September 15, 1999 

Kathryn L. Tierney 

Tribal Attorney 

Bay Mills Indian Community 

12 140 West Lake Shore Drive 

Brimley , MI 49715 

Dear Ms. Tierney: 

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

and approval of the recent amendment to the tribal gaming ordinance, received by the NIGC 

on August 27, 1999. Resolution No. 99-6-14 D, which amends section 4.18 of the former 

ordinance, was adopted on June 14, 1999 by the Bay Mills Indian Community (Tribe). This 

letter constitutes such approval of the ordinance under the Indian Gaming Regulatory Act 

(IGRA) . 

Thank you for submitting the amended ordinance of the Bay Mills Indii Community for 

review and approval. The NIGC staff and I look forward to working with you and the Tribe 

in implementing the IGRA. 

Montie R. Deer 

Chairman 

1441 L !STREET, N.W. STH FLOOR WASHINGTON. D.C. 20005 EL: 202a-7003 F% 202-632-7066 
RESOLUTION 

Resolution No. 99-6-14 D 

Amendment to Gaming Ordinance 

WHEREAS: The Bay Mills Indian Community is a federally 

recognized Indian tribe with a Constitution 

enacted pursuant to the Indian Reorganization 

Act of 1934, 25 U.S.C. sec. 461, et seq., and 

WHEREAS: The Tribe regulates gaming on its Reservation 

under a compact with the State of Michigan and 

under its Gaming Ordinance, and 

WHEREAS: The power of the Gaming Commission requires 

clarification in the Gaming Ordinance. 

NOW, THEREFORE BE IT RESOLVED, that the Executive Council 

of the Bay Mills Indian Community hereby adopts 

the following amendment to the Gaming Ordinance: 

Subsection (C) of section 4.18 is DELETED. 

APPROVED : ATTEST : 

;L( k,,/ - 

Andrew A. LeBlanc, Sr. 

Secretary 

Bay Mills Indian Community 

Executive Council 
Resolution No. 99-6-14D 

CERTIFICATION 

I, the undersigned, as Secretary of the Bay Mills Indian Community Executive Council, 

do hereby certify that the above Resolution was adopted and approved at a meeting of the Bay 

Mills Executive Council held at Bay Mills, Michigan on the 14th day of June, 1999, with a vote 

of 3 for 0 opposed 1 absent and 1 abstaining. As per provisions of the 

Bay Mills Constitution, the Tribal Chairman must abstain except in the event of a tie. 

Andrew A. LeBlanc, Sr., 

Secretary 

Bay Mills Indian Community 
(B) Vacancies. If any Commissioner shall die, resign, 

be removed or for any reason be unable to serve as a 

Commissioner, the Council shall declare his position 

vacant and shall appoint another person to fill the 

position. The terms of office of each person appointed 

t.~ replace an initial Commissioner shall be for the 

balance of any unexpired term for such position, 

provided, however, that any prospective appointee must 

meet the qualifications established by this Ordinance. 

4.17 Conflict of Interest. No person shall serve as a 

Commissioner if s/he or any member of his immediate family 

is a key employee of or has a financial interest in any 

management contract or gaming supply business, or if s/he 

has any other personal or legal relationship which places 

him in a conflict of interest. 

4.18 Powers of the Tribal Commission. In furtherance, 

but not in limitation, of the Tribal Commission's purposes 

and responsibilities, and subject to any restrictions 

contained in this Ordinance or other applicable law, the 

Tribal Commission shall have and is authorized to exercise 

by majority vote, the following powers in addition to all 

powers already conferred by this Ordinance: 

(A) To regulate all day-to-day gaming activity within 

the jurisdiction of the Tribe including tele-bingo and 

other unusual games. 

(B) To promote the full and proper enforcement of all 

tribal civil and criminal gaming laws and policies. 

(C) To enact and enforce such rules and regulations 

regarding its activities and governing its internal 

affairs as the Tribal Commission may deem necessary 

and proper to effectuate the powers granted by this 

Ordinance and the powers granted and duties imposed by 

applicable law. 

(D) To publish and distribute copies of this 

Ordinance, Tribal Commission rules, and any Council, 

Tribal ~okmission or Tribal Court decisions- regarding 

gaming matters. 

(E) To prepare and submit for Council approval 

proposals, including budget and monetary proposals, 

which could enable the Tribe to better carry forth the 

policies and intent of this Ordinance. 

(F) To work with the staff of any tribal department, 

program, project, or operation and to cooperate with 

the Council or any Council Committee in regard to 

gaming issues. 

-16- 

Revised 6-14-99 
(G) Where it is in the best interest of the Tribe, to 

develop a cooperative working relationship with 

federal and state agencies and officials. 

(H) To arrange for and direct such inspections and 

avestigations as it deems necessary to ensure 

compliance with this Ordinance and implementing 

regulations. In undertaking such investigations, the 

Tribal Commission may request the assistance of tribal 

gaming staff, federal, state and tribal law 

enforcement officials, legal counsel and other third 

parties. 

(I) To maintain and keep current a record of new 

developments in the area of Indian gaming. 

(J) To request the assistance of the Tribal Court or 

Tribal Appellate Court in conducting gaming hearings, 

defining terms used in this Ordinance or other tribal 

laws, or in any other matter in which the Tribal 

Commission deems such assistance to be necessary or 

proper. 

(K) To consider any gaming matter brought before it 

by any person, organization or business, and all 

matters referred to it by the Tribal Council. 

(L) To obtain and publish a summary of federal revenue 

laws relating to gaming and to insure compliance with 

the same. 

(M) To arrange for training of Tribal Commission 

members, tribal employees and others in areas relating 

to the regulation or operation of gaming. 

(N) With the approval of the Council, to employ such 

advisors as it may deem necessary. Advisors may include, but are not limited to, lawyers, accountants, 

law enforcement specialists and gaming professionals. 

(0) To make recommendations to the Council on the 

hiring of all supervisory gaming employees. 

(P) To promulgate rules and regulations to implement 

and further the provisions of this Ordinance. 

(Q) To approve or disapprove any application for a 

tribal gaming license. 

(F.) To consult with and make recommendations to the 

Council regarding changes in tribal gaming laws and 

policies. 
(S) To administer oaths, conduct hearings, and by 

subpoena compel the attendance of witnesses and the 

production of any books, records and papers relating 

to the enforcement of tribal gaming laws, regulations 

and policies. r+-. 

(T) To make, or cause to be made by its agents or 

employees, an examination or investigation of the 

place of business, equipment, facilities, tangible 

personal property, and the books, records, papers, 

vouchers, accounts, documents and financial statements 

of any gaming or enterprise operating, or suspected to 

be operating, within the jurisdiction of the Tribe. 

(U) When necessary or appropriate, to request the 

assistance and utilize the services of the courts, law 

enforcement and government officials and agencies, and 

private parties, in exercising its powers and carrying 

out its responsibilities. 

(V) To examine under oath, either orally or in 

writing, any person or agent, officer, or employee of 

any person, with respect to any matters related to 

this Ordinance. 

(W) To delegate to an individual member of the 

Commission, or to an individual member of the Tribal 

Council, or to the Tribal Commission or tribal staff, 

such of its functions as may. be necessary to 

administer these ordinances efficiently; provided, 

that the Tribal Commission may not re-delegate its 

power to exercise any of the substantial governmental 

functions of the Tribe delegated to the Tribal 

Commission by the Tribe; and provided further, that 

the Tribal Commission may not delegate its power to 

promulgate rules and regulations. It may also not 

delegate to anybody except the Tribal Council or 

Tribal Court the power to revoke a tribal gaming 

license permanently. The Tribal Commission may, 

however, delegate the power to suspend a gaming 

license temporarily and to close a licensed gaming 

enterprise for no more than 30 days when its continued 

operation threatens the public health, welfare or 

safety . 

(XI To close permanently, after notice and a hearing, 

any game or games which are operating in violation of 

tribal law. 

(Y) To sue or be sued in courts of competent 

jurisdiction 

d within the United States and Canada, 

subject to the provisions of this Ordinance and other 

tribal laws relating to sovereign immunity; provided, 

that no suit shall be brought by the Tribal Commission 

-18- 

Revised 6-14-99 
without the prior explicit written approval of the 

Tribal Council. 

(Z) To purchase, lease, take by gift, devise or 

bequest, or otherwise acquire, own, hold, improve and 

me property and assets of every description, real and 

personal, tangible or intangible, including money, 

securities, or any interests therein, rights and 

services of any klnd and description or any interest 

therein; provided that the Tribal Commission shall 

have authority to purchase any interest in real 

property, whether located on or off the Reservation, 

only with the express, prior written consent of the 

Tribal Council as to each such action, and title to 

such real property and property which is to become a 

fixture or permanent improvement or part of the real 

property shall be taken in the name of the Tribe or in 

the name of the United States in trust for the Tribe, 

and title to all trust and restricted real property 

shall remain in trust or restricted status. 

(AA) To sell, convey, mortgage, pledge, lease, 

exchange, transfer and otherwise dispose of all or any 

part of its personal property and assets. 

(BB) With the prior permission of the Tribal Council, 

to borrow money and to make, accept, endorse, execute 

and issue bonds, debentures, promissory notes, 

guarantees and other obligations of the Tribal 

Commission for moneys borrowed, or in payment for 

property acquired or for any of the purposes of the 

Tribal Commission and to secure payment of any 

obligations by secured interest, mortgage, pledge, 

deed, indenture, agreement or other instrument of 

trust or by other lien upon, assignment of or 

agreement In regard to all or any part of the 

property, rights or privileges of the Tribal 

Commission. 

(CC) To arbitrate, compromise, negotiate or settle any 

dispute to which it is a party relating to the Tribal 

Commissionls authorized activities. 

(DD) To enter into, make, perform and carry out any 

agreement, partnership, joint venture contract or 

other undertaking with any federal, state or local 

governmental agency, tribe, person, partnership, 

corporation or other association or entlty for any 

lawful purpose pertaining to the business of the 

Tribal Commission or which is necessary or incidental 

to the accomplishment of the purposes of the Tribal 

Commission. 

-19- 

Revised 6-14-99 
(EE) To invest and reinvest its funds in such 

mortgages, bonds, notes, debentures, share of 

preferred and common stock, and any other securities 

of any kind whatsoever, and property, real, personal 

or mixed, tangible or intangible, as the Tribal 

C?ommission shall deem advisable and as may be 

permitted under applicable law, provided that the 

Tribal Commission shall have authority to invest or 

reinvest in real property, whether located on or off 

the Reservation, subject to the restrictions set forth 

in Subsection 4.18(DD) above. 

(FF) To exercise the tribal power to tax authorized by 

the Tribal Constitution, and, in accordance with other 

applicable law, by establishing and collecting gaming 

fees from gaming enterprises. 

(GG) To purchase insurance from any stock or mutual 

company for any property, or agalnst any risk or 

hazard. 

(HH) To establish and maintain such bank accounts as 

may be necessary or convenient. 

(11) To engage in any and all activities which 

directly or indirectly carry out the purposes of the 

Tribe as set forth in this Ordinance. 

(JJ) With prior approval of the Tribal Council, to 

make application and accept grants and other awards 

from private and governmental sources in carrying out 

or furthering the purposes of the Tribal Commission or 

the Tribe. 

(KK) To exercise all authority delegated to it or 

conferred upon it by law and to take all action which 

shall be reasonably necessary and proper for carrying 

into execution the foregoing powers and all of the 

powers vested in this Ordinance as permitted by the 

purposes and powers herein stated and which are deemed 

to be in the best interests of the Tribe, exercising 

prudent management and good business judgment, all in 

compliance with applicable law. 

4.19 Annual Budset. The Tribal Commission shall prepare 

an annual operating budget for all Tribal Commission 

activities and present it to the Council by November 15th 

of each year. 

4.20 Tribal Commission Requlations. 

(A) Tribal Commission regulations necessary to carry 

out the orderly performance of its duties and powers 

-20- 

Revised 6-14-99 
shall include, but shall not be limited to the 

following: 

(1) Internal operational procedures of the Tribal 

Commission and its staff; .- .. (2) Interpretation and application of this 

Ordinance as may be necessary to carry out the 

Tribal Commission's duties and exercise its 

powers ; 

(3) A regulatory system for all gaming activity, 

including accounting, contracting, management and 

supervision; 

(4) The findings of any reports or other 

information required by or necessary to implement 

this Ordinance; and 

(5) The conduct of inspections, investigations, 

hearings, enforcement actions and other powers of 

the Tribal Commission authorized by this 

Ordinance. 

(B) No regulation of the Tribal Commission shall be of 

any force or effect unless it is adopted by the Tribal 

Commission by written resolution and subsequently 

approved by a resolution of the Tribal Council and 

both filed for record in the office of the Tribal 

Secretary. 

(C) The Tribal Court and any other court of competent 

jurisdiction shall take judicial notice of all Tribal 

Commission regulations adopted pursuant to this 

Ordinance. 

4.21 Riqht of Entrance; Monthlv Inspection. The Tribal 

Commission and duly authorized officers and employees of 

the Tribal Commission, during regular business hours, may 

enter upon any premises of any operator or gaming 

establishment for the purpose of making inspections and 

examining the accounts, books, papers, and documents, of 

any such operator or gaming establishment. Such operator 

shall facilitate such inspection or examinations by giving 

every reasonable aid to the Tribal Commission and to any 

properly authorized officer or employee. 

A Commissioner or a member of the Tribal Commissionls 

staff shall visit each tribally-owned or tribally-operated 

gaming establishment during normal business hours for the 

purpose of monitoring its operation. Such visits shall be 

unannounced. 
4.22 Investiqations. The Tribal Commission, upon 

complaint or upon its own initiative or whenever it may 

deem it necessary in the performance of its duties or the 

exercise of its powers, may investigate and examine the 

operation and premises of any person who is subject to the 

provkions of this Ordinance. In conducting such 

investigation, the Tribal Commission may proceed either 

with or without a hearing as it may deem best, but it 

shall make no order without affording any affected party 

notice and an opportunity for a hearing pursuant to Tribal 

Commission regulations. 

4.23 Hearinss; Examiner. Pursuant to regulations, the 

Tribal Commission may hold any hearing it deems to be 

reasonably required in administration of its powers and 

duties under this Ordinance. Whenever it shall appear to 

the satisfaction of the Tribal Commission that all of the 

interested parties involved in any proposed hearing have 

agreed concerning the matter at hand, the Tribal 

Commission may issue its order without a hearing. 

The Tribal Commission may designate one of its members to 

act as examiner for the purpose of holding any such 

hearing or the Tribal Commission may appoint another 

person to act as examiner under subsection 4.24 below. The 

Tribal Commission shall provide reasonable notice and the 

right to present oral or written testimony to all people 

interested therein as determined by the Tribal Commission. 

4.24 A~pointment of Examiner; Power of Examiner. The 

Tribal Commission may appoint any person qualified in the 

law or possessing knowledge or expertise in the subject 

matter of the hearing to act as examiner for the purpose 

of holding any hearing which the Tribal Commission, or any 

member thereof, has power or authority to hold. Any such 

appointment shall constitute a delegation to such examiner 

of all powers of a Commissioner under this Ordinance with 

respect to any such hearing. 

4.25 Staff of Gamins Commission. Staff of the Gaming 

Commission are employees of the Bay Mills Indian 

Community, subject to the governmental personnel policies 

of the Tribe and supervised by the Commission. No person 

shall be hired or retained in a staff position who does 

not meet the standards imposed on Commissioners by 

subsection 4.11(C) of this Ordinance. 

4.26 Quarterly Reports. The Tribal Commission shall 

file a quarterly report to the Council summarizing reports 

received from each of the Tribe's Primary Management 

Officials, and making such comments as it deems necessary 

to keep the Council fully informed as to the status of its 

various gaming operations. 

-22- 

Revioed 6-14-99 
Section 5. Gaming Licenses. 

5.1 A~~licabilitv. This Ordinance applies to all people 

engaged in gaming within the jurisdiction of the Tribe. 

The application for license and the conduct of gaming 

with* the jurisdiction of the Tribe shall be deemed to be 

a consent to the jurisdiction of the Tribe and the Tribal 

Court in all matters arising from the conduct of such 

gaming, and all matters arising under any of the 

provisions of this Ordinance or other tribal laws. 

5.2 License Rewired. No person shall operate Class I1 

or Class I11 gaming within the jurisdiction of the Tribe 

unless such gaming is licensed by the Tribe. 

5.3 TvDes of Licenses. The Tribe shall issue each of 

the following types of gaming licenses: 

(A) Tribally-Owned or Triballv-Owerated Class 11. This 

license shall be required of all tribally-owned or 

tribally-operated gaming enterprises operating one or 

more Class I1 gaming activities. 

(B) Tribally-Owned or Tribally-Owerated Class 111. 

This license shall be required for all tribally-owned 

or operated gaming enterprises operating any gaming 

other than Class I or Class 11 gaming. 

LC) Privatelv Owned Gaminq Not Licensable. No license 

may be issued for any gaming operation, whether for 

one or more occasions, which are owned or operated by 

any person other than the Tribe. 

5.4 Application Procedures. 

(A) Tribally-Owned or Tribally-Owerated Class 11. 

Before issuing a license to a tribally-owned or 

operated Class 11 gaming activity the Tribal 

Commission shall: 

(1) Review the proposed gaming activity to ensure 

that all threshold criteria required by this 

Ordinance shall be met. 

(2) Perform the necessary background checks on 

management contractors, primary management 

officials and key employees required by this 

Ordinance. 

(3) Review and approve the accounting procedures 

to be used in such gaming activity. 

(4) Take any additional steps necessary to ensure 

the integrity of such gaming activity. 

-23- 

Revised 6-14-99 
(B) Tribally-Owned or Triballv-Operated Class 111. 

Before issuing a license to a tribally-owned or 

operated Class I11 gaming activity, the Tribal 

Commission shall: 

--. (1) Review the proposed gaming activity to ensure 

that all threshold criteria required by this 

Ordinance shall be met. 

(2) Perform the necessary background checks on 

management contractors, primary management 

officials and key employees required by this 

Ordinance. 

(3) Review and approve the accounting procedures 

to be used in such gaming activity. 

(4) Take any additional steps necessary to ensure 

the integrity of such gaming activity. 

(5) Review all aspects of the proposed gaming 

operation to ensure that it will be in compliance 

with the provisions of the applicable state/tribal 

compact. 

5.5 Threshold Criteria Which a Potential merator ~ust 

Meet. The Tribal Commission shall automatically issue the 

above license to any tribally-owned or tribally-operated 

Class I1 or Class I11 proposed gaming enterprise if: 

(A) The proposed gaming activity is to be located on 

land which was held in trust for the Tribe prior to 

October 17, 1988 or on trust lands which were located 

within or contiguous to the boundaries of the 

Reservation on October 17, 1988 or on lands taken into 

trust after October 17, 1988 as a settlement of a 

claim. 

(B) The proposed gaming activity is to be played as 

Class I1 gaming as defined by this Ordinance and the 

IGRA . 

(C) The proposed gaming activity is authorized by a 

Tribal Council resolution. 

(D) The Tribe or one of its subdivisions will have the 

sole proprietary interest and the Tribe will have the 

exclusive responsibility for the conduct of the 

proposed gaming activity. 

(E) The resolution authorizing the proposed gaming 

activity provides that: 

-24- 

Revised 6-14-99 
(1) The revenues of the proposed gaming activity 

shall be audited annually and copies of those 

audits will be provided to the Tribal Commission 

and the National Indian Gaming Commission. 

--. (2) The proposed gaming activity shall comply with 

all IRS reporting and filing requirements. 

(3) All of the proceeds of the proposed gaming 

activity shall be used for the purposes stated in 

subsection 9.2. 

(4) All contracts for supplies services or 

concessions for an amount in excess of $25,000 

annually, except contracts for legal and 

consulting services, shall be subject to an annual 

independent audit. 

(5) The construction or maintenance of the gaming 

facility and the operation of the proposed gaming 

activity shall be conducted in a manner which the 

Tribal Commission finds will adequately protect 

the environment and the public health and safety. 

(6) All primary management officials and key 

employees shall pass the background checks and 

obtain the tribal gaming employee licenses 

required by this Ordinance. 

(7) The Tribal Commission shall have the authority 

to regulate the proposed gaming activity. 

(8) The proposed gaming activity shall pay to the 

National Indian Gaming Commission such fees as 

federal law may require to be paid. 

(9) In the event the gaming activity is Class I11 

gaming, such gaming activity meets all other 

criteria established by the Tribal-State Gaming 

Compact. 

5.6 License AQQlication Fees. An application fee shall 

be required for a or tribally-operated Class I1 or Class 

I11 gaming enterprise. Said fee shall be in the amount of 

$250 and shall accompany the application. 

5.7 License Tax. No annual license tax shall be 

required for a tribally-owned or tribally-operated Class 

I1 or Class I11 gaming operation. 

5.8 Terms of License. A tribally-owned and triballyoperated Class I1 and Class I11 gaming license shall be 

valid for a period of one year from the date of issuance. 
5.9 Postins of Licenses. Each operator shall post his 

tribal gaming license in a conspicuous location at his 

place of business. If an operator has more than one 

location, the operator must obtain and post a separate 

license for each location. ."5' 

5.10 Gamins License Renewals. Each annual tribal gaming 

license must be renewed every 365 days from the date of 

issuance. A renewal fee shall be required for a triballyowned Class I1 or Class I11 license in the amount of $100. 

In order to obtain a renewal of a license, the operator 

shall submit a written renewal application to the Tribal 

Commission on the form provided by the Tribal Commission. 

No renewal application shall be approved until the annual 

report, required by subsection 5.11, has been properly 

filed. All renewal applications submitted by a triballyowned Class I1 or Class I11 gaming enterprise shall be 

approved in 30 days or less unless the Commission 

believes, based on reasonable grounds, that the enterprise 

has been or will be operated in violation of tribal, 

federal or other applicable law or the terms and 

conditions of the Tribal-State Compact. 

5.11 Annual Re~orts. Each operator who possesses an 

annual Class I1 or Class I11 license must file an annual 

report with the Tribal Commission and the Tribal Council 

between the 15th and the last day of the 12th month 

duration of each such license. The report shall be 

submitted to the Tribal Commission on the annual report 

form provided by the Tribal Commission and shall include, 

at a minimum, the following information: 

(A) The name, address and telephone number of the 

operator; 

(B) The names, addresses and titles of all of the 

current managers of the operator; 

(C) A description of the gaming activity that it has 

operated and the total gross sales; 

(D) A written copy of any changes it proposes to 

initiate in its rules; 

(E) A statement of the specific date or dates and time 

or times on which it wishes to operate its gaming 

activity over the next license period; 

(F) The name and addresses of the person who will be 

designated as primary management official over the 

next license period; 

(G) A statement of any changes in the primary 

management officials or key employees who will operate 

-26- 

Revised 6-14-99 
the gaming activity over the next license period; 

(H) The names and addresses of any employees who the 

Tribal Commission may determine to be key employees 

during review of the application; .-- 

(I) Written proof that the operator has paid to the 

National Indian Gaming Commission such fees as federal 

and tribal law may require it to pay and will continue 

to do so; 

(J) A sworn statement that the operator has complied 

with the Internal Revenue Codes and Regulations, 

including written notice of customer winnings, and a 

statement that the operator shall continue to obey all 

tribal and federal laws and shall hold the Tribal 

Commission and the Tribe harmless for failure to do 

SO; 

(K) Any location at which the gaming activity has been 

conducted and any new location which will be 

established in the next license period; 

(L) The number of full-time equivalent people, on an 

annualized basis, employed by the operation during the 

past 12 months, together with a projection of the 

number of full-time equivalent people who are expected 

to be employed during the next license period; 

(M) The total gross revenue of the operator 

attributable directly or indirectly to triballylicensed gaming activity over the proceeding 12 

months ; 

(N) Written proof that the operator has paid to the 

Tribe the gross receipts tax, and a sworn statement 

that it will continue to make such payments as may be required during the next license period; 

(0) A sworn statement that the operator will continue 

to comply with all tribal and federal laws applicable 

to the operator's gaming operation; 

(P) A sworn statement that the operator and all of its 

key employees and management contractors continue to 

consent to Tribal Court jurisdiction and service of 

process in all matters arising from the conduct of 

tribally-licensed gaming activity; 

(Q) If the operator is a corporation, a copy of any 

amendment to its articles of incorporation, properly 

certified by the incorporating government, unless a 

current copy has already been filed with the Tribal 

Commission. 

-27- 

Revised 6-14-99 
5.12 Closure of a Tribally Licensed Gamins Activity. If 

the Tribal Commission finds that any tribally owned gaming 

activity is operating in violation of this Ordinance, or 

otherwise presents a threat to the public, the Tribal 

Commission must immediately notify the Tribal Chairman and 

the Taibal Council. The Tribal Council may close down any 

tribally owned or operated gaming activity temporarily or 

permanently at any time with or without cause. 

Section 6. Gaming Employee Requirements. 

6.1 Current and Valid Gaminq Rn~lovee License Rewired. 

Each primary management official and key employee of a 

Class I1 or Class I11 gaming operation must possess a 

current, valid gaming employee license. 

6.2 A~plication Procedure for EmDloyment. 

(A) Any person seeking employment with a gaming 

enterprise licensed by the Commission shall submit an 

application to the Tribal Commission on such form or 

in such manner as the Tribal Commission may require. 

(B) At a minimum, the application shall contain the 

following information: 

(1) The applicant's name, including all other 

names used, current home and work addresses and 

telephone numbers, gender, Social Security Number, 

place of birth, date of birth, citizenship, and 

driver's license number, as well as the address of 

his or her personal residences over the past 5 

years. 

(2) The name, address and telephone number of the 

Primary Management Official for whom the applicant is appl ing to work and the specific location at 

which srhe or she is applying to be employed. 

(3) The name and job description of the position 

the applicant is applying for. 

(4) The names and addresses of the applicant's 

living parents, grandparents, spouse, children, 

brothers, and sisters, including step-, half - and 

in-law. 

(5) A statement as to whether or not the applicant 

has ever been charged with a crime, and if so, the 

charge, the name and address of the court 

involved, the applicant s explanation of the 

outcome of the case, including the date of final 

disposition. 
(6) The names, current addresses and telephone 

numbers of three references who are not related to 

the applicant and who were acquainted with the 

applicant when the applicant was residing at each 

of the addresses listed in subsection 6.2(B)(1). .% .. (7) A list of the applicant's current and previous 

jobs over the preceding 5 years, including the 

name, address and telephone number of his or her 

employer, and the position held. 

(8) The names and addresses and a brief 

description of all businesses in which the 

applicant currently holds, or has within the last 

5 years held, an ownership interest. 

(9) A des 

employment 

includins 

cription of any existing and previous 

relationship with an Indian Tribe, 

the employee position held, name of the 

Tribe i<volved and name and address of a person 

who can attest to the accuracy of the information 

provided. 

(10) A description of any current or past nonemployee business arrangement which the applicant 

has had with an Indian Tribe, including the name 

of the Tribe involved and the name and address of 

a person who can attest to the accuracy of the 

information provided. 

(11) A statement as to whether the applicant has 

had any past employment with, or ownership 

interest in, any gaming business. If so, the 

applicant shall provide a written statement 

describing his or her position, the dates during 

which that position was held, a description of the 

applicant's ownership interest or j ob 

responsibilities and the name, address and phone 

number of the business, and a person who can 

attest to the accuracy of the information 

provided. 

(12) A list of all gaming-related licenses the 

individual has applied for, whether or not those 

licenses were granted and the name and address and 

phone number of the regulatory agency involved. 

(13) 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. 
(14) A statement of all languages written or 

spoken. 

(15) A sworn statement that neither the applicant 

nor any member of his immediate family has a past --. or current financial interest, other than a salary 

interest, in any gaming-related enterprise 

anywhere. If the applicant has any relative who 

has such a relationship, the applicant shall fully 

disclose his name and the nature of the 

relationship. 

(16) Written permission giving the Tribal 

Commission or its designee the right to 

investigate the applicant's background, including 

his criminal record, civil and criminal judgments 

and credit history. 

(17) A complete disclosure of any pending or 

anticipated civil or criminal action against the 

applicant, including the name and address of the 

police department and court involved. 

(18) A disclosure of any civil or criminal 

judgments rendered agalnst the applicant, 

including the case number, a description of the 

judgment and the name and address of the court 

involved. 

(19) Any other information which might bring into 

question his fitness to serve as a primary 

management official or key employee of a licensed 

gaming operation. 

(20) 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. 

(21) Each application shall be accompanied by a 

photograph of the applicant taken within the last 

year. 

(22) Each application shall be accompanied by a 

sworn statement that the applicant will abide by 

all applicable tribal and federal laws, 

regulations and policies. 

(23) Each application for a gaming employee 

license shall be accompanied by an application fee 

of $10.00. 

(24) Each application shall be accompanied by a 

written statement that the applicant has read, 

-30- 

Revised 6-14-99 
understands and approves of the following Privacy 

Act notice and False Statement notice: 

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 employed in a gaming operation. The 

information will be used by the National 

Indian Gaming Commission members and staff who have need for the information in the 

performance of their official duties. The 

information may be disc1 osed to appropriate Federal, Tribal, State, local, or foreign law 

enforcement and regulatory agencies when 

re1 evant 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 hiring or firing of an 

employee, the issuance or revocation of a 

gaming 1 icense, 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 the Tribes being unable to hire you 

in a primary management official or key employee position. 

The disclosure of your Social Security Number 

(SSN) is voluntary. However, failure to supply a 

SSN may result in errors in processing your application. 

A false statement on any part of your application 

may be grounds for not hiring you, or for firing 

you after you begin work. Also, you may be 

punished by fine or imprisonment (U.S. Code Title 

18, section 1001). 

(C) Any application for a gaming employee license 

shall be accompanied by an application fee of $10.00. 

6.3 Review Procedure. 

(A) The Tribal Commission or its designee shall 

forward a copy of each application to a tribal or 

state law enforcement agency and arrange for that 

agency to verify in writing the accuracy of the 

applicant's criminal record. The Commission or its 

designee shall also contact each reference provided in 

the application and take other appropriate steps to 

-31- 

Revised 6-14-99 
verify the accuracy of the other information presented 

and prepare a report of their findings for the 

Commission. Once these two reviews are completed, the 

Commission shall review the findings and either grant 

or deny the license, if one is required by this 

Wdinance, or advise the Primary Management Official 

that the applicant's information has been reviewed and 

there exists no barrier to employment. The applicant 

shall be notified in writing of the Commissionls 

decision. If the Commission votes to deny a license, 

it shall include within this notification the specific 

reasons for its decision. 

(B) A copy of the application, the results of the 

background checks performed and the Tribal 

Commission's findings and decision shall be forwarded 

to the National Indian Gaming Regulatory Commission 

before a license is issued. 

(C) All applications, background checks and Commission 

decisions shall be retained in the Commission files 

for a period of at least five (5) years. 

6.4 Scope of License. 

(A) Any employee gaming licenses issued pursuant to 

this section shall be effective for only the location, 

job and employer contained in the application. 

(B) Any licensed employee shall apply to have his 

license transferred to a new location by requesting 

that transfer in writing to the Tribal Commission in a 

manner which details the new job and location and the 

operator for whom s/he proposes to work. 

6.5 Licensins Period. Any permanent employee gaming 

license issued pursuant to this section shall be effective 

for a period of one year from the date of issuance and 

shall contain the licensee's photograph and shall state on 

its face the name of the employee, the location at which 

s/he is licensed to work, the gaming operator who employs 

him, the date that the license became effective and the 

date that it expires. 

6.6 Renewals. A holder of an employee gaming license 

shall petition to have his license renewed, by applying to 

the Tribal Commission for a renewal before his original 

license has expired and updating all information contained 

in the original application. 

6.7 Recruirement to Produce License Upon Reuuest. Any 

person receiving an employee gaming license must carry 

that license upon his person during all working hours and 

must produce that license upon the request of any person. 

-32- 

Revised 6-14-99 
6.8 Suspension or Termination of Em~lovee License. 

(A) Grounds for Sus~ension or Termination. The Tribal 

Commission may suspend or terminate the license of any 

employee, after notice and an opportunity for a 

hearing, for any of the following reasons: 

(1) The employee has withheld pertinent 

information on his application; 

(2) The employee has made false statements on the 

application; 

(3) The employee has participated in gaming 

activity which was not authorized by any tribal 

gaming license; 

(4) The employee has attempted to bribe a tribal 

council member, Commissioner or other person in an 

attempt to avoid or circumvent tribal law; 

(5) The employee has offered something of value or 

accepted a loan, financing or other thing of value 

from a Tribal Commission member, a subordinate 

employee or any person participating in any gaming activity; 

(6) The employee has knowingly promoted, played or 

participated in any gaming activity operated in 

violation of tribal or federal law or the 

tribal/state gaming compact; 

(7) The employee has been knowingly involved in 

the falsification of books or records which relate 

to a transaction connected with the operation of 

gaming activity; 

(8) The employee has violated any provision of 

this Ordinance or the rules and regulations of the 

Tribal Commission; 

(9) The employee has been convicted of, or has 

entered a plea of nolo contendere to, any crime 

involving gaming, fraud, theft , embezzlement or 

other activity which, if perpetrated at his 

operator's place of employment, would injure or 

pose a threat to the public interest, or the 

integrity of the gaming activity, or the effective 

regulation of gaming or enhance the dangers of 

unfair, unsuitable or illegal gaming practices; 

(10) The employee has refused to comply with any 

lawful order, inquiry or directive of the Tribal 
Commission, the Tribal Council, the federal 

government or any court of competent jurisdiction; 

(11) The employee has been convicted of, or 

entered a plea of nolo contendere to, a crime .-.. involving the sale of illegal narcotics or 

controlled substances; or 

(12) The employee has been determined to have 

present or prior activities, criminal record, if 

any, or reputation, habits and associations which 

pose a threat to the public interest or to the 

effective regulation of gaming, or create or 

enhance the dangers of unsuitable, unfair, or 

illegal practices and methods and activities in 

the conduct of gaming. 

(B) Procedure for Suspension or Termination. Whenever 

it is brought to the attention of the Tribal 

Commission that a person has failed to comply with any 

of the conditions of subsection (A), above, the Tribal 

Commission or its designee may either undertake an 

investigation of the gaming enterprise, or serve upon 

such person or any agent of such person an order to 

show cause why the employee should not be subject to 

disciplinary action. Such notice shall state the 

reason for the order, the time and place for the show 

cause hearing before the Tribal Commission, and that 

the person shall have an opportunity to present 

testimony and cross examine opposing witnesses, and to 

present any other evidence as to why a disciplinary 

action should not be issued. The hearing shall be set 

for not less than ten (10) days nor more than 14 days 

from the date of the notice. The hearing shall be 

governed in all respects in accordance with tribal law 

and Tribal Commission regulations. 

6.9 Temporary Suspension of Employee Gamincr License. 

(A) Any employee gaming license may be temporarily and immediately suspended by the Tribal Commission, the 

Tribal Court or the Council or its designee for not 

more than 30 days if any of the following have 

occurred : 

(1) The employee has been charged with a violation 

of any gaming law. 

(2) The employee's continued employment as a 

primary management official or key employee of a 

game or gaming enterprise poses a threat to the 

general public. 
(3) The employee has made a material false 

statement in his license application. 

(4) The employee has participated in gaming 

activity unauthorized by his tribal gaming -- license. 

(5) The employee has refused to comply with any 

lawful order of the Tribal Commission, the 

Council, the Tribal Court or the National Indian 

Gaming Commission. 

(B) In the event the Tribal Commission determines that 

any employee meets any of the criteria stated in 

subsections 6.9 (A) (1) through 6.9 (A) (5) above or that 

his non-compliance with this Ordinance is a direct and 

immediate threat to the peace, safety, morals or 

health or welfare of the community, the Tribal 

Commission or its designee shall issue a notice of 

temporary suspension of his employee gaming license 

which shall be served upon the employee or any agent 

of the employee. The order shall state the grounds 

upon which it is issued and the employee's right to a 

hearing. The employee shall cease and desist operating 

in his management position or in his capacity as a key 

employee immediately upon receipt of the order, but 

s/he may file a notice of appeal with the Tribal 

Commission which shall hold a hearing on the order 

within 14 calendar days of its receipt of the appeal. 

At the hearing the employee shall have an opportunity 

to present testimony and cross-examine opposing 

witnesses, and to present any other evidence as to why 

a temporary suspension order or an injunction should 

not be issued. The hearing shall be governed in all 

respects in accordance with tribal law and Tribal 

Commission regulations. 

Section 7. Provisions of General Applicability to All Operators. 

7.1 Gamins License Rewired. Each Class I1 or Class I11 

gaming activity within the jurisdiction of the Tribe shall 

be conducted only by an operator who possesses a current 

and valid tribal gaming license. 

7.2 Site and Operator S~ecified. Each tribal gaming 

license shall be applicable only to one gaming site and 

the operator named on such license. 

7.3 License Not Assimable. No tribal gaming license 

shall be sold, lent, assigned or otherwise transferred. 

7.4 Emplovee Licenses Remired. Each management and key 

employee of a licensed gaming operation shall possess 
a current and valid tribal gaming employee license. 

7.5 Elisible Licensees. A tribal gaming license shall be 

issued only to a person who qualifies therefor under the 

Ordinance, or to the Tribe or a tribal subdivision. 

.>.. 

7.6 Employee Drus Tests. Any person employed in a 

Commission-licensed gaming enterprise may be randomly 

selected for testing for utilization of marijuana, 

cocaine, amphetamines, opiates and phencyclidine (PCP). 

Random drug testing of employees is a mandatory operating 

procedure for all operators. 

7.7 Resulations Posted or Available. Each operator shall 

have a copy of this Ordinance and regulations readily 

available for inspection by any person at each authorized 

gaming site. 

7.8 Minimum Acre to Play. No person under the age of 21 

years shall be permitted to play any gaming activity being 

conducted within a facility which has a retail alcoholic 

beverage license. 

7.9 Minimum Aqe to Enter Facility. No person, other 

than a Class I11 enterprise employee, shall be permitted 

to enter the area of any building in which a Class I11 

gaming activity is being conducted, who is under the age -4= 91 

7.10 Postins of Rules of Play. Each operator shall post 

in a conspicuous location near where any gaming activity 

is being played, or shall otherwise provide the public 

with an explanation of the rules of play of every specific 

game s/he operates. 

7.11 Ecmipment Rental Restrictions. Each operator of a 

gaming activity is prohibited from renting or lending gaming equipment to any person. 

7.12 Restrictions on Gamins Apparatus Exchanse. Each 

operator is prohibited from exchanging pull-tabs, punchboards, sports pools, and twenty-one boxes (shoes) . All 

other gaming equipment may be exchanged without prior 

approval. Any request for approval shall be made to the 

Tribal Commission at least 5 days prior to the exchange. 

7.13 Awwroval of Gaming Materials Recruired. Any 

operator who anticipates the printing, manufacture, or 

construction of any equipment for gaming activity shall 

first notify the Tribal Commission of his intention and 

shall have the finished product approved by the Tribal 

Commission before it is placed in service. 

-36- 

Revised 6-14-99