February 7,2008 

Via US. Mail and Facsimile 

Daniel Brown, Vice President 

Ho-Chunk Nation 

W98 14 Airport Rd. 

P.O. Box 667 

Black River FaIIs, WI 54615 

Fax: (715) 284-3172 

Scott Sussman, Legislative Counsel 

Ho-Chunk Nation 

W9814 Airport Rd. 

P.O. Box 667 

Black River Falls, WI'546 15 

Fax: (71 5) 284-3172 

RE: Amendment to Ho-Chunk Nation Gaming Ordinance 

Dear Vice President Brown and Mr. Sussman: 

On February 4,2008, M. Sussman on behalf of the Ha-Chunk Nation (Nation) requested 

that the National Indian Gaming Commission (NIGC) review and approve the Nation's 

amendment to the Ho-Chunk Nation Gaming Ordinance (gaming ordinance}. The Nation 

amended the gaming ordinance on January 28,2008, via Resolution No. 1 -28-OX-D. Jn 

this amendment, the Nation clarified the gaming commission's role within the 

government structure. Further, the Nation amended its definition of Nation's lands to 

comply with the requirements of the Indian Gaming Regulatory Act (IGRA). 

This letter constitutes approval of the amendment because nothing therein conflicts with 

and the Commission's ~egulations. 

endment fox review and approval. If you have any 

Attorney Rebecca Chapman at (202) 632-7003, 

Philip N. Hogen 

Chairman 

NATIONAL HEADQUARTER5 1441 L St NW, Suite 9100, Washington. DC ZOW5 Tel: 202 631.7003 Fax 202.632 7066 WWW.NtGc.GOV 

REGIONAL OFFICES Portland, OR; Sacramento. CA; Phoemx. AZ, St. Paul. MN. Tulsa. OK 
HO-CHUNK NATION LEGISLATURE 

Governing Body of the Ho- Chunk Nation 

HO-CRUNK NATION LEGISLATURE t 

ADOPTION OF AMENDMENTS TO AMENDED \ c 

ANT, RESTATF,D GAMING ORDINANCE (5 RCC 51) /# 

RESOLFJTTON 1-28-08 D 

WAEW,AS, 

WHEREAS. 

WHEREAS, 

WHEREAS, 

WEREAS, 

WHEREAS. 

WHERE AS, 

WHEREAS. 

on November I, 1994, the United States Secretary of the Interior approved a new 

Constitution for the Ho-Chunk Nation, fornlerly known as tl~c Wisconsin Winnebago 

Tribe; and 

the Ho-Chunk Nation ('Wation") is a fedcraEIy recognized Indian Tribe, organized 

pursuant to the Indian Reorganization Act of 1934; and 

Article V, Section 2(a) of the Ho-Chmk Nation Constitution ("Constitution") grants the 

Ho-Chlmk Nation Legislahlre ("Legislature") the power to make laws, including codes, 

ordinances, resolutions, and stahrtcs; and 

Article V, Section 2(b) of Ihc Constitution pants the Legislature the power to establish 

Executive Departments, and to delegate legislative powers to the Executive branch to be 

administered by such Departments, in accordance with the law; any Department 

established by the Legislature shall be administered by the Executive; the Ixicgislaturr: 

reserves the power to review any action taken by virtue of such delegated power; and 

Article V, Section 2{d) of the Constitution grants the Legislature to authorize 

exp~lditures by law and appropriate hds to the various Departments in an annual 

budge?; and 

Article V, Section 2(e) of the Constitution grants the Legslature the power to raise 

revenue, including the power to levy and collcct taxes and Iicense fees; and 

Article V, Sectioi~ 2(f) of the Constitution grants the Legislature the power to set the 

salaries, terms and conditions of employment for all governmental personnel; and 

Article V, Section 2(g) of the Constifition grants the Legislature the authority to set its 

own procedures, select its officers, and to enact laws governing attendance of its 

members, including penalties for absences; and 

Article V, Sectlon 2(h) of the Constitution grants the Legislature the power to enact a11 

laws prolibiting and regdating conduct, and imposing penafties upon all persons within 

the jurisdiction of the Nation; and 

Article V, Section 2(i) of the Constitution grants the Legislature the power to negotiate 

and enter into trcatics, compacts, contracts, and agreements with other governments, 

organizations, or individuals; and 

Article V, Section 2(1) of the Coistitution grants the Legislature the power to enact laws 

to manage, lease, permit, or otl~erwisc deal with the Nation's lands, interests in lands or 

other assets; and 

bcle V, Section 2(r) of the Coilstitution grants the Legislature the power to protect and 

foster Ho-Chunk rcligio~rs freedom, culturc, language, and traditions; and 

Executive Offices 

W9814 Airport Road P.O. Box 667 Black River Falls, WI 54615 

(715) 284-9343 Fax (715) 284-31 72 (800) 294-9343 
Page 2 

WAEREAS, Article V, Section 2(s) of tl~c LurrsirruLlurr ~iailts the Legislahlre the power to promote 

public health, education, cl- :r services as may contribute to the social 

advancement of the membt : Nation; and 

larity. and 

:rs of the : 

" 

1 such 0tllI 

I-10-Clllld 

ution gar 

within th~ 

WHEREAS, Article V, Section 2(t) of the Constit 

governing law enforcement on lands 

~ts the Legislature f 

2 jurisdiction of the 

he power 

Nation: a 

to enact laws 

~nd 

hitinn grm 

and smmt 

lnci l pursWREREAS, Article V, Section 2(x$ of the Consti1 

other laws, ordinances, Resolutions, 

powers delegated by the General Col 

to the foregoing list of powers; and 

nts the Le 

es necess; 

uant to Ar 

gislature 1 

11-y to cxe 

tick III i~ 

:he power 

rcise its It 

icluding 1 

to enact i 

:gislative 

~ut not ljn 

'"Y 

ited 

25 U.S.C. $527 10 (b) & (d) provide I :quirement of an Indian tribe conducting 

Class IT and Class 111 gaming on its Ialru 13 lur the gaming to be authorized by a 

Resolution or Orc ndian Gaming 

Commission: and 

that one rt --A :- r-- " 

Iinance th L, at is qprt National I 

Ice or 

Gaming 

WHEREAS, 25 U.S.C. 62712 arovides t 

Resoluti 

Cornmi: 

hat any A 

ctlve r~nti 

il; and 

mendmer 

1 the Chai 

)a1 Ganlir: 

te Nation, 

tg Ordinal 

on shall r a1 Indian I 

;sion has ; 

The Leg 

(hereina Al. 

nded and 

'the ETo-C L- .I I... T - 

lrdinancc 

the most 1 

WHEREAS. .islafive has adopter Restated Gaming C (5 HCC $1) 

fier "Gaming Ordir :hunk Nation, with -ecent 

LUIICIILIY effective hrnendnlc~~ilclrmleu uv ~wisIative Resolution 8i3J05J3; and 

1 an Arne: 

lance") of .-.. L - >-- 

WHEREAS, Section 105 of the currentlj 

Ordinance to bc arncndcd 11 

Legislature at any rime at a 

r effective 

- requires 

! Gaming 

"an affirm 

Ordinancr 

lative vntl 

: provide: 

3 of eight 

; that in 01 

(8) rnernt 

rder for the 

>ers of the 

duly callt 

3posed AI 

5 at which 

ts to the G 

~t." 

WHEREAS, The Legislature adopted prc m Dece 

19,2007; and 

WHEREAS, The NIGC raised mvisions of the proposed Gaming Ordinance 

adopted by tl~e Le~lsra~~uc at itsDecemhcr 19. 2007 session; and 

concerns wit11 two 1 -:-1-L 

NOW TFERE'FORE BE IT RES( pursuant to its Constitutional authority 

hereby Amends the Gaming Osdinat~ce to auul ess ine two concerns raised by the NIGC. 

that the LI I-. -- r1. - <. 

BE IT FCTRTHI kIAVED, f aming Ordinance approved by the 

Legislature at its ,1- 19, 200' 1 Amendments shall only be effective upon 

the approval of tl~c Lualr lrlan of the ludi~u~ra~ ~rl~uarl uarr~~r~r ~otnrnission. 

CR RESQ 

Decembe 

-- PI--:-. 

hat the Ar 

7, session XT-L---l 

nendrnenl 

and these r-J:-- Pa 

3 10 the G 

proposed 

... :...-paHo-Chum 

, of wl~on 

h day of .I 

k Na t inn, 

1 9 ct~nstit 

fanuary, 

1, the undersigned, as Tribal Secreta hereby certify that the Legis! he 

Ho-Chunk Nation, composed of 11 uting a quorum were present ins 

duly called and convened and held c 2008, that the foregoing reso s 

adopted at said meeting by an affirmative votr and 0 abstaining, pursuant to 

the authority of Article V, Section 2(a) and (x o-Chunk Nation approved by the 

Secretary of the Interior on November 1, 199~ , not been rescinded or amended 

in any way. 1 further certify that tl~is is a veriilcu cupy ul aalu ~cso~uuc~rl. 

ry for the 

members 

m the 28tl 

lature oft 

at a meet 

lution wa 

: of 9 me] 

) of the C 

!, and that C3-1 

nbers, 0 I 

onstit~~tio~ 

said reso -r --:J -- 

opposed, 

n of t11c R 

lution has --l..L: -- 

AElliott Gamin, Tribal Secretary n late 
HO-CHUNK NATION CODE (HCC) 

TITLE 5 . BUSINESS AND FINANCE CODE 

SECTION 1 . GAMING ORDINANCE A 

,' i 

ENACTED BY LEGISLATURE: (TBP) 

Approved by NIGC: (TBP) 

CITE AS: 5 HCC 5 1 

77th Ordinance supersedes the Amended and Restated Gaming Ordinance of the I-loChunk Nation HCC #94-001 enacted by Legislative Resolution 5/11/99L and last 

amended by Legislative Resolution 8/3/05 B and further amended by Legislative 

Resolutions 12-18-07 A & 1-28-08 D . 

TABLE OF CONTENTS 

1 . Authority ...................................................................................... 2 

2 . Purpose .................................................................................... 2 

3 . Policy ........................................................................................... -3 

4 . Effect of Headings ...................................................... 3 

5 . Liberal Interpretation ................................................... 3 

6 . Severability ............................................................... 3 . . 7 . Defimt~ons .................................................................................. 3 

8 . Authorization of Gaming Activities .......................... .... .......... 11 

9 . Conformance with IGRA ........................................................... 12 

1 0 . Authorized Use of Gaming Revenue ..................,....................... 13 

1 1 . Powers and Duties of the Executive Branch .............................. 13 

12 . Powers and Duties of the Legislature ....................... .. .......... 14 

13 . Gaming Commission ................................................................ 17 

14 . Powers and Duties of the Gaming Commission .................. 21 

15 . Practice and Procedures for Commission Hearings ................... 23 

16 . Practice and Procedures for Enforcement Hearings .................. 30 

1 7 . Licensing ............ ............................................................... 31 

1 8 . Vendor Licensing Provisions .................................................... 38 

19 . Background Investigations ........................................................ 42 

20 . Conflicts of Interest Prohibited .................................................. 46 

21 . Accounting, Monthly Reports and Annual Audits ................... 47 

22 . Public Safety Standards ............................................................. 48 

23 . Miscellaneous Provisions ........................................................ 48 

24 . Patron Disputes ........................................................................ 50 

25 . Enforcement, Penalties and Investigations ................................ 51 

26 . Existing Proceedings ............................................................... 52 

27 . Effective Date ............................................................................ 52 
Ho-Chunk Nation Legislature 

Gaming Ordinance 

Page 2 of 54 

1. Authority. 

a. Article V, Section 2(a) of the Constitution gives the Legislature the power to make 

laws, including codes, ordinances, resolutions, and statutes. 

b. Article V, Section 2(f) of the Constitution gives the Legislature the power to set 

the salaries, terns and conditions of employment for all governmental personnel. 

c. Article V, Section 2(h) of the Constitution gives the Legislature the power to enact 

all laws prohibiting and regulating conduct and imposing penalties upon all persons 

within the jurisdiction of the Nation. 

d. Article V, Section 2(q) of the Constitution gives the Legislature the power to issue 

charters of incorporation, to charter corporations and other organizations for economic or 

other purposes, and to regulate their activities. 

e. The Indian Gaming Regulatory Act ("TGRA") 25 U.S.C. 55 270 1-2721 provides 

the statutory basis for the operation of gaming by Indian tribes as a means of promoting 

tribal economic development, self-sufficiency, and strong tribal governments. 

2. Purpose. The purpose of this Ordinance is to: 

a, Provide a statutory basis for the operation of gaming by the Nation as a means of 

promoting tribal economic development, self-sufficiency and a strong tribal government. 

b. Provide a statutory basis for the regulation of gaming by the Nation to ensure 

gaming is shielded from organized crime and other corrupting influences; ensure that the 

Nation is the primary beneficiary of the gaming operations; and ensure that gaming is 

conducted fairly and honestly by both operators and players. 

c. Foster a spirit of cooperation with federal officials in the regulation of gaming. 

d. Foster a spirit of cooperation with state officials in the conduct of Class III gaming 

pursuant to any TribaVState Gaming Compact. 

e. Foster a spirit of cooperation with gaming employees affected by the Ordinance. 

f. Establish the Ho-Chunk Nation Gaming Commission (r'Co~nmission'~) as the 

independent regulatory authority charged with oversight and enforcement of gaming 

regulatory matters under the Nation's laws. 

g. Establish the Ho-Chunk Nation Gaming Commission as an entity charged with 

providing training to licensed employees to ensure that licensed employees actions are in 

conformance with IGRA, any TribdState Gaming Compact, and other gaming 

regulatory matters under the Nation's laws. 
Ho-Chunk Nation Legislature 

Gaming Ordinance 

Page 3 of 54 

h. Provide appropriate regulations and mles which will be enforced throughout the 

jurisdiction of the Nation to ensure the close control by the Ho-Chunk Nation Legislature 

("Legislature") of all phases of the conduct of gaming operations on the Nation's lands. 

3. Policy. 

a. The Nation will have the sole proprietary interest in and responsibility for the 

conduct of any gaming activity authorized by this Ordinance or conducted on the Nation's 

lands. 

b. The regulations and rules set forth in this Ordinance will govern all gaming 

activity conducted on the Nation's lands. To the extent that the Nation's existing or 

subsequently amended Ernplay~p R~lntions Ad (6 HCC 9 5) ~r &her -pIrryme~t 

manuals, policies and procedures are inconsistent with this Ordinance, this Ordinance 

will supersede such regulations, manuals, policies and procedures pertaining to gaming 

activity. Nonetheless, the Gaming Commission shall not enforce matters that have 

already been handled or are covered pursuant to the requirements of the unacceptable 

conduct of an employee as provided for in the Nation's Employee Relations Act (6 HCC 

Ij 5), unless the unacceptable conduct is so egregious that it impacts on the integrity of the 

license. 

c. This Ordinance may be amended by an affirmative vote of eight (8) members of 

the Legislature at any time at a duly called meeting at which a quorum is present. 

4. Effect of Headings. Section headings contained herein shall not be deemed to govern, 

limit, modify, or in any manner affect the scope, meaning, or intent or the provisions of 

any Section of the Ordinance. 

5. Liberal Interpretation. The provisions of the Ordinance, being necessary for the 

welfare of the Nation and its members, shall be liberally construed to affect the purpose 

and objective hereof, but in all cases, consistent with the provisions of the ERA. 

6. Severability. The provisions of this Ordinance are severable; if any part or provision 

hereof shall be held void by a court of competent jurisdiction or federal agency, the 

decision of the court or agency so holding will not affect or impair any of the remaining 

provisions of this Ordinance. Citation of potential court action in this Section will not be 

deemed a waiver of the Nation" sovereign immunity from suit. 

7. Definitions. Except where othenvise defined in this Ordinance, words used will have 

their commonly understood meaning: 
HwChunk Nation Legislature 

Gaming Ordinance 

Page 4 of 54 

a. "Applicant1' means any person or entity having an appIication on file with the 

Commission in connection with any gaming operation. 

b. "Application'heans: 

(I) All forms and information required by the Commission for issuance of a 

gaming license; and 

(2) Any other registration requirements deemed necessary by the Commission for 

purposes of vendor certification. 

6. "Attorney GeneraI" means the individual designated as the Executive Director of 

the Department of Justice of the Ho-Chunk Nation pursuant to the Constitution and the 

laws of the Nation. 

d. "Charitable gaming" means any authorized gaming conducted by a Ho-Chunk 

Nation organization on the Nation's lands for the benefit of the general welfare programs 

or for the benefit of Tribal Members. 

e. "Class I gaming" is defined in accordance with the ERA, 25 U.S.C. 52703(6) and 

means social games solely for prizes of minimal value or traditional forms of Indian 

gaming engaged in by individuals as part of, or in connection with, tribal ceremonies or 

celebrations. 

f. "Class II gaming" is defined in accordance with the IGRA, 25 U.S.C. $2703 (7) 

and means: 

(1 j The game of chance commonly known as bingo (whether or not electronic, 

computer, or other technological aids are used in connection therewith): 

(a) Which is played for prizes, including monetary prizes, with cards bearing 

numbers or other designations; and 

(b) In which the holder of the card covers such numbers or designations when 

objects, similarly numbered or designated, are drawn or electronically determined; and 

(c) In which the game is won by the first person covering the previously 

designated arrangement of numbers or designations on such cards, including (if played, in 

the same location) pull-tabs, lotto, punch boards, tip jars, instant bingo, and other games 

similar to bingo. 

(2) Card games hat: 

(a) Are explicitly authorized by the laws of the state; or 
Ho-Chunk Nation Legislature 

Gaming Ordinance 

Page 5 of 54 

(b) Are not explicitly prohibited by the laws of the state and are played at any 

location in the state, but only if such card games are played in conformity with those laws 

and regulations (if any) of the state regarding hours and periods of operation of such card 

games or limitations on wagers or pot sizes in such cad games. 

g. "Class III gaming" is defined in accordance with the IGRA, 25 U.S.C. 82703 (8) 

and means all forms of gaming that are not Class I or Class 11 gaming. 

h. '"Collateral agreement" means any contract, whether or not in writing, that is 

related, either directly or indirectly, to a management contract, or to any rights, duties or 

obligations created between the Nation (or any of its members, entities or organizations) 

and a management contractor or subcontractor (or any person or entity related to a 

management contractor or subcontractor). 

i. f'C~mmi~~ionf' or "Garning Commission" means the Ho-Chunk Nation Gaming 

Commission established pursuant to Sections 13 and 14 of this Ordinance. 

j. "Compact" means any TribaVState Gaming Compact concerning Class IT1 gaming 

entered into pursuant to the Indian Gaming Regulatory Act (IGRA), 25 U.S.C. $ 2710(d). 

k. '"Court" means the Ho-Chunk Nation Trial Court. 

I. "Department of Justice" means the Ho-Chunk Nation Department of Justice, its 

subdivisions and authorized officials, agents, and representatives. 

rn. "Executive Manager" or "General Manager" means the individual who has overall 

responsibility for day-to-day management of operations in a gaming facility. 

n. "Executive session" means the portion of a meeting or hearing not open to the 

public. 

a. "Ex parte communication" means an oral or written communication not on the 

public record with respect to which reasonable prior notice to all parties is not given and 

in which not all parties subject to the hearing are present, but it will not include requests 

for status reports on any matter or proceeding covered by this Ordinance. 

p. "Fitnessi' means the state of being qualified or competent to perform a given job 

function. 

q. "Game" or "Gaming" means any activity in which a person places valuable 

consideration at risk, based on the outcome of any event concerning chance, skill, speed, 

strength, endurance, sport, or any combination thereof, wherein an award of value may be 

granted or lost depending on said outcome. 

r. "Gaming activity" means a11 activities performed by any person for the purpose of 

conducting or assisting with the conducting of any game or gaming, including 
Ho-Chun k Nation Legislature 

Gaming Ordinance 

Page 6 of 54 

promotions, marketing, or any direct or indirect assistance at the sitelfacility or remotely. 

The term "gaming activity" indudes such things as meeting, transportation of chips or 

cash, maintenance or repair of gaming related machinery, but excludes associated 

commercial activity such as hospitality and retail activity that does not involve the 

performance of gaming activity (i.e,, food and beverage, hotel, gift shop sales, and 

similar operations). 

s. "Gaming facility" means the building and associated real property within which 

the Nation conducts Class I1 or Class Ill gaming, but will not include any adjacent or 

attached non-gaming enterprises such as hoteIs, retail shops and eating establishments. 

t. "Gaming operation" means an economic entity that is licensed by the Nation to 

operate Class iI or iE games, receives revenue, issues the prizes and pays the expenses of 

operating said Class II or III games. 

u. "Gaming-related contract" means any agreement under which the Nation procures 

gaming rnatetials, supplies, equipment or services which are unique to the operation of 

gaming and not common to ordinary tribal operations (such as accounting or legal 

services); the term includes, but is not limited to: 

(I) Management contracts related to Class ll or Class III gaming. 

(2) Management consultation services regarding the administration, supervision, 

or training of one or more functions related to Class I1 or Class 111 gaming management, 

activities, or operations. 

(3) Contract security services related to Class I1 or Class III gaming. 

(4) Prize payout agreements or annuity contracts related to Class I1 or IU gaming. 

(5) Procurement (including lease) of Class 11 or Class III gaming materials, 

supplies, equipment or services involving marketing, maintenance or repair of gaming 

related equipment, tickets and other gaming supplies or materials, the receiving or 

recording of a player" gaming selections or wagers, and the determination of winners. 

(6) Financing of facilities in which gaming is operated, except financing by a 

state or federally chartered financial institution. 

V. "Genera1 Manager" or "Executive Manager" means the individual who has overaII 

responsibility for a gaming operation. 

w. "IGRA" means the Indian Gaming Regulatory Act, Pub. L. 100-497,25 U.S.C. 

$2701, et seq., including any amendments thereto. Where appropriate, "'IGRA" also 

means regulations duly promuIgated by the NGC under the IGRA, which are valid 

interpretations of the JGRA. 
Ho-Chunk Nation Legislature 

Gaming Ordinance 

Page 7 of 54 

X. "Key employees" means: 

(1) All persons performing one or more of the following functions in any of the 

gaming operations: 

(a) Persons employed to supervise or perform CIass I1 gaming activities; 

(b) Persons employed to supervise or perform count room activities; 

(6) Persons employed to perform security, surveillance, or compliance 

activities; 

(dl Custodian of gaming supplies, cash, or cash equivalent; 

(e) Floor manager; 

(f) Persons employed to supervise or perform table game activities; 

(8) Croupier; 

(h) Approver of credit; 

(i) Custodian of gaming devices including persons with access to cash and 

accounting records within such devices; 

(j) Person having possession, control or access to keys or other means of 

access to secure areas of a gaming facility; 

(k) Couriers transporting cash or gaming receipts; 

(I) Persons authorized to make on-site repairs; adjustments, or alterations to 

any piece of gaming equipment; 

(an) Persons employed to supenrise or perform marketing or promotional 

activities; 

(n) Persons employed to perfom information technology (RIMIS) activities; 

(0) Bingo caller; 

(p) Chief of security; 

(q) Pit boss; or 

(r) Dealer. 
Ho-Chunk Nation Legislature 

Gaming Ordinance 

Page 8 of 54 

(2) The Executive Director of the Department of Business, Executive Managers 

and other persons who have the chief responsibility for the management of gaming 

operations including persons employed to work prirnariIy in a location outside the 

gaming facilities who have responsibility for the operation of gaming within a facility; 

maintains or examines gaming data, analysis, or audits; persons who have access to, or 

responsibility for, gaming revenue and expenses; or persons who maintain or have 

responsibility for the conduct of gaming employee background records. 

(3) Any person who has immediate financial management responsibility for any 

gaming operation. 

(4) If not othenvise included, any other person identified in, and governed by any 

of the Nation's Class I1 or Class III gaming operation internal control manual. 

(5) If not otherwise included, any other person empIoyed in the gaming operation 

whose total compensation exceeds $50,000 per year. 

(6) If not otherwise included, the four most highly compensated persons in each 

gaming operation, or 

(7) Any other person who the Legislature may classify by resolution as a key 

employee. 

y. "Legislature'heans the Ho-Chunk Nation Legislature, the governing body of the 

Nation whose members were duly elected and sworn in pursuant to the Constitution and 

laws of the Nation. 

s. "License" means a privilege granted for a limited time to a person or entity to 

perform certain acts; a License will not convey any property or liberty interest to the 

licensee. 

aa. "Management contract'heans any contract, subcontract or collateral agreement 

between the Nation and a contractor or between a subcontractor if such contract or 

agreement provides for the management of all or part of any gaming operation. 

Management encompasses many activities (e-g., planning, organizing, directing, 

coordinating, and controlling). The performance of any one of such activities with respect 

to all or part of a gaming operation constitutes management for the purpose of 

determining whether any contract or agreement for the performance of such activities is a 

management contract. A management contract wiIl typically have, but is not limited to, 

the foI1owing types of activities or requirements with respect to the gaming operation: 

maintenance of adequate accounting procedures and preparation of verifiable financial 

reports on a monthly basis; payment of a minimum guaranteed amount to the Nation; 

development and construction costs incurred or financed by a party other than the Nation; 

term of contract that establishes an ongoing relationship; compensation based on 

percentage fee Cperformance); and provision for assignment or subcontracting of 
Ho-Cbun k Nation Legislature 

Gaming Ordinance 

Page 9 of 54 

responsibilities. 

bb. "Nation" means the Ho-Chunk Nation, any of its subdivisions, enterprises, 

agencies or instrumentality, subdivisions of such enterprises, agencies or instrumentality, 

corporations chartered under federal, state, or tribal law which are not wholly owned by 

any of the foregoing, and authorized officials, agents and representatives of any of the 

foregoing. 

cc. WNion's lands" soleIy for purposes of this statute means: 

(1) All lands held in trust by the United States for the benefit of the Nation as of 

October 17, 1988; and 

(2) All lands which may be acquired in trust by the United States for the benefit 

of the Nation after October 17, 1988, over which the Nation exercises governmental 

power, and which meet the requirements of sec. 20 of the IGRA, 25 U.S.C. 9271 9. 

dd. "NIGC" means the National Indian Gaming Commission established pursuant to 

the !GLAL, 25 V.S.C. 5 2704. 

ee. "Net seve~~es" me~~s ~QSS revemes. =fa g&~.,i~g ~paat;,m less arn~~rnts paid 

out as, or paid for, prizes and total gaming-related operating expenses excluding 

management fees. 

ff. "OXGRC" means the Ofice of Indian Gaming and Regulatoly Compliance, a 

division of the State of Wisconsin Department of Administration, and its successors. 

gg. "Ordinance" means this Ho-Chunk Nation Gaming Ordinance (5 HCC $ I). 

hh. "Owner or Controlling Person" means: 

(1) Any natural person having a direct financial interest in any management 

contract; 

(2) When a trust is a party to a management contract, any beneficiary or trustee; 

(3) When a partnership is a party to a management contract, any partner; 

(4) When a corporation is a party to a management contract, any person who is 

an officer or director or who holds at least five percent (5%) of the issued and outstanding 

stock alone or in combination with another stockholder who is a spouse, parent, child, or 

sibling; or 

(5) With respect to any entity with an interest in a trust, partnership or 

corporation that has an interest in a management contract, all beneficiaries, trustees, 

partners, directors or five percent (5%) shareholders of such entities. 
Ho-Chunk Nation Legislature 

Gaming Ordinance 

Page 10 of 54 

. . 

11. "Person1' means any individual and any partnership (general and limited), 

association, corporation, or other legal entity. 

jj. 'Resident" means the President of the Wo-Chunk Nation. 

kk. "Premises" or "Licensed Premises" means any place, facility, or location on the 

Nation" lands at which Class 11 or Class IJJ gaming is conducted. 

11. "Primary Management Official" means any person designated in any management 

contract pursuant to Section 8, subparagraph c as having management responsibility of a11 

or any part of any gaming operation: 

(1) Any person who has the authority: 

(a) To hire and fire employees of a gaming operation; or 

(b) To set up working policy for a gaming operation; or 

(2) The chief financial officer or other person who has immediate financia1 

management responsibility for any gaming operation. 

mrn. "Provisional License" means an initial gaming license issued pending the 

satisfactory completion of all background investigations required mder this Ordinance, 

the IGRA, the Compact, or any agreement to which the Nation is a party; and pending 

review by the NIGC as provided for in regulations promuIgated by the NIGC in the Code 

of Federal Regulations, 25 C.F. R. 558. 

nn. "Quorum" means a majority of the Members of the Gaming Commission and 

represents the number of Gaming Commission Members who must be present before a 

decision may be reached by the Gaming Commission. Unless the Legislature passes a 

Resolution lowering the number of Gaming Commissioners necessary to constitute a 

quorum, any three (3) Commissinfiws present zt z d=!y cdled meeting wi!? cmstitrdte a 

quorum. 

oo. 'Xelative of" or "Directly related to" means any person's spouse or spousal 

relationship partner, child, sibling, parent, grandparent, or grandchild. For the purpwe ~f 

this Ordinance, this meaning will include relatives by adoption and step-relatives. 

pp. "Respondeat superior" means the doctrine that an empIoyer or supervisor of an 

employee is responsible for the actions of the employee while the employee works within 

the scope of employment. The definition of respondeat superior is further limited for 

purposes of imposing sanctions on supervisors as provided in Section 14, subparagraph g. 

qq. "Suitability" means a standard whereby the Gaming Commission looks to an 

applicant's, licensee's, or vendor's prior activities, criminal record, if any, or reputation, 
Ho-Chunk Nation Legislature 

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habits and or associations to determine whether or not these prior actions pose a threat to 

the public interest or to the effective regulation and control of gaming conducted under cL:, Ada: -,-,,- ,-,- +- ,- ,t ,--, ct- 1 -r :C-tl- ---I?-:- -- :ll---I --- LIU~ YIUIII~ILC, ~1 tr caLc ui GI ~~I~LIIGC 111s uiaugc~b 01 UIISUIL~UIG, uilal~, UI 11l~ga1 ~I~LLILGS, 

and methods, and activities in the conduct of such gaming. 

. "Treasurer" means the individual designated as the Executive Director of the 

Treasury Department of the Ho-Chunk Nation. 

SS. "Trial Courtf' or "Court" means the Ho-Chunk Nation Trial Court. 

tt. "Vendors" means any person or legal entity including, but not limited to: a 

merchant; retail dealer; supplier; importer; wholesale distributor who transfers property; 

goods or other services by sale or lease to a gaming facility, whether gaming or nongaming related; provided, that the definition of "Vendor" will not include those above 

persons or entities who provide entertainment services at a gaming facility or operation. 

8. Authorization of Gaming Activities. 

a. Class I and Class II Gaming. The Nation is hereby authorized to conduct all forms 

of Class I and Class 11 gaming on the Nation's trust lands. 

b. Class TI1 Gaming. 

(1) The Nation is hereby authorized to conduct the following types of Class EII 

gaming on the Nation's lands: 

(a) Electronic games of chance with video facsimile displays; 

(b) Electronic games of chance with mechanicaI displays; 

(c) Authorized Table Games; 

(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 terns of the 

Compact. 

(2) 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 adoption of the Compact herein will be deemed to 

affect the operation by the Natio- -r---r r'l,"" T ,, Pl,"" n ,,,:,, ,.T.,+L, ,A.,+,A 11 ur ally ~1-D I vr Llaaa u ~LULILI~~, WLLGULZ~L CIUIIWUCILGU 

within or without the gaming facilities, or to confer upon any state any jurisdiction over 

such Class I or II gaming conducted by the Nation on the Nation's lands. 
Ho-Chun k Nation Legislature 

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c. Contracts and Ameements. The Nation is hereby authorized to enter into any 

contracts or other agreements to further its gaming interests, including management 

contracts. Each management contract wiII designate the person or persons having 

responsibility for management of all or part of any gaming operation: 

(1) Management contracts and other gaming-related contracts will: 

(a) Contain such provisions as are required under the IGRA, 25 U.S.C. 3 

27 1 1, and the Compact; 

(b) Be submitted to the NIGC or other appropriate federal regulatory body for 

approval as required by the IGRA; 

(c) Be submitted to the OIGRC or other appropriate state regulatory body, if 

required by the Compact; and 

(2) Management Contracts will not be entered into, unless the Legislature first 

approves the Contract by passing a Resolution. 

(33 Except as provided in the contract, all such contracts will be effective pending 

review or receipt of required approvals by the MGC, or any other appropriate federal 

regulatory body. 

9. Conformance with IGRA. This Ordinance will be constructed in a manner which 

conforms to the IGRA in all respects, and if inconsistent with the IGRA in any manner, 

the provisions of the IGRA will govern: 

a. Class I Games. The Legislature hereby authorizes the Commission to adopt 

standards of operation and management for all Class I gaming on the Nation's lands. 

b. Class I1 Games. The Legislature will adopt standards of operation and 

management for Class II gaming and, pending such adoption, may impose such interim 

standards as it may determine necessary to protect the integrity of such games. The 

standards of operation and management for CIass I1 gaming wi1I provide, at a minimum, 

that: 

(1 3 No person under the age of eighteen (1 8) wiI1 be permitted to participate in 

my non-charitable Class I1 gaming as a player or contractor, provided, that all persons 

may participate in charitable Class II gaming approved by the Gaming Commission, and 

any person may be employed by any Class I1 gaming operation if at least sixteen (1 6) 

years of age. 

(2) The rules by which the game will be conducted and the predetermined 

winning patterns wi1I be established in advance of the game and will be visibly displayed 

or available in pamphlet form in the gaming facility. 
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c. Class IIl Games. The standards of operation and management for Class III games 

will be those set forth in the Compact. The Legislature may adopt standards of operation 

and management for Class II1 games that are no less stringent than, or not othemise 

inconsistent with, the Compact. 

18. Authorized Use of Gaming Revenue. 

a. The net revenues hm any gaming activities will be exclusively devoted to the 

purpose(s) authorized by the Legislature. 

b. The net revenues are to be used for the following purposes only: 

(1) To fund tribal government operations or programs; 

(2) To provide for the general welfare of the Nation and its members; 

(3) To promote tribal economic development; 

(4) To donate to charitable organizations; or 

(53 To help fund operations of local government agencies. 

c. Per capita payments will only be made pursuant to the Nation's Per Capita 

Distribution Ordinance (2 HCC 4 12) as approved by the Secretary of the Interior as 

required under the IGRA. 

1 1. Powers and Duties of the Executive Branch. The Executive Branch of the HoChunk Nation will have primary responsibility for managing the business affairs of the 

Nation's gaming operations. In addition to other activities specifically assigned to the 

Executive Branch in this Ordinance, the Executive Branch and its officers and designated 

agents wilt have the following powers and duties: 

a The Executive Branch andor its designated agents will be responsible for making 

any decisions called for on behalf of the Nation for the gaming operations subject to the 

Legislature's constitutional authority to review such actions. 

b. The Executive Branch and/or its designated agents will be responsible for ensuring 

compliance with the public health, welfare, safety and environmental standards required 

by the Compact and all applicable standards enacted by the Legislature. 

c, The Executive Branch and/or its designated agents will ensure that all purchases 

and contracts by or on behalf of any of the Nation's gaming operations wiII be subject to 

the Nation's Material iYranagernem Poiicies and Procedures ~~antkai (5 HCC 4 4) and 

other policies and subsequent amendments thereto, provided that any contract or purchase 

also comply with applicable law or Compact terms and conditions. 
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d. The Treasurer of the Ho-Chunk Nation will: 

(1) Participate in the Nation's annual process for the development and approvai of 

budgets of such gaming operations, except as limited under any management contract or 

other gaming-related contracts, in order to assist the Legislature to evaluate proposed 

budgets and approve final budgets. 

(2) Prescribe standard accounting practices and procedures to be observed by the 

chief financial officers of the Nation's gaming operations. 

(3) The Treasurer will reconcile the Nation's quarterly fee assessment reports 

made to the NIGC with the annual audit of the gaming operations and shall make such 

reconciliation available to the NIGC upon request. Prior to the Treasurer reconciling the 

Nation's quarterly fee assessment reports, the Department of Business will provide all 

necessary information to the Treasures to prepare these reports. 

e. The President, Treasurer, and the Executive Director of the Department of 

Business will perform such activities as are deIegated by the Ordinance. 

12, Powers and Duties of the Legislature. 

a. The Legislature will adopt policies, guidelines and regulations for Class I1 and 

Class I11 gaming on the Nation's lands, including any amendments to this Ordinance. 

b. The Legislature will refer any apparent violations of the Nation's Iaws of general 

applicability, such as, but not limited to, the Employment Relations Act (6 HCC 8 5) the 

Appropriations and Budget Process Act (2 HCC 8 4), Finance Manual (5 HCC 5 51, or 

law impacting on the Nation's Contracting Authority in the operation of the Nation's 

gaming facilities to the Office of the President and the Executive Director of the 

Department of Business for their consideration and action as they may determine 

appropriate. 

c. The Legislature, or its authorizd designee, will initiate an annual: externaI audit, 

and wiii engage a quaiified certified public accounting firm to conduct financiai and 

compliance audits for each of the Nation's gaming operations. The Legislature will refer 

the results of the external audit to the Gaming Commission for corn-plimr.e. 

d. Supervision of Gaming Commission. The Vice President or Vice President pro 

tempore will have supervision and authority pertaining to the Gaming Commission's 

daiIy adrninis~ative functions, such as, but not limited to, signature authority for time 

sheets, disbursement vouchers, mileage and per diem submittals, leave applications, and 

supervision over personnel matters. 

e. Jurisdiction. 
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(1) The Ro-Chunk Nation Legislature will have the jurisdiction to review a11 

decisions of the Commission denying a License under Section 17, subparagraph c (2) 

where an applicant has petitioned for such review in accordance with the provision set 

forth in Section 12, subparagraph (f). 

(2) The Legislature may, in its discretion, waive by legislative resolution any 

requirements set forth in Section 17, subparagraph c (2) for any applicant when the 

applicant has met the requirements established pursuant to Section 17, subparagraph c 

(4). The Legislative decision regarding any waiver cannot be appealed to the Trial Court. 

(3) The LegisIature will have the power to overturn the granting of any license by 

passing a Resolution at: any time provided the Legislature has conducted a hearing 

consistent with the procedures in Section 15. If overturned by the Legislature, a license 

issued by the Commission will have no force or effect. Any such denial may be appealed 

to the Trial Court. 

f. Le&lative Avpeal Provisions. 

(1) Filing Appeal. An applicant (appellant) may file a petition for review with 

the Legislature requesting that it review a decision of the Commission with a duplicate 

copy to the Attorney GeneraI. The petition must be filed within forty-five (45) days of 

the decision, unless additional time is granted by the Legislature, and will identify the 

decision being appealed and contain a short statement of the reason for the appeal. 

(2) A~pearance through Counsel. 

(a) Parties to all hearings governed by this Section of the Ordinance may 

appear personally or through an attorney, except that a party must personally attend any 

hearing on the merits unless attendance has been waived, in writing, by the Legislature. 

(b) Wen a party has appeared through an attorney, service of all notices, 

decisions, and other papers, including verbal communications, will thereafter be made 

upon the attorney, unless the party requests or permits othenvise in writing. 

(c) When a party is represented by an attorney, the attorney will sign all 

papers on behalf of the party. 

(3) Review of the Record. Upon receiving a petition for review, which conforms 

to the requirements of this Section, the Legislature will notify the Commission, which 

will have thirty (30) days to transmit the record of its decision and to respond to the 

petition. The Legislature, within thirty (30) days ofthe receipt of the Commission's 

record, wiII consider the petition and either grant or deny the petition for review. The 

Vice President or Vice President pro tempore will preside when the petition is 

considered. 
Ho-Chunk Nation Legislature 

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(4) Statements. If the petition for review is granted, the applicant (appellant) may 

file a statement in support of the appeal with the Legislature within ten (10) days aRer the 

applicant (appellant) has been notified by the Legislature. The Legislature will provide a 

copy to the Commission and the Department of Justice. The Commission will have ten 

(10) days to file a written statement in response. The Legislature may extend the time 

allowed at its own discretion. 

(5) Hearings. The Legislature will schedule a hearing within thirty (30) days of 

receipt of the Commissionk statement. The applicant (appe1Iant) will be afforded the 

right to be present and to participate on his or her behalf. The Legislature will limit the 

hearing to a review of the record of the Commission's proceedings, the applicant's 

(appellant's) petition statement, or oral arguments, if any, and any other written 

statements provided. 

(6) Decisions. 

(a) Decisions of the Legislature will be made by a majority vote and will be 

based upon a review of the record of the Commission's proceedings, oral arguments, if 

any, and any written statements submitted. 

(b) The Legislature will give proper deference to the administrative expertise 

of the Commission and to the Commission's determinations of credibility. 

(c) The LegisIature will not set aside or modify any decision unless it finds 

that the decision WPS arbitrary and capricious, unsupported by substantial evidence, or 

contrary to law. 

g, Ex Parte Communication. Threat. or Offer of Reward Prohibited. 

(1) Ex parte communication, threat, or offer of reward relative to any matter(s) 

being considered by the Legslature will be prohibited between an applicant or licensee, 

its legal counsel, representative, agent or employee and any member of the Legislature, 

member of the Commission, or the Nation's President before a decision is rendered by the 

Legislature. 

(2) For the purposes of this Section only, "any rnatter(s) being considered" means 

those matters identified in a written notice as provided in Section 15, subparagraph a (5) 

(b) as well as any other matters that are actually considered by the Legislature during a 

hearing. All matters identified in the written notice will be subject to the prohibition 

against ex parte communications. All matters not identified in the written notice that are 

considered by the Legislature during a hearing become subject to the prohibition against 

ex parte communications as soon as they are discussed during the hearing. 

(3) Any member of the Legislature, the Commission, or the President who 

receives an ex parte communication, threat, or offer of reward will immediately report 

such communication in writing to the Attorney General of the Department of Justice or 
Ho-Chunk Nation Legislature 

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its authorized agents and not participate in the hearing. The Legidator or President shall 

not participate in the hearing unless his or her inability to participate would make it 

impossible for the Legislahue to obtain a Quorum. 

(4) Nothing in this Section will prohibit the applicant, licensee or its authorized 

agent from communicating with the Department of Justice or its authorized agents. 

(5) The Legislature will have the power to impose any sanction consistent with 

those contained in Section 15, subparagraph a (14) upon its determination that an 

applicant or licensee, its legal cmsel, agerri, representative or eniployee has viulatcd this 

Section. 

13. Gaming Commission 

a. Establishment of Commission. The Ho-Chunk Nation Gaming Commission is 

hereby established as an independent regulatory authority responsible for oversight, 

training, and enforcement of gaming regulatory matters under He-Chunk Nation law. 

The Commission will consist of five (5) members appointed by a majority vote of the 

Legislature acting at a duly convened meeting at which quorum is present. 

b. Qualifications. In order to qualify for appointment to the Commission, an 

applicant must: 

(1) Be an enrolled member of the Nation. 

(2) Be at least 25 years of age or older. 

(33 Have at least a high school diploma, or equivalent. 

(4) Possess working experience in the gaming industry. 

(5) Have a minimum of five (5) years of any combination of the following: 

(a) Post-secondary education. 

(b) Gaming training. 

(c) Gaming experience in one or more of the following areas: 

- 1 Gaming regulation. 

2 Gaming operations. 

- 3 Gaming licensing. 
Ho-Chunk Nation Legislature 

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4 Auditing. 

- 5 Gaming law or Indian law. 

- 6 Administrative hearings or decision-making. 

- 7 Background investigations. 

- 8 Surveillance. 

- 9 Law enforcement. 

- 10 Business administration or business management. 

- 1 1 Information Technology (ITMS). 

(6) Submit to and successfully comply with criminal and civil background 

investigations and meet the Nation's suitability standards which will be at Ieast as 

stringent as the standards established for key employees and primary management 

officials, 

(7) Have no prior criminal record of conviction of, or entry of a plea of guilty or 

no contest to, any of the following in any jurisdiction, unless pardoned: 

(a) A felony. 

(b) Any gaming-related offense. 

(c) Any crime of dishonesty, including, but not limited to, fiaud, 

misrepresentation, theft or deception in any form. 

(d) A violation of any provision of Wis. Stat. chs. 562 or 565, any rule 

promulgated by the State of Wisconsin Division of Gaming, this Ordinance, or any other 

Ordinance of the Nation regulating or prohibiting gaming. 

(8) Be a person whose prior activities, criminal record, if any, or reputation, 

habits and associations will not pose a threat to the public interest or to the effective 

regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair, 

or illegal practices, methods, or activities in the operation of gaming or the carrying on of 

the business and financial arrangements incidental thereto. 

(9) Submit to and successfully comply with the Ho-Chunk Nation Drug, Alcohol 

and Controlled Substance Policy (Employment Relations Act, 6 WCC Lj 5, Ch. VI). 

(10) Willingness and ability to perform duties of the Gaming Commission. 
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(1 1) Possess the physical capabilities requiring extensive travel, working varied 

hours, including evening and weekends; and perform a minimum of forty (40) hours a 

week. 

(1 2) Possess a valid driver's license, dependable transportation and proper 

insurance. 

(1 3) Not be a relative of any member of Legislature. 

(14) Not be a primary management official, or owner or controlling person with 

respect to any management contract, and will not be a reIative of a primary management 

official, or owner or controlling person with respect to any management contract. 

(1 5) Not be employed by any of the Nation's gaming operations during his or her 

tern of office. 

c. Term. The Commissioners will each serve for a term of four (4) years 

commencing on July P of the year of appointment. 

(1) At least sixty (60) days prior to the expiration of a Commissioner's term in 

office, the Legislature will post the seat as open. 

(2) The current Commissioner is eligible to apply and be appointed to the open 

seat. 

(3) If the Legislature does not complete the appointment to the open seat, the 

current Commissioner may continue to seme past the expiration of his or her term until 

such time as the current or new Commissioner is appointed and takes office. 

d. Meetings and Quorum. Meetings duly convened by the Commission will require a 

Quorum of Gaming Commission Members. Meetings shall be subject to the Ho-Chunk 

Nation Open Meetings Act (2 HCC 8 2) except as otherwise provided in this Ordinance. 

e. Emsllovment Status and Compensation. Commissioners will be Exempt 

Employees of the Nation for the purposes of compensation and ernpIoyee benefits. 

Compensation will be established annually by the Commission and as approved by the 

Legislature in accordance with the Employment Relations Act (6 HCC ?J 5) and Budget 

and Appr~priations Act (2 HCC 6 4). Commissioners will not be compensated based on 

a percentage of gaming revenue to ensure the Commission is not improperly influenced. 

f. Vacancies. A vacancy on the Commission through death, resignation, incapacity, 

or removal from office will be filled by a majority vote of the Legislature at a duly 

convened meeting. The newly appointed Commissioner will complete the unexpired 

term of the Commissioner being replaced. 
Ho-Chunk Nation Legislature 

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g. Removal. 

(1) RernovaI will be initiated upon a petition being presented to the Legislature 

by any member of the Legislahue or the President. Such removal will be for the 

following: 

(a) Malfeasance; for purposes of this Section "'MaZfeasance" shall mean: 

- I the commission of an act that is positively unlawful; 

- 2 the doing of an act which a person ought not do at all; 

- 3 the unjust performance of some act which the panty had the right to 

commit; 

4 any wrongful conduct, which affects, intempts, or interferes with the 

performance of official duty; or 

- 5 an act for which there is no authority. 

(b) Dereliction or neglect of duty; 

(c) Unexcused absence from three (3) consecutive meetings of the 

Commission; 

(d) Failure to continue to meet the qualifications for appointment to the 

Commission; 

(el Willful and persistent misconduct reflecting on the dignity and integrity of 

the Nation; or 

(0 Failure to comply with any provisions of the Nation's Constitution andlor 

laws of the Nation. 

(2) Upon determination by the Legislature that a petition for removal will be 

considered, the Commissioner subject to the removal petition will he pmvided a written 

notice for removal by the Legislature and the Commissioner will be afforded the right to 

respond in person andlor writing, which explanation will be considered by the Legislature 

prior to a vote on the removal question. WhiIe the removal petition is pending, the 

Commissioner wi 1 k be placed on Administrative Leave. 

(33 The petition for removal wiIl be served upon the commissioner within seven 

(7) days after issuance of the petition for removal. All removal questions will be 

considered by the Legislature in open session within thirty (30) days after issuance of the 

petition. The Commissioner's attorney will have the right to be present and to participate 
Ho-Chu n k Nation Legislature 

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on his or her behalf. Failure to appear by the Commissioner or the Commissioner's 

representative will not bar hearing the petition or the termination of the Commissioner. 

(4) Upon a petition being presented to the Legislature, a Commissioner may be 

removed by an affirmative vote of more than two thirds (213) of the seated members of 

the Legislature acting at a duly convened meeting. For instance, when these are eleven 

(1 1) seated Legislators the two thirds (213) requirement shall be satisfied by an 

affirmative vote of eight (83 members of the Legislature. 

(5) Judicial review by the Trial Court of such determinations may be obtained by 

bringing an appeal in Trial Court within fifteen (1 5) days after the date the determination 

was served on the partylies. 

h. Office of the Tribal Inspector. The Ofice of the Tribal Inspector is established 

within the office of the Gaming Commission. Tribal Inspectors will be selected and 

supervised by the Commission and have the foIlowing powers and duties: 

(1) The Office of the Tribal Inspector has the power to conduct audits, 

observations and investigations as providd in the Chdiiiaiice. The Tr.llbai inspector niay 

retain outside auditors, investigators, and other agents to assist in conducting these audits 

and investigations. 

(2) The Tribal Inspector will have full access to all areas related to the gaming 

operations for inspections, audits, observations, and investigations at any time without 

notice to management. While performing its designated duties under this Ordinance, the 

Tri'oai inspector will strive to avoid interfering with the day-to-day operations or" the 

gaming facilities. 

14. Powers and Duties of the Gaming Commission. The Commission will be 

responsible for enforcing this Ordinance and will ensure compliance with this Ordinance, 

IGM, the Compact, any licenses issued, and any orders of the Commission or 

Legislature. In addition to other duties specifically delegated to the Commission in this 

Ordinance, the Commission wilI have the following powers and duties: 

a. The Commission may recommend gaming-reIated policies and guidelines to the 

Legislature and other appropriate regulatory authorities, including any amendments to the 

Ordinance. 

b. The Commission will monitor all Class I, Class TI and Class III gaming on the 

Nation's lands, and all monthly reports and annual audits of such activities to insure that 

such activities conform to the provisions of this Ordinance, TGRA, the Compact and other 

applicable Iaws and report such findings to the Treasurer. 

c. The Commission will have the authority and responsibility to interpret this 

Ordinance and its rules. If an enforcement action is taken against a licensee by the 
Ho-Chunk Nation LegisIature 

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Commission, the Ho-Chunk Nation Court will have final authority to interpret this 

Ordinance and its rules. 

d. Except as othenvise provided, the Commission will make determinations on an 

application for a gaming license in accordance with this Ordinance. 

e. The Commission will refer any apparent violations of this Ordinance, Orders of 

the Commission, IGM, the Compact, or violations of license conditions to the 

Department of Justice andlor the Ofice of the Tribal hspector for investigation. 

f. The Commission will refer any apparent violations of the Nation's laws of general 

applicability, such as the Employment Relations Act (6 HCC 5) and the Appropriations 

and Budget Process Act (2 HCC 8 41, in the operation of the Nation's gaming facilities to 

the Ofice of the President and the Executive Director of the Department of Business for 

their consideration and action as they may determine appropriate. The Commission will 

also noti@ the Vice President or Vice President pro tempore in his or her capacity as their 

administrative supervisor. 

g. The Commission may enjoin or otherwise prevent any violation of this Ordinance, 

any Order of the Commission, any license condition or other laws relating to gaming on 

the Nation's lands andtor seek to impose penalties or fines for such violation(s) in 

accordance with Section 25. To enforce violations the Commission shall be able to apply 

the doctrine of respondeat superior. Any person may be found responsible and liable for 

violations due to the action or inaction of the person or person's employees, agents, or 

officers. The Gaming Commission will only use the doctrine of respondeat superior to 

seek to impose sanctions on a supervisor if it can be shown that: 

(13 after the Gaming Commission has informed the supervisor in writing of the 

violation, the supervisor has failed within a reasonable time to instruct his or her 

employees, agents, or officers of appropriate action to remedy the violation in the future; 

or 

(2) the violation committed by the supervisor's employees, agents, or officers is 

so egregious that the supervisor should have known about the violation and taken 

corrective action. 

h. Nothing in this Section will prevent the Commission from attempting to obtain 

voluntary compIiance through warning, conference or any other appropriate means. 

i. If the Commission determines to enjoin or prevent a violation pursuant to this 

Ordinance, the Ho-Chunk Nation Court will be empowered to impose fines or penalties 

against a licensee. With respect to the fines, the Gaming Commission wiIl develop and 

make public criteria to determine general categories of licensee violations and a 

recommended fine to be imposed based on when a licensee is found to have violated that 

general category. 
Ho-Chunk Nation Legislature 

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j. The Commission will use the Department of Justice as its counsel, ox such other 

counsel to whom the Department of Justice may refer such matters. 

k. Except as otherwise provided in this Ordinance or any management contract, the 

Commission will comply with d1 policies, guidelines, laws, resolutions and regulations 

of the Legislature. 

1. The Commission will have such other powers as are delegated to it from time to 

time by the Legislature. 

rn. In accordance with the Appropriations and Budget Process Act (2 HCC 3 4), the 

Commission will prepare and recommend an annual budget for the purpose of allocating 

funds to the Commission for its necessary activities and expenses, which must be 

approved by the Legislature. The Commission may, in accordance with any approved 

budget, employ such staff from time to time as it deems necessary to fulfill its 

responsibilities under this Ordinance. 

15. Practice and Procedures for Commission Hearings. 

a. Commission Hearing Provisions: 

(I) The hearings of the Commission will be subject to the Nation's Open 

Meetings Act (2 HCC 5 21, unless othenvise provided for in this Ordinance. 

(2) Upon written request, the Commission will afford an applicant an opportunity 

for a hearing prior to any final action by the Commission denying a license application. 

(3) The burden of proving fitness and suitability for a license wiII be on the 

applicant. 

(4) Notice to Applicant. The Commission will provide written notice to the 

applicant or licensee of the hearing at least ten (1 0) business days (Monday - Friday) 

prior to the date set for the hearing. The notice will be sent by certified mail, or may be 

personally served upon the applicant. The notice will state the date, time and place of the 

hearing. The notice will also state the purpose of the hearing, including, but not limited 

to: 

(a) Whether the Commission is holding the hearing for the purpose of 

obtaining further information; or 

(b) Whether the Commission will be considering the grant or denial of the 

license application. 

(53 Ex Parte Communications, Threat, or Offer of Reward Prohibited. 
Ho-Chunk Nation Legislature 

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(a) Ex parte communication, threat, or offer of reward relative to any 

matter(s) being considered by the Commission will be prohibited between an applicant, 

its legal counsel, representative, agent or employee and any member of the Commission, 

Legislature or the Nation's President before a decision is rendered by the Commission. 

(b) For the purpose of this Section only, "any matter(s) being considered by 

the Commission," means those matters identified in the written notice as well as any 

other matters that are actually considered by the Commission during a hearing. All 

matters identified in the written notice will be subject to the prohibition against ex parte 

communications. All matters not identified in the written notice that are considered by 

the Cornmission during a hearing become subject to the prohibition against ex park 

communications as soon as they are discussed during the hearing. 

(c) Any member of the Commission, Legislature, or the President who 

receives an ex parte communication, threat, or offer of reward relative to any matter(s) 

being considered by the Commission will immediately report such communication in 

writing to the Attorney General of the Department of Justice. The Commissioner shall 

not participate in the hearing unless his or her inability to participate would make it 

impossible for the Commission to obtain a Quorum. 

(d) Nothing in this Section will prohibit the applicant or its authorized agent 

from communicating with the Department of Justice or its authorized agents. 

(e) The Commission will have the power to impose any sanction pursuant to 

this Ordinance upon its determination that an applicant, his or her legal counsel, agent, 

representative or employee has violated this Section. 

(6) Appearance through CounseI. 

(a) Parties to all hearings governed by this Section of the Ordinance may 

appear personalIy or through an attorney, except that a party must personally attend any 

hearing on the merits unless attendance has been waived, in writing, by the Commission. 

(b) When a party has appeared through an attorney, service of all notices, 

motions, orders, decisions, and other papers, inciuding verbai comunications, will 

thereafter be made upon the attorney, unless the party requests or permits othenvise in 

writing. 

(c) When a party is represented by an attorney, the attorney will sign all 

motions, notices, requests, and other papers on behalf of the party. 

(d) An attorney retained to represent an applicant, his or her representative, 

agent or employee, will file proof of eligibility to practice law in the Ho-Chunk Nation 

with the Commission prior to the scheduled hearing. 

(7) Discoverv. 
Ho-Chunk Nation Legislature 

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(a) The Department of Justice and the applicant (respondent) will exchange a 

list of persons that each party intends to call as witnesses no later than seven (7) business 

days (Monday-Friday) before a scheduled hearing. Each witness will be identified by 

name, if known, position, and business address. If no business address is available, a 

home address for the witness will be provided. Any witness not identified in accordance 

with this Section may be prohibited from testifymg at a hearing in the Commission's 

discretion. 

(b) The Department of Justice and the applicant (respondent) will exchange 

a copy of all documents or tangible evidence that they intend to offer as evidence in 

support of the party's case in chief. This exchange will be made to the opposing party no 

later than three (33 business days (Monday-Friday) before a scheduled hearing. Failure to 

make available any document or tangible evidence in accordance with this Section may, 

in the Commission's discretion, be grounds to deny the admission of such document or 

tangible evidence. 

(8) Confidential Materials. 

(a) Prior to making any documents available to the Department of Justice, 

the applicant (respondent) may designate any document he or she believes to contain 

confidential information as "Subject to a Confidentiality Claim" by so marking the 

document prior to providing a copy of the document to the Department of Justice. 

(b) No document provided to the Department of Justice or the Commission, 

which has been marked in accord with Section 15, subparagraph a (8) (a) above, and no 

non-public information contained with the document will be made a part of the public 

record of the Commission proceedings or otherwise disclosed by the Commission to any 

person other than its authorized agents (or except as may be required under any laws, 

regulations, court order, or the Compact), without first providing the respondent with the 

opportunity to seek a ruling by the Commission that the documents andor non-public 

information contained therein should not be made public. The request for such a ruling 

and any discussion relating to the document will be heard and ruled upon by the 

Commission in an executive session, the hearing session will be adjourned and the 

Commission will conduct an executive session meeting in order to hear and rule upon the 

respondent's request. The applicant (respondent) may present to the Commission, in 

executive session, witten and oral arguments regarding the confidentiality claim, along 

with any facts the applicant (respondent) believes to be relevant to such argument. 

(c) When weighing the public's right to be informed of the information 

before the Gaming Commission, the Commission in executive session will evaluate the 

evidence present as 'Subject to a Confidentiality Claim" as follows: 

- 1 the Commission will balance the applicant's (respondent's) claims of 

confidentiality against the materiality of the information to the license application or 

renewal decision; 
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- 2 the Commission will balance the Ho-Chunk public's right to know the 

information against the applicant's (respondent's) claim of confidentiality; 

3 the Commission will balance its own accountabiIity as a public service 

regulatory body to create a public record for tbe licensure against the applicant's 

(respondent's) claim of confidentiality; and 

- 4 the Commission will consider all facts and circumstances relevant to 

making a proper ruling, this will include but is not limited to the public's safety, tradition 

and custom of the Ho-Chunk Nation, the standard evidentiary privileges which includes 

but is not limited to doctor-patient privilege, clergy privilege, andJor attorney-client 

privilege. 

(d) After considering the record "Subject to a Confidentiality Claim" in 

executive session and determining that the record will be made a part of the public record 

of the applicant's (respondent's) application or licensure, renewal proceedings, the 

Commission will rule in public session on the record as to which documents are "Subject 

to a Confidentiality Claim." 

(e) If the Commission rules against the Confidentiality Claim and the 

applicant (respondent) continues to contest that the record or document should continue 

to be '"ubject to a Confidentiality Claim," the applicant (respondent) will be permitted 

to: 

- 1 withdraw his or her license application or licensure application from 

consideration by the Commission; or 

- 2 withdraw the record or document from the Commission's proceeding. 

(0 If the applicant (respondent) selects the option provided in Section 15, 

subparagraph a (8) (e) 2 above, the Commission when making the licensure decision will 

weigh the withdrawal of the record or document along with other evidence in making the 

determination. Withdrawal of the documents from the application process ordinarily will 

be considered with disfavor and, depending on the facts and circumstances of the public 

record, the Commission may deem the withdrawal of the record or document to be 

sufficient cause in and of itself for denial of the license application or licensure renewal. 

(g) In the event that the Commission rules during executive session that the 

document andlor information contained therein should not be made part of the pubIic 

record, but will be considered in the license application or renewal, the record or 

document shall be designated "Confidential," sealed, and will not be made part of the 

public record. The Commission may consider the document and information contained 

within the confidential record or document, in camera in making its determination. 

(h) At the conclusion of the Commission's proceedings, the Commission will 
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return to the applicant (respondent) all documents marked as "Subject to a Confidentialitji 

Claim" which were not: 

- 1 made part of the public record; or 

- 2 designated as "Confidential" and considered by the Commission in 

camera. 

(i) The Legislature wiII apply these principles with respect to: 

- 1 any license application or renewal required to be considered 

initialiy by fhe Legisiature, due to the fact that the license appiicant is seeking a waiver of 

any requirements set forth in Section 17, subparagraph c (2) of the Ordinance; 

2 any appeal to the LegisIatwe from any denial of a license by the 

Commission pursuant to Section 17, subparagraph f of the Ordinance. 

(9) Subpoenas. The Commission is hereby authorized to issue subpoenas within 

its jurisdiction of authority when considering license applications or renewals. 

(a) Subpoenas may be issued to cause a witness to appear and give oral 

testimony, or to produce docummts or other tangible evidence. 

(b) If a party wishes to have a subpoena issued by the Commission within its 

jurisdiction of authority, a properly prepared subpoena will be furnished by the party, 

including information necessary for sewice of process, at least three (3) calendar days 

prior to the hearing. When service has been completed, the Commission will provide 

proof of service to all parties. 

(c] If a party or Commission wishes to include witnesses who are not within 

the Comission's jurisdiction of authority, but wishes to personally request the 

appearance of the intended witness(es) on his or her behalf, the party is required to 

provide notice of the intended witness(es). 

(d) If a party does not timely request a subpoena, the party will not be 

entitled to a postponement because of the absence of the witness(es). 

(e) If the subpoena has been timely issued, the Commission may, in its 

discretion, postpone the hearing due to the absence of the witness(es). 

(1 0) Postponement. The Commission may postpone a hearing upan the request 

of a party, upon agreement of all parties, or at the Commission's discretion for good 

cause, and on such terms as the Commission deems just. 

(1 1) Hearing Procedures. 
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(a) The Commission will preside over d! ~PZIIE~S, czl! the pmceerlings to 

order, control the presentation of evidence, the appearance of witnesses, and the order of 

the proceedings. 

(b) The Commission has the authority to require any person including, but 

not limited to, any agent, employee or representative of any person, to appear and testify 

before the Commission with regard to any matter within the Commission" jurisdiction at 

such time and place as it may designate. Such testimony wiI1 be under oath and may 

include any matters which the Commission deems relevant to the discharge of the 

Commission's official duties. Testimony will be recorded by a duly certified court 

reporter and may be used by the Commission as evidence in any proceeding or matter 

before the Commission. Failure to appear and testify fully at the time and place 

designated will result in sanctions. Failure to appear may constitute grounds for: 

- 1 The refusal to grant a license to the person summoned, and/or that 

person's principal or employer; 

- 2 The suspension or revocation of a license held by the person 

summoned, andlor that person's principal or employer; or 

- 3 The inference that the testimony of the person summoned would have 

been adverse to that person and/or that person's principal or employer. 

(c) Any party to the hearing may call and examine witnesses. The 

Commission will exercise its discretion to limit the testimony of witnesses where that 

testimony is irrelevant, argumentative or repetitive, 

(d) Any party to the hearing may conduct cross-examinations reasonably 

required for a Eull and true disclosure of the facts. 

(e) The Commission may ask questions of witnesses, and may request or 

allow additional evidence at any time. 

(f) Persons will be permitted to speak only when recognized by the 

Commission. 

(g) The Commission will have the authority to eject fiom the hearings any 

person who is disruptive, disorderly, or who shows a lack of proper respect for the 

Commission or the nature of the proceedings. 

(h) All hearings held under this Ordinance wiIl be open to all members of the 

Ho-Chunk Nation and to such other persons who, in the discretion of the Commission or 

the Attorney General of the Department of Justice, shouId be allowed to attend. 

(i) The Commission, in its discretion, has the power to sequester witnesses. 
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(1 2) Evidence. 

(a) In hearings governed by the Ordinance, the Commission will not be 

bound by technical rules relating to evidence and witnesses. The Commission will admit 

all testimony that tends to prove a relevant issue to the hearing, but will excIude 

immaterial, irrelevant, or unduly repetitious testimony. The Commission will give effect 

to the rules of privilege unless such privilege is waived. The submission of evidence or 

taking of testimony shall be controlled by basic principles of relevancy, materiality and 

whether or not the evidence or testimony reIates to a relevant: issue of the hearing. 

Objections to evidentiary offers and offers of proof of evidence not admitted may be 

made and will be noted. 

(b) All evidence, including records and documents in the possession of the 

Commission or which the Commission desires to avail itself, will be duly offered and 

made a part of the record in the case. Each party will be afforded and made a part of the 

record in the case. Each party will be afforded adequate opportunity to rebut or offer 

countervailing evidence. 

(c) The Commission may take official notice of any generally recognized 

fact or any established technical or scientific fact; but parties will be notified either before 

or during the hearing or by full reference in preliminary reports or otherwise, of the facts 

so noticed, and they will be afforded an opportunity to contest the validity of the offjcial 

notice. 

(d) Documentary evidence may be received in the form of copies or 

excerpts, if the original is not readily available. Upon request, parties will be given an 

opportzlnity to compare the copy to the orignal. 

(e) The record in a hearing governed by this Ordinance will include: 

- 1 ME applications, pIeadings, intermediate rulings and exhibits and 

appendices thereto; 

2 Evidence received or considered, stipulations and admissions, 

including but not limited to confidential evidence under Section 15, subparagraph a (8) 

(f) of this Ordinance; 

- 3 A statement of matters oficially noticed; 

- 4 Questions and offers of proof, objections and ding thereon; 

- 5 Any proposed findings or decisions and exceptions; 

- 6 Any decision, opinion or report by the Court; and 

- 7 The transcript prepared by a duly certified caw? reporter. 
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(1 3) Determination by the Commission. 

(a) The Commission will make a11 determinations of issues before it. 

@) All significant determinations made by the Commission will be 

documented in a written decision and wiI1 require a Quorum at a duly called meeting of 

the Commission. Significant determinations include the grant, denial, renewal, or failure 

to renew a license. 

(c] A copy of any decision reached pursuant to this Section wiII be served 

upon the applicant (respondent) by registered, or certified maii, or may be served 

personally. 

(I 4) Sanctions. The Commission may impose the following sanctions: 

(a) An order prohibiting the use of any witness, document or tangible 

evidence which should have been disclosed, produced, exhibited or exchanged pursuant 

to this Ordinance, the Commission's Rules of Practice and Procedure, or any order of the 

Commission; 

@) An order that designated facts will be taken as established; 

(c) An order that the disobedient party may not support or oppose 

designated claims or defenses; 

(d) An order striking pleadings or parts thereof, or staying further 

proceedings or dismissing the proceeding or any part thereof, or entering a judgment by 

default against the disobedient party; and 

(e) A finding against the disobedient party. 

(15) Appeals. Decisions of the Commission denying or not renewing a license 

can only be appealed to the Legislature. 

16. Practice and Procedures for Enforcement Hearings 

a. Enforcement Hearings: 

(1) Upon the Legislature enacting an Administrative Law Commissioner 

Establishment Act, all enforcement hearings shall be heard as provided for in the 

Administrative Law Commissioner Establishment Act. 
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(2) Until the Legislature enacts an Administrative Law Commissioner 

Establishment Act, all enforcement hearings shall be heard by the Ho-Chunk Nation Trial 

Court. 

(33 In the case of a proposed penaIty which does not involve any suspension or 

revocation of a license, the Commission will: 

(a) Notify the licensee by certified mail of the proposed penalty and the basis 

thereof. Such letter will inform the licensee that the Commission cmot, without the 

licensee's consent, impose a penalty without a hearing before: 

1. The Administrative Law Commissioner, upon the Legislature enacts 

the Administrative Law Commissioner Establishment Act. 

2. The Ho-Chunk Nation Tiai Court, if the Legislature has not enacted 

the Administrative Law Commissioner Establishment Act; and 

(b) Allow the licensee the option of paying the penalty without a hearing or 

contesting the basis for imposing the penalty. The licensee will have seven (7) days to 

state whether or not he or she is willing to pay the penalty without a hearing. 

(4) Nothing in this Section will limit the Commission's authority to suspend a 

Iicense summarily without a hearing pursuant to this Ordinance, but only upon a 

determination by the Commission that the licensee has intentionally defrauded a patron 

and/or the Nation through the licensee's actions. 

(5) The burden of proving fitness and suitability for a license will be on the 

licensee. 

(6) If a person or entity is charged with violation of this Ordinance, a license 

condition, the Compact, the IGRA or any other applicable Iaws, regulations or 

agreements concerning the regulation of gaming including, but not limited to, any 

agreement relating to gaming with the Ho-Chunk Nation, the Department of Justice 

Attorney acting as attorney for the Commission will carry an initial burden of 

establishing sufficient evidence to raise a presvqtion th.t ?here was a violti~~ GTI!~SS 

this evidence is later rebutted (prima facie case). If the Administrative Law 

Commissioner, if applicable, or the Ho-Chunk Nation Trial Court finds that there is 

sufficient proof to prove the case unless contrary evidence is provided (a prima facie case 

has been established), the burden to rebut the charge will shift to the person or entity. 

(7) Notice of Hearing. 

(a) An enforcement action begins by the Department of Justice filing a 

Complaint with the Administrative Law Commissioner, if applicable, or the Ho-Chunk 

Nation Trial Court. If Section 16, subparagraph a (2) (b) is applicable to the enforcement 

action, the Complaint may only be filed after the seven (7) days provided for in that 
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Section. The Complaint will contain short, plain statements of the alleged violations by 

the licensee, the facts and circumstances giving rise to the action, and a demand for any 

enforcement action to be imposed. The Complaint must contain the full names and 

addresses of all parties and any counsel, as well as a telephone number at which the 

complainant may be contacted. The Complaint shall be signed by the Department of 

Justice attorney. 

@) Unless the Administrative Law Edorcement Act provides othenvise, all 

enforcement actions shall be conducted pursuant to the Ho-Chunk Nation Rules of Civil 

Procedure. 

(8) Decision. 

(a) Until the Legislature enacts an Administrative Law Commissioner 

Establishment Act, the Ho-Chunk Nation Trial Court shall issue a written decision within 

sixty (60) days of the fiIing of the complaint, unless the licensee seeks an extension of 

time that delays the hearing process. 

(b) Upon the Legislature enacting an Administrative Law Commissioner 

Establishment Act: 

1. The Administrative Law Com~issi=.ner sh!! issue a ctT;,ttm decision 

within sixty (60) days of the filing of the complaint, unless the licensee seeks an 

extension of time that delays the hearing process. 

2. If pursuant to the Administrative Commission Establishment Act there 

is an appeal, the Trial Court shall issue a decision within thirty (30) days of the appeal 

being filed with the Trial Court. 

17. Licensing. 

a. Licensing Requirements. Licenses issued hereunder will be issued according to 

requirements that are as stringent as those set forth in regulations promulgated by the 

NIGC in 25 C,F.R. parts 556 and 558, including any amendments thereto; and also, in the 

case of Class HI gaming, according to requirements that are as stringent as those set forth 

in the Compact. 

b. License Required. 

(1) Persons. The following persons are required to obtain a gaming license, and 

to maintain the standards required by this Ordinance in obtaining such license, as a 

condition to employment in any gaming operations on the Nation's lands: 

(a) Owner or controlling person; 

(b) Primary management official; 
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(c) Key employees; and 

(d) Any other employee or class of employees as determined by the 

Legislature. 

(2) Vendor. h accordance with Section 18 of this Ordinance, all vendors 

(gaming and non-gaming) wiIl be subject to licensing by the Commission as a condition 

to conducting business with the Ho-Chunk Nation's gaming operations. 

(3) Facilities. The Nation will issue a separate license to each place, facility, or 

location on the Nation's lands where gaming is conducted under this Ordinance. 

(4) Any individual Class II gaming license issued by the Nation will be vaIid for 

any Class I1 gaming facility located on the Nation's lands; and any individual Class I11 

gaming license issued by the Nation wiII be valid for any Class 111 gaming facility located 

on the Nation" lands. 

(5) The licensing requirements under this Ordinance are in addition to any state 

certificates required under the Compact. 

c. Licensing Standards. 

(1) No license will be issued except upon a sworn application filed with the 

Commission, in such form as may be prescribed by the Conrmission, containing a full 

and complete showing, at a minimum, of the following: 

(a) Satisfactory proof that the applicant is of good character and reputation, 

and is financially responsible. 

(b) A description of the premises at which the games are to be conducted, 

with proof of the contractual or other basis upon which the applicant will conduct the 

games, or be employed, at such premises. 

(c) The applicant has fulfilled any applicable requirements of IGM and the 

Compact. 

(d) Agreement by the applicant to accept and abide by all conditions of the 

license as provided in this Ordinance. 

(2) No person will be employed in the operation or conduct of gaming nor will 

the Nation permit a gaming-related contractor to employ any person in the come of 

performance under the contract, if that person has been convicted of, or entered a plea of 

guilty or no contest to, any of the following offenses, unless ihe person has been 

pardoned: 
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(a) Any felony conviction within the ten (1 0) years prior to the application; 

(b) Any conviction for any gaming-related offenses; 

(c) Any conviction for fraud, misrepresentation, theft, or deception in any 

form; or 

(d) A violation of any provision of Chs 562 or 565, Wis. Stats., a rule 

promulgated by the Wisconsin Division of Gaming, this Ordinance or any other tribal law 

regulating or prohibiting gaming. 

(3) No person will be employed in the operation or conduct of gaming, and the 

Nation will not permit a gaming-related contractor to employ any person in the course of 

performance under the contract, if that person has been determined by the Legislature or 

the Commission to be a person whose prior activities, criminal record, if any, or 

reputation, habits or associations pose a threat to the public interest or to the effective 

regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair, 

or illegal practices, methods, or activities in the operation of gaming or the carrying on of 

the business and financial arrangements incidental thereto. The alleged violation of the 

laws of general application of the federal, state, or Nation not principally enacted to 

regulate gaming, such as the Nation" Employee Rekutions Act (6 HCC 8 5) and the 

Nation's Appropriations and Budget Process Act (2 HCC § 4) will not be the basis of 

non-suitability unless such conduct is part of a pattern of consistent intentional disregard 

for the laws of the Federal, State or Nation. For purposes of the preceding sentence a 

person shows a pattern of consistent intentional disregard for the laws nf the federa!, 

state, or Nation when the person knows or should how of his or her obligation and 

chooses to consistently ignore such obligation. 

(4) Lekslative Waiver. Except in the case of owners or controlling persons or 

persons designated in any management contract as having management responsibility of 

all or any part of any gaming operations, the Legislature may in its discretion, waive by 

tegislative resolution any requirements set forth in Section 17, subparagraph c (2) for any 

applicant when the appIicant has demonstrated on the record before the Commission 

evidence of sufficient rehabilitation and present fitness to hold a license. A 

recommendation to grant a waiver will be submitted by the Commission to the 

Legislature for their consideration and final decision. The applicant, with or without 

legal representation, will have the right to be in attendance and to participate on his or her 

behalf. Decisions of the Legislature to grant or to deny a waiver under this subparagraph 

cannot be appealed to the Trial Court. 

(5) The issuance of licenses hereunder also will be subject to the provisions of 

Section 1 9 regarding background investigations. 

(6) The following notices will be placed on the application form for a key 

employee or a primary management official. before that form is filled out by an applicant: 
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(a) Privacy 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. $8 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 disclosed to appropriate federal, tribal, state, local, or foreign Iaw 

enforcement and regulatory agencies when relevant to civil, criminal or regulatory 

investigations or prosecutions or when pursuant to a requirement by a tribe or the 

National Indian Gaming Commission in connection with the hiring or firing of an 

employee, the issuance or revocation of a gaming license, or investigations of activities 

while associated with a tribe or gaming operation. FaiIure to consent to the disclosures 

indicated in this notice will result in a tribe's being unable to hire you in a primary 

management official or key employee position. 

(b) Disclosure of Social Security Number. The disclosure of your Social 

Security Number (SSN) is voluntary. However, failure to supply a SSN may result in 

errors in processing your application. The Commission will keep your SSN private and 

not reveal your S SN on any documents that are public or are part of a public record, 

unless ordered by a Court or federal agency. 

(c) Notice Regarding False S taternents. A false statement on any part of 

your application may be grounds for not hiring an individual, or for firing an individual 

after he or she begins work. Also you may be punished by fine or imprisonment as 

provided in U.S. Code, Title 18, Sec. 100 1. 

(7) No Iicense will be issued to, or held by, a person who has been determined by 

the Commission or Legislature to have knowingly and willfully provided materially 

important false information to the Gaming Commission, or has refused to respond to 

questions offered pursuant to the licensing and background requirements established by 

or required by this Ordinance, the Compact, or the NIGC, 25 C.F.R. parts 556 and 558. 

d. Procedures. All applications will be considered by the Commission in accordance 

with this Ordinance. 

e. Authority to Grant or Deny an Application for Gaming License. 

(I) The Commission wiIl grant or deny all applications for a license, except that 

the Commission will deny an application for a license where the applicant does not meet 

the restrictions under Section 17, subparagraph c (21, in which case, in the discretion of 

the applicant, the applicant may proceed to make a record of findings by the Commission 

as to the applicant's sufficient rehabilitation and present fitness to hold a license. 

(2) Any license will be effective upon the date the Commission grants it. This 

Iicense will be provisional as set forth in Section 17, subparagraph g pending the 

satisfactory completion of all. background investigations and pending expiration of the 
Ho-Chunk Nation Legislature 

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thirty (30) day period for review by the NEGC provided for in regulations promulgated by 

the NIGC in 25 C.F.R. part 558, including any amendments thereto; provided, however, 

that the Commission must provide written notice to the Legislature of the granting of any 

licenses, and the Legislature will have the power to overturn the granting of any license 

on its own motion at any time provided the Legislature has conducted a hearing 

consistent with the provisions established in Section 12. If overturned by the Legislature, 

a license issued by the Commission will have no force or effect. Any s~ch denial may be 

appealed to the Trial Court. 

f. Av~eal of Denial of License. An applicant may appeal any denial of a license as 

provided for in Section 12 of this Ordinance, except that a denial of a license in 

accordance with Section 1 7, subparagraph c (2) wiIl be appealed in accordance with 

Section 17, subparagraph c (4) only. 

g. Effectiveness of License. Any license granted hereunder will be effective on a 

provisional basis pending the satisfactory completion of all background investigations 

required under this Ordinance, the IGRA, the Compact, or any agreement to which the 

Nation is a party, and pending expiration of the thirty (30) day period for review by the 

MGC provided for in regulations promulgated by the NIGC in 25 C.F.R., part 55 8, 

including any amendments thereto, if applicable. Upon the satisfactory completion of all 

required background investigations and such review by the NIGC, such license will 

continue to be effective until it expires. If background investigations or NIGC review are 

not satisfactorily completed a provisional license will have no further force or effect. 

h. Term of License: License Condition; and License Fees. 

(1) Licenses wilI be for a term. of two (2) years, and will expire on the 

anniversary of the date that the license is granted. 

(2) Every licensee has the responsibility to assure that there exists a continuous 

disclosure of facts and information relating to his or her suitability to hold a gaming 

license. Failure to disclose pertinent information as to suitability on a continuing basis, 

pursuant to Section 1 7, subparagraph c (2) andor Section 20 in its entirety will be cause 

for penalties imposed, up to and including suspension or revocation of a gaming license. 

Licensees shall submit these facts and information as to suitability within thirty (30) 

calendar days. 

(3) In order to recover the costs to the Nation of complying with the tribal, state, 

and federal regulations, license fees will be imposed as follows: 

(a) License fees in the amount of $25,000.00 per year will be imposed on 

each party with a management contract with the Nation. 

(b) License fees will be imposed on any persons required to obtain a tribal 

license in accordance with fee schedule to be established by the Legislature. 
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i. Conditions of license. Any licensee who receives a license issued pursuant to this 

Ordinance will not purposefully disregard any reasonable conditions as may be 

established by the Commission including, but not limited to, the following conditions: 

(1) Facility Licenses: 

(a) The licensed premises will be subject to patrol by the Nation's security 

force and local law enforcement, and the licensee will cooperate at all times with such 

security and law enforcement officials. 

(b) The licensed premises will be open to inspection by duIy authorized tribal 

officials at all times during the regular business hours. 

(c) Thme will be no discrimination in the operations under the license by 

reason of race, color, or creed, gender, religion provided, however, that nothing herein 

will prevent the licensee hm granting preferences to Indians as permitted by law. 

(d) The licensing requirements under this Ordinance are in addition to any 

state certificates required under the Compact. 

(2) Individual or Entity. Persons and entities licensed by the Commission will 

not purposefulIy disregard such conditions of the license as the Commission, in its 

reasonable discretion, may require. Persons and entities licensed by the Commission will 

not be considered to have purposefully disregarded a condition of the license unless the 

Commission can show: 

(a) The action was done to defraud, deceive, or take advantage of the Nation 

for the benefit of the person andor entity; 

(b) The person was informed in writing by the Commission or his or her 

supervisor that the action was a violation of the conditions of his or her license; or 

(c) The entity was informed in writing by the Commission or an Official of 

the Nation that the action was a violation of conditions of the entity's license. 

j. Required Notifications. The Commission will promptly notify the NlGC or other 

appropriate federal regulatory body of the issuance or denial of licenses, as required 

under IGRA and applicable regulations of the NIGC. 

k. Suspension or Revocation. The licensee will be legally responsible for any 

intentional violation of the Ordinance or the license provisions. Any license issued 

hereunder may be suspended or revoked by the Commission for the intentional breach of 

any of the provisions of the license, this Ordinance, or my des promuIgated pursuant to 

this Ordinance, as provided in Section 25 and as follows: 
Ho-Chunk Nation Legislature 

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(I) Suspensions. A license may be summarily suspended for up to thirty (30) 

days without prior hearing for good cause by a majority vote of the Commission. For 

purposes of the preceding sentence the Commission may only find good cause to suspend 

a license if the licensee has intentionaI1y defrauded the Nation through his or her actions. 

Yet, if the IGRA requires a license to be suspended, it shall be suspended if a revocation 

hearing arises as a result of the Commission receiving a notice from the NIGC. The 

licensee will not participate in, or conduct any gaming-related activity during the period 

of suspension. There will be no right of appeal of any suspension decision. 

(2) Revocation and Appeals. All decisions of the Court regarding revocation of 

licenses will be final, except that a license revoked by the Commission pursuant to an 

objection itemized by the NIGC as provided in Section 19, subparagraph f may not be 

appealed, No gaming activity will be conducted by a person whose license has been 

revoked by the Trial Court during the pendency of an appeal proceeding to the Ho-Chunk 

Nation Supreme Court. 

1. Provisional Ernplovment Pending Issuance of License. Primary management 

~fficia!s md key e~p!oyees may be e=p!~yed in the g~~~ing =paations or; the Nation's 

lands prior to the issuance of a license hereunder and during the period that a license will 

be effective on a provisional basis as provided in Section 17, subparagraph g, but such 

employment wi1I be provisional only and subject to the requirements of this paragraph. 

Any person who or entity that is required to apply for a waiver under Section 1 7, 

subparagraph c (2) is not eligible for a provisional license or employment in a Nation's 

gaming operation unless the Legislature grants a waiver. Preliminary Employment may 

begin prior to issuance of a license. Preliminary employment must be terminated upon 

the occurrence of any of the following: 

(1) Denial of n license by the Commission or the Legislature; 

(23 Unsatisfactory completion of background investigations or NIGC review 

resulting in nullification of provisional license, as described in Section 17, subparagraph 

g; Qr 

(3) To the extent required under regulations promulgated by the NlGC in 25 

C.F.R., part 558, including any amendments thereto, if at the end of ninety (90) days after 

the starting date of provisional employment no license has been issued hereunder, or if a 

licensed issued hereunder remains effective only on a provisional basis, as provided in 

Section 1 7, subparagraph g. 

m. Gaming License Identification Requirements. A11 licensed employees of the 

Nation's gaming operations will: 

(1) Wear his or her gaming license on the upper exterior portion of their body 

while on employment duty; and 

(2) Maintain his or her gaming license in good condition and appearance. No 
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gaming license will be intentionalIy defaced, altered or obstructed in any way. Any 

unauthorized duplication or alteration of a license is hereby prohibited. 

n. All provisions and preconditions for the issuance of a license persist as ongoing 

requirements for existing license holders. This will mean that any discovery of events or 

conditions that might be cause for the denial of a license, upon discovery, may be 

grounds for suspension, revocation, or other appropriate sanction as deemed reasonable 

and necessary by the Commission. 

18. Vendor License Provisions. 

a. All vendors, whether classified as gaming or non-gaming will be subject to 

licensing by the Commission as a condition precedent to conducting business with the 

Ho-Chunk Nation gaming operations. The following are excluded from the provisions of 

this Section: 

(1) Persons or entities who provide professional Iegal and accounting services. 

(2) Persons or entities who provide entertainment services at a gaming facility or 

operation. 

(3) Insurance companies excluding annuity companies. 

(4) All state and federally chartered financia1 institutions. 

(5) Law enforcement agencies. 

(6) Utility providers. 

(7) Federal and state government agencies. 

(8) Non-profit organizers who can provide proof of tax exempt status. 

(9) Travel agencies. 

(1 0) Providers of trainings and seminars. 

(1 1) Public or private accredited institutions of education. 

(12) Food and beverage providers. 

(1 2) Any other persons or entities as determined by the Legislature. 

b. Any classified non-gaming vendor, supplier, or general contractor conducting 

business with the Nation's gaming facilities in an amount equal to or exceeding 
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$1 00,000.00 in any year will register with the Commission and pay a biennial 

administrative fee of $1 00.00. Non-gaming vendors conducting business with the 

Nation's gaming facilities in amounts between $1 0,000.00 and $100,000.00 in any year 

will register with the Commission and pay a biennial administrative fee of $50.00. Any 

classified non-gaming vendor conducting business with the Nation's gaming facilities in 

an amount below $1 0,000.00 in any year will be exempt from any licensing fee and the 

payment of any biennial administrative fees. 

c. Any other vendor conducting business with the Nation's Class I1 or Class III 

gaming facilities as determined by the Legislature wiII be subject to these provisions. 

d. Application and Procedures for License. 

(I) Standard. The standard and procedure for considering and issuing vendor 

licenses will be those set out in Sections 13 through 17 of this Ordinance. Any other 

matters pertaining to licensing will be governed by other applicable provisions of this 

Ordinance. 

(2) Determination by Other Jurisdictions. h addition, the Commission may 

consider issuing licenses to gaming vendors possessing valid licenses from other tribal or 

state jurisdictions until such time that the Nation completes its own background 

investigation. In the event that other jurisdictions suspend, revoke, or refuse to renew a 

license or certificate to a gaming vendor, the Commission will consider the determination 

of that jurisdiction and may suspend, revoke, or refuse to renew any license issued by the 

Commission. 

e. Submission of a Vendor License Application. In order to obtain a vendor license, 

the business must complete a vendor application and submit to background checks of 

itself and its principals. Principals of a business include its officers, directors, 

management, owners, partners, non-institutional stockholders who either own five 

percent (5%) or more of the stock or are the five (5) largest stockholders, and the on-site 

supewisor or manager under the agreement with the Nation, if applicable. 

f. Contents of the Vendor Application. - 

(I) Applications for vendor licenses must include, at a minimum, the foEIowing: 

(a) Name of business, business address, business phone, federal tax ID 

number (or Social Security Number if a sole proprietorship), main office address if 

different from business address, any other names under which the applicant has done 

business, and the type of service the applicant will provide; 

(b) whether the applicant is a partnership, corporation, limited liability 

company, sole proprietorship, or other entity; 

(c) if the applicant is a corporation: the state of incorporation or name of tribe 
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incorporated in, and the qualification to do business in the state or a tribe if the gaming 

operation is in a different state than the state of incorporation; 

(d) trade name, other names ever used, names of any wholly owned 

subsidiaries or other businesses owned by the vendor or its principals; 

(e) general description of its activities; 

If) whether the applicant will be investing in or ioaning money to the gaming 

operation and, if so, how much; 

(g) a description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

(h) a list of Indian tribes with which the vendor has an existing or previous 

business relationship, including ownership, financial, or management interests in nongaming activities. If the vendor has had extensive interaction with Indian tribes, the list 

will include the ten (LO) largest contracts; 

(i) names, addresses, and phone numbers of three (3) business references with 

whom the company had regularly done business in the last five (5) years; 

Ij) the name and address of any licensing or regulatory agency with which the 

business has filed an application for a license or permit related to gaming, whether or not 

such Iicense or permit was granted; 

(Jc) if the business has ever had a license revoked or denied for any reason and 

a written justification of the rezmn fclr the !irexe being revoked dcnu P with - --- th~ ---" 

circumstances involved; 

(1) a list of lawsuits to which the business has been a defendant, inchding the 

name and address of the court involved, and the date and disposition, if aqr; 

(m) a Pist of the business's funding sources and any liabilities of $50,000.00 

or more; 

(n) a list of the principals of the business, their Social Security Number, 

address, telephone number, title, and percentage of ownership in the company; and 

(0) any Eurther information the Nation deems relevant. 

(2) The following notice will be placed on the application form for a vendor and 

its principals: "Inclusion of false or misleading information in the vendor application 

may be pounds for denial or revccztim cf the N&icr?'s ve~ldor !ic=se," 

(3) A vendor may submit a copy of a recent Iicense application to another 
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jurisdiction if it contains the information listed above. The vendor will be required to 

submit (in writing) any changes in the infomation since the other license application was 

filed md any information requested by the Nation not contained in the ether application. 

g. Vendor Back~ound Investigation. Background investigations will be conducted 

as part of the licensing process. 

h. Vendor Backmund Investigation Report. The report will cover each of the steps 

taken in the completed background investigation of the vendor and its principaIs and 

submitted to the Gaming Commission. A copy of the wort shall be forwarded to the 

Vice President or Vice President pro tempore of the Legislature. 

i. Term of Licenses and License Fees. 

(1) Licenses will be for a term of two (2) years, and will expire on the 

anniversary of the date of issue. 

(a) The Compliance Department will notify all vendors of this requirement no 

less than one-hundred twenty (120) days prior to the expiration date of the license of the 

vendors. The notification will be sent by certified mail to the Iast known address of the 

vendor. 

(b) A11 vendors will submit a written notice of intent to renew their vendor 

license to the Commission with the required license fee no less than sixty (60) days prior 

to the expiration date of the license. 

(c) Failure to file a written notice of intent to renew the vendor license, sixty 

(60) days prior to the date of expiration will cause the Commission to issue a letter of 

expiration. The letter of expiration will be sent by certified mail to the last known 

address of the vendor. 

(2) In order to recover the costs to the Nation of complying with the tribal, state 

and federal regulatory processes applicable to Class IZ and Class 111 gaming, biennial 

license fees will be imposed upon the filing of any application for a gaming vendor 

license, and upon every license renewal thereafter. Any actual costs and expenses 

associated and incurred with additional background and suitability investigations will be 

assessed to the vendor as pet an actual cost billing. The schedule of fees for licensing of 

gaming vendors will be as follows: 

(a) Existing vendors will be assessed a non-refundable license fee based on 

the amount of business with the Nation's gaming facilities. A fee of $200.00 or one (I%), 

whichever is greater, will be charged based on the pss dollar amount received from the 

previous fiscal year. 

(b) Classified gaming ve~dcrs whc hwe not previously ccnd~cted business 

with the Nation's gaming facilities will be assessed a fee of $200.00 or one (I%), 
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whichever is greater, according to the gross dollar amount of the initial proposal of 

business with the Nation's gaming facilities. At the end of the Nation's fiscal year, the 

amount of the fee will be adjusted based on the actual gross doIlar amount of business 

conducted by the cIassified gaming vendor. 

(c) The Gaming Commission will not take any final action to approve any 

vendor Iicense application, unless all license and investigative fees and costs have been 

paid in full. 

19. Background Investigations. 

a. Required Backmound Investigations. Background investigations will be 

conducted on all persons or entities specified in Section 17, subparagraph b of this 

Ordinance: 

(1) Except for as provided for in Section 19, subparagraph a (2) below, records of 

the background investigations will be retained for at least seven (7) years after the record 

is created. 

(2) With respect to key employees and primary management officials, reports of 

background investigations, will be retained: 

(a) Pursuant to the Compact entered into with the State of Wisconsin for at 

Ieast seven (7) years afier the record is created; and 

(b) For inspection by the Chairperson of the MGC, or his or her designee, for 

no less than three (3) years from the date of termination of employment. 

b. Standards for Background Investi~ations. All background investigations will be 

conducted under the supervision and direction of the Department of Justice to ensure that 

the Nation in its gaming operations wilI not employ or contract with persons whose prior 

activities, criminal record, if any, or reputation, habits or associations pose a threat to the 

public interest or to the effective regulation and control of gaming, or create or enhance 

the dangers of unsuitable, unfair, or illegal practices, methods, and activities in the 

conduct of such gaming. Such investigations will be conducted according to 

requirements that are as stringent as those set forth in regulations promulgated by the 

NIGC in 25 C.F.R. parts 556 and 558, including any amendment thereto, and as set forth 

in the Compact, and as provided in Section 19, subparagraph c, below. In the case of 

investigations of primary management officials and key employees, the report required 

under regulations promulgated by the NIGC in 25 C.F.R. part 558, including any 

amendments thereto, will be prepared and submitted to the NIGC. Such report will 

contain the eligibility determination described in such regulations. All background 

investigations will othenvise meet the standard of such investigations imposed under the 

IGRA andlor the Compact, as applicable. Nothing herein wilt prevent the conduct of a 
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more comprehensive background investigations than those required under the IGRA, the 

NIGC, or the Compact. 

c. Required Information. 

(1) Each person subject to a background investigation under Section 19, 

subpmgaph a, above, will be required to provide all of the following information: 

(a) Full name, other names used (oral or written), Social Security NumberCs) 

(pursuant to Section 17, subparagraph c (6) @)), birth date, pIace of birth, citizenship, 

gender, all languages spoken or written; 

(b) Business and employment positions held, ownership interests in those 

businesses, business and residence addresses, and driver's license numbers for the current 

and past five (5) years; 

(c) The names and current addresses of at least three personal references, 

including one personal reference who was acquainted with the applicant during each 

period of residence listed under Section 19, subparagraph c (I) (b) above; 

(d) Current business and residence telephone numbers; 

(e) A description of any existing and previous business relationships with 

Indian tribes, including ownership interests in those businesses; 

(f) A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

(g) The name and address of any licensing or regulatory agency with which 

the person has filed an application for a Iicense or permit related to gaming, whether or 

not such license or permit was granted; 

(h) For each felony for which there is an ongoing prosecution or conviction, 

the charge, the name and address of the court involved, and the date and disposition if 

any; 

(i) For each misdemeanor for which there is an ongoing prosecution or 

conviction (excluding minor traffic violations), within ten (103 years of the date of the 

application, the name and address of the court involved and the date and disposition if 

my; 

Cj) For each criminal charge (excluding minor traKic charges) whether or not 

there is a conviction, if such criminal charge is within ten (1 0) years of the date of the 

application and is not otherwise listed pursuant to Section 19, subparagraph c (I) (h) or 

(i) above, the criminal charge, the name and address of the court involved and the date 

and disposition; 
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(k) The name and address of any licensing or regulatory agency with which 

the person has filed an application for an occupationallprofessional license or permit 

including, but not limited to, whether or not such license or permit was granted; 

(1) A current photograph; and 

(m) Fingerprints consistent with procedures adopted by the Nation according 

to 25 C.F.R. 5 522.2(h). 

(2) The Nation wiII conduct an investigation sufficient to make determinations of 

suitability. 

(3) In conducting background investigations, the Nation, or its agents, will keep 

confidential the identity of each person interviewed in the course of the investigation. 

d. Report to the NIGC. 

(1) Applications and/or rqorts will be forwarded to the NIGC according to the 

regulations promulgated by the MGC. Pursuant to 25 CFR 556.5, an investigative report 

shall include all of the following: 

(a) Steps taken in conducting a background investigation; 

(b) ResuIts obtained; 

(c) Conclusions reached; and 

(d) The bases for those conclusions. 

(2) If a license is not issued to an applicant, the Commission will notify the 

NIGC and may forward copies of its eligibility determination and investigation report, if 

any, to the NIGC for incIusion in the Indian Gaming Individuals Records System. 

(3) With respect to key employees and primary management officials, 

applications for employment and reports of background investigations, if any, will be 

retained: 

(a) Pursuant to the Compact entered into with the State of Wisconsin for at 

least seven (7) years after the record is created; and 

(b) For inspection by the Chairperson of the NIGC, or his or her designee, for 

no less than three (3) years from the date of termination of employment. 

e. Granting a Gaming License. 
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(1) If, pursuant to 25 C.F.R. $558.4, withi= Lbe thirty (30) dzy perifid after the 

NIGC receives a report and notifies the Commission that it has no objection to the 

issuance of a license pursuant to a license application filed by a key employee or a 

primary management official for whom the Commission has provided an application and 

investigative report to the NIGC, the Commission will issue a license to such applicant. 

(2) Pursuant to 25 C.F.R. $558.3, during a thirty (30) day period begiginning when 

the NIGC receives a report from the Nation, the Chairperson of the NIGC, or his or her 

designee, may request additional information fm the Commission concerning a key 

employee or a primary management official who is the subject of a report. The 

Commission will respond to a request for additional information from the Chairperson of 

the NLGC, or his or her designee, concerning a key employee or a primary management 

official who is the subject of a report. Such a request will suspend the thirty (30) day 

period until the Chairperson of the NIGC, or his or her designee, receives the additional 

information. 

(3) Pursuant to 25 C.F.R. §558.4@), if, within the thirty (30) day period after the 

NIGC receives a report, the NIGC provides the Commission with a statement itemizing 

objections to the issuance of a license to a key employee or to a primary management 

official for whom the Commission has provided an application and investigative report to 

the NIGC, the Commission will reconsider the application, taking into account the 

objections itemized by the NIGC. The Commission will make the final decision whether 

to issue a license to such applicant. 

(4) Pursuant to the requirements of 25 C.F.R. $558 (b), a key employee or 

primary management official may maintain a provisional license until the Gaming 

Commission makes a determination as to whether or not to grant his or her license. 

f. License Suspension and Revocation Followhg Receipt of Information from NIGC. 

(1) If, after the issuance of a gaming license, the Nation receives from the NIGC 

reliable information indicating that a key employee or a primary management official is 

not eligible for employment under Section 19, subparagraph b above, the Commission 

will suspend such license and will notify in writing the licensee of the suspension and the 

proposed revocation. 

(2) The Commission will conduct a hearing in accordance with Section 15 on a 

proposed revocation pursuant to Section 19, subparagraph f (1) above. 

(3) After a hearing, the Commission will determine whether to revoke or to 

reinstate a gaming license. The Commission wiII notify the NIGC of its decision. The 

decision of the Commission to revoke the license will be finaI and there will be no 

appeal. 

(4) If a vendor violates a licensing requirement in the vendor's contract with the 

Nation, the contract with the vendor will be revoked. 
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20. Conflicts of Interest Prohibited. 

a. No member of the Legislature, Commission, Treasurer of the Nation, or the 

President of the Nation will: 

(1) Be employed by any gaming operations, be a primary management official or 

owner or controlling person with respect to any management contract. 

(2) Participate in the approval, denial or renewal of any application for a gaming 

license by, or participate in the revocation or suspension of any license granted hereunder 

to, any relative of such member of the Legislature, the President, or the Commission. 

(3) 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 oficial 

duties in administering this Ordinance; provided that a member of the Legislature who 

may engage in a conflicting activity or incur a conflicting obligation that is not otherwise 

disqualified under Section 20, subparagraph a (1) above, will promptly disclose that 

activity or obligation to the Legislature and refrain from voting on any matter regarding 

which such activity or obligation may constitute a conflict. 

(4) Participate as a player of any games at any of the Nation's gaming facilities. 

The preceding prohibition contained within Section 20, subparagraph a. (4) shall not 

apply to Legislators or the President playing: 

{a) Bingo within the bingo halls of the Nation's gaming facilities; or 

(b) Charitable Games. 

b. No Attorney of the Department of Justice or SurveiIIance Department Personnel 

will participate as a player on any games at any of the Nation's gaming facilities. 

c. Pursuant to the requirements of the Compact between the State of Wisconsin and 

the Nation, the Legislature also adopts the following provisions for Casinos located in 

Wisconsin: 

(I) No person employed by the Nation will participate in games at any site of 

employment or, in the case of management contractors, at any site on the Nation's Lands 

where gaming is conducted; or 

(2) No employee of the Nation in any of its gaming operations will own, be 

employed by or have any direct or indirect pecuniary interest in any management contract 

or other gaming-related contract of the Nation. However, nothing in this paragraph will 

prevent the Nation from employing a person with a direct or indirect fmancial interest in 

a gaming-related contract which has been submitted to the Bureau of Indian Affairs 
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("'$Mu) or other federal reguIatory body for review and approval during the period of 

such review, provided that any such employment will terminate upon approval of the 

contract by the BXA or other fderal regulatory body. 

d. An employee, upon separation from employment with any of the Nation's gaming 

facilities, will not participate as a player in any gaming activity at the gaming facility 

from which the person was terminated from employment for a period of fifteen (1 5) days 

from the date of separation; provided, further that an out-going Gaming Commissioner, 

Legislator, President, Surveillance Department employee, and Department of Justice 

Attorney will not participate as a player in any gaming activity at any gaming facility for 

a period of fi fieen (1 5) days from the date of their separation from employment. 

21. Accounting, Monthly Reports and Annual Audits. 

a. The Treasurer will maintain or contract for the maintenance of a permanent single 

entry or double entry bookkeeping system for the purpose of recording all receipts and 

expenditures in connection with the conduct of games and the disbursement of profits 

derived thereof. Such bookkeeping system will consist of a columnar book maintained 

on a calendar or fiscal year basis. The use of suitabIe computerized accounting system(s) 

may substitute for a manual system of books. If such a computerized accounting system 

is used, however, printed copies of all infomation will be in the possession of the 

Commission and the Legislature. The pemanent books of account or records will 

include inventory records of gaming - supplies -- and will be sufficient to establish 

information including, but not limited to, the amount of gross and net income, deductions 

and expenses, and receipts and disbursements and wiI1 be kept at all times available for 

inspection by the National Mian Gaming Commission's authorized representatives. 

Such books of account or records will be retained for at least seven (7) years after the 

record is created. 

b, No later than fifteen (1 5) days after the end of each month, the Executive 

Managers of each of the gaming operations will prepare and submit to the Commission 

and to the Legislature, through the Department of Treasury, a comprehensive report for 

the month completed of the gaming operations for which such Executive Manager has 

overall responsibility. Monthly reposts will be made on a form prescribed by the 

Treasurer. The Executive Manager will retain a copy of the report for the permanent 

records of the Nation. The report will include, but not be limited to: 

(I) An itemized statement of the gross receipts. 

(2) An itemized statement of expenditures, including amounts paid for salaries 

and benefits, prizes, supplies and equipment, and other expenses. 

c. The monthly report will be signed by the Executive Manager with overall 

responsibility for the operations. 
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d. In compliance with 25 U.S.C. 82710 @) (2) (C) and @), all gaming operations are 

subject to an audit by independent certified public accountants conducted in accordance 

with generally accepted accnl~nting princi~les m-d with the "-Accnlmting and Audit 

Guide-Casinos" submitted to the Legislature and the Commission. Copies of the annual 

audit will be provided to the NEGC, the OIGRC, and the Wisconsin State Auditor within 

one-hundred twenty (1 20) days after the end of the fiscal year. All gaming-related 

contracts that result in purchases of supplies, services or concessions for more than 

$25,000.00 in any year, except contracts for professional legal or accounting services will 

be specifically included within the scope of such audit. 

22. Public Safety Standards. 

a. The construction and maintenance of any gaming facility, and the gaming 

operations, will be conducted in a manner which adequately protects the environment and 

the public health and safety and for that purpose will comply with the requirements of the 

Compact and all applicable health, safety and environmental standards enacted by the 

Nation. Those public health and safety standards for public buildings, eIectrica1 wiring, 

fire protection, plumbing and sanitation that are set forth in Wis. Stat. ch. 10 1 

(Department of Commerce -Regulation of Industry, Buildings and Admin. Code, chs 

COMM 14 (Fire Prevention), 16 (Electrical), 28 (Smoke Detectors), 77 (Theaters and 

Assembly Halls), and 8 1-87 (Plumbing), as they may be amended from time to time, will 

be deemed to be incorporated by this Ordinance as the Paws of the Nation applicable to 

the Nation's gaming facilities located in the State of Wisconsin. 

b. Pwsuant to the requirements of the Compact, the Department of Labor will engage 

a state certified inspector to conduct inspections of all facilities for Class 111 gaming on a 

periodic basis, but not less than annually, and will promptly repair or correct any and all 

instances of non-compliance with Section 22, subparagraph a, above. An inspection 

report shaIl be prepared by the Tribe in connection with each inspection and copies of 

said reports shall be fonvarded to the OIGRC (formerly hown as the Lottery Board). 

23. Miscellaneous Provisions. 

a. Right to Exclude Any Person from Premises at Any Time. Any person may be 

excluded from the premises at the discretion of an appointed designee of an Executive 

Manager, the Executive Manager, and the supervisor(s) of an Executive Manager. 

b. Minimum A%. 

(1) Class II Gaming Facilities. No person under the age of eighteen (18) years 

will be permitted on any of the Class TI gaming floors at any time, except those agents, 

employees, or contractors of the Nation who are actively engaged in employment duties 

or are performing authorized services for or on behalf of the Nation. A Class I1 gaming 

operation may not employ any person under the age of sixteen (1 6) years. 
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(2) Class I11 Gaming Facilities. No person under the age of twenty-one (2 1) 

years wiIl be permitted on any of the Class TI1 gaming floors at any time, except those 

agents, employees, or contractors of the Nation who are actively engaged in employment 

duties or are performing authorized services for or on behalf of the Nation. A Class I11 

gaming operation may not employ any person under the age of eighteen (1 8) years. 

(3) If any underage person, pursuant to Section 23, subparagraph b (1) and (2), 

plays and otherwise qualifies for the prize or winnings, the prize or winnings will not be 

paid and the estimated amount wagered during the course of the game will be returned to 

the underage person. 

(4) Any underage person (minor) may pass to and from any of the Nation's Class 

II and III gaming facility hotels, retail shops, and eating estabIishments on the premises 

when accompanied by a supervising aduIt. 

c. Permissible-Alcoholic Beverages. No person wiI1 have in his or her possession 

any alcoholic beverages on any premises, except for such beverages as are purchased 

kom the Nation or its authorized agents for on-premises consumption in accordance with 

licensing and other requirements of the Compact and laws of the Nation such as the 

Alcohol Beverage Control Ordinance (5 HCC $4), with possession and consumption of 

such beverages to be confined to such areas as are specifically defined by the Legislature. 

d. Prohibited Substances. No person will have in his or her possession any substance 

prohibited by federal or state laws while on any Ho-Chunk Nation premises. 

e. Persons Under the Influence of Alcohol or Prohibited Substances. No person who 

is visibly intoxicated will be permitted to participate in my gaming activity. 

f. Firems or Other Weapons. No person, including the Nation's Security 

Department personnel, will possess or be permitted to possess any firearm or other 

weapons within any Ho-Chunk Nation gaming facility. This provision wiil not appiy to 

law enforcement officers who are acting in an official capacity and have jurisdiction; or 

to an armored car representative employed by the Nation for the transfer of funds to or 

from financial institutions, or upon notice or special conditions set by the Commission far 

specific purposes or events. 

g. Disorderly Conduct. No person will 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 provide a disturbance on any HoChunk Nation lands. 

h. Nation's Property. No person may intentionally cause damage to any of the 

Nation's physical property without authorization from the Nation, nor may any person 

intentionally steal or defraud the Nation of property. 
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i. Enforcement. Any person who violates any provision of this Section will be asked 

to leave the premises. Authorized law enforcement officers or security personnel will be 

called to escort persons who refuse to leave the premises. In addition, any person who 

violates any provisions in this Section, as with any provision of this Ordinance, will be 

subject to penalties provided under Section 25. 

24. Patron Disputes. 

a. Patron Rights Regarding Disputes. 

(I) The Gaming Commission will provide procedures for impartial resolution of 

a patron's dispute. 

(2) Any person who has a dispute concerning the conduct of a game(s1 may raise 

such dispute with the following persons and in the following order: 

(a) A member of the staff of the gaming facility. 

(b) The supervisor in the area in which the dispute arose. 

(c) The Executive Manager of the gaming facility. 

(d) The Gaming Commission. 

(3) At each level, the complainant has the right to explain his or her side of the 

dispute, and to present witnesses in connection with any factual allegation. 

(4) At each level, if the dispute remains unresolved, the complainant wilI be 

given a copy of the impartial dispute resolution procedures required under Section V.E. 

of the Compact, and informed of the right to take the dispute to the next higher level as 

set forth in Section 24, subparagraph a (2), above. 

(5) Resolution of any dispute by staff of the gaming facility will always involve 

two or more staff members. 

(6) All disputes, whether resolved or not, will be the subject of a detailed report 

by all staff involved to their supenrisor. A copy of the detaiIed report(s) will be 

forwarded to the Executive Manager and to the Commission. 

b, Gaming Commission Action on Patron Disputes. All unresolved disputes which 

are submitted to the Gaming Commission will be decided by the Commission based on 

information provided by the complainant, any witnesses for or documents provided by 

the complainant, or by the Executive Manager of the gaming facility or any other person 

who has reIevant information to provide. The decision of the Commission will be in 

writing and issued within fourteen (14) days of the completed investigation of the 
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dispute. Copies will be provided to the Executive Manager of the gaming facility and the 

complainant. 

25. Enforcement, Penalties and Investigations. 

a. Enforcement. Any person will be subject to penalties as provide in Section 25, 

subparagraph (b) below, if such person: 

(1) Violates any provision of this Ordinance, or any applicable tribal, state and 

federal regulations. 

(2) Makes any false or misleading statements or omissions in any and all 

documentation filed with the Commission or in connection with any matter provided for 

hereunder; 

(3) Gives false testimony in any matter provided for hereunder before the 

Commission, the Legislature, or the Court; or 

(4) Fails to observe license conditions imposed by the Commission or 

Legislature, or decisions of the, Legislature, or Court rendered pursuant to this 

Ordinance. 

b. Penalties. The Commission through an enforcement action as provided in Section 

16 will be empowered to impose any of the following penaIties or fines: 

(1) Termination, suspension or exclusion from employment in any gaming 

operations or other employee discipline; 

(2) Exclusion hm attendance at any gaming facilities; 

(3) Licensees shall be subject to the following fines: 

(a) Except for individuals or entities listed in the Section 25, subparagraph b 

(4) (b) immediateIy below, not more than ten percent (10%) of the licensee's yearly gross 

wages from the Nation. The maximum penalty of ten percent (1 0%) of the licensee's 

yearly gross wages from the Nation will not be imposed for each violation, but for all 

violations being considered by the Court per case brought with respect to the licensee. 

The Gaming Commission will develop, and make public, criteria to determine general 

categories of licensee violations and a corresponding percentage to be imposed based on 

when a licensee is found to have violated that general category. 

(b) An Executive Manager, owner or controlIing person or a party to a 

management contract will be subject to a fine of net more than $25,000.00 for each 

violation, and actual damages to the Nation or its gaming operations. 

(4) Exclusion from the Nation's lands if not a member of the Nation; or 
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(5) Suspension, revocation, or other condition to an existing gaming license. 

c. Investigations. 

(1) The Department of Justice of the Ho-Chunk Nation has the power to conduct 

investigations as provided in this Section. The Department of Justice may retain outside 

counsel and other agents to assist it in conducting its investigation. All references to the 

Department of Justice hereafter include the Department of Justice andlor any designated 

agent of that Department. 

(23 The Department of Justice may investigate without limitation the background 

and suitability of any applicant or iicensee 20 ensure that the applicant's or licensee's prior 

activities, criminal record, if any, or reputation, habits and associations do not pose a 

threat to the public interest or to the effective regulation and control of gaming, or create 

or enhance the danger of unsuitable, unfair or illegal practices and methods, or activities 

in the conduct of gaming, 

(3) The Department of Justice may also investigate, without limitation, any 

suspected vioIation of the Ordinance, the Compact, the IGM, the conditions of any 

license issued by the Commission, any violation of an order by the Commission, the 

Legislature, or the Trial Court or any other applicable laws, regulations or agreements, 

including, but not limited to any agreement with the Ho-Chunk: Nation. 

(4) No applicant or licensee will neglect or rehse to produce records or evidence 

or to give information upon written request by the Department of Justice within seven (7) 

days of receipt of such request. No applicant or licensee will interfere with any proper 

and lawful efforts by the Department of Justice to obtain such information. Every 

applicant, licensee, and all licensed manufacturers, distributors and vendors wiIl make 

their business premises, books and records available for inspection by the Department of 

Justice for purposes of conducting its investigation. Failure of any person or entity to 

compIy with this Section may result in the denial or revocation of a license, or the 

imposition of other penalties and sanctions. 

26. Existing Procedures. All proceedings commenced before the effective date of this 

Ordinance, or any Amendments to it, will be conducted under iize Ordinance then in 

effect. 

27. Effective Date. This Ordinance, and any Amendments to it, supersedes prior 

Gaming Ordinances, resolutions, and motions pertaining thereto and will take effect on: 

a. The passage of a resolution by the Ho-Chunk Nation Legislature to amend the 

Ordinance; and 
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b. The approval of the Amendments to the Gaming Ordinance by the Chainnan of 

the NIGC as provided for by 25 U.S.C. 527 10 (e). The date of passage of the Resolution 

by the Legislature and approval of the Amendments by the Chairman of the NIGC will be 

notated within the kgislative History of the Ordinance. 

Legislative His tory 

WWBC adopts amended and restated Gaming Ordinance of the Ho-Chunk Nation. 

WWBC Resolution No. 6/26/92E to amend and supersede the Gaming Ordinance adopted on 

October 7, 1989. 

WWBC Resolution No. 11-1 1-92 G, to amend and supersede the Gaming Ordinances adopted 

on October 7,1989 and June 26,1992. 

WBC Resolution No. 4/26193A, (Attachment hereto as "Appendix A"). 

WWBC Resolution No. 419194-C, to amend and supersede the Gaming Ordinance adopted on 

November 1 1, 1992, and subsequent amendments thereto. 

WWBC Resolution No. 618194B to amend Sections 1104 and 1105. 

Legislature Res. No. 6114195C to amend Sections 1 102 (a) (i) and (ii). 

Legislature Res. No. 1 0124195A to amend by adding Section 1 30 1 (a). 

Legislature Res. No. 2/20/96B. 

Legislature Res. No. 916196A to amend Sections 90 1 (a) and (d). 

Amendments by Res. No. 2120196B and 916196A are approved by NIGC. 

Legislature Res. No. 41141981 to amend Section 1203(a) (iv)(c) by addition of (i). 

Legislature Res. No. 511 1/99L, Amendments A - I, to amend and supersede the Gaming 

Ordinance adopted on September 6, 1996 and subsequent amendments thereto. 

Legislature Res. No. 317100E to amend See tion 2 13(a), classification of key empioyce 

positions. 

Legislature Res. No. 6/22/OOB to amend Sections 21 0,2E3(b), 803, 1201(a), (b) and (c). 

Legislature Res. No. 6/22/00D to amend Sections 801(a) and (b), Section 803, and Section 

1201. 

LRgisIative Res. No. 5/20/02F to amend Sections 230 and 1301(a). 

Legislature Res. No. 8/3/05B to amend Section 802. 

Legislative Off-Site. 

Legslatme approves the Ordinance for 45-Day Public Review and Comment. 

PubIic Review and Comment period ends. 

Final Draft of Ordinance sent to Gaming Commission for final review. 

Legislature approves 45-Day PubIic Review and Comment Period. 

Public Review and Comment period ends. 

Legislative Off-Site. 

Legislature approves the Ordinance for 45-Day Review and Comment. 

Development Committee made a Motion to hold a LegisIative Off-site on August 15,2007 to 

review the Ordinance. The only cornrnenrs received during the 45-Day Review and Comment 

period were from the Gaming Commission. 

Pursuant to the Legislative Organization Act (2 HCC (j 1 I), the Legislature conducts an OffSite. 

Pursuant to the Legislative Organization Act (2 HCC $1 I), the Legislature conducts an OffSite . Meeting held between Gaming Commission and Legislature to discuss changes to Off-Site. 

Meeting held with kgislative Staff and Gaming Commission to go over technical changes to 

Gaming Ordinance recommended by the Gaming Commission. 

Development Committee refers proposed changes to the full Legislature.