the general public or 

employees. 

6. Any management contract between the Tribe and a principal has been 

approved by the Tribal Council and the NIGC. 

7. The gaming enterprise shall pay to the NIGC such fees as Federal law may 

require. 

8. In the event that Class III gaming is proposed, such gaming meets all other 

criteria established by the Compact, Federal and Tribal laws and 

regulations. 

9. The gaming enterprise shall comply with Tribal, Federal and State revenue 

laws relating to gaming and non-gaming activities and shall collect, report 

and remit all taxes required under such laws. 

10. The gaming enterprise shall comply with the duties imposed upon casinos 

by Title 31 of the United States Code. 

9.05. Gaming Facility License Application Procedures. 

a. Upon receipt of a complete application for a Gaming Facility License for any Class 

II or Class III gaming facility, the regulatory agency shall: 

1. Review the proposed Gaming Facility License application to ensure that all 

threshold criteria required by this Ordinance is met. 

2. Ensure that all Gaming Employees of the gaming enterprise possess a valid 

and current license. 

3. Ensure that the gaming enterprise has provided the regulatory agency with 

a list of all individuals employed by the gaming enterprise. 

4. Review and approve the accounting procedures to be used in the gaming 

enterprise, or as may be necessary at the gaming facility if more than one 

gaming facility is licensed by the regulatory agency. 

5. Review and approve the layout of all table games, card games, gaming 

13 
devices and surveillance systems for the gaming facility, including any 

instructions, procedures, internal controls or other documents related to the 

layout of games and any instructions, policies, procedures, internal controls 

or other documents related to surveillance systems. 

6. Review and approve the plan for the protection of public safety and the 

physical security of patrons of the gaming facility. 

7. Review all aspects of the proposed gaming facility to ensme that it will be 

in compliance with the provisions of the Compact, Federal and Tribal Laws 

and regulations. 

b. The regulatory agency shall approve the Gaming Facility License application 

within forty~five ( 45) calendar days following the receipt of a complete application 

unless the regulatory agency believes, based upon reasonable evidence, that gaming 

will be operated at the proposed gaming facility in violation of Tribal, Federal or 

other applicable law or the terms and conditions of the Compact. 

c. If the regulatory agency denies an application for a Gaming Facility License, the 

regulatory agency shall, within seven (7) calendar days, notify the applicant of the 

specific reasons for such denial and a description of any corrective actions which 

the regulatory agency determines will cure the deficiencies which resulted in denial 

of the application. 

9.06. License Application Fees. The license application and renewal fee shall be as set forth in 

the Gross Gaming Revenue Tax Ordinance. 

9.07. Terms ~f License. A Class 11 and Class III Gaming Facility License shall be valid for a 

period of twenty-four (24) months from the date of issuance. 

9.08. Posting of Licenses. The Gaming Facility License must be posted in a conspicuous location 

at all times on the premises of each gaming facility. If the gaming enterprise conducts 

gaming at more than one location, the gaming enterprise must obtain and post a separate 

license for each gaming facility. 

9.09. Gaming Facility License Renewals. 

a. Each Gaming Facility License must be renewed biennially. A renewal fee shall be 

required for each Class JI or Class III Gaming Facility License in accordance with 

the Section 9.06. 

b. In order to obtain a renewal of a license, the gaming enterprise shall submit a written 

14 
renewal application to the regulatory agency on the fonn provided by the regulatory 

agency. No renewal application shall be approved until the Annual Report required 

by Section 9.10 have been filed. 

c. All renewal applications submitted shall be approved within forty-five (45) 

calendar days or less unless the regulatory agency believes, based on reasonable 

evidence that the gaming enterprise has been or will be operated in violation of 

Tribal, Federal or other applicable law or the tenns and conditions of the Compact. 

d. If the regulatory agency denies a renewal application for a Gaming Facility License, 

the regulatory agency shall, within seven (7) calendar days, notify the applicant of 

the specific reasons for such denial and a description of any corrective actions that 

the regulatory agency determines will cure the deficiencies which resulted in denial 

of the application. 

9.10. Annual Reports. Each gaming enterprise which possesses a Class JI or Class Ill Gaming 

Facility License must file an Annual Report with the regulatory agency and the Tribal 

Council between the 15th and the last day of June of each year which shall include, at a 

minimum, the following information: 

a. The name, address and telephone number of the gaming enterprise and at each 

gaming facility; 

b. The names, addresses and titles of all of the current General Managers of the 

gaming enterprise and at each gaming facility; 

c. A description of the gaming activities of the gaming enterprise for each gaming 

facility, including, but not limited to: 

1. the number and type of table games, card games, and gaming devices 

operated which shall include all Class 11 gaming activities; and 

2. the number of days and hours of operation; and 

3. the total gross sales during the reporting period(s). 

d. A written executive summary of any material changes anticipated or proposed in 

the gaming activities of the gaming enterprise for each gaming facility, including 

any changes in its instructions, procedures, policies, intemal controls, rules, health, 

environmental, public safety/security plan, layout of the games or surveillance 

systems, or other documents related to activities in the gaming facility or of the 

gaming enterprise; 

15 
e. Capital budget plan identifying what was expended dming the prior twelve (12) 

months and what is planned for the next twelve (12) months; 

f. The name and addresses of the person who will be designated as a contact person 

for service of process, notice and other official correspondence from the regulatory 

agency over the next year for each gaming facility; 

g. A swom statement that the gaming enterprise has complied with all Federal, State 

and Tribal laws relating to the health, safety and welfare of the public and 

employees along with copies of any controlling policies; 

h. Written proof that the gaming enterprise has paid to the NIGC such fees as federal 

law may require it to pay and will continue to do so; 

1. A sworn statement that the gaming enterprise has complied with the Internal 

Revenue Codes and regulations, including written notice of customer winnings, and 

a statement that the gaming enterprise shall continue to obey all Tribal and Federal 

laws and shall hold the regulatory agency and the Tribe harmless for failure to do 

so; 

J. A verified copy of the last annual audited financial report following the end of the 

gaming enterprise's last fiscal year as well as an executive summary comparing the 

financial results to the prior year; 

k. The number of full-time equivalent people, on an annualized basis, employed by 

the gaming enterprise at each gaming facility during the past twelve (12) months, 

together with a projection of the number of fuH-tirne equivalent people who are 

expected to be employed during the next license period; 

I. A sworn statement that the gaming enterprise and all of its employees continue to 

consent to Tribal Court jurisdiction and service of process in all matters arising 

from the conduct of gaming activity. The required sworn statement shall be 

provided based on the consent given by applicants as per Section 10.03 (q). 

m. A sworn statement that the gaming enterprise has complied with the Bank Secrecy 

Act of the United States Code. 

Article 10. Employee Licensing. 

10.01. General - Category of Employees; License Requirements. There is one category of 

employees under purview of this Ordinance - Gaming Employees {Key Employees or 

16 
Primary Management Officials). 

l 0.02. Gaming Employees. Employees of the gaming enterprise who pe1form gaming activities as 

pait of their defined job descriptions (including duties and responsibilities) are considered 

Gaming Employees. 

a. General. The gaming enterprise shall be required to maintain a list of Gaming 

Employees, their positions, and a copy of all job descriptions (including duties and 

responsibilities) on file with the regulatory agency. VoJuntary relinquishment of a 

Gaming License will not preclude the regulatory agency from addressing license 

issues that occurred during the time the licensee held a license. 

b. Specific Disqualifying Circumstances. The regulatory agency shaJI not grant a 

license to any applicant for a Gaming Employee License who: 

I. ls a member of the Tribal Council, the Ogema, a Judge or Appellate Judge 

on the Tribal Court, the prosecutor, or a law enforcement officer of the 

Tribe. This subsection shall not apply to members of the Tribal Council or 

a Tribal Ogema sitting on an oversight body established by Tribal law to 

provide oversight to a gaming enterprise. 

2. Is under the age of eighteen (18); or 

3. Has been convicted of or entered a plea of guilty or no contest to a 

gambling-related offense, fraud or misrepresentation. The terms "fraud or 

misrepresentation" shall mean a criminal offense committed in Michigan or 

any other jurisdiction, involving theft, fraud or misrepresentation, which is 

a felony or would be a felony if committed in Michigan, and which was 

committed as an adult or prosecuted as an adult offense, and which has not 

been effectively removed from the employee's criminal record by executive 

pardon, state comt order, or operation of law; or 

4. Has been convicted of or entered a plea of guilty or no contest to any offense 

not specified in parab1I'aph (3) within the immediately preceding five years; 

this provision shall not apply if that person has been pardoned by the 

Governor of the State where the conviction occurred or, if a Tribal member, 

has been determined by the regulatory agency to be a person who is not 

likely again to engage in any offensive or criminal course of conduct and 

the public good does not require that the applicant be denied a gaming 

employee license. The term "any offense" shaJI mean any criminal offense 

not described in paragraph (3), whether committed in Michigan or any other 

jurisdiction, that is, or would be, a crime under the provisions of the 

17 
Michigan Penal Code, Act 328 of the Public Acts of 1931, as amended being 

MCL 750.1 to 750.568, or the controlled substances provisions of the Public 

Health Code, Act # 68 of the Public Acts of 1978, as amended, being MCL 

333.7101 to 333.7545, or any other criminal offense not included within the 

scope of paragraph (3) involving theft, dishonesty, fraud or 

misrepresentation arising under the law of Michigan or another state or 

jurisdiction, that was committed as an adult or prosecuted as an adult 

offense, and which has not been effectively removed from the employee's 

criminal record by executive pardon, state comt order, or operation of law; 

or 

5. Is detennined by the regulatory agency to have participated in organized 

crime or unlawful gambling or whose prior activities, criminal records, 

reputation, habits, and/or associations pose a threat to the public interest or 

to the effective regulation and control of gaming, or create or enhance the 

dangers of unsuitable, unfair, or illegal practices, methods and activities in 

the conduct of gaming or to the carrying on of the business and financial 

arrangements incidental to the conduct of gaming; or 

6. Has knowingly and willfully provided materially false and misleading 

statements or info1mation to the regulatory agency or refused to respond to 

questions and/or requests for information asked by the regulatory agency 

specifically related to the person's eligibility to obtain or retain a license; or 

7. Has been convicted of any offense related to sexual crimes or criminal 

sexual conduct where the perpetrator was convicted as an adult at the time 

the crime was committed, and/or is registered in any jurisdiction's list of 

sexual offenders; or 

10.03. Application for a Gaming Employee License. The regulatory agency shall require each 

potential employee to submit an application to the regulatory agency on the form and in 

the manner required by the regulatory agency. The application shall clearly identify 

whether the applicant is applying for a Key Employee or Primary Management Official 

License. The application shall include all of the following information: 

a. Full name, other names used (oral or written), Social Security Number(s), date of 

birth, place of birth, citizenship, gender, and all languages (spoken or written); 

b. Currently and for the previous five (5) years: 

I. business and employment positions held; and 

18 
2. ownership interests in those businesses; and 

3. business and residence addresses; and 

4. Driver's License Number. 

c. The names and current addresses of at least three (3) personal references, including 

one personal reference who was acquainted with the applicant during each period 

of residence listed under Section 10.03 (b); 

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

e . A description of any existing and previous gaming or other business relationships 

with any Indian tribe, including any ownership interests in the business; 

f. A description of any existing and previous business relationships with the gaming 

industry generally, including ownership interests in those businesses; 

g. The name and address of any licensing or regulatory agency with which the person 

has filed an application for a license, permit, or certification related to gaming; the 

current status of the application; and whether or not such license, permit, or 

certification was granted; 

h. For each felony for which there is an ongoing prosecution or a conviction, the 

charge, the name and address of the court involved, and the date of disposition, if 

any; 

1. For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding 

minor traffic violations) within ten ( l 0) years of the date of the application, the 

name and address of the court involved and the date of disposition, if any; 

J· For each criminal charge (excluding minor tratlic charges), whether or not there is 

a conviction, if such criminal charge is within ten (10) years of the date of the 

application and is not otherwise listed pursuant to paragraph (h) or (i) of this 

Section, the criminal charge, the name and address of the court involved, and the 

date and disposition, if any; 

k. The name and address of any licensing or regulatory agency with which the person 

has filed an application for a business or occupational license or pennit, whether or 

not such license or pennit was granted; 

I. A list of any previous or existing business relationships with/in the gaming industry, 

19 
including with any Tribes with gaming operations to include the name and address 

of the entity along with contact infonnation. 

m. One (l) piece of valid identification that includes a photograph and one ( 1) other 

form of identification (Social Security Card, birth certificate or passport) that 

allows the regulatory agency to verify the applicant's identity 

n. A list of all professional or business licenses the applicant has applied for, whether 

or not those licenses where granted and the name, address and phone number of the 

regulatory agency involved; 

o. A sworn statement that to the best of his/her knowledge the applicant or any 

member of his immediate family does not have a past or current financial interest, 

other than a salary interest, in any gaming enterprise anywhere. lfthe applicant has 

an immediate family member or member of his/her household who has such a 

relationship, the applicant shall fully disclose his/her name and the nature of the 

relationship; 

p. Written pennission g1vmg the regulatory agency the right to investigate the 

applicant's background, including criminal records, civil and criminal judgments 

and credit history; 

q. Each application shall be accompanied by a sworn statement that the applicant will 

submit to the jurisdiction of the Tribe and the Tribal Court, if licensed; 

r. For all appJications for licensure, fingerprints shall be taken by the regulatory 

agency and will then be forwarded to the NIGC for processing through the Federal 

Bureau of Investigation (FBI) and the National Criminal Infonnation Center to 

determine the applicant's criminal history, if any; 

s. Other information required by the regulatory agency rules or regulations. 

t. For all applications for licenses for General Managers or other Primary 

Management Officials, a complete financial statement and/or income tax records 

showing all sources of income for the previous three years, and assets, liabilities, 

and net wo1th as of the date of the application. 

10.04. Application Forms - Notices. 

a. Privacy Act Notice. The following notice shall be placed on the application form 

for an employee license so that it can be read before that form is filled out by an 

applicant: 

20 
"In compliance with the Privacy Act of 1974, the following information is provided: 

Solicitation of the infonnation on this fonn is authorized by 25 U.S.C. § 2701 et seq. The 

purpose of the requested information is to detennine the eligibility of individuals to be 

granted a gaming license. The information will be used by the Tribe's regulatory agency 

and the National Indian Gaming Commission members and staff who have need for the 

infonnation in the performance of their official duties. The information may be disclosed 

by the Tribe or the NIGC to appropriate Federal, Tribal, State, local, or foreign law 

enforcement and regulatory agencies when relevant to civil, criminal or regulatory 

investigations or prosecutions or when pursuant to a requirement by a Tribe or the National 

Indian Gaming Commission in connection with the issuance, denial or revocation of a 

gaming license, or investigations of activities while associated with a Tribe or a gaming 

operation. Failure to consent to the disclosures indicated in this notice will result in a tribe's 

being unable to license you for a primary management official or key employee position. 

The disclosure of your Social Security Number (SSN) is voluntary. However, failure to 

supply a SSN may result in errors in processing your application." 

b. False Statements Notice. The following additional notice shall be placed on the 

application form for a Key Employee or a Primary Management Official so that it 

can be read before that form is filled out by an applicant: 

"A false statement on any part of your license application may be grounds for denying a 

license or the suspension or revocation of a license. Also, you may be punished by fine or 

imprisonment(U.S. Code, Title 18, §1001)." 

10.05. Burden of Proof on Employee License Applicants. It is the detetmination of the Tribe that 

the public interest in the integrity of gaming is such that the burden of proof to establish 

fitness or eligibility to obtain or maintain a Gaming Employee License shall be upon the 

applicant or licensee, as the case may be. 

10.06. Background Investigation. The regulatory agency shall conduct, or cause to be conducted, 

an investigation sufficient to make a determination under this Article of all Gaming 

Employee License applicants. In conducting a background investigation, the regulatory 

agency shall keep confidential the identity of each person interviewed in the course of the 

investigation and shall maintain in a confidential manner the information obtained. Such 

information may be released to the Tribal Court in the event of an appeal of a licensing 

decision. The background investigation must be sufficient to allow the regulatory agency 

to make an eligibility determination under Section 10.07 of this Ordinance and shall consist 

of at least the following: 

a. The regulatory agency shall make an attempt to contact each personal and business 

reference provided in the application to verify the accuracy of the other information 

21 
b. 

c. 

d. 

e. 

10.07. 

a. 

b. 

presented. 

The criminal background of each applicant for a Gaming Employee License shall 

be investigated by obtaining infonnation concerning the applicant from law 

enforcement where the applicant has resided and submitting impressions of the 

applicant's fingerprints, taken under Section 10.03(r), to the Federal Bureau of 

Investigation Criminal Information Center, and any other law enforcement agency 

that the regulatory agency deems appropriate, requesting a criminal history report. 

The vital information which may be provided to identify the applicant may include: 

the applicanfs full name, any other names used by the applicant, date and place of 

birth, citizenship, Driver's License Number(s), Social Security Number, and a 

physical description. 

With respect to applicants for a Primary Management Official's application for a 

Gaming Employee License, the regulatory agency shall also investigate and verify 

the accuracy of financial infonnation provided by the applicant by contacting 

banks, other financial institutions or other sources as deemed necessary. The 

regulatory agency shall also obtain a Credit Bureau Report on the applicant which 

shall be updated annually. 

The regulatory agency shall attempt to complete the background investigation 

described in this Section within thirty (30) calendar days following receipt of a 

complete application. 

The regulatory agency may contract with private, municipal, State, and/or Federal 

investigation agencies to perfonn the required background and/or criminal history 

investigations. 

Eligibility Determination. 

Before a license is issued to a Key Employee or Primary Management Official, the 

regulatory agency shall make a finding concerning the eligibility of that person for 

receiving a Gaming Employee License by reviewing the applicant's prior activities, 

criminal record, if any, and reputation, habits and associations. 

If the regulatory agency, in applying the standards adopted in this Ordinance, 

determines that licensing the person poses a threat to the public interest or to the 

effective regulation of gaming, or creates or enhances the dangers of unsuitable, 

unfair or iJlegal practices, methods and I or activities in the conduct of gaming, it 

shall not license that person in a Key Employee or Primary Management Official 

position. 

22 
c. Copies of the Eligibility Determination shall be included with the Notice of Results 

that must be submitted to the NIGC before the licensing of Key Employee or a 

Primary Management Official. 

10.08. Action on Applications for a Gaming Employee License. 

a. Within fifteen (15) calendar days following the completion of the background 

investigation(s) described in this Article, the regulatory agency shall review the 

application, the results of background investigation, the criminal history reports, 

and financial report, if required, to determine if the applicant qualifies for the 

license applied for. 

b. If the regulatory agency determines that an applicant qualifies on a preliminary 

basis pursuant to Section 8.05 for the issuance of a license, then the regulatory 

agency may issue a temporary license to the applicant. A temporary license shall 

not be valid for more than thirty (30) calendar days from the date of issuance. 

c. The regulatory agency shall create and maintain an Investigative Report for each 

background investigation of a Key Employee or Primary Management Official 

which shall include the following information: 

I. Steps taken in conducting the investigation; and 

2. Results obtained; and 

3. Conclusions reached; and 

4. The basis for those conclusions. 

10.09. Notice of Results. Before issuing a license to a Key Employee or Primary Management 

Official , the regulatory agency shall prepare a Notice of Results on the applicant's 

background investigation to submit to the NIGC. The Notice of Results must be submitted 

to the NJGC no more later than sixty (60) calendar days after the applicant begins working 

for the Tribe. The Notice of Results shall include, at a minimum, all of the following 

information: 

a. The applicant's name, date of birth and Social Security Number; and 

b. The date on which the applicant began, or will begin, working as a Key Employee 

or Primary Management Official; and 

c. A summary of information presented in the investigative report, including: 

23 
1. Licenses that have been previously denied; and 

2. Gaming Licenses that have been revoked, even if subsequently reinstated; 

and 

3. Every known criminal charge brought against the applicant within the last 

10 years of the date of the application; and 

4. Every felony offense of which the applicant has been convicted or any 

ongoing prosecution. 

d. A copy of the Eligibility Detennination made in accordance with Section 10.07. 

10.10. Granting Gaming Licenses. All Key Employees and Primary Management Officials of any 

gaming enterprise must have an Employee Gaming License issued by the regulatory 

agency. The regulatory agency may license a Key Employee or Primary Management 

Official according to the following: 

a. The regulatory agency submitted a Notice of Results of the applicant's background 

investigation to the NIGC, according to Section 10.09. 

b. The regulatory agency notifies the NIGC of the issuance of the license within thirty 

(30) calendar days of issuance. 

c. The gaming enterprise shall not employ an individual in a Key Employee or 

Primary Management Official position who does not have a pennanent license after 

ninety (90) calendar days of beginning work at any gaming ente1prise. 

10.11. Reconsideration qfter NIGC Objections. The regulatory agency must reconsider a license 

application for a Key Employee or Primary Management Official if it receives a statement 

of itemized objections to issuing such a license from the NIGC and those objections are 

received within thirty (30) calendar days of the NIGC receiving a Notice of Results of the 

applicant's background infonnation; 

a. The regulatory agency shall take the NIGC's objections into account when 

reconsidering a license application. 

b. The regulatory agency shall make a final determination whether to issue a license 

to an applicant for a Key Employee or Primary Management Official position. 

c. lf the regulatory agency has issued a license to a Key Employee or Primary 

24 
Management Official before receiving the NIGC's statement of objections, notice 

and a hearing shall be provided to the licensee, as provided in Article 12. 

d. If the regulatory agency revokes a license after reconsideration under this Section, 

it shall notify the NIGC and the gaming enterprise and forward copies of its 

Eligibility Determination and Notice of Results of the applicant's background 

investigation to the NIGC for inclusion in the Indian Gaming Individuals Record 

System. 

10.12. Denying Gaming Employee Licenses. 

a. The regulatory agency shall not license a Key Employee or Primary Management 

Official if it determines, in applying the standards in Section 10.07 for making a 

license eligibility determination, that licensing the person: 

1. Poses a threat to the public interest; or 

2. Poses a threat to the effe.ctive regulation of gaming; or 

3. Creates or enhances the dangers of unsuitable, unfair or illegal practices, 

methods and/or activities in the conduct of gaming. 

b. If the regulatory agency does not issue a license to an applicant for a Key Employee 

or Primary Management Official position, it shall notify the NIGC and forward 

copies of its Eligibility Determination and Notice of Results to the NIGC for 

inclusion in the Indian Gaming Individual's Record System. 

10.13. Licensing Period. Any employee's license issued pursuant to this Ordinance, other than a 

temporary license, shall be effective for a period of one (1) year from the date of issuance 

and shall contain the licensee's photograph and shall state on its face the name of the 

emp]oyee, the gaming enterprise at which the employee is licensed to work, the type of 

license, the date that the license became effective and the date that it expires. 

10.14. Renewals. It is the responsibility of holders of a license to file his/her renewal applications 

in accordance with the regulatory agency's notifications and reguJations. A holder of a 

license shall apply to the regulatory agency for a renewaJ sixty (60) calendar days prior to 

the expiration of their current license and is required to update all information contained in 

the original application and any subsequent renewal application(s). Under all 

circumstances, an employee is required to obtain a valid license prior to the expiration of 

any current license. 

25 
10.15. Requirement to Produce License upon Request. Any person receiving a license pursuant to 

this Ordinance must have that Jicense on property during all working hours and must be 

able to produce that license upon request. 

10.16. Records Retention. 

a. When a Key Employee or Primary Management Official is licensed by the 

regulatory agency, a complete application file, containing at a minimum all 

of the infonnation listed in Section I 0.03 (a)-(t) shall be maintained. 

b. The regulatory agency shall retain, for no less than three (3) years from the 

date a Key Employee or Primary Management Official is tenninated from 

employment with the gaming enterprise, all of the following 

documentation: 

1. Applications for licensing; and 

2. Investigative Reports; and 

3. Eligibility Determinations. 

Article 11 . Gaming Vendor License. 

11 .01. General. All Gaming Vendors contracting with any gaming enterprise are required to be 

licensed. 

11.02. Gaming Vendors License. Vendors contemplating any business with any gaming 

enterprise that contains any element, which includes the supply of gaming services or 

concessions, devices, equipment, or supplies regardless of value or proportion of the 

contract, are required to obtain a Gaming Vendor License. The regulatory agency shall 

identify appropriate levels of information and releases necessary to assure the integrity of 

the vendor in supplying gaming services or concessions, devices or equipment, or supplies. 

Article 12. License Denials, Suspensions, and Revocations; Right to Appeal. 

12.01. Applicability. This Article shall apply to the denial, suspension, and/or revocation of any 

license issued by the regulatory agency under Article 10 or 11 of this Ordinance. 

12.02. Hearing upon Denial of License. Any applicant who is denied a license applied for under 

this Ordinance may request a hearing before the regulatory agency by written request 

submitted within fourteen (14) calendar days following receipt of notice of the action by 

the regulatory agency. 

26 
a. Within twenty-one (21) calendar days following receipt of a notice requesting a 

hearing, the regulatory agency shall afford the applicant an opportunity to appear 

and be heard before the regulatory agency, in person or with a representative or 

legal counsel, and to submit such evidence as the applicant deems relevant in the 

matter. The regulatory agency may receive evidence from the applicant or licensee, 

the Tribe, any gaming regulatory agency, or any person or entity that the regulatory 

agency deems relevant to the matter. 

b. The regulatory agency shall either affirm or reconsider its decision to deny the 

license within seven (7) calendar days following hearing. 

12.03. Suspension and/or Revocation qf License. 

a. If, after issuance of a license, the regulatory agency receives and verifies 

information that a person licensed under this Ordinance has violated or been 

charged with a violation of any criminal law that disqualifies the licensee from 

holding a license, any provision of this Ordinance, or any regulation promulgated 

under this Ordinance, or is otherwise not eligible for a license, the regulatory 

agency shall conduct an investigation to detennfoe whether revocation proceedings 

should be initiated. 

b. The person's license shall be immedfately suspended and revocation proceedings 

shall be initiated by serving the licensee with a written Notice of the Suspension, 

and proposed revocation, including notice of the time and place of the hearing, if: 

1. The licensee has been convicted of or pied guilty or no contest to any 

criminal offense that disqualifies the licensee from holding a license under 

applicable law or the Compact. 

2. The regulatory agency received a notification from the NIGC on the Key 

Employee or Primary Management Official. 

3. The licensee has been charged with any criminal offense related to 

gambling, fraud, theft, or other activities arising during the course of 

employment. 

c. The person's license may be suspended for not more than thirty (30) calendar days 

pending completion of an investigation by the regulatory agency to determine 

whether any of the following have occurred: 

27 
l . The licensee has violated any gaming rule as defined in this Ordinance or 

any regulation promulgated under this Ordinance. 

2. The licensee has engaged in conduct that poses a threat to the integrity of 

the gaming activities, the health or safety of the general public or employees 

at the gaming enterprise, or the assets of the Tribe. 

3. The licensee knowingly and substantially made a materially false and 

misleading statement related to his/her license application. 

4. The licensee has participated in unauthorized gaming activity whether or 

not regulated by this Ordinance. 

5. The licensee has knowingly and substantially refused to comply with any 

lawful order of the regulatory agency or the Tribal Court. 

12.04. Right to Hearing before the Regulatory Agency. In any case governed by Section 12.03(a) 

above, and in all cases where the regulatory agency detennines that a revocation is 

warranted under Section 12.03(b), the regulatory agency shall notify the licensee of the 

proposed revocation of the license. The notification shall be served upon the licensee and 

shall state the legal basis for the revocation and any evidence the regulatory agency relied 

upon in making its determination. The licensee shall be info1med of the date and time set 

for the hearing, and of the licensee's right to offer sworn oral and documentary evidence 

to rebut the regulatory agency's detennination. Any hearing scheduled in accordance with 

this Section shaJl be held within seven (7) calendar days from the date of the letter. After 

the hearing, the regulatory agency shall either (a) revoke; (b) reinstate the license; or (c) 

reinstate the license with conditions or limitations. The right to a revocation hearing under 

this Section vests only when a license is granted under an ordinance approved by the 

Chairman of the NIGC. 

12.05. Appeal to the Tribal Court. Any decision of the regulatory agency to revoke a license 

pursuant to this Ordinance may be appealed to the Tribal Court by the licensee within 

fourteen (14) calendar days of the date of receipt of the regulatory agency's decision. 

a. In all appeals before the Tribal Court, there shall be deference given by the Tribal 

Comt to the dete1mination of the regulatory agency as the agency charged with 

responsibility for interpreting its own regulations. The Tribal Court does not have 

authority to grant injunctive relief authorizing a return to work pending any appeal. 

The Tribal Court review of regulatory agency hearing detenninations is limited to 

interpretation and application of Law or regulation. The decision of the TribaJ Court 

shall be final. 

28 
12.06. Notice 10 NIGC of Revocation. The regulatory agency shall notify the NIGC of any 

decision to revoke or reinstate a license. If the suspension or revocation was based on an 

objection to licensure notice from the NIGC, this notice shall be provided to the NJGC with 

forty-five (45) calendar days of the date the regulatory agency received the notification. 

Article 13. Patron Dispute Resolution. 

13.01. 

a. The regulatory agency shall develop a Patron Complaint Regulation that details the 

requirements to resolve all patron complaints against the gaming enterprise; and 

b. Patrons who have complaints against the gaming enterprise shall have as their sole 

remedy the right to file a petition for relief with the regulatory agency. All 

complaints shall be submitted in writing within thirty (30) calendar days of the 

incident occurrence; and 

c. All claims by patrons shall be limited to a maximum recovery of proven damages, 

except disputes relating to a patron's entitlement to a game prize, which shall be 

limited to the amount of such prize; and 

d. The regulatory agency's decision shall constitute the complaint's final remedy. 

CERTIFICATION 

I, Sandra Lewis, Tribal Council Recorder, do hereby certify that this is a true and correct 

copy of the Gaming Ordinance approved on , 2018. 

[Seal] 

Sandra Lewis, Tribal Council Recorder 

29