8.3 Service and Compensation

Commissioners are appointed to serve on a full-time basis and will be compensated on a salary
basis as determined by the Executive Council.

8.4 Vacancies

The Executive Council shall by appointment fill any vacancy on the Commission due to death,
resignation, term expiration, or removal from office within thirty (30) days of the vacancy. The
person so appointed shall complete the remainder of any unexpired term.

8.5 Removal

(A)

(B)

(C)

(D)

The Executive Council may remove any member of the Gaming Commission for,
but not limited to, any of the following reasons: (1) willful and persistent
misconduct reflecting on -the dignity and integrity of the Community; (2)
conviction of a felony while in office; (3) consistent failure to carry out his or her
official duties; (4) unexcused absence from three (3) or more successive
meeting[s] of the Gaming Commission and/or General Council without valid
excuse; (5) or any form of fraudulent acts against the Community.

The accused officer shall be served personally with written notice of the charges
against him or her at least seventy-two (72) hours prior to the Executive Council
meeting duly called for the purpose of considering his/her removal.

The accused officer may present oral evidence in his/her defense but also must
answer in written form the allegations levied against him/her. Testimony for and
against the officer by other persons is permitted.

Removal decisions of the Executive Council shall be subject to judicial review.

8.6 Powers and Duties of Commission

The Commission shall have the following powers and duties to ensure compliance with all laws,
rules and regulations applicable to the Tribe’s Lands, Gaming Facilities and Gaming Enterprises:

(A)

@)

©)

The Commission shall have authority and primary responsibility for developing
such policies, and regulations for gaming on the Tribe's Lands, and for
recommending to the General Council that the General Council adopt such
policies, guidelines and regulations.

The Commission shall ensure compliance with all laws, rules and regulations
applicable to the Tribe’s Lands, Gaming Facilities and Gaming Enterprises.

The Commission shall develop policies, guidelines and regulations for Class II

and Class III gaming to assist in properly regulating the Tribe’s Gaming Facilities
and Gaming Enterprises.

Page 12 of 22


ay
Q)
(3)
4)
(5)
(6)
2)
(8)
(9)

(10)

ay
(12)
(13)

bingo caller;

counting room supervisor;

chief of security;

custodian of gaming supplies or cash;
floor manager;

pit boss;

dealer;

croupier;

approver of credit;

custodian of gaming devices, including persons with access to cash and
accounting records within such devices;

surveillance personnel;
accounting staff;

any person with authority to disburse funds for, or approve shipments of,
materials or supplies; and

(B) __ If not otherwise included, any other person whose total cash compensation is in
excess of fifty thousand dollars ($50,000) per year; or

(C) . If not otherwise included, the four most highly compensated persons in each
Gaming Enterprise.

(D) Any other persons employed by a Gaming Enterprise and defined as a “Key
Employee” by the Gaming Commission.

“Labor Organization” means any lawful organization whose primary purpose is the
representation of a Gaming Enterprise, Gaming Facility or Associated Commercial Activity
employees in a collective bargaining agreement.

"Management Contract" means any contract, subcontract, or collateral agreement between the
Tribe and a contractor or between a contractor and a subcontractor, if such contract or agreement
provides for the management of all or part of the Gaming Enterprise.

Page 6 of 22


Gaming Commission shall notify the NIGC of its decision to revoke or
reinstate the gaming license within forty-five (45) days of receiving
notification from the NIGC pursuant to Subsection 1 (above).

10.3. Standards for Background Investigations and Licensing Determinations

All background investigations and licensing determinations shall be conducted to ensure that the
Tribe in its Gaming Enterprises shall not employ or contract with persons whose prior activities,
or reputation, habits and associations pose a threat to the public interest or to the effective
regulation of gaming conducted under the Tribe's Gaming Ordinances, or create or enhance the
dangers of unsuitable, unfair or illegal practices and methods and activities in the conduct of
such gaming. Such investigations also shall otherwise meet the standards of such investigations
imposed under the IGRA and/or the Compact and shall be updated as required under the IGRA,
the implementing NIGC regulations, and/or the Compact, as applicable. Nothing herein shall
prevent the Commission from conducting more comprehensive background investigations than
those required under the IGRA or the Compact.

10.4 Waiver of Criminal Conviction

With the adoption of this Amended Ordinance, the General Council delegates to the Executive
Council the authority to recommend a waiver related to criminal convictions as set forth in
§IX.A.1 of the Compact and §8.2 (D) of this Ordinance, pursuant to a Criminal Background
Waiver Policy approved by General Council

10.5 License a Privilege

Any gaming license, vendor’s license, or finding of suitability or approval, which is issued by the
Commission shall be deemed a privilege, not a property right, subject to suspension, revocation
or any other penalty imposed by the Commission in accordance with its Rules of Licensing
Procedure.

10.6 License Fees

The Tribe may charge a license fee, to be set by the Gaming Commission, to cover its expenses
in investigating and licensing the persons set forth in §10.1.

10.7 Required Notifications and Record Keeping

As appropriate, the Commission shall promptly notify the NIGC or other appropriate federal
regulatory body and the Wisconsin Office of Indian Gaming and Regulatory Compliance of
information obtained in the course of any background investigation as required under the IGRA
and the Compact, and shall comply with all record-keeping requirements with regard to such
investigations as are set forth in the IGRA and the Compact.

Page 16 of 22


a) “The Tribe shall be authorized to conduct internet gaming to the extent permitted by
federal, state, and tribal law.

b) The Tribe shall be authorized to conduct any additional games (games not offered at
the time of the adoption of this ordinance) as authorized by the Compact”;

6) Amending the second sentence of Section 8.1 (“Establishment of Commission”) to read
in full: “The terms of office for the five members shall be unaffected by this Ordinance,
except as the anniversary dates of the members may be changed pursuant to Amended
Bylaws approved by the Executive Council”;

7) Deleting Section 8.6(A) in its entirety, and replacing it with the following new language:

“The Commission shall have the authority and primary responsibility for developing
policies and regulations for gaming on the Tribe’s lands”;

8) Amending Section 8.6 (“Powers and Duties of the Commission”) by adding a new
subsection which states: “The Commission shall issue separate facility licenses for each
Premises on the Tribe’s Lands at which Class II or Class III gaming is conducted” and re-
lettering the remainder of the Section accordingly;

9) Deleting the second sentence in Section 8.6(L) in its entirety;

10) Amending Section 10.1 (“Background Investigations and Licensing Determinations”) by
adding the following statement as a first sentence to that section:

“All background investigations and licensing determinations for Primary Management
Officials and Key Employees under this Ordinance shall be made in accordance with
those standards and procedures contained in 25 C.F.R. Sections 556 (Background
Investigations for Primary Management Officials and Key Employees) and 558 (Gaming
Licenses for Key Employees and Primary Management Officials), as those sections may
be amended from time to time”;

11) Deleting Section 10.2 in its entirety;

12) Amending Section 10.7 (“Required Notifications and Record Keeping”) to read as
follows:

“As appropriate, the Commission shall promptly notify the NIGC or other appropriate
federal regulatory body and the Wisconsin Office of Indian Gaming and Regulatory
Compliance of information obtained in the course of any background investigation as
required under the IGRA and the Compact, and shall comply with all record-keeping
requirements with regard to such investigations as are set forth in the IGRA, NIGC
regulations, and the Compact”;

13) Deleting the language in Section 10.9 in its entirety and replacing it with the following:

{00677115.7}


(D)

(E)

@)

Co)

(A)

@

QO)

(K)

@)

The Commission shall monitor all gaming on the Tribe’s lands and shall monitor
all monthly reports and annual audits to insure conformance to the provisions of
this Ordinance and other applicable laws. The Commission shall have immediate
access to all Tribal Gaming Facilities, Gaming Enterprises and all records
maintained by such Facilities and Enterprises.

The Commission shall conduct background investigations and make licensing
determinations. Background investigations of persons appointed to, or serving on,
the Gaming Commission shall be conducted by the Tribe’s Human Resources
Department.

The Commission shall issue, deny, suspend or revoke gaming licenses and
Vendor licenses.

The Commission shall investigate all alleged violations of this Ordinance, the
IGRA the Compact and policies, standards, rules, guidelines and regulations
adopted by the Commission and all alleged acts of wrongdoing associated with
any gaming activities or associated commercial activities within the jurisdiction of
the Commission.

The Commission shall have the authority to make referrals and provide
information to appropriate law enforcement officials where there is reason to
believe that there has been a violation of federal, state or tribal law within a
Gaming Facility or in relation to the operation of a Gaming Enterprise.

The Commission shall report to the Executive Council penalties imposed for
violations of this Ordinance and any other actions to enforce the provisions of this
Ordinance or to enjoin or otherwise prevent any violation of this Ordinance or
other laws relating lo gaming on the Tribe’s Lands.

The Commission shall prepare and recommend an annual budget for purposes of
allocating funds to the Commission for necessary activities and expenses, which
will be approved by the Executive Council, prior to General Council's final
approval, during its annual process of approval of Tribal budgets.

Consistent with applicable law and not inconsistent with its other enumerated
duties contained herein, the Commission shall have the authority to provide

- gaming regulatory services for other tribal gaming regulatory agencies.

The Commission shall employ such staff as it deems necessary to fulfill its
responsibilities under this Ordinance, and may retain professional services, other
than legal counsel, but including investigative services to assist the Commission.
The Commission shall establish and maintain an Employee Manual to describe
the rights and responsibilities of all Commission staff.

Page 13 of 22


violation to the Executive Council, Commission or Attorney General, as
appropriate, and, where appropriate, refrain from taking any official action on the
matter which gives rise to the real or apparent conflict of interest or violation.

12.2 Management Contract

No party to a Management Contract, person with a financial interest in a Management Contract,
Primary Management Official, or employee of any of the Tribe’s Gaming Operations shall:

(A) _ Participate as a player in any Class II or Class III games conducted pursuant to

this Ordinance, except that employees of the Tribe’s Gaming Enterprises may
participate as players at locations other than those at which they are employed; or

(B) Engage in any business transaction or professional activity or incur any obligation
of any nature which conflicts with the proper performance of any Management
Contract or employment duties, as the case may be.
12.3. Employee Management Contract Prohibited

No employee of any of the Tribe’s Gaming Enterprises or Facilities shall own, be employed by,
or have any direct or indirect pecuniary interest in any Management Contract or other contract
with the Tribe’s Gaming Enterprises.

12.4 Ethics Ordinance

The Forest County Potawatomi Tribal Official and Employee Ethics Ordinance Act of 1989,
including any amendments thereto, is incorporated herein by reference.

12.5 Complimentary Items

Members of the Executive Council or Commission, Key Employees, Primary Management
Officials, parties to a Management Contract or persons with a financial interest in a Management
Contract shall not be permitted to receive any complimentary items offered by or at any of the
Tribe’s Gaming Enterprises or Gaming Facilities. This prohibition does not include
complimentary food and beverages valued at or under five dollars ($5.00) or food and beverages
offered free to the general public at any Gaming Facility or Gaming Enterprise.

12.6 Gaming Commission Employees

The Gaming Commission shall issue an Employee’s Handbook establishing ethical standards
and obligations for Commission employees consistent with §12 of this Ordinance.

§ 13. Accounting, Monthly Reports, and Annual Audits

13.1 Accounting Access Required

Page 19 of 22


(A)
()

Vendors and/or their agents; and

Labor Organizations and/or their agents.

§10. Background Investigations and Licensing Determinations

10.1 Required Background Investigations

The Commission shall conduct background investigations and make licensing determinations for
the following persons:

(A)
(B)

All Primary Management Officials, and Key Employees; and

Such additional persons as required under the IGRA, the Compact or in the
discretion of the Commission, including, but not limited to, Vendors, Labor
Organizations and Agents of a Labor Organization.

10.2 Gaming Licenses for Key Employees and Primary Management Officials

The Gaming Commission shall be the primary licensing authority for Class II and Class II]
gaming on tribal lands. The Gaming Commission shall send notice of any license issued to a
Key Employee or Primary Management Official to the National Indian Gaming Commission as
required by applicable laws and regulations.

(A)

(B)

If, within thirty (30) days of issuing a license to a Key Employee or Primary
Management Official, the NIGC provides the Gaming Commission with a
statement itemizing objections to the issuance of a license to the Key Employee or
Primary Management Official applicant for whom the Gaming Commission has
provided a notice of results, the Gaming Commission shall reconsider the
application, taking into account the objections itemized by the NIGC. The
Gaming Commission shall make the final decision whether to issue a license to
such applicant.

If the Gaming Commission has issued a license before receiving the NIGC’s
statement of objections, notice and hearing shall be provided to the license
pursuant to the following:

(1) If the Gaming Commission receives notice from the NIGC that a Key
Employee or Primary Management Official is not eligible for
employment, the Gaming Commission shall immediately suspend the
license and shall provide the licensee with written notice of suspension
and proposed revocation.

(2) | The Gaming Commission shall notify the licensee of the time and place

for the hearing on the proposed revocation of a license. The revocation
hearing shall be held pursuant to the Rules of Licensing Procedure. The

Page 15 of 22


operation and management for Class II games that are no less stringent than, nor otherwise
inconsistent with, the Compact.

§6. Public Safety Standards

The construction, maintenance, and operation of any Gaming Facility, shall be conducted
pursuant to 25 C.F.R. § 522.4(b)(7) and in a manner that adequately protects the environment
and the public health and safety and for that purpose shall comply with the requirements of the
Compact and all applicable health, safety and environmental standards enacted by the Tribe and
all -municipal, state and federal laws which are applicable to the Tribe. Those public health and
safety standards for public buildings, electrical wiring, fire protection, plumbing and sanitation
that are set forth in Chapters 101, Wis. Stats., and the administrative rules adopted thereunder,
including but not limited to CHS. ILHR 14 Fire Prevention, 16 Assembly Halls, and 8186
Plumbing, Wis. Admin. Code, as they may be amended from time to time, shall be deemed to be
incorporated by this Ordinance as the laws of the Tribe applicable to the Tribe's Gaming
Facilities located in the State of Wisconsin.

§7. Net Revenues

(A) | The Net Revenues from any games shall be exclusively devoted to the purposes
authorized by the Forest County Potawatomi Community.

(B) The Net Revenues are not to be used for purposes other than: (i) to fund Tribal
government operations or programs; (ii) to provide for the general welfare of the
Tribe and its members; (iii) to promote Tribal economic development; (iv) to
donate to charitable organizations; or, (v) to help fund operations of local
government agencies.

(C) _ Ifthe Tribe chooses to authorize and pay Per Capita payments, it shall do so only
in accordance with a revenue allocation plan submitted to and approved by the
Secretary of Interior pursuant to 25 U.S.C. § 2710(b)(3). The Tribe shall ensure
that Per Capita payments are only made in accordance with an approved revenue
allocation plan and that the interests of minors and other legally incompetent
persons who are entitled to receive per capita payments shall be protected and
preserved as required by the IGRA.

§8. Forest County Potawatomi Community Gaming Commission

8.1 Establishment of Commission

The duly-created Gaming Commission shall consist of five (5) members. The terms of office for
the five members shall be unaffected by this Amended Ordinance, except as the anniversary
dates of the members may be changed pursuant to Amended Bylaws approved by the Executive

Council. The term of all members shall be four years, with staggered terms. If any Gaming
Commissioner’s term has not been renewed upon his or her anniversary date, that term shall be

Page 10 of 22


10.

ll.

12.

13.

14,

15.

16.

17.

18.

FOREST COUNTY POTAWATOMI COMMUNITY
GAMING CONTROL ORDINANCE (SECOND AMENDED)

Table of Contents

.General

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SSS aAVG SHUSTER ANSALTSaOSNEASEaas soos se esnsesauecesennerseecnensseesseeseneces Authorization of Gaming Activities

Conformance with IGRA and Compact
sauauen aes ansateasinceaeNetsiceeaT ss essesesassscsscssnsenibunsonessans Standards of Operation and Management
sausnennccuoccnawessuuenessewesseisessuawsataatus sesuasanavuantiassuavewaabeabenatvanwateeseeséte Public Safety Standards
dinvnscsansoneassaveaaasvasaueweesesensSenDuenDOUNeensRsWbWsbeHtesOKOVOKOSAAEDERSDUSADROLSKSLSbuDODAveRENeHenDeeey Net Revenues
sneounacesesnesonesonncosenaennaenriiesees Forest County Potawatomi Community Gaming Commission
auunvsnssteusansasevesonensbansonenssossnusonstaxexendeesenesuneneronetavatcenevanensoneuncenneteravennnnennenneeenearee® Registration
dau evensndesedensunvevniepnonsennensvesennetsoe Background Investigations and Licensing Determinations
acenncoxaaewexnusenennercncennconmanonsTynsenvusaunvonseucnnasaecosoosoneesTosencussursseaveoneannazeee Licensing Procedures

Ethics

sessssenecseenecareneeueeneaeenesueasecaneneeseeneaeensenes Accounting, Monthly Reports, and Annual Audits
srarrvcraansusssseneussusastyapvayessnensessogerasesaeesafasesseatesseasessessssses4ad Powers of the Executive Council

.. Powers of the General Council

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Penalties for Violations

Page 2 of 22


17.6 Enforcement

Any person who violates any of the above subsections shall be asked to leave the Gaming
Facility. If any person so requested to leave refuses to promptly leave the Gaming Facility, any
of the Tribe's authorized law enforcement officers, security personnel or local, state or federal
law enforcement officers shall be called to escort such person from the Gaming Facility.

17.7 Transportation Providers

No person providing conveyance on Tribal Lands, or whose destination is Tribal Lands, shall
conduct or permit to be conducted, any Class II or Class III games in such vehicle.

17.8 Record Retention

The Tribe retains records related to the Tribe’s Gaming Operations and Facilities for at least
seven (7) years after the record is created as required by IGRA, the Compact and relevant tribal,
federal and state law. The Commission shall establish policies and procedures related to the
scope, procedure and duration of record retention, release and destruction.

§ 18. Penalties for Violations

Any person who violates any provision of this Ordinance or any policy, standard, rule, guideline
or regulation adopted by the Commission or gives false testimony in any matter provided for
hereunder before either the Commission or the Executive Council shall be subject to civil
penalties to be imposed by the Executive Council, or Gaming Commission, including suspension
or exclusion from employment in any Gaming Enterprises, exclusion from the Tribe's Lands if
not a member of the Tribe, a fine of not more than ten thousand dollars ($10,000) and/or
assessment of costs for each such violation. Fines shall be imposed pursuant to a fine schedule
established by the Commission.

Legislative History for Forest County Potawatomi Gaming Control Ordinance (Second Amended):

Recommended by the Ordinance Department .....
Approved by Executive Council ...
Approved by General Council Resoluti

Page 22 of 22


4. The Gaming Commission shall issue its decision in writing to the patron and the
Gaming Enterprise.

5. Each Gaming Enterprise shall publish procedures for impartial resolution of patron
disputes concerning conduct of the game, which shall be made available to patrons
upon request”;

19) Deleting Section 17.3 (“Prohibited Substances”) in its entirety;

20) Deleting Section 17.4 (“Dangerous Weapons”) in its entirety.

21) Amending Section 17.8 (“Record Retention”) by adding the following sentence to the
end of the existing language:

“Employee records shall be kept pursuant to the Tribe’s internal control for gaming.”

{00677115.7}


“A Privacy Act notice that is compliant with 25 C.F.R. §556.2(a) shall be placed on each
license application form for a Key Employee or a Primary Management Official before it
is filled out by the applicant. All Key Employees and Primary Management Officials
who completed applications that lacked the required Privacy Act Notice shall be given
written notice of the option to fill out a new application that contains the required notice
or sign a statement that contains the notice and consent to the routine uses described in
that notice”;

14) Deleting the language in Section 10.10 in its entirety and replacing it with the following:

“A Notice Regarding False Statements and the associated penalties that is compliant with
25 C.F.R §556.3(a) shall be placed on the application form for a Key Employee or a
Primary Management Official before it is filled out by an applicant. All Key Employees
and Primary Management Officials who completed applications that lacked the required
Notice Regarding False Statements shall be given written notice of the option to fill out a
new application that contains the required notice or to sign a statement that contains the
Notice Regarding False Statements”;

15) Amending Section 11 (“Licensing Procedures”) to read as follows:

“The Gaming Commission shall have the authority to issue, deny, suspend and revoke
such gaming licenses and Vendor licenses as may be required pursuant to applicable
tribal law, IGRA, NIGC regulations, and the Compact and in accordance with the Tribe’s
Rules of Licensing Procedures as adopted by the General Council on February 11, 1995,
and as amended.

16) Deleting Section 12.6 (“Gaming Commission Employees”) in its entirety;

17) Deleting Section 17.2 (“Permissible Alcoholic Beverages”) in its entirety (and re-
numbering Section 17 to reflect all numerical changes);

18) Adding a new Section 17.2 (“Dispute Resolution”) to read in full:

“Patron Dispute Resolution:

1. For disputes involving a patron and a Gaming Enterprise, the dispute shall first be
submitted in writing to the Gaming Enterprise, which shall render a written decision
on the dispute, clearly stating the reasons for its determination. :

2. If thereafter the patron is not satisfied with the decision of the Gaming Enterprise, the
patron may submit the dispute in writing to the Forest County Potawatomi Gaming
Commission. The dispute must be submitted to the Gaming Commission within 180
days of issuance of the Gaming Enterprise decision.

3. Upon receipt of the dispute, the Gaming Commission may, in its discretion, request
additional information from the patron and the Gaming Enterprise.

{00677115.7}


deemed expired on the anniversary date, and the position will be considered vacant. Three (3)
members shall constitute a quorum.

8.2 Qualifications

In order to qualify for appointment to the Commission, an applicant must satisfy 7 of the
following requirements:

(A)
®)
©

)

(E)

(F)

(G)

Be an enrolled member of the Tribe;

Be age 21 or older;

Have at least a high school or GED equivalent education and have knowledge of
or experience in the gaming industry or a related industry;

Have no prior record of conviction of, or entry of a plea of guilty or no contest to,
any of the following in any tribal, county, state, or federal court, unless he or she
has been pardoned; or the Tribe has opted to waive such restriction by legislative
resolution pursuant to Article IX, Section B of the Gaming Compact:

(1) A felony: within the last ten (10) years other than those crimes or acts
indicated in (d) (ii), (iii) and (iv);

(2) Any gaming-related offense;
(3) Fraud or misrepresentation in any connection;

(4) A violation of any provision of Chapters 562 or 565, Wis. Stats.; any rule
promulgated by the OIGRC, Wisconsin Racing Board or other appropriate
state regulatory body; or this Ordinance or any other ordinance of the
Tribe regulating or prohibiting gaming;

Not be serving on the Executive Council or any elected or appointed committees
of the Tribe at the time of his or her appointment to, or during his or her term of
office on the Commission. This prohibition does not include persons serving on
Area or local committees;

Not be employed by any Gaming Enterprises, and not be a Primary Management
Official or Owner or Controlling Person with respect to any Management
Contract; and

Have satisfied restrictions under §12.

Page 11 of 22


S)
\ FOREST COUNTY POTAWATOMI
FE) COMMUNITY
NS 4 GAMING CONTROL ORDINANCE
V V (SECOND AMENDED)

CHAPTER _-_

Page 1 of 22


10.8 Confidentiality

The Gaming Commission shall ensure that all records and information obtained as a result of any
background investigation or any investigation pursuant to Section 809(g) shall remain
confidential and shall not be disclosed to persons who are not directly involved in the licensing
process, except as required by this Ordinance, IGRA or the Compact. Information obtained
during the course of a background investigation or an investigation pursuant to Section 809(g)
may be disclosed to members of management, human resource personnel or others employed by
the Gaming Enterprise on a need-to-know basis for actions taken in their official capacities.

10.9 Privacy Act Notice

The Gaming Commission shall ensure that a Privacy Act Notice consistent with applicable laws
and regulations is placed on each application for a Key Employee and Primary Management
Official. All Key Employees and Primary Management Officials who completed applications
that lacked the required Privacy Act Notice shall be given written notice of the option to fill out a
new application that contains the required notice or sign a statement that contains the notice and
consent to the routine uses described in that notice.

10.10 Notice Regarding False Statements

The Gaming Commission shall ensure that the application forms for Key Employees and
Primary Management officials contain a Notice Regarding False Statements consistent with the
requirements of applicable laws and regulations. All Key Employees and Primary Management
Officials who completed applications that lacked the required Notice Regarding False Statements
shall be given written notice of the option to fill out a new application that contains the required
notice or to sign a statement that contains the Notice Regarding False Statements.

§ 11. Licensing Procedures

The Gaming Commission shall have the authority to issue, deny, suspend and revoke such
gaming licenses and Vendor licenses as may be required pursuant to applicable tribal law, IGRA
and the Compact and in accordance with the Tribe’s Rules of Licensing Procedures as adopted
by the General Council on February 11, 1995, and as amended.

§12. Ethics

12.1 Prohibitions

No member of the Executive Council, the Commission, or the Potawatomi Legal Department
shall:

(A) Hold any financial interest that conflicts with the ethical and conscientious
performance of his/her official duties.

Page 17 of 22


NAL In,
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June 17, 2019

Ned Daniels, Jr., Chairman

Forest County Potawatomi Community
P.O. Box 340

Crandon, WI 54520

Re: Forest County Potawatomi Community Gaming Control Ordinance
(Second Amended)

Dear Chairman Daniels:

This is to inform you that the Forest County Potawatomi Community Gaming
Control Ordinance (Second Amended), as adopted by the General Council on August 11,
2018, and the subsequent Amendments adopted February 11, 2019, are approved by
operation of law.

Pursuant to the Indian Gaming Regulatory Act, the NIGC Chair has ninety days
from the date of submission to either approve or disapprove a gaming ordinance.' Any
ordinance not acted upon at the end of that ninety day period is considered to have been
approved by the Chair to the extent that it is consistent with the provisions of IGRA. The
ordinance and its amendments were received February 28, 2019, and the ninety days
expired on May 29, 2019. Because no action was taken by the Chair within the ninety-
day period, the Tribe’s ordinance is considered approved to the extent that it is consistent
with IGRA. It is the opinion of the Office of General Counsel that the Gaming Ordinance
amendments are compliant with the requirements of IGRA.

If you have any questions, please feel free to contact attorney Jennifer Lawson at
(202) 632-7003.

Sincerely,

Whol toe

Michael Hoenig
General Counsel

ce: Ken George, Jr., Chairman, Forest County Potawatomi Community Gaming Commission
Aaron Loomis, Deputy Attorney General, Forest County Potawatomi Community Legal
Department

'25 U.S.C. § 2710(e).

#1621 W DC 20240 Tels 202.632.7003 Fax: 202.632.7066

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR

REGIONAL OFFICES Portland, O! 3 St. Paul, MN; Tulsa, OK; Oklahoma City, OK



1.4 Sovereign Immunity

The Tribe, by adoption of this ordinance, does not waive its sovereign immunity in any respect.
Any person acting under good faith of this ordinance shall be immune from any civil liability
arising out of such actions.

1.5 Amendment or Repeal

This ordinance may only be amended or repealed by a Majority vote of the Forest County
Potawatomi General Council. All rules and regulations heretofore adopted by the Forest County
Potawatomi General Council which are in conflict with the provisions of this ordinance are
hereby repealed.

1.6 — Jurisdiction

The Forest County Potawatomi Tribal Court shall have original jurisdiction over all proceedings
under this ordinance. The Tribe’s Gaming Ordinance and the policies, standards, rules,
guidelines and regulations adopted by the Commission shall govern all gaming activities
conducted on the Tribe's lands.

1.7. Severability and Non-Liability

If any portion or section of this ordinance is adjudged to be unconstitutional or invalid by a court
of competent jurisdiction, the remaining sections of this ordinance shall not be affected.

1.8 Sole Proprietorship

The Tribe shall have the sole proprietary ownership of, interest in, and responsibility for, all
Class II and Class III gaming activities conducted on the Tribe's lands pursuant to 25 C.I'.R. Part
522.4(b)(1).

§2. Definitions

For purpose of this ordinance, the following words and phrases shall have the meanings given to
them in this section and by law:

“Class I gaming” means Class I gaming as defined in accordance with IGRA, 25 U.S.C.
§2703(6).

"Class I] gaming" means Class II gaming as defined in accordance with the IGRA, 25 U.S.C. §
2703(7)(A).

"Class III gaming" means Class III gaming as defined in accordance with the IGRA, 25 U.S.C. §
2703(8).

Page 4 of 22


|
) FOREST COUNTY POTAWATOMI COMMUNITY
Hh GAMING CONTROL ORDINANCE (SECOND AMENDED)

Hy

BE IT ENACTED, by the General Council of the Forest County Potawatomi
Community, acting pursuant to the authority vested in it by Article IV, Section 1 (d) and (), of
its Constitution, that all gaming operations conducted by the Forest County Potawatomi
Community be governed by the following provisions.

§1. General
1.1 Purpose
The purposes of this Ordinance are:

(A) _ To provide a statutory basis of promoting tribal economic development, self-
sufficiency, and a strong tribal government; and

(B) To provide appropriate regulations and rules, which shall be strictly and
uniformly enforced throughout the jurisdiction of the Forest County Potawatomi
Community to ensure the close control by its Gaming Commission, under the
direction of the Tribe's Executive Council, of the regulation of all gaming activity
conducted on the Tribe’s Lands.

1.2. Authority

The Forest County Potawatomi General Council enacts this ordinance pursuant to its authority
granted under the Forest County Potawatomi Tribal Constitution, Article IV, §1 (d).

1.3. Effective Date and Title

This ordinance is hereby adopted immediately following the majority approval by the Forest
County Potawatomi General Council, subject to approval by the NIGC, and shall be known as
the Second Amended Gaming Control Ordinance of the Forest County Potawatomi Community.
Upon majority approval, this ordinance hereby amends the Gaming Control Ordinance, the
Amended Gaming Control Ordinance, the Bingo Control Ordinance, and the Class II and Class
III Ordinances, adopted by the General Council of the Forest County Potawatomi Community
and supersedes all prior Ordinances in their entirety.

Page 3 of 22


{00689046.1}

EXHIBIT B
SECOND AMENDED GAMING CONTROL ORDINANCE
(adopted by General Council on August 11, 2018;

never submitted to NIGC for approval)

Attached hereto.


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The Commission shall have the authority to procure or contract for the purchase
of all goods and services necessary for the Commission to fulfill its duties. The
Commission shall adhere to Tribal policies and procedures for purchase of goods
and services. If any such contract requires the waiver in any manner of the Tribe’s
sovereign immunity, the Commission shall comply with all Tribal law related to
such of sovereignty.

The Commission shall report to the Executive Council, or meet with the
Executive Council, at the Executive Council’s discretion, at least monthly and as
needed pertaining to the activities of the Commission and the status of the Tribe’s
Gaming Enterprises.

The Commission shall timely post the minutes and all notices of its meetings at
the Executive Building of the Community, and provide to the Executive Council a
complete and up-to-date record of its minutes.

The Commission shall have the authority to negotiate on behalf of the Tribe and
shall report to the Executive Council prior to any execution of any and all
agreements related to regulation and licensing that are not inconsistent with the
authority delegated to the Commission under this Ordinance, the Compact and the
IGRA and that are related to the compliance of Tribal Gaming Enterprises and
Gaming Facilities with Tribal, federal and state law. If any such agreement
requires the waiver in any manner of the Tribe's sovereign immunity, the
Commission shall comply with all Tribal law related to such waiver of sovereign
immunity.

The Commission shall have such other powers as are delegated to it from time to
time by the General Council or the Executive Council.

Only upon prior approval by the Executive Council shall the Gaming Commission
make official statements on behalf of the Tribe related to the Tribe's gaming.

8.8 Procedures of the Commission

(A)

(B)

Meetings. All meetings (except licensing hearings, related meetings and
executive sessions) of the Commission shall be open to all members of the Tribe.

Bylaws. The Bylaws appended hereto as Appendix A shall be the Bylaws
governing the operations of the Commission. Subject to any limitations set forth
in this Ordinance, such Bylaws may be amended by the Commission at any time,
but amendments shall not be effective until approved by the Executive Council.

§9. Registration

The Commission shall require the following persons to register with the Commission upon
entering any Premises, unless and until such person has been issued a license pursuant to §8,
§10, and §11 of this Ordinance:

Page 14 of 22


The Commission shall have unlimited access to an adequate computerized accounting system for
the purpose of reviewing, investigating and/or auditing all receipts and expenditures in
connection with the conduct of games and the disbursement of profits derived therefrom. The
Commission and the Executive Council shall have unlimited access to printed or electronic
copies of all such information.

13.2 Monthly Reports

(A) No later than fifteen (15) days after the end of each month, the General Managers
of each of the Gaming Enterprises shall prepare and submit to the Commission
and the Executive Council a comprehensive report for the completed_month of the
gaming operations for which such General Manager has overall responsibility.
The report shall include, but not be limited to:

qd) An itemized statement of the gross receipts ; and

(2) An itemized statement of expenditures, including amounts paid for salaries
and benefits, prizes, supplies and equipment, and other expenses.

(B) The monthly report shall be signed by the General Manager with overall
responsibility for the operations.

13.3. Annual Audit

In compliance with 25 U.S.C. § 2710(b)(2)(C) and (D), all Gaming Enterprises shall be subject
to an audit by independent certified public accountants, not less than annually, to be submitted to
the Executive Council and the Commission. Copies of the annual audit shall be provided to the
NIGC. In addition, all contracts for supplies, services, or concessions for a contract amount in
excess of twenty five thousand dollars ($25,000) annually relating to Class II or Class III gaming
shall be subject to an independent audit not less than annually.

§ 14. Powers of the Executive Council

The Executive Council shall be the body within the Tribe's government that has primary
responsibility for dealing with an entity established by the United States Government and/or the
State of Wisconsin for all non-regulatory and non-licensing gaming-related purposes.

§ 15. Powers of the General Council

(A) | The General Council retains the authority to review and rescind action of the
Gaming Commission, provided that if the General Council has not acted to
rescind action of the Gaming Commission within thirty (30) days from the date
minutes describing that action have been posted, then the action shall be final and
not subject to rescission.

Page 20 of 22


AMENDMENT TO SECOND AMENDED GAMING CONTROL
ORDINANCE

Authority: This is an Amendment to the Forest County Potawatomi Community (“Tribe”)
Second Amended Gaming Control Ordinance, adopted by the General Council on August 11,
2018, pursuant to the General Council’s powers contained in Article IV, Section 1(d) of the
Tribe’s Constitution, adopted on June 5, 1982, and pursuant to the Indian Reorganization Act of
June 18, 1934 (P.L. 73-383).

Amendments: The General Council hereby amends the Second Amended Gaming Control
Ordinance adopted on August 11, 2018, as follows:

1) Amending the name of the Ordinance to “Forest County Potawatomi Community
Gaming Control Ordinance (Second Amended and Restated)”, and requiring any
references to the “Second Amended Gaming Control Ordinance” or variations thereof
throughout the Ordinance to be amended consistent with this Amendment;

2) Amending Section 1.3 (“Effective Date and Title”) to read in full:

“This ordinance is hereby adopted immediately following written notice of approval by
the National Indian Gaming Commission. Once approved, this ordinance hereby replaces
in their entirety the Gaming Control Ordinance, the Amended Gaming Control
Ordinance, the Bingo Control Ordinance, and the Class II and Class III Ordinances,
adopted by the Forest County Potawatomi Community General Council, and supersedes
and replaces in their entirety all prior gaming related ordinances existing prior to the date
of adoption of this Gaming Control Ordinance (Second Amended and Restated). With
the adoption of this ordinance, the Forest County Potawatomi Community Gaming
Commission’s Gaming Regulations, adopted February 11, 1995, are also repealed in their
entirety”;

3) Amending the second sentence of Section 1.5 (“Amendment or Repeal”) to state in full:

“Any rules and regulations heretofore adopted by the Forest County Potawatomi General
Council which are in conflict with the provisions of this ordinance are hereby repealed”;

4) Amending the Definition of “General Manager” in Section 2 (“Definitions”) as follows:
““General Manager” means the individual who has responsibility for day-to-day
operations of a Gaming Enterprise, and may also include a Chief Executive Officer
(CEO) or Chief Operating Officer (COO), at the discretion of the Executive Council”;

5) Amending Section 3.5 (“Authority for Internet Gaming”), including the section title, to
read in full:

“Authority for Internet Gaming/Additional Games”

{00677115.7}


"Net Revenues" means 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.

"NIGC" means the National Indian Gaming Commission established pursuant to the IGRA, 25
US.C. § 2704.

“OIGRC” means the Wisconsin Department of Administration, Division of Gaming, Office of
Indian Gaming and Regulatory Compliance, formerly known as the Lottery Board.

"Ordinance" means this Second Amended Gaming Control Ordinance.

"Person" means any individual or entity, including any corporation or general or limited
y y: ig any a
partnership.

"Premises" means any place, facility, or location on the Tribe's Lands at which Class II or Class
III gaming is conducted.

"Primary Management Official" means:
(A) ; The person having management responsibility for a Management Contract;
(B) Any person who has authority:
(1) To hire and fire employees; or
(2) _ To set up working policy for the Gaming operation; or

(C) The chief financial officer or other person who has financial management
responsibility.

"Tribe" means the Forest County Potawatomi Community, any of its subdivisions, enterprises,
agencies, or instrumentalities, corporations chartered under federal, state, or Tribal law, which
are wholly owned by any of the foregoing, and authorized officials, agents, and representatives
of any of the foregoing.

"Tribe's Lands” means:

(A) All lands within the limits of the Forest County Potawatomi Community
reservation;

(B) All lands held in trust by the United States for the benefit of the Tribe as of
October 17, 1988; and

(C) All lands which may be acquired in trust by the United States for the benefit of
the Tribe after October 17, 1988, over which the Tribe exercises governmental

Page 7 of 22


3.6 Compact Incorporated

The Compact is hereby incorporated within and enacted as an integral part of this Ordinance
with respect to all forms of Class III gaming as if set forth in full herein; provided, however, that
nothing in the incorporation of the Compact herein shall be deemed to affect the operation by the
Tribe of any Class II gaming, whether conducted within or without the gaming facilities, or to
confer upon any state any jurisdiction over such Class II gaming conducted by the Tribe on the
Tribe's Lands.

3.7. Authority for Management and Other Contracts

The Tribe may enter into any contracts or other agreements to further its gaming interests,
including one or more Management Contracts. Each Management Contract shall designate the
person or persons having responsibility for management of all or part of any Gaming Enterprise.
Management Contracts and other gaming-related contracts shall contain such provisions as are
required under the IGRA, the implementing NIGC regulations, the Compact, and shall be
submitted to the NIGC or other appropriate federal regulatory body for approval as required by
the IGRA, and shall be submitted to the OIGRC or other appropriate state regulatory body for
approval as required by the Compact. All such contracts shall not be effective until approved by
the NIGC, other appropriate federal regulatory body, and/or the OIGRC or other appropriate
state regulatory body.

§4. Conformance with IGRA and Compact

This Ordinance shall be construed in a manner that conforms to the IGRA and the Compact in all
respects, and if inconsistent with the IGRA or the Compact in any manner, the provisions of the
IGRA or the Compact, respectively, shall govern.

§5. Standards of Operation and Management

5.1 Class II Games

The Tribe shall abide by its standards of operation and management for bingo and other Class II
games duly adopted to protect the integrity of such games. The standards of operation and

management for Class II games shall hereby provide, at a minimum, that:

(A) No person under the age of 18 shall be permitted to participate in any Class II
gaming operations as an employee, contractor, or player.

(B) The rules by which the game will be conducted and the winner or winners
determined shall be established in advance of the game and shall be visibly
displayed or available in pamphlet form in the Gaming Enterprise.

5.2 Class II] Games

The standards of operation and management for Class III games shall be those set forth in the
Compact. The Tribe may establish and amend ils minimum internal control standards of

Page 9 of 22


EXHIBIT A

AMENDMENT TO SECOND AMENDED GAMING CONTROL ORDINANCE

Attached hereto.

{00689046.1}


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Be employed by any Gaming Enterprise, be a Primary Management Official, have
a personal financial interest with respect to any Management Contract, or be an
owner or employee of any Vendor while serving on the Executive Council or the
Commission

Participate in the consideration or determination of any application for a gaming
or Vendor license by, or participate in the revocation or suspension of any such
license granted hereunder to, any Household Member or Immediate Family
Member or Relative of such member or employee.

Engage in any business transaction or professional activity or incur any obligation
of any nature which conflicts with the proper discharge of his or her official
duties.

Use or attempt to use the authority of his or her official position to seek or obtain
personal advantage or personal economic gain.

Participate as a player in any Class II or Class III] games conducted pursuant to
this Ordinance on Tribal Lands or in any Tribal Gaming Enterprise or Facility.

Engage in any personal financial transaction using non-public information
acquired during the course of his or her official duties or allow others to use such
information for personal financial gain.

Use or disclose confidential information gained in the course of, or by reason of,
his or her official position or activities without proper authority or to further the
personal or economic interests of the member named above.

Give preferential treatment in matters arising in the course of his ‘or her official
duties to any person, including any Household Member or Immediate Family
Member.

Solicit or accept any gift or other item of monetary value from any Vendor or
potential Vendor or from any person who is seeking official action or inaction or
whose personal or financial interests may be substantially affected by the
performance of the member’s or employee’s official duties.

Engage in outside employment activities, including seeking or negotiating for
future employment, which conflicts with his or her official duties and
responsibilities.

Engage in any action or take any position which creates the appearance of a
conflict of interest or a violation of any law. In the event of a real or apparent
conflict of interest or violation of legal and ethical standards, the member of the
Executive Council, Gaming Commission or Legal Department shall promptly
disclose the action or position and the real or apparent conflict of interest or

Page 18 of 22


| Forest County Potawatom Communtty

PO. Bor 340 © Crandon, Wéscousia 54520

POTAWATOMI

(Keeper of the Fire)

CERTIFICATE OF TRIBAL SECRETARY

I, James A. Crawford, hereby certify that I am the duly elected Secretary of the Forest
County Potawatomi Community (the “Tribe”); and, acting in such capacity, I do hereby certify
that:

1. I was the official recording officer and custodian of the official records of the regularly-
scheduled meeting of the General Council held on February 9, 2019 (the “GC Meeting”).

2. A quorum of qualified voters, as defined in Article III, Section 5 of the Forest County
Potawatomi Community Constitution (hereinafter “Constitution”) was present at the
February 9, 2019 General Council meeting.

3. Pursuant to its authority as defined in Article IV, Section 1(d) of the Constitution, the
General Council adopted the attached “Amendment to Second Amended Gaming Control
Ordinance,” at the February 9, 2019 General Council meeting which, among other amendments,
changed the name of the ordinance to “The Forest County Potawatomi Community Gaming
Control Ordinance (Second Amended and Restated)”.

4. The “Amendment to Second Amended Gaming Control Ordinance” amends the Second
Amended Gaming Control Ordinance (copy attached as Exhibit B) that was adopted by the
General Council at its August 11, 2018 regular meeting, but which was never submitted to the
National Indian Gaming Commission for approval.

IN WITNESS WHEREOF, the undersigned has executed this Certificate of Tribal
Secretary as of this_% day of February, 2019.

Oa MC heres
James A. Crawford, Secretary of the Forest
County Potawatomi Community

{00689046.1}


(B) Pursuant to Article [V(a) of the Constitution of the Forest County Potawatomi
Community, the General Council has the authority to retain legal counsel for the
Tribe in the area of gaming, or pursuant to Article IV, Section 1(e), to delegate
this authority to subordinate organizations, boards, committees or officials of the
Community.

§ 16. Interpretation

In the interpretation and application of the provisions of this Ordinance, said provisions shall be
held to have created a minimum standard, shall be liberally construed in favor of the Tribe and
shall not be deemed a limitation or repeal of any other Tribal power or authority.

§ 17. Miscellaneous Provisions

17.1 Right to Exclude Any Person From Premises at any Time

Any person may be excluded from the premises for cause at any time at the discretion of any
Primary Management Official, General Manager, or the Gaming Commission.

17.2 Permissible Alcohol Beverages

No person shall have in his or her possession any alcoholic beverages on any Premises, except
for such beverages as are purchased from the Tribe or its authorized agents for on-sale
consumption in accordance with licensing and other requirements of the Compact and laws of
the Tribe, with possession and consumption of such beverages to be confined to such areas as are
specifically defined by the Executive Council.

17.3. Prohibited Substances

No person shall have in his or her possession any substance prohibited by federal, state or tribal
laws while on any premises.

17.4 Dangerous Weapons

No person shall have in his or her possession any firearm or other dangerous weapon in the
Gaming Facility. This section shall not apply to Tribal, local, state or federal law enforcement
officers or security personnel employed by the Tribe.

17.5 Disorderly Conduct

No person shall engage in conduct which is violent, abusive, indecent, profane, boisterous,

unreasonably loud, or otherwise disorderly under circumstances in which the conduct tends to
cause or to provide disturbance on any Premises.

Page 21 of 22


"Compact" means any compact between the Tribe and any state entered into pursuant to the
IGRA, including any amendments thereto.

"Executive Council" means the Executive Council of the Forest County Potawatomi Community,
as that body is defined in Article III, Section 6 and Article IV of the Constitution.

"Gaming Commission" or “Commission” means the Forest County Potawatomi Community
Gaming Commission established pursuant to the Gaming Control Ordinance, adopted on
February 1, 1993, and amended pursuant to the Amended Gaming Control Ordinance adopted on
July 12, 1994 and this Second Amended Gaming Control Ordinance.

"General Council" shall mean the General Council of the Forest County Potawatomi
Community, as that body is defined in Article III of the Constitution.

“Gaming Activities” shall mean any Class I, Class II, or Class [II gaming conducted on the
Tribe’s Lands as those activities are defined in this Ordinance or the IGRA.

"Gaming Enterprise" means all of the Tribe's Class II and Class III gaming operations conducted
pursuant to this Ordinance. "Gaming Enterprise" means each economic entity that is licensed by

the Gaming Commission, operates the games, receives the revenues, issues the prizes, and pays
the expenses.

"Gaming Facilities" means the buildings and associated real property within which the Tribe
conducts Class II and Class III gaming and other associated commercial activity related to such

gaming, and shall include any parking facilities established to provide parking for a Tribal
Gaming Enterprise.

"General Manager" means the individual who has responsibility for day-to-day operations of a
Gaming Enterprise.

"Household Member" means a person currently residing in a household on a consistent basis and
treated as a member of the family residing in the household.

"IGRA" means the Indian Gaming Regulatory Act, Pub.L. 100-497, 25 U.S.C. §§ 2701, et seq.
"Immediate Family Member" means a spouse, parent, child, or Household Member.

"Immediate Relative" means a spouse, sibling, parent, grandparent, child, or grandchild, whether
by blood, adoption, or legal relation.

"Key Employees" mean the following persons:

(A) _ All persons performing one or more of the following functions in any of the
Gaming Enterprises:

Page 5 of 22


power, and which meet the requirements of section 20 of the IGRA, 25 U.S.C. §
2719.

“Vendor” means any person who provides gaming related goods and/or services in exchange for
financial or other consideration with a Gaming Facility or in support of a Gaming Enterprise.

§3. Authorization of Gaming Activities
3.1 All Gaming Activity Regulated

All gaming activity on the Tribe’s Lands shall be conducted in accordance with this Ordinance,
and any gaming activities not explicitly authorized by this Ordinance shall be prohibited.

3.2. Authority for Class I Gaming

Class I traditional games shall be permitted to the extent authorized by the Gaming Commission.
The Gaming Commission may prohibit any Class I traditional games which it finds are not in
accordance with tribal customs or practices or which violate IGRA or other applicable law.

3.3. Authority for Class II Gaming

The Tribe shall be authorized to conduct all forms of Class II gaming on the Tribe's Lands.

3.4 Authority for Class [I] Gaming

The Tribe shall be authorized to conduct the following types of Class III gaming on the Tribe's
Lands:

(A) — Electronic games of chance with video facsimile displays;
(B) Electronic games of chance with mechanical displays;
(C) Blackjack;

(D) _ Pull-tabs or break-open tickets when not played at the same location where bingo
is being played; and

(E) _ Any other type of Class III gaming conducted pursuant to the terms of the Tribe's
Compact.

3.5 Authority for Internet Gaming

The Tribe shall be authorized to conduct internet gaming to the extent permitted by federal, state
or tribal law.

Page 8 of 22