JAN 2 8 1997 

Robert Guenthardt, Chairman 

Little River Band of Ottawa Indians 

P.O. Box 314 

Manistee, MI 49660-0314 

Dear Chairman Guenthardt: 

This letter responds to your request to review and approve 

the tribal gaming Ordinance No. 97-400-01 adopted by the'little 

River Band of Ottawa Indians (the Tribe) on January 15, 1997. 

This letter constitutes such approval under the Indian Gaming 

Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National 1ndian 

earning Commission (NIGC), the Chairman is directed to review 

ordinances with respect to the requirements of the IGRA and the 

implementing regulations. Thus, the scope of the Chairman's 

review and approval is limited to the requirements of the IGRA 

and the NIGC regulations. Provisions other than those required 

under the IGRA or the NIGC regulations that may be included in a 

tribal ordinance are not subject to review and approval. Such 

approval does not constitute approval of specific games. Also, 

the gaming ordinance is approved for gaming only on Indian lands 

as defined in the IGRA. . 

With the Chairman's approval of the Tribe's gaming 

ordinance, the Tribe is now required to conduct background 

investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application 

for each key employee and primary management official pursuant to 

25 C.F.R. 556.5(a) and an investigative report on each 

background investigation before issuing a license to a key 

employee or primary management official pursuant to 25 C.F.R. 

S 556.5(b). 

Thank you for submitting the ordinance of the Little River 

Band of Ottawa Indians for review and approval. The NIGC staff 

and I look forward to working with you and the Tribe in 

implementing the IGRA. 

Thomas J. Foley 

Commissioner 

1441 L STREET, N.W. 9M FLOOR WASHINGTON, D.C. 20005 TEL.: 202-632-7003 FAX: 202-632-7066 
Little River Band of Ottawa lndians 

1762 U.S. 31 South 

Manistee MI 49660 

(231) 723-8288 

TRIBAL COUNCIL 

LITTLE RIVER BAND OF OTTAWA INDIANS 

GAMING ORDINANCE 

ORDl NANCE NO. #97-400-01 

Amended and Recodified March 25, 1999 

PURPOSE. 

The Little River Band of Ottawa Indians (hereinafter "Tribe"), acting through its Tribal 

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

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

safety, and welfare of the members of the Tribe, hereby ordains and establishes this 

Ordinance for the purpose of authorizing and comprehensively and preemptively regulating 

the terms and conditions under which Class II and Class Ill gaming may be conducted on 

the lands of the Tribe. 

Section 1. Terms Defined. 

In this Ordinance, except where otherwise specifically' provided or the context otherwise 

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

1.01. Bingo. "Bingo" shall mean Bingo as defined in IGRA and regulations promulgated 

thereunder. 

1.02. Casino. "Casino" shall mean any Class II and/or Class Ill Gaming Facility owned by 

the Tribe. 

1.03. Cheating. "Cheating" shall mean operating or playing in any game in a manner 

which violates of the written or commonly understood rules of the game, with the intent to 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

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create for the player or someone in privity with the player an advantage over and above the 

chance of the game. 

1.04. Class I1 Gaming. "Class II Gaming" shall mean Class II Gaming as defined in IGRA. 

1.05. Class 111 Gaming. "Class Ill Gaming" shall mean Class Ill Gaming as defined in IGRA 

and the Compact. 

1.06. Compact. "Compact" shall mean either: 

(a) A gaming compact between the Tribe and the State of 

Michigan, entered into pursuant to Section 11 (d)(3) of IGRA, and 

approved by the Secretary of the lnterior including all renewals, 

amendments, appendices, exhibits and other attachments thereto, or 

(b) Procedures promulgated by the Secretary of the Interior 

pursuant to Section I I (d)(7)(B)(vii) of IGRA, governing the conduct of 

Class Ill gaming by the Tribe. 

1.07. Gaming Senlice Contractor. "Gaming Service Contractor" means any person, firm or 

corporation, other than a primary management official or key employee, who has a contract 

or agreement with the Gaming Operation that results in the purchase or lease of supplies, 

equipment, services or concessions in excess of $25,000.00 annually, except contracts for 

professional, legal and accounting services. 

I .08. Enterprise. "Enterprise" shall mean any commercial enterprise of the Tribe authorized 

to engage in Gaming, and all ancillary commercial activities within the Gaming Facility(ies) 

and other improvements constructed for the conduct of Gaming. 

1.09. Equipment. "Equipment" means all furnishings, fixtures, machinery, equipment, 

Gaming Devices and other personal property acquired for use in connection with a Gaming 

Enterprise. 

1 .lo. Gaming. "Gaming" means Class I1 and Class Ill gaming authorized by this Ordinance 

and the Compact. 

1 .I 1. Gaming Devices. "Gaming Devices" shall mean Electronic Games of Chance as 

defined in the Compact and as defined in IGRA. 

1.12. Gaming Employee. "Gaming Employee" shall mean any person employed in the 

operation or management of a Gaming Enterprise, whether employed by or contracted to 

the Tribe, or by any person or entity providing on or off-site services to the Tribe within or 

without any Gaming Facility, including without limitation, managers, assistant managers, 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

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accounting personnel, surveillance personnel, security personnel, cashiers, supervisors, 

shift bosses, machine mechanics, gaming consultants, management companies and their 

principals, and any other natural person whose employment duties require or authorize 

access to restricted areas of any Gaming Facility not otherwise open to the public. 

1.13. Gaming Facility. "Gaming Facility" shall mean the building, buildings, or structure 

wherein Gaming is permitted, performed, conducted, or operated, and associated and 

adjacent real property owned by the Tribe. 

1.14. Gaming Senlice. "Gaming Service" shall mean any goods, services or concessions 

provided by contract to the Tribe or to a Manager in connection with the operation of 

Gaming in an amount in excess of $25,000.00 in any calendar year, except for professional, 

legal or accounting services. No contract may be broken up into parts for the purpose of 

avoiding this definition or any requirement of licensure or certification required by this 

ordinance. 

1.15. lmmediate family. "lmmediate family" means with respect to the person under 

consideration, a husband, wife, father, mother, son, daughter, brother, sister, father-in-law, 

mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, 

stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, or half sister or 

other persons residing in the same household. 

1 .I 6. Key employee. "Key Employee" shall mean: 

(a) A person who performs one or more of the following 

functions: 

(i) Bingo caller; 

(ii) Counting room supervisor; 

(iii) Chief of security; 

(iv) Custodian of gaming supplies or cash; 

(v) Floor manager; 

(vi) Pit boss; 

(vii) Dealer; 

(viii) Croupier; 

(ix) Approver of credit; or 

(x) Custodian of gambling devices including persons with access to cash 

and accounting records within such devices. 

(b) Any other Gaming Employee as the Tribal Commission may 

include in the future by rule or regulation; 

(c) If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per year; or 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

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(d) If not otherwise included, the four most highly compensated 

persons in the gaming operation. 

1,17. IGRA. "IGRA shall mean the lndian Gaming Regulatory Act of 1988, 25 U.S.C. 

2701 et seq, as amended from time to time. 

1.18. License. "License" shall mean any official and revocable authorization granted for a 

limited period of time by the Tribal Gaming Commission pursuant to this Ordinance to an 

applicant to conduct or participate in any gaming activity on the Little River Band 

Reservation. 

1.19. Management Contract. "Management Contract" shall mean a contract or agreement 

between the Tribe and a Manager for the management of a Gaming Operation, including 

any related subcontracts and collateral agreements. 

1.20. Management Contractor. "Management Contractor" shall mean any person, firm, 

corporation or entity having a direct or indirect financial interest in a management contract. 

1.21. Manager. "Manager" shall mean a person, firm, corporation or entity with whom the 

Tribe enters into a Management Contract. 

1.22. National Indian Gaming Commission. "National lndian Gaming Commission" shall 

mean the Commission established pursuant to IGRA. 

1.23. Net Revenues. "Net Revenues" shall mean the gross revenues of a Gaming 

Operation less amounts paid for or paid out as prizes and less total operating expenses, 

determined in accordance with generally accepted accounting principles, but excluding 

management fees paid to a Manager in accordance with IGRA. 

1.24. Primary Management Official. "Primary Management Official" shall mean: 

(a) The person having management responsibility for a 

management contract; 

(b) Any person who has authority: 

(i) To hire and fire Gaming Employees; or 

(ii) To set up working policy for any Enterprise; or 

(c) The chief financial officer or other person who has financial management 

responsibility. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-4- 
1.25. Principal. Principal shall mean those persons having a direct or indirect financial 

interest in a management contract: 

(a) Any natural person having a financial interest in the contract in question; 

(b) with respect to a trust, any beneficiary or trustee; 

(c) with respect to a partnership, any partner; 

(d) with respect to a corporation, any person who (a) is a director thereof, or (b) 

holds at least 10% of the issued and outstanding stock alone or in 

combination with any other stockholder who is such person's spouse, parent, 

child or sibling; 

(e) with respect to any entity other than a natural person, firm, or corporation that 

has an interest in a trust, partnership or corporation that has an interest in a 

management contract, all parties of that entity. 

1.26. Reservation. "Reservation" shall mean those lands acquired by or for the Tribe 

pursuant to 25 U.S.C. $1 300k-4(b) or such other lands upon which Gaming may lawfully be 

conducted pursuant to IGRA. 

I .27. Secretary. "Secretary" shall mean the Secretary of the United States Department of 

the Interior or histher designee. 

1.28. State. "State" shall mean the State of Michigan. 

1.29. Tribal Coufi. "Tribal Court" shall mean the Tribal Court and Tribal Court of Appeals 

of the Little River Band of Ottawa Indians and all other tribal judicial forums now or 

hereinafter established by the Tribe. 

1.30. Tribal Gaming Commission. "Tribal Gaming Commission" or "Gaming Commission" 

shall mean the body created pursuant to this Gaming Ordinance to regulate Gaming in 

accordance with IGRA, any Class Ill gaming or Class II gaming regulations prescribed by 

the Secretary and this Gaming Ordinance. 

1.31. Tribe. "Tribe" shall mean the Little River Band of Ottawa Indians. 

Section 2. Creation of Tribal Gaming Commission. 

2.01. Establishment. The Tribal Council hereby charters, creates and establishes a 

Gaming Commission as a governmental subdivision of the Tribe. The Commission shall be 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-5- 
referred to throughout this Ordinance as the Gaming Commission. As a subdivision of the 

Tribal government, the Gaming Commission has been delegated the right to exercise one 

or more of the substantial governmental functions of the Tribe. In creating the Gaming 

Commission, it is the purpose and intent of the Tribal Council that the Gaming Commission 

ensure the integrity, honesty and fairness of all gaming activities conducted on the Tribe's 

Reservation and that such gaming activities be conducted in conformance with this 

ordinance, Rules and Regulations promulgated by the Gaming Commission, the Indian 

Gaming Regulatory Act, and any applicable Class Ill gaming compact or Class Ill gaming 

rules. 

2.02. Duration. The Gaming Commission shall have perpetual existence and succession 

in its own name, unless dissolved by the Tribal Council pursuant to Tribal law. 

Section 3. Sovereign Immunity of Gaming Commission; Tribe. 

3.01 . Sovereign lmmunity of the Gaming Commission. The Gaming Commission is 

clothed by federal and tribal law with all the privileges and immunities of the Tribe, except 

as specifically limited by Sections 14 and 15 of this ordinance, including sovereign immunity 

from suit in any state, federal or tribal court. Nothing in this ordinance shall be deemed or 

construed to be a waiver of sovereign immunity of the Gaming Commission from suit, which 

shall only be waived pursuant to subsection 3.02. Except as provided by Section 14 and 15, 

nothing in this ordinance shall be deemed or construed to be a consent of the Gaming 

Commission to the jurisdiction of the United States or any state or of any other tribe with 

regard to the business or affairs of the Gaming Commission. 

3.02. Waiver of Sovereign lmmunity of the Gaming Commission. Expect as provided in 

Sections 14 and 15 of this Ordinance, the sovereign immunity of the Gaming Commission 

may be waived only by express resolution of the Gaming Commission after consultation 

with the Tribal Council and the Tribe's General Counsel. Expect as provided in Sections 14 

and 15 of this Ordinance, all waivers or sovereign immunity must be preserved with the 

resolutions of the Gaming Commission and filed with the Tribal Council of continuing force 

and effect. Waivers of sovereign immunity shall not be general but shall be specific and 

limited as to duration, grantee, transaction, property or funds, if any, of the Gaming 

Commission subject thereto, and shall specify the court having jurisdiction pursuant thereto 

and the applicable law. Neither the power to sue and be sued provided in subsection 

6.01 (m), nor any express waiver of sovereign immunity by resolution of the Gaming 

Commission shall be deemed a consent to levy of any judgment, lien or attachment upon 

property of the Gaming Commission other than property specifically pledged or assigned, or 

a consent to suit in respect to any land contained within the Reservation of the Tribe or a 

consent to the alienation, attachment or encumbrance of any such land. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-6- 
3.03. Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as a 

federally-recognized Indian tribe with respect to the existence and activities of the Gaming 

Commission are hereby expressly reserved, including sovereign immunity from suit in any 

state, federal or tribal court. Except as provided in Sections 14 and 15 of this Ordinance, 

nothing in this ordinance, nor any action of the Gaming Commission, shall be deemed or 

construed to be a waiver of sovereign immunity from suit of the Tribe; or to be a consent of 

the Tribe to the jurisdiction of the United States or of any state or any other tribe with regard 

to the business or affairs of the Gaming Commission or the Tribe; or to be a consent of the 

Tribe to any cause of action, case or controversy, or to the levy of any judgment, lien or 

attachment upon any property of the Tribe; or to be a consent to suit with respect to any 

lands in the Tribe's Reservation, or to be a consent to the alienation, attachment or 

encumbrance of any such land. 

3.04. Credit of the Tribe. Nothing in this ordinance nor any activity of the Gaming 

Commission shall implicate or in any way involve the credit of the Tribe. 

3.05. Assets of the Tribal Commission. The Gaming Commission shall have only those 

assets specifically assigned to it by the Tribal Council or acquired in its name by the Tribe or 

by it on its own behalf. No activity of the Gaming Commission nor any indebtedness 

incurred by it shall implicate or in any way involve assets of tribal members or the Tribe not 

assigned in writing to the Gaming Commission. 

Section 4. Appointment of Gaming Commissioners; Qualifications. 

4.01. Number of Gaming Commissioners. The Gaming Commission shall be comprised of 

five (5) Gaming Commissioners. 

4.02. Appointment of Gaming Commissioners. The members of the Gaming Commission 

shall be appointed by the Tribal Council as follows: 

(a) Initial Appointments. Upon the enactment and passage of this ordinance, 

the Tribal Council shall publicize, to the extent reasonable and practical, that 

it will be appointing a five (5) member Gaming Commission and is seeking 

applicants for appointment and nominations of individuals for appointment. 

The Tribal Council may schedule interviews of qualified applicants /nominees. 

As soon as the Tribal Council completes its review of the qualified Tribal 

members willing to serve on the Gaming Commission, the Tribal Council 

shall, at its next regularly scheduled meeting, appoint five (5) members to the 

Gaming Commission. Provided that in any event the appointments shall be 

made within sixty (60) days of the date of execution of the Management 

Agreement. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

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(b) Terms of Ofice. The terms of office for the initial appointees shall be staggered, 

with two (2) members appointed for a term of one (1) year, two (2) members 

appointed for a term of two (2) years, and one member appointed for a term of three 

(3) years. All subsequent appointments to the Gaming Commission shall be for 

terms of four (4) years. Members may be reappointed for additional terms without 

limitation. 

(c) Future Appointments. At least four (4) weeks prior to any meeting during which 

appointments to the Gaming Commission will be made, the Tribal Ogema shall 

publicize that helshe will be making such nominations for appointments and shall 

seek applicants for appointment and nominations of individuals to be appointed. 

4.03. Qualifications of Commissioners. Any enrolled member of the Tribe, at least twentyone years of age or older who is not an elected member of the Tribal Council or the Tribal 

Ogema who is qualified to serve as a Commissioner u.nder Subsections 4.04 and 4.05 of 

this Section may be appointed to serve on the Gaming Commission. Each newly appointed 

Commissioner must attend training on the Indian Gaming Regulatory Act, regulations 

promulgated by the National lndian Gaming Commission, federal revenue laws relating to 

gaming, this Gaming Ordinance and any Regulations adopted by the Gaming Commission. 

4.04. Background Investigation. Before any applicant may be appointed to serve on the 

Gaming Commission, the Tribal Ogema shall perform or arrange to have performed a 

comprehensive background check on each prospective member. The results of the 

background checks shall be submitted to the Tribal Council when the Tribal Ogema submits 

hislher request for appointment. No person shall serve as a Commissioner if: 

(a) That person's prior activities, criminal records, if any, or 

reputation, habits or associations: 

(i) Pose a threat to the public interest; or 

(ii) Threaten the effective regulation and control of 

gaming; or 

(iii) Enhance the dangers of unsuitable, unfair, or 

illegal practices, methods, or activities in the 

conduct of gaming; or 

(b) That person has been convicted of or entered a plea of nolo contendere 

to a felony or any gaming offense in any jurisdiction or to a misdemeanor 

involving dishonesty or moral turpitude; or 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-8- 
(c) That person has a present financial interest in the conduct of any Gaming 

Enterprise; 

(d) That person is an employee of the Gaming Commission; 

(e) That person has a member of his immediate family, residing in the same 

household, who is employed as a primary management official or key 

employee by any Gaming Enterprise regulated by the Gaming Commission; 

or 

(f) Fails to disclose a conflict of interest, as defined in Section 4.05. 

In the event a disqualifying event, as defined in paragraph (c), (d) or (e) of 

this Section 4.04 occurs after the date a person's appointment to the Gaming 

Commission has been confirmed by the Tribal .Council, that Commissioner 

may continue to serve on the Commission for up to 120 days after the date 

the disqualifying event occurred so that the Tribal Ogema may begin the 

process of submitting a new candidate for appointment to the Gaming 

Commission. In the event of any other disqualifying event, as defined in this 

Section, the Tribal Council may take immediate steps to remove that 

Commissioner. 

4.05. Conflict of Interest. No person shall serve as a Commissioner if that person is a 

member of the Tribal Council or a judge of the Tribal Court. Persons nominated for 

appointment to the Gaming Commission must, prior to hislher appointment, disclose the 

names and addresses of hislher immediate family members, whether such immediate 

family members are employed at any Gaming Enterprise regulated by the Gaming 

Commission, and whether helshe or a member of hislher immediate family has a financial 

interest in any Gaming Service business. Gaming Commissioners are prohibited from 

participating in making decisions, which involve balancing personal financial interests or the 

interests of members of that Commissioner's immediate family, other than interests held in 

common by all Tribal members, against the interests of the Gaming Commission or the 

Tribe. Failure to disclose a conflict of interest, or to refrain from participating in decisions 

that involve a conflict of interest, shall be grounds for removal of a Commissioner pursuant 

to Section 4.07 of this Ordinance. 

4.06. Oath of Office. Immediately upon appointment, the Ogema shall administer the 

oath of office to the members of the Gaming Commission which oath of office shall include 

a commitment to uphold the Constitution and laws of the Little River Band of Ottawa Indians 

and to perform faithfully and diligently the duties and responsibilities of the Gaming 

Commission. Each person appointed to the Gaming Commission shall sign an oath of 

office, which designates the date of that person's appointment and the date upon which that 

appointment expires. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-9- 
4.07. Removal of Members or Vacancies. 

(a) Removal. A Commissioner may be removed by a resolution in favor of 

removal supported by seven (7) members of the Tribal Council for the following 

reasons: serious inefficiency, neglect of duty, malfeasance, misfeasance, 

nonfeasance, misconduct in office, or for any conduct which threatens the honesty 

and integrity of the Gaming Commission or otherwise violates the letter or intent of 

this ordinance. Except as provided below, no Commissioner may be removed 

without notice and an opportunity for a hearing before the Tribal Council, and then 

only after the Commissioner has been given written notice of the specific charges at 

least ten (10) days prior to such hearing. At any such hearing, the Commissioner 

shall have the opportunity to be heard in person or by counsel and to present 

witnesses and documentary evidence on his behalf. At the request of the 

Commissioner whose removal is at issue, the hearing may be held in closed 

session. The Tribal Council may also elect to receive certain evidence in closed 

session if public disclosure of such evidence might compromise any ongoing law 

enforcement investigation. If five (5) members of the Tribal Council determines 

that immediate removal of a Commissioner is necessary to protect the interests of 

the Tribe, the Tribal Council may immediately remove the Commissioner temporarily, 

and the question of permanent removal shall be determined thereafter pursuant to 

the hearing procedures described above. At the conclusion of the presentation of 

evidence and of any summary statements, the Tribal Council shall deliberate in 

closed session and shall issue its decision within seven (7) days. A written record of 

all removal proceedings together with the charges and findings thereon shall be kept 

by the Tribal Council Recorder. The decision of the Tribal Council to 

remove a Commissioner shall be final and no appeal to any other tribunal shall be 

available. 

(b) Vacancies. If any Commissioner shall die, resign, be removed or for any reason 

be unable to serve as a Commissioner, the Council shall declare the position vacant 

and shall appoint another person to fill the position. The terms of office of each 

person appointed to replace an initial Commissioner shall be for the balance of any 

unexpired term for such position, provided, however, that any prospective appointee 

must meet the qualifications established by this ordinance. 

Section 5. Organization; Meetings of the Gaming Commission. 

5.01 . Meetings. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 0- 
(a) Regular Meetings. The Gaming Commission shall hold at least one 

regular monthly meeting which shall take place at a suitable time and place 

determined by the Gaming Commission. 

(b) Special meetings. Special meetings may be called at the request of the 

Chairman of the Gaming Commission or three (3) members of the Gaming 

Commission. 

(c) Compensation of Commissioners. Commissioners may receive a stipend or 

other compensation for their service on the Commission in accordance with the 

budget approved for the Gaming Commission. 

(d) Quorum. A quorum for all meetings or hearings shall consist of three (3) 

members. 

(e) Voting. All questions arising in connection with the action of the Gaming 

Commission shall be decided by an affirmative vote of at least three (3) of the five 

(5) Commissioners; Provided that action on licensing of all Gaming Employees may 

be decided by majority vote provided a quorum is present. 

5.02. Organization. The Gaming Commission shall develop its own operating procedures 

and shall elect from within itself a Chairman to direct meetings, a Reporter to be responsible 

for keeping Gaming Commission minutes and transmitting to the Tribal Council a copy of 

those minutes, handling correspondence and reporting Gaming Commission decisions and 

such other officers as it deems advisable. 

Section 6. Powers and Responsibilities of Gaming Commission. 

6.01. Powers of the Gaming Commission. In furtherance, but not in limitation, of the 

Gaming Commission's purposes and responsibilities, and subject to any restrictions 

contained in this Ordinance or other applicable law, the Gaming Commission shall have and 

is authorized to exercise by majority vote, the following powers: 

(a) To regulate all day-to-day gaming activity within the jurisdiction of the 

Tribe to ensure the integrity thereof. 

(b) To promote the full and proper enforcement of all tribal civil and criminal 

gaming laws. 

(c) To issue, deny, suspend or revoke any gaming License necessary to operate, 

manage, conduct business with or be employed at any gaming activities authorized 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 1- 
by this Ordinance, or other tribal laws, and to establish a schedule of fees as may be 

necessary to defray expenses of License processing and background investigations. 

(d) To conduct or cause to be conducted, background investigations of persons or 

business entities applying for any gaming License. 

(e) To enact and enforce such rules and regulations consistent with this ordinance 

regarding its activities as the Gaming Commission may deem necessary and proper 

to effectuate the powers granted by this Ordinance and duties imposed by applicable 

law. 

(f) Subject to the approval of the Tribal Council of an appropriation of funds 

therefore, to employ such staff as reasonably may be required to fulfill the 

Commission's responsibilities under this Ordinance; provided, that all employees of 

the Gaming Commission shall be subject to background investigations, including 

criminal and financial background investigations. 

(g) To arrange for and direct such inspections and investigations as it deems 

necessary to ensure compliance with this Ordinance and implementing regulations. 

In undertaking such investigations, the Gaming Commission may request the 

assistance of tribal gaming staff, federal, state and tribal law enforcement officials, 

legal counsel and other third parties. 

(h) To administer oaths, conduct hearings, and by subpoena compel any licensee or 

License applicant, any person employed by a gaming facility, and any person doing 

business with a Gaming Enterprise to appear before it and to provide such 

information, documents or other materials as may be in their possession to assist in 

any investigation conducted by the Gaming Commission relating to the enforcement 

of tribal gaming laws and regulations. 

(i) To make, or cause to be made by its agents or employees, an examination or 

investigation of the place of business, equipment, facilities, tangible personal 

property, and the books, records, papers, vouchers, accounts, documents and 

financial statements of any Gaming Enterprise operating, or suspected to be 

operating, within the jurisdiction of the Tribe. 

(j) When necessary or appropriate, to request the assistance and utilize the services 

of the courts, law enforcement and government officials and agencies, and private 

parties, in exercising its powers and carrying out its responsibilities. 

(k) To close, after notice and a hearing, any game or games which are operating in 

violation of tribal or federal law. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 2- 
(I) To sue or be sued in courts of competent jurisdiction within the United States 

subject to the provisions of this ordinance and other tribal laws relating to sovereign 

immunity; provided, that no suit shall be brought by the Gaming Commission without 

the prior explicit written approval of the Tribal Council. 

(m) Where it is in the best interest of the Tribe, to develop a cooperative working 

relationship with federal, state and other Indian tribes, agencies and officials. 

(n) To investigate any aspect of any Gaming Enterprise in order to protect the public 

interest in the integrity of gaming and to prevent improper and unlawful conduct. The 

Gaming Commission shall investigate any report of a failure of any Gaming 

Enterprise to comply with this ordinance, any regulations adopted by the Gaming 

Commission, IGRA, or the Compact. The Gaming Commission may issue an order 

requiring any Gaming Enterprise to take any corrective or remedial action deemed 

necessary. 

(0) To arbitrate, compromise, negotiate or settle any dispute to which it is a party 

relating to the Gaming Commission's authorized activities. 

(p) To establish and maintain such bank accounts as may be necessary or 

convenient. 

(q) To make application and accept grants and other awards from private and 

governmental sources in carrying out or furthering the purposes of the Gaming 

Commission. 

(r) To exercise all authority delegated to it or conferred upon it by law and to take all 

action which shall be reasonably necessary and proper for carrying into execution 

the foregoing powers and all of the powers vested in this ordinance as permitted by 

the purposes and powers herein stated, which are deemed to be in the best interests 

of the Tribe and in compliance with applicable law. 

(s) Pursuant to the Tribal law, to initiate a suspension or revocation proceeding of a 

liquor license issued to a gaming establishment. 

6 -02. Additional Powers and Duties. 

(a) The Gaming Commission shall require the Manager of each Gaming Facility 

licensed by the Tribe to prepare a plan for the protection of public safety and the 

physical security of patrons of Gaming Facilities, setting forth the respective 

responsibilities of the Gaming Commission, the security department of the Gaming 

Facility(ies), and any Tribal police agency(ies). Such plan, and any subsequent 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 3- 
modifications thereof, shall be submitted to the Gaming Commission annually for its 

review and approval. 

(b) The Gaming Commission shall enforce all Tribal health and safety standards 

applicable to Gaming Facilities licensed by the Tribe. 

(c) The Gaming Commission shall establish a list of persons barred from Tribal 

gaming facilities because of their criminal history or association with career offenders 

or career offender organizations which pose a threat to the integrity of gaming. 

(d) The Gaming Commission shall publish and distribute copies of this Ordinance, 

Gaming Commission rules, and any Council, Gaming Commission or Tribal Court 

decisions regarding gaming matters. 

(e) The Gaming Commission shall maintain and keep current a record of new 

developments in the area of Indian gaming. 

(f) The Gaming Commission shall obtain and publish a summary of federal revenue 

laws relating to gaming and to ensure compliance with the same. 

(g) The Gaming Commission shall arrange for training of Gaming Commissioners, 

Gaming Commission employees and others in areas relating to the regulation of 

gaming. 

(h) The Gaming Commission shall consult with and make recommendations to the 

Council regarding changes in tribal gaming laws. 

6.03. Annual Budget. The Gaming Commission shall prepare an annual operating budget 

for all Gaming Commission activities and present it to the Tribal Ogema and the Tribal 

Council in accordance with budget and appropriation procedures established by the Tribe's 

Constitution and by the Tribal Council. 

6.04. Gaming Commission Regulations. 

(a) Gaming Commission regulations consistent with this Ordinance and necessary to 

carry out the orderly performance of its duties and powers shall include, but shall not 

be limited to the following: 

(1) Internal operational procedures of the Gaming Commission and its staff; 

(2) interpretation and application of this Ordinance as may be necessary to 

carry out the Gaming Commission's duties and exercise its powers; 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 4- 
(3) A regulatory system for all gaming activity, including accounting, 

contracting, and surveillance, to ensure the integrity, honesty and fairness of 

all gaming activities; 

(4) The conduct of inspections, investigations, hearings, enforcement actions 

and other powers of the Gaming Commission authorized by this Ordinance. 

(b) No regulation of the Gaming Commission shall be of any force or effect unless it 

is adopted by the Gaming Commission by written resolution and filed for record in 

the office of the Tribal Council Recorder. 

(c) The Tribal Court and any other court of competent jurisdiction shall take judicial 

notice of all Gaming Commission regulations adopted pursuant to and consistent 

with this Ordinance. 

6.05. Right of Entrance. The Gaming Commission ,and duly authorized officers and 

employees of the Gaming Commission, during regular business hours, may enter upon any 

premises of any Gaming Enterprise for the purpose of making inspections and examining 

the accounts, books, papers, and documents, of any such Gaming Enterprise. The Manager 

of each Gaming Enterprise shall facilitate such inspection or examinations by giving every 

reasonable aid to the Gaming Commission and to any properly authorized officer or 

employee. A Commissioner or a member of the Gaming Commission's staff shall visit each 

tribally-owned or tribally-operated Gaming Enterprise during normal business hours for the 

purpose of monitoring its operation. Such visits may be unannounced. 

6.06. Investigations. The Gaming Commission, upon complaint or upon its own initiative or 

whenever it may deem it necessary in the performance of its duties or the exercise of its 

powers, may investigate and examine the operation and premises of any Gaming 

Enterprise subject to the provisions of this Ordinance. In conducting such investigation, the 

Gaming Commission may proceed either with or without a hearing as it may deem best, but 

it shall make no order without first affording any affected party notice and an opportunity for 

a hearing pursuant to Gaming commission regulations. . 

6.07. Hearings; Examiner. Pursuant to regulations, the Gaming Commission may hold any 

hearing it deems to be reasonably required in the administration of its powers and duties 

under this ordinance. 

The Gaming Commission may designate one of its members to act as examiner for the 

purpose of holding any such hearing or the Gaming Commission may appoint another 

person to act as examiner under subsection 6.08 below. The Gaming Commission hearing 

regulations shall, at a minimum, afford any affected party, and all people interested therein 

as determined by the Gaming Commission, the right to appear personally before the 

Gaming Commission, the right to be represented by counsel at the affected party's own 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 5- 
expense, the right to face and question witnesses against the affected party, and the right to 

present oral or documentary evidence in support of the affected party's support. 

6.08. Appointment of Examiner. The Gaming Commission may appoint any person 

qualified in the law or possessing knowledge or expertise in the subject matter of the 

hearing to act as examiner for the purpose of holding any hearing which the Gaming 

Commission, or any member thereof, has power or authority to hold. Examiners appointed 

under this section shall not have the power to make findings or issue orders. 

Section 7. Classes of Gaming Authorized. 

7.01. Class I1 Gaming Authorized. Class II Gaming as defined in the IGRA, 25 U.S.C. 

Section 2703 (A) and by regulations lawfully promulgated by the National Indian Gaming 

Commission that now or hereafter may be in effect is hereby authorized. 

7.02. Class 111 Gaming Authorized. Class Ill Gaming as defined in IGRA, 25 U.S.C. 

Section 2703 (8) and by regulations lawfully promulgated by the National lndian Gaming 

Commission that now or hereafter may be in effect is hereby authorized, provided such 

Class Ill Gaming is also authorized by and consistent with the Compact, as defined in this 

Ordinance. 

7.03. Class I1 and/or Class 111 License Required. Class II and Class Ill Gaming authorized 

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

valid Gaming Facility License issued by the Gaming Commission pursuant to this 

Ordinance, and rules and regulations adopted pursuant to and consistent therewith. 

Section 8. Tribal Ownership Required. 

8.01. Sole Proprietary Interest Required. The Tribe shall have the sole proprietary interest 

in and responsibility for the conduct of any Gaming Facilities or Enterprises authorized by 

this Ordinance. 

8.02. Private/lndividual 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 Facility 

authorized or regulated by this Ordinance. 

8.03. Management Contracts Authorized. Nothing in this Ordinance shall preclude the 

Tribe from entering into Management Contracts as authorized under IGRA. 

Section 9. Use of Gaming Revenue. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 6- 
9.01. Permitted Uses. Net revenues from Class II and Class Ill 

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. 

Section 10. Audit Required; Report to National lndian Gaming. 

10.01. Annual Audit. The Tribal Gaming Commission shall conduct or have 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 National lndian Gaming Commission. 

10.02. Audit to Include Gaming Service Contracts. All Gaming Service contracts shall be 

specifically included within the scope of the audit described in Section 10.01, provided, that 

the Tribal Gaming Commission or the Tribal Council may require that Gaming Service 

contracts for less than $25,000.00 annually be included in the scope of the audit if inclusion 

is deemed necessary to protect the public interest in the integrity of lndian gaming. 

10.03. Record-keeping Requirements. At each Gaming Facility at which Class Ill gaming is 

conducted, accounting records shall be kept on a double entry system of accounting, 

maintaining detailed, supporting, subsidiary records. Gaming Facilities subject to this 

provision shall maintain the following records for not less than three (3) years: 

(a) Revenues, expenses, assets, liabilities and equity for the location at which 

Class Ill gaming is conducted; 

(b) Daily cash transactions for each Class Ill 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; 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 7- 
(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 

Gaming Service Contractors; 

(f) Records of all tribal gaming enforcement activities; 

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

(h) Personnel information on all Class Ill Gaming Employees or agents, including 

rotation sheets, hours worked, employee profiles and background checks. 

Section 11. Gaming Facility Licenses. 

11.01. License Required. No person shall conduct Class II or Class Ill Gaming within the 

jurisdiction of the Tribe unless such Gaming is conducted at a Gaming Facility licensed by 

the Tribe. No license may be issued for any Gaming Facility which is owned or operated by 

any person other than the Tribe. If 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 Ill Gaming is conducted under this 

ordinance. 

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

Facility Licenses. 

(a) Tribally-Owned or Tribally-Operated Class 11. This License shall be required 

of all tribally-owned or tribally operated Gaming Facilities operating one or 

more Class II Gaming activities. 

(b) Tribally-Owned or Tribally-Operated Class 111. This License shall be required 

for all tribally-owned or operated Gaming Facilities operating any gaming 

other than Class I or Class II gaming. 

11.03. Gaming Facility Application Procedures. In order to obtain a Gaming Facility 

License, the Enterprise requesting such license shall submit an application on the form 

provided by the Tribal Gaming Commission. The applicant shall include all of the following 

information: 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 8- 
(a) A description of the Gaming activity proposed, including, but not limited to: 

the type of Gaming proposed, the maximum number and types of Gaming 

Equipment and Gaming Devices expected to be in the Facility at any one 

time, the number and types of Gaming Equipment and Gaming Devices 

expected to be in use when the Facility first opens, and the days and hours of 

operation proposed. 

(b) A description of the Gaming Facility proposed, including the layout of the 

Gaming Equipment and Gaming Devices and the surveillance systems the 

Gaming Facility. 

(c) The location proposed for such Gaming Facility. 

(d) A description of the security, police, fire protection and other public safety 

services to be available to the proposed Gaming Facility and patrons of such 

Facility. 

(e) A description of the accounting procedures proposed for such Gaming 

Facility. 

(f) The name, address, title, and a description of the duties and responsibilities 

of each primary management official and key employee proposed for the 

Gaming Facility. 

(g) The number and categories of all other Gaming Employees it is anticipated 

will be employed at the Gaming Facility. 

11.04. Threshold Criteria which a Gaming Facility Applicant Must Meet. In addition to the 

information required in the Gaming Facility License application, any applicant for a triballyowned or tribally operated 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 Reservation lands acquired for 

or by the Tribe under 25 U.S.C. Section 1300K-4(b) or on other lands upon which 

Gaming may lawfully be conducted pursuant to IGRA. 

(b) The proposed Gaming activity is to be played as Class II Gaming as defined 

by this Ordinance and IGRA. 

(c) The Gaming Enterprise and proposed Gaming Facility is authorized by a 

Tribal Council resolution. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-1 9- 
(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 the proposed Gaming 

Enterprise. 

(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 Tribal Gaming Commission, 

Tribal Council and the National lndian Gaming Commission. 

(2) The Gaming Enterprise shall comply with all IRS reporting and filing 

requirements. 

(3) All of the proceeds of the Gaming Enterprise shall be used for the 

purposes stated in Section 9. 

(4) All Gaming Service Contracts shall be subject to the annual audit 

described in paragraph (I) of this subsection. 

(5) The construction or maintenance of the Gaming Facility and the 

operation of the proposed Gaming Facility shall be conducted in a manner 

adequately protects the environment and the health and safety. 

(6) All primary management officials and key employees shall pass the 

background checks and obtain the appropriate License required by this 

Ordinance. 

(7) Any Management Contract between the Tribe and a Management 

Contractor has been approved by the Tribal Council and the National lndian 

Gaming Commission. 

(8) All Principals having a direct or indirect financial interest in any 

Management Contract have passed the background checks required by this 

Ordinance and the National lndian Gaming Commission. 

(9) The proposed Gaming Facility shall pay to the National lndian Gaming 

Commission such fees as federal law may require. 

(10) In the event that Class Ill Gaming is proposed, such Gaming meets all 

other criteria established by the Compact. 

1 1.05. Gaming Facility License Application Procedures. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-20- 
(a) Upon receipt of a complete application f0r.a Gaming Facility License for any 

tribally-owned or operated Class II or Class Ill Gaming Facility, the Tribal Gaming 

Commission shall: 

(1) Review the proposed Gaming Enterprise to ensure that all threshold 

criteria required by this Ordinance shall be met. 

(2) Ensure that the necessary background checks have been performed 

on all management contractors, primary management officials and key 

employees required by this Ordinance and that all such entities or persons 

possess a valid and current provisional or regular License for each such 

entity's or person's position. 

(3) Review and approve the accounting procedures to be used in such 

Gaming. 

(4) Review and approve the layout of the games and surveillance systems 

for the Gaming Facility. 

(5) Review and approve the plan for the protection of public safety and the 

physical security of patrons of the Gaming Facility. 

(6) Review all aspects of the proposed Gaming Enterprise to ensure that it 

will be in compliance with the provisions of the Compact. 

(7) Take any additional steps necessary to ensure the integrity of such 

Gaming. 

(b) The Tribal Gaming Commission shall approve the Gaming Facility application 

within 30 days following the receipt of a complete application unless the Tribal 

Gaming Commission believes, based upon reasonable grounds, that the 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 Tribal Gaming Commission denies an application for a Gaming Facility 

License, the Gaming Commission shall promptly notify the applicant of the specific 

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

Gaming Commission determines will cure the deficiencies which resulted in denial of 

the application. 

1 1.06. License Application Fees. An application fee, not to exceed $1 00,000.00, shall be 

required for each tribally-operated Class II or Class Ill Gaming Facility. Said fee shall be set 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-21- 
by the Tribal Gaming Commission and shall be based upon the Tribal Gaming 

Commission's estimate of the anticipated actual cost of regulating the Gaming Facility, 

excluding the costs associated with licensing Primary Management Officials, Key 

Employees and other Gaming Employees. The license fee shall be paid in advance in 

quarterly installments. The Gaming Facility License shall not become valid until the first 

quarter's license fee is received by the Tribal Gaming Commission. The Gaming Facility's 

License shall lapse and the Tribal Gaming Commission shall take appropriate enforcement 

action if quarterly payments are not timely made. 

11.07. Terms of License. A tribally-owned or tribally-operated Class II and Class Ill Gaming 

Facility License shall be valid for a period of thirteen (13) months from the date of issuance. 

11.08. 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. 

1 1.09. Gaming Facility License Renewals. 

(a) Each tribal Gaming Facility License must be renewed every thirteen (13) 

months from the date of issuance. A renewal fee shall be required for each Class II 

or Class Ill Gaming Facility License in accordance with the Section 11.06. 

(b) In order to obtain a renewal of a license, the Enterprise shall submit a written 

renewal application to the Tribal Gaming Commission on the form provided by the 

Tribal Gaming Commission. No renewal application shall be approved until the 

annual report, required by subsection 1 I .lo, has been properly filed. 

(c) All renewal applications submitted shall be approved in 30 days or less 

unless the Commission believes, based on reasonable grounds, that the Enterprise 

has been or will be operated in violation of tribal, federal or other applicable law or 

the terms and conditions of the Compact. 

(d) If the Tribal Gaming Commission denies a renewal application for a Gaming 

Facility License, the Gaming Commission shall; within 7 calendar days, notify the 

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

actions which the Tribal Gaming Commission determines will cure the deficiencies 

which resulted in denial of the application. 

11 .lo. Annual Reports. Each Enterprise which possesses a Class II or Class Ill Gaming 

Facility License must file an annual report with the Tribal Gaming Commission and the 

Tribal Council between the 15th and the last day of the 12th month of each such License. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-22- 
The report shall be submitted to the Tribal Gaming Commission and shall include, at a 

minimum, the following information: 

(a) The name, address and telephone number of the Enterprise and Gaming 

Facility; 

(b) The names, addresses and titles of all of the current managers of the 

Enterprise and the Gaming Facility; 

(c) A description of the operations of the Gaming Facility, including, but not 

limited to: the number and type of games and Gaming Devices operated, the number 

of days and hours of operation, and the total gross sales; 

(d) A written copy of any changes anticipated or proposed in the operations of 

the Gaming Facility, including any changes in its rules, public safetylsecurity plan, 

layout of the games or surveillance systems; 

(e) The name, address, title, and a description of the duties and responsibilities of 

each primary management official and key employee for the Gaming Facility; 

(f) The name and addresses of the person who will be designated as primary 

management official over the next license period; 

(g) A statement of any changes in the duties or designation of the primary 

management officials or key employees who will operate the gaming activity over the 

next license period; 

(h) The names and addresses of any employees who the Tribal Commission 

may determine to be key employees during review of the application; 

(i) Written proof that the Enterprise and the Management Contractor, if any, has 

paid to the National Indian Gaming Commission such fees as federal and tribal law 

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

(j) A sworn statement that the Enterprise has complied with the Internal 

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

a statement that the Enterprise shall continue to obey all tribal and federal laws and 

shall hold the Tribal Gaming Commission and the Tribe harmless for failure to do so; 

(k) A verified copy of the last annual audited financial report following the end of 

the Enterprise's last fiscal year; 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-23- 
(I) The number of full-time equivalent people, on an annualized basis, employed 

at the Gaming Facility during the past 12 months, together with a projection of the 

number of full-time equivalent people who are expected to be employed during the 

next license period; 

(m) The total gross revenue of the Enterprise attributable directly or indirectly to 

tribally- licensed gaming activity over the proceeding 12 months; 

(n) A sworn statement that the operator and all of its key employees and 

management contractors continue to consent to Tribal Court jurisdiction and service 

of process in all matters arising from the conduct of tribally-licensed gaming activity; 

11 .I 1. Non-Interference with Management of Gaming Facility. The Tribal Gaming 

Commission is required to receive the information contained in the annual report provided 

under subsection 11 .I0 solely to ensure that the Gaming Facility is free from corruption and 

to aid in carrying out its regulatory responsibilities. The Tribal Gaming Commission shall 

have no responsibility for, and shall not interfere with or regulate, any business or 

management activities or decisions of the Gaming Enterprise. 

Section 12. Licensing of Gaming Facility Employees and Gaming Service 

Contractors. 

12.01. Licensing. The Tribe and the Gaming Commission, consistent with IGRA, and the 

Compact, shall ensure that the policies and procedures set out in this section are 

implemented with respect to the following individuals and entities, who shall be required to 

fill out an application form for a license: 

(a) each Management Contractor and each Principal thereof; 

(b) each Primary Management Official; 

(c) each Key Employee; 

(d) each Gaming Service Contractor; and 

(e) Each Gaming Employee (other than a Management Contractor and Principals 

thereof, Primary Management Officials or Key Employees. 

12.02. Licensure of Management Contractors and Principals Thereof. No person or other 

legal entity shall be employed as a Management Contractor, unless such person or entity 

has a current Management Contractor's license issued by the Tribal Gaming Commission. 

In order to receive such a license, each Principal, as defined in Section 1.25, must submit 

an application containing the information required in subsection 13.01 and must have 

passed the background investigation required by this ordinance. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-24- 
12.03. Licensure of Primary Management Officials. No person, firm or other entity other 

than the Tribe shall be employed as a Manager, have a management interest, or financial 

interest in the operation of any Gaming Facility, unless such person, firm or entity has a 

current Primary Management Official's license issued by the Tribal Gaming Commission. 

12.04. Licensure of Key Employees. No person shall be employed as a Key Employee at 

any Gaming Facility, unless such person has a current Key Employee's license issued by 

the Tribal Gaming Commission. 

12.05. Licensure of Gaming Service Contractors. No person, firm or corporation shall 

purchase any Gaming Service, or enter into a contract for the purchase or lease of any 

Gaming Service, unless the provider of such Gaming Service has a current Gaming Service 

Contractors' license issued by the Tribal Gaming Commission. 

12.06. Licensure of Gaming Employees. No person shall be employed as a Gaming 

Employee, as defined in this Ordinance, (other than a Management Contractor and 

Principals thereof, Primary Management Officials or Key Employees) unless such person 

has a current Gaming Employee's license issued by the Tribal Gaming Commission. 

12.07. Non-Gaming Employees. All persons who are not Gaming Employees but work at 

any Gaming Facility, must obtain a non-gaming work permit from the Tribal Gaming 

Commission before commencing employment. Such work permits may be issued upon a 

determination by the Tribal Gaming Commission that the employee is not a threat to the 

effective regulation of Gaming and creates no risk or enhances no danger of unfair or illegal 

practices, methods or activities in the conduct of Gaming. All applicants for work permits 

shall provide such information as the Tribal Gaming Commission shall require. 

Section 13. Gaming License Application Procedures. 

13.01. Application for License. The Tribal Gaming Commission shall require from each 

potential Management Contractor and each Principal thereof, from each person seeking 

employment as a Primary Management official, or Key Employee, and may require all 

others listed in sub-section 12.01, to submit an application to the Tribal Gaming 

Commission on the form and in the manner required by the Tribal Gaming Commission. 

The application shall include all of the following information: 

(a) Full name other names used (oral or written), social security number(s), birth 

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

(b) Currently and for the previous 5 years: business and employment positions 

held, ownership interests in those businesses, business and residence 

addresses, and drivers license numbers; 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-25- 
The names and current addresses of at least three personal references, 

including one personal reference who was acquainted with the applicant 

during each period of residence listed under paragraph (b) of this subsection; 

Current business and residence telephone numbers; 

A description of any existing and previous gaming or other business 

relationships with any Indian tribe; 

A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

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

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

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

was granted; 

A list of all felony charges and dispositions against the applicant, if any, and 

for each felony for which there is ongoing prosecution or a conviction, the 

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

disposition if any; 

A list of all misdemeanor charges and dispositions against the applicant, if 

any, (excluding traffic violations for which incarceration was not a possible 

punishment), and for each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within 10 years of the date of 

the application, the name and address of the court involved and the date and 

disposition; 

For each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge was within 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; 

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 

permit, whether or not such license or permit was granted; 

Two (2) current photographs; 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-26- 
(m) For all applications for licenses for Management Contractors and each 

Principal thereof, or Primary Management.Officials, a complete financial 

statement and/or income tax records showing all sources of income for the 

previous three (3) years, and assets, liabilities, and net worth as of the date of 

the application; 

(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. 

(0) A sworn statement that neither the applicant nor any member of his 

immediate family has a past or current financial interest, other than a salary 

interest, in any gaming-related enterprise anywhere. If the applicant has any 

relative who has such a relationship, the applicant shall fully disclose his 

name and the nature of the relationship. 

(p) Written permission giving the Tribal Gaming Commission or its designee the 

right to investigate the applicant's background, including his 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 

employed. 

(r) Any other information the Tribe deems relevant; 

(s) For all applications for licenses for Management Contractors and each 

Principal thereof, Primary Management Officials or Key Employees, 

fingerprints obtained in duplicate on fingerprint impression cards taken by the 

Manistee City Police Department or the Tribal Gaming Commission 

consistent with procedures adopted by the Tribe according to 25 C.F.R. 

s522.2 (h); 

(t) Any other information required by Tribal Gaming Commission rule or 

regulation. 

1 3.02. Application Forms - Notices. 

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

for a management contractor, key employee or a primary management official before 

that form is filled out by an applicant: 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-27- 
"In compliance with the Privacy Act of 1974, the following 

information is provided: Solicitation of the information on this 

form is authorized by 25 U.S.C. 2701 et seq. The purpose of 

the requested information is to determine the eligibility of 

individuals to be employed in a gaming operation. The 

information will be used by National Indian Gaming 

Commission members and staff who have need for the 

information in the performance of their official duties. The 

information may be disclosed to appropriate Federal, Tribal, 

State, local, or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or regulatory 

investigations prosecutions or when pursuant to a requirement 

by a tribe or the National Indian Gaming Commission in 

issuance 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 hire you in 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 notice shall be placed on the application 

form for a key employee or a primary official before that form is filled out by an 

applicant: 

"A false statement on any part of your application may be 

grounds for not hiring you, or for firing you after you begin work. 

Also, you may be punished by fine or imprisonment." 

13.03. Burden of Proof. It is the determination 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 license under this ordinance shall be upon the applicant or licensee, as the 

case may be. 

13.04. Background Investigation. The Tribal Gaming Commission shall conduct, or cause to 

be conducted, an investigation sufficient to make a determination under subsection 13.05 

below. In conducting a background investigation, the Tribe, the Tribal Gaming Commission 

or its agent shall promise to keep confidential the identity of each person interviewed in the 

course of the investigation. The background investigation shall consist of at least the 

following: 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-28- 
(a) The Tribal Gaming Commission or its designee shall also contact each reference 

provided in the application and take other appropriate steps to verify the accuracy of 

the other information presented and prepare a report of their findings for the 

Commission. 

(b) The criminal background of each applicant for a license shall be investigated 

submitting vital information concerning the applicant to the Michigan State Police 

and/or local law enforcement and, for Management Contractors, Primary 

Management Officials and Key Employees, submitting impressions of the applicant's 

fingerprints, taken under paragraph (s) of subsection 13.01, to the Federal Bureau of 

Investigation Criminal Information Center, and any other law enforcement 

agency(ies) that the Tribal Gaming Commission deems appropriate, requesting a 

criminal history report. The vital information provided to such law enforcement 

agencies shall include, at a minimum: the applicant's full name, any other names 

used by the applicant, date and place of birth, citizenship, drivers license numbers, 

social security number, and a physical description. 

(c) With respect to applicants for a Management Contractors or Primary 

Management Officials license, the Gaming Commission shall also investigate and 

verify the accuracy of financial information provided by the applicant by contacting 

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

Gaming Commission shall also obtain a credit bureau report on the applicant. 

(d) The Tribal Gaming Commission shall attempt to complete the background 

investigation described in this subsection within 30 days following receipt of a 

complete application. 

(e) The Gaming Commission may contract with a private, municipal, state, and/or 

federal investigation agencies to perform the required background and/or criminal 

history investigations. 

13.05. Eligibility Determination. The Tribal Gaming Commission shall review a person's or 

entity's prior activities, criminal records, if any, reputation, habits, and associations to make 

a finding concerning the eligibility of a key employee. or primary management official or 

other individual or entity listed above for employment in or association with a Gaming 

Enterprise. If the Tribal Gaming Commission determines that employment of or contract 

with the person or entity poses a threat to the public interest or to the effective regulation of 

Gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of Gaming, the Tribal Gaming Enterprise shall not 

employ or contract with that person or entity in a key employee or primary management 

official position, or as an employee, nor as a management contractor nor supplier of gaming 

goods or services. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

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'1 3.06. Standards for Issuance of Key Employee or Primary Management Officials' License. 

The Tribal Gaming Commission shall not grant a license to any applicant for employment as 

a Key Employee or Primary Management Official who: 

(a) Is a member of the Tribal Council or the Tribal Ogema; 

(b) Is under the age of 18; or 

(c) Has been convicted of or entered a plea of guilty or no contest to a gamblingrelated offense, fraud or misrepresentation, within the immediately preceding 

10 years; or 

(d) Has been convicted of or entered a plea of guilty or no contest to any offense 

not specified in subparagraph (c) 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 Tribal Gaming Commission 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 license as 

a key employee or primary management official; or 

(e) Is determined by the Tribe to have participated in organized crime or unlawful 

gambling or whose prior activities, criminal records, reputation, habits, andlor 

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 

(f) Has knowingly and willfully provided materially false and misleading 

statements or information to the Tribal Gaming Commission or refused to 

respond to questions asked by the Tribal Gaming Commission. 

(g) The terms "fraud or misrepresentation" as,used in paragraph (c) 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 court order, or 

operation of law. 

(h) The term "any offense" as used in paragraph (d) shall mean any criminal 

offense not described in paragraph (c), whether committed in Michigan or any 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-30- 
other jurisdiction, that is, or would be, a crime under the provisions of the 

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

controlled substances provisions of the Public Health Code, Act No. 368 of 

the Public Acts of 1978, as amended or any other criminal offense not 

included within the scope of paragraph (c). 

1 3.07. Action on Applications for Nongaming Employee Work Permits, Gaming Employee 

License, and Gaming Service Contractor License. 

(a) Within 15 days following the completion of the background investigation, the 

Tribal Gaming Commission shall review the application, the results of background 

investigation to determine if the applicant qualifies for the license or work permit 

applied for. 

(b) If the Tribal Gaming Commission determines that an applicant for a Gaming 

Service Contractors license, Gaming Employee license or Non-gaming employee 

work permit qualifies, pursuant to subsection 13.05, for the issuance of the license or 

work permit applied for, the Tribal Gaming Commission may approve the application 

and issue the license or work permit, as the case may be. 

(c) If the Tribal Gaming Commission denies any application for a Gaming Service 

Contractor license, Gaming Employee license or Nongaming Employee work permit, 

the Gaming Commission shall, within 7 calendar days, notify the applicant that the 

application was denied and specify the reasons for the denial, including information 

concerning any criminal conviction(s), which prompted the denial. The notice to each 

applicant shall also inform the applicant of the applicant's right to request a hearing 

and appeals provided in Section 14. 

(d) If a license is not issued to an applicant, the Tribal Gaming Commission: 

(1) Shall notify the National lndian Gaming Commission; and 

(2) May forward copies of its eligibility determination and investigative 

report (if any) to the National lndian Gaming Commission for inclusion 

in the lndian Gaming Individuals Records System. 

I 3.08. Action on Applications for Management Contractor, Primary Management Official 

and Key Employee License. 

(a) Within 15 days following the completion of the background investigation (s) 

described in subsection 13.04, the Tribal Gaming Commission 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. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-31 - 
(b) If the Tribal Gaming Commission determines that an applicant qualifies, 

pursuant to sub-sections 13.05 and 13.06, for the issuance of such license or work 

permit applied for, the Tribal Gaming Commission may approve the application on 

an preliminary basis and may, in its further discretion, issue a provisional license to 

the applicant. A provisional license shall be valid for not more than one year. 

(c) Within 7 calendar days after granting preliminary approval of a license 

application, the Tribal Gaming Commission shall prepare and forward to the National 

lndian Gaming Commission an investigative report on each background 

investigation. An investigative report shall include all of the following: 

(1) Steps taken in conducting a background investigation; 

(2) Results obtained; 

(3) Conclusions reached; and 

(4) The basis for those conclusions. 

The Tribal Gaming Commission shall submit, with the investigative report, a copy of 

the Gaming Commission's eligibility determination and notify the National lndian 

Gaming Commission of the Tribal Gaming Commission's intention to issue the 

applicant a license and request that the agency review the application and 

investigative report pursuant to IGRA. 

(d) The Tribal Gaming Commission may grant final approval of a license application 

submitted under this subsection only after the following 1 of the following has 

occurred: 

(1) The Tribal Gaming Commission has received notice from the National 

lndian Gaming Commission that it has no objection to the issuance of 

the license; or 

(2) Thirty (30) days have elapsed since the National lndian Gaming 

Commission was notified of the Tribal Gaming Commission's intent to 

issue the license and the National lndian Gaming Commission has not 

responded; or 

(3) The National lndian Gaming Commission timely objected to the 

issuance of the license, the Tribal Gaming Commission has 

reconsidered the application in light of the objections received and has 

determined that the applicant may be licensed notwithstanding those 

objections. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-32- 
(e) The Tribal Gaming Commission shall promptly notify the applicant that the 

application is approved and shall issue the license. If a provisional license was 

previously issued, the effective date of the license shall be the date the provisional 

license was issued. 

(f) The gaming operation shall not employ as a key employee or primary 

management official a person who has not received either a provisional or regular 

license within ninety (90) days of being employed by the gaming facility. 

(g) If the Tribal Gaming Commission denies any application for a license under 

this subsection, the Gaming Commission shall, within 7 calendar days, notify the 

applicant that the application was denied and specify the reasons, including 

information concerning any criminal conviction(s), which prompted the denial. The 

notice to each applicant shall also inform the applicant of the applicant's right to 

request a hearing and appeals provided in Section 14. The applicant may file an 

immediate appeal with the Tribal Court of the Gaming Commission's decision under 

this section and the Tribal Court shall hear the appeal within 14 calendar days of its 

receipt of the appeal. 

(h) If a license is not issued to an applicant, the Tribal Gaming Commission: 

(1 Shall notify the National lndian Gaming Commission; and 

(2) May forward copies of its eligibility determination and investigative 

report (if any) to the National lndian Gaming Commission for inclusion 

in the lndian Gaming Individuals Records System. 

(i) With respect to key employees and primary management the Tribal Gaming 

Commission shall retain employment and reports (if any) of background 

investigations for inspection by the Chairman of the National lndian Gaming 

Commission or his or her designee for no less than three (3) years from the date of 

termination of employment. 

13.09. Licensing Period. Any employee gaming license issued pursuant to this section shall 

be effective for a period of one year from the date of issuance and shall contain the 

licensee's photograph and shall state on its face the name of the employee, the Gaming 

Facility 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. 

13.10. Renewals. A holder of an employee gaming license shall petition to have his license 

renewed, by applying to the Tribal Commission for a renewal before his original license has 

expired and updating all information contained in the original application. Provisional 

licenses may be granted if a license expires before the Commission acts upon the license 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-33- 
renewal request and such provisional license shall be valid and effective until the license is 

renewed or the license renewal request is denied by the Gaming Commission. 

13.1 1. Requirement to Produce License Upon Request. Any person receiving an employee 

gaming license must carry that license upon his person during all working hours and must 

produce that license upon the request of any person. 

Section 14. SuspensionlRevocation of License; Right to Appeal. 

14.01. Hearing upon Denial of License. Any applicant who is affected by an adverse action 

by the Tribal Gaming Commission in connection with denial of a license applied for under 

this ordinance may request a hearing before the Tribal Gaming Commission by written 

request submitted within 30 days following notice of the action by the Tribal Gaming 

Commission. Within 14 days following receipt of a notice requesting a hearing, the Tribal 

Gaming Commission shall afford such person or entity an opportunity to appear and be 

heard before the Tribal Gaming Commission, in person or with a representative or legal 

counsel, and to submit such evidence as such person or entity deems relevant in the 

matter. The Tribal Gaming Commission may receive evidence from the applicant or 

licensee, the Tribe, Tribal Gaming Commission or any person or entity that the Tribal 

Gaming Commission deems relevant to the matter. The Tribal Gaming Commission shall 

either affirm or reconsider its decision to deny the license within 7 days following hearing. 

The applicant may file an immediate appeal with the Tribal Court of the Gaming 

Commission's decision under this section and the Tribal Court shall hear the appeal within 

14 calendar days of its receipt of the appeal. 

14.02. Suspension of Gaming License. 

(a) Subject to subsection 14.06 below, any gaming license may be temporarily 

and immediately suspended by the Tribal Gaming Commission or the Tribal Court 

for not more than 30 days if the Tribal Gaming Commission receives reliable 

information that any of the following have occurred: 

(1) The employeelentity has been charged with a violation of any gaming 

law. 

72) The employeelentity's continued employment as a primary 

management official or key employee of a game or gaming enterprise poses 

a threat to the general public. 

(3) The employeelentity has knowingly and intentionally made a material 

false and misleading statement in his license application. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-34- 
(4) The employeelentity has participated in gaming activity regulated by 

this Ordinance and unauthorized by his tribal gaming license. 

(5) The employeelentity has refused to comply with any lawful order of the 

Tribal Gaming Commission, the Tribal Court or the National Indian Gaming 

Commission. 

(b) In the event the Tribal Gaming Commission determines that any employeelentity 

meets any of the criteria stated in subsections 14.02(a)(I) through 14.02(a)(5) above 

or that his non-compliance with this Ordinance is a direct and immediate threat to the 

peace, safety, morals or health or welfare of the community, subject to review by the 

Tribal Court, the Tribal Gaming Commission or its designee shall issue a notice of 

temporary suspension of such person's gaming license which shall be served upon 

the employeelentity or an agent of the employeelentity and upon the Manager. The 

order shall state the grounds upon which it is issued and the employeelentity's right 

to a hearing. The employeelentity shall cease and desist operating in his 

management position or in his capacity as a key .employee immediately upon receipt 

of the order, but slhe may file a notice of appeal with the Tribal Gaming Commission 

which shall hold a hearing on the order within 14 calendar days of its receipt of the 

appeal. At the hearing the employeelentity shall have the right to be represented by 

counsel at the employeelentity' s expense and an opportunity to present testimony 

and cross-examine opposing witnesses, and to present any other documentary and 

oral evidence as to why a temporary suspension order or an injunction should not be 

issued. The hearing shall be governed in all respects in accordance with tribal law 

and Tribal Gaming Commission regulations. The employeelentity may file an 

immediate appeal with the Tribal Court of the Gaming Commission's decision under 

this section, including the notice of temporary suspension, and the Tribal Court shall 

hear such appeal within 14 calendar days of its receipt of the appeal. 

14.03. Revocation of Gaming License. 

(a) Subject to subsection 14.06 below, any gaming license may be revoked by the 

Tribal Gaming Commission or the Tribal Court if, following the hearing described in 

paragraph (b) of this subsection, the Tribal Gaming Commission finds that any of the 

following have occurred: 

(1) The employeelentity has violated any gaming law. 

(2) The employeelentity' s continued employment as a primary 

management official or key employee of a game or gaming enterprise poses 

a threat to the general public. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-35- 
(3) The employeelentity intentionally made a material false and 

misleading statement in his license application. 

(4) The employeelentity participated in gaming activity regulated by this 

Ordinance and unauthorized by his tribal gaming license. 

(5) The employeelentity wilfully refused to comply with any lawful order of 

the Tribal Gaming Commission, the Tribal Court or the National Indian 

Gaming Commission. 

(b) Subject to subsection 14.06 below, in the event the Tribal Gaming 

Commission receives reliable information indicating that any licensed individual, 

corporation or other entity has committed any of the violations stated in subsections 

14.03 (a)(l) through 14.03 (a)(5) above or that his non-compliance with this 

ordinance is a direct and immediate threat to the peace, safety, morals or health or 

welfare of the community, the Tribal Gaming Commission shall issue a notice of 

intent to revoke such person's gaming license which shall be served upon the 

employeelentity or an agent of the employeelentity and upon the Manager. The 

order shall state the grounds upon which it is issued and the employee1 entity's right 

to a hearing before the Tribal Gaming Commission within 14 calendar days and right 

to offer sworn oral or documentary evidence relevant to the violation charged. 

Subject to review by the Tribal Court, a license may be suspended during such prehearing period by the vote of a majority of the members of the Tribal Gaming 

Commission then in office where such extraordinary action is essential to protect the 

public safety or the integrity of Gaming; a license shall be suspended during such 

period as required under IGRA if the revocation hearing arises as a result of notice 

from the National Indian Gaming Commission. The employeelentity may file an 

immediate appeal with the Tribal Court of the Gaming Commission's decision under 

this section, including the decision to issue a temporary suspension issue and the 

Tribal Court shall hear the appeal within 14 calendar of its receipt of the appeal. 

14.04. Appeal to the Tribal Court. Subject to the burden of proof set forth in this Ordinance, 

a finding or licensing decision of the Tribal Gaming Commission, including but not limited to 

a decision to deny, suspend, revoke, modify or condition any license pursuant to this 

Ordinance, may be appealed to the Tribal Court by the aggrieved person or entity. In all 

appeals before the Tribal Court, there shall be deference given by the Tribal Court to the 

determination of the Tribal Gaming Commission as the agency charged with responsibility 

for interpreting its own regulations. Findings of fact and conclusions of law made by the 

Tribal Gaming Commission may be reviewed de novo by the Tribal Court. The decision of 

the Tribal Court shall be final. 

14.05. Action Following Revocation Hearing /Appeals. After a revocation hearing, the Tribal 

Gaming Commission shall decide to revoke or to reinstate a gaming license. If the decision 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-36- 
is to revoke the license and, after appeal, that decision is upheld, the Tribal Gaming 

Commission shall notify the National Indian Gaming Commission, and where applicable, the 

State Gaming Agency, of its decision. 

14.06. Notice of Concern - Manager and Primary Management Officials. Notwithstanding 

the foregoing, in the event that the Tribal Gaming Commission obtains reliable information 

that the duly licensed Manager and/or a Primary Management Official may have breached 

any provision of this ordinance, the Compact, IGRA or its license, the Tribal Gaming 

Commission shall issue a Notice of Concern to the licensee prior to any action of 

suspension or the giving of notice of a revocation hearing with respect to itsltheir license(s). 

The Notice of Concern shall describe the alleged breach, shall describe the steps 

necessary to effect a cure and shall provide the licensee with an opportunity to meet with 

the Tribal Gaming Commission to discuss the matter. The .discontinuance or correction of 

the alleged breach shall constitute a cure thereof, except where such alleged breach 

constitutes a criminal violation by the Manager or the Primary Management Official. If the 

alleged breach is not corrected or discontinued as required herein, then the Tribal Gaming 

Commission shall institute the notice and hearing procedure set forth above. 

14.07. Resolution of Disputes Between the Gaming Public and the Tribe or Managers. 

Disputes between the gaming public and the Tribe or the Manager of any Gaming 

Enterprise shall be resolved as follows: 

(a) The complaining member of the gaming public shall have the opportunity to 

present hislher complaint or grievance, verbally or in writing, to the General Manager 

of the Gaming Facility or a person designated by the General Manager to resolve 

grievances with members of the gaming public. 

(b) If the complaint or grievance is not resolved under paragraph (a) to the 

satisfaction of the complaining member of the gaming public, helshe may file a 

written grievance with the Tribal Gaming Commission. The Tribal Gaming 

Commission shall provide such member of the gaming public with a complaint 

/grievance form which requests the following information: name, address and 

telephone number of the complainantlgrievant, a description of the circumstances or 

incident giving rise to the complaint /grievance; the name of the Gaming Facility 

wherein the incident complained of occurred, the name of the employee (s) involved, 

the name of the management official to whom the incident was reported pursuant to 

paragraph (a), and the relief or action requested. 

(c) The Tribal Gaming Commission shall review the written grievance within 7 

days of receipt. If the Tribal Gaming Commission deems it necessary, it may hold a 

fact-finding hearing to investigate the complaintlgrievance and any employee(s) 

involved in the incident. If the complaint /grievance involves an alleged violation of 

any law, this Ordinance or regulation of the Tribal Gaming Commission, the Gaming 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. $97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-37- 
Commission shall take final action on the complaint /grievance within 30 days of 

receipt of the complaint/grievance and may issue an order which includes any action 

authorized under this ordinance. 

Section 1 4.08. Limited Waiver of Sovereign lmmunity by the Commission. The Commission 

hereby expressly waives its sovereign immunity from suit in Tribal Court in the following 

specific instances: 

(a) in any appeal of any licensing decision of the Commission or finding of the 

Commission pursuant to Sections 14 and 15 of this Ordinance, to the Tribal 

Court. 

(b) in any suit against the Tribe, or any agency or instrumentality of the Tribe, 

or any official of the Tribe, in which the Commission may be deemed an 

interested party. 

Section 14.09 Limited Waiver of Sovereign Immunity by'the Tribe. The Tribe, acting through 

the Tribal Council by enactment of this Ordinance, hereby expressly waives its sovereign 

immunity from suit in any appeal of any licensing decision of the Commission or finding of 

the Commission pursuant to Sections 14 and 15 of this Ordinance in which the Tribe may 

be deemed an indispensable party, to the Tribal Court. 

Section 15. Additional Penalties. 

15.01. Penalties Authorized. Any individual who violates any provision of this ordinance, 

including provisions of the Compact or other Class Ill gaming regulations incorporated 

herein, shall be subject to civil penalties including exclusion from employment in any 

Gaming Operation, denial or revocation of any license, exclusion from attendance at any 

Gaming Facility, exclusion from the Tribe's Reservation if a non-member of the Tribe, or 

with respect to any person subject to the jurisdiction of the Tribe, a fine of not more than 

$5,000.00 for each such violation. Each calendar day that a violation occurs shall be 

deemed a separate violation. The Tribal Gaming Commission shall have the jurisdiction to 

impose such penalties on any person or entity within the jurisdiction of the Tribe to impose 

such penalties. 

15.02. Right to Appeal Penalty. No action by the Tribal Gaming Commission to impose a 

penalty pursuant to this Section shall be valid unless the person or entity affected is given 

the opportunity to appeal and be heard before the Tribal Gaming Commission and the Tribal 

Court subject to the procedures set forth in subsection 14.01 and 14.04, concerning appeals 

or in subsection 14.06 concerning a Notice of Concern, either in person or through a 

representative or legal counsel, and to submit such evidence as the Tribal Gaming 

Commission deems relevant to the matter at issue. Notwithstanding the foregoing, if the 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-38- 
Tribal Gaming Commission deems it necessary to protect the public interest in the integrity 

of Indian Gaming, the Tribal Gaming Commission may take such action with immediate 

effect as it deems required, and shall thereupon provide notice and an opportunity to be 

heard to the affected person or entity as soon as is reasonably practicable following such 

action. The person or entity may file an immediate appeal with the Tribal Court of a 

decision of the Gaming Commission under this Section and the Tribal Court shall hear such 

appeal within 14 days of its receipt of the appeal. 

Section 16. Repealer and Severability. 

If any provision of this ordinance or its application to any person or circumstance is held 

invalid, the remainder of this Ordinance or the application of the provision to other persons 

or circumstances is not affected. 

Little River Band of Ottawa 

Amended and Recodified Gaming Ordinance No. #97-400-01 

Recodified and Amended March 25, 1999 

Amended December 12, 2000 

-39- 
cc: William Brooks 

309 E. Front Street 

P.O. Box 429 

Traverse City, MI 49684