January 5,201 1 

Via U.S. Mail and Facsimile 

Stephen Parsons, Tribal Council Speaker 

Little River Band of Ottawa Indians 

375 River Street 

Manistee, MI 49660 

FAX: (23 1) 398-0674 

Kimberly McGrath, Legislative Attorney 

Little River Band of Ottawa Indians 

375 River Street 

Manistee, MI 49660 

RE: Little River Band of Ottawa Indians Gaming Ordinance No. 10-400-0 1 

Dea Mr. Parsons and hds. McGrath: 

This letter responds to your request on behalf of the Little River Band of Ottawa 

Indians for the National Indian Gaming Commission to review and approve the Band's 

amendments to its gaming ordinance. 

The amendments to the gaming ordinance were adopted by Tribal Council 

Resolution No. 10-1 006-330. The amended gaming ordinance mc1udes the following 

revisions: 

Adds definitions for technologies that have become cammonplace such as ATM 

and cash counters; 

Requires facility licenses to be renewed biennially rather than annually; 

Requires gaming facilities to certify compliance with Title 3 1 of the U.S. Code 

(Bank Secrecy Act); 

* Provides for the licensing of Tribal government officials who are appointed to the 

oversight board for gaming operations. 

Provides a list of employee positions and others prohbited from gaming in the 

Tribe's facilities. 

Thank you for bringing these amendments to our attention and for providing us a 

copy of the updated ordinance. The ordinance is approved as it is consistent with the 

NATroNAL HEaDQlrARTERs 1441 L St NW, Suite 9100. Warh~ngton. DC 20005 Tel 202 632 7003 Fax. 202.632.7066 \Nww.Nlcc.cov 

REGIONAL OFFICES Portland. OR; Sacramento, CA. Phoen~x, AZ, St Paul, MN;Tulsa, OK 
Little River Band of Ottawa Ordinance Approval, page 2 of 2 

requirements of the Indian Gaming ReguIalory Act and the NIGC's reguulations. If you 

have any questions, please contact StafIAttorney Jennifer Ward at (202) 632-7003. 

Sincerely, 

Tracic L. Stevens 

Chairwoman 
Little River Band of Ottawa Indians 

3 7 5 River Street 

Manistee, MI 49660 

(23 1) 723-8288 3 

I? 

'. 

C",? 

Resolution # 10-1006-330 

Adoption uf Gaming Ordinance, Ordinance Number 1 0-400-01 and 

A rsthorim t io~~ for Legislative Attorney to Submit 

to Nuticlnal Indian Gaming Co~lamission fur Review and Approval 

WHEREAS, the status of the Gad ching ~iibi Duhaa Aniihimdhek (Little River Band of 

Ottawa Indians) as a sovereign and Treaty-making power is confirmed in numerous 

treaties, fro111 agreements with the initial coIonial 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 1 836 Treaty of 

Washington (7 Stat. 491) with the United States, as reafErrned by federal law in P.L. 

103-324, enacted in 1994; and 

WHEREAS, the Tribe adapted 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 Pfiairs on May 13, 

2004: and 

WHEREAS, the legislative powers of the Little River Band are vested in the Tribal Council 

at Article IV, Section 7 of the Constitution; and 

wEEREAS, the Tribal Council is authorized under Article IV, Section 7(a) of the 

Constitution to enact ordinances and adopt resolutions to provide for the public 

health, peace, morals, education and general welfare of the Little River Band and its 

members and to govern the conduct of members of the Little River Band and other 

persons within its jurisdiction; and 

WHEREAS, the Tribal Council is authorized under Article IV, Section 7(f) of the 

Constihtion to create by ordinance regulatory commissions or subordinate 

organizations and to delegate to such organizations the power to manage the affairs 

and enterprises of the Little River Band; and 
Resolution # 10- 1006-330 

Page 2 of 3 

WHEREAS, the Tribal Council adopted the Gaming Ordinance, Ordinance #02-400-01, to 

regulate the gaming enterprises of the %be and authorize and preemptively regulate 

the terms and conditions under which gaming may be conducted an the lands of the 

Tribe; and 

WJEREAS, Section 271 0 of the Indian Gaming Regulatory Act requires that a Tribe adopt 

and submit its Gaming Ordinance to the Chairperson of the National Indian Gaming 

Commission for review and approval; and 

WHEREAS, Tribal Council adopted a revised Gaming Ordinance, Ordinance Number 07- 

400-01, by Resolution Number 07-0912-494, which would have been effective upon 

approval by the National Indian Gaming Commission; and 

WHEREAS, the National Indian Gaming Commission reviewed Ordinance Number 07-400- 

0 1 and made recommendations to the 'Tribal Council for further revisions; and 

WHEREAS, Tribal Council has worked diligently on a new draft of the Gaming Ordinance 

which incorporates the recommendations received by the National Indian Gaming 

Commission and also amends other substantive provisions of the Ordinance; and 

WHEREAS, the amendments to the Gaming Ordinance, Ordinance #lo-400-19, were 

posted for public comment from July 28,201 0 to August 27,20 10; public comments 

were received and reviewed by Tribal Council at a final work session held on 

September 22,20 10. 

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

of Ottawa Indians hereby adopts, under authority of the Little River Band of Ottawa Indians 

Constitution, Gaming Ordinance #10-400-10, which Ordinance shall be effective afler 

approval by the National Indian Gaming Commission. 

IT IS FmTHER RESOLVED THAT the Tribal Council authorizes Legislative Counsel to 

submit Gaming Ordinance #lo-400-10 to the National Indian Gaming Commission for 

review and approval in accordance with the Indian Gaming Regulatory Act. 
Resolution # 10-1 006-330 

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, 2 AGAINST, 0 ABSTAINING, and I ABSENT at a regular 

session of the Little River Band of Ottawa Indians Tribal Council held on October 6,2010, at 

the Little River Band's Dome Room in Manistee, Michigan, with a quorum being present for 

such vote. 

Attest: 

Distribution: Council Records 

Tribal Ogema 

Tribal Court 

Gaming Commission 

I,RCR General Manager 

s tep'hen p par sons, Council Speaker 
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 I1 and 

CIass I11 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. he 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 

7CiS(2). 

c. Article V, Section 4(a)(8), authorizes the TribaI Ogema to manage the economic 

affairs, enterprises, property and other interests of the Tribe, consistent with ordinances 

and resolutions enacted by the Tribal Council. 

ArticIe 11. Adoption; Amendment; Repeal; Severability 

2.0 1. Adoption. 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 18-0 1 which further amended the ordinance; and 

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

ordinance # 02-400-0 1. 

e. Resolution # 05-0323-1 21 which deEeted references to management contractors, and 

made numbering clarifications among other amendments. 

f. Resolution #07-0912-494 which repealed Gaming Ordinance #02-400-0 1 and adopted 

Gaming Ordinance #07-400-01, amending the ordinance to clarify and define gaming and 

non-gaming activities arising out of the growth of the gaming enterprise effective upon 

receipt of approval by the National Indian Gaming Commission. 

g. Resolution #lo-1 006-330, correcting technical deficiencies identified by the National 

Indian Gaming Commission among other amendments, renumbering the ordinance, and 

1 

Gaming Ordinance 

Ordinance #lo-400-01 - Final Work Session 10.05-2010 

Authorization to Submit to NlGC -Approved by TC ?0-06-2010 
authorizing resubmission to the National Indian Gaming Commission. 

h. Resolution #I 0- - , acknowledging receipt of approval of the National lndian 

Gaming Commission and providing that the Ordinance is effective as of 

2.02. Amendmen/. 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. Severuhilip. If any provision of this ordinance or its appIication 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 111, Definitions 

3.01. GeneraE. 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 CL~hall'' is always mandatory and not merely advisory. 

3 -02. Automated feller 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 lndian gaming engaged in by individuaIs as a part of, or in connection with, Tribal ceremonies 

or celebrations. 

3.04. Class I1 Gaming shall mean Class IT gaming as defined in IGRA. 

3.05. Class III 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 dispIay the value of coin or currency. 

3.07. Compuct shall mean a 'Tribal-State Compact concerning Class I11 gaming approved or 

deemed approved by the Secretary of the Interior and published in the Federal Register pursuant 

to 25 U.S.C. §2710(d). 

3.08. Cbmplimentary Sewice 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 empIoyees. 

3.1 0. 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; 

c. any person whose job description falls within the following areas: finance; information 

Gaming Ordinance 

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Ord~nance #10-400-01 - Final Work Session 10-05-2010 

Author~zation to Submit to NlGC - Approved by TC 10-06-2010 
technology: security; gaming operations; and marketing. 

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

$50,000. 

3.1 1. Gaming means Class 11 and Class I11 gaming authorixed by this Ordinance, the Cumpact, 

and as may be further authorized under IGRA. 

3.1 2. Gamt~g 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, tabIe 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 shalI mean any commercial enterprise of the Tribe authorized to engage 

in gaming, and all ancillary commercial activities within the gaming (facilitylies) 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 reek 

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 clasified as a gaming device, including, but not limited to, dice and 

playing cards; equipment which affects the proper reporting of gaming revenue; computerized 

systems for monitoring gaming devices; and devices for weighing or counting money. 

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. 

3.1 8. 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, ar 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, 

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gaming equipment or supplies. 

3.21. General Munager means the highest level employee of the gaming enterprise. 

3.22. IGM shall mean the Indian Gaming Regulatory Act of 1988,25 U.S.C. 2701 et seq, as 

amended from time to time. 

3.23. /mmediute 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 oficial 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 t icense. 

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. Nun-gaming employee means an individual not required to be licensed as a Key employee 

or Primary Management Official as approved by the reguIatory agency. 

3 29. NOR-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. 

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. Tu 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. 

3.3 1. Primary management oficial 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. Regulafory Agemy 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 

hidher designee. 

Gaming Ordinance 

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Ordinance #t 0-400-01 - Final Work Session 10.05-2010 

Authorization to Submit to NlGC -Approved by TC 10-06-2010 
3.35. Service Vendur 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 tweIve month period. 

3.36. Sfate shall mean the State of Michigan. 

3.37. Tribal Court shall mean the Tribal Court and TribaI Court of Appeals of the Little River 

Band of Ottawa hdians and all other tribal judicial forums now or hereinafter established by the 

Tribe. 

3 -3 8. fiibe 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 

4.0 1 . CIcass I1 Gaming Authorized. Class I1 gaming is hereby authorized. 

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

4.03. Class 11 andur Class 111 License Required Class I1 and Class III 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. 

4.04. Gaming Age Minimum. No person under age 21 may gambIe in a gaming enterprise 

authorized under this Ordinance. 

Article V. Tribal Ownership Required 

5.01. Sole Proprietary Interest Required. The Tribe shaIl have the sole proprietary interest in, 

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

5.02. Privute/lndividual OM~nersh@ Prohihifed No individual, partnership, corporation or entity 

of any kind shall own in whole or in part any Class I1 or Class IJl 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 I1 and Class IT1 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; 

6. to promote tribal economic development; 

d. to donate to charitable organizations; 

e. to help fund operations of local governmental agencies. 

J 

Gaming Ordinance 

Ordinance #lo-400-01 - Final Work Session 15-05-2020 

Authorization to Submit to NlGC -Approved by TC 10-06-2010 
Article VII. Audit Required; Report to National Indian Gaming Commission - 

7.01. Annual Azddi/. 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. A zrdi f fo Include Confracts .for Gaming Services, Eqzkipmenf or Szrpplies. All contracts for 

gaming services, gaming equipment or supplies shall be specii?cally 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-heping Requirements. Each gaming enterprise conducting Class 11 or Class 111 

gaming shall keep accounting records on a double entry system of accounting, maintaining 

detaiIed, 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 I1 or 

Class JII gaming is conducted; 

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

gaming is conducted, including but not limited to transactions relating to each gaming 

table bank, game drop box and gaming room bank; 

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

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

and statistical win; for electronic, computer, or other technoEogically 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 behaIf of the Tribe; and 

h. PersonneI information on all employees, including rotation sheets, hours worked. 

employee profiles and background checks. 

Article VILI. 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 I11 gaming within the 

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

Gaming Ordinance 

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Ordinance #lo-400-01 - Final Work Session 10-05-2010 

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agency as set forth in Article IX. 

8.03. Emp1oyee.s of n 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 

Tkbe unless licensed by the regulatory agency in accordance with Article XI. 

8.05. Temporav Liceiz.~es. 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 vaIid for no longer than thirty (30) days from the date of issuance. A temporary license may 

be rescinded prior to the conclusion of the thirty (30) day period if the applicant has been 

determined unsuitable for licensure under applicable gaming rules. Notice of rescission of a 

temporary license shall be presented to the applicant and the gaming enterprise. 

Article IX. Gaming Facility Licenses 

9.01. License Required. As set forth in Section 8.02, no person shall conduct Class I1 or Class XI1 

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 my gaming 

facility that is owned or operated by any person other than the Tkbe. Ef 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 far each building or location where Class IJ or CIass 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 11 Operations in a Gaming Facility. This license shall be required of all gaming 

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

b. Uass III Operations in a Gaming Facilily. This license shall be required for all gaming 

enterprises operating my gaming other than Class I or Class TI gaming in each gaming 

facility. A Class I11 gaming license includes the operation of CIass I or Class I1 gaming 

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

9.03. Gaming Facility Appiliccstion Procedures. In order to obtain a gaming facility license, the 

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

the regulatory agency. The applicant shall include all of the foIIowing infixmation: 

a. A description of the gaming activity proposed, including, but not Iimited 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 

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Ordinance #10-400-01 - Final Work Session 10-05-2010 

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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 systeins within the gaming faciIity. 

c. Tl-ie location proposed for such gaming facility. 

d. A description of the security, police, fire protection, environmental, health, safety, and 

other public safety services to bc available in the proposed gaming faciIity 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 Criferia Which a Gaming Facilify fist Meet. In addition to the information 

required in the gaming facility license application, any applicant for a Class II or Class 111 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, 1 988, they must be eligible for garning under a specific 

provision of 25 U.S.C. 8 2719. 

b. The proposed gaming activity is to be played as Class I1 or CIass 111 gaming as defined 

by this Ordinance and IGRA. 

c. The gaming enterprise and proposed gaming facility is authorized by st TribaI Council 

resolution. 

d. The Tribe or one of its subdivisions wiI1 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 annualIy and copies of 

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

National Indian Gaming Commission. 

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

and fiIing 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 adequateIy protects 

the environment health and safety of the genera1 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 shaIl pay to the National Indian Gaming Commission 

such fees as federal law may require. 

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8. In the event that Class IIX Gaming is proposed, such garning 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 3 1 of the United States Code. 

9.05. Gaming Fucilidy License Applicatio~r Procedures. 

a. Upon receipt of a complete application for a gaming facility license for any Class I1 or 

Class 111 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 a11 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 Iaws and 

regmlat ions. 

b. The regulatory agency shall approve the gaming facility appIication 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 terns 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 I1 and Class 111 gaming facility license shall be valid for a period 

of twenty-four (24) months from the date of issuance. 

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

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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 Fucilily License Renewals. 

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

required for each Class I1 or Class 111 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 hual Reports required by 

Section 9.10 have been filed. 

c. All renewaI 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, federa1 or other applicabIe 

Iaw 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. AnntlLrnE Reports, Each gaming enterprise which possesses a Class I1 or Class I11 gaming 

faciIity 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 genera1 managers of the gaming 

enterprise and at each gaming faciIity; 

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 I1 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 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 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 wiII be designated as a contact person for 

service of process, notice and other oficial correspondence from the regulatory agency 

over the next license period for each gaming facility; 

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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; 

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 annuaI audited financial report foIlowing 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 (h 2) months; 

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

consent to Tribal Corlrt 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 ufEmpIoyees; License Reguiremenfs. There are two categories of 

employees at a gaming enterprise - non-gaming and gaming. Individuals under the age of 2 1 may 

be hired only in a non-gaming employee capacity 

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

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

commencing employment. Such licenses may be issued upon a determination by the regulatory 

agency thztt the employee is not a threat to the eEective 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 shaII 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 in-jury 

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 

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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 appIying for. 

b. Specific Disquulifiing Circumstances. An applicant shall not be eligible for a nongaming employee license if the application or background investigation confirms that the 

applicant: 

1. 1s under the age of (I 8); or 

2. I-Ias been convicted of or entered a plea of guiliy or no contest to a gatnblingrelated 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 

reguIatory agency has determined that the person has been rehabiIitated, and is not 

likely to engage in future criminal or offensive actions; or 

3. Has been convicted of or entered a plea of guiIty 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. Was 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, andlor 

is registered in any jurisdiction's list of sexual offenders. 

c. Non-Guming EwrpIoyees Clearly Distinguishable. Non-Gaming employees shall be 

clearly identifiable and distinguished from gaming empfoyees 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, 

their positions, and a copy of all job descriptions on file with the regulatory agency. 

Voluntary relinquishment of a gaming Iicense will not preclude the regulatory agency 

from addressing license issues that occurred during the time the licensee held a gaming 

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license. 

b. Spec@c BiL~qu~1ijling Circumstances. The regulatory agency shall not grant a license 

to any applicant for a gaming employee license who: 

1. Is a member of the Tribal Council, the Ogemq a Judge or Appellate Judge on 

the Tribal Court, the prosecutor or a law enforcement oficer 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 gamblingrelated offense, fwd or misrepresentation. Tile terns "fraud ar 

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 aduIt 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 shaI1 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 cotlrse 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 193 1, as 

amended, or the controlled substmces 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 unIawfuI 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 unsuitabIe, 

unfair, or illegal practices, methods and activities in the conduct of gaming or to 

the carrying an of the business and financial arrangements incidental to the 

conduct of gaming; or 

6. Has knowingly and willfully provided materially false and misleading 

statements or information to the regulatory agency or refused to respond to 

questions asked by the regulatory agency specifically related to the person's 

eligibility to obtain or retain a license; or 

7. I-Ias been convicted of any offense related to sexual crimes or criminal sexual 

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conduct where the perpetrator was convicted as an adult at the time the crime was 

committed, andlor is registered in any jurisdiction's list of sexual offenders; or 

10.04. Applicalion for an Employee License. The regulatory agency shall require each potentiaI 

employee to submit an application to the reguIatory 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 nurnberls), 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 trafic 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 

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; 

I. 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; 

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n. A sworn statement that to the best of his knowIedge 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 

FederaI 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 andlor 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. 

1 0.05. Application Forwas - Nof ices. 

a. Privacy Acf Notice. The foIlowing 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 oficial duties. The information may be disclosed 

to appropriate Federal, Tribal, State, Iocal, or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or regulatory investigations or prosecutions or 

when pursuant to a requirement by a tribe or the National Indian Gaming Commission in 

connection with the issuance 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 oficial or key employee or nun-gaming position. The disclosure of 

your Social Security Number (SSN) is voluntary. FIowever, failure to supply a SSN may 

result in errors in processing your application." 

b. False Stafements 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 

Iicense or the suspension or revocation of a license. Also, you may be punished by finc or 

I J 

Gaming Ordinance 

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imprisonment (U.S. Code. title 18, section 1001)." 

10.06. Burden of Proofon 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. 

t 0.07. Buckground Jn~e~srigcrtian. 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 reguIatory 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 TribaI 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 crirninaI background of each applicant for a license shall be investigated by 

obtaining information concerning the applicant from Iaw 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 Iaw enforcement agency(ies) that the reguIatory agency deems appropriate, 

requesting a criminal history report. The vital information which may be provided to 

identify the applicant may include: the appIicant7s 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 Primary Management Official's application for a 

gaming employee license, the reguIatory agency shall also investigate and verifl the 

accuracy of financial information provided by the appIicant 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 annuaIly. 

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 andlor criminal history 

investigations. 

10.08. Eligibiliry 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 

eIigibility 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 prhlic interest or to the effective 

reguIation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming, it wiII 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 

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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 OfficiaI or to a Key employee, the 

regulatory agency shall forward to the National Indian Gaming Con~mission an 

investigative report on each background investigation. An investigative report shall 

include a11 of the following: 

I. Steps taken in conducting a background investigation; 

2. Results obtained; 

3. ConcIusions reached; and 

4. The basis for those conclusions. 

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

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

Gaming Ordinance 

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Ordinance 910-400-01 - Final Work Session 10-05-201 0 

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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 IndividuaIs 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 thc licensee's photograph and shalI state on its face the name of the empIoyee, the gaming 

facility at which the employee is licensed to work, the type of license, the date that the license 

became effective and the date that it expires. 

10.1 1. 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 a11 circumstances, an 

empIoyee 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 

1 1 .0 1 . General - Types qf;Cicenses. ME vendors contracting with the gaming enteyri se 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 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 caicuIated. 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 Vendors License. Vendors contemplating $50,000 or greater of business with 

the gaming enterprise during the fiscal year, and who enter into contracts not reIated 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 reguIatory agency shall clearly identify the level of background 

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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 reguIations. 

F 1.04. 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 shaI1 identify appropriate levels of information and releases necessary to 

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

Article XII. DeniaVSuspension/Revocation of License; Right to Appeal 

12.01. Applicuhiiify. This Article shall apply to the denial, suspension or revocation of any 

license issued by the reguIatoi-y agency under Article X or XI of this Ordinance, except actions 

taken under Section 1 1.02. 

12.02- Hearing upon Deniul 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 2 1 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. Su.vpension 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 Crom holding a Iicense, 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. 

19 

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Ordinance #I 0-400-01 - Final Work Session 7 0-05-2010 

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c. The person's license may be suspended for not more than seven (7) days pending 

completion of an investigation by the reguIatory agency to determine wl~ether any of the 

following have occurred: 

1. The Iicensee 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. 

3. The licensee knowingly and substantially made a materially false and misleading 

statement in a license application. 

4. The licensee has participated in unauthorized gaining activity whether or not 

regulated by this Ordinance. 

5. The licensee has knowingly and substantially refused to comply with any lawfi~l 

order of the regulatory agency, the Tribal Court or the NationaI Indian Gaming 

Commission. 

12.04. Right fo Hearing: Before the Regularory Agency. In any case governed by Section 12.03Ca) 

above, and in all cases where the regulatory agency determines that a revocation is warranted under 

section 12.03(b), the regulatory agency shall notify the licensee of the proposed revocation of the 

license. The notification shall be served upon the licensee and shall state the legal basis for the 

revocation and any evidence the regulatory agency died upon in making its determination. The 

licensee shall be informed of the date and time set for the hearing, and of the licensee's right to offer 

sworn oral and documentary evidence to rebut the regulatory agency's determination. Any hearing 

scheduIed 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 (z) revoke; (b) reinstate the Iicense; 

or (c) reinstate the license with conditions or limitations. 

12.05. Appeul 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. 11e decision of the Tribal Court shall be final. 

12.06. Notice fo NIGG qf'Revocation. The regulatory agency shall notify the National Indian 

Gaming Commission of any decision to revoke a license. 

Article XIII. Customer Complaints 

13.0 1. Resolution of Disputes between the Gaming Public and the Gaming Enterprise. Disputes 

between a customer and a gaming enterprise shaIl be resolved as follows: 

a. The customer shall have the opporhrnity to present hisher complaint, verbally or in writing, to the 

general manager of the gaming enterprise or a person designated by the general manager to resolve L 

complaints hy customers. 

Gaming Ordinance 

20 

Ordinance #TO-400-01 - Final Work Sess~on 10-05-201 0 

Authorization to Submit to NIGC -Approved by TC 15-06-2010 
b. Ff the complaint is not resolved under paragraph (a) to the satisfaction of the customer, helshe may 

file a written complaint with the regulatory agency. The regulatory agency sllall 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 Ilearings in regards to customer complaints. 

Article XIV. Tribal Government Employees and Gaming Regulatory Agency Members 

and Employees Prohibited from Gaming 

14.01. I'rohibition Agoinst Participation in Gaming Activities at the Gunzing Enterprises. This 

ArticIe 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. Gcarning 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 hoId 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. Pro hibition on Regtlkatoiy 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 Rand 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 

1 5.0 1. Guming hterprise 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 

khire. 

a. All Primary Management Officials. 

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

e. All Security Department staff. 

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

personnel. 

e. All gaming employees as defined in Section 3.10. 

Gaming Ordinance 

2 1 

Ord~nance #1P400-01 - Flnal Work Sess~on 10-05-2010 

Autherization to Submit to NlGC -Approved by TC 10-06-2010 
Article XVI. Prohibitions on Participating in Gaming Activities. 

16.01 . Elected Qfficiuls. Elected Officials eligible to participate in gaming activities shall not be 

eligible to participate in the following: 

a. Promotional activities or give-aways; 

b. Tournaments; and 

c. Class I11 Table Games, 

16.02. Nun-Gaming Enterprise Ernplayees. Non-Gaming Enterprise Employees eligible to 

participate in gaming activities shall not be eligible to participate in the following: 

a. Promotional activities or give-aways; 

b. Tournaments; and 

c. Class 111 Table games. 

1 6.03. Limitation on H~ur.7 q f Gaming Acfivities. Participation in No non-gaming enterprise 

employee shall participate in gaming activities within two (2) hours of the beginning of hisher 

shift or within two (2) hours aRer the end of his/her shift. 

16.04. Cninplimen~ary Services and Gudx. Elected Officials and Non-Gaming Enterprise 

Employees eligible to participate in gaming activities shall neither accept complimentary services 

or items nor accrue complimentary value with their play. 

16.05. Point Redemption Awards. Elected Oficials and Non-Gaming Enterprise Employees 

eligible to participate in gaming activities shall accrue Point Redemption Awards solely based on 

their gaming play. Accrued points shall be redeemable only at non-gaming retail outlets located 

at the Gaming Enterprise. 

16.06. regulation.^ Required. The Gaming Commission shall issue Regulations consistent with 

this Article to govern the conduct of elected officials and non-gaming enterprise employees who 

are eligible to participate in gaming activities. Any Regulations issued shall require approval by 

Tribal Council. 

Gaming Ordinance 

22 

Ordinance #10-400-01 - Final Work Session 10-05-2010 

Authorization to Submit to NIGC - Approved by TC 7046-2910 
CERTIFICATION 

I, Janine M. Sam, Tribal Council Recorder, do hereby certify that this is a true and correct 

copy of the Gaming Ordinance approved for authorization to submit to the National Indian 

Garning Commission by Tribal Council on October 6, 201 0. 

[Seal] 

Gaming Ordinance 

23 

Ordlnance #lo-40.0-01 - Final Work Session 10-05-2010 

Authorization to Submit to NlGC -Approved by TC 10-06-2010 
Gaming Enterprise(s) Board of Directors Act of 2010 

Ordinance # 10-800-03 

Article I. Purpose; Findiags 

1 31. Purpose. The purpose of this Act is to establish a Gaming Enterprises Board of Directors to provide 

monitoring, oversight, and direction regarding the management of the gaming enterprise in order to 

maximize the income for existing aad future Gaming Enterprise(s) and the Tribe. 

1.02. Authority. The TribaI Council of the Little River Band of Ottawa Indians adopts this Ordinance in 

accordance with the following authority: 

a. the Constitution of the LittIe River Band of maws Indians delegates to the Tribal 

Council the responsibility to "...exercise the inherent powers of the Little River Band by 

establishing laws through the enactment of ordinances and adoption of resoIutions not 

inconsistent with this Constitution: 

1. to govern the conduct of members of the Little River Band 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 and its mernbers[.r Article IV, Section 

7(a); and 

b. Mcle V, Section 5(a)(Z) of the Constitution provides that the Ogema shall oversee 

the administration and management of the Tribal government in accordance with the 

Iaws, resolutions and motions adopted by the Tribal Council; and 

c. Article V, Section 5(a)(8) of the Constitution provides that the Ogerna shall manage the 

economic affairs, enterprises, property, and other interests af the Tribe, consistent with 

ordinances and resolutions enacted by the Tribal Council; and 

d. Article V, SectionS(a)(4), of the Constitution provides that the Ogema has the power, 

with the approva1 of the Tribal Council, to appoint heads of subordinate organimtions 

created by ordinance; and 

e. Article V, Section 7(f), of the Constitution provides that Tribal Council has the power 

to create by ordinance regulatory commissions or subordinate organizations and to 

delegate to such organizations the power to manage the affairs and enterprises ofthe 

Little River Band; and 

f. Article IV, Section7(h), of the Constitution provides that the Tribal Council has the 

power to approve appointments to regulatory commissions and heads of subordinate 

organizations created by ordinance. 

1.03. Findirzgs. The Tribal Council finds that: 

a. The Indian Gaming Regulatory Act identifies that a principaI goal of federal Indian 

pol icy is to promote Tri baI economic development, b*bal self-sufficiency, and strong 

Tribal Governments, and has set forth limitations regding the use of gaming revenues 

by Indian Tribes, as well as imposing on Tribes the manner in which they must operate 

their gaming enterprises; and 

b. The Gaming Enterprise;(s) continue to grow and expand as the Tribe's primary source 

of governmental revenue and jabs; and 

c. The nature of the Gaming En terprise(s)' 24-hour year-round operations requires 

constant monitoring oversight, and direction; and 

d. The establishment of a Board of Directors for the Gaming EnterpriseCs) to provide 

appropriate monitoring, oversight, and direction regarding the management and operation 

of any and all existing and future Gaming Enterprise(s) will serve the best interests of the 

Tribe by maximizing generation of income from gaming for the benefit of the Tribe, 

reducing expenses where appmpriate, and minimizing the potential for political 

interference of business decision-making, all in accordance with the goals and budgets 

established by the TribaI Council by law or resolution. 

Gaming Bnterpr~se Ronrd Ordinance 

Permanent Adoption -August 25,2010 

Emergency Amendments -Adopted September 15,2010 [I] 

Emergency Amendments - Adopted September 22,201 0 
Article a. Adoption; Amendment; Repeal; Severability 

2.0 1. Adopion. 

a This Ordinance is adopted by resoIution #I0-0825-292, which repeals all previous versions of 

the Board of Directors Act of 2005, Ordinance #05-800-03 effective thirty (3 0) days from the 

date of adoption, and replaces that Act with this Ordinance #lo-800-03. 

b. Resolution #lo-09 15-3 10, which adopted mendments on an emergency basis to clarify the 

terms of ofice for members of the Interim Board of Directors, the First Board of Directors, and 

a11 subsequent Boards of Directors appointed in accordance with the provisions of this Ordinance. 

c. Resolution #lo-0922-3 18, which adopted amendments on an emergency basis to eliminate 

provisions of this Ordinance that required an Elected Oficial to establish a quorum for the Board 

of Directors to conduct business. 

2.02. Amendmenl: This Ordinance may be amended by the TribaI Council in accordance with the 

Constitution, the Administrative Procedums Act, and any other laws or rules set forth governing 

amendment of laws of the Little River Band of Ottawa Indians. 

2.03. Repeal. The following Resolutions are hereby repealed: Resolution #04-072 1-3 07, Resolution #04- 

0922-380, ResoEution #04-1013-405, Resolution #04-1027-432, Resolution #05-720-328, Resolution #09- 

0325-84, and Resolution #09-0325-85. This Ordinance may be repealed in accordance with the 

procedures set forth in Article IV of the Administrative Procedures Act - Ordinance #04-100-07. 

2.04. Severability Clause. Ef 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 rn application, and to this end the 

provisions of this Ordinance are severable. 

2.05. Title. This Ordinance shall be referred to as the "'Gaming Enterprise(s) Board of Directors Act of 

2 0 1 0" rAct"). 

Article ID. Definitions. 

3 -0 1. DeJiPlilionr. For purposes of this Ordinance, certain terms are defined in this Article. The word 

"'shall" is always mandatory and not merely advisory. 

3.02. At-Large Member means a Member of the Gaming Enterprise Board who is not an elected official 

of the Tribe. At-large Members shalt be enrolled members of the Little River Band of Ottawa Indians. 

3.03. Capital Expenditzcres means the amount spent to add to the value of or extend the useful life of 

property, plant or equipment or to adapt it to a new or different use. Expenses that keep property, plant 

and equipment in an ordinarily eficient operating condition and do not add to its vaIue or appreciabIy add 

to its useful Iife are not capital expenditures. For purposes of this ordinance, only expenditures in excess 

of $10,000 shall be considered capital expenditures. 

3.04, CulIective Bargaining Agreemmt means a contract between a Gaming Enterprise and a labor 

organization regarding wages, hours, terns or conditions of employment pursuant to the Fair 

EmpIoyment Practices Code, 

3.05. Corar~acf means an agreement between two or more parties creating obligations that are enforceable 

or otherwise recognizable at law. 

3.06. Eiecred G@cial, as used in this Ordinance, shall mean the Ogema and any sitting Tribal Council 

member appointed to serve on the Gaming Enterprise Board of Directors. 

3.07. First Board of Directors shall mean the First Board appointed in accordance with Article XN of 

this Ordinance. 

3.08 Gaming Enferprise(s), as used in this Ordinance, shall mean the Little River Casino Resort and any 

future facility at which gaming is authorized under Tribal, State, andlor Federal Law including, but not 

limited to, the Indian Gaming Replatry Act, the Tribal-State Gaming Compact(s), and the Tribal 

Gaming Ordinance. Gaming Enterprises are considered public employers, and are authorized to conduct 

activities including, but not Iimited to, the following; 

- - - 

Gaming Entcrpr~se Board I>rciinmce 

Permanent Adoption -August 25,2010 

Emergency Amendments - Adopted September 15,201 0 [2] 

Emergency Amendments - Adopted September 22,2010 
a. Gaming activities authorized under the Tribal-State Gaming Cornpad. 

b. Hotel and recreational activities. 

c. Entertainment and conference activities. 

d. Dining and banquet activities. 

e. Activities reasonably related to the above. 

f. Other activities as may be authorized fiom time to time by Resolution of the Tribal Council 

amending this ordinance. 

3.09. C;ami~rg License Eligjbiliiy Stmdmds, as used in this Ordinance, shall mean the standards to be 

applied when determining whether elected officials are eligible to hold and/or maintain a gaming license. 

"Gaming License EIigibiIity Standards" shall include application of all TribaI and federal licensing 

eligibility requirements governing Primary Management Oficials. 

3.1 0. Good &me, as used in this Ordinance as a basis for removal of a Mmber of the Board of 

Directors, shall have the meaning ascribed to it under Article V of this ordinance. 

3.1 1. Oflcid Action shall mean an action taken by Resolution or Motion approved by a majority of the 

Members of the Board of Directors present and voting at an offieid meeting. 

3.12. Oflcial Cupnci~. A Member of the Board of Directors is acting in his or her official capacity only 

when undertaking actions oficially sanctioned and approved by a majority of Members of the Board of 

Directors present and voting at an official meeting. 

3.13. Primmy Marrageme~lt Qfr?cial shall have the meaning ascribed to it under the Indian Gaming 

Regulatory Act, as amended from time to time. 

3.14. P~~blic Employer means a Gaming Enterprise or other subordinate economic organization, 

department, commission, agency, or authority of the Tribe engaged in any Governmental Operations of 

the Tribe. 

Article IV. Board of Directors -Creation, Composition, Qnalificrttions. 

4.0 1 - Credion of the Board ofDirec~o~.s. The Tribal Council hereby creates and establishes the Board of 

Directors for the Gaming Enterprise(s), to act as a subordinate organi~ation of the Tribe in overseeing the 

Tribe's Gaming Enterprise(s), subject to the following conditions: 

a. The Board of Directors and its Members shall be subject to the Constitution, laws, and 

resolutions of the Tribe, including the IegisIative authority of the Tribal Council to enact 

laws and resolutions and the executive authority of the Ogema to carry out the laws and 

resolutions enacted by the Tribal Council. 

b. The Board of Directors ad its Members shall be subject to all federal Iaws, or any 

Iaws promulgated pursuant to federal law, including but not limited to the Indian Gaming 

Regulatory Act, the Tribal-State Gaming Compact, the Gaming Ordinance of the Tribe, 

and all applicable laws, regulations, internal operating procedures and minimum internal 

controI standards. 

c. The Members of the Board of Directors shall take an oath of office given by a member 

of the Judiciary of the Little River Band Tribal Court, and shall file a signed 

confidentiality statement with the Tribal Council Recorder. 

4.02. Composition and Qualj7~1rtiopzs of the Board afDirectors. The Board of Directors shall be 

comprised of five (5) Members seated as follows: 

a. Elected Officials. 

I. One Member of the Board of Directors may be the TribaI Ogema. In the 

event that the Ogerna declines to sit as a Member of the Board, then he or she 

shall appoint a Tribal Council member to sit in his or her place. Any 

appointment made under this subsaction shall be approved by the Tribal Council 

and shall have no effect on subsection 4.02(a)(2) below. 

2. One Member of the Bod of Directors shall be a sitting member of the Tribal 

Council, appointed by the Ogema and approved by the TribaI Council. 

Gain~in:, Enterprise Board Ordinance 

Pernlanent Adoption -August 25,201 U 

Emergency Amendments - Adopted September 15,201 0 131 

Emergency Amendments - Adopted September 22,2010 
3. Elected Tribal oEciaEs serving on the Board of Directors shall not be mquired 

to hold a Gaming License issued by the Tribe's ReguIatory Authority, but shall 

be required to meet all Gaming License EIigibility Standards as defined in 

SeGtion 3.08 of this Ordinance. 

b. At-Large Members. Three Members of the Board of Dimtors shall be at-large, and 

shall be appointed by the Ogema and approved by the TribaI CounciI. 

1. The Ogema and Tribal Council shall ensure that every eflort is made to 

appoint and approve individuals who possess relevant experience in the fields of 

business, finance, and/or the hospitality industry, with a particular emphasis on 

gaming facility experience 

2. A11 at-large Members of the Board of Directors shall possess and maintain a Gaming 

License issued by the Gaming Commission or other Gaming Regulatory Agency of the 

Tribe. 

3. All at-large Members of the Board of Directors shaI1 be duly enrolled members in the 

Little River Band of Wwa Indians. 

c . Oflcers; Chairperson; Vice-Chairperson . I. If the Ogema is a sitting Member of the Board of Directors, then the Ogema 

may serve as Chairperson of the Board. In the event the Ogema chooses to not 

serve on the Board, the Ogema shall appoint another Member of the Board to act 

as Chairperson. Any appointment made under this subsection shall require 

approval by TribaI Council. 

2. The Ofice of Vice-Chairperson shall be filled by a Bad Member duly 

seated on the Board of Directors. 

d. The Tribal Council may eIect to secure a bond and/or insumce covering activities of Members 

of the Board of Directors. All Members of the Board of Directors shall cooperate fulIy with the 

Tribe to secure bonding andor insurance covering his or her activities as a Member of the Board 

of Directors. 

e. The fo1Jowing individuaIs shall be prohibited fiom serving as a Member of the Board of 

Directors: 

I. Any person who previously held a seat on the Board of Directors who was 

removed for good cause. 

2. Any person previously disqualified from serving on the Board of Directors. 

3. Any person sitting as a Commissioner on the Little River Rand of Ottawa 

Indians Gaming Commission or other Tribal Gaming Regulatory Agency. 

4. Any person employed by any Gaming Enterprise. 

5. Any person employed by the Little River Band of Ottawa Indians Gaming 

Commission or other Tribal Gaming Regulatory Agency. 

Article V. Removal. 

5.0 1. Removal by Board clfl)irectors. The Board of Directors shall have the power to remove a Board 

Member for good cause upon a majority vote of the Board. 

5.02. Good cause, as used in this ordinance as a basis for removal, means that a Member of the Board of 

Directors shall be removed for the foIIowing reasons by the Board of Directors: 

a. Failure to attend four meetings of the Board of Directos, including special or 

emergency meetings, within a twelve month period. 

b. Revocation of a professional license, permit or certification that reflects on the 

qualifications of the member to sit on the Board or reflects on the professional 

responsibilities and integrity of the member. 

c. Conviction of a felony, or conviction of a misdemeanor act that impinges on the 

professional responsibilities and integritqr of the member. 

- - .- - - - - --- 

Garn~nr Entcmrise Board ~rdinance 

Permanent .hdoption -August 25,201 0 

Emergency Amendments -Adopted September 15,2010 [4] 

Emergency Amendments - Adopted September 22,2010 
d. Failure to carry out the fiscal obligations mandated by this Ordinance. 

5.03. R~movaE Process. The following process for removal of a member of the Board of 

Directors shall be strictly adhered to: 

a. Nofi$catiun - Remons for Removal. The member of the Board of Directors subject to 

removal shalI receive witten notification that sets forth, with specificity, the reason(s) for 

removal. The Notification shall include, at a minimum, the conduct, incident, or action 

that is the basis for the removal and the date and place the conduct, incident or action 

rxcurred; any documents relevant to the conduct, incident, or action; and the names of 

witnesses or other individuals with information regarding the conduct, incident or action. 

b. Not $carion - Hearing Date md Time. The Notification shall include the place, date 

and time of the meeting at which the Board Member may answer the charge for removal. 

Removal hearings shall only be heard in a closed session meeting; provided that the 

Board Member subject to moval may request a public hearing. 

c. Filing of NohiJcation. A copy of the Notification and any attachments shall be 

forwarded to the Tribal Council Recorder. 

d. Witwesses; Documents. The Board Member who is the subject of a removal 

proceeding shall submit, no Iater &an forty-eight (48) hours prior to the hearing date and 

time, a list of proposed witnesses that will be called andlor a copy of all documents that 

wiIl be presented at the removal hearing. Witnesses, at the time of the hearing, shall 

swear an oath as to the truth and accuracy of their statements, 

e. Majority Vote Required- A Board Member shalI only be removed by majority vote. 

f. Final Decision. A majority vote of the Board of Directors, or the Tribal Council in 

accordance with Section 5.05 below, to remove a Board Member shall be final and may 

not be appealed to the Tribal Court. 

5.04. Retm of Propee. Any Board Member subject to removal shall immediately, upon 

receipt of notification of removal, return any property, including documents or records of any 

type, that rightfully belongs in the possession of the Board of Directors. 

5.05. Removal by Tribnl Council. In the event the Board of Directors fails to bring a charge for 

removal against a Board Member for good cause under Section 5.02 above, the Tribal Council 

may remove the Board Member in accordance with the procedures identified in Section 5 -03. 

Article VL Automatic Disqualification. 

6.0 1. Automatic Disqualifica1ion - General. Automatic disqualifications are non-discretionary 

and must be strictly enforced by the Chairperson, or the Vice-Chairperson presiding in the 

Chairperson's absence. 

6.02. Grounds for Disqual$cadion. A Board Member shalI be automatically disquaIified from 

serving on the Board of Directors when one of the following occurs: 

a. The Board Member no longer holds or is eligible to hold a valid gaming license issued 

by the Tribe's gaming regulatory agency; or 

b. The Board Member is no Ionger an enrolled member of the Little River Band of 

Ottawa Indians; or 

c. The Board Member is an eIected oficial who no longer holds an elected office during 

that term. 

6 -03. L)isqualrf;cafion - Procedure. When a Board Member is subject to disqualification under 

Section 6.02 above, the Chairpe~on, or the Vice-Chairperson psiding in the Chairperson's 

absence, shall notify the Board Member in writing. The notification shall contain, at a minimum: 

a. The reason(s) for the disqualification; and 

b. Notice that the Board Member is disqualified effective immediately; and 

c. Notice that the disqualification is not appealable to any hearing body. 

Gaming Enterprise 13om-d Ordinance 

Permanent Adoption -August 25,2010 

Emergency Amendments - Adopted September 15,2010 [S] 

Emergency Amendments - Adopted September 22,201 0 
6.04. RehsrPz of Proper@. Any Board Member disqualified bm sewing on the Board of 

Directors shall immediately return any property, including documents or records of any type, that 

righthlly belongs in the possession of the Board of Directors. 

Article Vn. Notice; Posting Required; Vacancies, 

7.0 1. Notification Required The Board of Directors is required to notify the Ogema and Tribal Council, 

in writing, when a vacancy is created by conclusion of a term, removal by the Board or Tnial Counci 1, 

disqualification, or resignation of a member. 

7.02 Posting Notice of Vacancy for Applicmss. The Ogema shall post for 30 days in the Tribal 

newspaper, a notice that a vacancy on the Board of Directors exists, the preferred qualifications for the 

vacant position, the term of ofice for the vacant position, and the open and closing date of the application 

period. All applications received shall be forwarded to the Tribal Council with the appointments 

presented under Section 7.04 of this Ordinance. This Section shall not apply to appointments to the First 

Board of Directors appointed in accordance with this Ordinance. 

7.03. Vacancy Exists. A vacancy exists upon removal by the Board of Directors or Tribal Council, 

automatic disqualification, resignation, expiration of term of office, or upon receipt of the notice of 

vacancy by the Ogema. 

7.04, Procedurefor Filling Vacancies. The following procedures shaII be adhered to when filling 

vacancies on the Board of Dimtors: 

a The Board of Directors perfoms duties necessary to the activities of the Gaming 

Enterprise(s) such that it is important that vacancies be filled in an efficient and timely 

manner. The Ogema shall submit appointments for vacancies on the Board of Directors 

within 45 days of receipt of notice of a vacancy. 

b. With respect to vacancies existing on the date of adoption of this ordinance, the 

Ogema shall submit appointments to Tribal Council for approval within thirty (30) days 

after the date of adoption. 

c. If the Ogerna is unable to appoint individuals to fill vacancies on the Board, he or she 

shall identify the reasons why vacancies cannot be filIed within the timelines set forEh in 

this section, identify all attempts made to nominate qualified persons, and identify with 

specificity what qualifications each applicant is lacking. 

d. If a vacancy occurs on the Board of Dirators in one or more ofthe seats which 

requires a minimum qualification as set by Section 4.02 above, the remaining Members 

of the Board of Directors may continue to conduct business. 

e. A vacancy in either an Elected Official or an &-Large seat shall be filled for the 

remainder of that km. 

f. A vacancy in the Board of Directors' seat reserved for the Ogma due to removal, 

disqualification or resignation shall be filled in accordance with Section 4,02(a)(I) of this 

Ordinance. 

Article Vm. Meetings; Minutes; Compensation 

8.01. @optam. A quorum of the Board of Directors shall consist of any three (3) Members of the Board 

of Directors. A quorum shall be required to conduct business. 

8.02. Meetings. The Board of Directors shall hald meetings at least once per month. 

8-03. Requirement so Attend Meebi~gs. All Board Members shall attend all. regularly scheduled monthly 

meetings in order to be compensated for attendance. In the event that an emergency meeting is necessary 

in which the Board is required to bke official action, Board Members may participate by telephone but 

shall not be compensated for attendance. 

8.04. Procedures. The Board of Directors shall be authorized to establish its own meeting procedures not 

inconsistent with this Ordinancq provided that the Board of Directors shall act only by Resolution under 

the following c;ircumstances: 

- - -- 

Ciarrling Entemrlsc Hoard Ordinance 

~ermaent ~do~tion - ~ugust 25.2010 

Emergency Amendments -Adopted September 15,2010 [6] 

Emergency Amendmen& - Adopted September 22,201 0 
a. When committing funds, including approval of contracts in accordance with 

Section 9.03 and 

b. When authorizing a waiver of the sovereign immunity of the Gaming 

Enterprise(s1 in accordance with Article X. 

8.05. Minutes. The Board of Directors shall prepare minutes of all open end closed session meetings 

which shall describe with specificity all official actions taken by the Board, and shall memorialize all 

discussions related to those official actions. Copies of the Board of Directors' minutes shall be submitted 

to Tribai Council for acceptance to the record in a timely manner. 

8.06. Compensation Each at-Iarge Member of the Board of Directors shall be paid reasonable 

compensation as authorized by Resolution of the Tribal Council subject to the following limitations: 

a. Compensation for at-large Members of the Board of Directors shall not be diminished 

during any term of office. 

b. The Ogema and Tribal Council Member(s) sitting on the Bod of Directors shall not 

receive additional compensation for sitting on the Board. 

c. Compensation shall be subject to the power of the Tribal Council to appropriate funds 

for such purposes. 

d. In the event that an elected TribaI oficial sitting on the Board is not =-elected to his 

or her Tribal government position, he or she shall be paid the same compensation as atlarge Members of the Board of Directors for a period of not more than sixty (60) days 

following the swearing-in of the new Ogerna andlor Tribal Council, consistent with the 

hold-over provision in Article XTV below. 

Article M. Responsibilities and Duties 

9 -0 1 . Responsibilities. The Board of Directors shall be responsibIe for the foIlowing: 

a. To ensure compliance with the laws and resolutions enacted by the TribaI Council, 

including any goaIs for the Gaming Enterprise(s) established by the Tribal Council; and 

b. to ensure compliance with all applicable laws and regulations, including the Indian 

Gaming Regulatory Act, the Tribal-State Gaming Compact, the Gaming Ordinance of the 

Tribe, and all applicable laws, regulations, internal operating procedures, policies and 

minimum internal control standards; and 

c. to account for and transfer, or to direct the accounting and transfer of, all revenues 

generated by the Gaming Enterprise(s), excluding authorized operating funds, on at least 

a 48-hour basis to an account or accounts authorized md established by the Tribal 

Council by law or resolution; provided that such transfers shall be made according to 

written procedures established by the Board of Directors which shall be subject to 

modification by the Tribal Council by Iaw or resolution; and, 

d. to increase the number of Tribal Members employed by the Gaming Entetprise(s) in 

accordance with the Indian Preference in EmpIoyment Ordinance; and, 

e. to increase the number of Tribal Members employed by the Gaming Enterprise(s) in 

management level positions in accordance with the India Preference in Employment 

Ordinance; and, 

f. General Manager. The Board of Directors shall have the power ta hire a General Manager for 

the Little River Casino Resort in accordance with the laws and resolutions of the Tribe. The 

Board of Directors may enter into an employment contract with the General Manager, provided, 

that such contract shall be subject to ratification by the Tribal Council. The Board of Directors 

shall evaluate the performance of the General Manager on m annual basis or more frequently as 

needed. The Board of Directors shaI1 have the power to terminate the employment of the General 

Manager in accordance with the laws and resoIutions of the Tribe. 

g. to maintain a consistent and regular attendance record; and, 

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Emagency Amendments - Adopted September 15,2010 [7] 

Emergency Amendments - Adopted September 22,20 I0 
h. to be held accountable, to the highest degree, for the accuracy and thoroughness of the 

records and reports of the Gaming Enterprise(s); and, 

i. to be responsible for the successful overall direction and operation of all activities of 

the Gaming EnterpriseCs) in accordance with the Iaws and resolutions enacted by the 

Tribal Council. 

9.02. Gene~qal Duties. The Board of Directors shall: 

a, create, develop, and implement an effective strategy of business organization for the 

Gaming Enterprise(s) including setting objectives for future growth and expansion in 

accordance with the Annual Operating Plan and Annual Budget approved by the Tribal 

Council; and, 

b. ensure the quality of management activities and operations in all areas of the Gaming 

EnterpriseCs); and, 

c. have all duties and responsibilities customary for a Board of Directors of a gaming 

restaurm hotel, and entertainment enterprise, including responsibility for the overall 

operation of the Gaming EnterprisHs), subject to any limitations or prohi bitions set forth 

in this Ordinance, 

9.03. Specific Duties. 

a. Primmy Management OJ7ciaI Employmens. The General Manager shall have the 

power to employ Primary Management Officials for the Gaming Enterprisets) in 

accordance with the laws and resolu~ions of he Tribe. Any employment contract entered 

into in accordance with this Section shall be ratified by the Board of Directors. The 

Board of Directors shall be provided the evaluation reports regarding the perFmance of 

all Primary Management Officials on an annuaI basis or more frequentIy as needed. The 

General Manager shall keep the Board informed of any matters concerning performance 

of primary management official employees 

b. Personnel Manual. The Board of Directors shall have the power to approve and amend 

the Personnel Manual for the Gaming Enterprise(s), subject to the overriding authority of 

the Tribal Council to alter such Personnel Manual by law or resolution. The Board of 

Directors shall provide at least a 30-day advance notice to the Ogema md Tribal Council 

of all proposed amendments to the Personnel Manual. 

c. Grievance Procedures. Within thirty (30) days of the effective date of this 

Ordinance, the Baard of Directors, in consultation with the Genera1 Manager, shaI1 

prepare and forward to Tribal Council for approval a comprehensive Grievance 

Procedure Policy which cIearIy identifies what personnel actions may be grieved. At a 

minimum, the Policy shall create a Board of Review made up of Enterprise employees 

who shalI be authorized to hear grievances and make binding decisions. Any grievances 

pending before the Board of Directors on the date this Ordinance goes into effect shall be 

stayed and held in abeyance until a Board of Review has been created. Employees within 

a bargaining unit represented by an exclusive bargaining representative on or after the 

effective date of this Ordinance shall be exempt from application of this Grievance 

Procedure Policy. 

d. Collective Bargaining Agreements; Contracts. The Board of Directors is expressIy 

delegated the authority to enter into ColIective Bargaining Ageements for the Gaming 

Enterprisels) on behalf of Be Tribe in accordance with Article X of this Ordinance. 

CoIlective Bargaining Agreements shall only be approved by a duly authorized 

Resolution which shall be forwarded to the Tribal Council Recorder for filing with the 

Board's Monthly Report 

e. Contruc~.~. The Board of Directors shaIl have the power to approve contracts up to 

and including $500,000.00 without Tribal Council approvaI subject to those limitations 

identified in Article XI of this Ordinance. 

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f. Fxpendilures. The Board of Directors shall authorite all Gaming Enterprise 

expenditures in excess of $50,000.00. 

9.04. Addilional Dzrties of Chuirpersu~ ad fie-Chairperson. In addition to all other duties of 

the Board of Directors contained in this Ordinance, the Chairperson, or in his or her absence the 

Vice-Chairperson, shall be responsible for carrying out the following additional duties: 

a. Mandatory Reporting Requirements. Ensuring the accuracy and timely submission of 

all mandatory budgets and reports in accordance with the scheduIes set forth in XI1 of 

this Ordinance. 

b. Mmdatuy Distributions. Ensuring the accuracy and timeliness of aH mandatory 

distributions of gaming revenues in accordance with the schedules set forth in Article 

XI11 of this Ordinance. 

c. In the event that any mandatory distribution or reporting requirements me not met in 

accordance with the provisions of this Ordinance, then the Chairpason, or ViceChairperson in his or her absence, shall submit to the Tribal Council a comprehensive 

Corrective Action Plan which, at a minimum: 

1. identifies with specificity the individual(s) responsible for the 

Gaming Enterprise's failure to comply with the provisions of this 

Ordinance; 

2. identifies with specificity any disciplinary action taken against the 

responsible individual(s); and 

3. identifies with specificity what action the Board has taken to avoid 

future non-compliance with the provisions of this Ordinance; and 

4. a Corrective Action Plan submitted under this Section shall be 

delivered to the Tribal Council Recorder within three (3) business 

days of the date of defauIt. The Tribal Council Recorder shall place 

the matter on the next available Tribal Council closed session agenda 

for discussion. 

Article X Limited Authority to Waive Sovereign Immunity. 

10.0 1. Limited Delegotion of Authority - General. The Tribal Council expressly delegates its authority 

to the Board of Directors to waive or limit the right of the Gaming Enterprise(s) to be immune from suit 

in accordance with Article XI, Section 1 of the Constitution, subject to the limitations contained in this 

ArticIe. 

20.02. Authority. The Board of Directors shall have limited authority to waive the sovefeign immunity 

of the Gaming EnterpriseCs) in accordance with the terms and limitations set forth in this Article in the 

folIowing circumstances: 

a. The Board of Directors shall have limited authority to execute Collective Bargaining 

Agreements for the Gaming Enterprise(s) on behalf of the Tribe. To the extent a 

Collective Bargaining Agreement provides for a waiver of the Tribe's sovereign 

immunity, the Board is authorized to execute such a waiver, but only to the extent that 

such a waiver is consistent with the waiver of sovereign immunity provided by Article 

XVI of the Fair Employment Practices Code, or any amendments thereto. 

b. The Board of Directors shall have the additional limited authority to waive the 

sovereign immunity of the Gaming Enterprise(s) only when contracting for essential 

daily operatianaI needs. 

10.03. Limitations to Waiver Authority. Any waiver of sovereign immunity shall be subject to the 

following limitations in order to be valid and enforceable: 

a. A waiver of sovereign immunity authorized in accordance with Section 10.02(b) 

above shall be limited to claims against the Gaming Enterprise(s) and not the Tribe; and 

Gaming Fnterprisc I3c1arrl Ordinance 

Permanent Adoption - August 25,2010 

Emergency Amendments - Adopted September 1520 1 0 [9] 

Emergency Amendments - Adopted September 22,201 0 
b. The Board of Directors shall not have authority to waive the right of the Gaming 

Enterprise(s) to be immune from suit for damages; and 

c. For purposes of this Ordinance only, "damages" do not include remedies or awards for 

wages or other 'bake whole" medies &at employees may be entitled to recover 

pursuant to a Collective Bargaining Agreement entered into pursuant to Article XVI of 

the Fair Employment Practices Code. 

10.04. Procedure. Only waivers of the savereign immunity of the Gaming ~nte~riseis) that strictly 

comply with the procedures set forth in this Section shaIl be valid md enforceable: 

a. The Board of Directors shall only waive the sovereign immunity of the Gaming 

Enterprise(s) by duIy authorized Resolution which contains the following information: 

1. The precise waiver and any IimitationCs) to the waiver as identified in 

the contract or Collective Bargaining Agreement; and 

2. The forum and choice of law which will govern claims or disputes. 

b. A copy of the authorizing Resolution shall be forwarded to the Tribal Council 

Recorder for filing with the Board's Monthly Report. 

10.05. Nun-Delegable Azdthoriv. The Tribal Council expressly reserves a11 other authority to waive the 

sovereign irnmuniQ of the Tribe and the Gaming Enterprise@) in accordance with Article XI of the 

Constitution. 

ArticIe XI. Limitations to Authority and Access. 

I 1.01. OEciaI Action Required. No Member of the Board of Directors shall be authorized to 

act independently or in the absence of an official action taken by roll call vote. 

I 1.02. Limibabzons on Access. The Board of Directors shall not be authorized to access pits, cage, 

surveillance, count rooms, vaults, and behind bars serving food and/or alcohol in any Gaming 

Enterprise. 

1 1 -03. Limitafions on Contracting Aufhority. The Board of Directors shall not have the power to 

enter into or approve any contracts for legal counsel or construction contracts, nor may the Board 

enter into any form of contract or agreement or initiate negotiations with any municipality, nation, 

Indian Tribe, state or body politic, without the approval of the Tribal Council. Contracts shall 

only be approved by a duly authorized Resolution which shalI be forwarded to the Tribal Council 

Recorder for filing with the Board's Monthly Report. 

1 1.04. Limitation on A2dthorify to Terminate Employment. The Board of Directors shall have no 

independent authority to intervene or intercede in any persome1 related matter, including 

termination of employment. The Board shall retain authority related to employment of the 

General Manager in accordance with Section 9.01 (6) of this Ordinance. 

1 1.05. Limitation on A~sthority to Obligate Fmds. The Bod of Directors shall have no 

authority to obligate funds outside the parameters of the approved budget without prior approval 

by the TribaI Council including, but not limited to, funding connected to any bonus or profit 

sharing programs. 

Article XiL Budge* Reporting Requirements; ScheduIes - Required 

12.0 1. Operation of Gaming Enterprise(9. The operation of tbe Gaming Enterprise(s1 is governed by the 

provisions contained within this Article. No deviation from approved plans and budger shall occur 

unless approved by the Baard of Directors and ratified by Tribal Council ResoIufion. 

1 2.02. AniniuE Budget, Reports md Operating Plan 

a The Board of Directors shall prepare, or cause to be prepared a separate proposed 

Annual Budget for each Gaming Enterprise in accordance with the power of the Ogerna 

to prepare and present an annual budget to the Tribal Council under Article V, 

SectionS(a)(S) of the Constitution, and in accordance with the power of the Tribal 

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Permanent Adoption - August 25,2010 

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CounciI to approve or amend the annual budget; provided, that the Annual Budget shall 

include at a minimum: 

I. Statements of revenue and expenses for three years: 

i. For the budget year * - 

11. Actual results for the prior year 

iii. Actual results year to date plus budget for the current year 

2. The statement of revenue and expenses shall be presented: 

i. By month . * 

11. Summary statement of all departments and other opemting segments 

iii. Detailed statements by department or other operating segment 

iv. Detailed statement of monthly revenue by category 

3. Schedule of budgeted depreciation & capital repIacement reserves 

4. Detail of budgeted capital expenditures by month including justification for 

each expenditurelproj ect over $1 00,000 

5. Budget cash flow statement by month 

6. Loan amortization schedule for the budget year 

7. Loan covenant cofnpliance calculation by month for the budget year 

8. Schedule and discussion ofrisks and opportunities for the budget year 

9. Budgeted Board of Directors expenditures including but not limited to: 

i. Compensation 

ii. Expenses -. . 

111. O%ce space requirements 

iv. Staff costs 

v. Consulting fees 

vi. Professional fees 

6. Annual Marketing Report. The annual marketing report shall report on the activities of 

the current fiscal year to date as well as for the upcoming fiscal year by month and shall 

include but not be limited to the following: 

I. Executive summary 

2. Situation analysis 

3. Market analysisltarget markets 

4. Competitive analysis 

5. Marketing strategies 

6. Direct mail 

7. Player development activities 

8. Event profiles and pro-formas 

c. Annual Human Resowces Report. The human resources report shall report on the 

activities of the current fiscal year to date as well as for the upcoming fiscal year by 

month and shall include but not be limited to the following: 

I. Head count schedule 

2. Preference employment report 

3. Hiring plans 

4. Training schedule 

5. Employee development plans 

6. Proposed changes to employee benefits / plans 

7. Compensation plans 

8. Disclosure of any bonus type pIans 

9. Status of Collective Bargaining Agreements and other union activities 

10. Termination report 

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d. Annual Operating Plan & Report. The operating plan shall report on the proposed 

activities for the upcoming fiscal year by month and shalI include but not be limited to 

the following: 

1. Operating goals for the enterprise 

2. Operating goals for each department 

3. Proposed changes in operations 

4. Status of Collective Bargaining Agreements and other union activities 

5. Schedule and discussion of risks and opportunities 

e. SchedziIe for Submission ofdnplual Budgets and Reports. The annual budget and 

annual reports described in items a, through d. above shall be submitted to the Ogema 

and Tribal CounciI no later than September 1. 

12.03. Monthly Reports 

a The Board of Directors shall prepare, or cause to be prepared, a written monthly report 

to be submitted to the Ogema and Tribal Council. The monthly report shall inclvde as 

attachments all Resolutions authorized by the Board during the reporting period, and 

shall summarize the status of all material aspects of the operation of each Gaming 

Enterprise. The monthly report shaIl include, at a minimum: 

I. Statements of revenue and expenses that shall include: 

i. Actual, budget and prior year results for the current month and year 

to date 

ii. Summary statement of all departments and other operating segments 

iii. Detailed statements by department or other operating segment 

iv. Detailed statement of revenue by category 

v. Cash flow statement 

vi. Capital replacement reserve schedule 

2. Three month forecast of revenues by category 

3. Barlance sheet 

i. Current month 

ii. Prior month ... 

lri. Prioryearend 

4. Schedule of actual capital expenditures vs. budget for the cumnt month and 

year to date 

5. Schedule of forecast capita1 expenditures vs. budget for the next three 

months 

6- ban covenant compliance schedule - 

7. Management narrative of operations 

8. Schedule and discussion of risks and opportunities for the next: three months 

9. Marketing Qeparhnent Report 

i. Impact of the cursent month" promotions *. 

11. Promotions scheduled for the next three months 

iii. Entertainment venue and conference center use schedule for the next 

three months 

1 0. Human Resources Report 

i. Headcount schedule . . 

11, Preference employment report ... 

111. Summary of new hires 

iv. Headcount forecast for the next three months 

v. Termination report 

1 1. Status of Collective Bargaining Agreements and other union activities 

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Pcrmment Adoption -August 25,2010 

Emergency Amendments - Adopted September 15,201 0 [I 21 

Emergency Amendments - Adopted September 22,2010 
b. Schedule for Submission of Monthly Reports. The monthly report shall be submitted 

no later than the 2oth day following month end. 

12.04. Applicnble Accounting Sfcmdards. The Board of Directors shaIl ensure that all budgets and 

reporting requirements contained in this Ordinance comply with GeneralIy Accepted Accounting 

Practices in the United States as applicable. 

Article Xm. Mandatory Distributions 

13.01. Mandatovy Distributions. The Board of Directors shdl be responsible for ensuring the timely 

payment of all distributions required by applicable Federal, State or Tribal laws, Resolutions, 

Regulations, Compacts, or Agreements including, but not limited to, the following: 

a Distributions Requid by Cornpact(s). Distributions mandated by any Campact 

between the Little River Band of Ottawa Indians and the State of Michigan-shall be made 

in accordance with the tems of that Compact or any other Aprnent entered into 

between the Tribe and the State 

b. National Indian Gaming Commission Payments. AH payments required to be made to 

the National Indian Gaming Commission, or any other payments mandated by the Indian 

Gaming Regulatory Act. 

c. Tribal Gross Gaming Tax. The Tribal Gross Gaming Tax shall be distributed monthly 

in arrears to the Tribe along with a certificate signed by an officer stating the amount of 

the tax and showing how such amount was computed. The distribution of the tax shall be 

made no later than twenty days after the end of each month and shall be based on 

percentages as set forth by Ordinance. 

d. Net Gaming Reventre. Distributions of net gaming revenue to the TribaI Government 

shall be made monthly, no later than twenty days after the end of each month. 

Article XlV. Terms of Office; Hold-Over Period; First Board of Directors. 

14.01 Terms ofO$Ece- Each Member of the Board of Directors appointed under the provisions ofthis 

ordinance shall have a tern of office in accordance with the following schedule: 

a. Seat I. Seat 1 may be filled by the Ogema for a term of office consistent with the Qgma's 

term of office. If, at the commencement of the Ogema's term, the Ogema appoints a Tribal 

Council member to sit in her or his seat, that Tribal Council Member shalI serve a tern of ofice 

of two (2) years. Upon the expiration of this two (2) year term, the Ogema may fill this seat her or 

himself untiI the expiration of her or his term of office, or the Ogema shall appoint a Tribal 

CounciI Member to serve a two (2) year term of ofice that shall expire consistent with the 

expiration of the Ogema's term of ofice. 

b. Seat 2. Seat 2 shall be filled by a Tribal Council member, who shall serve a term of ofice of 

;Iwo (2) years. 

c, Seat 3. Seat 3 is an At-Large Member, who shall serve a term of ofice of four (4) years. 

d. Seat 4. Seat 4 is an At-Large Member, who shall serve a term of office of four (4) years. 

e. Seat 5. Seat 5 is an At-Large Member, who shall serve a term of ofice of four (4) years. 

E 4.02. Hold-Over Period. To accommodate the appointment and approval provisions for seating 

Board Members, each member of the Board of Directors appointed and approved in accordance 

with this Ordinance may be held-over in ofice f~r a period not to exceed sixty (60) days. 

14.03 Firsr Board of Directors and Initial Staggering of Term of wee. To stagger the tems of 

the At-Large Members ofthe Board of Directors for a11 subsequent Ogernas and to provide for the 

period beginning from the original adoption of this Ordinance, past its effective date, through the 

expiration of the term of ofice of the current Ogema and the commencement of the next Ogema's 

term of ofice, the First Board of Directors shall be comprised as EoIlows: 

Gaming Enterpr~sc Board Ordinance 

Permanent .Adoption -August 25,2010 

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a. Seat 1. Seat 1 may be filIed by the current Ogema until the expiration of his current term of 

office. If the Ogema appoints a Tribal Council member to sit in his sea< that Tribai Council 

Member sharl serve a term of ofice that expires consistent with the expiration of the current 

Ogema's term of office. 

b. Seat 2, Seat 2 shall be filled by a TribaI Council member, who shall serve a term of office that 

expires consistent with the expiration of the current Ogema's term of ofice, at which time the 

next Ogema shall appoint a Tribal Council Member to serve as provided in section 14.01 @). 

c. Seat 3. Seat 3 is an At-Large Member, who shaI1 serve a term of office that expires consistent 

with the expiration of the current Ogema's tenn of ofice, at which time the next Ogema shall 

appoint an At-Large Member to serve as provided in section 14.01 (c) 

d. Seat 4. Seat 4 is an At-Large Member, who shall serve a term of office beginning from initial 

appointment, through the expiration of the current Ogerna's tern of ofice, and for two (2) years 

after the commencement of the next Ogema's term of office, at which time the next Olgema shalI 

appoint an At-Large Member to serve as provided in section 14.01 (d). 

e. Seat 5. Seat 5 is an At-Large Member, who shall serve a term of ofice beginning from initial 

appointment, through the expiration ofthe current Ogma's term of office, and for two (2) years 

after the commencement of the next Ogema's term of ofice, at which time the next Ogema shaIl 

appoint an At-Large Member to serve as provided in section 14.0 1 (e). 

Afiicle XV. Effective Date. This Ordinance shalI be in effect thirty (30) days from the date of its 

original adoption by Tribal Council Resolution. 

Permatlent Adoption - August 25,2010 

Emergency Amendments - Adopted September E 5,2010 1141 

Emergency Amendments - Adopted September 22,2010 
CERTIFICATION 

I, Janine M. Sam, Tribal Council Recorder, do hereby certify that this is a true and correct copy 

of the Gaming Enterprise(s) Board of Directors Act of 2010 adopted by the Tribal Council on 

September 22,2010. 

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Permanent Adoption - August 75,2010 

Emergency Amendments - Adopted September 15,2010 115) 

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