Act of the United States Code.

Article 10. Employee Licensing.

10.01. General - Types of Employees; License Requirements. There are two categories of
employees at a gaming enterprise — non-gaming and gaming.

10.02 Non-Gaming Employees. All persons who are not gaming employees but are employed
by any gaming facility, must obtain a non-gaming license from the regulatory agency
before commencing employment. Such licenses may be issued upon a determination by
the regulatory agency 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 a non-gaming license shall
provide such information that the regulatory agency requires under this Ordinance.

a.

Gaming Ordinance

General. An applicant for a non-gaming employee license may be approved upon
a determination by the regulatory agency that the individual will not create a risk
of injury or loss to the person or property of guests of the gaming enterprise or the
assets of the gaming enterprise and that the individual is not a threat to the
effective regulation of gaming activities, including the absence of all
disqualifying circumstances described in subsection (b) below. In reaching its
determination, the regulatory agency will consider the criminal history, habits and
reputation of the applicant in light of the particular position the applicant is
applying for.

Specific Disqualifying Circumstances. An applicant shall not be eligible for a
non-gaming employee license if the application or background investigation
confirms that the applicant:

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

2. Has been convicted of or entered a plea of guilty or no contest to a
gambling-related offense, or to an adult felony charge of theft, fraud, or
misrepresentation within the preceding three (3) years, except if that
person has been pardoned by the Governor of the State where the
conviction occurred or, if a tribal member, the regulatory agency has
determined that the person has been rehabilitated, and is not likely to
engage in future criminal or offensive actions; or

3. Has been convicted of or entered a plea of guilty or no contest to-any
criminal offense involving threats or acts of violence where the individual
was charged as an adult, within the immediately preceding three (3) years;
except if that person has been pardoned by the Governor of the State
where the conviction occurred or, if a tribal member, the regulatory

Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


13.05.

Reports by the Director. The Director shall, not less than monthly, report any
action he or she has taken under this rule to the regulatory agency at the closed
session portion of the next regular meeting. The regulatory agency may direct the
Director to take additional or different actions.

Article 14. Tribal Government Employees and Gaming Regulatory Agency Members and
Employees Prohibited from Gaming.

14.01.

14.02.

14.03.

14.04.

Prohibition Against Participation in Gaming Activities at the Gaming Enterprises. This
Article shall identify individuals who shall be prohibited from participating in gaming
activities at the gaming enterprises. Such prohibition is limited to Class III gaming
activities, and does not extend to conference, training, dining, hotel and other non-gaming
activities.

Gaming Enterprise Board of Directors Prohibited. All members of the Gaming
Enterprise Board are prohibited from engaging in gaming activities.

Tribal Government Employees Prohibited. Individuals that hold the following positions
are prohibited from participating in gaming activities. The position names shall be for the
purposes of identification and shall include any reasonably related position title that may
be created in the future.

a. All attorneys within the Legislative Legal Department.

b. All attorneys within the Executive Legal Department.

c. Chief Financial Officer and Controller.

d. Comptroller General, auditors and Internal Audit Department support staff.

e. Public Safety Department, officers and support staff.

Prohibition on Regulatory Agency Personnel Participating in Gaming Activities. No
member of a regulatory agency or employee of a regulatory agency may participate in

any gaming activity at any Little River Band of Ottawa Indians gaming enterprise unless
as part of a job related duty.

Article 15. Gaming Enterprise Employee Prohibitions and Limitations to Participation in
Gaming Activities.

15.01.

Gaming Enterprise Employees Prohibited. The following employment positions are
34


9.01.

9.02.

9.03.

License Required. As set forth in Section 8.02, no person shall conduct Class II or Class
Ill gaming activities within the jurisdiction of the Tribe unless such gaming activity is
conducted at a gaming facility licensed by the regulatory agency. No license may be
issued for any gaming facility that is owned or operated by any person other than the
Tribe. If a gaming activity is proposed in more than one building at the site of any
gaming enterprise, a separate gaming facility license shall be required for each building
or location where Class II or Class III gaming is conducted under this ordinance.

Types of Licenses. The Tribe may issue each of the following types of gaming facility
licenses.

a. Class II Operations in a Gaming Facility. This license shall be required of all
gaming enterprises operating one or more Class II gaming activities in each
gaming facility.

b. Class III Operations in a Gaming Facility. This license shall be required for all
gaming enterprises operating any gaming other than Class I or Class II gaming in
each gaming facility. A Class III gaming license includes the operation of Class I
or Class II gaming when so noted on the license application and on the issued
license.

Gaming Facility Application Procedures. In order to obtain a gaming facility license, the
gaming enterprise requesting such license shall submit an application on the form
provided by the regulatory agency. The applicant shall include all of the following
information:

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

1. the type of gaming proposed, along with all instructions, procedures,
internal controls, and other documents related to the proposed gaming;

2. the maximum number and types of gaming equipment and gaming devices
expected to be in the gaming facility at any one time;

33 the number and types of gaming equipment and gaming devices expected
to be in use when the gaming facility first opens; and

4. the days and hours of operation proposed.
db. A description of the gaming facility proposed, including the layout of the gaming
equipment and gaming devices and the surveillance systems within the gaming

facility.

c. The location proposed for such gaming facility.

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


Currently and for the previous five years:

1. business and employment positions held,
2 ownership interests in those businesses,
oy business and residence addresses; and

4. driver’s license numbers;

The names and current addresses of at least three personal references, including
one personal reference who was acquainted with the applicant during each period
of residence listed under § 10.04(b);

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

A description of any existing and previous gaming or other business relationships
with any Indian tribe, including any ownership interests in the business;

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 within 10 years of the date of the application, the name and address of
the court involved and the date and disposition, if any

For each criminal charge, 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;

21


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

e. Resolution # 05-0323-121 which deleted references to management contractors,
and made numbering clarifications among other amendments.

f. Resolution #07-0912-494 which repealed Gaming Ordinance #02-400-01 and
adopted Gaming Ordinance #07-400-01, amending the ordinance to clarify and
define gaming and non-gaming activities arising out of the growth of the gaming
enterprise effective upon receipt of approval by the National Indian Gaming
Commission.

g& Resolution #10-1006-330, correcting technical deficiencies identified by the
National Indian Gaming Commission among other amendments, renumbering the
ordinance, and authorizing resubmission to the National Indian Gaming
Commission.

h. Resolution #11-0119-017, acknowledging receipt of approval of the National
Indian Gaming Commission, repealing Ordinance #07-400-01 and replacing it
with Ordinance #10-400-01, and providing that the Ordinance is effective as of
January 20, 2011.

i. Resolution #12-0919-249, amending the Ordinance on an emergency basis to
clarify and define the background investigation process of Gaming and Non-
Gaming Employee licenses.

je Resolution #12-1031-289, permanently adopting emergency amendments enacted
on September 19, 2012.

1. Resolution #14-0917-289, adopting amendments to lower the legal age for
gaming patrons and Gaming Employees from twenty-one (21) to eighteen (18),
bringing the Ordinance into compliance with NIGC Regulations and authorizing
submission to the NIGC for approval.

2.02. Amendment. This Ordinance may be amended from time to time in accordance with the
procedures set forth in the in the Administrative Procedures Act — Ordinance.

2.03 Repeal. This Ordinance may be repealed in accordance with the procedures set forth in
the administrative Procedures Act — Ordinance.

2.04. Severability. If any provision of this ordinance or its application to any person or
circumstance is held invalid, the invalidity does not affect other provisions or
applications of this ordinance which can be given effect without the invalid provision or
application, and to this end the provisions of this Ordinance are severable.

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


12.06. Notice to NIGC of Revocation. The regulatory agency shall notify the NIGC of any
decision to revoke or reinstate a license. If the suspension or revocation was based on
information from the NIGC that the primary management official or key employee was
not eligible for employment, this notice shall be provided to the NIGC with 45 days of
the date the Tribe received notification from the NIGC of the primary management
official’s or key employee’s ineligibility.

Article 13. Patron Complaints.

13.01. Resolution By Gaming Enterprise. The gaming enterprise shall submit procedures for
resolving patron complaints to the regulatory agency for approval; the procedures must
include, at a minimum, procedures for the following:

a.

b.

Documenting patron complaints received by employees of the gaming enterprise;

Responding to patron complaints within 24 hours after receiving a complaint,
including identification of the job title(s) of the person(s) responsible for
receiving and resolving patron complaints;

Training provided to employees of the gaming enterprise on the procedures for
resolving patron complaints; and

Advising patrons of their right to request review by the regulatory agency if they
are unable to resolve the complaint with the gaming enterprise.

13.02. Filing of Request for Review By the Regulatory Agency.

a.

If the gaming enterprise and the patron cannot resolve the complaint, the gaming
enterprise shall advise the patron of the right to file a request for review with the
regulatory agency and shall provide the patron with the form approved by the
regulatory agency for that purpose. The request for review may be received by
any agent for the regulatory agency or delivered (via mail or hand delivery) to the
offices of the regulatory agency.

At a minimum, the request for review shall contain the following information:
1. The name, address and telephone number of the patron;

2. A summary of the nature of the patron complaint, including the date and
time the incident occurred which the patron’s complaint is based;

3. A list of names, if known, of any employees of the gaming enterprise
involved in the incident that led to the patron complaint;

32


Cc

agency has determined that the person has been rehabilitated, and is not
likely to engage in future criminal or offensive actions; or

4. Has been convicted of participating in organized crime or unlawful
gambling; or

55 Has knowingly and willfully provided materially false and misleading
statements or information to the regulatory agency or has refused to
respond to questions asked by the regulatory agency specifically related to
the person’s eligibility to obtain or retain a license; or

6. Has been convicted of any offense related to criminal sexual conduct
where the perpetrator was convicted as an adult at the time the crime was
committed, and/or is registered in any jurisdiction’s list of sexual
offenders.

Non-Gaming Employees Clearly Distinguishable. Non-Gaming employees shall
be clearly identifiable and distinguished from gaming employees by badges.

10.03. Gaming Employees. Employees of the gaming enterprise who perform gaming activities
as part of their defined job descriptions are considered gaming employees.

a.

Gaming Ordinance
Ordinance #10-400-01

General. Gaming employecs may be transferred, promoted, or otherwise moved
to a non-gaming employee position in accordance with the gaming enterprise’s
employment policies. Upon acceptance of the position and on no later than his or
her first day of employment as a non-gaming employee, the gaming employee
shall be required to relinquish his or her gaming license to the regulatory agency
and obtain a non-gaming license. The gaming enterprise shall be required to
maintain a list of gaming employees, their positions, and a copy of all job
descriptions on file with the regulatory agency. Voluntary relinquishment of a
gaming license will not preclude the regulatory agency from addressing license
issues that occurred during the time the licensee held a gaming license.

Specific Disqualifying Circumstances. The regulatory agency shall not grant a
license to any applicant for a gaming employee license who:

1. Is a member of the Tribal Council, the Ogema, a Judge or Appellate Judge
on the Tribal Court, the prosecutor or a law enforcement officer of the
Tribe. This subsection shall not apply to members of the Tribal Council or
a Tribal Ogema sitting on a Gaming Enterprise Board of Directors or any
subsequent Board established by Tribal law to provide oversight to a
Gaming Enterprise.

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

Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


10.08.

and verify the accuracy of the other information presented and prepare a report of
their findings for the regulatory agency.

The criminal background of each applicant for a Gaming Employee License shall
be investigated by obtaining information concerning the applicant from law
enforcement where the applicant has resided and submitting impressions of the
applicant's fingerprints, taken under Section 10.04 (q), to the Federal Bureau of
Investigation Criminal Information Center, and any other law enforcement
agency(ies) that the regulatory agency deems appropriate, requesting a criminal
history report. The vital information which may be provided to identify the
applicant may include: the applicant’s full name, any other names used by the
applicant, date and place of birth, citizenship, driver’s license numbers, social
security number, and a physical description.

The criminal background of each applicant for a Non-Gaming Employee License
shall be investigated by obtaining information concerning the applicant’s criminal
history from law enforcement where the applicant has resided. The vital
information which may be provided to identify the applicant may include: the
applicant’s full name, any other names used by the applicant, date and place of
birth, citizenship, Driver’s License numbers, Social Security number, and a
physical description. The Gaming Commission may, at its discretion, submit
fingerprint impressions of any Non-Gaming applicant to an appropriate agency if
deemed necessary to make a determination of eligibility for licensure.

With respect to applicants for a Primary Management Official’s application for a
gaming employee license, the regulatory agency shall also investigate and verify
the accuracy of financial information provided by the applicant by contacting
banks, other financial institutions or other sources as deemed necessary. The
regulatory agency shall also obtain a credit bureau report on the applicant which
shall be updated annually.

The regulatory agency shall attempt to complete the background investigation
described in this section within 30 days following receipt of a complete
application.

The regulatory agency may contract with private, municipal, state, and/or federal
investigation agencies to perform the required background and/or criminal history
investigations.

Eligibility Determination.

Before a license is issued to a primary management official or key employee, the
24


4, Has been convicted of or entered a plea of guilty or no contest to any
offense not specified in paragraph (3) within the immediately preceding
five years; this provision shall not apply if that person has been pardoned
by the Governor of the State where the conviction occurred or, if a Tribal
member, has been determined by the regulatory agency to be a person who
is not likely again to engage in any offensive or criminal course of conduct
and the public good does not require that the applicant’be denied a gaming
employee license. The term “any offense” shall mean any criminal offense
not described in paragraph (3), whether committed in Michigan or any
other jurisdiction, that is, or would be, a crime under the provisions of the
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 (3); or

5. Is determined by the regulatory agency to have participated in organized
crime or unlawful gambling or whose prior activities, criminal records,
reputation, habits, and/or associations pose a threat to the public interest or
to the effective regulation and control of gaming, or create or enhance the
dangers of unsuitable, unfair, or illegal practices, methods and activities in
the conduct of gaming or to the carrying on of the business and financial
arrangements incidental to the conduct of gaming; or

6. Has knowingly and willfully provided materially false and misleading
statements or information to the regulatory agency or refused to respond to
questions asked by the regulatory agency specifically related to the
person’s eligibility to obtain or retain a license; or

¥E Has been convicted of any offense related to sexual crimes or criminal
sexual conduct where the perpetrator was convicted as an adult at the time
the crime was committed, and/or is registered in any jurisdiction’s list of
sexual offenders; or

10.04. Application for an Employee License. The regulatory agency shall require each potential
employee to submit an application to the regulatory agency on the form and in the
manner required by the regulatory agency. The application shall clearly identify whether
the applicant is applying for a gaming or non-gaming license. 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);

20


13.03.

13.04.

4, The name, address, and telephone number, if known, of any witnesses to
the incident that led to the complaint; and

5. A summary of the gaming enterprise’s attempt to resolve the patron’s
complaint and the specific reason(s) the patron disagrees with the gaming
enterprise’s proposed resolution, if any.

The patron shall submit the request for review to the regulatory agency within ten
(10) calendar days of the incident that led to the patron complaint.

The regulatory agency shall serve a copy of the request for review on the gaming
enterprise’s designated agent within five (5) calendar days after receipt of the
request for review.

The gaming enterprise shall respond in writing to the patron’s request for review
within ten (10) calendar days of receiving a copy of the patron’s request for
review. A copy of the gaming enterprise’s response shall be mailed to the patron
and the regulatory agency within the ten (10) calendar days allowed for the
response.

The Director shall, within thirty (30) calendar days of receiving the patron’s
request for review and the gaming enterprise’s response, review that information
and determine if any additional investigation is required.

Following the conclusion of any investigation authorized by the Director, or the
Director’s review of the patron’s request for review and the gaming enterprise’s
response (if no additional investigation is requested), the Director shall advise the
patron in writing as to whether the regulatory agency will take action with respect
to the patron’s request for review.

Possible Disciplinary Action. If it is determined that the incident giving rise to
the patron complaint involved a violation of the Gaming Ordinance or any other
applicable law or regulation, the Director may initiate an enforcement action
under Little River Band of Ottawa Indians Gaming Regulations, Chapter 10 —
Compliance and Enforcement Regulations.

Violation of Rule. Failure of a gaming enterprise to comply with this rule may
result in the initiation of enforcement actions under Little River Band of Ottawa
Indians Gaming Regulations, Chapter 10 — Compliance and Enforcement
Regulations.

33


In order to obtain a renewal of a license, the gaming enterprise shall submit a
written renewal application to the regulatory agency on the form provided by the
regulatory agency. No renewal application shall be approved until the Annual
Reports required by Section 9.10 have been filed.

All renewal applications submitted shall be approved within forty-five (45) days
or less unless the regulatory agency believes, based on reasonable evidence, that
the gaming enterprise has been or will be operated in violation of tribal, federal or
other applicable law or the terms and conditions of the Compact.

If the regulatory agency denies a renewal application for a gaming facility license,
the regulatory agency shall, within seven calendar days, notify the applicant of the
specific reasons for such denial and a description of any corrective actions that the
regulatory agency determines will cure the deficiencies which resulted in denial
of the application.

9.10. Annual Reports. Each gaming enterprise which possesses a Class II or Class III gaming
facility license must file an Annual Report with the regulatory agency and the Tribal
Council between the 15"" and the last day of June of each year which shall include, at a
minimum, the following information:

a.

Gaming Ordinance

The name, address and telephone number of the gaming enterprise and gaming
facility;

The names, addresses and titles of all of the current general managers of the
gaming enterptise and at each gaming facility;

A description of the gaming activities of the gaming enterprise for each gaming
facility, including, but not limited to:

1, the number and type of games and gaming devices operated which shall
include all Class II gaming activities expected to be conducted by the
gaming enterprise;

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

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

A written copy of any changes anticipated or proposed in the gaming activities of
the gaming enterprise for each gaming facility, including any changes in its
instructions, procedures, policies, internal controls, rules, health, environmental,
public safety/security plan, layout of the games or surveillance systems, or other
documents related to activities in the gaming facility or of the gaming enterprise;

Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


3.32.

3.33.

3.34.

3.35.

3.36.

3.37.

3.38.

3.39.

3.40.

qualifications:

a. Any person who has authority:
1. To hire and fire employees; or
2. To set up working policy for any gaming activity; or
b. The chief financial officer or other person who has financial management

responsibility;
c Any person having management responsibility for a management contract; or
d. Any other person designated by the Tribe as a primary management official.

Primary management official license means a license issued to a Primary Management
Official, including individuals hired by or contracted within an employment position with
the gaming enterprise.

Regulatory Agency means the Little River Band of Ottawa Indians Gaming Commission,
created by Ordinance Number 04-400-04, or such other Gaming regulatory body created
by Ordinance.

Indian Lands mean all lands now or in the future held in trust by the United States for the
benefit of the Tribe acquired by or for the Tribe, or such other lands upon which gaming
may lawfully be conducted pursuant to IGRA.

Secretary means the Secretary of the United States Department of the Interior or his/her
designee.

Service Vendor means any vendor providing goods, services or concessions to any
gaming enterprise, other than gaming services or gaming equipment and supplies, in an
amount less than $50,000.00 in any given twelve month period.

State means the State of Michigan.

Tribal Court means 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.

Tribe means the Little River Band of Ottawa Indians.

Vendor means a person or business entity selling goods, concessions, or services to a
gaming enterprise.

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


submitted within fourteen (14) days following receipt of notice of the action by the
regulatory agency.

a

Within 21 days following receipt of a notice requesting a hearing, the regulatory
agency shall afford the applicant an opportunity to appear and be heard before the
regulatory agency, in person or with a representative or legal counsel, and to
submit such evidence as the applicant deems relevant in the matter. The
regulatory agency may receive evidence from the applicant or licensee, the Tribe,
any gaming regulatory agency, or any person or entity that the regulatory agency
deems relevant to the matter.

The regulatory agency shall either affirm or reconsider its decision to deny the
license within seven (7) days following hearing.

12.03. Suspension or Revocation of License.

a.

If, after issuance of a license, the regulatory agency receives and verifies
information that a person licensed under this Ordinance has violated or been
charged with a violation of any criminal law that disqualifies the licensee from
holding a license, any provision of this Ordinance, or any Regulation promulgated
under this Ordinance, or is otherwise not eligible for a license, the regulatory
agency shall conduct an investigation to determine whether revocation
proceedings should be initiated.

The person’s license shall be immediately suspended and revocation proceedings
shall be initiated, with written notice of the suspension and proposed revocation
and notice of the time and place of the hearing served upon the person, if:

1. The licensee has been convicted of or pled guilty or no contest to any
criminal offense that disqualifies the licensee from holding a license under
applicable law or the Tribal-State Compact.

25 The Tribe received notice from the NIGC that the primary management
official or key employee is not eligible for employment.

3. The licensee has been charged with any criminal offense related to
gambling, fraud, theft, or other activities arising during the course of
employment.

The person’s license may be suspended for not more than seven (7) days pending
completion of an investigation by the regulatory agency to determine whether any
of the following have occurred:

30


10.12. Reconsideration after NIGC Objections. The regulatory agency must reconsider a license
application for a primary management official or key employee if it receives a statement
of itemized objections to issuing such a license from the NIGC and those objects are
received within 30 days of the NIGC receiving a notice of results of the applicant’s
background information;

a.

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

The regulatory agency shall make a final determination whether to issue a license
to an applicant for a primary management official or key employee position.

If the regulatory agency has issued a license to a primary management official or
key employee before receiving the NIGC’s statement of objections, notice and a
hearing shall be provided to the licensee, as provided in Article 12.

If the regulatory agency revokes a license after reconsideration under this section,
it shall notify the NIGC and the gaming enterprise and forward copies of its
eligibility determination and notice of results of the applicant’s background
investigation to the NIGC for inclusion in the Indian Gaming Individuals Record
System.

10.13. Denying Gaming Licenses.

a.

The regulatory agency shall not license a primary management official or key
employee if it determines, in applying the standards in § 10.08 for making a
license eligibility determination, that licensing the person:

1. Poses a threat to the public interest;
2. Poses a threat to the effective regulation of gaming; or
3. Creates or enhances the dangers of unsuitable, unfair or illegal practices,

methods and / or activities in the conduct of gaming.

If the regulatory agency does not issue a license to an applicant for a primary
management official or key employee position, it shall notify the NIGC and the
gaming enterprise and forward copies of its eligibility determination and notice of
results of the applicant’s background investigation to the NIGC for inclusion in

27


3.12.

3.13.

3.14.

3.15.

3.16.

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

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

d. the chief financial officer or other person who has financial management
responsibility;
e. any person whose job description falls within the following areas: finance;

information technology; security; gaming operations; and marketing.

f. if not otherwise included, any person whose total cash compensation is in excess
of $50,000.

Gaming means Class II and Class III gaming authorized by this Ordinance, the Compact,
and as may be further authorized under IGRA.

Gaming Activities means a process, action, or procedure that touches on gaming, on the
presentation of a game or on interactive gaming devices aimed at the general public, and
includes, by way of example and not limitation, table games, slot machines, cash
handling derived from gaming, vault, security, accounting systems, and information
systems.

Gaming employee license means a license issued to a gaming employee, including
individuals hired by or contracted within an employment position with the gaming
enterprise. Gaming employee licenses are classified as Primary Management Official
licenses and Key employee licenses.

Gaming Enterprise means 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

Gaming device means a microprocessor-controlled electronic device which allows a
player to play games of chance, some of which are affected by skill, which device is
activated by the insertion of a coin, currency, tokens, tickets, or by the use of credit, and
which awards game credits, cash tokens, replays or a receipt that can be redeemed by the
player. For any of the foregoing, the game play may be displayed by video facsimile or
mechanical rotating reels whereby the software of the device predetermines the stop
positions and the presence, or lack thereof, of a winning combination and payout, if any.

Gaming equipment or supplies shall mean any equipment or mechanical,
electromechanical or electronic contrivance, component or machine used in connection
with gaming; any game that would not otherwise be classified as a gaming device,

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


Article 3. Definitions.

3.01.

3.02.

3.03.

3.04.

3.05.

3.06.

3.07.

3.08.

3.09.

3.10.

3.11.

General. In this ordinance, except where otherwise specifically provided or the context
otherwise requires, the following terms and expressions shall have the following
meanings. The word “shall” is always mandatory and not merely advisory.

Automated teller machines means machines that dispense currency prompted by a
customer’s own credit or debit card that are not affixed to any gaming device and are not
considered gaming devices.

Class I Gaming means social games solely for prizes of minimal value or traditional
forms of Indian gaming engaged in by individuals as a part of, or in connection with,
Tribal ceremonies or celebrations.

Class IT Gaming means Class II gaming as defined in IGRA, 25 USC § 2703(7).

Class III Gaming means all forms of gaming that are not Class I gaming or Class II
gaming

Coin sorter and/or Cash counter means mechanical equipment the purpose of which is to
count and display the value of coin or currency.

Compact means a Tribal-State Compact concerning Class III gaming approved or
deemed approved by the Secretary of the Interior and published in the Federal Register
pursuant to 25 U.S.C. §2710(d).

Complimentary Service or Item means a service or item provided at no cost or at a
reduced cost to a customer.

Director means the Director of Gaming Regulatory and Compliance or any successor
position with responsibility for overseeing the day-to-day operations of the staff of the
regulatory agency.

Employee means any individual employed by a gaming enterprise in any capacity,
whether by general operational terms of employment, contract or agreement. Employees
may be either gaming employees or non-gaming employees.

Gaming employee means a Key Employee or Primary Management Official, and includes
individuals employed in one of the following capacities:

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

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


oO.

Gaming Ordinance

The name, address, title, and a job description that includes the duties and
responsibilities of each employee of the gaming enterprise at each gaming
facility;

The name and addresses of the person who will be designated as a contact person
for service of process, notice and other official correspondence from the
regulatory agency over the next license period for each gaming facility;

A statement of any changes in the duties or designation of the primary
management officials and key employees who will operate the gaming enterprise
over the next license period;

A sworn statement that the gaming enterprise has complied with all federal and
tribal laws relating to the health, safety and welfare of the public and employees
along with copies of any controlling policies;

Written proof that the gaming enterprise has paid to the National Indian Gaming
Commission such fees as federal law may require it to pay and will continue to do
so;

A sworn statement that the gaming enterprise has complied with the Internal
Revenue Codes and regulations, including written notice of customer winnings,
and a statement that the gaming enterprise shall continue to obey all tribal and
federal laws and shall hold the regulatory agency and the Tribe harmless for
failure to do so;

A verified copy of the last annual audited financial report following the end of the
gaming enterprise's last fiscal year;

The number of full-time equivalent people, on an annualized basis, employed by
the gaming enterprise at each gaming facility during the past twelve (12) months,
together with a projection of the number of full-time equivalent people who are
expected to be employed during the next license period;

The total gross revenue of the gaming enterprise attributable directly or indirectly
to gaming activity over the preceding twelve (12) months;

A sworn statement that the gaming enterprise and all of its employees continue to
consent to Tribal Court jurisdiction and service of process in all matters arising
from the conduct of gaming activity. The required sworn statement shall be
provided based on the consent given by applicants as per Section 10.04(p).

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

Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


3.26.

3.27.

3.28.

3.29.

3.30.

3.31.

6. Pit boss;

7. Dealer;

8. Croupier;

9 Approver of credit; or

10. Custodian of gaming devices, including persons with access to cash and
accounting records within such devices;

b. If not otherwise included, any person whose total cash compensation is in excess
of $50,000.00 per year;
c If not otherwise included, the four most highly compensated persons in the

gaming operation; or
d. Any other person designated by the Tribe as a key employee.

License means any official and revocable authorization granted for a limited period of
time by the regulatory agency pursuant to this Ordinance to an applicant to conduct
business or employment in any gaming facility. There are three types of licenses: facility
license, vendor license, and employee license.

National Indian Gaming Commission means the Commission established pursuant to
IGRA.

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

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

b. total gaming-related operating expenses, including all those expenses of the
gaming operation commonly known as operating expenses and non-operating
expenses consistent with professional accounting pronouncements, excluding

management fees.

Non-gaming Employee means an individual not required to be licensed as a Key
employee or Primary Management Official as approved by the regulatory agency.

Non-Gaming Vendor means any vendor providing goods and services to the gaming
enterprise, other than gaming services or gaming equipment and supplies, in any given

twelve month period.

Primary Management Official means an employee who meets the following

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


k. The name and address of any licensing or regulatory agency with which the
person has filed an application for a business or occupational license or permit,
whether or not such license or permit was granted;

1. Two current photographs;

m. 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;

n. A sworn statement that to the best of his knowledge the applicant or any member
of his immediate family does not have a past or current financial interest, other
than a salary interest, in any gaming enterprise anywhere. If the applicant has an
immediate family member or member of his or her household who has such a
relationship, the applicant shall fully disclose his name and the nature of the
relationship;

0. Written permission giving the regulatory agency the right to investigate the
applicant's background, including his criminal records, civil and criminal
judgments and credit history;

p. 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;

q. For all applications for licenses for all key employees and primary management
officials, fingerprints shall be requested. Fingerprints shall be taken by the
regulatory agency and will then be forwarded to the NIGC for processing through
the Federal Bureau of Investigation (FBI) and the National Criminal Information
Center to determine the applicant’s criminal history, if any.

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

s. For all applications for licenses for general managers or other primary
management officials, a complete financial statement and/or income tax records
showing all sources of income for the previous three years, and assets, liabilities,
and net worth as of the date of the application.

10.05. Application Forms - Notices.

a. Privacy Act Notice. The following notice shall be placed on the application form
for an employee license so that it can be read before that form is filled out by an

22


December 5, 2014

By First Class Mail

Virgil Johnson, Tribal Council Speaker
Little River Band of Ottawa Indians
2608 Government Center Drive
Manistee, Michigan 49660

RE: Little River Band of Ottawa Indians Gaming Ordinance Amendment,
14-0917-289

Dear Mr. Johnson:

This letter responds to your request on behalf of the Little River Band of Ottawa
Indians for the National Indian Gaming Commission (NIGC) to review and approve the
Tribe’s amendment to its gaming ordinance. The amendment was adopted by the Tribal
Council in Resolution 14-0917-289. The amendment lower the minimum gaming age
from 21 to 18 and updates licensing and background investigation provisions so that they
comply with 25 C.F.R. Part 556 and 25 C.F.R. Part 558.

Thank you for bringing this amendment to our attention and for providing us with
a copy. The amendment is approved as it is consistent with the requirements of the Indian
Gaming Regulatory Act and the NIGC’s regulations. If you have any questions or require
anything further, please contact Staff Attorney Miles Janssen at 202-632-7003.

Sincerely,

NIGC Chairman (Acting)

ce: Larry Romanelli, Tribal Ogema
Michelle Bostic, Associate Legislative Attorney

NATIONAL HEADQUARTERS 90 K Si. NE, Suite 200, Washingion, DC 20002 Tel: 202.632.7003 Fax: 202.632.7066 www.niec.cov
REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK


d. to donate to charitable organizations;

e. to help fund operations of local governmental agencies.

Article 7. Audit Required; Report to National Indian Gaming Commission.

7.01.

7.02.

7.03.

Annual Audit. The regulatory agency 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 Indian Gaming Commission.

Audit to Include Contracts for Gaming Services, Equipment or Supplies. All contracts for
gaming services, gaming equipment, concessions or supplies shall be specifically
included within the scope of the audit, provided, that the regulatory agency or the Tribal
Council may require that contracts for gaming services, gaming equipment, concessions
or supplies which are 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 the
operation of the gaming enterprise.

Record-keeping Requirements. Each gaming enterprise conducting Class II or Class III
gaming shall keep accounting records on a double entry system of accounting,
maintaining detailed, supporting, and subsidiary records which can be identified to each
gaming facility. Gaming enterprises subject to this provision shall maintain the following
records for not less than five years:

a. Revenues, expenses, assets, liabilities and equity for the location at which Class II
or Class III gaming is conducted;

b. Daily cash transactions for each Class II or Class III game at the location at which
gaming is conducted, including but not limited to transactions relating to each
gaming table bank, game drop box and gaming room bank;

[on All markers, IOUs, returned checks, hold checks or other similar credit
instruments;
d. Individual and statistical game records (except card games) to reflect statistical

drop and statistical win; for electronic, computer, or other technologically assisted
games, analytic reports which show the total amount of cash wagered and the total
amount of prizes won;

e Contracts, correspondence and other transaction documents relating to all
vendors;
f. Records of all gaming enforcement activities;

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


3.41.

Tribal Member means an individual enrolled in the Little River Band of Ottawa Indians.

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

4.01.

4.02.

4.03.

4.04.

Class II Gaming Authorized. Class II gaming is hereby authorized.
Class III Gaming Authorized. Class III gaming is also authorized.

Class II and/or Class III License Required. Class II and Class HI gaming authorized by
this Ordinance shall be conducted only by persons or entities which have obtained a valid
gaming facility license issued by the regulatory agency pursuant to criteria set forth in
this Ordinance and regulations adopted pursuant to and consistent with this Ordinance.

Gaming Age Minimum. No person under the age of eighteen (18) may gamble in a
gaming enterprise authorized under this Ordinance.

Article 5. Tribal Ownership Required.

5.01.

5.02.

5.03.

5.04.

Sole Proprietary Interest Required. The Tribe shall have the sole proprietary interest in,
and responsibility for, the conduct of any gaming enterprises authorized by this
ordinance.

Private/Individual Ownership Prohibited. No individual, partnership, corporation or
entity of any kind shall own in whole or in part any Class II or Class III gaming
enterprise authorized or regulated by this Ordinance.

Management Contracts Authorized. Nothing in this ordinance shall preclude the Tribe
from entering into management contracts as authorized under IGRA.

Registered Agents. The Tribe designates the Tribal Ogema and the Tribal Council
Speaker as the agents for service of any official determination, order or notice of
violation.

Article 6. Use of Gaming Revenue.

6.01.

Permitted Uses. Net revenues from Class II and Class III gaming shall be used only for
the following purposes:

a. to fund tribal government operations and programs;
b. to provide for the general welfare of the Tribe and its members;
c. to promote tribal economic development;

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


11.01.

11.02.

11.03.

11.04.

General - Types of Licenses. All vendors contracting with the gaming enterprise are
required to be licensed. These licenses shall be broken into the following categories —
gaming vendors, non-gaming vendors, and service vendors. The regulatory agency shall
be required to develop a vendor license inquiry form which would tend to identify the
type of license required and cause to be forwarded an application for that license to the
vendor.

Service Vendor Permits. Vendors contemplating less than $50,000 of business with the
gaming enterprise and who enter into contracts not related to a gaming service or gaming
equipment or supplies, are required to maintain a service vendor permit. The regulatory
agency shall define processes in regulations which set forth how the amount of business
conducted with the gaming enterprise will be calculated. The regulatory agency shall
create application forms which tend to identify appropriate levels of information from
which to issue a service vendor permit.

Non-Gaming Vendors License. Vendors contemplating $50,000 or greater of business
with the gaming enterprise during the fiscal year, and who enter into contracts not related
to a gaming service or gaming equipment or supplies, are required to maintain a non-
gaming vendor’s license. Non-gaming vendors shall be required to fill out the same form
required for a gaming vendor’s license, provided that, the regulatory agency shall clearly
identify the level of background investigation that will be conducted. The regulatory
agency may identify specific exceptions to the background investigation for vendors
which conduct business activities in highly regulated areas such that the presentation of a
permit, license or other document is sufficient to identify that a background investigation
is unnecessary; provided that, the qualifications for any exceptions shall be clearly
identified in regulations.

Gaming Vendors License. Vendors contemplating any business with the gaming
enterprise that contains any clement, which includes the supply of gaming services,
equipment, or supplies regardless of value or proportion of the contract, are required to
maintain a gaming vendor’s license. The regulatory agency shall identify appropriate
levels of information and releases necessary to assure the integrity of the vendor in
supplying gaming services or gaming equipment or supplies.

Article 12. Denial/Suspension/Revocation of License; Right to Appeal.

12.01.

12.02.

Applicability. This Article shall apply to the denial, suspension or revocation of any
license issued by the regulatory agency under Article 10 or 11 of this Ordinance, except
actions taken under Section 11.02.

Hearing upon Denial of License. Any applicant who is denied a license applied for under
this Ordinance may request a hearing before the regulatory agency by written request

29


10.14.

10.15.

10.16.

10.17.

the Indian Gaming Individuals Record System.

Licensing Period. Any employee’s license issued pursuant to this Article, other than a
temporary license, 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.

Renewals. It is the responsibility of holders of an employee licenses to file renewal
applications in accordance with the regulatory agency’s notifications and regulations. A
holder of an employee license shall apply to the regulatory agency for a renewal before
the current license has expired as directed by the regulatory agency and is required to
update all information contained in the original and any subsequent renewal
application(s). Notification will be sent to the gaming enterprise upon completion of the
renewal process. Under all circumstances, an employee is required to obtain a valid
license prior to the expiration of any current license.

Requirement to Produce License Upon Request. Any person receiving an employee
license must carry that license upon his or her person during all working hours and must
produce that license upon request.

Records Retention.

a. When a primary management official or key employee is employed by the
Tribe, a complete application file, containing at a minimum all of the
information listed in § 10.04(a) — (s) shall be maintained.

b. The regulatory agency shall retain, for no less than three years from the
date a primary management official or key employee is terminated from
employment with the Tribe, all of the following documentation:

1. Applications for licensing;
2. Investigative Reports; and
3. Eligibility Determinations.

Article 11. Vendor License.

28


3.18.

3.19.

3.20.

3.21.

3.22.

3.23.

3.24.

3.25.

including, but not limited to, dice and playing cards; equipment which affects the proper
reporting of gaming revenue; computerized systems for monitoring gaming devices; and
devices for weighing or counting money.

Gaming Facility means the building, buildings, or structures, wherein gaming is
permitted, performed, conducted, or operated, and associated or adjacent real property
owned by the Tribe.

Gaming rules means the Tribal laws and regulations and federal laws and regulations
regarding gaming activities, including by way of example the Gaming Ordinance, the
Compact, and the Indian Gaming Regulatory Act.

Gaming Service means any goods or services which directly relate to the conduct of
gaming, security, or surveillance at a gaming enterprise, including without limitation,
providers of casino credit reporting services, casino surveillance systems or services, and
suppliers, service providers or repairers of any gaming equipment or supplies,
computerized gaming monitoring systems, drop boxes, bill exchangers, and credit
voucher machines. 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.

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

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

IGRA means the Indian Gaming Regulatory Act of 1988, 25 U.S.C. 2701 ef seq., as
amended from time to time.

Immediate family means, with respect to the person under consideration, persons residing
in the same household.

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

1s Bingo caller;

25 Counting room supervisor;

or Chief of security;

4, Custodian of gaming supplies or cash;

5. Floor manager;

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


3. Has been convicted of or entered a plea of guilty or no contest to a
gambling-related offense, fraud or misrepresentation. The terms “fraud or
misrepresentation” shall mean a criminal offense committed in Michigan
or any other jurisdiction, involving theft, fraud or misrepresentation,
which is a felony or would be a felony if committed in Michigan, and
which was committed as an adult or prosecuted as an adult offense, and
which has not been effectively removed from the employee's criminal
record by executive pardon, state court order, or operation of law; or

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


16.05. Point Redemption Awards. Elected Officials and Non-Gaming Enterprise Employees
eligible to participate in gaming activities shall accrue Point Redemption Awards solely
based on their gaming play. Accrued points shall be redeemable only at non-gaming
retail outlets located at the Gaming Enterprise.

16.06. Regulations Required. The Gaming Commission shall issue Regulations consistent with
this Article to govern the conduct of elected officials and non-gaming enterprise
employees who are eligible to participate in gaming activities. Any Regulations issued
shall require approval by Tribal Council.

CERTIFICATION
I, Sandy Mezeske, Tribal Council Recorder, do hereby certify that this is a true and

correct copy of the Gaming Ordinance approved on September 17, 2014, for authorization to
submit to the National Indian Gaming Commission.

[Seal]

Sandy Mezeske, Tribal Council Recorder

36


regulatory agency shall make a finding concerning the eligibility of that person
for receiving a gaming license by reviewing the applicant’s prior activities,
criminal record, if any, and reputation, habits and associations.

If the regulatory agency, in applying the standards adopted in this Ordinance,
determines that licensing the person poses a threat to the public interest or to the
effective regulation of gaming, or creates or enhances the dangers of unsuitable,
unfair or illegal practices, methods and / or activities in the conduct of gaming, it
shall not license that person in a key employee or primary management official
position.

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

10.09. Action on Applications for an Employee License.

a.

Within 15 days following the completion of the background investigation(s)
described in this Article, the regulatory agency shall review the application, the
results of background investigation, the criminal history reports, and financial
report, if required, to determine if the applicant qualifies for the license applied
for.

If the regulatory agency determines that an applicant qualifies on a preliminary
basis pursuant to Section 8.05 for the issuance of a license, then the regulatory
agency may issue a temporary license to the applicant. A temporary license shall
not be valid for more than 30 (thirty) days from the date of issuance.

The regulatory agency shall create and maintain an investigative report for each
background investigation of a primary management official or key employee.
Before issuing a license to a Primary Management Official or to a Key employee,
the regulatory agency shall forward to the National Indian 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.
25


GAMING ORDINANCE
Ordinance #10-400-01

Article 1. Purpose; Findings.

1.01. Purpose. The Little River Band of Ottawa Indians, acting through its Tribal Council in
the exercise of its inherent sovereign power to enact ordinances, regulate the commercial
enterprises of the Tribe, and otherwise safeguard and provide for the health, safety, and
welfare of the members of the Tribe, hereby establishes this Ordinance for the purpose of
authorizing and comprehensively and preemptively regulating the terms and conditions
under which Class II and Class III gaming may be conducted on the lands of the Tribe.

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

a. The Constitution of the Little River Band of Ottawa Indians delegates to the
Tribal Council the responsibility to “..exercise the inherent powers of the Little
River Band of Ottawa Indians by establishing laws through the enactment of
ordinances and adoption of resolutions not inconsistent with this Constitution:

1. to govern the conduct of members of the Little River Band of Ottawa
Indians and other persons within its jurisdiction.

2. to promote, protect and provide for public health, peace, morals, education
and general welfare of the Little River Band of Ottawa Indians and its
members[.]” Article IV, Section 7(a).

b. The Constitution delegates to the Tribal Council the power and responsibility to
manage all Tribal funds and direct how those funds may be used; Article IV,
Section 7(i)(2).

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

affairs, enterprises, property and other interests of the Tribe, consistent with
ordinances and resolutions enacted by the Tribal Council.

Article 2. Adoption; Amendment; Repeal; Severability.
2.01. Adoption. This ordinance is adopted by the Tribal Council through:
a. Resolution # 97-0115-01 which adopted the original ordinance;
b. Resolution # 99-0325-01 which re-codified and amended the ordinance;

Cc. Resolution # 00-1218-01 which further amended the ordinance; and

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


A description of the security, police, fire protection, environmental, health, safety,
and other public safety services to be available in the proposed gaming facility
and to the patrons of such gaming facility.

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

The name, address, title, and a job description which includes the duties and
responsibilities of each employee who will be employed at the proposed gaming
facility.

9.04. Threshold Criteria Which a Gaming Facility Must Meet. \n addition to the information
required in the gaming facility license application, any applicant for a Class II or Class III
gaming facility license must provide documentation that the gaming enterprise and
proposed gaming facility will meet the following threshold criteria:

a.

Gaming Ordinance
Ordinance #10-400-01

The proposed gaming facility is to be located on Indian lands, and if the lands are
acquired after October, 17, 1988, they must be eligible for gaming under a
specific provision of 25 U.S.C. § 2719.

The proposed gaming activity is to be played as Class II or Class III gaming as
defined by this Ordinance and IGRA.

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

The Tribe or one of its subdivisions will have the sole proprietary interest and the
Tribe will have the exclusive responsibility for the conduct of any gaming
activity.

The Tribal Council resolution authorizing the gaming enterprise and proposed
gaming facility provides that:

1. The revenues of the gaming enterprise shall be audited annually and
copies of those audits will be provided to the regulatory agency, Tribal
Council and the National Indian Gaming Commission.

2. The gaming enterprise shall comply with all Intemal Revenue Service
reporting and filing requirements.

3. All of the net revenues of the gaming enterprise shall be used for the
purposes stated in Article VI.

Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


5. Review and approve the layout of the games and surveillance systems for
the gaming facility, including any instructions, procedures, internal
controls or other documents related to the layout of games and any
instructions, policies, procedures, internal controls or other documents
related to surveillance systems.

6. Review and approve the plan for the protection of public safety and the
physical security of patrons of the gaming facility.

7. Review all aspects of the proposed gaming facility to ensure that it will be
in compliance with the provisions of the Compact, federal and tribal laws
and regulations.

The regulatory agency shall approve the gaming facility application within forty-
five (45) days following the receipt of a complete application unless the
regulatory agency believes, based upon reasonable evidence, that gaming will be
operated at the proposed gaming facility in violation of tribal, federal or other
applicable law or the terms and conditions of the Compact.

If the regulatory agency denies an application for a gaming facility license, the
regulatory agency shall promptly notify the applicant of the specific reasons for
such denial and a description of any corrective actions which the regulatory
agency determines will cure the deficiencies which resulted in denial of the
application.

9.06. License Application Fees. The license application and renewal fee shall be as set forth in
the Gross Gaming Revenue Tax Ordinance.

9.07. Terms of License. A Class II and Class III gaming facility license shall be valid for a
period of twenty-four (24) months from the date of issuance.

9.08. Posting of Licenses. The gaming facility license must be posted in a conspicuous location
at all times on the premises of each gaming facility. If the gaming enterprise conducts
gaming at more than one location, the gaming enterprise must obtain and post a separate

license

for each gaming facility.

9.09. Gaming Facility License Renewals.

a.

Gaming Ordinance
Ordinance #10-400-01

Each gaming facility license must be renewed biennially. A renewal fee shall be
required for each Class II or Class III gaming facility license in accordance with
the Section 9.06.

Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


{ (

Resolution #1 4-0917-289
Page 2 of 2

WHEREAS, Section 2710 of the Indian Gaming Regulatory Act requires that a Tribe
adopt and submit its Gaming Ordinance to the Chairperson of the National Indian
Gaming Commission for review and approval; and

WHEREAS, the Tribal Council adopted a Gaming Ordinance, Ordinance #10-400-10, by
Resolution # which was effective upon receipt of approval by the National Indian
Gaming Commission; and

WHEREAS, the Tribal Council revised Ordinance #10-400-10 to allow for individuals
eighteen years of age and older to engage in gaming activities at the Tribe’s
gaming enterprises; and

WHEREAS, the Tribal Council authorized submission of this amendment to the NIGC
for approval by adopting Resolution #1 4-0723-217; and

WHEREAS, after submission the NIGC responded that certain routine amendments are
necessary; and

WHEREAS, the Tribal Council withdrew that submission from consideration so as to
allow time for the required amendments to be incorporated and submitted; and

WHEREAS, the required amendments have been incorporated and are ready for
submission to the NIGC for its approval.

NOW THEREFORE IT IS RESOLVED THAT the Tribal Council of the Little River
Band of Ottawa Indians hereby authorizes the Legislative Legal Department to submit the
amended Gaming Ordinance, Ordinance #10-400-10, to the NIGC for approval.

IT IS FINALLY RESOLVED THAT upon receipt of approval from the NIGC, Tribal
Council shall post the proposed amendments for public comment prior to adoption
according to the procedures established in the Administrative Procedures Act, Ordinance
#04-100-07.

CERTIFICATE OF ADOPTION

I do hereby certify that the foregoing resolution was duly presented and adopted
by the Tribal Council with 9 FOR, 0 AGAINST, 0 ABSTAINING, and 0 ABSENT at a
regular session of the Little River Band of Ottawa Indians Tribal Council held on
September 17, 2014, at the Little River Band’s Government Center in Manistee,

Sipe

Michigan, with a quorum being present for such

Attest:

Distribution: Council Records Tribal Ogema_ Tribal Court Gaming Commission LRCR General Manager


prohibited from participating in gaming activities. The position names shall be for the
purposes of identification and shall include any reasonably related position title that may
be created in the future.

e.

All Primary Management Officials.
Chief Financial Officer, Controller and Revenue Audit staff.
All Security Department staff.

All Management Information Services or other networking/computer service
office or personnel.

All gaming employees as defined in Section 3.10.

Article 16. Prohibitions on Participating in Gaming Activities.

16.01. Elected Officials. Elected Officials eligible to participate in gaming activities shall not be
eligible to participate in the following:

a.

b.

C

Promotional activities or give-aways;
Tournaments; and

Class III Table Games.

16.02. Non-Gaming Enterprise Employees. Non-Gaming Enterprise Employees eligible to
participate in gaming activities shall not be eligible to participate in the following:

a.

b.

c

Promotional activities or give-aways;
Tournaments; and

Class III Table games.

16.03. Limitation on Hours of Gaming Activities. Participation in No non-gaming enterprise
employee shall participate in gaming activities within two (2) hours of the beginning of
his/her shift or within two (2) hours after the end of his/her shift.

16.04. Complimentary Services and Goods. Elected Officials and Non-Gaming Enterprise
Employees eligible to participate in gaming activities shall neither accept complimentary
services or items nor accrue complimentary value with their play.

35


10.06.

10.07.

applicant:

“In compliance with the Privacy Act of 1974, the following information is provided:
Solicitation of the information on this form is authorized by 25 U.S.C. §§ 2701 et seq.
The purpose of the requested information is to determine the eligibility of individuals to
be granted a gaming license. The information will be used by the Tribe’s regulatory
agency and the National Indian Gaming Commission members and staff who have need
for the information in the performance of their official duties. The information may be
disclosed by the Tribe or the NIGC to appropriate Federal, Tribal, State, local, or foreign
law enforcement and regulatory agencies when relevant to civil, criminal or regulatory
investigations or prosecutions or when pursuant to a requirement by a tribe or the
National Indian Gaming Commission in connection with the issuance, denial or
revocation of a gaming license, or investigations of activities while associated with a tribe
or a gaming operation. Failure to consent to the disclosures indicated in this notice will
result in a tribe's being unable to license you for a primary management official or key
employee position. The disclosure of your Social Security Number (SSN) is voluntary.
However, failure to supply a SSN may result in errors in processing your application.”

b. False Statements Notice. The following additional notice shall be placed on the
application form for a key employee or a primary management official so that it
can be read before that form is filled out by an applicant:

“A false statement on any part of your license application may be grounds for denying a
license or the suspension or revocation of a license. Also, you may be punished by fine or
imprisonment (U.S. Code, title 18, section 1001).”

Burden of Proof on Employee License Applicants. 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 gaming employee license shall be upon the
applicant or licensee, as the case may be.

Background Investigation. The regulatory agency shall conduct, or cause to be
conducted, an investigation sufficient to make a determination under this Article of all
employee license applicants. In conducting a background investigation, the regulatory
agency shall keep confidential the identity of each person interviewed in the course of the
investigation and shall maintain in a confidential manner the information obtained. Such
information may be released to the Tribal Court in the event of an appeal of a licensing
decision. The background investigation must be sufficient to allow the regulatory agency
to make an eligibility determination under § 10.08 of this Ordinance and shall consist of
at least the following:

a. The regulatory agency shall contact each reference provided in the application
23


( 1

Little River Band of Ottawa Indians
Tribal Council
2608 Government Center Dr.
Manistee, MI 49660
(231) 723-8288

Resolution #14-0917-289

Authorizing Legislative Legal Department to Submit Updated Amendments to the Gaming
Ordinance, Ordinance #10-400-01, to the NIGC.

WHEREAS, the status of the Gad Ching Ziibi Dadwaa Anishinadbek (Little River Band
of Ottawa Indians) as a sovereign and Treaty-making power is confirmed in
numerous treaties, from agreements with the initial colonial powers on this land,
to various treaties with the United States; and

WHEREAS, the Little River Band of Ottawa Indians (Tribe) is descended from, and is the
political successor to, the Grand River Ottawa Bands, signatories of the 1836 Treaty
of Washington (7 Stat. 491) with the United States, as reaffirmed by federal law in
P.L. 103-324, enacted in 1994; and

WHEREAS, the Tribe adopted a new Constitution, pursuant to a vote of the membership
on May 27, 1998, which Constitution became effective upon its approval by the
Assistant Secretary-Indian Affairs on July 10, 1998; and

WHEREAS, the Tribe adopted amendments to the Constitution on April 26, 2004, which
became effective upon approval by the Assistant Secretary-Indian Affairs on May
13, 2004; and

WHEREAS, the legislative powers of the Little River Band are vested in the Tribal
Council at Article IV, Section 7 of the Constitution; and

WHEREAS, the Tribal Council is authorized under Article IV, Section 7(a) of the
Constitution to enact ordinances and adopt resolutions to provide for the public
health, peace, morals, education and general welfare of the Little River Band and
its members and to govern the conduct of members of the Little River Band and
other persons within its jurisdiction; and

WHEREAS, the Tribal Council is authorized under Article IV, Section 7(f) of the
Constitution to create by ordinance regulatory commissions or subordinate
organizations and to delegate to such organizations the power to manage the
affairs and enterprises of the Little River Band; and

WHEREAS, the Tribal Council adopted the Gaming Ordinance, Ordinance #02-400-01,
to regulate the gaming enterprises of the Tribe and authorize and preemptively
regulate the terms and conditions under which gaming may be conducted on the
lands of the Tribe; and


1. The licensee has violated any gaming rule as defined in this Ordinance.

25 The licensee has engaged in conduct that poses a threat to the integrity of
the gaming activities; the health or safety of the general public or
employees at the gaming enterprise; or the assets of the Tribe.

3. The licensee knowingly and substantially made a materially false and
misleading statement in a license application.

4. The licensee has participated in unauthorized gaming activity whether or
not regulated by this Ordinance.

5. The licensee has knowingly and substantially refused to comply with any
lawful order of the regulatory agency, the Tribal Court or the National
Indian Gaming Commission.

12.04. Right to Hearing Before the Regulatory Agency. In any case governed by Section
12.03(a) above, and in all cases where the regulatory agency determines that a revocation
is warranted under section 12.03(b), the regulatory agency shall notify the licensee of the
proposed revocation of the license. The notification shall be served upon the licensee and
shall state the legal basis for the revocation and any evidence the regulatory agency relied
upon in making its determination. The licensee shall be informed of the date and time set
for the hearing, and of the licensee’s right to offer sworn oral and documentary evidence
to rebut the regulatory agency’s determination. Any hearing scheduled in accordance
with this Section shall be held within seven (7) business days from the date of the letter.
After the hearing, the regulatory agency shall either (a) revoke; (b) reinstate the license;
or (c) reinstate the license with conditions or limitations. The right to a revocation
hearing under this Section vests only when a license is granted under an ordinance
approved by the Chair of the NIGC.

12.05. Appeal to the Tribal Court. Any decision of the regulatory agency to revoke a license
pursuant to this Ordinance may be appealed to the Tribal Court by the applicant or
licensee within 14 days of the date of receipt of the regulatory agency’s decision.

a. In all appeals before the Tribal Court, there shall be deference given by the Tribal
Court to the determination of the regulatory agency as the agency charged with
responsibility for interpreting its own regulations. The Tribal Court does not have
authority to grant injunctive relief authorizing a return to work pending any
appeal. The Tribal Court review of regulatory agency hearing determinations is
limited to interpretation and application of law or regulation. The decision of the
Tribal Court shall be final.

31


10.10. Notice of Results. Before issuing a license to a primary management official or key
employee, the regulatory agency shall prepare a notice of results on the applicant’s
background investigation to submit to the NIGC. The notice of results must be submitted
to the NIGC no more later than 60 days after the applicant begins working for the Tribe.
The notice of results shall include, at a minimum, all of the following information:

10.11.

a.

b.

The applicant’s name, date of birth and social security number;

The date on which the applicant began, or will begin, working as a primary
management official or key employee; :

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

1. licenses that have been previously denied;
a gaming licenses that have been revoked, even if subsequently reinstated;
3. every known criminal charge brought against the applicant within the last

10 years of the date of the applicant; and

4. every felony offense of which the applicant has been convicted or any
ongoing prosecution; and

A copy of the eligibility determination made in accordance with § 10.08.

Granting Gaming Licenses. All primary management officials and key employees of the
gaming operation must have a gaming license issued by the Tribe.The regulatory agency
may license submitted primary management official or key employee applicant under this
subsection according to the following:

a.

The regulatory agency submitted a notice of results of the applicant’s background
investigation to the NIGC, according to § 10.10.

The regulatory agency notifies the NIGC of the issues of the license within 30
days of issuance.

The Tribe shall not employ and individual in a primary management official or

key employee position who does not have a license after 90 days of beginning
work at the gaming operation.

26


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

h. Personnel information on all employees, including rotation sheets, hours worked,
employee profiles and background checks.

Article 8. Licensing.

8.01.

8.02.

8.03.

8.04.

8.05.

Licenses Required. The regulatory agency, consistent with IGRA, the Compact, and this
Ordinance, shall ensure that the following minimum groups are licensed. Provided that,
the regulatory agency may develop additional licensing requirements or background
information requirements within regulations that meet or exceed the requirements set
forth in IGRA, the Compact or this Ordinance.

a. Gaming facilities.
b. Employees of a gaming enterprise.
c Vendors.

Gaming Facility. No person shall conduct Class II or Class Ill gaming within the
jurisdiction of the Tribe unless such gaming is conducted at a facility licensed by the
regulatory agency as set forth in Article 9.

Employees of a Gaming Enterprise. No person shall be employed in any gaming
enterprise in any capacity, including but not limited to consultants, independent
contractors, and contracted employees, within the jurisdiction of the Tribe unless licensed
by the regulatory agency as set forth in Article 10.

Vendor. No vendor shall contract with any gaming enterprise within the jurisdiction of
the Tribe unless licensed by the regulatory agency in accordance with Article 11.

Temporary Licenses. The regulatory agency shall issue regulations that authorize the use
of temporary licenses. Temporary licenses shall only be issued to an applicant after the
completion of an application for a license and following a preliminary review period,
during which time the regulatory agency shall perform a credit check and a background
check. Temporary licenses shall be valid for no longer than thirty (30) days from the date
of issuance. A temporary license may be rescinded prior to the conclusion of the thirty
(30) day period if the applicant has been determined unsuitable for licensure under
applicable gaming rules. Notice of rescission of a temporary license shall be presented to
the applicant and the gaming enterprise.

Article 9. Gaming Facility Licenses.

Gaming Ordinance
Ordinance #10-400-01
Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289


10.

All gaming and non-gaming vendor contracts shall be subject to the
annual audit.

The construction or maintenance of the gaming facility and the operation
of the proposed gaming facility shall be conducted in a manner that
adequately protects the environment health and safety of the general
public or employees.

Any management contract between the Tribe and a principal has been
approved by the Tribal Council and the National Indian Gaming
Commission.

The gaming enterprise shall pay to the National Indian Gaming
Commission such fees as federal law may require.

In the event that Class III Gaming is proposed, such gaming meets all
other criteria established by the Compact, federal and tribal laws and
regulations.

The gaming enterprise shall comply with Tribal, Federal and State revenue
laws relating to gaming and non-gaming activities and shall collect, report
and remit all taxes required under such laws.

The gaming enterprise shall comply with the duties imposed upon casinos
by Title 31 of the United States Code.

9.05. Gaming Facility License Application Procedures.

a. Upon receipt of a complete application for a gaming facility license for any Class
II or Class III gaming facility, the regulatory agency shall:

1.

Gaming Ordinance
Ordinance #10-400-01

Review the proposed gaming facility application to ensure that all
threshold criteria required by this ordinance shall be met.

Ensure that all employees of the gaming enterprise possess a valid and
current employee license.

Ensure that the gaming enterprise has provided the regulatory agency with
a list of all individuals employed by the gaming enterprise.

Review and approve the accounting procedures to be used in the gaming
enterprise, or as may be necessary at the gaming facility if more than one
gaming facility is licensed by the regulatory agency.

Authorization to Submit to NIGC September 17, 2014, Resolution #14-0917-289