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. A list of all professional or business licenses the applicant has applied for, whether or
not those licenses where granted and the name, address and phone number of the
regulatory agency involved;
n. A sworn statement that to the best of his knowledge the applicant or any member of his
immediate family does not have a past or current financial interest, other than a salary
interest, in any gaming enterprise anywhere. If the applicant has an immediate family
member or member of his or her household who has such a relationship, the applicant
shall fully disclose his name and the nature of the relationship;
o. Written permission giving the regulatory agency the right to investigate the applicant's
background, including his criminal records, civil and criminal judgments and credit
history;
p. Each application shall be accompanied by a sworn statement that the applicant will
submit to the jurisdiction of the Tribe and the Tribal Court, if employed;
q. For all applications for licenses for all employees, fingerprints obtained on fingerprint
impression cards taken by the regulatory agency, Tribal law enforcement agency, or the
Federal Bureau of Investigation, consistent with procedures adopted by the regulatory
agency according to 25 C.F.R. 522.2(h);
r. Other information required by the regulatory agency rules or regulations.
s. For all applications for licenses for general managers or other primary management
officials, a complete financial statement and/or income tax records showing all sources of
income for the previous three years, and assets, liabilities, and net worth as of the date of
the application.

10.05. Application Forms - Notices.
a. Privacy Act Notice. The following notice shall be placed on the application form for an
employee license so that it can be read before that form is filled out by an applicant:
“In compliance with the Privacy Act of 1974, the following information is provided:
Solicitation of the information on this form is authorized by 25 U.S.C. 2701 et seq. The
purpose of the requested information is to determine the eligibility of individuals to be
granted a license. The information will be used by the Tribe’s regulatory agency and the
National Indian Gaming Commission members and staff who have need for the
information in the performance of their official duties. The information may be disclosed
to appropriate Federal, Tribal, State, local, or foreign law enforcement and regulatory
agencies when relevant to civil, criminal or regulatory investigations or prosecutions or

16
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


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 all employees of the gaming enterprise possess a valid and current
employee license.
3. Ensure that the gaming enterprise has provided the regulatory agency with a list
of all individuals employed by the gaming enterprise.
4. Review and approve the accounting procedures to be used in the gaming
enterprise, or as may be necessary at the gaming facility if more than one gaming
facility is licensed by the regulatory agency.
5. Review and approve the layout of the games and surveillance systems for the
gaming facility, including any instructions, procedures, internal controls or other
documents related to the layout of games and any instructions, policies,
procedures, internal controls or other documents related to surveillance systems.
6. Review and approve the plan for the protection of public safety and the physical
security of patrons of the gaming facility.
7. Review all aspects of the proposed gaming facility to ensure that it will be in
compliance with the provisions of the Compact, federal and tribal laws and
regulations.
b. The regulatory agency shall approve the gaming facility application within forty-five
(45) days following the receipt of a complete application unless the regulatory agency
believes, based upon reasonable evidence, that gaming will be operated at the proposed
gaming facility in violation of tribal, federal or other applicable law or the terms and
conditions of the Compact.
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 Application Fees. The license application and renewal fee shall be as set forth in
the Gross Gaming Revenue Tax Ordinance.
9.07. Terms of License. A Class II and Class Ill gaming facility license shall be valid for a period
of twenty-four (24) months from the date of issuance.
9.08. Posting of Licenses. The gaming facility license must be posted in a conspicuous location at
all times on the premises of each gaming facility. If the gaming enterprise conducts gaming at
more than one location, the gaming enterprise must obtain and post a separate license for each
gaming facility.
9.09. Gaming Facility License Renewals.
a. Each gaming facility license must be renewed biennially. A renewal fee shall be
required for each Class II or Class III gaming facility license in accordance with the

10
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC - Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


became effective and the date that it expires.

10.11. Renewals. It is the responsibility of holders of an employee licenses to file renewal
applications in accordance with the regulatory agency’s notifications and regulations. A holder of
an employee license shall apply to the regulatory agency for a renewal before the current license
has expired as directed by the regulatory agency and is required to update all information
contained in the original and any subsequent renewal application(s). Notification will be sent to
the gaming enterprise upon completion of the renewal process. Under all circumstances, an
employee is required to obtain a valid license prior to the expiration of any current license.
10.12. Requirement to Produce License Upon Request. Any person receiving an employee
license must carry that license upon his or her person during all working hours and must produce
that license upon request.

Article XI. Vendor License

11.01. General - Types of Licenses. All vendors contracting with the gaming enterprise are required

to be licensed. These licenses shall be broken into the following categories — gaming vendors, non-

gaming vendors, and service vendors. The regulatory agency shall be required to develop a vendor

license inquiry form which would tend to identify the type of license required and cause to be

forwarded an application for that license to the vendor.

11.02. Service Vendor Permits. Vendors contemplating less than $50,000 of business with the

gaming enterprise and who enter into contracts not related to a gaming service or gaming equipment

or supplies, are required to maintain a service vendor permit. The regulatory agency shall define

processes in regulations which set forth how the amount of business conducted with the gaming

enterprise will be calculated. The regulatory agency shall create application forms which tend to

identify appropriate levels of information from which to issue a service vendor permit.

11.03. Non-Gaming Vendors License. Vendors contemplating $50,000 or greater of business with

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

service or gaming equipment or supplies, are required to maintain a non-gaming vendor’s license.

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

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

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

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

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

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

clearly identified in regulations.

11.04. Gaming Vendors License. Vendors contemplating any business with the gaming enterprise

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

regardless of value or proportion of the contract, are required to maintain a gaming vendor’s license.

The regulatory agency shall identify appropriate levels of information and releases necessary to

assure the integrity of the vendor in supplying gaming services or gaming equipment or supplies.
20

Gaming Ordinance

Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC — Repeal & Replace - January 19, 2011

Effective January 20, 2011

Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


GAMING ORDINANCE
Ordinance # 10-400-01

Article I. Purpose; Findings
1.01. Purpose. The Little River Band of Ottawa Indians, acting through its Tribal Council in the
exercise of its inherent sovereign power to enact ordinances, regulate the commercial enterprises
of the Tribe, and otherwise safeguard and provide for the health, safety, and welfare of the
members of the Tribe, hereby establishes this Ordinance for the purpose of authorizing and
comprehensively and preemptively regulating the terms and conditions under which Class II and
Class III gaming may be conducted on the lands of the Tribe.
1.02. Findings. The Tribal Council of the Little River Band of Ottawa Indians finds that:
a. The Constitution of the Little River Band of Ottawa Indians delegates to the Tribal
Council the responsibility to “...exercise the inherent powers of the Little River Band of
Ottawa Indians by establishing laws through the enactment of ordinances and adoption of
resolutions not inconsistent with this Constitution:
1. to govern the conduct of members of the Little River Band of Ottawa Indians
and other persons within its jurisdiction.
2. to promote, protect and provide for public health, peace, morals, education and
general welfare of the Little River Band of Ottawa Indians and its members{.]”
Article IV, Section 7(a).
b. The Constitution delegates to the Tribal Council the power and responsibility to
manage all Tribal funds and direct how those funds may be used; Article IV, Section
1()(2).
c. Article V, Section 4(a)(8), authorizes the Tribal Ogema to manage the economic
affairs, enterprises, property and other interests of the Tribe, consistent with ordinances
and resolutions enacted by the Tribal Council.

Article II. Adoption; Amendment; Repeal; Severability

2.01. Adoption. This ordinance is adopted by the Tribal Council through:
a. Resolution # 97-0115-01 which adopted the original ordinance;
b. Resolution # 99-0325-01 which re-codified and amended the ordinance;
c. Resolution # 00-1218-01 which further amended the ordinance; and
d. Resolution # 02-0508-08 which repealed ordinance # 97-400-01 and replaced it with
ordinance # 02-400-01.
e. Resolution # 05-0323-121 which deleted references to management contractors, and
made numbering clarifications among other amendments.
f. Resolution #07-0912-494 which repealed Gaming Ordinance #02-400-01 and adopted
Gaming Ordinance #07-400-01, amending the ordinance to clarify and define gaming and
non-gaming activities arising out of the growth of the gaming enterprise effective upon

1
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


when pursuant to a requirement by a tribe or the National Indian Gaming Commission in
connection with the issuance or revocation of a gaming license, or investigations of
activities while associated with a tribe or a gaming operation. Failure to consent to the
disclosures indicated in this notice will result in a tribe's being unable to license you in a
primary management official or key employee or non-gaming position. The disclosure of
your Social Security Number (SSN) is voluntary. However, failure to supply a SSN may
result in errors in processing your application.”

b. False Statements Notice. The following notice shall be placed on the application form
for a 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 license application may be grounds for denying a
license or the suspension or revocation of a license. Also, you may be punished by fine or
imprisonment (U.S. Code, title 18, section 1001).”

10.06. Burden of Proof on Employee License Applicants. It is the determination of the Tribe that
the public interest in the integrity of gaming is such that the burden of proof to establish fitness
or eligibility to obtain or maintain a gaming employee license shall be upon the applicant or
licensee, as the case may be.

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

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

c. The criminal background of each applicant for a Non-Gaming Employee License shall
be investigated by obtaining information concerning the applicant’s criminal history from
law enforcement where the applicant has resided. The vital information which may be

17

Gaming Ordinance

Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011

Emergency Amendm

Effective September 19, 2012

Permanent Adoption of Emergency Amendments - Res. #12-1031-289


Article XIV. Tribal Government Employees and Gaming Regulatory Agency Members
and Employees Prohibited from Gaming
14.01. Prohibition Against Participation in Gaming Activities at the Gaming Enterprises. This
Article shall identify individuals who shall be prohibited from participating in gaming activities
at the gaming enterprises. Such prohibition is limited to Class III gaming activities, and does not
extend to conference, training, dining, hotel and other non-gaming activities.
14.02. Gaming Enterprise Board of Directors Prohibited. All members of the Gaming
Enterprise Board are prohibited from engaging in gaming activities.
14.03. Tribal Government Employees Prohibited. Individuals that hold the following positions
are prohibited from participating in gaming activities. The position names shall be for the
purposes of identification and shall include any reasonably related position title that may be
created in the future.

a. All attorneys within the Legislative Legal Department.

e. All attorneys within the Executive Legal Department.

c. Chief Financial Officer and Controller.

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

e. Public Safety Department, officers and support staff.
14.04. Prohibition on Regulatory Agency Personnel Participating in Gaming Activities. No
member of a regulatory agency or employee of a regulatory agency may participate in any gaming
activity at any Little River Band of Ottawa Indians gaming enterprise unless as part of a job
related duty.

Article XV. Gaming Enterprise Employee Prohibitions and Limitations to Participation in
Gaming Activities
15.01. Gaming Enterprise Employees Prohibited. The following employment positions are
prohibited from participating in gaming activities. The position names shall be for the purposes
of identification and shall include any reasonably related position title that may be created in the
future.

a. All Primary Management Officials.

b. Chief Financial Officer, Controller and Revenue Audit staff.

c. All Security Department staff.

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

personnel.

e. All gaming employees as defined in Section 3.10.

Article XVI. Prohibitions on Participating in Gaming Activities.
16.01. Elected Officials. Elected Officials eligible to participate in gaming activities shall not be
eligible to participate in the following:

23
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


agency’s eligibility determination and notify the National Indian Gaming Commission of
the 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 any of the following has occurred:
1. The regulatory agency has received notice from 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 Indian 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 employee license. If a temporary license was previously
issued, the effective date of the license shall be the date the temporary license was issued.
f, The gaming enterprise shall not employ as an employee a person who has not received
either a temporary or a regular employee license.
g. If the regulatory agency denies an application for a license under this Article, the
regulatory agency shall, within seven calendar days, notify the applicant that the
application was denied and specify the reasons, including information concerning any
criminal conviction(s), which prompted the denial. The notice to each applicant shall also
inform the applicant of the applicant’s right to request a hearing and appeal provided in
Article XII.
h. Ifa license is not issued to an applicant, the regulatory agency:
1. Shall notify the National Indian Gaming Commission;
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; and
3. Shall notify the gaming enterprise.
i. With respect to employees, the regulatory agency shall retain reports (if any) of
background investigations for inspection by the National Indian Gaming Commission or
his or her designee for no less than five years from the date of termination of employment
or denial of a license.
10.10. Licensing Period. Any employee’s license issued pursuant to this Article, other than a
temporary license, shall be effective for a period of one year from the date of issuance and shall
contain the licensee's photograph and shall state on its face the name of the employee, the gaming
facility at which the employee is licensed to work, the type of license, the date that the license

19
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC - Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


their positions, and a copy of all job descriptions on file with the regulatory agency.
Voluntary relinquishment of a gaming license will not preclude the regulatory agency
from addressing license issues that occurred during the time the licensee held a gaming
license.

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

Gaming Ordinance
Ordinance #10-400-01

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

2. Is under the age of 21; or

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

4. Has been convicted of or entered a plea of guilty or no contest to any offense
not specified in paragraph (3) within the immediately preceding five years; this
provision shall not apply if that person has been pardoned by the Governor of the
State where the conviction occurred or, if a Tribal member, has been determined
by the regulatory agency to be a person who is not likely again to engage in any
offensive or criminal course of conduct and the public good does not require that
the applicant be denied a gaming employee license. The term “any offense” shall
mean any criminal offense not described in paragraph (3), whether committed in
Michigan or any other jurisdiction, that is, or would be, a crime under the
provisions of the Michigan Penal Code, Act 328 of the Public Acts of 1931, as
amended, or the controlled substances provisions of the Public Health Code, Act
No. 368 of the Public Acts of 1978, as amended or any other criminal offense not
included within the scope of paragraph (3); or

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

14

Approved by TC October 6, 2010
Approved by NIGC January 5, 2011

Final Approval by TC

Repeal & Replace - January 19, 2011

Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


4.04. Gaming Age Minimum. No person under age 21 may gamble in a gaming enterprise
authorized under this Ordinance.

Article V. Tribal Ownership Required

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

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

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

Article VI. Use of Gaming Revenue
6.01. Permitted Uses. Net revenues from Class II and Class III gaming shall be used only for the
following purposes:

a. to fund tribal government operations and programs;

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

c. to promote tribal economic development;

d. to donate to charitable organizations;

e. to help fund operations of local governmental agencies.

Article VII. Audit Required; Report to National Indian Gaming Commission
7.01. Annual Audit. The regulatory agency shall conduct or have conducted an independent audit
of all gaming enterprises on an annual basis and shall submit the resulting audit reports to the
Tribal Council and the National Indian Gaming Commission.
7.02. Audit to Include Contracts for Gaming Services, Equipment or Supplies. All contracts for
gaming services, gaming equipment or supplies shall be specifically included within the scope of
the audit, provided, that the regulatory agency or the Tribal Council may require that contracts
for gaming services, gaming equipment 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.
7.03. Record-keeping Requirements. Each gaming enterprise conducting Class II or Class III
gaming shall keep accounting records on a double entry system of accounting, maintaining
detailed, supporting, and subsidiary records which can be identified to each gaming facility.
Gaming enterprises subject to this provision shall maintain the following records for not less than
five years:

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

Class III gaming is conducted;

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

6
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


to 25 U.S.C. §2710(d).
3.08. Complimentary Service or Item means a service or item provided at no cost or at a reduced
cost to a customer.
3.09. Employee means any individual employed by a gaming enterprise. Employees may be either
gaming employees or non-gaming employees.
3.10. Gaming employee means a Key Employee or Primary Management Official, and includes
individuals employed in one of the following capacities:
a. the person(s) having management responsibility for a management contract;
b. any person who has authority to hire and fire employees;
c. any person who has authority to set up working policy for a gaming activity in the
gaming enterprise;
d. the chief financial officer or other person who has financial management responsibility;
e. any person whose job description falls within the following areas: finance; information
technology; security; gaming operations; and marketing.
f. if not otherwise included, any person whose total cash compensation is in excess of
$50,000.
3.11. Gaming means Class II and Class III gaming authorized by this Ordinance, the Compact,
and as may be further authorized under IGRA.
3.12. Gaming Activities means a process, action, or procedure that touches on gaming, on the
presentation of a game or on interactive gaming devices aimed at the general public, and
includes, by way of example and not limitation, table games, slot machines, cash handling
derived from gaming, vault, security, accounting systems, and information systems.
3.13. Gaming employee license means a license issued to a gaming employee, including
individuals hired by or contracted within an employment position with the gaming enterprise.
Gaming employee licenses are classified as Primary Management Official licenses and Key
employee licenses.
3.14. Gaming Enterprise shall mean any commercial enterprise of the Tribe authorized to engage
in gaming, and all ancillary commercial activities within the gaming (facility(ies) and other
improvements constructed for the conduct of gaming
3.15. Gaming device shall mean a microprocessor-controlled electronic device which allows a
player to play games of chance, some of which are affected by skill, which device is activated by
the insertion of a coin, currency, tokens, tickets, or by the use of credit, and which awards game
credits, cash tokens, replays or a receipt that can be redeemed by the player. For any of the
foregoing, the game play may be displayed by video facsimile or mechanical rotating reels
whereby the software of the device predetermines the stop positions and the presence, or lack
thereof, of a winning combination and payout, if any.
3.16. Gaming equipment or supplies shall mean any equipment or mechanical, electromechanical
or electronic contrivance, component or machine used in connection with gaming; any game that
would not otherwise be classified as a gaming device, including, but not limited to, dice and

3
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


receipt of approval by the National Indian Gaming Commission.
g. Resolution #10-1006-330, correcting technical deficiencies identified by the National
Indian Gaming Commission among other amendments, renumbering the ordinance, and
authorizing resubmission to the National Indian Gaming Commission.
h. Resolution #11-0119-017, acknowledging receipt of approval of the National Indian
Gaming Commission, repealing Ordinance Number 07-400-01 and replacing it with
Ordinance #10-400-01, and providing that the Ordinance is effective as of January 20,
2011.
i. Resolution #12-0919-249, amending the Ordinance on an emergency basis to clarify
and define the background investigation process of Gaming and Non-Gaming Employee
licenses.
j. Resolution #12-1031-289, permanently adopting emergency amendments enacted on
September 19, 2012.
2.02. Amendment. This Ordinance may be amended from time to time in accordance with the
procedures set forth in the in the Administrative Procedures Act — Ordinance.
2.03 Repeal. This Ordinance may be repealed in accordance with the procedures set forth in the
administrative Procedures Act — Ordinance.
2.04 Short Title. This Ordinance may be cited as the Gaming Ordinance.
2.05. Severability. If any provision of this ordinance or its application to any person or
circumstance is held invalid, the invalidity does not affect other provisions or applications of this
ordinance which can be given effect without the invalid provision or application, and to this end
the provisions of this Ordinance are severable.

Article III. Definitions

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

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

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

3.04. Class II Gaming shall mean Class II gaming as defined in IGRA.

3.05. Class IIT Gaming means all forms of gaming that are not Class I gaming or Class II gaming
3.06. Coin sorter and/or Cash counter is mechanical equipment the purpose of which is to count
and display the value of coin or currency.

3.07. Compact shall mean a Tribal-State Compact concerning Class III gaming approved or
deemed approved by the Secretary of the Interior and published in the Federal Register pursuant

2
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


conduct of gaming; or

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

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

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

a. Full name, other names used (oral or written), social security number(s), birth date,
place of birth, citizenship, gender, and all languages (spoken or written);
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. driver’s license numbers;
c. The names and current addresses of at least three personal references;
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, if any,
(excluding traffic violations for which incarceration was not a possible punishment), and
for each misdemeanor conviction or ongoing misdemeanor prosecution within 10 years of
the date of the application, the name and address of the court involved and the date and
disposition, if any
j. For each criminal charge, whether or not there is a conviction, if such criminal charge
was within 10 years of the date of the application and is not otherwise listed pursuant to

15

Gaming Ordinance

Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011

Emergency Amendments Effective September 19, 2012

Permanent Adoption of Emergency Amendments - Res. #12-1031-289


3.30. Primary Management Official shall mean an employee who meets the following
qualifications:

a. Any person who has authority:

1. To hire and fire employees; or
2. To set up working policy for any gaming activity; or

b. The chief financial officer or other person who has financial management

responsibility.

c. Any person having management responsibility for a management contract.
3.31. Primary management official license means a license issued to a Primary Management
Official, including individuals hired by or contracted within an employment position with the
gaming enterprise.
3.32. Regulatory Agency shall mean the Little River Band of Ottawa Indians Gaming
Commission, created by Ordinance Number 04-400-04, or such other Gaming regulatory body
created by Ordinance.
3.33. Indian Lands means all lands now or in the future held in trust by the United States for the
benefit of the Tribe acquired by or for the Tribe, or such other lands upon which gaming may
lawfully be conducted pursuant to IGRA.
3.34. Secretary shall mean the Secretary of the United States Department of the Interior or
his/her designee.
3.35. Service Vendor shall mean any vendor providing goods, services or concessions to any
gaming enterprise, other than gaming services or gaming equipment and supplies, in an amount
less than $50,000.00 in any given twelve month period.
3.36. State shall mean the State of Michigan.
3.37. 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.
3.38. Tribe shall mean the Little River Band of Ottawa Indians.
3.39. Vendor means a person or business entity selling goods, concessions, or services to a
gaming enterprise.
3.40. Tribal Member shall mean an individual enrolled in the Little River Band of Ottawa
Indians.

Article IV. Classes of Gaming Authorized

4.01. Class IT Gaming Authorized. Class II gaming is hereby authorized.

4.02. Class III Gaming Authorized. Class III gaming is also authorized.

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

5
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NI ary 5, 2011
Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289



Article XII. Denial/Suspension/Revocation of License; Right to Appeal
12.01. Applicability. This Article shall apply to the denial, suspension or revocation of any
license issued by the regulatory agency under Article X or XI of this Ordinance, except actions
taken under Section 11.02.
12.02. Hearing upon Denial of License. Any applicant who is denied a license applied for under
this Ordinance may request a hearing before the regulatory agency by written request submitted
within fourteen (14) days following receipt of notice of the action by the regulatory agency.
a. Within 21 days following receipt of a notice requesting a hearing, the regulatory agency
shall afford the applicant an opportunity to appear and be heard before the regulatory
agency, in person or with a representative or legal counsel, and to submit such evidence
as the applicant deems relevant in the matter. The regulatory agency may receive
evidence from the applicant or licensee, the Tribe, any gaming regulatory agency, or any
person or entity that the regulatory agency deems relevant to the matter.
b. The regulatory agency shall either affirm or reconsider its decision to deny the license
within seven (7) days following hearing.
12.03. Suspension or Revocation of License.
a. If, after issuance of a license, the regulatory agency receives and verifies information that
a person licensed under this Ordinance has violated or been charged with a violation of any
criminal law that disqualifies the licensee from holding a license, any provision of this
Ordinance, or any Regulation promulgated under this Ordinance, or is otherwise not eligible
for a license, the regulatory agency shall conduct an investigation to determine whether
revocation proceedings should be initiated.
b. The person’s license shall be suspended and revocation proceedings shall be initiated if:
1. The licensee has been convicted of or pled guilty or no contest to any criminal
offense that disqualifies the licensee from holding a license under applicable law or
the Tribal-State Compact.
2. The information came to the regulatory agency by notification from the NIGC
pursuant to 25 CFR 558.5.
3. The licensee has been charged with any criminal offense related to gambling,
fraud, theft, or other activities arising during the course of employment.
c. The person’s license may be suspended for not more than seven (7) days pending
completion of an investigation by the regulatory agency to determine whether any of the
following have occurred:
1. The licensee has violated any gaming rule as defined in this Ordinance.
2. The licensee has engaged in conduct that poses a threat to the integrity of the
gaming activities; the health or safety of the general public or employees at the
gaming enterprise; or the assets of the Tribe.

21
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


2
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YG comm?

November 20, 2012

The Honorable Stephen Parsons
Tribal Council Speaker

Little River Band of Ottawa Indians
375 River Street

Manistee, Michigan 49660

Re: | Emergency Amendments to the Little River Band of Ottawa Indians’ Gaming
Ordinance No. 10-400-01

Dear Mr. Parsons:

This letter responds to your November 1, 2012 letter on behalf of the Little River Band of
Ottawa Indians (“Tribe”), seeking review and approval of the Tribe’s adoption of
emergency amendments to its Gaming Ordinance (“Ordinance”). The amendments make
fingerprint processing discretionary for the licensing of non-gaming employee applicants.
They clarify that fingerprint processing will continue to be required for the licensing of
all gaming employee applicants. On October 31, 2012, the Tribal Council permanently
adopted the amendments.

We appreciate that the Tribe brought the Ordinance amendments to our attention. The
Tribe’s emergency amendments are consistent with the requirements of the Indian
Gaming Regulatory Act and the NIGC’s regulations, and are approved.

If you have any questions or require assistance, please contact Katherine Zebell, Senior
Attorney, at (202) 632-7003.

Sincerely,

47,
Ht UNL
Tracie L. Stevens
Chairwoman

cc: | Kimberly McGrath, Esq.

NATIONAL HEADQUARTERS 1447 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GoVv

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


Article IX. Gaming Facility Licenses
9.01. License Required. As set forth in Section 8.02, no person shall conduct Class II or Class III
gaming activities within the jurisdiction of the Tribe unless such gaming activity is conducted at
a gaming facility licensed by the regulatory agency. No license may be issued for any gaming
facility that is owned or operated by any person other than the Tribe. If a gaming activity is
proposed in more than one building at the site of any gaming enterprise, a separate gaming
facility license shall be required for each building or location where Class II or Class III gaming
is conducted under this ordinance.
9.02. Types of Licenses. The Tribe may issue each of the following types of gaming facility
licenses.
a. Class II Operations in a Gaming Facility. This license shall be required of all gaming
enterprises operating one or more Class II gaming activities in each gaming facility.
b. Class III Operations in a Gaming Facility. This license shall be required for all gaming
enterprises operating any gaming other than Class I or Class II gaming in each gaming
facility. A Class III gaming license includes the operation of Class I or Class II gaming
when so noted on the license application and on the issued license.
9.03. Gaming Facility Application Procedures. In order to obtain a gaming facility license, the
gaming enterprise requesting such license shall submit an application on the form provided by
the regulatory agency. The applicant shall include all of the following information:
a. A description of the gaming activity proposed, including, but not limited to:
1. the type of gaming proposed, along with all instructions, procedures, internal
controls, and other documents related to the proposed gaming;
2. the maximum number and types of gaming equipment and gaming devices
expected to be in the gaming facility at any one time;
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
equipment and gaming devices and the surveillance systems within the gaming facility.
c. The location proposed for such gaming facility.
d. A description of the security, police, fire protection, environmental, health, safety, and
other public safety services to be available in the proposed gaming facility and to the
patrons of such gaming facility.
e. A description of the accounting procedures as required in Section 7.03 in each gaming
facility.
f. The name, address, title, and a job description which includes the duties and
responsibilities of each employee who will be employed at the proposed gaming facility.
9.04. Threshold Criteria Which a Gaming Facility Must Meet. In addition to the information

8
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NI ary 5, 2011
Final Approval by TC Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289



gaming is conducted, including but not limited to transactions relating to each gaming
table bank, game drop box and gaming room bank;

c. All markers, IOUs, returned checks, hold checks or other similar credit instruments;
d. Individual and statistical game records (except card games) to reflect statistical drop
and statistical win; for electronic, computer, or other technologically assisted games,
analytic reports which show the total amount of cash wagered and the total amount of
prizes won;

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

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

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

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

a. Gaming facilities.

b. Employees of a gaming enterprise.

c. Vendors.
8.02. Gaming Facility. No person shall conduct Class II or Class III gaming within the
jurisdiction of the Tribe unless such gaming is conducted at a facility licensed by the regulatory
agency as set forth in Article IX.
8.03. Employees of a Gaming Enterprise. No person shall be employed in any gaming enterprise
in any capacity, including but not limited to consultants, independent contractors, and contracted
employees, within the jurisdiction of the Tribe unless licensed by the regulatory agency as set
forth in Article X.
8.04. Vendor. No vendor shall contract with any gaming enterprise within the jurisdiction of the
Tribe unless licensed by the regulatory agency in accordance with Article XI.
8.05. Temporary Licenses. The regulatory agency shall issue regulations that authorize the use of
temporary licenses. Temporary licenses shall only be issued to an applicant after the completion
of an application for a license and following a preliminary review period, during which time the
regulatory agency shall perform a credit check and a background check. Temporary licenses shall
be valid for no longer than thirty (30) days from the date of issuance. A temporary license may
be rescinded prior to the conclusion of the thirty (30) day period if the applicant has been
determined unsuitable for licensure under applicable gaming rules. Notice of rescission of a
temporary license shall be presented to the applicant and the gaming enterprise.

7
Gaming Ordinance
Ordinance #10-400-01
Approved by IC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC ~ Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289


playing cards; equipment which affects the proper reporting of gaming revenue; computerized
systems for monitoring gaming devices; and devices for weighing or counting money.
3.17. Gaming Facility shall mean the building, buildings, or structures, wherein gaming is
permitted, performed, conducted, or operated, and associated or adjacent real property owned by
the Tribe.
3.18. Gaming rules means the Tribal laws and regulations and federal laws and regulations
regarding gaming activities, including by way of example the Gaming Ordinance, the Compact,
and the Indian Gaming Regulatory Act.
3.19. Gaming Service means any goods or services which directly relate to the conduct of
gaming, security, or surveillance at a gaming enterprise, including without limitation, providers
of casino credit reporting services, casino surveillance systems or services, and suppliers, service
providers or repairers of any gaming equipment or supplies, computerized gaming monitoring
systems, drop boxes, bill exchangers, and credit voucher machines. No contract may be broken
up into parts for the purpose of avoiding this definition or any requirement of licensure or
certification required by this Ordinance.
3.20. Gaming Vendors shall mean any vendors providing gaming services or concessions,
gaming equipment or supplies.
3.21. General Manager means the highest level employee of the gaming enterprise.
3.22. IGRA shall mean the Indian Gaming Regulatory Act of 1988, 25 U.S.C. 2701 et seq, as
amended from time to time.
3.23. Immediate family means, with respect to the person under consideration, persons residing in
the same household.
3.24. Key employee shall mean any employee that is:

a. not required to have a Primary Management Official license; and

b. any employee not issued a Non-Gaming employee license.
3.25. 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 business or
employment in any gaming facility. There are three types of licenses: facility license, vendor
license, and employee license.
3.26. National Indian Gaming Commission shall mean the Commission established pursuant to
IGRA.
3.27. Net Revenues shall mean gross gaming revenues of an Indian gaming operation less --

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

b. Total gaming-related operating expenses, excluding management fees.
3.28. Non-gaming employee means an individual not required to be licensed as a Key employee
or Primary Management Official as approved by the regulatory agency.
3.29. Non-Gaming Vendor means any vendor providing goods and services to the gaming
enterprise, other than gaming services or gaming equipment and supplies, in any given twelve
month period.

Gaming Ordinance

Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC - Repeal & Replace - January 19, 2011
Effective January 20, 2011

Emergency Amendments Effective September 19, 2012

Permanent Adoption of Emergency Amendments - Res. #12-1031-289


provided to identify the applicant may include: the applicant’s full name, any other names
used by the applicant, date and place of birth, citizenship, Driver’s License numbers,
Social Security number, and a physical description. The Gaming Commission may, at its
discretion, submit fingerprint impressions of any Non-Gaming applicant to an appropriate
agency if deemed necessary to make a determination of eligibility for licensure.
d. With respect to applicants for a Primary Management Official’s application for a
gaming employee license, the regulatory agency shall also investigate and verify the
accuracy of financial information provided by the applicant by contacting banks, other
financial institutions or other sources as deemed necessary. The regulatory agency shall
also obtain a credit bureau report on the applicant which will be updated annually.
e. The regulatory agency shall attempt to complete the background investigation
described in this section within 30 days following receipt of a complete application.
f. The regulatory agency may contract with private, municipal, state, and/or federal
investigation agencies to perform the required background and/or criminal history
investigations.
10.08. Eligibility Determination. The regulatory agency shall review a person's prior activities,
criminal records, if any, reputation, habits, and associations to make a finding concerning the
eligibility of an applicant to receive an employee license. If the regulatory agency determines that
employment of, or contract with, a person 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, it will not grant that individual a license.
10.09. Action on Applications for an Employee License
a. Within 15 days following the completion of the background investigation(s) described
in this Article, the regulatory agency shall review the application, the results of
background investigation, the criminal history reports, and financial report, if required, to
determine if the applicant qualifies for the license applied for.
b. If the regulatory agency determines that an applicant qualifies on a preliminary basis
pursuant to Section 8.05 for the issuance of a license, then the regulatory agency may
issue a temporary license to the applicant. A temporary license shall not be valid for
more than 30 (thirty) days from the date of issuance.
c, Before issuing a license to a Primary Management Official or to a Key employee, the
regulatory agency shall forward to the National Indian Gaming Commission an
investigative report on each background investigation. An investigative report shall
include all of the following:
1. Steps taken in conducting a background investigation;
2. Results obtained;
3. Conclusions reached; and
4. The basis for those conclusions.
The regulatory agency shall submit, with the investigative report, a copy of the regulatory

18
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289



CERTIFICATION

|, Janine M. Sam, Tribal Council Recorder, do hereby certify that this is a true and correct
copy of the Gaming Ordinance approved on October 31, 2012.

[Seal]

25

Gaming Ordinance

Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011

Emergency Amendments Effective September 19, 2012

Permanent Adoption of Emergency Amendments - Res. #12-1031-289


Resolution #12-1031-289
Page 3 of 3

CERTIFICATE OF ADOPTION

I do hereby certify that the foregoing resolution was duly presented and adopted
by the Tribal Council with 6 FOR, 0 AGAINST, 0 ABSTAINING, and 3 ABSENT, at a
Regular Open Session Meeting of the Little River Band of Ottawa Indians Tribal Council
held on October 31, 2012, at the Little River Band’s Dome Room in Manistee, Michigan,
with a quorum being present for such vote.

/} ee

Vd rail 2
= Hanine M. Sam, Council Recorder

SE a

Attest: ” Steve Parsons, Council Speaker
Distribution: Council Records
Tribal Ogema
Tribal Court

NOV-01-2012 10:38 98% P.005


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 Reports required by
Section 9.10 have been filed.
c. All renewal applications submitted shall be approved within forty-five (45) days or less
unless the regulatory agency believes, based on reasonable evidence, that the gaming
enterprise has been or will be operated in violation of tribal, federal or other applicable
law or the terms and conditions of the Compact.
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 that the regulatory
agency determines will cure the deficiencies which resulted in denial of the application.
9.10. Annual Reports. Each gaming enterprise which possesses a Class II or Class III gaming
facility license must file an Annual Report with the regulatory agency and the Tribal Council
between the 15" and the last day of June of each year which shall include, at a minimum, the
following information:
a. The name, address and telephone number of the gaming enterprise and gaming facility;
b. The names, addresses and titles of all of the current general managers of the gaming
enterprise and at each gaming facility;
c. A description of the gaming activities of the gaming enterprise for each gaming facility,
including, but not limited to:
1. the number and type of games and gaming devices operated which shall include
all Class II gaming activities expected to be conducted by the gaming enterprise;
2. the number of days and hours of operation; and
3. the total gross sales during the reporting period(s).
d. A written copy of any changes anticipated or proposed in the gaming activities of the
gaming enterprise for each gaming facility, including any changes in its instructions,
procedures, policies, internal controls, rules, health, environmental, public safety/security
plan, layout of the games or surveillance systems, or other documents related to activities
in the gaming facility or of the gaming enterprise;
e. The name, address, title, and a job description that includes the duties and
responsibilities of each employee of the gaming enterprise at each gaming facility;
f. The name and addresses of the person who will be designated as a contact person for
service of process, notice and other official correspondence from the regulatory agency
over the next license period for each gaming facility;
g. A statement of any changes in the duties or designation of the primary management
officials and key employees who will operate the gaming enterprise over the next license
period;
11

Gaming Ordinance

Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011

Emergency Amendments Effective September 19, 2012

Permanent Adoption of Emergency Amendments - Res. #12-1031-289


gaming activities, including the absence of all disqualifying circumstances described in
subsection (b) below. In reaching its determination, the regulatory agency will consider
the criminal history, habits and reputation of the applicant in light of the particular
position the applicant is applying for.
b. Specific Disqualifying Circumstances. An applicant shall not be eligible for a non-
gaming employee license if the application or background investigation confirms that the
applicant:
1. Is under the age of (18); or
2. Has been convicted of or entered a plea of guilty or no contest to a gambling-
related offense, or to an adult felony charge of theft, fraud, or misrepresentation
within the preceding three (3) years, except if that person has been pardoned by
the Governor of the State where the conviction occurred or, if a tribal member, the
regulatory agency has determined that the person has been rehabilitated, and is not
likely to engage in future criminal or offensive actions; or
3. Has been convicted of or entered a plea of guilty or no contest to-any criminal
offense involving threats or acts of violence where the individual was charged as
an adult, within the immediately preceding three (3) years; except if that person
has been pardoned by the Governor of the State where the conviction occurred or,
if a tribal member, the regulatory agency has determined that the person has been
rehabilitated, and is not likely to engage in future criminal or offensive actions; or
4. Has been convicted of participating in organized crime or unlawful gambling;
or
5. Has knowingly and willfully provided materially false and misleading
statements or information to the regulatory agency or has refused to respond to
questions asked by the regulatory agency specifically related to the person’s
eligibility to obtain or retain a license; or
6. Has been convicted of any offense related to criminal sexual conduct where the
perpetrator was convicted as an adult at the time the crime was committed, and/or
is registered in any jurisdiction’s list of sexual offenders.
c. Non-Gaming Employees Clearly Distinguishable. Non-Gaming employees shall be
clearly identifiable and distinguished from gaming employees by badges.
10.03. Gaming Employees. Employees of the gaming enterprise who perform gaming activities
as part of their defined job descriptions are considered gaming employees.
a. General. Gaming employees may be transferred, promoted, or otherwise moved to a
non-gaming employee position in accordance with the gaming enterprise’s employment
policies. Upon acceptance of the position and on no later than his or her first day of
employment as a non-gaming employee, the gaming employee shall be required to
relinquish his or her gaming license to the regulatory agency and obtain a non-gaming
license. The gaming enterprise shall be required to maintain a list of gaming employees,

13
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289



Resolution #12-1031-289
Page 2 of 3

WHEREAS, Scction 5.01 of the Administrative Procedures Act allows emergency action
when an emergency is “imminent and [docs] not allow the normal rule making
Processes to be conducted without causing or resulting in danger to the health,
safety or welfare of the Tribe, including injury to person, property, business, or
finances;” and

WHEREAS, Section 5.02 of the Administrative Procedures Act requires that a resulution
authorizing emergency action clearly state the nature of the emergency and the
potential harm that could be caused by a failure to act, and also that it clearly state
the amendments or directions which will be taken to avoid or lessen the potential
harm; and

WHEREAS, the Tribal Council adopted the Gaming Ordinance #10-400-01, on January
19, 2011, effective January 20, 2011; and

WHEREAS, the Tribal Council was alerted by the Gaming Commission that they had
been advised by the National Indian Gaming Cornmission (NIGC) that they are no
longer allowed to submit Non-Gaming Employee applicants’ fingerprints to the
Federal] Bureau of Investigation thru NIGC, and the Commission had no
mechanism to submit the fingerprints to the Federal Bureau of Investigation for
Non-Gaming employee license applicants; and

WHEREAS, the Tribal Council determined that emergency amendments were necessary
in order for the Gaming Commission to license Non-Gaming Employee applicants
for employment at the Tribe’s gaming enterprise and enacted emergency
amendments by Resolution #12-0919-249; and

WHEREAS, the amendments were posted for 30 day public comment period as required
by the Administrative Procedures Act; no comments were received, and a final
work session was held on October 30, 2012.

NOW THEREFORE IT IS RESOLVED that the Tribal Council of the Little River Band
of Ottawa Indians hereby permanently adopts, under authority of Article V of the
Administrative Procedures Act, the emergency amendments to the Gaming Ordinance
#10-400-01 enacted by Resolution #12-0919-249.

IT IS FURTHER RESOLVED that Tribal Council directs Legislative Counsel to

formally submit this Resolution and permancnt amendment for approval by the
Chairperson of the National Indian Gaming Commission.

NOV-01-2012 10:38 98% P.004


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

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

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

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

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

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

within 14 days of the date of receipt of the regulatory agency’s decision.
a. In all appeals before the Tribal Court, there shall be deference given by the Tribal Court to
the determination of the regulatory agency as the agency charged with responsibility for
interpreting its own regulations. The Tribal Court does not have authority to grant injunctive
relief authorizing a return to work pending any appeal. The Tribal Court review of regulatory
agency hearing determinations is limited to interpretation and application of law or
regulation. The decision of the Tribal Court shall be final.

12.06. Notice to NIGC of Revocation. The regulatory agency shall notify the National Indian

Gaming Commission of any decision to revoke a license.

Article XIII. Customer Complaints
13.01. Resolution of Disputes between the Gaming Public and the Gaming Enterprise. Disputes
between a customer and a gaming enterprise shall be resolved as follows:
a. The customer shall have the opportunity to present his/her complaint, verbally or in writing, to the
general manager of the gaming enterprise or a person designated by the general manager to resolve
complaints by customers.
b. Ifthe complaint is not resolved under paragraph (a) to the satisfaction of the customer, he/she may
file a written complaint with the regulatory agency. The regulatory agency shall provide the customer
with a complaint form that requires sufficient information to conduct an investigation.
c. The regulatory agency shall have processes in place, through regulations, to review and, if
necessary, hold hearings in regards to customer complaints.
22

Gaming Ordinance
Ordinance #10-400-01

Approved by TC October 6, 2010

Approved by NIGC January 5, 2011

Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011

Emergency Amendments Effective September 19, 2012

Permanent Adoption of Emergency Amendments - Res. #12-1031-289


Little River Band of Ottawa Indians
375 River Street
Manistee, MI 49660
(231) 723-8288

Resolution # 12-1031-289 .

Permanent Adoption of Emergency Amendments to
Gaming Ordinance, Ordnance Number ]0-400-01

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

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

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

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

WHEREAS, the Tribal Council is authorized under Article IV, Section 7(a) of the
Constitution to provide for the public health, peace, morals, education and general
welfare of the Little River Band and its members; and

WHEREAS, the Tribal Council is empowered by Article JV, Section 7(a) of the
Constitution to establish laws through the enactment of ordinances and adoption
of resolutions; and

WHEREAS, the Tribal Council adopted the Administrative Procedures Act, which
identifies the processes by which ordinances may be adopted, amended or
repealed, and which also identifies processes by which emergency amendments
may be authorized; and

NOV-01-2012 10:36 99% P.003


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 Indian lands, and if the lands are
acquired after October, 17, 1988, they must be eligible for gaming under a specific
provision of 25 U.S.C. § 2719.
b. The proposed gaming activity is to be played as Class II or Class III 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 activity.
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 net revenues of the gaming enterprise shall be used for the purposes
stated in Article VI.
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 health and safety of the general public or employees.
6. Any management contract between the Tribe and a principal has been approved
by the Tribal Council and the National Indian Gaming Commission.
7. The gaming enterprise shall pay to the National Indian Gaming Commission
such fees as federal law may require.
8. In the event that Class II] Gaming is proposed, such gaming meets all other
criteria established by the Compact, federal and tribal laws and regulations.
9. The gaming enterprise shall comply with Tribal, Federal and State revenue laws
relating to gaming and non-gaming activities and shall collect, report and remit all
taxes required under such laws.
10. The gaming enterprise shall comply with the duties imposed upon casinos by
Title 31 of the United States Code.
9.05. Gaming Facility License Application Procedures.
a. Upon receipt of a complete application for a gaming facility license for any Class II or

9

Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011

“inal Approval by TC — Repeal & Replace - January 19, 2011
fective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289



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

h. 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;

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

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

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

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

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

n. A sworn statement that the gaming enterprise has complied with the Bank Secrecy Act
of the United States Code.

Article X. Employee Licensing
10.01. General - Types of Employees; License Requirements. There are two categories of

employees at a gaming enterprise - non-gaming and gaming. Individuals under the age of 21 may

be hired only in a non-gaming employee capacity

10.02 Non-Gaming Employees. All persons who are not gaming employees but are employed by

at any gaming facility, must obtain a non-gaming license from the regulatory agency before

commencing employment. Such licenses may be issued upon a determination by the regulatory
agency that the employee is not a threat to the effective regulation of gaming and creates no risk

or enhances no danger of unfair or illegal practices, methods or activities in the conduct of
gaming. All applicants for a non-gaming license shall provide such information that the
regulatory agency requires under this Ordinance.

a. General. An applicant for a non-gaming employee license may be approved upon a
determination by the regulatory agency that the individual will not create a risk of injury
or loss to the person or property of guests of the gaming enterprise or the assets of the
gaming enterprise and that the individual is not a threat to the effective regulation of

12
Gaming Ordinance
Ordinance #10-400-01
Approved by TC October 6, 2010
Approved by NIGC January 5, 2011
Final Approval by TC — Repeal & Replace - January 19, 2011
Effective January 20, 2011
Emergency Amendments Effective September 19, 2012
Permanent Adoption of Emergency Amendments - Res. #12-1031-289