Section GMG.01.10 — Powers, Duties And Limitations: Casino General Manager

(a) Each tribal gaming enterprise shall have a Casino General Manager ("Manager") authorized to manage the gaming enterprise on a day-to-day basis and to facilitate quick and efficient business decision-making, while respecting the broad guidelines of the Commission and the Tribal Council. The General Manager shall have such authority as the Tribal Council shall delegate. The General Manager shall be hired by the Tribal Council. The General Manager shall undergo a background check by the Compliance Department and a licensing determination through the Commission. The General Manager shall obtain a Provisional Gaming License prior to commencing work and a Gaming License in accordance with this Ordinance. The General Manager may be removed by the Tribal Council for cause. Grounds for removal must be clear and strictly limited to objective evidence of mismanagement or failure to adhere to policies and procedures or to tribal and federal laws and regulations. The General Manager shall be subject to a semi-annual and an annual review by the Tribal Council or an entity designated by the Council for that purpose.

(b) Purpose. The purpose of the General Manager and the management structure s/he creates, is to oversee the day-to-day activities, make the day-to-day business decisions and to create a successful gaming enterprise.

(c) Qualifications. The General Manager shall have the experience and demonstrated skills necessary to manage a growing gaming enterprise according to the job description. The General Manager shall not be eligible to serve on Tribal Council while employed as Casino General Manager.

(d) Responsibilities.

(1) The General Manager shall be required to respond to all Commission notices pertaining to compliance with Minimum Internal Control Standards, System Internal Control Standards and Tribal/State Compact within 15 working days, which time shall not be unreasonable. The General Manager may request additional time.

(2) Day-to-day business management, including, but not limited to such things as hiring, contracting, payroll and scheduling. Contracting is subject to applicable sections of this Ordinance.

(3) Hiring staff pursuant to the process adopted in the Personnel Policies and Procedures for the gaming enterprise.

(4) Operating Policies and Operating Procedures. Operating Policies must be reviewed by the Commission and subsequently submitted to the Tribal Council for approval before becoming effective. However, Operating Procedures only require the review of the Commission to ensure that the proposed changes will not result in a violation of the Tribe's Compactor applicable standards or internal control prior to gaming management implementing new procedures or procedural changes. Notwithstanding any other provision of this section, when applicable law requires that the Commission review and approve a policy or procedure, the Commission shall have that authority. Unless applicable law requires otherwise, the Commission shall have thirty days to complete its review.

(A) In the event that the Commission has an objection to changes to the Operating Procedures proposed by the General Manager, due to a perceived violation as described in subsection (4) above, the Commission shall inform the General Manager of their concerns prior to meeting and then meet with the General Manager to discuss those concerns.

(B) If the concerns are not resolved within 20 days of the informal discussion, the parties shall participate in a mediation process approved by both parties. . Such process shall use a third party as a mediator and be conducted in an informal and timely fashion.

(5) Budget Revisions. Any expenditures in excess of the approved operating and/or capital budgets shall be submitted by management to the Tribal Council for approval. General Manager may reallocate funds within an approved Budget consistent with Council approved guidelines.

(6) Accounting for Gaming Funds. The General Manager is responsible for keeping accurate, up-to-date financial records and accounts of all business and for hiring or contracting with necessary resources to do so (subject to the terms of the Tribal/State Compact, this Ordinance and Federal law), except that the Tribal Council shall retain hiring authority over the Chief Financial Officer for all tribal gaming enterprises. The General Manager shall participate in the hiring process for the Chief Financial Officer, even though the Tribal Council retains the hiring authority.

(7) The General Manager shall be familiar with all terms of the Compact and be directly responsible for managing the gaming enterprise in compliance with the Compact.

(8) The General Manager shall be familiar with the terms of the NIGC regulations, as then in effect, and any amendments or updates thereto, and operate all games in compliance with said regulations.

(9) The General Manager may delegate that authority necessary to ensure compliance with rules and regulations for a more efficient and productive operating environment.

(10) The General Manager shall be present at the time of the Financial Audit and Security Audit presentations to the Tribal Council.

(e) Surveillance.

(1) The Gaming Management shall, in accordance with a Council approved budget, provide all gaming surveillance equipment, gaming supplies, and space as deemed necessary by the Commission for the reasonable protection of patrons, employees, and Tribal assets. All gaming surveillance systems, gaming equipment, gaming rooms, etc., shall be under the control and jurisdiction of the Commission. All gaming surveillance staff shall be employees of the Tribe and report to the Commission.

(2) The General Manager shall provide any and all desired plans for equipment installation, removal, modification, of facility layout changes to the Commission for review, prior to any change.

(3) The gaming facility management shall comply with any additional requirements of the Commission with regard to gaming equipment, coverage or gaming layout, in order to adequately protect the security of gaming assets, and the security and safety of patrons, vendors and employees.

(f) Reporting. The General Manager shall provide the Commission and the Tribal Council with a monthly report that details the number of patrons served, the amount of income generated, the numbers of employees working at the facility, a detailed description of any patron complaints and other problems experienced at the facility. The report shall also contain a detailed financial report, a written statement of any changes in key employees or primary gaming management officials, a listing of all bills that are thirty (30) days or more past due and any other information the Tribal Council may require. The General Manager has an obligation to provide all reports requested by the Tribal Council or the Commission.

(1) Annual Plan of Operation. The General Manager shall submit an Annual Plan to the Tribal Council for review and approval. The Plan shall be submitted by the first day of September, to the Tribal Council and a copy shall be available for the Commission for review purposes only. The Plan shall contain the following unless otherwise decided by Tribal Council:

(A) Operating budget.

(B) Capital budget.

(D) Staffing requirements, including training requirements.

(E) Expense and revenue projections.

(g) Travel. The General Manager shall notify the Commission regarding travel plans. Travel plans shall be made by the General Manager based on the best interest of the gaming enterprise.

(h) Patron's Complaint Process. The General Manager shall develop and implement a patron's complaint process. Each tribally owned and tribally operated gaming facility shall post at least one sign in each gaming establishment informing patrons of the established process.

(i) Confidentiality. The General Manager shall maintain confidentiality of information specified as confidential, including information gathered in the hiring process and any financial information regarding performance of the gaming enterprise. Violation of this confidentiality provision shall be subject to disciplinary action from the Tribal Council and may be deemed "cause" for suspension or termination.

(j) The General Manager shall cooperate and shall assist with all Gaming Facility and employees to cooperate with Commission requests, investigations, orders and enforcement. actions.

(k) Any employee who is aware of malfeasance (Misconduct) or a suspicion of malfeasance regarding the General Manager's activities in relation to the integrity of the gaming operation has an obligation to report such information to the Tribal Council.