Reservation.
“Regulations” means any regulations promulgated by the Commission pursuant to this Act.

“Rehabilitation Hearing” means a hearing conducted by and before the Commission under the
requirements of Chapter XI and the Regulations concerning any Applicant for a Level 2 or Level
3 Gaming Employee License who is a Tribal member and who was convicted of or entered a plea
of guilty or no contest to Any Offense within the preceding five (5) years in order to determine
whether the Applicant is not eligible for a Level 2 or Level 3 Gaming Employee License under
the standards set forth in Section 11.03.

“Secretary” means the Secretary of the United States Department of the Interior.
“Tribal Chairperson” means the duly elected Chairperson of the Band.

“Tribal Council” means the Tribal Council of the Pokagon Band of Potawatomi Indians,
established under Article X of the Pokagon Band Constitution as the governing body of the
Tribe.

“Tribal Court” means the Pokagon Band Tribal Court and the Pokagon Band Court of Appeals.

“Tribe” means, and “Tribal” shall refer to, the Pokagon Band of Potawatomi Indians.

CHAPTER Ill
ESTABLISHMENT, ADMINISTRATION & POWERS OF COMMISSION

Section 3.01 Establishment of Gaming Commission. The Tribal Council hereby establishes
the Pokagon Band Gaming Commission as an independent governmental subdivision of the
Tribe.

Section 3.02 Governmental Attributes of the Commission. As a political subdivision of the
Tribe, the Commission possesses all the rights, privileges, and immunities of the Tribe, including
but not limited to the sovereign immunity of the Tribe from suit absent express consent from
Tribal Council. The individual members of the Commission are officers of the Tribal
government and shall be immune from suit when acting in their official capacity to the fullest
extent permitted by law.

Section 3.03 Delegation of Regulatory Authority. The Tribal Council delegates to the
Gaming Commission sole authority and responsibility to regulate all Gaming conducted within
the Tribe’s Reservation, as expressly provided by this Act, which authority includes without
limitation the authority to regulate Gaming Operations, Gaming Establishments, and
Management Contractors, and to license Gaming Establishments, Gaming Suppliers, Gaming
Employees, and all other Persons subject to the Commission’s licensing authority pursuant to this
Act. The Commission shall ensure that all Gaming conducted within the Tribe’s Reservation is

Current Through Res. 07-02-07-01 ll


(b)

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Layout. A description of the Gaming Establishment, including the layout of the
Gaming Equipment and Gaming Devices and the surveillance systems the
Gaming Establishment.

Location. Documentation accurately describing the proposed or current location
of the Gaming Establishment which verifies that such location is on Indian Lands
and, if Class II] Gaming is proposed, that the location constitutes Eligible Indian
Lands.

Security. A description of the security, police, fire protection and other public
safety services that will be available in the Gaming Establishment.

Internal Controls and Procedures. Copies of the proposed system of internal controls
and accounting procedures for the Gaming Operation.

Emergency Operation Plan. The Emergency Operation Plan for the Gaming
Establishment required by the Health, Environmental Protection, and Building
Codes Ordinance; and

Schedule. Schedule of all permits and approvals required under the Health,
Environmental Protection and Building Codes Act, including documents verifying
the current status of such permits and approvals.

Section 6.04 Threshold Criteria That Must be Met by Gaming Establishments. In order to
be eligible for a Gaming Establishment License, the Applicant must submit documentation
sufficient to permit the Commission to determine that the following criteria are met:

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Location. The Gaming Establishment is or will be located on Indian Lands and, if
applicable, Eligible Indian Lands;

Authorized. The proposed Gaming Establishment is duly authorized by Tribal
law and by the Gaming Operation;

Sole Proprietary Interest. The Tribe or a Tribal entity will have the sole
proprietary interest in the Gaming Establishment, notwithstanding the grant to
other Persons of any security interests in tangible personal property of the Gaming
Establishment;

Infrastructure. The Gaming Establishment’s buildings and facilities have
adequate, safe, and operational plumbing, electrical, heating, cooling and
ventilation systems in place;

Compliance. The Gaming Establishment’s buildings and facilities have been
inspected and approved for compliance with all applicable law by a qualified and
duly authorized building and fire inspector;

Current Through Res. 07-02-07-01 32


documents, reports and other information related to the investigation that is in the
possession of the Tribal Police. The Tribal Police shall retain such files for no
less than three (3) years from the date each such person ceases to be employed by
the Commission.

(e) Final Determination Regarding Executive Director. Following review of the
investigative report and findings, the Commission shall, in closed session, make a
final determination as to whether or not the person selected for appointment as
Executive Director meets the applicable standards. Regarding the first
appointment to the position of Executive Director, the Commission shall report its
final determination to the Tribal Council and, based on the Commission’s
determination, the Council shall either appoint such person as Executive Director
or decline to make the appointment.

CHAPTER V
LICENSING; GENERAL PROVISIONS

Section 5.01 Licenses Required. The Commission, consistent with the IGRA, the Compact, and
this Act, shall insure that all Persons required under this Act, the Regulations, the IGRA, or the
Compact to obtain and maintain valid Licenses are at all times in compliance with such requirement.

Section 5.02 Authority to Require Licensing of Other Persons. The Commission may
develop Regulations establishing licensing and background investigation standards and
requirements for other groups of Persons not expressly required to be licensed under this Act, the
IGRA or the Compact, either by classifying additional employees of Gaming Operations as “Key
Employees”, by requiring licensing for Non-Gaming Employees, or requiring licensing of Non-
Gaming Suppliers.

Section 5.03 Gaming Establishment License. No Person shall conduct Class Il Gaming or
Class III Gaming at any location within the Reservation unless such Person conducts Gaming at a
Gaming Establishment licensed by the Commission as set forth in Chapter VI.

Section 5.04. Gaming Employees. No Person shall be employed as a Gaming Employee at any
Gaming Operation within the Reservation unless such Person is licensed by the Commission as
set forth in Chapter VII.

Section 5.05. Gaming Supplier. No Person shall supply any Gaming Goods or Services to any
Gaming Operation within the Reservation unless such Person is licensed by the Commission as
set forth in Chapter VIII.

Section 5.06 General Rights and Duties of Applicants.

(a) No Property Interest or Promise of Employment or Contract. Neither the filing of
an Application nor the Commission’s decision to grant or not grant a License to

Current Through Res. 07-02-07-01 28


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 enterprise. 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 enterprise. 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 and may result in you not being hired in other
positions.

The disclosure of your Social Security Number (SSN) is voluntary.
However, failure to supply a SSN may result in errors in processing
your application.

False Statements Notice.

A false statement on any part of your application may be grounds for
not hiring you, for firing you afier you begin work, or for denying or
revoking a License. Also, you may be punished by fine or
imprisonment.

(c) Application Form Authorizations and Acknowledgements. Every Application
form shall require the Applicant to sign an authorization and an acknowledgement
that are substantially similar in substance to the following:

(1) Authorization permitting the Commission to investigate the Applicant’s
background, including his criminal and civil records, credit and financial
history, business relationships and activities, records of all previous
license Applications, and tax records; and

(2) Assigned acknowledgement that the Applicant consents to the personal
jurisdiction of the Tribe, the Commission, and the Tribal Court and that
the Applicant waives all available defenses against such jurisdiction.

(d) Personal History Disclosure. The Personal History Disclosure shall require, at a
minimum, the following information:
qd) Relationship with other tribes. A description of any existing and previous
Gaming-related or other business relationships with any Indian tribe;
(2) Gaming history. A description of any existing and previous business

Current Through Res. 07-02-07-01 37


the Gaming Supplier or Non-Gaming Supplier. A person shall be presumed to have control
when such person owns shares of any corporation that is not a publicly traded corporation and
such person owns, controls or holds the power to vote ten percent (10%) or more of the voting
securities of the corporation. Control Persons include members of the board of directors, chief
executive officer, chief operating officer, and any person with the responsibility and authority to
manage the contract on behalf of the Gaming Supplier or Non-Gaming Supplier with respect to
the goods or services being provided to a Gaming Operation.

“Elders Council” means the Elders Council of the Pokagon Band of Potawatomi Indians
established under Article XI for the Pokagon Band Constitution to provide guidance and advise
to the Tribal community.

“Emergency Operation Plan” means the plan required by Article V, Section 5, of the Health,
Environmental Protection, and Building Codes Ordinance, which shall be included with an
Application for a Gaming Establishment License under Section 6.03 of this Act.

“Excluded Person” means any Patron or other person whose name has been added to an
Exclusion List in accordance with the requirements set forth in Section 10.14 of this Act.

“Exclusion List” means the list of Excluded Persons created and maintained under the
requirements set forth in Section 10.14 of this Act.

“Fiscal Year” for the Tribe means the period ending on September thirtieth (30") of each year
and for the Pokagon Gaming Authority and the Four Winds Casino Resort means the period
ending on the last Sunday of each calendar year.

“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.

“Game” means any game of chance, however conducted, operated, or played, that comes within
the definition of Gaming provided in this Section.

“Gaming” means any Class II Gaming or Class II] Gaming activity, either individually or
collectively and whether authorized or unauthorized.

“Gaming Commission” or “Commission” means the Pokagon Band Gaming Commission
established pursuant to this Act to regulate Gaming within the jurisdiction of the Tribe.

“Gaming Device” means any mechanical, electromechanical or electronic equipment,
contrivance, component, or machine, whether used remotely or directly in connection with any
Gaming that affects the result of a wager by determining or predicting the outcome of a Game or
the odds of winning or losing a Game. This term shall be broadly construed to promote the

Current Through Res. 07-02-07-01 5


Section 11.02 Hearings.

(a)

(b)

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Except as provided otherwise in this Act, the Commission shall afford an
Applicant an opportunity for a hearing prior to any final action by the
Commission on a Application, other than an unconditional grant of a License. For
purposes of this requirement, Provisional Licenses and Temporary Licenses shall
not be considered to be conditional.

Except as provided otherwise in this Act, the Commission shall afford a Licensee
the opportunity for a hearing prior to taking formal action to suspend or revoke a
License, not renew a License, to place conditions or restrictions on a License, or
the imposition of any penalties that the Commission is authorized to impose
pursuant to this Act. Nothing in this Section shall limit the Commission’s
authority to summarily suspend or revoke a License without a hearing pursuant to
Sections 7.12 or 8.10 of this Act.

Except as provided otherwise in this Act, the Commission shall provide an
Excluded Person the opportunity for a hearing prior to rendering a decision to add
such person’s name to an Exclusion List.

Except as provided otherwise in this Act, the Commission shall afford other
Persons subject to the Commission’s regulatory authority under this Act the
opportunity for a hearing prior to issuing a decision, including enforcement
actions, as described in Section 11.11 or as otherwise expressly authorized under
this Act.

Section 11.03 Tribal Member Rehabilitation Hearing.

(a)

(b)

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Right To A Rehabilitation Hearing.. Any Tribal member who is an Applicant for
a Level 2 or Level 3 Gaming Employee Licenses and who was convicted of or
entered a plea of guilty or no contest to Any Offense within the preceding five (5)
years shall be entitled to a Rehabilitation Hearing.

Notice Requirements. The Commission shall notify the Applicant of the
Applicant’s right to request a Rehabilitation Hearing promptly, but not more than
five (5) business days from the date the Commission becomes aware of
information concerning an Applicant who is a Tribal member that would prevent
the Commission from issuing a Level 2 or Level 3 License to the Applicant under
the standards set forth in subsection 11.03(f).

Time to Request a Hearing. The Applicant must request a Rehabilitation Hearing
within thirty (30) days of the date of the Commission notice, except for good
cause shown, or, if no notice is issued by the Commission, thirty (30) days from
the date the Applicant becomes aware of his or her right to a Rehabilitation
Hearing. Upon the Applicant’s timely request, the Commission shall conduct a

Current Through Res. 07-02-07-01 65


promptly conduct an investigation to substantiate the allegations and to obtain any
other relevant information that may prove or disprove grounds for suspension or
revocation.

( Notice of Intent to Suspend License. If upon completion of the investigation, the
Commission determines that grounds exist to suspend the License under the
standards set forth in subsection (a), but such grounds do not meet the standards
of subsection (b), the Commission shall issue a Notice of Intent to Suspend
License, which shall be served on the Licensee and the Manager of the Gaming
Establishment.

(g) Notice of Summary Suspension of License Pending a Hearing. If upon
completion of the investigation the Commission determines that grounds exist to
suspend the License under the standards set forth in subsection (b), the
Commission shall issue a Notice of Summary Suspension of License Pending
Hearing, which shall be served upon the Licensee and upon the Manager of the
Gaming Establishment.

(h) Notice and Hearing Requirements. Any Notice under this Section shall:

(1) __ inform the Licensee of the right to a hearing upon request;

(2) _ state in detail the grounds upon which it is issued;

(3) identify any witnesses the Commission intends to call, except witnesses
whose identity the Commission determines should not be disclosed in
advance of the hearing in order to protection such witnesses and ensure
their full cooperation;

(3) summarize the facts and evidence that the Commission intends to present
to demonstrate that adequate cause exists to support the action against the
employee’s License; and

(4) inform the employee that he or she has the right to present evidence to
rebut the grounds specified in the notice, including testimony from fact
witnesses, or to present evidence of mitigating circumstances
demonstrating that the action against his or her License is not warranted.

@ Time Requirement for Requesting a Hearing. The Commission shall make every
reasonable effort to set the date for a before the Commission within fourteen (14)
days, but in no event later than thirty (30) days, after the date the Licensee files a
written request for a hearing. The Licensee shall file a request for a hearing
within three (3) business days from the date the Licensee receives a Notice. The
Commission may, on its own, schedule a hearing, notwithstanding the lack of
written request for a hearing from the Licensee. The hearing shall be conducted in
accordance with the procedures described in Chapter X.

(0) Conversion of Suspension Hearing to Revocation Hearing. If the results of the
investigation described in subsection (e) indicate that there are sufficient grounds
to revoke the Licensee’s License under the standard set forth in subsection (d), the

Current Through Res. 07-02-07-01 47


supplement the information provided to the Commission with the Applicant’s initial Gaming
Employee License Application on such forms and subject to such requirements as may be
prescribed by the Commission. A Temporary License may be granted where the holder of a
Gaming Employee License has timely sought a License renewal and has paid all required fees
and costs but the License renewal has not been approved by the Commission.

Section 7.10 Disclosure of Applicant and Licensee Information and Documents.

(a) The Commission may, consistent with its duties and responsibilities under the law
and in an effort to preserve and enhance the integrity of Gaming conducted within
the Reservation, disclose Applicant and Licensee information, documents,
photographs, records, and other material under the following circumstances:
qd) Pursuant to written authorization from the Applicant or Licensee to whom

the information and documents pertain;

(2) Pursuant to a written request from a duly authorized agent of any agency
of the United States, a State, or the Tribe, including law enforcement
agencies, and regulatory bodies when authorized by law, and in
accordance with, the terms and conditions described in any Regulations;
and

() If ordered to do so by a court of competent jurisdiction.

(b) Disclosure of Applicant or Licensee information and documents by the Gaming

Commission is specifically authorized under the following circumstances:

(1) National Indian Gaming Commission. The Commission is required to
forward to the NIGC, an investigative report on each background
investigation. An investigative report shall include: (1) steps taken in
conducting a background investigation; (2) results obtained; (3)
conclusions reached; and (4) basis for the conclusion. The Commission
shall disclose to the NIGC the revocation of any Gaming License and if
that License is reinstated, disclose that as well.

(2) | Michigan Gaming Control Board. Under Section 4(L) of the Compact the
Commission is required, upon request, to provide representatives of the
Michigan Gaming Control Board with access to background investigation
information compiled by the Commission on all Key Employees and
Primary Management Officials .

Section 7.11 Suspension or Revocation of a License.

(a) Standard for Suspension of License Following a Hearing. Any License issued
under this Chapter may, after notice and hearing, be suspended by the
Commission for such period the Commission determines in accordance with the
requirements of subsection (c) if the Commission determines that any of the
following have occurred:

(1) The Licensee has been formally charged with any offense that may
disqualify the Licensee from holding a License under this Act.

Current Through Res. 07-02-07-01 45


Section 8.04 Background Investigation. The Commission shall conduct or cause to be conducted
a background investigation of the Applicant and each Control Person. Control Persons who are
natural persons shall be subject to the same background investigation as is required for a Level 1
License, except that a criminal history check involving the submission of the fingerprints of Control
Persons who are natural persons to the NIGC shall not be required. The background investigation
shall consist of at least the following:

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(h)

Verify Identity. Verify the Applicant’s legal identity and standing (if applicable)
and Verify the identity of all Control Persons who are natural persons through
primary sources, such as government-issued identification and other documents,
including without limitation social security cards, drivers licenses, birth
certificates, or passports;

References. Contact each reference provided in the License Application and,
when warranted, contact other references and sources identified in the Application
in order to verify and supplement the information submitted by the Applicant and
to resolve any discrepancies encountered through the background investigation;

Financial History. Obtain a credit history report, Dunn & Bradstreet report, if
warranted, and, regarding Control Persons who are natural persons, an individual
credit history report and verify the accuracy of financial information provided by
the Applicant and Control Persons by contacting financial institutions and other
sources;

Civil History. Conduct a civil history check;

Criminal History. Conduct a criminal history check regarding all Control Persons
who are natural persons by obtaining information from law enforcement agencies
and courts in the jurisdictions where such persons resided regarding all arrests,
charges, and convictions;

Prior Business Relationships. Inquire into any previous or existing business
relationships by contacting the entities or tribes;

Agency History. Verify the Applicant’s history and status with any licensing
agency; and

Business Practices Review. Review information concerning the Applicant’s
business practices and identify any history of unethical, unscrupulous, or other
business misconduct.

The investigator shall create an investigative report that describes the investigative process,
information gained, potential problem areas, and any disqualifying information. The
Commission shall keep confidential the identity of each person interviewed in the course of the

Current Through Res. 07-02-07-01 51


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the licensing or regulatory agency taking such action, the date the action was
commenced, and the current status or disposition of the action);

A Person Having a Direct or Indirect Financial Interest in a Management Contract
is charged with a crime or is the subject of an ongoing prosecution, excluding
minor traffic offenses, whether or not the charge results in a conviction (the notice
shall include the name and address of the court involved, the charge, the dates of
the charge, and the status or disposition);

Any change to the governing documents of the Management Contractor, such as
an amendment to articles of incorporation or the articles of organization (the
notice shall include copies of all documents that are changed);

If company is publicly traded, any event of substantial non-compliance with the
Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley
Act of 2002, or applicable Securities and Exchange Commission regulations;

The Management Contractor files any report, notice, or other communication with
the NIGC, the Michigan Gaming Control Board, or the Michigan Liquor Control
Commission in connection with any Gaming Operation (the notice shall include
copies of all such communications and related documents);

The Management Contractor receives a notice or other communication from a
Gaming Operation that the Management Contractor is in breach of the
Management Contract or is not in compliance with legal requirements applicable
to the Gaming Operation or the Management Contractor;

There is a change of control of the Management Contractor; and

There is an adverse material change in the Management Contractor’s financial
condition that may materially and substantially impair the Management
Contractor’s ability to perform its obligations under the Management Contract,
which may include without limitation the refinancing of existing debt, the
acquisition of new debt, or other events that may impact the Management
Contractor’s financial stability.

Section 9.03 Enforcement. The Gaming Commission may initiate any enforcement action
against the Management Contractor under this Act that it deems warranted for violations of this
Act, including without limitation a failure to fulfill the requirements stated in Sections 9.01 or
9.02 or to comply with any of the following requirements:

(a)

Maintain for any Gaming Operation a valid Management Contract approved by
the NIGC;

Current Through Res. 07-02-07-01 55


Section 7.05

(a)

(b)

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Section 7.06

(a)

state court order, operation of law, or, if the Applicant is a Tribal member, the
Commission has determined through a Rehabilitation Hearing that such conduct
does not require that the Applicant be denied a Gaming Employee License.

Eligibility Determinations.

Commission Review and Determination. Within fifteen (15) days following the
completion of the background investigation described in Section 7.03 but not
more than fifty (50) days from the date it issues a Provisional License, the
Commission shall review the Application, the investigative reports, and any
objections to the issuance of a License and shall make a determination of
eligibility under the standards set forth in Section 7.04.

Level 1 or Level 2 License: Preliminary Determination. If the Application is for a
Level 1 or a Level 2 License, the Commission shall also consider any information
provided by the NIGC before making a determination of eligibility and shall
comply with the additional requirements of Section 7.06. Pending the outcome of
the process set forth in Section 7.06, the Commission’s eligibility determination
regarding Applicant’s for a Level 1 or a Level 2 License shall be a preliminary
determination.

Level 3 License: Final Determination. If the Application is for a Level 3 License,
the Applicant may challenge a determination that the Applicant is ineligible for a
Level 3 License, or is only eligible with conditions, in accordance with the
procedures and requirements of Chapter XI. If the Commission determines that
the Applicant is eligible for a Level 3 License, the Commission shall promptly
notify the Applicant and shall issue the License.

Approval of a Level 1 or a Level 2 Gaming Employee License.

Preliminary Eligibility Determination. If the Commission makes a preliminary
eligibility determination that the Applicant for a Level 1 or a Level 2 Gaming
Employee License qualifies for the issuance of a License, the Commission shall,
within seven (7) business days of the date such determination is made, prepare
and forward to the NIGC, in such form and to the extent the NIGC may require,
an investigative report, a preliminary eligibility determination, and a notice of
intent to issue the Applicant a License. For Commission purposes, the
investigative report shall, at a minimum, include the following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The basis for those conclusions.

The Commission shall request that the NIGC issue within thirty (30) days any
objections it determines are warranted to the issuance of a License.

Current Through Res. 07-02-07-01 43


submitting, in writing, a signed and dated letter of resignation to the Commission Secretary or
Chairperson and the Tribal Council Secretary or Chairperson. The resignation shall be effective
as of the date tendered unless stated in the resignation letter. A copy of the resignation letter will
be forwarded to the Tribal Council Secretary.

Section 3.11. Removal. The Commission may, by majority vote, request that the Tribal
Council initiate a procedure for the removal of a Commission member and the Tribal Council
may, on its own initiative, initiate a removal procedure for any member of the Commission by an
affirmative vote of at least eight (8) members of the Tribal Council for any of the following
reasons:

(a) __ Nonfeasance, including the persistent failure to perform the duties of the office,
including failure to attend a significant number of meetings;

(b) — Misfeasance, including any substantial or repeated failure to exercise authority or
discharge responsibilities in conformity with this Act, Regulations, the IGRA, or
the Compact;

(c) Malfeasance, including (i) a conviction or a plea of guilty or no contest regarding
any felony criminal offense or any other criminal offense involving dishonesty or
moral turpitude, (ii) a substantial violation of the Pokagon Band Code of Ethics,
(iii) a knowing violation of this Act, the Regulations, the Pokagon Band Liquor
Control Code, or other applicable Tribal law that assigns duties or responsibilities
specifically to the Commission; and (iv) misconduct in office that threatens the
integrity or public image of the Commission;

(d) Failure to maintain the necessary qualifications for office prescribed in Section
3.07;

(e) Physical or mental disability that prevents the performance of duties.

If the Tribal Council has reason to believe that cause for removal of a Commissioner exists, the
Tribal Council shall direct that an investigation be conducted by the Tribal Prosecutor. If, in the
Tribal Council’s determination, the investigation substantiates the existence of cause for
removal, the Tribal Council shall notify the Commissioner of the time and place for a hearing
before the Tribal Council, which notice shall also fully describe the purpose for the hearing and
all claims and allegations to be addressed at the hearing. Any investigation and hearing under
this Section shall be conducted in accordance with the procedures prescribed in Chapter XI,
except that the hearing shall be conducted by and before the Tribal Council.

Section 3.12. Vacancies; Appointment to Fill Vacancy.

(a) Appointment. Vacancies on the Commission shall be filled by Tribal Council
appointment for the balance of the unexpired term.

Current Through Res. 07-02-07-01 15


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Section 6.05

(a)

Security. The Gaming Establishment is equipped with security and surveillance
equipment meeting or exceeding the Tribal Minimum Internal Control Standards
established by the Regulations;

TMICS. The system of internal controls and accounting procedures for the
Gaming Operation will meet or exceed the requirements of the Tribal Minimum
Internal Controls , including requirements to ensure that financial statements and
charts of account for Gaming revenues will be preserved and subject to audit;

Emergency Operation Plan. The Emergency Operation Plan meets the
requirements of Article V, Section 5, of the Health, Environmental Protection, and
Building Codes Ordinance;

Meets Legal Requirements. The Gaming Establishment’s buildings and facilities
meet all other requirements of applicable federal, Tribal and state law; and

Fees and Costs. The Gaming Operation has paid all applicable License fees and
costs.

Gaming Establishment License Application Procedures.

Upon receipt of a complete Application for a Gaming Establishment License, the

Commission shall:

(1) Review application. Review the proposed Gaming Establishment License
Application to ensure that all threshold standards required by this Act are
met;

(2) Review procedures. Review the system of internal controls and
accounting procedures to be used by the Gaming Operation;

(3) — Review layout. Review the layout of the games and surveillance systems
for the Gaming Establishment, including any instructions, policies,
procedures, internal controls or other documents related to the layout of
games and surveillance systems;

(4) Review Emergency Operation Plan. Review the Emergency Operation
Plan for compliance with the requirements of Article V, Section 5, of the
Health, Environmental Protection, and Building Codes Ordinance;

(5) Review permit schedule. Review the schedule of permits and approvals
required under the Health, Environmental Protection and Building Codes
Ordinance and consult as needed with the Code Enforcement Officer
responsible for review and approval of such permits and approvals;

(6) Review Gaming Establishment. Review all aspects of the Gaming
Establishment to ensure that it will be in compliance with the provisions of
federal and Tribal laws and regulations and the Compact; and

(7) Additional. Take any additional steps necessary to ensure the integrity of
Gaming at the Gaming Establishment and by the Gaming Operation.

Current Through Res. 07-02-07-01 33


Exclusion List. The Commission may place a person’s name on the
Exclusion List either permanently or temporarily. If a person’s name is
placed on the Exclusion List by the Commission temporarily, the
Commission shall inform the person in the notice of the Commission’s
decision and the period of time that person’s name will be on the
Exclusion List.

(e) Removal from the Exclusion List. Any Excluded Person may petition the
Commission in writing at any time, but not more frequently than annually, to have
their name removed from the List.

(ff) Duty to Exclude. It shall be the duty of the Commission and the Manager of each
Gaming Establishment to exclude or eject from a Gaming Establishment any
Excluded Person. Any Primary Management Official or Key Employee of a
Gaming Operation who knows or has reason to know that an Excluded Person has
entered or is attempting to enter a Gaming Establishment shall be responsible for
notifying appropriate security and surveillance staff and taking other action within
the scope of the employee’s authority and responsibility.

(g) _ Distribution and Availability of Exclusion Lists. The Exclusion list shall be
regularly updated and shall be distributed to each Gaming Establishment. The list
shall be made available to law enforcement agencies by subpoena or upon request
to the extent the law enforcement agency can establish a legitimate need for the
list.

Section 10.15 Voluntary Exclusion. A compulsive gambler or any other person, upon
providing the Commission or a Gaming Operation with a written and signed request to be
designated an Excluded Person that includes sufficient information to allow positive
identification of such person, shall be excluded from all Gaming Establishments and from
participation in any Class II or Class III Gaming. Such person’s name shall be added to the
Exclusion List and the requirements of subsections 10.14(e) and (f) shall apply.

Section 10.16 Issuance of Credit. Gaming Operations may issue credit to patrons, subject to
such requirements as the Commission may establish by Regulation.

CHAPTER XI
RULES OF PROCEDURE FOR HEARINGS

Section 11.01 Scope of Rules of Procedure. Except as expressly stated otherwise in this Act,
hearings conducted by the Commission pursuant to this Act shall be governed by this Chapter
and the Regulations. The Commission shall promulgate Regulations establishing standards and
procedures for conducting hearings consistent with this Act. The Commission may, in its
discretion, initiate enforcement actions in the Tribal Court, which shall not be subject to the
procedural requirements of this Act.

Current Through Res. 07-02-07-01 64


Investigator’s File ....
Final Determination Regarding Executive Director.

CHAPTER V LICENSING; GENERAL PROVISIONS...

SECTION 5.01 LICENSES REQUIRED...
SECTION 5.02 AUTHORITY TO REQUIRE LICENSING OF OTHER PERSONS
SECTION 5.03 GAMING ESTABLISHMENT LICENSE .
SECTION 5.04. GAMING EMPLOYEES
SECTION 5.05. GAMING SUPPLIER
SECTION 5.06 | GENERAL RIGHTS AND DUTIES OF APPLICANTS
No Property Interest or Promise of Employment or Contract
Duties of Applicants and Licensees...
Responsibility to establish qualifications

Duty to disclose and cooperate
Licensee’s continuing duty to promptly furnish information
Authority to seize, revoke and suspend License ..
Waiver of liability for disclosure of information.
Consent to examination of accounts and records
Consent to Jurisdiction
Non-transferability of License.
SECTION 5.07 | WITHDRAWAL OF LICENSE APPLICATIO!
SECTION 5.08 | BURDEN OF PROOF
SECTION 5.09 RIGHT TO CONDITION
SECTION5S.10 | TERMS OF LICENSES ..
Level 1
Level 2
Level 3

SECTION 5.11 LICENSE FE
SECTION 5.12 TIME PERIODS

CHAPTER VI LICENSING OF GAMING ESTABLISHMENTS...

SECTION 6.01 LICENSE REQUIRED...
SECTION 6.02 LICENSE APPLICATION FEES
SECTION 6.03 GAMING ESTABLISHMENT APPLICATION PROCEDURES
Proposed Gaming.

Internal Controls and Procedures
Emergency Operation Plan ......

Schedule...

SECTION 6.04 THRESHOLD CRITERIA THAT MUST BE MET BY GAMING ESTABLISHMENTS .. 32
Location...
Authorized ....
Sole Proprietary Interest 32
Infrastructure. 32
Compliance 32
Securily .. 33
TMICS 33
Emergency Operation Plan 33
Meets Legal Requirements 33
Fees and Costs ..... 33

iii


Prosecutor, and the General Counsel in exercising its authority under this Section.
Section 11.05 Hearing Requirements.

(a) The Chairperson of the Commission shall preside over all hearings conducted
before the full Commission, and shall call the proceedings to order, control the
presentation of evidence, the appearance of witnesses, and the order of the
proceedings. The Commission may designate one or more of the Commission
members or may contract with other qualified persons to serve as hearing officers
with regard to hearings the Commission determines can be properly handled by a
single hearing officer. Hearing officers shall have authority to render decisions
and issue findings of fact and conclusions of law, subject to the requirement that
their decisions may only become final upon adoption by the Commission and such
other requirements the Commission may establish by Regulation.

(b) | The Commission may require any Person, including, but not limited to, any
Applicant, Licensee, Excluded Person or any agent, employee or representative of
such Person, to appear and testify before it with regard to any matter within its
jurisdiction at such time and place as it may designate. Such testimony shall be
under oath and may include any matters that the Commission deems relevant to
the discharge of the Commission’s official duties. Testimony shall be recorded by
a duly certified court reporter and may be used by the Commission as evidence in
any proceeding or matter before the Commission.

(c) Except as otherwise provided in this Act or other Tribal law, all hearings held
under this Act shall be open to the public.

Section 11.06 Commission Decisions.

All decisions to be made by the Commission under this Act or the Regulations shall, when
necessary to support the decision, include findings of fact and determinations of law. The
Commission may, at its discretion, include with its decision a statement that the Commission’s
decision is a “final decision subject to appeal”. All such decisions, findings, and determinations
shall be made on the record in an open meeting, except as may be otherwise authorized by Tribal
law. All Commission decisions shall be made by majority vote, except when this Act expressly
authorizes the Commission to delegate authority for specific decisions or actions to a single
Commissioner, the Executive Director or other Commission personnel.

CHAPTER XIL
APPEALS

Section 12.01 Limited Waiver of Sovereign Immunity of the Commission. The Tribe, by
enactment of this Act, expressly waives the Commission’s sovereign immunity from suit for any
action brought against the Commission in the Tribal Court that is explicitly authorized by this
Act.

Current Through Res. 07-02-07-01 67


(d)

(0)

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Rehabilitation Hearing.

Hearing Procedures. The Commission shall Conduct the Rehabilitation Hearing
in accordance with the requirements of this Section, this Chapter, and the
Regulations. The requirements of this Section are intended to supplement the
requirements of this Chapter. If the requirements of this Section conflict with the
requirements of this Chapter or the Regulations, the requirements of this Section
shall govern.

Burden of Proof. The Applicant shall have the burden to prove all facts by clear
and convincing evidence.

Hearing Standards. The Commission shall make the following determinations:

(1) whether or not the Applicant is likely again to engage in any offensive or
criminal course of conduct;

(2) whether the public good requires that the Applicant be denied a Gaming
Employee License;

(3) whether the Applicant (i) participated in organized crime or unlawful
gambling or (ii) is a person 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 (iii) 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.

Unfavorable Finding. The Commission’s decision in the Rehabilitation Hearing
shall be a final decision subject to appeal. If the Commission does not find in
favor of the Applicant on all standards, the Applicant shall be denied a Gaming
Employee License and shall have the right to only one appeal for the denial of a
License.

Favorable Finding. If the Commission finds in favor of the Applicant on all
standards, the Commission shall proceed with the Gaming Employee License
process set forth in Chapter VII.

Section 11.04 Subpoenas.

(a)

(b)

The Commission has the power and discretion to issue subpoenas to compel the
production of documents or other tangible things and to compel the appearance of
witnesses to give testimony with regard to any Commission investigation or
proceeding. The Commission may impose reasonable penalties and take such
other appropriate actions as the Commission deems warranted under the
circumstances to address noncompliance with a subpoena.

The Commission may seek the assistance of the Tribal Police, the Tribal

Current Through Res. 07-02-07-01 66


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a person known to have committed a gaming related felony;

A person with a reputation for card counting or engaging in other forms of
cheating or manipulation of games; or

An Excluded Person, or is a member of any group or type of persons which has
been excluded, for cause from Gaming Establishments by Commission order.

Section 13.02 Prohibited Acts. In addition to other civil violations and criminal acts that may
be regulated or prohibited by this Act, the Regulations, or other Tribal law or applicable federal
law, the prohibited acts described in this Section shall constitute unauthorized Gaming under this
Act. Any Person that engages in one of the following prohibited acts shall be subject to
Commission enforcement actions, including without limitation the suspension or revocation of a
License granted under this Act, other civil penalties, and criminal prosecution:

(a)

(b)

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(h)

Altering or misrepresenting the outcome of a Game after the outcome of such
Game has been determined but before the outcome is revealed to the players;

Placing or increasing a bet or wager after acquiring knowledge of the outcome of
the Game, including past-posting and pressing bets;

Aiding anyone in acquiring such knowledge referred to in subsection (b) of this
Section for the purposes of increasing or decreasing any wager, or for the purpose
of altering or determining the course of play;

Claiming, collecting, or taking, or attempting to claim, collect, or take, money or
anything of value in or from a Game with the intent to defraud or claiming,
collecting, or taking an amount greater than the amount actually won in such
game;

Knowingly enticing or inducing another to go to any place where Gaming is
conducted or operated in violation of this Act with the intent that the other person
participate in such Gaming;

Reducing the amount wagered or canceling a wager after acquiring knowledge of
the outcome of the Game, including pinching bets;

Manipulating, for the purpose of cheating or defrauding, any component or part of
a Game in a manner contrary to the established or intended normal operational
purpose for such component or part, with the knowledge or expectation that such
manipulation will likely affect the outcome of the game, or with knowledge of any
event that would likely affect the outcome of the game;

Defrauding any Licensee, Patron, or other Person involved in any Gaming;

Current Through Res. 07-02-07-01 69


(c) Contracting. The Executive Director may negotiate and enter into contracts for
the acquisition of goods and services required by the Commission and may
otherwise expend Commission funds as needed for the operation of the
Commission, subject to such requirements as the Commission may establish,
provided that the Executive Director may enter into contracts not exceeding
$50,000 without advance approval by the Commission if such contract is within
the Commission budget.

(d) — Oversight of Commission Operations. The Executive Director shall be
responsible for the day-to-day operations of the Commission, including
maintaining oversight of the Licensing and Investigation Division, the
Enforcement and Compliance Division, and such other divisions, departments,
sections, or offices of the Commission as the Commission shall establish. In
overseeing Commission operations, the Executive Director shall ensure that the
following activities are performed effectively and in accordance with applicable
law:

(1) All investigations. Investigations of any matter within the scope of
authority of the Commission, including without limitation background
investigations necessary to determine the suitability of any Applicant for
License are conducted efficiently and professionally;

(2) Commission challenges. Assist the Commission as needed, prepare
evidence, and cooperate with the Commission’s legal counsel in
presenting the Commission’s case in all challenges to Commission
decisions asserted in accordance with the standards and procedures
provided in this Act and the Regulations;

(3) Monitoring and compliance. Monitor all Gaming Operations and Gaming
Establishments to determine compliance with the this Act, the
Regulations, the Pokagon Band Liquor Control Code, the IGRA, the
Compact, and other applicable law and that, upon receiving any credible
report of a violation thereof or at random or periodic intervals, with or
without prior notification to the Gaming Operation a timely investigation
is conducted with regard to such report;

(4) Disputes. Address and, as needed, investigate all disputes between
Gaming Patrons and Gaming Operations pursuant to the standards and
procedures set forth in this Act and the Regulations;

(5) Enforce Exclusion List. Maintain and enforce compliance with an
Exclusion List of the names of persons to be excluded from Gaming
Establishments; and.

(6) General assistance. Assist the Commission as needed in enforcing
Commission orders and decisions and in pursuing other enforcement
actions.

(e) Licensing. The Executive Director may grant Provisional Licenses, Temporary
Licenses, and other licenses on behalf of the Commission as expressly provided

Current Through Res. 07-02-07-01 26


conducted in conformance with this Act, the Regulations, the Compact, the IGRA, regulations
promulgated by the NIGC, and other applicable Tribal and federal laws.

Section 3.04 Independence of Commission. In all matters subject to its regulatory authority,
the Commission shall be and shall act independently and autonomously from the Tribal Council.
No prior or subsequent review by the Tribal Council of any actions of the Commission shall be

required or permitted, except as may be otherwise explicitly provided in this Act.
Notwithstanding the foregoing, the Commission shall be subject to all Tribal law, including
generally-applicable Tribal administrative policies and procedures that are not in conflict with
this Act, except to the extent that an exception for the Commission is expressly provided. The
Commission fiscal year shall be the fiscal year of the Tribe.

Section 3.05 Commission Funding. Commission funding shall be in an amount adequate for
the Commission to properly fulfill all of its regulatory responsibilities under this Act. The
amount of the Commission funding shall be established annually for the subsequent Fiscal Year
through a detailed annual budget to be prepared by the Commission for Tribal Council approval,
as provided in subsection 3.14(i) of this Act. The Commission budget shall take into account any
unexpended funds retained by the Commission at the end of the prior Fiscal Year, excluding
funds that are obligated for costs or expenses incurred during the prior Fiscal Year. The Tribal
Council shall not reduce the Commission’s annual budget during any Fiscal Year, but may
approve requests by the Commission to supplement the budget when necessary. Funding for all
costs and expenses of the Commission shall be the sole obligation of the Pokagon Gaming
Authority, pursuant to subsection X.F of the Pokagon Gaming Authority Ordinance.

Section 3.06 Composition of Commission. The Commission shall be composed of three (3)
persons appointed by the Tribal Council, at least one (1) of whom shall be an enrolled member of
the Tribe.

Section 3.07 Qualifications; Appointment of Commissioners.

(a) Qualifications. No person shall serve on the Commission if that person is:

(1) — Under the age of twenty-one (21);

(2) |Amember or officer of the Tribal Council;

(3) A Judge or employee of the Tribal Court;

(4) — Employed by any Gaming Operation;

(5) Resides in the same household with, a person employed as a Primary
Management Official or Key Employee of any Gaming Operation;

(6) Has a direct or indirect financial interest in the Gaming Operation,
including any Management Contractor, or a direct financial interest in any
Gaming Supplier. For purposes of this Section, (i) direct financial interest
shall not include the right to per capita distributions of Gaming revenues
pursuant to the IGRA but shall include direct ownership of stock in a
publicly traded company and (ii) indirect financial interest shall not
include ownership of any mutual funds that hold such stock.

(7) Employed or otherwise serves in a position with responsibilities that create

Current Through Res. 07-02-07-01 ro)


changes to the proposed regulation that are based on sound analysis or are
supported by reliable data and information. The Commission shall approve the
regulation by resolution and shall, by official action, set the effective date of the
regulation and publish and post copies of a notice of adoption of the regulation in
the same manner as for the notice of intent to adopt the regulation. The notice of
adoption shall summarize the final regulation and the changes to the proposed
regulation. To the extent practicable, the notice of adoption shall include written
responses to all substantive comments, provided that the Commission may offer a
single response to substantially similar comments. The notice of adoption shall
state the effective date of the regulation and shall announce that copies of the
regulation are available from the Commission. Copies of the notice and the final
regulation shall be delivered to all Persons who were sent a copy of the notice of
intent.

(e) Other Powers of Commission. In addition to and in conjunction with the
enumerated regulatory powers set forth above in this Act, the Commission shall
also have the power to:

(1) Suspend, restrict, or revoke a License for —

(i) any direct and immediate threat to the health, welfare, or safety of the
public; (ii) the failure to make prompt and satisfactory progress to correct
a problem that was the basis for a License suspension or other disciplinary
measure; (iii) repeated or substantial violations of this Act, the
Regulations, the IGRA, or the Compact; (iv) the failure to maintain
eligibility for the License; and (v) the failure to remain eligible for a
Gaming License in any other jurisdiction.

(2) Initiate administrative proceedings before the Commission or civil actions
in court, at the Commission’s discretion, to enforce provision of this Act,
the Regulations or the IGRA;

(3) | Compromise, negotiate or settle any dispute to which the Commission is a
party relating to the Commission’s authorized activities;

(4) _ Enter through its investigators, agents, and the Tribal Police at any time a
Gaming Establishment or other places of business of any Licensee in order
to gain access to, inspect, examine, copy, and audit all records, equipment,
supplies or other items concerning any Gaming conducted within the
Reservation;

(5) Investigate, review, decide, adjudicate, enforce, and to undertake such
other regulatory activities regarding any matters subject to the
Commission’s jurisdiction as necessary for the Commission to carry out its
express duties and responsibilities under this Act;

(6) Conduct such hearings as the Commission may deem appropriate in
carrying out its duties, including administering oaths or affirmations to
wilnesses and issuing subpoenas to compel the production of records and
the appearance of witnesses at such hearings;

(7) _ Provide information obtained through audits or other investigations that
indicates a violation of Tribal, federal or applicable state laws or

Current Through Res. 07-02-07-01 18


each such person ceased to hold the position of Commissioner.

(5) Preliminary Determination. Upon completion of the background
investigation, the Tribal Council shall review the report and findings of the
investigation in closed session. The Tribal Council shall make a
preliminary determination in open session, as provided in subsection (d),
to either approve or deny the appointment; provided that, the background
investigation report and all information contained therein shall remain
confidential and shall not be included in the public record of the Tribal
Council session unless the appointee requests that a hearing to contest the
preliminary determination be conducted before the Tribal Council in open
session pursuant to subsection (e).

(d) Final Determination: Confirmation of Appointment. Following review of the
investigative report and findings, and any hearing that may be conducted pursuant
to subsection (e), the Tribal Council shall make a final determination as to
whether the appointee meets the qualifications and applicable licensing standards
for appointment to the Commission. Based on such decision the Council shall
either appoint such person to the Commission or decline to make the appointment.

(e) — Notice to Rejected Appointees: Right to Hearing. The Tribal Council shall
provide written notice to any person that has been preliminarily determined does
not meet the qualifications or applicable licensing standards for appointment to
the Commission. The notice shall fully describe the basis upon which the
preliminary determination was made and shall inform such person of his/her right
to request a hearing before the Tribal Council to contest with new evidence and
testimony the Tribal Council’s preliminary determination. The hearing under this
subsection shall be conducted as provided in Chapter XI of this Act and the
person contesting the preliminary determination shall have all of the rights given
to a Licensee or Applicant therein, except that such hearing shall be conducted by
and before the Tribal Council in closed session, unless the nominee elects, in
writing, to have the hearing open to the public.

Section 3.08. Initial Terms of Office. Commissioners shall serve staggered three (3) year
terms. To achieve such staggered terms, the initial appointee designated by the Tribal Council to
serve as Chairperson shall serve an initial term of approximately three (3) years. The initial
appointee designated by the Tribal Council to serve as Vice Chairperson shall serve an initial
term of approximately two (2) years. The remaining appointee shall serve an initial term of
approximately one (1) year. All subsequent appointments shall be for three (3) year terms.
Commissioners may serve successive terms of office without limitation.

Section 3.09. Hold-Over Policy. A Commissioner may, at the discretion of the Tribal Council,
continue to serve in his or her position as Commissioner, with full authority, after the completion

of his or her term until such time as a replacement is appointed and sworn into office.

Section 3.10. Resignation. Commission members may resign from the Commission by

Current Through Res. 07-02-07-01 14


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(g)

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by the Regulations.

Records Management. The Executive Director shall assist the Commission in
developing and maintaining a suitable records management and retention system
and shall ensure that all confidential and sensitive records and information are
maintained and protected from unauthorized release.

Evaluate the Gaming Regulatory System. Evaluate the effectiveness of the
Tribe’s Gaming regulatory system and recommend any changes that may be
necessary or desirable.

Other Duties. Perform such other duties as the Commission deems necessary.

Section 4.04 Background Investigations of the Executive Director and Commission Staff.
Before any person may take office as an Executive Director of the Commission or commence
work as an employee of the Commission, the Commission shall cause a background investigation
to be conducted by the Tribal Police on each such person. All such persons shall consent to, and
fully cooperate with the background investigation as provided hereunder and as required by the
Commission. The Commission may, in its discretion and subject to such requirements as the
Commission may deem warranted, permit a prospective Commission employee to commence
work prior to the completion of a background investigation.

(a)

(b)

(©)

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Applicable Standards. Persons selected for appointment as Executive Director
shall be subject to the same background investigation process and licensing
standards that apply to Level 1 Licenses under Chapter VII of this Act.
Commission staff shall be subject to such standards as the Commission may
determine. The submission of documents and other records or information to the
NIGC is not required for the Executive Director position or for Commission staff
positions.

Nature of Background Investigation. Background investigations conducted under
this Section are intended to serve the purpose of assisting the Commission in
maintaining a high level of integrity among the Commission staff. Such
investigations are not intended to fulfill a regulatory purpose and, consequently,
persons selected to serve in the position of Executive Director or Commission
staff positions shall not be entitled to any of the rights afforded to License
Applicants under this Act.

Investigator’s Report. The investigator shall create an investigative report for the
Commission that describes the investigative process and applicable standards and
includes factual findings regarding each standard to the extent that there is clear
and convincing evidence to support a finding.

Investigator’s File. The Tribal Police shall create a separate file for each person
that was subjected to a background investigation, which shall include all forms,

Current Through Res. 07-02-07-01 27


“Licensee” means any Person who has been issued a valid and current License pursuant to the
provisions of this Act.

“Management Contract” means any contract, agreement or other document, including all
collateral agreements, that delegates managerial responsibilities to any Person in or for any
Gaming Operation and that requires approval by the NIGC pursuant to the Indian Gaming
Regulatory Act.

“Management Contractor’ means any Person to whom managerial responsibilities in or for any
Gaming Operation have been assigned by a Gaming Operation under a Management Contract.

“Management Fee” means any monies paid by a Gaming Operation from Gaming revenue to
any Person pursuant to a Management Contract, but excluding monies permitted under the
Management Contract to be paid to the Management Contractor as reimbursement for Operating
Expenses, capitol replacement costs, or in fulfillment of other obligations of such Gaming
Operation.

“Manager” means the person with management responsibility for a Management Contract, as
designated by the Management Contract or the Management Contractor, or the person designated
by the Gaming Operation as having management responsibility for a Gaming Operation.

“Net Revenue” means Gross Revenue of any Gaming Operation minus amounts paid for, or paid
out as prizes, winnings, and related Operating Expenses, excluding Management Fees.

“NIGC” means the National Indian Gaming Commission.

“Non-Gaming Employee” means any employee of a Gaming Operation who is not a Gaming
Employee. For purposes of licensing, Level 4 shall be comprised of all Non-Gaming Employees.

“Non-Gaming Supplier” means any Person who is not a Gaming Supplier and who provides
goods or services to a Gaming Operation, the aggregate annual value of which exceeds an
amount established by Commission Regulation as determined from all written and oral contracts
between the Non-Gaming Supplier and the Gaming Operation to supply such goods or services
within any twelve-month period of time. For purposes of licensing, Level B shall be comprised
of all Non-Gaming Suppliers.

“Non-Key Employee” means any Gaming Employee who is not a Key Employee or a Primary
Management Official.

“Operating Expense” means any expense incurred in the operation of Gaming that is
specifically designated as an Operating Expense in any Management Contract or which otherwise
is so treated by application of Generally Accepted Accounting Principles.

“Patron” means any person who participates in Gaming as a customer or who is physically
present on the premises where Gaming is conducted as a customer of the Gaming Establishment.

Current Through Res. 07-02-07-01 9


Section 12.02 Right to Appeal Adverse Commission Decisions to the Tribal Court.

(a)

(b)

(©)

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Any Person who has received a final adverse decision from the Commission shall
have the right to appeal such adverse decision to the Tribal Court. For purposes
of this Section, a decision shall not be considered “final” unless the Commission.
certifies the decision in writing as final and subject to appeal.

An appeal authorized by this Section must be filed within thirty (30) calendar days
from the date that the Person entitled to bring the appeal receives notice of the
final decision from the Commission.

If the Court concludes that the necessary facts for the Commission’s decision were
not supported by reasonable evidence, or that the Commission applied the
applicable law incorrectly, it shall so declare and return the matter to the
Commission for further consideration consistent with such Tribal Court decision.
The Tribal Court shall limit its review to the administrative record provided that
the Court may consider extra-record evidence to assist the Court in determining
the adequacy of the Commission’s analysis and decision concerning technical or
complex issues. The Tribal Court shall give deference to the reasonable
interpretation and application of this Act, the Regulations, the IGRA, and the
Compact by the Commission.

Except as may be permitted under other enacted laws of the Tribe, the relief
against the Commission in any such action shall be limited to injunctive or
declaratory relief and shall not include any money damages. The Tribal Court
may order the Commission to pay court costs and/or attorney’s fees to the party
bringing an action authorized under this Act only if the Court determines that the
Commission acted with willful disregard of a party’s rights under the Pokagon
Band Constitution, this Act, or other enacted Tribal law.

CHAPTER XIII

PROHIBITED ACTS; SCHEDULE OF OFFENSES; PENALTIES

Section 13.01 Prohibition Against Certain Individuals. It shall be a violation of this Act for
any Licensee to knowingly fail to exclude or eject from the Gaming area of a Gaming
Establishment any person who is:

(a)

(b)
©

Obviously intoxicated or under the influence a drug or other intoxicating
substance;

Under the age of twenty-one (21) years;

Disorderly;

Current Through Res. 07-02-07-01 68


not, or may not, qualify for the issuance of a License, or may qualify for a License

only with certain conditions, because:

(1) The Applicant’s criminal history or past associations and/or habits indicate
that the Applicant’s involvement in supplying Gaming Equipment or
Gaming goods or services may 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

(2) The Applicant may have knowingly and willfully provided materially false
and misleading statements or information to the Commission or refused to
respond to questions material to the suitability determination that have
been asked by the Commission; the Commission shall notify the Applicant
that its Application may be denied and, upon the Applicant’s request, shall
schedule a hearing in accordance with the procedures described in Chapter
XI. If following such hearing, the Commission determines that the
Applicant qualifies for the issuance of a License, with or without
conditions, the Commission shall approve the Application.

Section 8.07 Denial of License. If, following the hearing conducted under the procedures
described in Chapter X, the Commission denies any Application for a Gaming Supplier’s License
under this Chapter or issues a License with conditions or restrictions, the Commission shall,
within seven (7) calendar days, notify the Applicant that the Application was denied, specify the
reasons for the denial under the standards described in Section 8.05, and inform the Applicant of
the Applicant’s right to appeal as provided in Chapter XI.

Section 8.08 Renewals. A holder of a Gaming Supplier’s License shall apply to the
Commission for a renewal no later than sixty (60) days before its current License expires by
completing all forms required by the Commission. Each Applicant for a License renewal shall
revise and supplement the information provided to the Commission with the Licensee’s initial
Gaming Supplier’s License Application on such forms and subject to such requirements as may
be prescribed by the Commission. A Temporary Gaming Supplier’s License may be granted
where the holder of the License has timely sought a License renewal and paid all required fees
and costs but the License renewal has not been approved by the Commission.

Section 8.09 Suspension; Summary Suspension; Revocation of Gaming Supplier’s
Licenses. The Commission may suspend, summarily suspend, or revoke a Gaming Supplier’s
License in accordance with the procedures described in Section 7.12; provided that any
determination to suspend or revoke a Gaming Supplier’s License shall be made under the
standards set forth in Section 8.05.

Section 8.10 Temporary Licenses. The Commission is authorized to promulgate Regulations
establishing the standards and procedures for issuance of Temporary Licenses to Applicants for

Gaming Supplier’s Licenses.

Section 8.11 Reciprocity. For purposes of fulfilling the licensing requirements of this Chapter,

Current Through Res. 07-02-07-01 53


CHAPTER I
PURPOSE; PUBLIC POLICY; AUTHORIZED GAMING

Section 1.01 Short Title. This Act shall be known and may be cited as the “Pokagon Band.
Gaming Regulatory Act”

Section 1.02 Purpose and Authority. The Tribal Council of the Pokagon Band of Potawatomi
Indians enacts this Act in order to regulate all forms of Gaming within the Tribe’s Reservation.
Under the authority granted by the Pokagon Band Constitution, the Tribal Council is the
governing body of the Tribe and is vested with the sovereign powers of the Tribe not inconsistent
with any provisions of the Constitution. Pursuant to the express grant of authority enumerated in
Article IX, subsections 1 (a), (c), (d), (e) and (h) and subsections 2 (a), (e), (j), (k) and (1) of the
Constitution and the inherent authority of the Tribe as a sovereign tribal nation to provide for the
health, safety, and welfare of the Pokagon Band of Potawatomi Indians, the Tribal Council enacts
this Pokagon Band Gaming Regulatory Act.

Section 1.03 Public Policy.

(a) The Tribal Council hereby finds, and declares it to be the public policy of the

Tribe, that:

(1) Proper regulation of Gaming is essential in order to ensure that Gaming is
conducted honestly and free from unlawful conduct and corruptive
elements.

(2) Strict regulation of all Persons, locations, practices, associations, and
activities related to the conduct of Gaming is required in order to maintain
public confidence and trust in the honesty and integrity of Gaming.

(3) The Licensing of Gaming Suppliers, Gaming Employees, Gaming
Establishments, and other Persons within the Tribe’s jurisdiction is
necessary to preserve the integrity of Gaming, to protect the public, and
preserve the general welfare of the Tribe.

(4) The conduct of properly licensed and regulated Gaming by the Tribe
fulfills important policy objectives of the Tribe and the federal government
by promoting Tribal self-government and economic self-sufficiency.

(5) The substantial and relatively stable source of revenue offered by Gaming
enables the Tribe to fulfill its governmental responsibilities to the Tribal
membership.

(b) — All Gaming conducted within the Tribe’s Reservation and that is otherwise
authorized by law shall be regulated and licensed pursuant to the provisions of
this Act.

(c) Participation in Class II and Class II gaming as a licensee under this Act shall be
deemed a revocable privilege conditioned upon the proper and continued
qualification of the individual licensee and upon the discharge of the affirmative
responsibility of each licensee to provide the Commission with any assistance and

Current Through Res. 07-02-07-01 1


Director into the following divisions, which shall be under the management and supervision of
the Executive Director:

(a) Licensing and Investigation Division. The Licensing and Investigation Division
shall perform all of the following Commission duties and responsibilities:

qd) receiving and processing all License Applications;

(2) _ conducting background investigation regarding an Applicant for a License
and all other investigations on behalf of the Commission that are required
or permitted under this Act

(3) such other matters as the Commission may assign to the Division.

(b) | Compliance and Enforcement Division. The Compliance and Enforcement

Division shall perform the following Commission duties and responsibilities:

(1) ensuring compliance with all audit and financial oversight requirements
regarding Gaming revenues;

(2) monitoring compliance with the Act, the Regulations, Tribal Minimum
Internal Controls, the Pokagon Band Liquor Control Code, the IGRA, and
the Compact;

(3) __ pursing enforcement activities for the failure of any Licensee or other
Person subject to the jurisdiction of the Commission for any failure to
comply with the Act, the Regulations, including the Tribal Minimum
Internal Controls, the Pokagon Band Liquor Control Code, the IGRA, and
the Compact; and

(4) _ such other matters as the Commission may assign to the Division.

The Commission may, at its discretion, create and fill a Deputy Director position for each of the
Divisions described in this Section and may further organize itself into any functional division,
department, section, or office that it deems necessary for the effective and efficient operation of
the Commission.

Section 4.02 Executive Director: Appointment; Qualifications; Removal and Suspension.

(a) Appointment of the Executive Director. The first Executive Director appointed
under this Act shall be appointed by the Tribal Council. Appointments to fill any
vacancy in the position of Executive Director shall be made by nomination of the
Commission, subject to the consent of the Tribal Council. The Executive Director
shall be under the exclusive supervision and authority of the Commission.

(6) Qualifications. The Executive Director shall possess the following qualifications:
(1) Prior experience. The Executive Director’s experience and training must
be of sufficient scope, depth, and relevancy to enable him/her to direct the
work of the Commission, as shown through at least five (5) years
experience at a management level in Gaming regulation, particularly Class
MII Gaming, and a BA in a relevant area of study. Additional experience is
preferred in the areas as public accounting or business finance, public or

Current Through Res. 07-02-07-01 24


and surveillance activities in any Gaming Operation shall prescribe reporting requirements with
regard to the types of conduct and activities that may be observed in a Gaming Establishment,
including, at a minimum, requirements that conduct or activities by any Person, including any
failure to act when required to do so, that violates or is not in compliance with:

(a) Applicable criminal law shall be promptly reported to the Tribal Police; and

(c) This Act, the Regulations, other applicable law, or the Compact shall be promptly
reported to the Commission.

Section 10.10 Weapons in Gaming Establishments. A person may not carry a firearm or other
weapon in a Gaming Establishment, except for the following persons with valid authorization
under law:

(a) Tribal law enforcement officials;
(b) Federal law enforcement officers, as defined in 5 U.S.C. §8331(20);

(c) State, county, city, township or village law enforcement officers, as defined in
Section 2 of Michigan Public Act 203 of 1965, as amended, to extent and under
circumstances duly authorized by the Tribal Council;

(d) Armored car personnel picking up or delivering currency at secured areas; and

(e) Security personnel employed by a Gaming Operation may carry handcuffs or
similarly restrictive restraint devices and pepper spray, to the extent expressly
authorized by the Gaming Operation.

All law enforcement officers shall, to extent practicable, advise the Manager and the
Commission, or their agents, prior to conducting any official law enforcement activities within a
Gaming Establishment.

Section 10.11 Compliance with Laws to Protect the Environment, Public Health, and
Safety. Every Gaming Establishment shall be constructed, maintained, and operated in a manner
that adequately protects the environment, public health and safety, and complies with all
applicable Tribal laws, including the Health, Environmental Protection and Building Codes
Ordinance, and applicable federal laws relating to environmental protection and public health and
safety. Evidence that a Gaming Establishment is in compliance with this Section shall address
the following requirements under applicable law:

(a) Emergency preparedness, including without limitation the availability of medical,
fire, and emergency services and evacuation plans for each Gaming Establishment;

(b) — Food and water safety;

Current Through Res. 07-02-07-01 60


(d)

)

could not be resolved under the internal procedures described in paragraph (a) to
the satisfaction of the Patron, the Patron may file a written complaint with the
Commission. The Commission shall provide the Patron with a complaint form to
furnish the Commission with sufficient information to conduct an investigation.

Review. The Commission shall have a process in place, through Regulations, to
review and, if necessary, hold hearings under the procedures described in Chapter
X, to resolve Patron complaints.

Final Decision. The Commission’s resolution of a Patron complaint shall be final
and shall not be subject to further appeal.

Section 10.14 Exclusion For Cause.

(a)

(b)

(©)

Exclusion List; Creation: Effect. Subject to the requirements of this Section, the
Commission shall establish and maintain an Exclusion List. The Exclusion List
shall include the names of all persons that the Commission has determined will
not under any circumstances be allowed to enter any Gaming Establishment or
participate in any Class II or Class III Gaming.

Information to be Included on the Exclusion List. The following information, to

the extent known, shall be provided for each Excluded Person:

(1) full name, date of birth, and all aliases;

(2) aphysical description;

(3) the effective date the Excluded Person’s name was placed on the list;

(4) a photograph, if available;

(5) the Excluded Person’s occupation and his current home and business
address;

(6) the specific reason for exclusion;

(7) __ the date, if any, the exclusion will expire; and

(8) such other information as may be deemed necessary by the Commission.

Criteria for Exclusion or Ejection and Placement on an Exclusion List. The
Commission may, based upon the recommendation of the Manager or on its own
initiative, subject to the hearing procedures described in Chapter X, place a person
on the Exclusion List if:

(1) such person has been convicted of, or pled guilty or no contest to, any
felony, any gaming-related crime, or any other crime involving dishonesty,
including without limitation, theft, robbery, burglary, embezzlement, or a
conspiracy to commit or be an accessory to any such crime;

(2) _ such person has violated or conspired to violate any provisions of the this
Act, the IGRA, the Compact, or other applicable law;

(3) such person has a notorious or unsavory reputation that would likely
undermine public confidence and trust in the integrity of Gaming.

Current Through Res. 07-02-07-01 62


Descriptions or examples of the types of conduct, habits, and associations
that would produce such a reputation shall be included in the Regulations;

(4) such person has been recognized by the observation one or more reliable
witnesses as a person who counts cards or engages in other forms of
cheating or manipulation of Games; or

(5) _ the person’s name appears on any valid and current Exclusion List from
another jurisdiction and the reason for such person’s exclusion in the other
jurisdiction would also be likely to result in exclusion from Gaming
Establishments located within the Commission’s jurisdiction.

(d) Procedure for Entry of Names.

(1) Meets Criteria. It shall be the duty of the Manager of each Gaming
Establishment to inform the Commission in writing of the name of each
person that the Manager reasonably believes meets the criteria for
placement on the Exclusion List, as established by (c) above. The
Commission shall notify the Manager in writing, following the
investigation and hearing described in this subsection whether or not the
Commission concurs with the Manager’s recommendation to place a
person’s name on the Exclusion List.

(2) Investigation. Upon receipt of a recommendation from the Manager of the
Gaming Establishment, the Executive Director of the Commission shall
conduct or cause to be conducted an investigation regarding every person
whose name is recommended to be placed on the Exclusion List. Upon a
determination by the Executive Director that there are adequate grounds to
add a person’s name to the Exclusion List under the criteria listed in
subsection (c) above, the Executive Director shall prepare and submit to
the Commission an investigative report and recommendation regarding
whether or not the person’s name should be added to the Exclusion List.
The investigative report shall include all identifying information
concerning the person and shall fully describe the grounds upon which the
recommendation is based. Pursuant to Chapter X, written notice of the
recommendation shall be given to the person who is the subject of the
recommendation and that person must be informed of the opportunity to
present evidence and testimony to the Commission concerning the
recommendation.

(3) Determination. If the Commission determines that the person’s name
should not be added to the Exclusion List, the person’s name shall not be
added to the List and such person shall not be denied access to the Gaming
Establishment. If the Commission determines that the person’s name
should be added to the Exclusion List, or such person fails to appear at the
hearing or fails to present any relevant evidence or testimony to rebut the
investigative report and recommendation from the Executive Director,
such person’s name shall be promptly added to the Exclusion List. The
Commission shall promptly notify the person in writing of the
Commission’s determination to add or not to add the person’s name to the

Current Through Res. 07-02-07-01 63


(b)

©

@

()

1)

(2)

least 48 hours in advance of the Regular meeting, which shall be subject to change
by a majority vote of the Commission at such meeting.

Special Meetings. Special meetings shall be called by the Commission
Chairperson as necessary to carry out the official duties of the Commission.
Notice of each Special meeting may be given to each Commission member by
hand delivery, telephone, mail, or such other method as the Commission may
establish. Notice of the Special meeting and a proposed agenda shall be delivered
to Commission members at least forty-eight (48) hours in advance of such
meeting and shall include the date, time and place of the meeting. The agenda for
the Special meeting shall be limited to the matters stated in the notice of the
meeting unless all members are present at the meeting and a majority agrees to the
change to the agenda.

Emergency Meetings. An emergency meeting may be called by the Chairperson
of the Commission with less than 24 hours notice; provided, that the business
proposed to be taken up at the Emergency Meeting cannot reasonably wait for a
Special or Regular meeting. The Chairperson of the Commission shall make
every reasonable effort to provide all Commissioners with as much prior notice of
the meeting as possible under the circumstances. The agenda for the Emergency
meeting shall be limited to the business proposed in the meeting notice.

Waiver of Notice. The notice requirements regarding any Special or Regular
meeting may be waived if all members are present at such meeting and consent to
the calling of the meeting.

Meetings Open to the Public. All meetings of the Commission shall be open to
the public; provided, however, that the Commission may, in its discretion, close
any portion of any meeting to the public when discussing any information that the
Commission deems confidential pursuant to the provisions of this Act, such as
hearings to determine the suitability of an Applicant for a License.

Alternative Meeting Arrangements. Special and Emergency meetings may be
conducted by a telephone conference, video conference, web conference or similar
means as the Commission Chairperson deems necessary, subject to such
requirements as the Commission may establish. Commission members may
participate in any meeting by means of speakerphone or telephone conference,
video conference, or similar means provided that all members participating in the
meeting can hear and be heard by each other. A member’s participation in a
meeting described in this subsection without objection at the commencement of
the meeting shall be deemed consent to the manner in which such meeting is
conducted.

Meeting Procedures. The Commission shall prescribe rules of procedure
regarding the conduct of its meetings, provided that such rules may not conflict

Current Through Res. 07-02-07-01 21


Additional Standards Applicable Only to Level 2
Standards Applicable to Level 3.......
SECTION 7.05 — ELIGIBILITY DETERMINATIONS
Commission Review and Determination...
Level | or Level 2 License; Preliminary Determination
Level 3 License; Final Determination...
SECTION 7.06 APPROVAL OF A LEVEL 1 OR A LEVEL 2 GAMING EMPLOYEE LICENSE
Preliminary Eligibility Determination...
Requirements for Final Determination...
‘The NIGC has No Objections or Thirty Days Has Elapsed.
NIGC Objections Are Resolved

Final Determination of Eligibility
SECTION 7.07 DENIAL OF A GAMING EMPLOYEE LICENSE.
SECTION 7.08 — FORM OF LICENSE.
SECTION 7.09 RENEWALS...
SECTION 7.10 DISCLOSURE OF APPLICANT AND LICENSEE INFORMATION AND DOCUMENTS
National Indian Gaming Commission..
Michigan Gaming Control Board.
SECTION7.11 SUSPENSION OR REVOCATION OF A LICENS!
Standard for Suspension of License Following a Hearing
Standard for Summary Suspension of License Pending a Hearing .
Standard for Revocation of a License...
Investigation of Grounds for Suspending or Revoking a License
Notice of Intent to Suspend License ...
Notice of Summary Suspension of License Pending a Hearing
Notice and Hearing Requirements
Time Requirement for Requesting a Hearing.
Conversion of Suspension Hearing to Revocation Hearing
Decision Following Hearing ..
SECTION 7.12 SHOW CAUSE HEARING FOR PRIMARY MANAGEMENT OFFICIALS ..

CHAPTER VIII LICENSING OF GAMING SUPPLIERS...

SECTION 8.01 LICENSING OF GAMING SUPPLIERS...
SECTION 8.02 REQUIREMENTS FOR GAMING SUPPLIERS LICENSE
SECTION 8.03 APPLICATION FOR GAMING SUPPLIER’S LICENSE
Businesses......
Proposed Sale of Gaming Goods or Services.
All Available Gaming Goods or Service:
Business Affiliates ...
Business Documents...
Ownership Documents
Authorization .....
Bylaws ....
Business History
Gaming Business History.
Prior Gaming Applications
Felonies...
Misdemeanors
Financial Statements
Civil Lawsuits ....
Additional Information
Notice Requirements...
SECTION 8.04 BACKGROUND INVESTIGATION
Verify Identity
References...



SECTION 6.05 | GAMING ESTABLISHMENT LICENSE APPLICATION PROCEDURES.
Review application
Review procedures
Review layout...
Review Emergency Operation Plan
Review permit schedule...
Review Gaming Establishment.
Additional

SECTION 6.06 | CONDITIONS APPLICABLE TO A GAMING ESTABLISHMENT LICENSE

SECTION 6.07 TERMS OF LICENSE...

SECTION 6.08 — POSTING OF LICENSE:

SECTION 6.09 | GAMING ESTABLISHMENT LICENSE RENEWALS.

Renewal .....
Renewal Submission...
Commission Approval
Temporary Gaming Establishment License .
Notice and Right of Appeal

CHAPTER VIL LICENSING OF GAMING EMPLOYEEBS.....

SECTION 7.01 APPLICATION FOR A GAMING EMPLOYEE LICENSE
Application Form.....
Application Form Notices.

Privacy Act Notice..
False Statements Notice
Application Form Authorizations and Acknowledgement:
Personal History Disclosure
Relationship with other tribe:
Gaming history...
Prior Gaming applications
Felony charges ......
Misdemeanor charges
Convictions ....
Prior business applications
Current Photographs ...
Personal Financial Questionnaire
Fingerprints.
Other Information
Application Fees and Costs.

SECTION 7.02 PROVISIONAL LICENSE
Issuance of a Provisional License ...
Submission of Fingerprints to NIG
Period a Provisional License May Remain Valid.
Conditions Applicable to All Provisional Licenses.

SECTION 7.03 BACKGROUND INVESTIGATION..
Verify Identity.
References.
Financial Informatio
Civil History.
Criminal History

Applicant for a Level | or a Level 2.

All Applicants for a Gaming Employee License.
Prior Business Relationships..
Agency History...
SECTION 7.04 STANDARDS FOR ISSUANCE OF A GAMING EMPLOYEE LICENSE
Standards Applicable to All Gaming Employees
Additional Standards Applicable Only to Level 1

iv


“Person” means any business, proprietorship, association, partnership, syndicate, corporation,
firm, joint venture, trust or other form of business association or entity, labor organization, state,
local government, government instrumentality or entity, as well as a natural person. The term
“person”, without an initial capital “P”, refers exclusively to a natural person.

Person Having a Direct or Indirect Financial Interest in a Management Contract” means:

(@)

(b)
(©)
@

(2)

When a Person is a party to a management contract, any Person having a direct
financial interest in such management contract;

When a trust is a party to a management contract, any beneficiary or trustee;
When a partnership is a party to a management contract, any partner;

When a corporation is a party to a management contract, any Person who is a
director or who holds at least 10% of the issued and outstanding stock alone or in
combination with another stockholder who is a spouse, parent, child or sibling; or

When an entity, other than a natural person, has an interest in a trust, partnership
or corporation that has an interest ina management contract, all parties of that
entity are deemed to be persons having a direct financial interest in a management
contract.

“Primary Management Official” means:

(a)

(b)

©)

@

©)

The person having management responsibility for a Management Contract;

Any person who has authority:
(1) to hire and fire employees of a Gaming Operation; or
(2) to establish working policy for a Gaming Operation ;

The chief financial officer or other person who has financial management
responsibility for any Gaming Operation;

The Manager or any person having management responsibility over all or any part
of any Gaming Operation;

Any person the Commission designates by Commission Regulations as a Primary
Management Official.

“Reservation” means, pursuant to 25 U.S.C. § 1300j-5 or other applicable federal law, (i) all
lands, the title to which is held in trust by the United States for the benefit of the Pokagon Band
of Potawatomi Indians; and (ii) all lands proclaimed by the Secretary of the Interior to be part of
the Tribe’s reservation. The term Reservation includes any rights-of-way running through the

Current Through Res. 07-02-07-01 10


CHAPTER XI RULES OF PROCEDURE FOR HEARINGS...

SECTION 11.01 SCOPE OF RULES OF PROCEDURE.
SECTION 11.02 HEARINGS
SECTION 11.03 TRIBAL MEMBER REHABILITATION HEARING .
Right To A Rehabilitation Hearin;
Notice Requirements...
Time to Request a Hearing.
Hearing Procedures..
Burden of Proof...
Hearing Standards.
Unfavorable Finding
Favorable Finding...
SECTION 11.04 SUBPOENAS
SECTION 11.05 HEARING REQUIREMENTS ..
SECTION 11.06 COMMISSION DECISIONS.

CHAPTER XII —s APPEALS...

SECTION 12.01 LIMITED WAIVER OF SOVEREIGN IMMUNITY OF THE COMMISSION
SECTION 12.02 RIGHT TO APPEAL ADVERSE COMMISSION DECISIONS TO THE TRIBAL COURT

CHAPTER XIII PROHIBITED ACTS; SCHEDULE OF OFFENSES; PENALTIES...

SECTION 13.01 PROHIBITION AGAINST CERTAIN INDIVIDUALS
SECTION 13.02 PROHIBITED ACTS.
SECTION 13.03 ENFORCEMENT...
Criminal Violations.
Civil Violations...

vii


(b) — Notice. The Tribal Council shall provide notice of the vacancy to the Band
membership and an opportunity to respond prior to filling the vacancy.

(c) Eligibility. The Tribal Council will make a final determination regarding the
eligibility of each prospective nominee to the Commission in accordance with the
qualifications and procedures described in Section 3.07.

(d) Time Frame. The Tribal Council will endeavor to fill any vacancy on the
Commission within sixty (60) days of the vacancy, or as soon thereafter as
possible, in a manner consistent with applicable law, including any written rules
of Tribal Council procedure.

Section 3.13 Ethics Requirements for Commissioners. Gaming Commissioners shall
comply with all requirements of the Pokagon Band Code of Ethics and shall be subject to the
authority of the Ethics Committee established by such Code.

Section 3.14 Compensation of Commissioners. Commissioners shall be compensated at rates
that fall within a grid to be established by the Tribal Council. The Council may, in its discretion,
require the Salary Commission to evaluate the Commission positions and recommend a
compensation grid to the Council. The Tribal Council shall review the rates of compensation for
Commissioners on an annual basis and shall make adjustments to such rates as the Tribal Council
determines to be appropriate to address increases in the cost of living or wage deflation. The
Tribal Council shall not reduce the rate of compensation for any Commissioner during a
Commissioner’s term of office. Commissioners shall be entitled to reimbursement for actual
expenses incurred on Commission business, including necessary travel expenses, subject to any
written guidelines the Tribal Council may establish.

Section 3.15 Powers and Duties of the Commission.

(a) General. The Commission shall be responsible for ensuring that all Gaming
within the Tribe’s Reservation is conducted in compliance with this Act, the
Regulations, the IGRA, and the Compact. In exercising its regulatory authority,
the Commission shall avoid unnecessary interference with the authority and
discretion of any Gaming Operations or Management Contractor to manage a
Gaming Establishment.

(b) Licensing. The Commission shall have the power to conduct investigations and
determine the eligibility of Applicants for all Licenses required to operate,
manage, conduct business with, or be employed at any Gaming Operation in
accordance with the standards and procedures set forth in Chapters VI — VIII of
this Act and the Regulations. The Commission shall also have the power to limit,
revoke, terminate, condition, suspend, or restrict any License and to reprimand,
warn, or fine a Licensee when the same will further the purposes and requirements
of this Act.

Current Through Res. 07-02-07-01 16


NAL |
ee No,

ws

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“On *

1, 3
NG comm?

VIA FACSIMILE & REGULAR MAIL

JUN = 1 2007

John Miller

Pokagon Band of Potawatomi Indians
P.O. Box 180

Dowagiac, MI 49047

Fax: (269) 782-9625

Michael Phelan.

General Counsel

Pokagon Band of Potawatomi Indians
P.O. Box 180

Dowagiac, MI 49047-9329

Fax: (269) 782-7988

RE: Pokagon Band of Potawatomi Indians Amended Gaming Ordinance
Dear Chairman Miller and Mr. Phelan:

This letter responds to your request on behalf of the Pokagon Band of Potawatomi Indians for
the Chairman of the National Indian Gaming Commission (NIGC) to review and approve the
Band’s comprehensive rewrite of its Gaming Regulatory Act of 2003. This rewritten
ordinance was adopted by the Band via Resolution No. 07-02-07-01 and 07-05-12-04,

The ordinance is consistent with the requirements of the Indian Gaming Regulatory Act
(IGRA) and this agency’s regulations, and it is therefore approved. It is important to note that
the gaming ordinance is approved for gaming only on Indian lands, as defined in the IGRA,
over which the Tribe has jurisdiction

Thank you for submitting the ordinance for review and approval. The NIGC staff and I look
forward-+to Working with you and the Pokagon Band of Potawatomi Indians on future gaming
issyeS. If you havp any questions, please contact Staff Attorney Jennifer Ward at (202) 418-

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.cov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St, Paul, MN; Tulsa, OK


(g)

(h)

@

Section 7.02

(@

The Personal Financial Questionnaire shall also include a sworn statement to be
signed by the Applicant stating that neither the Applicant nor any member of the
Applicant’s immediate family has a past or current financial interest, other than a
salary interest, in any gaming-related activity or business 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.

Fingerprints. All Applicants for a Gaming Employee License shall submit one or
more complete sets of original fingerprints to be taken by the Commission in such
manner and form as the Commission may require, which shall be processed in
accordance with this Act and the Regulations. The Gaming Commission is the
Tribal agency that is authorized to take all fingerprints required to be taken under
this Act and the IGRA. The Commission may also require the submission of one
or more additional sets of fingerprints, which the Commission may submit to be
processed by any governmental agency’s criminal history check system as the
Commission deems necessary.

Other Information. The Applicant shall complete any other forms and disclose
and submit any and all other information required by Regulation or reasonably
requested by the Commission.

Application Fees and Costs. The Applicant shall pay all fees and costs required
by the Commission to process the Application.

Provisional License.

Issuance of a Provisional License. Provisional Licenses may only be issued to
Applicants for a License and not to Licensees seeking a License renewal. If the
Commission verifies that the Applicant has completed all Application
requirements set forth in Section 7.01, the Commission shall promptly issue a
Provisional License pending the satisfactory completion of a background
investigation and eligibility determination, provided that the Commission verifies
that based on the Commission’s review of information provided in the
Application and any other information concerning the Applicant in the
Commission’s possession that the Applicant:
qd) would meet the licensing standards set forth in Section 7.04 and as
otherwise provided under applicable law and the Compact; and
(2) __ that granting the Provisional License would not pose a threat to the public
interest or to the effective regulation of Gaming and would not create or
enhance the dangers of unsuitable, unfair, or illegal practices and methods
and activities in the conduct of Gaming.

The Commission may, in its discretion, apply to any Provisional License such
conditions as it determines are warranted.

Current Through Res. 07-02-07-01 39


the Tribe’s Reservation; provided, however, that Class III Gaming shall be conducted
only in accordance with the provisions of this Act, the Regulations, the IGRA, and
the Compact.

Section 1.09 Location of Gaming. The Commission shall ensure that all Gaming that the
Commission authorizes and licenses pursuant to this Act is conducted on lands within the Tribe’s
Reservation and that such Gaming is not otherwise specifically prohibited by federal law.

Section 1.10 Ownership of Gaming. The Tribe shall have the sole proprietary interest in and
responsibility for any Gaming Operation authorized by this Act provided, however, that nothing
herein shall interfere with the exercise by any secured party of its rights under any collateral lease
or other financing agreement with the Tribe or Tribal entities for the purpose of securing
repayment of the debt obligations in accordance with the provisions of such agreements.

Section 1.11 Use of Gaming Revenue. Net Revenues from any form of Gaming authorized under
this Act shall be used only for the following public purposes of the Tribe:

(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 make donations to charitable organizations; and

(e) To help fund operations of local government agencies;
The Tribe may only make per capita payments to Tribal members from Net Revenues in accordance
with a revenue allocation plan that has been approved by the Tribal Council and the Secretary of the
Interior.
Section 1.12 Primacy of Compact. Solely with regard to Class III Gaming, the regulatory
requirements set forth in this Act are intended to be supplemented by, rather than conflict with
the requirements of Section 4 of the Compact. To the extent that any regulatory requirement in

this Act is less stringent or less restrictive than a parallel provision in Section 4 of the Compact,
the Compact shall control.

CHAPTER II
DEFINITIONS

Definitions. Unless a different meaning is set forth below, the terms used in this Act shall have

the same meaning as defined in the Indian Gaming Regulatory Act (“IGRA”) and any regulations
promulgated thereunder.

Current Through Res. 07-02-07-01 3


information necessary to assure that the policies declared by this Act are achieved.

Section 1.04 Adoption; Repealer. This Act is enacted by adoption of Tribal Council by
Resolution No. 07-02-07-01, which also repeals the Pokagon Band Gaming Regulatory Act
enacted by adoption of Tribal Council Resolution No. 03-05-10-1, as amended by Tribal Council
Resolution No. 03-10-11-12 and approved by the NIGC on December 5, 2003 (hereinafter the
“Gaming Regulatory Act of 2003”) pursuant to the IGRA (25 U.S.C. § 2710.), provided that the
repeal of the Gaming Regulatory Act of 2003 shall not have the effect of reviving any other
Tribal law repealed by adoption of the Gaming Regulatory Act of 2003 or any amendments
thereto. This Act and the repeal of the Gaming Regulatory Act of 2003 shall become effective
upon the approval of this Act by the NIGC.

Section 1.05 Severability. If any provision of this Act or its application to any Person or
circumstance is held invalid, the invalidity shall not affect other provisions or applications of this
Act that can be given effect without invalid provision or application. To this end, the provisions
of this Act are severable.

Section 1.06 Unauthorized Gaming. All Gaming within the Reservation, whether Class I,
Class II, or Class III, is prohibited and unlawful, except as expressly authorized by this Act. Any
Indian person who commits any act of unauthorized Gaming on the Reservation shall be guilty of
a criminal offense and may be prosecuted in accordance with subsection 13.03 (a). Any Person
who commits an act of unauthorized Gaming on the Reservation or any other Tribal land shall
also be subject to a civil fine and enforcement action, as provided in subsection 13.03 (b).

Section 1.07 Conduct of Games. All Gaming shall be conducted by Persons duly licensed by
the Commission except for Class I Gaming to the extent the Commission determines such
Persons do not require licensing. No Person licensed by the Commission shall engage in,
conduct or condone any Gaming that is not conducted in accordance with such Regulations
governing the conduct of games as may be promulgated by the Commission under this Act.

Section 1.08 Permitted Gaming.

(a) Class | Gaming. Class I traditional games are permitted to the extent consistent
with Tribal custom and practice. The Gaming Commission may, at its discretion,
consult with the Elders Council to determine which games and practices are
consistent with the Tribe’s customs and practices. The Gaming Commission may
prohibit or regulate the conduct of Class I traditional games if it determines such
regulation is necessary to promote the public policies behind this Act.

(b) — Class II Gaming Authorized. Class II Gaming is hereby authorized to be conducted
on lands within the Tribe’s Reservation; provided, however, that such Class IT
Gaming shall be conducted only in accordance with the provisions of this Act, the
Regulations, and the IGRA.

(c) Class I] Gaming Authorized. Class III Gaming is hereby authorized on lands within

Current Through Res. 07-02-07-01 2


investigation, except as permitted under applicable federal or Tribal law or the Compact.

Section 8.05 Licensing Standards. A Person is ineligible to receive a Gaming Supplier’s
License if any of the following exist:

(a)

(b)

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103)

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The Applicant, or any Control Person who is a natural person, has been convicted
of a felony within the ten (10) years preceding the date of the License Application;

The Applicant, or any Control Person who is a natural person, has been convicted
of or entered a plea of guilty or no contest to any gambling-related offense, or to a
felony offense involving Fraud or Misrepresentation;

The Applicant, or any Control Person, employs a person who is directly involved
with the management or operations of any Gaming Operation;

The Applicant, or any Control Person, submitted an Application that contains
materially false or misleading information;

The Applicant, or any Control Person, is associated with organized crime;

The Applicant, or any Control Person, is determined by the Commission to be an
entity or person whose prior activities, reputation, habits and associations,
including any conflicts of interest, 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, or activities in the operation of
Gaming or the business and financial affairs related thereto; or

The Applicant, if a supplier of Gaming Devices, has failed to demonstrate that it
will provide devices that meet the technical requirements for such devices as
prescribed in subsection 6(A) of the Compact, Section 10.06 of this Act, and as
may be prescribed in the Regulations.

Section 8.06 Action on Applications for Gaming Supplier’s License; Preliminary
Determinations.

(a)

(b)

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Within fifteen (15) days following the completion of the background
investigation(s) described in this Chapter, the Commission shall meet to review
the Application and the investigative report to determine if the Applicant qualifies
for a Gaming Supplier’s License.

If the Commission determines, pursuant to Section 8.05, that the Applicant
qualifies for the issuance of a License without any qualifications, the Commission

may approve the Application and issue a License.

If the Commission determines, pursuant to Sections 8.05, that an Applicant does

Current Through Res. 07-02-07-01 52


expressly authorized by the Tribe, local and state law enforcement agencies to
investigate crime and to enforce the law, but not for patrol without the express
invitation of the Gaming Operation. The Licensee shall cooperate at all times
with all Tribal, state, and federal law enforcement officers;

(69) The Gaming Establishment shall be open to inspection by the Commissioners and
other duly authorized Tribal authorities at all times; and

(g) | The Gaming Operation may not discriminate by reason of race, color, national
origin, sex, age, physical or mental disability, sexual orientation or creed;
provided, that nothing herein shall prohibit the Licensee from complying with
contracting and employment preference requirements regarding Tribal members
and other Native Americans pursuant to applicable Tribal and federal law.

Section 6.07 Terms of License. A Gaming Establishment License shall be valid for a period
of two (2) years from the date of issuance.

Section 6.08 Posting of Licenses. The Gaming Establishment License must be posted in a
conspicuous location at all times on the premises of each Gaming Establishment.

Section 6.09 Gaming Establishment License Renewals.

(a) Renewal. Each Gaming Establishment License must be renewed every two (2)
years.

(b) — Renewal Submission. In order to obtain a renewal of a License, the Gaming
Operation shall submit a written renewal Application to the Commission on the
form provided by the Commission at least forty-five (45) days prior to the date the
current License will expire.

(c) Commission Approval. The Commission shall approve Applications to renew a
License within thirty (30) days following the Commission’s receipt of a complete
Application unless the Commission determines that the Gaming Establishment
fails to meet the applicable licensing standards under federal or Tribal law or the
Compact or that, based on reasonable grounds, the Gaming Establishment will be
operated in violation of federal or Tribal law or the Compact. The Commission
may, in its discretion, hold a public hearing to consider the Application in
accordance with the procedures described in Chapter X; provided that the
Commission may close the hearing or portions thereof to the extent permitted by
applicable Tribal law.

(ad) Temporary Gaming Establishment License. A Temporary License may be granted
where the holder of a Gaming Establishment License has timely sought a License
renewal and has paid all required fees and costs but the License renewal has not
been approved by the Commission, provided a Temporary License shall not issue

Current Through Res. 07-02-07-01 35


(b)

Requirements Regarding Files. The Commission shall create a separate file,
which may be in electronic form, for each Applicant that includes all forms,
documents, and information submitted by the Applicant and all background
information compiled by the Commission. All reports obtained from the
fingerprint processing shall be incorporated into the Applicant’s file. The
Commission shall retain such files for no less than three (3) years from the date
each such Applicant ceased employment with the Gaming Operation, the date any
contract between the Applicant and the Gaming Operation ceased to be valid and
in effect, or the date the Applicant ceased to hold a valid License, whichever event
occurs last. To the extent required by federal law, the Commission shall make
such files available for inspection by the NIGC upon request.

Section 3.21 Reports. The Commission shall make quarterly reports to the Tribal Council
within thirty (30) days after the end of each quarter. Such Reports shall contain the following

information:

@
(b)

©

@

(©)
(g)

Number and types of Licenses issued during the previous quarter;

Number and types of License denied, suspended, restricted, or revoked during the
previous quarter and commentary helpful to explain such actions where
appropriate;

Report of any events of non-compliance or violations of this Act, the Regulations,
the Compact, IGRA, the Pokagon Band Liquor Control Code, and Licenses (other
than Gaming Employee Licenses); provided, however, that such reports shall not
include confidential information concerning any pending regulatory or criminal
investigation;

A report of Commission expenditures for the prior quarter;
A summary of any Commission travel and training;

All other information that the Commission deems relevant in order to keep the
Tribal Council adequately informed on all current Gaming regulatory matters.

Nothing in this Section shall be construed to authorize the Commission or Commission staff to
provide the Tribal Council with any confidential information pertaining to a pending regulatory
or criminal investigation.

CHAPTER IV

ORGANIZATION OF THE COMMISSION; EXECUTIVE DIRECTOR

Section 4.01 Commission Divisions. The Commission shall be organized under the Executive

Current Through Res. 07-02-07-01 23


(b) Submission of Fingerprints to NIGC. Upon the issuance of a Provisional License
to an Applicant for a Level 1 or a Level 2 License, the Commission shall promptly
submit to the NIGC the Applicant’s fingerprints and any other materials required
by the NIGC under applicable federal law.

(c) Period a Provisional License May Remain Valid. The Provisional License may be
valid for such period of time as the Commission may determine in its sole
discretion, but in no event shall it be valid for more than ninety (90) days from the
date of issuance.

(d) Conditions Applicable to All Provisional Licenses. An Applicant may commence
employment under a Provisional License, however, upon the occurrence of any of
the following such employment shall terminate immediately and the Provisional
License shall be summarily revoked pending any hearing requested by the
Applicant as provided under this Act:

(1) denial of a License by the Commission upon receipt of any information,
including when applicable objections and supporting information from the
NIGC regarding the issuance of a Level 1 or a Level 2 License, that
indicates the Applicant does not meet the standards for a License set forth
in Section 7.04; or

(2) a violation of any other conditions the Commission placed on all or certain
Provisional Licenses pursuant to this Act or a violation of any condition
the Commission placed on a particular Provisional License.

Section 7.03 Background Investigation. The Commission shall conduct, or cause to be
conducted, an investigation sufficient to make the determinations required under Sections 7.06
and 7.08. In conducting background investigations, the Commission shall seek to ensure that
Gaming Operations shall not employ persons whose prior activities, reputation, habits and.
associations pose a threat to the public interest or to the effective regulation of Gaming, or create
or enhance the dangers of unsuitable, unfair or illegal practices and methods and activities in the
conduct of such Gaming. Such investigations shall be conducted according to requirements at
least as stringent as those set forth at 25 C.F.R. Parts 556 and 558, the Compact, and this
Chapter. The Commission shall establish procedures to protect confidential information
generated by the investigation or submitted by the Applicants from any unauthorized disclosure.
The background investigation shall, at a minimum, consist of at least the following:

(a) Verify Identity. Verify the Applicant’s identity through primary sources, such as
government-issued identification and other documents, including without
limitation social security cards, drivers licenses, birth certificates, or passports;

(b) References. Contact each reference provided in the License Application and,
when warranted, contact other references and sources identified in the Application
in order to verify and supplement the information submitted by the
Applicant/Licensee and to resolve any discrepancies encountered through the
background investigation;

Current Through Res. 07-02-07-01 40


with this Act or other applicable Tribal law. Any question regarding meeting
procedure that is not addressed by this Act, other applicable Tribal law, or by rules
of procedure established by the Commission, may be resolved by consulting
Roberts Rules of Order.

Section 3.17 Quorum. A quorum of the Commission shall consist of two (2) Commissioners.
All decisions shall be made by a majority vote of a quorum of the Commission, unless indicated
otherwise in this Act.

Section 3.18 Officers.

(a) _ Upon the conclusion of the first year of the initial terms of office described in
Section 3.08, the Commission shall select from among its members, a
Chairperson and a Vice-Chairperson. The term of office for officer positions shall
be one (1) year and members may serve more than one term in that capacity.

(b) The Vice-Chairperson shall assume the duties of the Chairperson in the
Chairperson’s absence.

Section 3.19 Commission Offices. The Commission shall maintain a permanent
administrative office. Such office shall serve as the Commission’s main business office and shall
be the site at which Commission records and documents are maintained and stored on a
permanent basis. No person except a Commissioner or other authorized employee or agent of the
Commission may possess a key to or may enter any Commission office without the permission of
the Commission. No person may access such records except a Commissioner, a person duly
authorized by the Commission or an attorney for the Commission.

Section 3.20 Commission Record-Keeping.

(a) Records Required to be Maintained. The Commission shall maintain complete

records regarding the following:

(1) Applications, financial statements, fingerprints, contracts, Licenses,
suspension and cancellation notices and correspondences of all Applicants;

(2) Commission Licenses;

(3) Meeting minutes from all Commission meetings;

(4) _ Transcripts or minutes from all hearings conducted by the Commission;

(5) Compact compliance;

(6) Reports relating to customer disputes, complaints or other issues that
affect the integrity of the Gaming Operation;

(7) Comunission budget and expenditures;

(8) | Communications and correspondence with the Tribal Council, Tribal
agencies and officials, and state and federal agencies and officials;

(9) Gaming Device list pursuant to Section 10.06 of this Act; and

(10) Any other records or documents the Commission deems necessary or
appropriate.

Current Through Res. 07-02-07-01 22


with or is an Immediate Family Member of such person, shall be given or accept

complimentary items from any Gaming Operation, with the following exceptions:

qd) food and beverages with a retail cost of not more than $200.00; or

(2) __ the free food and beverages offered to the general public at any public
event held at a Gaming Establishment.

(c) A line item or category for complimentary items shall be included in the annual
budget for the Gaming Operation, with total limits specified.

Section 10.06 Certification of Gaming Devices. All Gaming Devices purchased, leased or
otherwise acquired by the Gaming Operation must meet the technical equipment standards set
forth in subsection 6(A) of the Compact and as may be prescribed in the Regulations and other
applicable law. The compliance of a Gaming Device with the technical equipments standards
applicable to such Gaming Device may be established by a certificate of compliance issued by
Gaming Laboratories International or any state or state-authorized testing laboratory. The
Commission shall maintain a complete list of all Gaming Devices (whether or not such devices
are in use) located at any Gaming Establishment or otherwise in the possession of the Gaming
Operation.

Section 10.07 Prohibition Against the Use of Unauthorized Electronic Aids. Except as
expressly permitted by the Commission, no person shall possess, with the intent to use in
connection with Gaming, either individually, or in concert with others, any calculator, computer,
or other electronic or mechanical device to assist in projecting the outcome or odds of any Game,
to keep track of or analyze cards, or to change probabilities of any Game or any playing strategies
that may be employed with regard to a Game.

Section 10.08 Prohibition Against Embezzlement. Any Licensee who shall, in the opinion of
the Commission, having lawful custody of Gaming Operation property, appropriate the same to
his or her own use, with intent to deprive the Gaming Operation thereof is effectuated by any
Licensee to unlawfully or improperly divert Gaming or other revenue properly belonging to a
Gaming Operation, shall constitute grounds for taking disciplinary action against that Licensee.
If the Commission finds that an embezzlement was attempted or occurred, it may pursue
disciplinary action against the Licensee, report the matter to appropriate law enforcement
authorities and other gaming regulatory agencies for further action and take such other action as
it deems necessary or appropriate. Disciplinary action against the Licensee may include the
imposition of fines, and the revocation, suspension, or limitation of, or refusal to renew, a
License issued by the Commission,

Section 10.09 Security and Surveillance. Each Gaming Establishment must provide for full
security and surveillance throughout the Gaming Establishment at all times which meet or exceed
the requirements for such systems established in the TMICS. All security and surveillance
personnel in a Gaming Establishment must be Licensed by the Commission. The security and
surveillance sectors of any Gaming Operation shall coordinate their activities and cooperate with
each other as necessary to carry out their official duties and to provide ample protection for all
Persons and property involved with each Gaming Operation. The TMICS applicable to security

Current Through Res. 07-02-07-01 59


Financial History.
Civil History..
Criminal History
Prior Business Relationships.
Agency History...
Business Practices Review
SECTION 8.05 LICENSING STANDARDS.
SECTION 8.06 — ACTION ON APPLICATIONS FOR GAMING SUPPLIER’S LICENSE; PRELIMINARY
DETERMINATIONS

SECTION 8.07 DENIAL OF LICENSE
SECTION 8.08 | RENEWALS...
SECTION 8.09 SUSPENSION; SUMMARY SUSPENSION; REVOCATION OF GAMING SUPPLIER’S LICENSES
SECTION 8.10 — TEMPORARY LICENSES ..
SECTION 8.11 | RECIPROCITY

CHAPTER IX REGULATION OF MANAGEMENT CONTRACTORS.

SECTION 9.01 DISCLOSURE REQUIREMENT:
SECTION 9.02 NOTICE REQUIREMENTS
SECTION 9.03 = ENFORCEMENT.....
SECTION 9.04 INVESTIGATION OF MANAGEMENT CONTRACTOR...

CHAPTER X REGULATION OF GAMING-RELATED ACTIVITIES...

SECTION 10.01 TRIBAL MINIMUM INTERNAL CONTROL STANDARDS ....
SECTION 10.02 SYSTEM OF INTERNAL CONTROL STANDARDS FOR GAMING OPERATIONS
SECTION 10.03 MINIMUM PROCEDURES FOR CONTROL OF INTERNAL FISCAL AFFAIRS.
SECTION 10.04 OVERSIGHT OF INTERNAL FISCAL AFFAIRS.
SECTION 10.05 COMPLIMENTARY ITEMS
SECTION 10.06 CERTIFICATION OF GAMING DEVICES ..
SECTION 10.07 PROHIBITION AGAINST THE USE OF UNAUTHORIZED ELECTRONIC AID:
SECTION 10.08 PROHIBITION AGAINST EMBEZZLEMENT.
SECTION 10.09 SECURITY AND SURVEILLANCE...
SECTION 10.10 WEAPONS IN GAMING ESTABLISHMENTS..
SECTION 10.11 COMPLIANCE WITH LAWS TO PROTECT THE ENVIRONME
SECTION 10.12 UNCLAIMED WINNING:
Known Patron...
Unknown Patron
SECTION 10.13 RESOLUTION OF DISPUTES BETWEEN THE GAMING PUBLIC AND THE GAMING OPERATION 61
Procedure:
Opportunity to
Written Complaint
Review
Final Decision
SECTION 10.14 EXCLUSION FOR CAUSE
Exclusion List; Creation; Effect...
Information to be Included on the Exclusion List
Criteria for Exclusion or Ejection and Placement on an Exclusion List
Procedure for Entry of Names.
Meets Criteria
Investigation.
Determination ..
Removal from the Exclusion
Duty to Exclude...
Distribution and Availability of Exclusion Lists
SECTION 10.15 | VOLUNTARY EXCLUSION ..
SECTION 10.16 ISSUANCE OF CREDIT...

vi


a conflict of interest or the appearance of a conflict of interest with the
duties and responsibilities of the Commission, as determined by the Tribal
Council; or

(8) Unable to establish and maintain eligibility to serve as a Gaming
Commissioner under the requirements set forth in this Section.

(b) — Additional Qualifications. In addition to the qualifications prescribed in
subsection (a), the experience and training of a Commissioner must be of
sufficient scope, depth and relevancy to enable him/her to fulfill his/her duties as
shown through at least five (5) years experience in gaming or other regulatory
affairs, public accounting or business finance, public or business administration,
judicial or dispute resolution services, criminal justice, civil or criminal
investigation, or law. A bachelor’s degree in a relevant area of study is required.

(c) Eligibility Determinations; Gaming Commissioner Appointment. Before any
person may take office as a member of the Commission, the Tribal Council shall
cause a comprehensive background investigation to be conducted by the Tribal
Police on each such person. The Tribal Council shall only appoint a person to the
Commission after it determines that all of the qualifications set forth in this
Section and the applicable licensing standards have been met.
qd) Consent to Investigation. All persons, before being appointed to serve on

the Commission, shall consent to, and fully cooperate with, a
comprehensive background investigation.

(2) Background Investigation. Persons selected for appointment to the
Commission shall complete a License Application and, in addition to the
qualifications set forth in subsection (a), shall be subject to the same
background investigation process and licensing standards that apply to
Level 1 Licenses under Chapter VII of this Act, provided that the
submission of documents and other records or information to the NIGC is
not required.

(3)  Investigator’s Report. The investigator shall create an investigative report
for the Tribal Council that describes the investigative process and the
qualifications and applicable licensing standards. The report shall include
factual findings regarding each qualification and licensing standard to the
extent that there is clear and convincing evidence to support a finding and
a statement of all relevant facts and information regarding any
qualification or standard for which a finding cannot be made. The Tribal
Police shall keep the identity of each person interviewed in the course of
the investigation confidential, except to the extent disclosure is permitted
under applicable Tribal law.

(4) Investigator’s File. The Tribal Police shall create a separate file for each
person that was subjected to a background investigation, which shall
include all forms, documents, reports and other information related to the
investigation that is in the possession of the Tribal Police. The Tribal
Police shall retain such files for no less than three (3) years from the date

Current Through Res. 07-02-07-01 13


(g)

(h)

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0)

(m)

(n)

(©)

(p)

@

Authorization. Copies of documents designating the person(s) authorized to act
on the Applicant’s behalf;

Bylaws. Copies of bylaws or other documents that provide the day-to-day
operating rules for the Applicant;

Business History. A description of any existing and previous business
relationships involving Indian tribes, particularly those including ownership
interests in those businesses;

Gaming Business History. A description of any existing and previous business
relationships involving the gaming industry in general, particularly including
ownership interests in those businesses;

Prior Gaming Applications. The name and address of any licensing or regulatory

agency with which the Applicant or Control Persons have filed an Application for
a License or permit relating to gaming, whether or not such License or permit was
granted, and whether such License or permit has ever been subject to suspension,

revocation or other sanction;

Felonies. For each gaming offense and for each felony for which there is an
ongoing prosecution or a conviction involving the Applicant or a Control Person,
the name and address of the court involved, the charge, and the dates of the charge
and disposition;

Misdemeanors. For each misdemeanor conviction or ongoing misdemeanor
prosecution involving the Applicant or a Control Person within ten (10) years of
the date of the Application, the name and address of the court involved, and the
dates of the prosecution and disposition;

Financial Statements. Complete financial statements or tax returns, with all
relevant schedules, for the Applicant for the previous three (3) fiscal years; and

Civil Lawsuits. List of civil lawsuits to which the Applicant or a Control Person
has been a defendant within the previous 10 years, including the name and address
of the court involved, the date and disposition.

Additional Information. Any additional information the Commission deems
relevant.

Notice Requirements. The following notice shall be placed on the Application
form for the Applicant and all Control Persons:

The inclusion of false or misleading information in this Application
may be grounds for denial or revocation of any License.

Current Through Res. 07-02-07-01 50


impose an excessive burden on the Gaming Operation without fulfilling a valid regulatory
purpose. In adopting any standard under the TMICS that differs from a standard under the
MICS, the Commission shall in each such instance establish and maintain full, effective, and
reasonable regulatory controls over Gaming. Until such time as the Commission promulgates
TMICS through the process prescribed under Section 3.15, the MICS promulgated by the NIGC
as of the effective date of this Act, shall be the applicable TMICS.

Section 10.02 System of Internal Control Standards for Gaming Operations. Each Gaming
Operation shall be required to develop a System of Internal Control Standards (SICS) designed to
assure compliance with the TMICS. Such SICS shall be presented for approval by the
Commission. Any changes in the SICS shall be presented to the Commission for approval prior
to implementing such amended SICS.

Section 10.03 Minimum Procedures for Control of Internal Fiscal Affairs. The Commission
shall promulgate Regulations governing the control of internal fiscal affairs of all Gaming
Operations. At a minimum, such Regulations shall require the consistent application of
Generally Accepted Accounting Principles, and shall:

(a) Prescribe minimum procedures for the safeguarding of a Gaming Operation’s
assets and revenues, including the recording of cash receipts and evidence of
indebtedness, and mandatory count procedures. Such Regulations shall establish
a controlled environment, accounting system, and control procedures that
safeguard the assets of the Gaming Operation, assure that operating transactions
are properly recorded, promote operational efficiency, and encourage adherence to
prescribed policies;

(b) Prescribe minimum reporting requirements to the Commission;

(c) Provide for the adoption and use of internal audits conducted in accordance with
generally accepted accounting principles by internal auditors licensed or certified
to practice public accounting in the State of Michigan;

(d) Formulate a uniform code of accounts and accounting classifications to assure the
consistency, comparability and effective disclosure of financial information. Such
a code shall require that records be retained that reflect statistical drop (amount of
cash wagered by Patrons), statistical win (amount of cash won by the Gaming
Operation), and the percentage of statistical win to statistical drop, or provide
similar information for each type of Game in each Gaming Establishment;

(e) Require Gaming Operations to maintain accounting records which meet the
requirements prescribed in subsection 4(H) of the Compact;

() Prescribe the intervals and circumstances for the Gaming Operation to furnish

financial and accounting information to the Commission, the NIGC, or other
entity entitled to such information under applicable law;

Current Through Res. 07-02-07-01 57


such examination thereof by the Commission as the Commission deems
necessary.

(7) Consent to Jurisdiction. Any Person who applies for a License under this
Act shall be deemed to have given consent to the personal jurisdiction of
the Tribe, the Commission and the Tribal Court and to have waived all
available defenses against such jurisdiction. Nothing in this Act shall limit
the jurisdiction of the Tribe, the Commission or the Tribal Court under any
circumstances, except as explicitly stated herein.

(8) Non-transferability of License. All Licenses shall be non-transferable and
shall prohibit the Licensee from transferring any rights or duties related to
the License, either directly or indirectly, without the express approval of
the Commission.

Section 5.07 Withdrawal of License Application. Once filed, an Application for any License
may not be withdrawn by an Applicant without the express permission of the Commission. An
Applicant may request permission to withdraw an Application by submitting a written request to
the Commission. The Commission may grant or deny such a request in its sole discretion.

Section 5.08 Burden of Proof. The burden of proof to establish eligibility to obtain or
maintain a License shall be by clear and convincing evidence, which burden shall be upon the
Applicant or Licensee, as the case may be.

Section 5.09 Right to Condition and Limit License. Every License issued by the
Commission shall be conditioned upon the Licensee continuing to remain eligible to hold such
License under the terms and conditions set forth in this Act and any special conditions prescribed
by the Commission. The Commission reserves the right to impose additional conditions or
limitations on any License, which may require the Applicant to comply with certain conditions or
limitations associated with the holding of such License. Such conditions or limitations shall be
related to the type of License sought and shall be narrowly tailored to address any specific
tegulatory concerns associated with the Applicant, as revealed by the background investigation,
including the particular job responsibilities or contractual obligations to be performed by the
Applicant.

Section 5.10 Terms of Licenses. Except for Provisional Licenses, Temporary Licenses, or
Licenses with specific terms imposed by the Commission as limits or restrictions, the terms of
the Licenses issued by the Commission shall be as follows:

(a) Level 1. (Gaming Employee; Primary Management Official) one (1) year.

(b) Level 2. (Gaming Employee; Key Employee) two (2) years.
(c) Level 3. (Gaming Employee; Non-Key Employee) three (3) years.
(d) Level 4. (Non-Gaming Employee) three (3) years.

Current Through Res. 07-02-07-01 30


@

@

()

0)

(m)

(n)

(0)

(p)

@

Participating in any Gaming not authorized under this Act and, when applicable,
the Compact;

Knowingly providing false information or making any false or misleading
statement with respect to an Application for employment or for any License,
certification, approval, or determination provided for in this Act;

Knowingly providing false or misleading information or making any false or
misleading statement to a Gaming Operation or the Commission in connection
with any contract for Goods or Services to Gaming;

Knowingly making any false or misleading statement in response to any official
inquiry by the Commission or its agents;

Offering or attempting to offer any thing of value to a Licensee with the intent to
induce the Licensee to disregard the legal duties of the Licensee under this Act,
the Regulations, other Tribal law, the IGRA or other federal law;

Acceptance by a Licensee of any thing of value with the understanding that the
Licensee’s receipt of such thing of value is intended to induce the Licensee to
disregard the legal duties of the Licensee under this Act, the Regulations, Tribal
law, the IGRA or other federal law;

Falsifying, destroying, erasing or altering any books, computer data, documents,
records, or other material containing information relating to a Gaming Operation
in ways other than is provided in approved internal control procedures;

Taking any action which interferes with or prevents the Commission or the Tribal
Council from fulfilling its duties and responsibilities under this Act, the
Regulations, or the IGRA; and

Entering into any contract, or making payment on any contract for the delivery of
Gaming Goods or Services to a Gaming Operation, when such contract fails to
provide for or result in the delivery of Gaming Goods or Services of fair market
value for the payment made or contemplated.

Section 13.03 Enforcement.

(a)

Criminal Violations. Any Indian person employed by the Tribe, excluding by a
Gaming Operation or a Gaming Establishment, who willfully violates this Act,
willfully fails to comply with this Act, or willfully prevents another Person from
complying with any provision of this Act shall be guilty of a crime and shall be
subject to a maximum fine of $5,000 or one (1) year imprisonment, or both.

Current Through Res. 07-02-07-01 70


(e) Level A. (Gaming Supplier) two (2) years.
() Level B. (Non-Gaming Supplier) three (3) years.

The term of all Licenses shall commence on the date such License becomes effective, inclusive
of the effective date of any Provisional License or Temporary License, and shall expire at the
conclusion of the specified License term on the anniversary of the effective date of the License.

Section 5.11 License Fees. The Commission shall establish a schedule of fees for each type of
License issued under this Act. The amount of such fees shall be reasonably related to the
recovery of the costs of administering the licensing responsibilities under this Act and shall not
be used as a means of generating revenue.

Section 5.12 Time Periods. Except where required to comply with the requirements of
applicable federal law, the time periods stated in this Act for the licensing process shall not be
construed as establishing rigid requirements on the Gaming Commission. The Commission shall
endeavor to faithfully and consistently comply with all required time periods but may avoid
compliance with such time periods when required to fulfill the regulatory purposes to be served
by the licensing process under this Act.

CHAPTER VI LICENSING OF GAMING ESTABLISHMENTS

Section 6.01 License Required. No Person shall conduct Class II or Class II] Gaming within
the Reservation unless such Person conducts Gaming at a Gaming Establishment licensed by the
Commission. If any Gaming Operation proposes to conduct Class II Gaming or Class III Gaming
in more than one Gaming Establishment, a separate Gaming Establishment License shall be
required for each such Gaming Establishment.

Section 6.02 License Application Fees. The License Application and renewal fee shall be as
set forth by Regulation.

Section 6.03 Gaming Establishment Application Procedures. In order to obtain a Gaming
Establishment License, the Gaming Operation requesting such License shall submit an
Application on the form provided by the Commission. The Applicant shall include all of the
following information regarding the period for which the License is sought:

(a) Proposed Gaming. A description of the proposed Gaming, including, but not
limited to:
(1) The type of proposed Gaming, along with all instructions, policies,
procedures, and other documents related to the proposed Gaming;
(2) | The number and types of Gaming Equipment and Gaming Devices
proposed to be in use within the Gaming Establishment; and
(3) the proposed days and hours of operation.

Current Through Res. 07-02-07-01 31


(2) The Licensee has engaged in conduct that poses a threat to the integrity of
Gaming or to the health, safety or welfare of the general public at any
Gaming Establishment, whether within or outside the jurisdiction of the
Tribe.

() The Licensee has knowingly made a material false or misleading statement
in his License Application.

(4) The Licensee has participated in unauthorized Gaming, whether or not
regulated by this Act.

(5) The Licensee has failed or refused to comply with the conditions of his
License, with any duty imposed on Applicant/Licensee under this Act, or
with any lawful order of the Commission, the Tribal Court, or the NIGC.

(b) — Standard for Summary Suspension of License Pending a Hearing. Any License
issued under this Chapter may be immediately suspended by the Commission for
not more than thirty (30) days pending a hearing if, in addition to the standards set
forth in subsection (a):

(1) the NIGC notifies the Commission that it has information that a Licensee
employed as a Primary Management Official or Key Employee is no
longer eligible to be licensed; or

(2) the Commission receives reliable information that the Licensee has
engaged in conduct that poses an immediate threat to the integrity of
Gaming or to the health, safety or welfare of the general public at any
Gaming Establishment, whether within or outside the jurisdiction of the
Tribe.

(c) Length of License Suspension. Following a suspension hearing, if the
Commission determines that neither lifting the suspension nor initiating a
revocation proceeding would serve the purposes and requirements of this Act, the
Commission may suspend the License for any additional period of time it
determines is needed under the circumstances to allow for further investigation or
other appropriate purpose under this Act, provided that no suspension shall
exceed a period of ninety (90) days without affording the Licensee the right to a
hearing to reconsider the suspension.

(d) Standard for Revocation of a License. Any License issued under this Chapter
may, after notice and hearing, be revoked if the Commission determines that the
Licensee fails to meet the standards for a Gaming Employee License under
Section 7.04 of this Act or under other applicable law or that the Licensee has
failed or refused to comply with the conditions of his or her License, with any
duty imposed on the Licensee under this Act, or with any lawful order of the
Commission, the Tribal Court, or the NIGC.

(e) Investigation of Grounds for Suspending or Revoking a License. Upon receipt by
the Commission of information that a License may be suspended or revoked based
on the grounds described in subsections (a), (b), or (d) the Commission shall

Current Through Res. 07-02-07-01 46


regulations to the appropriate law enforcement officials and to cooperate
with such agencies in the investigation and prosecution of charges brought
as a result of violations of law;

(8) Utilize the services of public and private entities, including the Tribal
Court and other courts, the Tribal Police and other law enforcement
agencies, and the Tribal Prosecutor in exercising its powers and carrying
out its responsibilities;

(9) Utilize the services of the General Counsel’s Office to assist the
Commission with its legal affairs, provided that if the General Counsel’s
Office is unable to assist, the General Counsel shall make other legal
counsel engaged by the Tribe available to the Commission.

(10) Coordinate with the Michigan Gaming Control Board regarding matters of
compliance with the express requirements of the Compact, provided that
in exercising such power the Commission shall respect the role and
responsibility of the Tribal Council to represent the Tribe’s interests as a
party to the Compact and to engage in government-to-government
consultation with the State of Michigan and its agencies;

(11) Coordinate with the NIGC regarding matters of compliance with the
express requirements of the IGRA and the NIGC regulations, provided that
in exercising such power the Commission shall respect the role and
responsibility of the Tribal Council to engage in government-to-
government consultation with the United States and its agencies, including
the NIGC.

(f) Monitoring and Investigation. The Commission shall have the power and duty to
monitor all Gaming Operations for compliance with this Act and the Regulations,
the Pokagon Band Liquor Control Code, any other Tribal Jaw that expressly
delegates responsibilities to the Commission, the IGRA, and the Compact, subject
to any limits on the Commission’s power set forth in such laws. The Commission
shall have the power to require the Executive Director to undertake such
investigations and inspections as the Commission deems appropriate, review the
results of such related investigations, and initiate enforcement actions as it deems
necessary in accordance with Section 4.03.

(g) Access to Records and Information. The Commission, through its Executive
Director and other authorized Commission personnel shall have access to all areas
of any Gaming Operation and to all records, files, information, and data of any
Gaming Operation, wherever located, and may interview any employee, agent or
representative of any Gaming Operation with respect to matters relating to the
operation of any Gaming Operation. Advance notice to the Gaming Operation or
any employee, agent, or representative of the Gaming Operation shall not be
required for the Commission to exercise the authority described in this Paragraph.

(h) Enforcement Authority. When information received by the Commission through
inspections, audits or investigations indicates a violation of this Act, the

Current Through Res. 07-02-07-01 19


Gaming Supplier’s License must complete the following forms:

(a)
(b)

©

@

©)

Application for Gaming Supplier’s License;

Disclosure Form for Business Entity for each Control Person that is a Business
Entity;

Personal History Disclosure Form for each Control Person who is a natural
person;

Authorization to Release Information for each Control Person — Business Entity or
Natural Person.

The Commission may require additional forms or information from an Applicant as it
deems necessary.

Section 8.03 Application for Gaming Supplier’s License. Any Applicant for a Gaming
Supplier’s License shall submit to the Commission an Application on a form issued by the
Commission, which shall, at a minimum, include the following information:

(a)

(b)

©)

(d)

©)

@

Businesses. Name of business, any other names the Applicant has done business
under, business address (including main office address if different), telephone
number, and federal tax ID number (or SSN if a sole proprietorship or single
member LLC);

Proposed Sale of Gaming Goods or Services. Identification of the specific
Gaming Goods or Services the Applicant is proposing to supply to the Gaming
Operation;

All Available Gaming Goods or Services. Identification of all Gaming Goods or
Services and any other goods or services available from the Applicant;

Business Affiliates. Trade name(s) used in connection with Gaming Goods or
Services, names of any wholly-owned subsidiaries or other businesses owned by
the Applicant;

Business Documents. Copies of documents establishing the existence of the
Applicant as a business entity, such as a partnership agreement, trust agreement,
or articles of incorporation;

Ownership Documents. Copies of documents establishing the ownership and
control of the Applicant business affairs sufficient to permit identification of any
and all Control Persons of the Applicant;

Current Through Res. 07-02-07-01 49


(g)

(hy

Provide for the maintenance of documentation, (e.g., checklists, programs,
reports, etc.), to record all efforts by the Gaming Operation as it relates to the
requirements of this Section; and

Provide that all financial statements and documentation referred to in this Section
be maintained for a minimum of five (5) years, which may be in electronic form
except as otherwise required by law.

Section 10.04 Oversight of Internal Fiscal Affairs. The Commission shall require
independent financial audits of all Gaming Operations on an annual basis. Such independent
audits must apply and require the consistent application of Generally Accepted Accounting
Principles, and shall:

(a)

(b)

©)

@)

©

Be conducted by independent accountants, knowledgeable in casino audits and
operations and licensed or certified to practice public accounting in the State of
Michigan;

Include an opinion, qualified, or unqualified, or if appropriate, disclaim an
opinion on the financial statements taken as a whole in accordance with standards
of the accounting profession established by the rules and regulations of the
Michigan State Council of Accountancy and the American Institute of Certified
Public Accountants;

Disclose whether the accounts, records and control procedures maintained by the
Gaming Operation conform with this Act, the Regulations, and the Compact;

Provide a review of the internal financial controls of the audited Gaming Operation to
disclose any deviation from the requirements of this Act and the Regulations and
report such findings to the Commission and the management of the audited Gaming
Operations; and

Provide such other information as the Commission deems necessary or
appropriate.

Section 10.05 Complimentary Items.

(a)

(b)

Each Gaming Operation shall establish and submit to the Commission for
approval procedures for the authorization, issuance, and tracking of
complimentary services and items, including cash and non-cash gifts. The
procedures shall comport with the general principle that the value of the
complimentary items provided should be commensurate with a reasonable
expectation of benefit to the Gaming Operation.

No Tribal Council member, Commissioner, or any person who shares a residence

Current Through Res. 07-02-07-01 58


Rulemaking Process...
Other Powers of Commission
Monitoring and Investigation.
Access to Records and Information
Enforcement Authority.
Conduct of Audit.
Establishment of Budget
SECTION 3.16 | COMMISSION MEETING:
Regular Meetings
Special Meeting:
Emergency Meetings.
Waiver of Notice.
Meetings Open to the Publi
Alternative Meeting Arrangements...
Meeting Procedures ...
SECTION 3.17 QUORUM
SECTION 3.18 | OFFICERS.
SECTION 3.19 | COMMISSION OFFICES
SECTION 3.20 | COMMISSION RECORD-KEEPING
Records Required to be Maintained
Requirements Regarding Files .
SECTION 3.21 REPORTS.

CHAPTER IV ORGANIZATION OF THE COMMISSION; EXECUTIVE DIRECTOR..

SECTION 4.01 | COMMISSION DIVISIONS.
Licensing and Investigation Division.
Compliance and Enforcement Divisio

SECTION 4.02 EXECUTIVE DIRECTOR: APPOINTMENT; QUALIFICATIONS; REMOVAL AND SUSPENSION,
Appointment of the Executive Director
Qualifications

Prior experience
Commission standar.
Ineligibility of Commissioners
Commitment...
Compensation
Removal, suspension.
Vacancy

SECTION 4.03 POWERS AND DUTIES OF THE EXECUTIVE DIRECTOR
Commission Administration.
Commission Staff.
Contracting...
Oversight of Commission Operations

All investigations...
Commission challenges
Monitoring and compliance ..
Disputes...
Enforce Exclusion List
General assistance
Licensing...
Records Management.
Evaluate the Gaming Regulatory System
Other Duties

SECTION 4.04 | BACKGROUND INVESTIGATIONS OF THE EXECUTIVE DIRECTOR AND COMMISSION STAFF ..27
Applicable Standards
Nature of Background Investigation
Investigator’s Report.......

ii


3)

@)

(6)

(6)

)

relationships with the gaming industry generally, including ownership
interests in those businesses;

Prior Gaming applications. 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.

Felony charges. 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, including identification of
any conviction, or plea of guilty or no contest, to a gambling related
offense, Fraud or Misrepresentation at any time;

Misdemeanor charges. A list of all misdemeanor charges and dispositions
against the Applicant, if any, (excluding traffic charges for which
incarceration was not a possible punishment, referred to hereunder as
“minor” traffic charges), and for each misdemeanor conviction or ongoing
misdemeanor prosecution (excluding minor traffic charges), within ten
(10) years of the date of the Application, the name and address of the court
involved and the date and disposition, including identification of any
conviction, or plea of guilty or no contest, to a gambling related offense,
Fraud or Misrepresentation at any time;

Convictions. For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge was within ten
(10) years of the date of the Application and is not otherwise listed
pursuant to paragraph (h) or (i) of this Section, the criminal charge, the
name and address of the court involved, and the date and disposition; and
Prior business applications. 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.

(e) Current Photographs. The Applicant shall provide a current photograph in such
form as the Commission may require.

(6 Personal Financial Questionnaire. The Personal Financial Questionnaire shall

include a statement of assets and liabilities and shall include, at a minimum, the
following information:

ay

Q)

Complete financial statement, along with income tax returns for the
previous three (3) years, showing all sources of income for the previous
three (3) years, and assets, liabilities, and net worth as of the date of the
Application; and

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.

Current Through Res. 07-02-07-01 38


©

if the Commission determines that the Gaming Establishment is not in full
compliance with Section 10.11 of this Act.

Notice and Right of Appeal. If the Commission denies an Application to renew a
License, the Commission shall, within seven (7) calendar days, notify the
Applicant of the specific reasons for such denial, provide a description of any
corrective actions that the Commission determines will cure the deficiencies in the
Application, and inform the Applicant of its right to appeal the determination in
accordance with Chapter XI.

CHAPTER VII
LICENSING OF GAMING EMPLOYEES

Section 7.01 Application for a Gaming Employee License. The Commission shall require
each prospective Gaming Employee to submit a sworn Application to the Commission on the
forms and in the manner required by the Commission. The Application for Level 1 Licenses
shall include, at a minimum, the forms, information, other requirements described hereunder.

(a)

()

Application Form. The Application form shall require, at a minimum, the
following information:

qd) 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);

(2) Currently and for the previous ten (10) years:

(i) business and employment positions held,

(ii) ownership interests in those businesses,

(iii) business and residence addresses; and

(iv) drivers license numbers, including issuing state;

(3) | The names and current addresses of at least three personal references,
including one personal reference that was acquainted with the Applicant
during each period of residence listed under paragraph (b) of this Section;

(4) Current business and residence telephone numbers; and

(5) Whether the Applicant is a Tribal member applying for a Level 2 or a
Level 3 Gaming Employee License and, if so, the Applicant’s Tribal
membership number.

Application Form Notices. The notices set forth below shall be placed on the
front of every Application so that the Applicant will read the notices prior to filing
out the Application form.

Privacy Act Notice.

Jn compliance with the Privacy Act of 1974, the following

Current Through Res. 07-02-07-01 36


©)
@
©

Building construction & maintenance;
The handling and storing of hazardous and toxic materials; and

Sanitation and waste disposal.

Section 10.12 Unclaimed Winnings.

(a)

(b)

Known Patron. Any winnings, whether property or cash, which are due and
payable to a Patron, and which remain unclaimed, shall be held in safekeeping for
the benefit of such Patron if the Patron’s identity is known. The Commission
shall use, or require the Gaming Operation to use, its best efforts to deliver such
winnings to the Patron determined with reasonable certainty by the Commission
or the Gaming Operation as entitled to the winnings. Such winnings shall be held
for twelve (12) months or such longer period as the Commission deems
reasonable in consideration of all relevant facts and circumstances. At the end of
the safekeeping period, such winnings shall revert to the ownership of the Gaming
Operation and shall be transferred to the account or place designated by the
Gaming Operation.

Unknown Patron. In the event the identity of a Patron entitled to unclaimed
winnings in excess of $100.00 is unknown, the Commission shall use, or require
the Gaming Operation to use, its best efforts to learn the identity of the Patron. If
the identify of the Patron entitled to the winnings can be determined with
reasonable certainty, the Commission shall use, or require the Gaming Operation
to use, its best efforts to deliver such winnings to the Patron. However, if after
three (3) months from the time the winnings were payable, the Commission has
been unable to identify the Patron, such winnings shall revert to the ownership of
the Gaming Operation.

Section 10.13 Resolution of Disputes Between the Gaming Public and the Gaming
Operation. Disputes between a Patron and a Gaming Operation shall be resolved as follows:

(@)

(b)

©

Procedures. The Gaming Operation shall develop written procedures and shall
designate Key Employees and Primary Management Officials with authority to
address and resolve complaints by, or disputes with, Patrons. The Gaming
Operation shall provide a copy of the approved procedures to the Commission and
shall promptly thereafter provide the Commission with any amendments thereto.

Opportunity to be Heard. At a minimum, such procedures shall provide Patrons
with the opportunity to present complaints, in writing, to the person(s) designated
by the Gaming Operation to resolve complaints by Patrons.

Written Complaint. If the complaint involves a dispute regarding at least five
hundred dollars ($500) or an equivalent value in goods or services and the dispute

Current Through Res. 07-02-07-01 61


purposes of this Act and shall also include any devices, machines, components, or contrivances

which do affect, or are capable of affecting, in any way, the playing of any Game, provided that

this term shall not be construed to expand the meaning of “electronic games of chance” set forth
in paragraph (5), subsection 3(A) of the Compact for the purpose of affecting the calculation of

net win under Sections 17 and 18 of the Compact.

“Gaming Employee” means any Primary Management Official, Key Employee, any other
person employed by a Gaming Operation whose employment requires access to restricted areas
of the Gaming Operation, and any other employee of a Gaming Operation deemed by the Gaming
Commission to be engaged in gaming related activities in the course of his or her employment.

“Gaming Equipment or Supplies” means:

(a) Any machine, mechanism, device, or implement that may affect the result of a
Game by determining win or loss, including without limitation, any of the
following:
qd) Any Gaming Device;

(2) Software used with any Gaming Device;
(3) Cards; and
(4) Dice.

(b) Layouts for live table games and representatives of values, including without
limitation, chips, tokens, or electronic debit cards and related hardware or
software that affect the result of the game; and

(©) Services to maintain, repair, or renovate any equipment or supplies described in
subsections (a) or (b) and any other services that directly relate to the conduct of
Gaming, security, or surveillance at a Gaming Establishment, including without
limitation casino credit reporting services.

“Gaming Establishment” means any facility or premises where Class II or Class III Gaming is
conducted and includes all buildings structures and other appurtenances required for the

operation or maintenance of such facility or used in connection with such Gaming.

“Gaming Operation” means any business owned by the Tribe or a Tribal entity, the revenues of
which are primarily derived from Gaming or from any Gaming Establishment.

“Gaming Supplier” means any Person who sells, leases, or otherwise supplies any Gaming
Equipment or Supplies to a Gaming Operation.

“Gross Revenue” means the total of all of the following, less the total of all cash paid out as
winnings to Patrons and any amounts made deductible from Gross Revenues as Patron winnings

or otherwise:

(a) Cash received as wagers;

Current Through Res. 07-02-07-01 6


(k)

Commission may, in its discretion, convert the hearing on the suspension of the
License to a hearing to show cause why the License should not be revoked. If the
Commission converts a suspension hearing to a revocation hearing and has
already issued a notice under subsections (f) or (g), it shall provide the Licensee
with a new Notice and a new opportunity to request a hearing under subsection
(h), which would also commence a new time period for scheduling the hearing.

Decision Following Hearing. The Commission shall decide at the conclusion of a
hearing under this Section whether or not to continue the suspension or to revoke
the License, as the case may be, and shall issue findings of fact and conclusions of
law to support any such decision. If the hearing involved the revocation of a
Level 1 or a Level 2 License, the Commission shall notify the NIGC of its
decision.

Section 7.12 Show Cause Hearing for Primary Management Officials. Notwithstanding the
provisions in the foregoing Section 7.11, in the event that the Commission determines that there
are grounds to issue a Notice of Suspension or Revocation regarding a Level 1 License and such
grounds do not involve criminal conduct, the following procedures shall apply in addition to the
requirements of this Chapter that are not inconsistent with this Section:

(a)

(b)

(©)

@)

Prior to issuing a Notice of Suspension or a Notice of Revocation, the
Commission shall issue a Notice for Show Cause to the Licensee.

In addition to the notice and hearing requirements set forth in subsection 7.11 (g),
the Notice for Show Cause shall suggest satisfactory measures the Licensee may
pursue to address the grounds stated in the Notice of Suspension or Revocation.

The Commission shall provide the Licensee with an opportunity for a conference
with Commission staff prior to the show cause hearing to address any questions
related to the hearing. Such meeting shall, except for good cause or as otherwise
agreed to by the Licensee and the Commission, occur within two (2) business days
from the date the Licensee receives the Notice for Show Cause.

If the licensing problem is not resolved to the Commission’s satisfaction prior to
the Show Cause Hearing, the Commission may proceed with the Show Cause
Hearing to suspend or revoke the License.

CHAPTER VIII
LICENSING OF GAMING SUPPLIERS

Section 8.01 Licensing of Gaming Suppliers. A Person shall obtain from the Commission a
Gaming Supplier’s License before supplying Gaming Goods or Services to a Gaming Operation.

Section 8.02 Requirements for Gaming Suppliers License. Each Person applying for a

Current Through Res. 07-02-07-01 48


the Commission may recognize and accept the licensing determinations of gaming regulatory
agencies in other jurisdictions regarding any Applicant under this Chapter, provided that the
Commission determines that such other jurisdiction applies licensing standards that are as
stringent and a background investigation process that is as rigorous as this Act requires. If the
Commission determines that it will accept the licensing determinations of another jurisdiction,
the Commission shall gather such information from the Gaming Supplier, all Control Persons,
and the other jurisdiction as the Commission deems necessary to confirm facts and develop a
record regarding the Gaming Supplier and all Control Persons and to support its determination.
The Commission may waive the background investigation process and such other requirements
of this Chapter as it determines are unnecessary when granting reciprocity to the licensing
determinations of another jurisdiction.

CHAPTER IX
REGULATION OF MANAGEMENT CONTRACTORS

Section 9.01 Disclosure Requirements. Every Management Contractor shall, not less than
thirty (30) days prior to the date the Management Contractor commences management of any
Gaming Operation, submit the following to the Commission:

(a) Acopy ofa valid Management Contract for the Gaming Operation and proof that
such contract was approved by the NIGC;

(b) Copies of documents establishing the existence of the Management Contractor as
a legal entity, such as articles of incorporation or articles of organization;

(c) Identify the Manager with management responsibility for the Management
Contract; and

(d) Copies of all licenses or permits related to gaming that were issued to the
Management Contractor by any other jurisdiction and the name and address of any
other licensing or regulatory agency the Management Contractor has applied to for
a license or permit relating to gaming that did not, for any reason, issue a license
or permit.

Section 9.02 Notice Requirements. Every Management Contractor shall promptly provide
written notice to the Commission upon the occurrence of any of the following events:

(a) There is any change in the identity of the Manager;
(b) A proceeding to revoke or suspend the Management Contractor’s gaming license
or permit, or to take any other regulatory compliance action, in any other

jurisdiction is commenced or the Management Contractor’s gaming license or
permit is suspended or revoked (the notice shall include the name and address of

Current Through Res. 07-02-07-01 54


“Key Employee” means:

(a) A person employed by a Gaming Operation who performs one or more of the

following functions:

(1) bingo caller,

(2) counting room supervisor,

(3) chief of security,

(4) custodian of Gaming Equipment or Supplies, or cash,
(5) floor manager,

(6) pit boss,

(7) dealer,

(8) croupier,

(9) approver of credit, or

(10) custodian of gambling terminals or other devices operated by the

management of any Gaming Operation, including Persons with access to
cash and accounting records for such devices;

(b) If not otherwise included, any other person whose total cash compensation from
employment in any Gaming Operation exceeds $50,000 per year;

(c) — Ifnot otherwise included, the four most highly compensated persons employed in
any Gaming Operation; or

(d) — Any other employee of any Gaming Operation that the Commission designates by
Commission Regulations as a Key Employee.

“License” means a limited grant of authority by the Commission, pursuant to this Act, to a
specific Person to perform certain acts or engage in certain activities that are regulated under this
Act and cannot be performed or engaged in without a License. Neither the filing of an
Application nor the Commission’s decision to grant or not grant a License to an Applicant shall
create a property interest or due process rights in favor of the Applicant except as may be
explicitly provided by this Act or other Tribal laws. Licenses shall be structured according to the
type of Applicant, as provided in the table below:

License Type Category Description License Term

Gaming Establishment | NA NA two (2) years
Level 1 Primary Management Officials | one (1) year

Level2__| Key Employees two (2) years

Employee Level 3__| Non-Key Employees three (3) years

Level 4 Non-Gaming Employees three (3) years
Supplier Level A__| Gaming Supplier : two (2) years

Level B__| Non-Gaming Supplier three (3) years

Current Through Res. 07-02-07-01 8


POKAGON BAND OF POTAWATOMI INDIANS
GAMING REGULATORY ACT

Table of Contents
CHAPTER I PURPOSE; PUBLIC POLICY; AUTHORIZED GAMING....

SECTION 1.01 Snort TITLE...
SECTION 1.02 PURPOSE AND AUTHORITY
SECTION 1.03 PUBLIC POLICY...
SECTION 1.04 ADOPTION; REPEALEI
SECTION 1.05 SEVERABILITY.....
SECTION 1.06 | UNAUTHORIZED GAMING..
SECTION 1.07 | CONDUCT OF GAMES...
SECTION 1.08 PERMITTED GAMING..

Class I Gaming...

Class II Gaming Authorize

Class II Gaming Authorized.
SECTION 1.09 — LOCATION OF GAMING .
SECTION 1.10 | OWNERSHIP OF GAMING...
SECTION 1.11 USE OF GAMING REVENUE
SECTION 1.12 PRIMACY OF COMPACT.

CHAPTER II DEFINITIONS...

2
2
2
2
7
2
wy}
3
3
3
3
3

CHAPTER III ESTABLISHMENT, ADMINISTRATION & POWERS OF COMMISSION

SECTION 3.01 | ESTABLISHMENT OF GAMING COMMISSION
SECTION 3.02 GOVERNMENTAL ATTRIBUTES OF THE COMMISSION
SECTION 3.03 DELEGATION OF REGULATORY AUTHORIT'
SECTION 3.04 INDEPENDENCE OF COMMISSION...
SECTION 3.05 | COMMISSION FUNDING .....
SECTION 3.06 | COMPOSITION OF COMMISSION..

SECTION 3.07 QUALIFICATIONS; APPOINTMENT OF COMMISSIONERS .. 12
Qualifications... 12
Additional Qualifications. 13

Eligibility Determinations; Gaming Commissioner Appointment.
Consent to Investigation.
Background Investigation
Investigator’s Report.
Investigator's File.
Preliminary Determinatio1

Final Determination; Confirmation of Appointment

Notice to Rejected Appointees; Right to Hearing....

SECTION 3.08. INITIAL TERMS OF OFFICE
SECTION 3.09. HOLD-OVER POLICY.
SECTION 3.10. RESIGNATION
SECTION 3.11. REMOVAL.
SECTION 3.12. | VACANCIES; APPOINTMENT TO FILL VACANCY
SECTION 3.13 ETHICS REQUIREMENTS FOR COMMISSIONERS
SECTION 3.14 COMPENSATION OF COMMISSIONERS...
SECTION 3.15 | POWERS AND DUTIES OF THE COMMISSION

General

Licensing.

Regulatory Authority


an Applicant shall create a property interest or due process rights in favor of the
Applicant except as may be explicitly provided by this Act or other Tribal laws.
The granting of a License by the Commission does not constitute a commitment
on behalf of the Commission or any other party to contract with, hire or continue
to employ or contract with the Licensee.

(b) Duties of Applicants and Licensees. Applicants are required to provide or

perform the following:

0)

Q)

G)

@)

(6)

(6)

Responsibility to establish qualifications. An Applicant for any License or
License renewal required by this Act has the burden of proving by clear
and convincing evidence that all standards and other requirements
applicable to such License are met. No License shall be granted to any
Applicant who fails to meet the evidentiary standards and all applicable
licensing standards and requirements.

Duty to disclose and cooperate. It shall be the responsibility and
continuing duty of each Applicant/Licensee to promptly furnish all
information, documentation, assurances, consents, waivers, fingerprint
impressions, photographs, or other materials required or requested by the
Commission and to cooperate with the Commission in the performance of
its duties. Failure to furnish same after receipt of request shall constitute
grounds for delaying consideration or denial of the Application.
Licensee’s continuing duty to promptly furnish information. Licensees
shall promptly notify the Commission of any occurrence or event in their
life which constitutes a material change (e.g., arrest, filing of criminal
charges, address change, etc.) in any information provided in the
Licensee’s Application. The failure to promptly report such information
or refusal to comply with a request by the Commission for information,
evidence, or testimony may be considered grounds for the suspension,
restriction, or revocation of a License.

Authority to seize, revoke and suspend License. The Commission may
seize, revoke, restrict, condition, or suspend any License issued under this
Act in accordance with the procedures prescribed in this Act and any
applicable Regulations.

Waiver of liability for disclosure of information. Applicants/Licensees
accept and assume all risks of harm from any public disclosure of
information related to the licensing process. Applicants/Licensees
expressly waive any claims against the Commission and the Tribe as well
as any Person that furnishes information in good faith to the Commission
in any matter relating to the licensing process.

Consent to examination of accounts and records. Each
Applicant/Licensee shall, in writing, consent to the examination of all
bank accounts, other accounts, and other records, whether held in the
possession or under the control of the Applicant/Licensee or a third party.
Furthermore, the Applicant/Licensee shall authorize and direct all third
parties in possession or with contro! of such accounts or records to allow

Current Through Res. 07-02-07-01 29


(b) Civil Violations. Any Person employed by the Tribe, excluding by a Gaming
Operation or a Gaming Establishment, who willfully violates this Act, willfully
fails to comply with this Act, or willfully fails to comply with any provision of
this Code, or willfully prevents another Person from complying with any
provision of this Code shall be liable for a civil fine not to exceed $5,000. The
amount of any such civil fine may be recovered in a civil action brought in the
Tribal Court. All civil fines accruing under this Act shall be cumulative and a suit
for the recovery of one fine shall not bar or affect the recovery of any other fine,
judgment, penalty, forfeiture, or damages, nor bar the power of the Tribal Court to
punish for contempt, nor bar any criminal prosecution.

LEGISLATIVE HISTORY

The “Gaming Regulatory Act” was enacted on May 10, 2003 by adoption of Tribal Council Resolution No.
03-05-10-01; On October 11, 2003, by adoption of Tribal Council Resolution No. 03-10-11-12, subsections
ILD, ILE, II.G and Section IX were amended; the National Indian Gaming Commission (“NIGC”) approved
the amended Gaming Regulatory Act pursuant to 25 U.S.C. § 2710 (b)(1)(B) by letter dated December 5,
2003 from NIGC Chairman Philip N. Hogen to Pokagon Band Chairman John Miller; on February 7, 2007;
by adoption of Tribal Council Resolution No. 07-02-07-01, the Gaming Regulatory Act was repealed in its
entirety and a completely rewritten Gaming Regulatory Act was enacted, which actions would become
effective upon the approval of the Gaming Regulatory Act by the NIGC; by adoption of Tribal Council
Resolution No. 07-05-12-04, technical amendments were enacted to Chapter II and Sections 3.07, 3.15, 3.20,
4.02, 5.04, 5.06, 6.03, 7.01, 7.02, 7.03, 7.05, 7.06, 8.06, 10.05, 10.12, and 10.15 and a new Section 4.04 was
enacted; the NIGC approved the Gaming Regulatory Act pursuant to 25 U.S.C. § 2710 (b)(1)(B) by letter
dated » 2007 from NIGC Chairman, to Pokagon Band
Chairman :

Current Through Res. 07-02-07-01 71


(c) Regulatory Authority. The Commission shall have the power and duty to develop,
propose, and promulgate Regulations regarding:

(1) the licensing of Gaming Establishments;

(2) _ background investigations and licensing of Gaming Employees and Non-
Gaming Employees;

(3) background investigations and licensing of Gaming Suppliers and Non-
Gaming Suppliers;

(4) conducting or causing to be conducted annual independent audits of all
Gaming Operations;

(5) _ the distribution of complimentary items;

(6) permitted games and the conduct thereof;

(7) compliance with applicable standards and procedures for testing Gaming
Equipment or Supplies;

(8) audio and video surveillance standards and procedures;

(9) standards and procedures for minimum internal cash, playing cards, and
chip and token control;

(10) compliance with the Bank Secrecy Act, 31 U.S.C. § 1051 ef seg. and
applicable provisions of the Internal Revenue Code;

(11) _ resolution of Gaming-related disputes involving Patrons after all remedies
available at the Gaming Establishment are exhausted;

(12) | the development and maintenance of a list of excluded persons;

(13) Commission reporting, record-keeping, auditing, investigation, and
enforcement procedures;

(14) _ fines and other penalties for violations of this Act, the Regulations, and
other applicable law in order to fulfill the regulatory purposes and to offset
administrative costs; and

(15) _ other activities as required by law or as deemed prudent by the
Commission.

(d) Rulemaking Process. The Commission shall give notice of its intent to adopt a
Regulation by posting a copy of the notice in locations on Tribal government
property where public notices are usually posted and by delivering a copy of the
notice by U.S. mail or other appropriate means to the Tribal Council Secretary, the
General Counsel, and the Manager of any Gaming Establishment. The notice
shall include a copy of the proposed regulation and a description of the nature and
effect of the proposed regulation. In addition, the notice shall include the
following:

(1) Comment Submission. Comments on the proposed regulation may be
submitted no Jater than sixty (60) days from the date of the notice; and

(2) | Comment Review. The Commission shall review all comments received
during the comment period and, based on such comments, shall make such
changes to the proposed regulation as the Commission deems necessary or
appropriate.

The Commission shall fully consider and address all comments recommending

Current Through Res. 07-02-07-01 17


May 15, 2007
Via FedEx

National Indian Gaming Commission
1441 L Street, N.W., 9th Floor
Washington, DC 20005

Attn: Jennifer Ward, Esq.

Dear Ms. Ward:

With this letter, the Pokagon Band of Potawatomi Indians is submitting technical amendments to the
Pokagon Band Gaming Regulatory Act of 2007, which it submitted for National Indian Gaming Commission
review and approval by cover letter dated February 16, 2007. These amendments include the changes requested
by the NIGC to the definition of “Primary Management Official”, to subsection 7.03(e)(1), which clarifies the
purpose for submitting fingerprints to the NIGC, and subsection 10.05(b), which corrects certain language
errors. Enclosed with this letter are the following documents:

1. a signed original of Tribal Council Resolution No. 07-05-12-04, the adoption of which enacted
technical amendments to the Pokagon Band Gaming Regulatory Act currently under NIGC
review;

2. acopy of the Gaming Regulatory Act with blacklined text showing the changes made by Res.

No. 07-05-12-04 to the Act under NIGC review; and
3. a clean text version of the Gaming Regulatory Act as amended by Res. No. 07-05-12-04.

The Pokagon Band of Potawatomi Indians respectfully requests that the National Indian Gaming
Commission review and approve the enclosed amended Pokagon Gaming Regulatory Act of 2007 at its earliest
opportunity. We are confident that the our submission meets all requirements of the Indian Gaming Regulatory
Act and the implementing regulations at 25 C.F.R. Part 522. If you have any questions or need additional
information to assist with your evaluation, please do not hesitate to contact me.

rs,

Michael G. Phelan

Enclosures

Zt Ol WY 91 AV

ce: Pokagon Band Tribal Council a

OSAINS

P.O. Box 180 + 58155 M-51 South * Dowagiac, Michigan 49047-9329
Voice: (269) 783-0970 * Fax: (269) 782-7988 » E-mail: mike.phelan@pokagon.com

4

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(g)

Financial Information. Review the Applicant’s credit history and, when the
Application is for a Level 1 License or when required by the Regulations or
otherwise warranted, verify the financial information provided by the Applicant
by contacting financial institutions and other sources and investigate the
Applicant’s financial background based on the Applicant’s Personal Financial
Questionnaire;

Civil History. Conduct a civil history check;

Criminal History. Conduct a criminal history check.

(1) Applicant for a Level 1 or a Level 2.. Submit the Application and
fingerprints to the NIGC, which will forward the fingerprints to the
Federal Bureau of Investigation and the NCIC to search and report on the
Applicant’s criminal history, if any, and

(2) All Applicants for a Gaming Employee License. Obtain information from
law enforcement agencies and courts in the jurisdictions where the
Applicant has resided regarding all felony convictions during the
Applicant’s lifetime and misdemeanor convictions and criminal charges
within the last ten years;

Prior Business Relationships. Inquire into the Applicant’s previous or existing
business relationships; and

Agency History. Verify and evaluate the Applicant’s history and status with
licensing agencies in other jurisdictions.

The investigator shall create an investigative report that describes the investigative process,
information gained, applicable licensing standards, and any disqualifying information. In the
absence of disqualifying information, the investigator shall propose in a separate report factual
findings regarding each licensing standard to the extent that there is clear and convincing
evidence to support a finding. The Gaming Commission shall keep confidential the identity of
each person interviewed in the course of the investigation, except to the extent that disclosure is
permitted under applicable federal or Tribal law or the Compact.

Section 7.04 Standards for Issuance of a Gaming Employee License. The Commission
shall not grant a Gaming Employee License to any person who does not meet the applicable
standards set forth below:

(a)

Standards Applicable to All Gaming Employees. The Commission shall not grant

a Gaming Employee License to any person who:

(1) — Isa member of the Tribal Council, a Tribal Judge, or a Tribal Law
Enforcement Officer;

(2) Is under the age of 18;

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

Current Through Res. 07-02-07-01 41


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business administration, judicial or dispute resolution services, criminal
justice, civil or criminal investigation, and law;

(2) Commission standards. Must establish and maintain eligibility to serve as
Executive Director under the qualifications that apply to Commission
members in subsection 3.07;

(3) Ineligibility of Commissioners. Must not have served as a Commissioner
for two years prior to the date of appointment as Executive Director.

(4) Commitment. Must devote his or her entire time and attention to the duties
of the Executive Director and the business of the Commission.

Compensation, The Executive Director shall be entitled to an annual salary and
adjustments in amounts determined by the Commission and included in the
Commission’s annual budget submitted for Tribal Council approval.

Removal, suspension. The Commission may, by majority vote, request that the
Tribal Council initiate a procedure for the removal of the Executive Director for
any of the reasons stated in Section 3.11 regarding removal of a Commission
member provided that if the reason for seeking the removal involves the failure to
maintain or remain eligible for a License or for any other reason that threatens the
integrity or public image of the Commission, the Commission may suspend the
Executive Director, with pay, pending the outcome of the removal proceeding.

Vacancy. If there is a vacancy for any reason in the position of Executive
Director, the Tribal Council shall promptly appoint another qualified person to fill
the vacancy. The Commission may assign the duties of the Executive Director to
a Commission employee on an interim basis until the Tribal Council fills the
vacancy in the position of Executive Director.

Section 4.03 Powers and Duties of the Executive Director. The Executive Director shall
have the power and the duty, subject to Commission supervision, to carry out on behalf of the
Commission the administrative and executive requirements of the Commission under this Act,
the Regulations, and the Pokagon Band Liquor Control Code, including without limitation:

(a)

(b)

Commission Administration. The Executive Director shall provide administrative
support to the Commission, including managing and supervising all Commission
staff, consultants, and contractors, records management, and the development and
oversight of the Commission budget.

Commission Staff. The Executive Director shall be responsible for human
resource and personnel matters, including the recruitment, hiring, supervision, and
discipline of Commission staff, whose positions shall be established by written
position descriptions subject to the approval of the Commission and all applicable
hiring and employment laws and policies of the Tribe. All employee suspensions
and terminations may be appealed to the Commission, subject to such standards
and procedures as the Commission may establish.

Current Through Res. 07-02-07-01 25


(b)

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The Commission shall make its best effort to approve the Gaming Establishment
License Application within thirty (30) days following the receipt of a complete
Application. The Commission shall approve the Gaming Establishment License
Application unless the Commission determines that the Gaming Establishment
fails to meet the applicable licensing standards under federal or Tribal law or the
Compact or that, based on reasonable grounds, the Gaming Establishment will be
operated in violation of federal or Tribal law or the Compact. The Commission
may, in its discretion, hold a public hearing to consider the Application in
accordance with the procedures described in Chapter X; provided that the
Commission may close the hearing or portions thereof to the extent permitted by
applicable Tribal law.

If the Commission denies an Application for a Gaming Establishment License, the
Commission shall promptly notify the Applicant of the specific reasons for such
denial, provide a description of any corrective actions that the Commission
determines will cure the deficiencies in the Application, and inform the Applicant
of its right to appeal the determination in accordance with Chapter XI.

The Commission shall promptly submit to the NIGC a copy of each Gaming
Establishment License it issues.

Section 6.06 Conditions Applicable to a Gaming Establishment License. Any Gaming
Operation that holds a Gaming Establishment License shall comply with such reasonable
conditions as may be prescribed by the Commission, including the following:

(a)

(b)

(c)

(d)

)

The Gaming Operation shall operate and maintain the Gaming Establishment in a
manner that meets the requirements set forth under Section 10.11 of this Act;

Prior to initiating any public use of the building or facilities at the Gaming
Establishment, the Gaming Operation shall have received all required permits,
approvals, and certificate(s) of occupancy under Article VI of the Health,
Environmental Protection, and Building Codes Ordinance and other applicable
Tribal law and shall comply with all conditions imposed though such permits,
approvals, and certificates;

The Gaming Operation shall comply with all Internal Revenue Service reporting
and filing requirements;

Prior to initiating of any Gaming at the Gaming Establishment, all Gaming
Employees and other employees required under this Act or the Regulations to be
licensed shall obtain the appropriate Licenses required in Chapter VII;

The Gaming Establishment shall be subject to patrol by the Gaming Operation’s
security personnel and shall be accessible to the Tribal Police, and, to the extent

Current Through Res. 07-02-07-01 34


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Section 3.16

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Regulations, the terms or conditions of any License, or any other applicable Tribal

or federal laws, the Commission may, as warranted under the circumstances:

(1) _ Refer the matter to appropriate law enforcement officials or other
appropriate governmental agencies;

(2) Pursue further investigation of the matter;

(3) _ Initiate administrative enforcement proceedings or a civil action in the
Tribal Court to fine the Persons responsible for the violation, or to
suspend, restrict, or revoke such Person’s License, or issue a letter of
reprimand or a warning in accordance with the procedures in this Act and
the Regulation; or

(4) Consult with representatives of the Gaming Operation to correct the
violation, or resolve the matter, without formal proceedings.

Any enforcement action taken by the Commission shall be fair and reasonable
under the circumstances, shall be proportionate to the violation, and shall be
designed to promote the goals of correction and improvement, unless the nature or
severity of the violation is such that the goals of correction and improvement
would be unrealistic. Any enforcement action taken by the Commission must be
within its powers, related to its gaming regulatory responsibilities, and shall be
conducted in accordance with the Hearing Procedures described in Chapter XI and
is subject to appeal pursuant to Chapter XII of this Act.

Conduct of Audit. The Commission shall ensure that each Gaming Operation
annually conducts an independent audit of the Gaming Operation and submits the
resulting audit report to the NIGC in a timely manner. All Gaming related
contracts for the purchase of supplies, services, or concessions in an amount in
excess of $25,000.00 annually, except contracts for professional legal or
accounting services, and any other matter the Commission deems necessary or
appropriate shall be specifically included within the scope of such audit.

Establishment of Budget. The Commission shall establish an annual budget for
its operations, which shall reflect the reasonable costs of gaming regulation
pursuant to this Act, other applicable law and the Compact. The Commission
shall present its annual budget to the Tribal Council on or before July thirtieth
(30") of each year for the Tribal Council’s review and approval. The Commission
shall have the authority to expend funds within the approved budget without
further authorization from the Tribal Council, subject to generally applicable
Tribal accounting and procurement policies.

Commission Meetings.

Regular Meetings. The Commission shall conduct a Regular meeting once a
month at the Commission’s main office or at any other designated meeting place.
The Commission shall provide by resolution the time and place for Regular
meetings. A meeting agenda shall be distributed to all Commission members at

Current Through Res. 07-02-07-01 20


“Act” means this Gaming Regulatory Act, as amended from time to time.

“Any Offense”, shall mean any criminal offense other than a gambling-related offense, Fraud or
Misrepresentation, whether committed in Michigan or any other jurisdiction, that is, or would be,
a crime under the provisions of the Michigan Penal Code, Act No. 328 of the Public Acts of
1931, as amended, being MCL 750.1 to 750.568, or the controlled substance provisions of the
Public Health Code, Act No. 368 of the Public Acts of 1978, as amended, being MCL 333.7101
to 333.7545, or any other criminal offense (other than a gambling-related offense, Fraud or
Misrepresentation) that involves theft, dishonesty, fraud or misrepresentation arising under the
law of Michigan or another state or jurisdiction, that was committed as an adult or prosecuted as
an adult offense, and which has not been effectively removed from the employee’s criminal
record by executive pardon, state court order, or operation of law.

“Applicant” means any Person, partnership, corporation, joint venture, or other entity applying
for, or requesting renewal of, any License required by this Act.

“Application” or “License Application” means a request for the issuance or renewal of a
License required by this Act.

“Class I Gaming” shall have the definition that term is given in the Indian Gaming Regulatory
Act at 25 U.S.C. § 2703 (6)

“Class II Gaming” means Class II Gaming as defined in the Indian Gaming Regulatory Act at
25 U.S.C. § 2703(7), and any regulations promulgated thereunder.

“Class II] Gaming” means Class III Gaming as defined in the Indian Gaming Regulatory Act at
25 U.S.C. § 2703(8), and any regulations promulgated thereunder, but excluding any Class III
Gaming that is not authorized by the Compact.

“Commissioner” means an individual member of the Pokagon Band Gaming Commission.

“Compact” means the Compact dated December 3, 1998, including all renewals, amendments,
appendices, exhibits and other attachments thereto, between the Pokagon Band of Potawatomi
Indians and the State of Michigan providing for the Conduct of Tribal Class III Gaming by the
Pokagon Band of Potawatomi Indians, which was deemed approved by the Secretary of the
Interior by operation of law under the IGRA (25 U.S.C. § 2710(d)(8)(C)) and became effective
on upon publication in the Federal Register (64 Fed, Reg. 8111, February 18, 1999).

“Complimentary” shall have the meaning as set forth in 25 C.F.R. §542.2.

“Control Person” means any person who has the power to direct or cause direction of the
management and policies of the business operations of a Gaming Supplier or Non-Gaming
Supplier as verified by the Gaming Supplier’s or Non-Gaming Supplier’s ownership and
organization structure described in the documents establishing the existence of the Gaming
Supplier or Non-Gaming Supplier and the designation of persons authorized to act on behalf of

Current Through Res. 07-02-07-01 4


(b)

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(g)

(h)

Maintain full and accurate accounting records in accordance with the
requirements of this Act and provide accurate financial reports to any Gaming
Operation on regular basis, but no less frequently than monthly;

An officer or director of the Management Contractor has been convicted of any
felony offense or a misdemeanor offense involving gaming, fraud or moral
turpitude and the Management Contractor fails to terminate such person’s
employment within ten (10) days after receiving notice of the conviction;

The Management Contractor has, or has attempted to, unduly interfere or
influence for its gain or advantage any decision or process of any Gaming
Operation relating to gaming without lawful purpose;

The Management Contractor fails to make any minimum guaranteed payment to
any Gaming Operation in accordance with the requirements of any Management
Contract and IGRA;

The Management Contractor knowingly and intentionally acts outside of the
authority of any Management Contract in connection with any Gaming Operation;

A representation or warranty made by the Management Contractor in the
Management Contract or any related agreement proves to have been untrue in any
material respect as of the time it was made; and

The Management Contractor knowingly and willfully provides materially
important false statements or information to the Commission, the NIGC, or the
Michigan Gaming Control Board.

Section 9.04 Investigation of Management Contractor. The Commission may at any time
require the Management Contractor and any Person Having a Direct or Indirect Financial Interest
in a Management Contract to submit to an investigation, which may include without limitation
criminal history, civil lawsuits, financial history, business conduct, and any other area of
information the Commission considers to be necessary or helpful in fulfilling the purposes of this

Act.

CHAPTER X
REGULATION OF GAMING-RELATED ACTIVITIES

Section 10.01 Tribal Minimum Internal Control Standards. The Commission shall, within
one hundred and twenty (120) days of the date this Act is enacted and in accordance with the
procedure described in Section 3.15, develop and adopt Tribal Minimum Internal Control
Standards (TMICS) applicable to Gaming Operations. The TMICS shall meet or exceed the
Minimum Internal Control Standards (MICS) promulgated by the NIGC, provided that the
TMICS may differ from the MICS with respect to standards that the Commission determines

Current Through Res. 07-02-07-01 56


gambling-related offense, Fraud or Misrepresentation;

(4) Is determined by the Commission (i) to have participated in organized
crime or unlawful gambling or (ii) 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 (iii) 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;

(5) Lacks good character, honesty, integrity, financial stability, or the ability
and experience required for the position being sought; or

(6) — Has knowingly and willfully provided materially false and misleading
statements or information to the Commission or refused to respond to
questions material to the suitability determination that have been asked by
the Commission.

(b) — Additional Standards Applicable Only to Level 1. In addition to the standards set
forth in subsection (a), the Commission shall not grant a Gaming Employee
License to any person in Level 1 that:

(1) Has been convicted of or entered a plea of guilty or no contest to any
felony;

(2) Has been convicted of or entered a plea of guilty or no contest to Any
Offense not specified in Paragraph (3) of subsection (a) within the
immediately preceding ten (10) years; or

(3) Has shown a lack of financial integrity or stability in personal finances or
in business affairs.

(c) Additional Standards Applicable Only to Level 2. In addition to the standards set
forth in subsection (a), the Commission shall not grant a Gaming Employee
License to any person in Level 2 that has been convicted of or entered a plea of
guilty or no contest to Any Offense not specified in Paragraph (3) of subsection
(a) within the immediately preceding five (5) years; provided that this provision
shall not apply if the Applicant has been pardoned by the Governor of the State
where the conviction occurred or, if the Applicant is a Tribal member, the
Commission has determined through a Rehabilitation Hearing that such conduct
does not require that the Applicant be denied a Gaming Employee License.

(d) — Standards Applicable to Level 3. In addition to the standards set forth in
subsection (a), the Commission shall not grant a Gaming Employee License to
any person in Level 3 that has been convicted of or entered a plea of guilty or no
contest to any criminal offense (other than a gambling-related offense, Fraud or
Misrepresentation) within the immediately preceding five (5) years that involves
theft, dishonesty, fraud or misrepresentation arising under the law of Michigan or
another state or jurisdiction, that was committed as an adult or prosecuted as an
adult offense; provided that this provision shall not apply if the offense has been
effectively removed from the Applicant’s criminal record by executive pardon,

Current Through Res. 07-02-07-01 42


(b) Requirements for Final Determination. A final determination regarding the
eligibility of an Applicant for a Level 1 or a Level 2 Gaming Employee License
may only be made after the Commission provides the NIGC with the Applicant’s
fingerprints and any other materials required under this Act and by the NIGC
under applicable federal law and after one of the following has occurred:

(1) The NIGC Has No Objections or Thirty Days Have Elapsed. Notice has
been received from the NIGC that it has no objection to the issuance of the
License or thirty (30) days have elapsed since the Commission provided
the NIGC the required materials and the NIGC has not responded; or

(2) — NIGC Objections Are Resolved. If, within the thirty (30) day period the
NIGC provides the Commission with a statement itemizing objections to
the issuance of a License to the Applicant, the Commission shall
reconsider the Applicant’s eligibility, taking into account the objections
itemized by the NIGC. If, within that thirty (30) day period the NIGC
requests additional information concerning the Applicant, the Commission
shall promptly respond to such request. The receipt of the NIGC’s request
shall suspend the thirty (30) day period referred to in this Section until the
NIGC receives the additional information requested.

(c) Final Determination of Eligibility. Upon compliance with the requirements of
subsection (b), the Commission may proceed with a final determination regarding
the Applicant’s eligibility. An Applicant may challenge a determination that the
Applicant is ineligible for a Level 1 or a Level 2 License, or is only eligible with
conditions, in accordance with the procedures and requirements of Chapter XI. If
the Commission determines that the Applicant is eligible for a Level 1 or a Level
2 License, the Commission shall promptly notify the Applicant and shall issue the
License.

Section 7.07 Denial of a Gaming Employee License. If the Commission issues a final
decision denying any Application for a License under this Chapter, the Commission shall, within
seven (7) calendar days, notify the Applicant that the Application was denied and shall specify all
specific reasons upon which the denial is based. The notice shall also inform the Applicant of
the right to appeal the denial, as provided in Chapter XI. If the Commission denies an
Application for a Level 1 or a Level 2 License, the Commission shall also notify the NIGC and
shall provide the NIGC with copies of its eligibility determination and investigative report (if
any) for inclusion in the Indian Gaming Individuals Records System.

Section 7.08 Form of License. The License shall display on its face the Licensee’s
photograph, the Licensee’s name, the Gaming Establishment at which the employee is licensed to
work, the level of License, the date that the License became effective, and the date that it expires.

Section 7.09 Renewals. A holder of a Gaming Employee License shall apply to the

Commission for a renewal not later than sixty (60) days before the License expires by completing
all forms required by the Commission. Each Applicant for a License renewal shall revise and

Current Through Res. 07-02-07-01 44


(b)

(c)

Cash received in payment for credit extended by a Licensee to a Patron for the
purposes of Gaming; and

Compensation received for conducting any Game in which the Licensee is not a party
to a wager.

For the purposes of this definition, cash or the value of non-cash prizes awarded to Patrons in a
contest or tournament are not winnings.

The term “winnings”, as used in this definition, does not include:

(a)
(b)
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Counterfeit money, chips, tokens, wagering instruments, or wagering credits,
Coins of other countries that are received in Gaming Equipment or Supplies;

Cash taken in fraudulent acts perpetrated against a Licensee for which the Licensee is
not reimbursed; or

Cash received as entry fees for contests or tournaments in which the Patrons
compete for prizes.

Calculation of Gross Revenues. Certain expenses not deductible.

(a)

(b)

In calculating gross revenue, any prizes, premiums, drawings, benefits, or tickets
which are redeemable for money or merchandise or other promotional allowance,
except money or tokens paid at face value directly to a Patron as the result of a
specific wager and the amount of cash paid to purchase an annuity to fund
winnings, must not be deducted as Patron winnings.

In calculating gross revenue from Gaming Devices, the actual cost to the Licensee
of any personal property distributed to a Patron as the result of a legitimate wager
may be deducted as a Patron winning, but not travel expenses, food, refreshments,
lodging or services. For the purposes of this Section, “as the result of a legitimate
wager” means that the Patron must make a wager prior to receiving the personal
property, regardless of whether the receipt of the personal property is dependent
on the outcome of the wager.

“Indian Gaming Regulatory Act” or “IGRA” means P.L. 100-497, 102 Stat. 2467, enacted on
Oct. 17, 1988 and codified at 25 U.S.C. § 2701 et seq.

“Indian lands” shall have the definition that term is given in the Indian Gaming Regulatory Act
at 25 U.S.C. § 2703 (4) and any regulations promulgated thereunder but, as to Class Il Gaming
only, such definition shall exclude any Indian lands that are not also included within the
definition of “Eligible Indian Lands” set forth in the Compact.

Current Through Res. 07-02-07-01 7