The Nottawaseppi Huron Band of the Potawatomi Tribal Council hereby establishes the Nottawaseppi Huron Band of the Potawatomi Gaming Regulatory Agency (hereinafter the "Gaming Agency" or "Agency") as an independent governmental subdivision of the Tribe.
As a political subdivision of the Tribe, the Agency is endowed with all the rights, privileges and immunities of the Tribe, including but not limited to the sovereign immunity of the Tribe from suit absent express consent from Tribal Council. The Executive Director and individual employees of the Commission are officers of the tribal government and shall be immune from suit when acting in their official capacity to the fullest extent permitted by law.
Subject only to the general oversight authority of the Gaming Commission, or as otherwise expressly provided herein, the Tribal Council delegates to the Gaming Agency sole authority and responsibility to regulate all gaming conducted within the Tribe's Reservation, as provided by this chapter, which authority includes without limitation the authority to regulate gaming operations, gaming establishments and management contractors, and to license vendors of goods or services, labor organizations, primary management officials, key employees and all other persons subject to the Commission's licensing authority pursuant to this chapter. The Agency shall ensure that all gaming conducted within the Tribe's Reservation is conducted in conformance with this chapter, the regulations, the Compact, the IGRA, regulations promulgated by the NIGC, and other applicable tribal, state and federal laws.
In all matters within the scope of its delegated regulatory authority, the Agency shall be and shall act independently and autonomously from the Tribal Council. No prior or subsequent review by the Tribal Council of any actions of the Agency taken within the scope of its regulatory authority shall be required or permitted, except as may be otherwise explicitly provided in this chapter. No prior review by the Gaming Commission of any actions of the Agency which are taken within the scope of its regulatory authority and in accordance with approved regulations shall be required or permitted, except as may be explicitly provided in this chapter. Notwithstanding the foregoing, the Agency shall be subject to all tribal law, including generally applicable tribal administrative policies and procedures, except to the extent that an exception for the Agency is expressly provided in such policies. The Agency's fiscal year shall be the fiscal year of the Tribe.
Agency funding shall be in an amount sufficient for the Agency to properly fulfill all of its regulatory responsibilities under this chapter. The Tribal Council shall not reduce the Agency's annual budget during any fiscal year but may approve requests by the Agency to supplement the budget when necessary. The amount of the Agency's funding shall be established annually for the subsequent fiscal year through a detailed annual budget to be prepared by the Agency's Executive Director for Tribal Council approval in its annual budgeting process. The Agency budget shall take into account any unexpended funds that may, with approval of the Tribal Council, be retained and carried over by the Agency at the end of each fiscal year to the next fiscal year, excluding funds that are obligated for costs or expenses incurred during the prior fiscal year.
A. 
General. The Agency shall be responsible for ensuring that all gaming conducted within the Tribe's Reservation is conducted in compliance with this chapter, the regulations, the Indian Gaming Regulatory Act and the Compact. In exercising its regulatory authority, the Agency shall avoid unnecessary interference with the authority and discretion of any gaming operations or management contractor to manage a gaming establishment.
B. 
Licensing. The Agency shall have the power to conduct investigations and determine the eligibility of applicants for licenses required to operate, manage, conduct business with, or be employed at any gaming operation in accordance with the standards and procedures set forth in Articles VI through VIII of this chapter and the regulations. The Agency shall also have the power to limit, revoke, terminate, condition, suspend or restrict any license when the same will further the purposes and requirements of this chapter.
C. 
Gaming regulations. The Agency shall have the responsibility to develop and propose to the Commission those regulations deemed reasonably necessary to implement this chapter and to effectively regulate gaming conducted within the Tribe's Reservation, or by gaming establishments licensed under this chapter, which regulations may include, but shall not be limited to, the following:
(1) 
The licensing of gaming establishments;
(2) 
Background investigations and licensing of work permit employees, key employees and primary management officials;
(3) 
Background investigations and licensing of gaming vendors, labor organizations and, to the extent deemed necessary, other suppliers of goods and services to a gaming enterprise;
(4) 
Conducting or causing to be conducted internal audits of gaming operations;
(5) 
Standards and procedures establishing independent reporting requirements for the Surveillance Department as required by § 8.5-93 and other standards as are necessary to assure that the independence of surveillance functions are maintained;
(6) 
The distribution of complimentary items;
(7) 
Permitted games and the conduct thereof;
(8) 
Compliance with applicable standards and procedures for testing gaming equipment or supplies;
(9) 
Audio and video surveillance standards and procedures;
(10) 
Standards and procedures for minimum internal cash, playing cards, and chip-and-token control;
(11) 
Compliance with the Bank Secrecy Act and applicable provisions of the Internal Revenue Code;
(12) 
Resolution of gaming-related disputes involving patrons after all remedies available at the gaming establishment are exhausted;
(13) 
The development and maintenance of a list of excluded persons;
(14) 
Agency reporting, recordkeeping, auditing, investigation and enforcement procedures; and
(15) 
Fines and other penalties for violations of this chapter, the regulations, and other applicable law.
D. 
Other powers of the Agency. In addition to and in conjunction with the enumerated regulatory powers set forth above in this chapter, authorized employees of the Agency shall have the power to:
(1) 
Initiate investigations of licensees and to take action to suspend, restrict or revoke a gaming license for:
(a) 
Any direct and immediate threat to the health, welfare or safety of the public;
(b) 
The failure to make prompt and satisfactory progress to correct a problem that was the basis for a license suspension or other disciplinary measure;
(c) 
Repeated or substantial violations of this chapter, the regulations, the IGRA or the Compact;
(d) 
The failure to maintain eligibility for the license; and
(e) 
The failure to remain eligible for a gaming license in any other jurisdiction where the person is an applicant for or maintains a license, permit or other approval related to gaming.
(2) 
Initiate civil actions in court to enforce provision of this chapter, the regulations or the IGRA;
(3) 
To compromise, negotiate or settle any dispute to which the Agency is a party relating to the Agency's authorized activities;
(4) 
To enter the gaming establishment or other places of business of any licensed gaming facility in order to gain access to, inspect, examine, copy and audit all records, equipment, supplies or other items concerning any aspect of the operation conducted within the Reservation;
(5) 
To investigate, review, decide, adjudicate, enforce and to undertake such other regulatory activities regarding any matters subject to the Agency's jurisdiction as necessary for the Agency to carry out its express duties and responsibilities under this chapter;
(6) 
Initiate or request hearings before the Commission that the Agency may deem appropriate in carrying out its duties, including administering oaths or affirmations to witnesses and issuing subpoenas to compel the production of records and the appearance of witnesses at such hearings;
(7) 
To provide information received through audits or other investigations that indicates a violation of tribal, federal or applicable state laws or regulations to the appropriate law enforcement officials and to cooperate with such agencies in the investigation and prosecution of charges brought as a result of violations of law;
(8) 
To request assistance from and utilize the services of public and private entities, including the Tribal Court and other courts, the tribal police and other law enforcement agencies, and the Tribal Prosecutor and Tribe's Legal Department in exercising its powers and carrying out its responsibilities;
(9) 
To coordinate with the Michigan Gaming Control Board regarding matters of compliance with the express requirements of the Compact, provided that in exercising such power the Agency shall respect the role and responsibility of the Tribal Council to represent the Tribe's interests as a party to the Compact and to engage in government-to-government consultation with the State of Michigan and its agencies;
(10) 
To coordinate and cooperate with the Michigan Gaming Control Board regarding matters related to compliance with the express requirements of the Lawful Internet Gaming Act, MCLA §§ 432.301 to MCLA 432.322, and the Lawful Sports Betting Act, MCLA §§ 432.401 to 432.419, and regulations promulgated thereunder, including the gaming establishment's compliance with the terms and conditions of the internet gaming operator and internet sports betting operator licenses issued by the Michigan Gaming Control Board;
(11) 
To coordinate with the National Indian Gaming Commission regarding matters of compliance with the express requirements of the Indian Gaming Regulatory Act and the NIGC regulations, including matters relating to licensing of primary management officials and key employees and the payment of fees to the NIGC, provided that in exercising such power the Agency shall respect the role and responsibility of the Tribal Council to engage in government-to-government consultation with the United States and its agencies; and
(12) 
To ensure that each gaming establishment has made arrangements to cause to be conducted independent audits annually and has submitted the results of those audits to the NIGC. Annual audits shall conform to generally accepted auditing standards. All gaming-related contracts that result in the purchase of supplies, services or concessions for more than $25,000 in any year (except contracts for professional legal and accounting services) shall be specifically included within the scope of the audit conducted. Copies of the annual audit of each licensed gaming facility, and each audit for supplies, services or concessions of each gaming establishment, shall be furnished to the NIGC within 120 days after the end of each fiscal year of the gaming establishment.
E. 
(Reserved)
F. 
Monitoring and investigation. The Agency has the authority and duty to monitor all operations for compliance with this chapter and the regulations, the Nottawaseppi Huron Band of the Potawatomi Liquor Code, any other tribal law that expressly delegates responsibilities to the Agency, the IGRA and the Compact, subject to any limits on the Agency's power set forth in such laws.
G. 
Access to records and information. Authorized Agency personnel shall have access to all areas of any gaming operation and to all records, files, information and data of any gaming operation, wherever located, and may interview any employee, agent or representative of any gaming operation with respect to matters relating to the operation of any gaming operation. Advance notice to the gaming operation or any employee, agent or representative of the gaming operation shall not be required for the Agency to exercise the authority described in this subsection.
H. 
Enforcement authority.
(1) 
When information received by the Agency through inspections, audits or investigations indicates a violation of this chapter, the regulations, the terms or conditions of any license, or any other applicable tribal or federal laws, the Agency through its Executive Director shall, as warranted under the circumstances:
(a) 
Refer the matter to appropriate law enforcement officials or other appropriate governmental agencies;
(b) 
Pursue further investigation of the matter;
(c) 
Initiate proceedings to fine the gaming operation or person(s) responsible for the violation, or to suspend, restrict or revoke such person's license, or order specific corrective actions to address the violation, in accordance with the procedures in this chapter and the regulation; or
(d) 
Consult with representatives of the gaming operation to correct the violation or resolve the matter, with or without formal proceedings, at the discretion of the Executive Director.
(2) 
Any enforcement action taken by the Executive Director on behalf of the Agency shall be fair and reasonable under the circumstances, shall be proportionate to the violation, and shall be designed to promote the goals of correction and improvement, unless the nature or severity of the violation is such that the goals of correction and improvement would be unrealistic. Any enforcement action taken by the Agency must be within its powers, related to its gaming regulatory responsibilities, and shall be conducted in accordance with the hearing procedures described in Article X of this chapter and is subject to appeal pursuant to Article XI of this chapter.
A. 
Appointment of the Executive Director. The Executive Director of the Agency shall be appointed and hired by the Gaming Commission and shall provide such reports to the Gaming Commission as may be necessary and appropriate to permit the Commission to carry out its oversight responsibilities and perform its other duties.
B. 
Qualifications. The Executive Director shall possess the following qualifications:
(1) 
At least five (5) years' responsible administrative experience and training in public or business administration, or possess broad skills in management and regulatory enforcement, and prefer to have an MBA, JD or other advanced degree. The Director's experience and training must be of sufficient scope, depth and relevancy to enable him/her to direct the work of the Gaming Commission (agency).
(2) 
Must meet the qualifications for and obtain the same license that Commission members must obtain.
(3) 
Must devote his or her entire time and attention to the duties of the Executive Director and the operation of the Commission.
C. 
Compensation. The Director shall be entitled to an annual salary determined by the Gaming Commission. The salary established for the Executive Director and other terms of employment shall be in accordance with the Commission's approved budget and applicable personnel policies and procedures.
D. 
Removal, suspension. The Commission may, by majority vote, request that the Tribal Council initiate a procedure for the removal of the Executive Director for any of the reasons stated in § 8.5-23 regarding removal of a Commission member, provided that if the reason for seeking the removal involves the failure to maintain or remain eligible for a license or for any other reason that threatens the integrity or public image of the Commission, the Commission may suspend the Executive Director, with pay, pending the outcome of the removal proceeding.
E. 
Vacancy. If there is a vacancy for any reason in the position of Executive Director, the Commission shall assign the duties of the Executive Director to a department manager within the Commission on an interim basis until the Commission fills the vacancy in the position of Executive Director.
The Agency shall be organized under the Executive Director into the following departments, which shall be under the management and supervision of the Executive Director:
A. 
Administration shall perform the administrative functions of the Agency, to include:
(1) 
Maintaining office records.
(2) 
Coordinating all administrative functions from the Agency to other regulatory agencies, law enforcement and intelligence agencies while maintaining strong communications with the gaming operation.
B. 
Licensing. The Licensing Department shall perform all of the following duties and responsibilities:
(1) 
Receiving and processing all license applications.
(2) 
Conducting background investigations regarding any applicant for a license and all other suitability investigations on behalf of the Agency that are required or permitted under this chapter.
(3) 
Such other matters as the Executive Director may assign to the Department.
C. 
Auditing and compliance. The Department shall perform the following duties and responsibilities:
(1) 
Conducts audits to verify each gaming establishment's compliance with all audit and financial oversight requirements regarding operational and gaming revenues;
(2) 
Serve as the internal audit personnel for purposes of compliance with 25 CFR § 542.42 by performing the audits of all major gaming areas of each gaming establishment not less than annually as required by NIGC regulations;
(3) 
Monitoring through audit activities each gaming establishment's compliance with this chapter, the regulations, tribal minimum internal controls, IGRA, the Compact, and other laws governing gaming activities and gaming assets applicable to the gaming establishment;
(4) 
Recommending the initiation of compliance or enforcement actions resulting from a licensee's failure to comply with the chapter, the regulations, including the tribal minimum internal controls, the IGRA and the Compact; and
(5) 
Such other matters as the Executive Director may assign to the Department.
D. 
Investigations. The Department shall perform the following duties and responsibilities:
(1) 
Ensuring all incidents within the scope of the Agency's delegated regulatory authority are properly investigated.
(2) 
Responsible for collecting, organizing and presenting various types of information in an unbiased manner in order to derive a conclusion in regards to an event or a series of events.
(3) 
Monitors the property, identifying potential security and/or safety hazards and reporting appropriately to ensure the safety and protection of guests, employees, gaming revenues, assets and the entire facility.
(4) 
Coordinates with the Agency's Auditing and Compliance Departments to investigate potential violations of the chapter, regulations, including tribal minimum internal controls, the Compact and other laws within the Agency's jurisdiction which may be identified through audit activities.
(5) 
Coordinates with the gaming establishment's surveillance and security department on security-related matters.
(6) 
Monitors the functionality of technical slot machine components for certification by the Agency; such as EPROMS, flash drives, and other software configurations.
(7) 
Such other matters as the Executive Director may assign to the Department.
E. 
Information technologies. The Department shall perform the following duties and responsibilities:
(1) 
Manages the day-to-day operation of all Commission and Agency computer systems, network and interfaces with all casino departments, regarding current information technology.
(2) 
Assist the Investigations Department, as needed, with monitoring the functionality of technical slot machine components for certification by the Agency; such as EPROMS, flash drives, and other software configurations.
(3) 
Monitors the functionality, security and integrity of all computer systems, network and interfaces, associated with any internet wagering systems operated by, or on behalf of, the gaming establishment.
(4) 
Conducts information technologies audits for the Agency of the gaming establishment's compliance with information technology internal controls and reviews the results of internal and external information technology audits performed by the gaming establishment's Information Technology Department.
(5) 
Such other matters as the Executive Director may assign to the Department.
The Executive Director shall have the authority and the duty to carry out on behalf of the Agency the administrative and executive requirements of the Agency under this chapter, the regulations, and the IGRA, including, without limitation:
A. 
Agency administration. The Executive Director shall provide administrative direction and support to the Agency, including managing and supervising all Agency staff, consultants and contractors, records management, and the development and oversight of the budget.
B. 
Agency staff. The Executive Director shall be responsible for personnel matters, including the recruitment, hiring, supervision and discipline of Agency staff, whose positions shall be established by written position descriptions, subject to all applicable hiring and employment laws and policies of the Tribe.
C. 
Contracting. The Executive Director may negotiate and enter into contracts for the acquisition of goods and services required by the Agency and may otherwise expend funds as needed for the operation of the Agency, subject to such requirements as the Agency may establish, provided that the Executive Director shall ensure that all such contracts and expenditures are within the Agency's approved budget, and any contracts which require the Agency or Tribe to waive its sovereign immunity from suit or consent to the jurisdiction of any court or dispute resolution process shall require approval by the Tribal Council unless such authority is expressly delegated to the Executive Director by Tribal Council resolution or statute.
D. 
Administration of agency operations. The Executive Director shall be responsible for overseeing the day-to-day operations of the Agency, including maintaining oversight of the Administration, Licensing, Investigation, Information Technologies, Auditing/Compliance Departments, and such other departments, sections or offices of the Agency. In overseeing the Agency, the Executive Director shall ensure that the following activities are performed effectively and in accordance with applicable law and applicable government policies and procedures:
(1) 
Investigations of any matter within the scope of authority of the Agency, including, without limitation, background investigations necessary to determine the suitability of any applicant for license, are conducted efficiently and professionally.
(2) 
Issue and assist, as necessary, the Commission with the issuance of subpoenas, prepare evidence, and cooperate with the Agency's legal counsel in presenting to the Commission, cases in all appeals of or challenges to the Agency's or the Commission's decisions asserted in accordance with the standards and procedures provided in this chapter and the regulations.
(3) 
Monitor all gaming operations and gaming establishments at random or periodic intervals with or without prior notification to the gaming operation to determine compliance with this chapter, the regulations, IGRA, the Compact and other applicable law and, upon receiving any credible report of a violation thereof, conduct a timely investigation with regard to such report.
(4) 
Address and, as needed, investigate all disputes between gaming patrons and gaming operations pursuant to the standards and procedures set forth in this chapter and the regulations.
(5) 
Maintain and enforce compliance with a list of persons prohibited, or who have self-excluded themselves, from participating in gaming conducted at or with the gaming establishment and other persons who are subject to temporary or permanent bans prohibiting such persons entering the gaming establishment.
(6) 
Assist in enforcing Agency or Commission orders and decisions and, in coordination with appropriate law enforcement agencies, investigate and pursue prosecution of criminal violations of gaming laws and in pursuing criminal and civil enforcement of other applicable tribal, state and federal laws.
E. 
Licensing. The Executive Director may grant temporary licenses as authorized under this chapter and may grant any other licenses on behalf of the Agency as expressly provided by the regulations.
F. 
Records management. The Executive Director shall develop and maintain a suitable records management and retention system and shall ensure that all confidential and sensitive records and information are maintained and protected from unauthorized release.
G. 
Evaluate the gaming regulatory system. Evaluate the effectiveness of the Tribe's gaming regulatory system and recommend any changes that may be necessary or desirable.
H. 
Other duties. Perform such other duties as the Executive Director deems necessary as are within the scope of authority delegated to the Agency under this chapter.