AUG 1 2 2002 

Robert Guenthardt, Tribal Ogema 

Little River Band of Ottawa Indians 

375 River Street 

Manistee, Michigan 49660 

RE: Amendment to the Little River Band of Ottawa Indians Tribal Gaming Ordinance 

Dear Mr. Guenthardt: 

This letter responds to your request to the National Indian Gaming Commission (NIGC) for 

the review and approval of the amendment to the Little River Band of Ottawa Indians (Band) 

tribal gaming ordinance submitted on May 20, 2002. The amendment to the ordinance 

was adopted by the Band by Resolution No. 02-0508-08 on May 8, 2002, to its 

Gaming Ordinance No. 02-400-01. The Chairman of the NIGC approved the original 

Ordinance on January 28, 1997. This letter constitutes approval of your submission 

under the Indian Gaming Regulatory Act (IGRA). Such approval does not constitute approval 

of specific games. 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 Band exercises jurisdiction. 

We note that the Agent for Service of Process remains William Brooks. If the agent has 

changed since 1999, please notifl us immediately. 

Thank you for submitting the amendment to the tribal gaming ordinance of the Little River 

Band of Ottawa Indians for review and approval. The NIGC staff and I look forward to 

working with you and the Community in implementing the IGRA. If you have questions or 

require further assistance, please contact Ms. Frances Fragua at 2021632-7003. 

Sincerely yours, 

Montie R. Deer 

Chairman 

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

REGIONAL OFFICES Portland. OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN;Tulsa, OK 
Little River Band of Ottawa Indians 

375 River Street 

Manistee, MI 49660 

(23 1) 723-8288 

Resolution # 02-0508- ab 

Adoprion of Gaminn Ordinance, # 02-400-01, and Repeal of Gaminn Ordinance, # 97-400-01 

WHEREAS, the Tribe's status as a federally-recognized Indian tribe was reaffirmed and restored by 

Congress pursuant to Public Law 103-324, 108 Stat. 2156 (25 U.S.C. 51300k et sea.); and 

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

27,1998, which Constitution became effective upon its approval by the Assistant SecretqIndian Affairs on July 10, 1998; and 

WHEREAS, the Tribal Council, pursuant to Article IV, Section 7 of the Constitution, is authorized 

to enact ordinances to promote, protect and provide for public health, peace, morals, 

education and general welfare of the Tribe and its members and to manage the economic 

affairs and fiscal affairs of the Tribe; and 

WHEREAS, the lndian Gaming Regulatory Act requires that Tribes proposing to engage in Class I1 

or Class In gaming adopt a Gaming Ordinance and that such Gaming Ordinance must be 

approved by the Chairman of the National Lndian Gaming Commission; and 

WHEREAS, the Tribe has previously submitted its Gaming Ordinance, # 97400-01, to the National 

Indian Gaming Commission and that Ordinance was approved by the Commission on 

January 25,1997; and 

WHEREAS, emergency amendments to the Gaming Ordinance have taken place to allow the 

Gaming Commission to function which includes reducing the number of commissioners 

from five to three; and 

WHEREAS, during the subsequent review of the gamin^ Ordinance the Tribe and Gaming 

Commission have determined that separation of the creation of the Gaming Commission 

from the legislative aspects of the gaming operations is an appropriation action; and 

WHEREAS, the Gaming Ordinance now directs that a regulatory agency be responsible for the 

regulatory oversight of the gaming operations; and 

WHEREAS, the regulatory agency is an autonomous agency given sufficient independence and 

authority to take such actions in the Gaming Commission Ordinance, # 02-400-04, wfuch has 

been adopted by subsequent resolution; and 
Resolution # 02-0508 -- % 

Page 2 of 2 

WHEREAS, the Tribal Council has reviewed the final document and has approved the separation of 

the creation of the Gaming Commission from the legislation regarding gaming activities; 

NOW THEREFORE IT IS RESOLVED THAT the Tribal Council of the Little River Band of 

Ottawa Indians hereby adopts Gaming Ordinance, # 02-400-01 and repeals Gaming Ordinance, # 97- 

400-0 1, in its entirety; 

IT IS FURTHER RESOLVED THAT the Tribal Council hereby directs that the Gaming Ordinance, 

# 02-400-0 1 be forwarded to the National Indian Gaming Commission for review and approval as 

required under the Indian Gaming Regulatory Act. 

IT IS FINALLY RESOLVED THAT the effective date of the Gaming Ordinance shall be upon 

notification by the Tribal Council Recorder to the Tribal Council, the gaming enterprise and the 

Gaming Commission of the receipt of the notice of approval of the Gaminn Ordinance by the 

National Indian Gaming Commission. 

CERTIFICATE OF ADOPTION 

I do her by certi that the foregoing resolution was duly presented and adopted by the Tribal 

Council with - 4 FOR, %-AGAINST, A ABSTAINING, and ABSENT, at a Regular Session 

of the Little River Band of Ottawa Indians Tribal Council held on6May 8,2002, at the Little River 

Band's Community Center in Manistee, Michigan, 

Attest: 

Distribution: Council Rccords 

Tribal Ogema 

Tribal Court 

Legal Department 

Gaming Commission 
F1na1 Draft - May 7,2002 

GAMING ORDINANCE 

Ordinance # 02-400-01 

Page I 

Section 1. Purpose; Findings. 

1.01. Pttrpse;. Fi.ndzingssss The Little River Band of Ottawa Indians, acting thou& its Tribal 

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

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

the members of the Tribe, hereby ordains and establishes this ordinance for the purpose of 

authorizing and comprehensively and preemptively regulating the terms and conditions under which 

Class II and Class lII gaming may be conducted on the lands of the Tribe. 

Section 2. Adoption; Amendment; Repeal; Severability 

- 2.01. Ado~rion~- This ordinance is adopted by the Tribal Council through: 

a. Resolution # 97-01 15-01 which adopted the original ordinance; 

b. Resolution # 99-0325-01 which re-codified and amended the ordinance; 

c. Resolution # 00-12 18-01 which further amended the ordinance; and 

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

ordinance # 02-400-0 1. 

-- 2.02. Atttertdt~lerzf. _ This Ordinance may be amended from time to time as set forth in the 

Constitution or in procedures adopted by the Tribal Council. 

2.03. Severabiliry. If any provision of this ordinance or its application to any person or 

circumstance is heldinvalid, the invalidity does not affect other provisions or applications of this 

ordinance which can be given effect without the invalid provision or application, and to this end the 

provisions of this ordinance are severable. 

Section 3. Definitions 

3.01. Genera/.- In this ordinance, except where otherwise specifically provided or the context 

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

3.02. Bingo shall mean bingo as defined in IGRA and regulations promulgated thereunder. 

- 3J3, Class JGmning-shall mean Class II gaming as defined in IGRA. 

3.04. Class 111 Gaming shall mean Class Ill gaming as defined in IGRA and the Compact. - - - - - - - - . -. . - 

--- 3.05. Compact shall mean either: 

a. A gaming compact between the Tribe and the State of Michigan, entered into pursuant 

to Section 1 l(d)(3) of IGRA, and approved by the Secretary of the Interior including all 

renewals, amendments, appendices, exhibits and other attachments thereto, or 

b. Procedures promulgated by the Secretary of the Interior pursuant to section 

11 (d)(7)(B)(vii) of IGRA, governing the conduct of Class IU: gaming by the Tribe. 

3.06. gamin^ Ve~zdorshall mean any vendors providing gaming services or gaming equipment or 

supplies. 

- 3.07. Gaming E~zrerprisgshall mean any commercial enterprise of the Tribe authorized to engage 

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

improvements constructed for the conduct of gaming. 

Gaming Ord~nance 

Ordinance # 0240041 

Adopted - 
Final Draft - May 7,2002 Page 2 

- 3.08. Gamitxmeans Class LI and Class L11 gaming authorized by this Ordinance and the Compact. 

-3..09. Employeg-shall mean any person employed in the gaming enterprise, whether employed by 

or contracted to the Tribe, including without limitation, managers, assistant managers, accounting 

personnel, security personnel, cashiers, supervisors, shift bosses, machine mechanics, management 

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

access to areas of any gaming facility not otherwise open to the public. 

3:10. Gaming_e~tigment or szpp_Iiess means a machine, mechanism, device, or implement that - - - - - - - - . - - 

affects the result of a gambling game by determining a win or loss, including without limitation, any 

of the following: 

a. Electronic gaming devices; 

b. Software; 

c. Cards; and 

d. Dice. 

Gaming equipment or supplies also includes lay outs for live table games and representatives of 

values, including without limitation, chips, tokens, or electronic debit cards and related hardware 

and software that do not affect the result of the game. 

-3,ll. -Gaming Facility-shall mean the building, buildings, or structure wherein gaming is permitted, 

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

-3.12. Gamitrg Setvice means any goods, services or concessions which directly relate to the conduct 

of gaming, security, or surveillance at Little River Casino Resort, including without limitation, 

providers of casino credit reporting services, casino surveillance systems or services, and suppliers, 

servicers or repairers of any gaming equipment or supplies, computerized gaming monitoring 

systems, drop boxes, bill exchangers, and credit voucher machines. No contract may be broken up 

into parts for the purpose of avoiding this definition or any requirement of licensure or certification 

required by this ordinance. 

3..13. Itnt~lediatefurnily_means with respect to the person under consideration, persons residing in 

the same household. 

.3.14. Key ernploj.ee_ shall mean: 

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

1. Bingo caller; 

2. Counting room supervisor; 

3. Chief of security; 

4. Custodian of gaming supplies or cash; 

5. Floor manager; 

6. Pit boss; 

7. Dealer; 

8. Croupier; 

9. Approver of credit; or 

10. Custodian of gambling devices including persons with access to cash and - - 

accounting records within such devices. 

b. Any other employee as the regulatory agency may include in the future by regulation; 

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

Gaming Ordinance 

Ordinance # 0240041 

Adopted - 
Final Drali - May 7, ZOO2 Page 3 

of $50,000 per year; or 

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

enterprise. 

3.15. IGRA shall mean the Lndian Gaming Regulatory Act of 1988, 25 U.S.C. 2701 et seq, as 

amended from time to time. 

. 3.16. License shall mean any official and revocable authorization granted for a limited period of 

time by the regulatory agency pursuant to this ordinance to an applicant to conduct or participate 

in any gaming activity on the Little River Band Reservation. 

- 3,ll,_.-k?im~~-m_elrtContract shall mean a contract or agreement between the Tribe and a manager 

for the management of a gaming enterprise, including any related subcontracts and collateral 

agreements. 

- 3.1 - . -. . 

8. - - . Manaaer - - shall mean a person, firm, corporation or entity with whom the Tribe enters into a 

management contract. 

3.19.- Nat.igng1 Indian Gayjing Co,mmission -shall mean the Commission established pursuant to & -- 

IGRA. 

_32Q.Ne~~Be~e~~resshall mean the gross revenues of a 'gaming enterprise less amounts paid for or 

paid out as prizes and less total operating expenses, deteimined in accordance with generally 

accepted accounti~lg principles, but excluding management fees paid to a manager in accordance 

with IGRA. 

3 7 1. 1Yon-Ganli11,o Vendor means any vendor providing goods and services to Little River Casino 

Resort, other than gaming services or gaming equipment and supplies, in an amount equal to or 

greater than $25,000, in any given twelve-month period. 

3 33 Printan, - hfanaaer?~er~t Official shall mean: 

a. The person having management responsibility for a management contract; 

b. ~n~-person who has authority: - - 

1. To hire and fire gaming employees; or 

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

c. The chief financial officer or other person who has financial management responsibility. 

Provided that, primary management official includes only persons employed by the gaming 

enterprise. 

- 3.23. Principal shall mean those persons having a direct or indirect financial interest in a --- -- 

management contract: 

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

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

c. with respect to a partnership, any partner; 

d. with respect to a corporation, any person who 

1. is a director thereof, or 

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

with any other stockholder who is such person's spouse, parent, child or sibling; 

e. with respect to any entity other than a natural person, firm, or corporation that has an 

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

all parties of that entity. 

Gaming Ordinance 

Ordinance # 02400-0 1 

Adopted - 
F~nal Draft - May 7. 2002 Page 4 

3.24. Reservatio~shall mean those lands acquired by or for the Tribe pursuant to 25 U.S.C. 1300k4(b) or such other lands upon which gaming may lawhlly be conducted pursuant to IGRA. 

3.25. Secretary shall mean the Secretary of the United States Department of the Interior or hisher 

designee. 

3.26. Service Vettdors means any vendor providing goods, services, or concessions to Little River 

Casino Resort, other than gaming services or gaming equipment and supplies, in an amount equal 

to or less than $24,999.99 in any given twelve-month period. 

3.27. State shall mean the State of Michigan. 

- 3.28. - Tribal Court shall mean the Tribal Court and Tribal Court of Appeals of the Little River Band - - -- 

of Ottawa Indians and all other tribal judicial forums now or hereinafter established by the Tribe. 

-- 3.9; R-qulatory Am-shall mean the body created pursuant to an ordinance or other document - 

to regulate gaming in accordance with IGRA, any Class III gaming or Class II gaming regulations 

prescribed by the Secretary and this ordinance. 

-3.30. Tribe-shall mean the Little River Band of Ottawa Indians. 

3-.3 1.:- Vendor means a person or business entity selling goods or services to the Little River Casino 

Resort. 

Section 1. Classes of Gaming Authorized. 

-- 4.01. Class 11 Gat?!ing,-l~irl~orized. Class I1 gaming as defined in the IGRA, 25 U.S.C. 2703(A) and 

by regulations lawfully promulgated by the National Indian Gaming Commission that now or 

hereafter may be in effect is hereby authorized. 

3.0.2.. Class III Grz!?ti)lg .-j r!thor~;eti. Class 111 gaming as defined in IGRA, 25 U.S.C. 2703(B) and 

by regulations lawfully promulgated by the National Indian Gaming Commission that now or 

hereafter may be in effect is hereby authorized, provided such Class In gaming is also authorized 

by and consistent with the Compact, as defined in this ordinance. 

4.03. .Class II a~jd(or Clas? III Lice!tse_Required. Class II and Class ILI gaming authorized by this -. 

ordinance shall be conducted only by persons or entities which have obtained a valid gaming facility 

license issued by the regulatory agency pursuant to criteria set forth this ordinance, and regulations 

adopted pursuant to and consistent therewith. 

Section 5. Tribal Ownership Required. 

5.01. Sole Proprietary Itltgrest Required. The Tribe shall have the sole proprietary interest in, and 

responsibility for, the conduct of any gaming enterprises authorized by this ordinance. 

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

of any kind shall own in whole or in part any Class LI or Class III gaming enterprise authorized or 

regulated by this ordinance. 

5.03. Management Contrqcts Authorized. Nothing in this ordinance shall preclude the Tribe from 

entering into management contracts as authorized under IGRA. 

Section 6. Use of Gaming Revenue. 

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

following purposes: 

Gaming Ordinance 

Ordinance # 0210041 

Adopted - 
Final Draft - May 7. 2002 Page 5 

a. to fund tribal government operations and programs; 

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

c. to promote tribal economic development; 

d. to donate to charitable organizations; 

e. to help fund operations of local governmental agencies. 

Section 7. Audit Required; Report to National Indian Gaming. 

-7,Ol:. ArrrtwlAzldit.. The regulatory agency shall conduct or have conducted an independent audit 

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

Council and the National Lndian Gaming Commission. 

7.02. Audit to Include C-ogr_acts for Gan&ng.S_ewices, Equiplent or-Swlies. All contracts for 

gaming services, equipment, or supplies shall be specifically included within thescope of the audit, 

provided, that the regulatory agency or the Tribal Council may require that contracts for gaming 

services, equipment or supplies which are less than $25,000.00 annually be included in the scope 

of the audit if inclusion is deemed necessary to protect the public interest in the integrity of the 

operation of the gaming enterprise or gaming facility. 

7.03. Record-keeping -l&gliyemerlts. Each gaming enterprise conducting Class III gaming shall 

keep accounting records on a double entry system of accounting, maintaining detailed, supporting, 

subsidiary records which can be identified to each gaming facility. Gaming enterprises subject to 

this provision shall maintain the following records for not less than three years: 

a. Revenues, expenses, assets, liabilities and equity for the location at which Class 11. 

gaming is conducted; 

b. Daily cash transactions for each Class I11 game at the location at which gaming is 

conducted, including but not limited to transactions relating to each gaming table bank, game 

drop box and gaming room bank; 

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

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

statistical win; for electronic, computer, or other technologically assisted games, analytic 

reports which show the total amount of cash wagered and the total amount of prizes won; 

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

f. Records of all gaming enforcement activities; 

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

h. Personnel information on all employees involved in the conduct of Class LII gaming, 

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

Section 8. Licensing 

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

ordinance, shall insure that the following minimum groups are licensed. Provided that, the 

regulatory agency may develop additional licensing requirements or background information 

requirements within regulations that meet or exceed to the requirements set forth in IGRA, the 

Compact or this ordinance. 

a. Gaming facilities. 

Gaming Ordinance 

Ordinance # 0240041 

Adopted - 
Final Dnft - May 7. 2002 Page 6 

b. Employees of a garning enterprise. 

c. Vendors. 

8.02. Gaming Faciliy. No person shall conduct Class I1 or Class III gaming within the jurisdiction 

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

as set forth in Section 9. 

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

within the jurisdiction of the Tribe unless licensed by the regulatory agency as set forth in Section 

10. 

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

Tribe unless licensed by the regulatory agency as set forth in Section 11. 

- 8.05. Tenzporav Licenses. The regulatory agency may adopt regulations which identify the process 

by which an agent of the regulatory agency may authorize a temporary license for employees which 

may last no longer than 90 days from the date of issuance. Provided that, a denial of a temporary 

license may be appealed to the regulatory agency. I 

Section 9. Gaming Facility Licenses 

__ 9.01. . ._ License Reguit-en. -- ---- As set forth in section 8.02, no person shall conduct Class II or Class III 

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

licensed by the Tribe. No license niay be issued for any gaming facility which is owned or operated 

by any person other than the Tribe. If gaming activity is proposed in more than one building at the 

site of any gaming enterprise, a separate gaming facility license shall be required for each building 

or location where Class I1 or Class 111 gaming is conducted under this ordinance. 

- 9.02. Tvpes of Lice_n_s2 The Tribe may issue each of the following types of gaming facility 

licenses. 

a. Class I/ Operarions in a Gattlitrg Fucifiry. This license shall be required of all gaming 

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

b. Class III Operarions it1 a Ganlitrg Facility. This license shall be required for all gaming 

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

facility. A Class III gaming license includes the operation of Class I or Class II gaming 

when so noted on the license application and the issued license. 

9.03. Gaining Facilih) Au~licati~~~Proge_d~~es~-Ln order to obtain a gaming facility license, the 

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

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

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

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

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

2. the mavimum number and types of gaming equipment and gaming devices 

expected to be in the gaming facility at any one time, 

3. the number and types of gaming equipment and gaming devices expected to be 

in use when the gaming facility first opens; and 

4. the days and hours of operation proposed. 

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

Gaming Ordinance 

Ordinance # 02 400-0 I 

Adopted - 
Final Draft - May 7, 2002 Page 7 

equipment and gaming devices and the surveillance systems the gaming facility. 

c. The location proposed for such gaming facility. 

d. A description of the security, police, fire protection and other public safety services to be 

available in the proposed gaming facility and patrons of such gaming facility. 

e. A description of the accounting procedures as required in section 7.03 for the gaming 

activities in each gaming facility. 

f. The name, address, title, and a description of the duties and responsibilities of each 

primary management official and key employee who will be employed at the proposed 

gaming facility. 

g. The number and categories of all other employees it is anticipated will be employed at 

the gaming facility. . 

9.04. Threshold Criteria Wzich a Ggm~ng-.Faci_lip Meet. In addition to the information 

required in the gaming facility license application, any applicant for a Class II or Class III gaming 

facility license must provide documentation that the gaming enterprise and proposed gaming facility 

will meet the.following threshold criteria: 

a. The proposed gaming facility is to be located on Reservation lands acquired for or by the 

Tribe under 25 U.S.C. 1300k-4(b) or on other lands upon which gaming may lawfully be 

conducted pursuant to IGRA. 

b. The proposed gaming activity is to be played as Class I1 gaming as defined by this 

ordinance and IGRA. 

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

resolution. 

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

will have the exclusive responsibility for the conduct of any gaming enterprise. 

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

facility provides that: 

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

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

National Indian Gaming Commission. 

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

and filing requirements. 

3. All of the proceeds of the gaming enterprise shall be used for the purposes stated 

in Section 6. 

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

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

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

environment and the health and safety. 

6. All employees of the gaming enterprise shall pass the background checks and 

obtain the appropriate license required in Section 10. 

7. Any management contract between the Tribe and a principal has been approved . - 

by the Tribal Council and the National Lndian Gaming Commission. 

8. The gaming enterprise shall pay to the National Indian Gaming Commission such 

Gaming Ordinance 

Ordinance # 024004 1 

Adopted - 
Final Dnft - May 7,2002 Page 8 

fees as federal law may require. 

9. In the event that Class IZI Gaming is proposed, such gaming meets all other 

criteria established by the Compact, federal and tribal laws and regulations. 

Gamim Facility License Application ProcgdgesI 

a. Upon receipt of a complete application for a gaming facility license for any Class II or 

Class III gaming facility, the regulatory agency shall: 

1. Review the proposed gaming facility application to ensure that all threshold 

criteria required by this ordinance shall be met. 

2. Ensure that the necessary background checks have been performed on all 

employees of the gaming enterprise required by Section 10 and that all employees 

of the gaming enterprise possesses a valid and current provisional or regular license. 

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

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

facility is licensed by the gaming enterprise. 

4. Review and approve the layout of the games and surveillance systems for the 

gaming facility, including any instructions, policies, procedures, internal controls or 

other documents related to the layout of games and surveillance systems. 

5. Revie\\. and approve the plan for the protection of public safety and the physical 

security of patrons of the gaming facility. 

6. Review all aspects of the proposed gaming enterprise and gaming facility to 

ensure tha~ it will be in compliance with the provisions of the Compact, federal and 

tribal la~vs and regulations. 

7. Take any additional steps necessary to ensure the integrity of gaming activities 

at the gaming facility and by the gaming enterprise. 

b. The regulatory agency shall approve the gaming facility application within 30 days 

following the receipt of a complete application unless the regulatory agency believes, based 

upon reasonable grounds, that the gaming will be operated at the proposed gaming facility 

in violation of tribal, federal or other applicable law or the terms and conditions of the 

Compact. 

c. If the regulatory agency denies an application for a gaming facility license, the regulatory 

agency shall promptly notify the applicant of the specific reasons for such denial and a 

description of any corrective actions which the regulatory agency determines will cure the 

deficiencies which resulted in denial of the application. 

-9.06. License Amlicatio~r Fees. The license application and renewal fee shall be as set forth in the 

Gross Gamino, Revenue Tax Ordinance, # 00-100-05. 

.. LQZ Term o@_cense, -A Class II and Class LII gaming facility license shall be valid for a period 

of 12 months from the date of issuance. 

. 9.08. Posting ofLicenses.-The gaming facility license must be posted in a conspicuous location at 

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

than one location, the gaming enterprise must obtain and post a separate license for each gaming 

facility. 

9.09. Gaming Facility License Retzewals. 

Gaming Ordinance 

Ordinance # 0240041 

Adopred - 
Final Draft - May 7,2002 Page 9 

a. Each gaming facility license must be renewed annually. A renewal fee shall be required 

for each Class I1 or Class III gaming facility license in accordance with the section 9.06. 

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

renewal application to the regulatory agency on the form provided by the regulatory agency. 

No renewal application shall be approved until the annual report, required by section 9.10, 

has been properly filed. 

c. All renewal applications submitted shall be approved in 30 days or less unless the 

regulatory agency believes, based on reasonable grounds, that the gaming enterprise has 

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

and conditions of the Compact. 

d. If the regulatory agency denies a renewal application for a gaming facility license, the 

regulatory agency shall, within seven calendar days, notify the applicant of the specific 

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

agency determines will cure the deficiencies which resulted in denial of the application. 

9.10. Altttrral Reports. Each gaming enterprise which possesses a Class II or Class III gaming 

facility license must file an annual report with the regulatory agency and the Tribal Council between 

the 1 51h and the last day of the 1 2'h month of each such license. The report shall be submitted to the 

regulatory agency and shall include, at a minimum, the following information: 

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

b. The names, addresses and titles of all of the current managers of the gaming enterprise 

and at each gaming facility; 

c. A description of the operations of the gaming enterprise for each gaming facility, 

including, but not limited to: 

1. the number and type of games and gaming devices operated, 

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

3. the total goss sales; 

d. A written copy of any changes anticipated or proposed in the operations of the gaming 

enterprise for each gaming facility, including any changes in its instructions, procedures, 

policies, internal controls, rules, public safetylsecurity plan, layout of the games or 

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

gaming enterprise; 

e. The name, address, title, and a description of the duties and responsibilities of each 

primary management official and key employee for the gaming enterprise at each gaming 

facility; 

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

service of process, notice and other official correspondence from the Gaming Commission 

over the next license period for each gaming facility; 

g. A statement of any changes in the duties or designation of the primary management 

officials or key employees who will operate the gaming enterprise over the next license 

period; 

h. The names, addresses, and job descriptions of any employees who the regulatory agency 

has determined by the job description to be key employees orprimary management officials; 

Gaming Ordinance 

Ordinance # 0240041 

Adopted - 
Final Draft - May 7,2002 .. Page 10 

i. Written proof that the gaming enterprise has paid to the National Indian Gaming 

Commission such fees as federal law may require it to pay and will continue to do so; 

j. A sworn statement that the garning enterprise has complied with the Internal Revenue 

Codes and regulations, including written notice of customer winnings, and a statement that 

the gaming enterprise shall continue to obey all tribal and federal laws and shall hold the 

regulatory agency and the Tribe harmless for failure to do so; 

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

enterprise's last fiscal year; 

1. The number of fill-time equivalent people, on an annualized basis, employed by the 

gaming enterprise at each gaming facility during the past 12 months, together with a 

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

during the next license period; 

m. The total gross revenue of the gaming enterprise attributable directly or indirectly to 

gaming activity over the proceeding 12 months; 

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

to Tribal Court jurisdiction and service of process in all matters arising from the conduct of 

gaming activity; 

9.11.. N~-I~zte.IIe_rg~c.e>~itfi..Mg~~~e.n~e~~t of Ganlitlg Facility. The regulatory agency is required to 

receive the information contained in the annual report provided under section 9.10 solely to ensure 

that the gaming enterprise is free from corruption and to aid in carrying out its regulatory 

responsibilities. The regulatory agency shall have no responsibility for, and shall not interfere with 

or regulate, any business or management activities or decisions of the gaming enterprise. 

Section 10. Licensing of Employees of the Gaming Enterprise 

10.01. General - Types of Licetues. All employees of the gaming enterprise are required to be 

licensed. These licenses shall be broken into non-gaming and gaming employees. 

a. Non-Gaming Et~lployees. Work permits shall be issued for all non-gaming employees. 

b. Ganling Et~lployees. Licenses shall be issued to all gaming employees. The regulatory 

agency shall identify levels of background investigations in regards to the following 

categories, which shall be consistent with any specific requirements set forth in this Section. 

1. Managers and principals. 

2. Primary management officials. 

3. Key employees. 

4. Employees not in one of the above categories. 

10.02. Non-Gaming Et~t~1o~ee.s. All persons who are not gaming employees but work at any gaming 

facility, must obtain a non-gaming employee license from the regulatory agency before commencing 

employment. Such work permits may be issued upon a determination by the regulatory agency that 

the employee is not a threat to the effective regulation of gaming and creates no risk or enhances no 

danger of unfair or illegal practices, methods or activities in the conduct of gaming. All applicants 

for work permits shall provide such information as the regulatory agency shall require. 

1 0.03. ~pplication Gaming ,EnpI_oyge_ ~~k~~se.-~he regulatory agency shall require each 

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

Gaming Ordinance 

Ordinance d 02 4004 I 

Adopted - 
Final Dnft - May 7. 2002 Page I I 

manner required by the regulatory agency. The application shall include all of the following 

information: 

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

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

b. Currently and for the previous five years: 

1. business and employment positions held, 

2. ownership interests in those businesses, 

3. business and residence addresses; and 

4. drivers license numbers; 

c. The names and current addresses of at least three personal references, including one 

personal reference who was acquainted with the applicant during each period of residence 

listed under paragraph (b) of this subsection; 

d. Current business and residence telephone numbers; 

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

any Indian tribe; 

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

industry generally, including ownership interests in those businesses; 

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

filed an application for a license or permit related to gaming, the current status of the 

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

h. 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; 

i. A list of all misdemeanor charges and dispositions against the applicant, ifany, (excluding 

traffic violations for which incarceration was not a possible punishment), and for each 

misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor traffic 

violations), within 10 years of the date of the application, the name and address of the court 

involved and the date and disposition; 

j. For each criminal charge (excluding minor traffic charges), whether or not there is a 

conviction, if such criminal charge was within 10 years of the date of the application and is 

not otherwise listed pursuant to paragraph (h) or (i) of this section, the criminal charge, the 

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

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

filed an application for a business or occupational license or permit, whether or not such 

license or permit was granted; 

1. Two current photographs; 

m. For all applications for licenses for principals and managers, or primary management 

officials, a complete financial statement andfor income tax records showing all sources of 

income for the previous three years, and assets, liabilities, and net worth as of the date of the 

application; 

n. A list of all professional or business licenses the applicant has applied for, whether or not 

those licenses where granted and the name, address and phone number of the regulatory 

Gaming Ord~nance 

Ordinance 8 024004 1 ?. , .. 

Adopted - 
Final DnR - May 7,2002 Page I2 

agency involved; 

o. A sworn statement that neither the applicant nor any member of his immediate family has 

a past or current financial interest, other than a salary interest, in any gaming-related 

enterprise anywhere. If the applicant has any relative who has such a relationship, the 

applicant shall hlly disclose his name and the nature of the relationship; 

p. Written permission giving the regulatory agency the right to investigate the applicant's 

background, including his criminal records, civil and criminal jud,sments and credit history; 

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

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

r. Any other information the regulatory agency deems relevant; 

s. For all applications for licenses for principals and managers, primary management 

officials or key employees, fingerprints obtained in duplicate on fingerprint impression cards 

taken by the Manistee City Police Department or the regulatory agency consistent with 

procedures adopted by the Tribe according to 25 C.F.R. 522.2(h); 

t. Any other information required regulatory agency rule or regulation. 

.10.04. ,4pphcatiot7. For~?ts*- Notices. 

a. Privacy Act iVo_tic_eLThe following notice shall be placed on the application form for a 

gaming employee license so that it can be read before that form is filled out by an applicant: 

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

Solicitation of the information on this form is authorized by 25 U.S.C. 2701 et seq. The 

purpose of the requested information is to determine the eligibil~ty 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 la\\ 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." 

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

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

b. False State_merlfsNace,The following notice shall be placed on the application form for 

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

applicant: 

"A false statement on any part of your application may be grounds for not hiring 

you, or for firing you after you begin work. Also, you may be punished by fine or 

imprisonment." 

10.03. Burdetl of Proof: It is the determination of the Tribe that the public interest in the integrity 

of gaming is such that the burden of proof to establish fitness or eligibility to obtain or maintain a 

gaming employee license shall be upon the applicant or licensee, as the case may be. 

&10.04. ~ock~round Inveslipatiotl. The regulatory agency shall conduct, or cause to be conducted, 

an investigation sufficient to make a determination under section 10.05. In conducting a background 

Gaming Ordinance 

Ord~nance # 02400-01 

Adopted - 
Final Draft - May 7,2002 Page 13 

investigation, the regulatory agency shall keep confidential the identity of each person interviewed 

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

following: 

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

other appropriate steps to verify the accuracy of the other information presented and prepare 

a report of their findings for the regulatory agency. 

b. The criminal background of each applicant for a license shall be investigated submitting 

vital infornlation concerning the applicant to the Michigan State Police and/or local law 

enforcement and, for principals and managers, primary management officials and key 

employees, submitting impressions of the applicant's fingerprints, taken under section 

10.03(s), to the Federal Bureau of Investigation Criminal Information Center, and any other 

law enforcement agency(ies) that the regulatory agency deems appropriate, requesting a 

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

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

applicant, date and place of birth, citizenship, driver's license numbers, social security 

number, and a physical description. 

c. With respect to applicants for a manager's and principal's, or primary management 

official's application for a gaming employee license, the regulatory agency shall also 

investigate and verify the accuracy of financial information provided by the applicant by 

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

regulatory agency shall also obtain a credit bureau report on the applicant. 

d. The regulatory agency shall attempt to complete the background investigation described 

in this section within 30 days following receipt of a complete application. 

e. The regulatory agency may contract with private, municipal, state, and/or federal 

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

investigations. 

10.05. Ell&biliy Delex~!inntiot~. The regulatory agency shall review a person's or entity's prior 

activities, criminal records, if any, reputation, habits, and associations to make a finding concerning 

the eligibility of an applicant to receive a gaming employee license. If the regulatory agency 

determines that employment of, or contract with, a person or entity poses a threat to the public 

interest or to the effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, 

or illegal practices and methods and activities in the conduct of gaming, the gaming enterprise shall 

not employ that person position requiring a gaming or non-gaming employee license nor as a 

gaming vendor. 

10.06. Standards for Issrtaqce of a.GamingEmployee License. The regulatory agency shall not grant 

a license to any applicant for a gaming employee license: 

a. Is a member of the Tribal Council or the Tribal Ogema; 

b. Is under the age of 18; or 

c. Has been convicted of or entered a plea of guilty or no contest to a gambling-related 

offense, fraud or misrepresentation, within the immediately preceding 10 years; or 

d. Has been convicted of or entered a plea of guilty or no contest to any offense not 

specified in paragaph (c) within the immediately preceding five years; this provision shall 

Gaming Ordinance 

Ordinance 8 02-400-0 1 

Adopted - 
Final Draft - May 7,2002 Page 14 

not apply if that person has been pardoned by the Governor of the State where the conviction 

occurred or, if a tribal member, has been determined by the regulatory agency to be a person 

who is not likely again to engage in any offensive or criminal course of conduct and the 

public good does not require that the applicant be denied a gaming employee license; or 

e. Is determined by the regulatory agency to have participated in organized crime or 

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

associations pose a threat to the public interest or to the effective regulation and control of 

gaming, or create or enhance the dangers of unsuitable, unfair, or illegal practices, methods 

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

arrangements incidental to the conduct of gaming; or 

f. Has knowingly and \villhlly provided materially false and misleading statements or 

information to the regulatory asency or refused to respond to questions asked by the 

regulatory agency. 

g. The terms ''fraud or misrepresentation" as used in paragraph (c) shall mean a criminal 

offense committed in Michigan or any other jurisdiction, involving theft, fraud or 

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

which Lvas 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 Ian.. 

h. The term "any offenss" as used in paragraph (d) shall mean any criminal offense not 

described in paragaph (c). whether committed in Michigan or any other jurisdiction, that 

is, or would be, a crime under the provisions of the Michigan Penal Code, Act 328 of the 

Public Acts of 1931, as amended, or the controlled substances provisions of the Public 

Health Code, Act No. 36s of the Public Acts of 1978, as amended or any other criminal 

offense not included within the scope of paragraph (c). 

10.07.. .4ction or1 Applicarions for- Nons?&ployee Work Pen~zirs 

a. Within 15 days following the completion of the backsound investigation, the regulatory 

agency shall review the application, and the results ofbackground investigation to determine 

if the applicant qualifies for the non-gaming employee license applied for. 

b. If the regulatory agency determines that an applicant for a non-gaming employee license 

qualifies, pursuant to section 10.05, for the issuance of the license or non-gaming employee 

license applied for, the regulatory agency may approve the application and issue the license 

or non-gaming employee license, as the case may be. 

c. If the regulatory agency denies any application for a non-gaming employee license, the 

regulatory agency shall, within seven calendar days, notify the applicant that the application 

was denied and specify the reasons for the denial, including information concerning any 

criminal conviction(s), which prompted the denial. The notice to each applicant shall also 

inform the applicant of the applicant's right to request a hearing and appeals provided in 

Section 1 1. 

d. If a license is not issued to an applicant, the regulatory agency: 

1. Shall notify the National Indian Gaming Commission; and 

2. May forward copies of its eligibility determination and investigative report (if 

Garn~ng Ordinance 

Ordinance # 024004 1 

Adopted - 
Final Draft - May 7,2002 Page 15 

any) to the National lndian Gaming Commission for inclusion in the Indian Gaming 

Individuals Records System. 

10.08. Action or1 Applications for Ganiing En2Ioyee License, ---. - ________._-. .. .___ __-.._ . -- -- - -.-- -. .. 

a. Within 15 days following the completion o-fthe background investigation(s) described 

in section 10.01, the regulatory agency shall review the application, the results of 

background investigation, the criminal history reports, and financial report, if required, to 

determine if the applicant qualifies for the license applied for. 

b. If the regulatory agency determines that an applicant qualifies, pursuant to sections 10.05 

and 10.06, for the issuance of a license the regulatory agency may approve the application 

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

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

c. Within seven calendar days after granting preliminary approval of a license application, 

the regulatory agency shall prepare and forward to the National Indian Gaming Commission 

an investigative report on each background investigation. An investigative report shall 

include all of the following: 

1. Steps taken in conducting a background investigation; 

2. Results obtained; 

3. Conclusions reached; and 

3. The basis for those conclusions. 

The regulatory asency shall submit, with the investigative report, a copy of the regulatory 

agency's eligibility deternlination and notify the National Indian Gaming Conlnlission ofthe 

regulatory agency's intention to issue the applicant a license and request that the agency 

review the application and investigative report pursuant to IGRA. 

d. The regulatory agency may grant final approval of a license application submitted under 

this subsection only after the one of the following has occurred: 

1. The regulatory agency has received notice fiom the National Indian Gaming 

Commission that it has no objection to the issuance of the license; or 

2. Thirty days have elapsed since the National lndian Gaming Commission was 

notified of the regulatory agency's intent to issue the license and the National Indian 

Gaming Commission has not responded; or 

3. The National Indian Gaming Commission timely objected to the issuance of the 

license, the regulatory agency has reconsidered the application in light of the 

objections received and has determined that the applicant may be licensed 

notwithstanding those objections. 

e. The regulatory agency shall promptly notify the applicant that the application is approved 

and shall issue the license. If a provisional license was previously issued, the effective date 

of the license shall be the date the provisional license was issued. 

f. The gaming enterprise shall not employ as a gaming employee a person who has not 

received either a provisional or regular license. 

g. If the regulatory agency denies any application for a license under this Section, the 

regulatory agency shall, within seven calendar days, notifjl the applicant that the application 

was denied and specify the reasons, including information concerning any criminal 

Gaming Ordinance 

Ordinance # 0244004 1 

Adopled - 
Final Draft - May 7,2002 Page 16 

conviction(s), which prompted the denial. The notice to each applicant shall also inform the 

applicant of the applicant's right to request a hearing and appeals provided in Section 11. 

The applicant may file an immediate appeal with the Tribal Court of the regulatory agency's 

decision under this section and the Tribal Court shall hear the appeal within 14 calendar days 

of its receipt of the appeal. 

h. If a license is not issued to an applicant, the regulatory agency: 

1. Shall notify the National Indian Gaming Commission; and 

2. May forward copies of its eligibility determination and investigative report (if 

any) to the National Indian Gaming Commission for inclusion in the Indian Gaming 

Individuals Records System. 

i. With respect to key employees and primary management the regulatory agency shall 

retain employment and reports (if any) of background investigations for inspection by the 

National Indian Gaming Commission or his or her designee for no less than three years from 

the date of termination of employment. 

-- 10.09, Lzcgnsr'it,o-P.e_riio(Icl Any gaming employee license issued pursuant to this section shall be 

effective for a period of one year from the date of issuance and shall contain the licensee's 

photogaph and shall state on its face the name ofthe gaming employee, the gaming facility at which 

the gaming employee is licensed to work, the type of license, the date that the license became 

effective and the date that it expires. 

10.10. Renelt.01~. ,A holder of a gaming employee's license shall petition to have his license 

renewed, by applying to the regulatory agency for a renewal before his original license has expired 

and updating all information contained in the original application. Provisional licenses may be 

granted if a license expires before the regulatory agency acts upon the license renewal request and 

such provisional license shall be valid and effective until the license is renewed or the license 

renewal request is denied by the regulatory agency. 

10.1 1. Reqziireiltent to Pi-qduce License Upon Request. Any person receiving a gaming employee 

-license must cany that license upon his person during all working hours and must produce that 

license upon the request of any person. 

Section 11. Vendor License 

- 1 1.01. General - Types oflicenses. All vendors contracting with the gaming enterprise are required 

to be licensed. These licenses shall be broken into the following categories - gaming vendors, nongaming vendors, and service vendors. The regulatory agency shall be required to develop initial 

applications which would tend to identify the type of license required and cause to be forwarded an 

application for that license. 

11.02. Service Vendor Permits. Vendors contemplating less than $25,000 of contract work with . . .. - - . -- ----- --- the gaming enterprise during the fiscal year, and who enter into contracts not related to a gaming 

service or gaming equipment or supplies, are required to maintain a service vendor permit. The 

regulatory agency shall create application forms which tend to identify appropriate levels of 

information from which to issue a service vendor permit. 

1 1.03. Non-Gaming Venciqrs Liceilse. Vendors contemplating greater than $25,000 ofcontract with 

the gaming enterprise during the fiscal year, and who enter into contracts not related to a gaming 

Gaming Ordinance 

Ordinance n' 0240041 

Adopted - 
Final Draft - May 7, 2002 Page 17 . 

service or gaming equipment or supplies, are require to maintain a non-gaming vendors license. 

Non-gaming vendors shall be required to fill out the same form required for a gaming vendor's 

license, provided that, the regulatory agency shall clearly identify the level of background 

investigation that will be conducted. The regulatory agency may identify specific exceptions to the 

background investigation for vendors which conduct business activities in highly regulated areas 

such that the presentation of a permit, license or other document is sufficient to identify that a 

background investigation is unnecessary; provided that, the qualifications for any exceptions shall 

be clearly identified in regulations. 

11.04. Gami)ta Ver~ciot-s License. Vendors contemplating any contract with the gaming enterprise 

that contains any element, regardless of value or proportion of the contract, are required to maintain 

a gaming vendors license. The regulatory agency shall identify appropriate levels of information 

and releases necessary to assure the integrity of the vendor in suppling gaming services or gaming 

equipment or supplies. 

Section 12. Suspension/Revocation of LicenseIPerrnit; Right to Appeal. 

----- 12.01. License; Pe_mlit,- This Section shall apply to the issuance of any license or pennit by the -. 

regulatory agency. For purposes of this section, reference to a license shall include reference to a 

permit. 

12.02. Heari)r,o lporz De)r[al of License. Any applicant who is affected by an adverse action by the 

;egulatory agency in connection with denial of a license applied for under this ordinance may 

request a hearing before the regulatory agency by written request submitted within 30 days 

following notice of the action by the regulatory agency. Within 14 days following receipt of a notice 

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

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

submit such evidence as the applicant or entity deems relevant in the matter. The regulatory agency 

may receive evidence from the applicant or licensee, the Tribe, regulatory agency or any person or 

entity that the regulatory agency deems relevant to the matter. The regulatory agency shall either 

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

1 2.03. Suspensio)~ of License.. 

a. Any license may be temporarily and immediately suspended by the regulatory agency for 

not more than 30 days if the regulatory agency receives reliable information that any of the 

following have occurred: 

1. The licensee has been charged with a violation of any gaming law. 

2. The licensee's continued employment as a primary management official or key 

employee of a game or gaming enterprise poses a threat to the general public. 

3. The licensee has knowingly and intentionally made a material false and 

misleading statement in his license application. 

4. The licensee has participated in gaming activity regulated by this ordinance and 

unauthorized by a gaming license. 

5. The licensee has refused to comply with any lawful order of the regulatory 

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

b. In the event the regulatory agency determines that any licensee meets any of the criteria 

Gaming Ordinance 

Ordinance # 0240041 

Adopted - 
Final Drat1 - May 7,2002 Page 18 

required for the issuance of a license or that non-compliance with this ordinance is a direct 

and immediate threat to the peace, safety, morals or health or welfare of the community, the 

regulatory agency shall issue a notice of temporary suspension of a gaming license which 

shall be served upon the licensee and upon the manager. The order shall state the grounds 

upon which it is issued and the licensee's right to a hearing. The licensee shall cease and 

desist as directed in the order upon receipt of the order, but she may file a notice of appeal 

with the regulatory agency which shall hold a hearing on the order within 14 calendar days 

of its receipt of the appeal. 

c. At the hearing the licensee shall have the right to be represented by counsel at the 

licensee's expense and an opportunity to present testimony and cross-examine opposing 

witnesses, and to present any other documentary and oral evidence as to why a temporary 

suspension order or an injunction should not be issued. The hearing shall be governed in all 

respects in accordance with tribal law and regulatory agency regulations. 

d. The licensee may file an immediate appeal with the Tribal Court of the regulatory 

agency's decision under this section, including the notice of temporary suspension, and the 

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

1 2.04. R&ogiorl-d-Ga~!ing L icerzse. 

a. Any gaming license may be revoked by the regulatory agency if, following the hearing 

described in parasraph (b), the regulatory asency finds that any of the following have 

occurred: 

1. The licensee has violated any gaming law. 

2. The licensee's continued employment as a primary management official or key 

employee of a game or gaming enterprise poses a threat to the general public. 

3. The licensee intentionally made a material false and misleading statement in a 

license application. 

4. The licensee participated in gaming activity regulated by this ordinance and 

unauthorized by a gaming license. 

5. The licensee \vilfully refused to comply with any lawful order of the regulatory 

agency, the Tribal Court or the National Lndian Gaming Commission. 

b. In the event the regulatory agency receives reliable information indicating that any 

licensee has committed any of the violations stated in paragraph (a) or that non-compliance 

with this ordinance is a direct and immediate threat to the peace, safety, morals or health or 

welfare of the community, the regulatory agency shall issue a notice of intent to revoke the 

garning license which shall be served upon the licensee and upon the manager. The order 

shall state the grounds upon which it is issued and the licensee's right to a hearing before the 

regulatory agency within 14 calendar days and right to offer sworn oral or documentary 

evidence relevant to the violation charged. Subject to review by the Tribal Court, a license 

may be suspended during such pre-hearing period by the vote of a majority of the members 

of the regulatory agency then in office where such extraordinary action is essential to protect 

the public safety or the integrity of gaming; a license shall be suspended during such period 

as required under IGRA if the revocation hearing arises as a result of notice from the 

National Indian Gaming Commission. 

Gaming Ordinance 

Ordinance d 0230041 

Adopted - 
F~nal Draft - May 7,2002 Page 19 

c. The licensee may file an immediate appeal with the Tribal Court of the regulatory 

agency's decision under this section, including the decision to issue a temporary suspension 

issue and the Tribal Court shall hear the appeal within 14 calendar of its receipt of the 

appeal. 

12.05. Appeal to thx Tribgi-Court._- Subject to the burden of proof set forth in this ordinance, a 

finding or licensing decision of the regulatory agency, including but not limited to a decision to 

deny, suspend, revoke, modify or condition any license pursuant to this ordinance, may be appealed 

to the Tribal Court by the applicant or licensee. In all appeals before the Tribal Court, there shall be 

deference given by the Tribal Court to the determination of the regulatory agency as the agency 

charged with responsibility for interpreting its own regulations. Findings of fact and conclusions of 

law made by the regulatory agency may be reviewed de novo by the Tribal Court. The decision of 

the Tribal Court shall be final. 

_ 12.06. Action Followin~-~e_vo_c~~ionn Hearing/Appeals. After a revocation hearing, the regulatory 

agency shall decide to revoke or to reinstate agaming license. If the decision is to revoke the license 

and, after appeal, that decision is upheld, the regulatory agency shall notify the National Indian 

Gaming Commission of its decision. 

12.07. Not& of Cancel-it"- Mnilager and Pritnnty &lanagenlent Oficials. In the event that the 

regulatory agency obtains reliable information that the licensed manager andlor a primary 

management official may have breached any provision of this ordinance, the Compact, IGRA or its 

license, the regulatory agency shall, where the health, safety of patrons, or integity or security of 

the gaming operations is not at immediate risk, issue a Notice of Concenl to the licensee prior to any 

action of suspension or the giving of notice of a revocation hearing with respect to itsltheir 

license(s). The Notice of Concern shall describe the alleged breach, shall describe the steps 

necessary to effect a cure and shall provide the licensee with an opportunity to meet with the 

regulatory agency to discuss the matter. The discontinuance or correction of the alleged breach shall 

constitute a cure thereof, except where such alleged breach constitutes a criminal violation by the 

manager or the primary management official. If the alleged breach is not corrected or discontinued 

as required herein, then the regulatory agency shall institute the notice and hearing procedure set 

forth above. 

Section 13. Patron Complaints 

13.0 1. Resolution~Disp2lte~~Between~ --- . - tje Gaming Public and the Tribe or Managers. Disputes 

between a patron and a gaming enterprise shall be resolved as follows: 

a. The patron shall have the opportunity to present hisher complaint, verbally or in writing, 

to the manager of the gaming facility or a person designated by the manager to resolve 

complaints by patrons. 

b. If the complaint is not resolved under paragraph (a) to the satisfaction of the patron, 

he/she may file a written complaint with the regulatory agency. The regulatory agency shall 

provide the patron with a complaint form which requests the following information: name, 

address and telephone number of the patron, a description of the circumstances or incident 

giving rise to the complaint, the name of the gaming facility wherein the incident 

complained ofoccurred, the name of the employee(s) involved, the name ofthe management 

Gaming Ord~nance 

Ordinance # 0210041 

Adopted - 
Final Draft - May 7,2002 Page 20 

official to whom the incident was reported pursuant to paragraph (a), and the relief or action 

requested. 

c. The regulatory agency shall review the written grievance within seven days of receipt. 

If the regulatory agency deems it necessary, it may hold a fact-finding hearing to investigate 

the complaint and any employee(s) involved in the incident. If the complaint involves an 

alleged violation of any law, this ordinance or regulation of the regulatory agency, the 

regulatory agency shall take final action on the complaint within 30 days of receipt of the 

complaint and may issue an order which includes any action authorized under this ordinance. 

End. 

Gaming Ordinance 

Ordinance # 0240041 

Adopted -