Shannon Holsey, Tribal President 

Stockbridge-Munsee Community 

N8476 Moh He Con Nuck Road 

Bowler, WI 54416 

May 6, 2016 

RE: Stockbridge-Munsee Community Gaming Ordinance and Resolution No. 029-16 

Dear President Holsey: 

I am writing with respect to your February 17, 2016, request to the National Indian 

Gaming Commission to review and approve the Sto·ckbridge-Munsee Community's 

amendments to its gaming ordinance. The amendments were adopted by Resolution No. 

029-16 of the Tribal Council to better meet the Tribe's regulatory needs and to comply with 

NlOC regulatory updates. 

Thank you for providing the amended gaming ordinance for our review. The 

ordinance is approved as it is consistent with the requirements of the Indian Gaming 

Regulatory Act and NIGC regulations. If you have any questions concerning this letter, 

please contact Staff Attorney Austin Badger at (202) 632-7003. 

cc: Bridget Swanke, Senior Counsel, Stockbridge-Munsee Community 

NEW MAILING ADDllHS1 NIGC/ DlPAltTMENT OF THE INTERIOR 1849 C Street NW, Moil Stop# 1621 Woslilngton, DC 20240 Tel: 202,632.7003 Fox: 202.632.7066 

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WWW.NIOC.OOV 
February 16, 2016 

BAND OF THE MOHICAN INDIANS 

TRIBAL COUNCIL OFFICES 

RESOLUTION 

.. No. 029-16 

WHEREAS, The Stockbridge-Munsee Community is a federally recognized Indian tribe with 

inherent sovereign powers, ancl is gQverne'Cl by the Stockbridge-Munsee Tribal 

Council pursuant to the 193 7 Cqnstitution, as amended; 

WHEREAS, The Slockbridge-,Munsee Commul1).ity has the authority under its Constitution and its 

inherent rights as a sovereign nation to adopt and amend Ordinances; 

WHEREAS, The Tribe is authorize~ to, co11duct gami:Q.g activities-on the Stockbridge-Munsee 

Reservation in aC.cordance with federal gaming, law and its Gaming Compact with 

the State of Wisc.0nsln; 

"" . WHEREAS, The Tribe reg1dates sJ;1ch gaming activities through Chapter 25, the Gaming 

Ordinance, whieh was approved by National India'Q Gaming Cornmission as required 

under federal law; 1 

WHEREAS, Revisions to Chapter 25 were identified that included changes to the definitions of 

ancillary facility, key employees and primary maiaagem~nt officials, additional 

language for addr-~ssing disputes in relation to changes to operating procedures, 

additional bases for suspension or denial of a gaming license, among others 

contained 1n the aittac:b.ed vetsion of the l<:evisio;rn sh.ew:i:ng all additions and 

deletions; 

WHEREAS, Such revisions were adopted by the Tribal iCoWlcil. in Resolution 02-16 and, on 

October 13, 2015, were submitted to the National Indian Gaming Commissjon for 

approval; 

WHEREAS, The National Indian Gaming Commjs·sicm identified technical corrections to Chapter 

25 that were required by federal regul.ation; 

WHEREAS, On November 18, 2015, the Tribal Council submitted a letter withdrawing its 

October 13, 2015 request for approval of Chapter 25; 

WHEREAS, The Tribe made additional amendments to Chapter 25 that include changes to the 

2015 revisions as well as the changes required by federal regulation; 

N8476 MOH HE CON NUCK ROAD • BOWLER, WI 54416 • (715) 793-4111 • FAX: (715) 793-1307 
WHEREAS, Such amendments were adopted by the Tribal Council in Resolution 018-16 and, on 

January 7, 2016, were submitted to the National Indian Gaming Commission for 

approval; 

WHEREAS, The National Indian Gaming Commission has identified additional technical 

corrections to Chapter 25 that are required by federal regulation; 

WHEREAS, On the Trihal Council intends to withdraw its January 7, 2016 request for approval of 

Chapter 25; and 

WHEREAS, The Tribe made additional amendments to Chapter 25 that include new technical 

corrections, as well as the original 2015 revisions and the January 2016 corrections; 

NOW THEREFORE BE IT RESOLVED, the Stockbridge-Munsee Tribal Council hereby adopts 

the following amendments to Chapter 25: 

• Renumbering of entire ordinance. 

• Addition of Table of Contents. 

• Changes or additions to Sections: 25.4(A), (I), (R), (S), (X), (Z) and (EE); 25.8(N); 

25.9(H)(2)(b) and (e); 25.9(H)(3)(a) and (c); 25.9(K)(l); 25.9(L); 25.9(L)(l), (16), (20), 

(29), (30), (3 l)(d), (32)(a), (32)(a)(iv), (32)(c), 32(c)(i)-(iii) and (38); 25.9(M)(l)(b); 

25.9(N); 25.9(0); 25.10(0)(1), (4), (4)(a)-(b); 25.IO(E)(l)-(3); 25.lO(F) and (F)(l), 

25.lO(G), (H), (J) and (K); 25.1 l(F), (F)(2) and (F)(5); 25.14(P); 25.15(B); 25.15(C)(2)(o), 

(C)(8) and (C)(9); 25.l S(D){I) and (a)-(d); 25.1 S(E); 25.1S(J)(6); 25.15(K) and (1)-(3); 

25. l 5(L)(l )-(8); 25. l 5(N); 25. l S(S); 25. l 6(C); 25.17(A), (A)(l )-(2), (A)(7) and (A)(8); and 

25.21 (A). 

• OeletionofSections: 25.4(R); 25.15(C)(6); 25.16(P)(10); and 25.15(R)(8). 

" Addjtion of new Sections: 25.4 (S), (T) and (U); 25.7(G); 25.15(0)(2); 25.15(.J)(IO); and 

25.1 S(T). 

• Minor language clarifications in Sections: 25. l(D); 25.8(B), (G), (K) and (O); 25.9(0); 

25.9(L)(3), (6), (11), (14), (19), (24), (25), (32)(1)(iii), and (33); 25.10; 25.12(A); 25.14(A), 

(0), (E)(2)(b), (F)(2), (G) and (O); 25. l 5(C)(4); 25.15(0)(3)-(4); 25.1 S(J); 25. l 5(P)(6); 

25.17(A)(4); 25.17(B); and 25.21(C)(l). 

BE JT FURTHER RESOLVED, the Stockbridge-Munsee Tribal Councjl directs that the 

amendments to Chapter 25 be forwarded to the National Indian Gaming Commission for approval 

pursuant to 25 U.S.C. § 2710(e). 

CERTIFICATION 

I, the undersigned, as Secretary of the Stockbridge-Mw1see Tribal Council, hereby certify 

that the Council is composed of 7 members, of whom 6, constituting a quorum, were present at a 

meeting duly called, noticed, and held on the 1611' day of February, 2016, that the foregoing 

resolution was duly adopted at such meeting by a vote of 5 for, _Q_ against, and _Q_ abstaining. 
CHAPTER25 

STOCKBRIDGE-MUNSEE TRIBAL LAW 

GAMING ORDINANCE 

Section 25:1 

Section 25 .2 

Section 25.3 

Findings, Purposes And Policy 

Interpretation 

Ownership Of Gaming 

Section 25.4 Definitions 

Section 25.5 Use Of Gaming Revenue 

Section 25 .6 Handling Of Gaming Receipts 

Section 25.7 General Provisions 

Section 25.8 Tribal Council, Powers And Duties 

Section 25.9 Mohican Gaming Commission 

Section 25 .10 Powers, Duties And Limitations: 

Casino General Manager 

Section 25.11 Compliance Deprutment 

Section 25.12 Audit 

Section 25.13 Protection OfThe Environment And 

Public Health And Safety 

Section 25.14 

Section 25.15 

Section 25.16 

License 

Licensing Of A Gaming Facility 

Employee Gaming Licenses 

Tribal Gaming Services Vendor 

Section 25.17 General Provisions Governing 

Operation Of Tribally Owned Or Tribally Operated 

Gaming Facility 

Section 25.18 Conflict Of Interest 

Section 25 .19 Conduct Of Games 

Section 25.20 Sale Of Alcohol 

Section 25.21 Jurisdiction And Enforcement 

'Section 25.22 Notice For Service 

Section 25.23 Severability 

A law to authorize, license and regulate certain fonns of gaming, including Class II 

and Class 111 gaming, within the jurisdiction of the Stockbridge·Munsee Community on its 

Wisconsin Reservation. 

SECTION 25.l F1NDINGS, PURPOSES AND POLICY 

(A) Findjngs. The Stockbridge·Munsee Tribal Council on behalf of the Stockbridge-Munsee 

Tribe finds that: 

(1) Tribal regulation and control of gaming activity within the jurisdiction of the 

Stockbridge-Munsee Tribe is essential for the protection of public health and welfare, and 

the interests of the Tribe and the residents of and visitors to the tribal community, and such 

other areas as may be used for tribal gaming. 

(2) The Tribe has the legal authority to lice.nse and regulate all gaming activity not 

specifically prohibited by federal law and which is not, a.s a matter of criminal law and 

public policy, prohibited by state law, within the jurisdiction of the Tribe. 

(3) It is essential that the Tribe regulate gaming in a manner commensurate with 

applicable federal and tribal law and policy, including any Tribal/State Gaming Compact. 

(4) Tribal needs include employment opportunities, job and skills training, housing, 

quality health care, educational opportunities, social services, law and order, public safety 

and judiciary, infrastructure, and economic diversification. 
(5) Tribal operation and licensing of gaming activities within the jurisdiction of the 

Tribe are one means of generating revenue to address the needs of the Tribe. 

(B) Purposes. The purposes of this Ordinance are to: 

(l) Regulate, control and license the operation of all gaming within the jurisdiction of the 

Stockbridge-Munsee Tribe. · 

(2) Make clear and explicit lhal a lribal license lo operate a gaming activity, to provide 

gaming related services or equipment or to work as a key employee is a revocable privilege, 

not a right or a property interest . 

(3) Ensure that the operation of tribally regulated gaming will continue as a means of 

generating tribal revenue. 

(4) Ensure that tribally regulated gaming is conducted fairly and honestly by both gaming 

operators and players and that it remains free from corrupt, incompetent, unconscionable 

and dishonest persons and practices. 

(5) Promote, strengthen and diversify tribal economic development and self-detennination 

and enhance employment opportunities for its members. 

(6) Generate revenue to strengthen and improve tribal self-government and the provision of 

tribal governmental services. 

(7) Ensure that the tribal gaming laws are strictly and fairly enforced against all persons 

involved in gaming activities within the jurisdiction of the Tribe. 

(8) Ensure that the Tribe provides a fair and impartial forum for the resolution of gaming 

disputes. 

(C) Tribal Policy of Self-Government. The Tribe is firmly committed to the principle of tribal selfgovernment. Consistent with federal policy, tribal government provides a wide range of public 

services, including general governmental services, maintenance of peace and good order 

establishment of educational systems and programs and promotion and regulation of economic 

activities within the sovereign jurisdiction of the Tribe. 

(D) Tribal Gaming Policy. The establishment, promotion and operation of gaming is necessary and 

desirable, provided that such gaming is regulated and controlled by the Tribe pursuant to tribal and 

federal law and any tribal-state gaming compact entered into pursuant to the IGRA, anti lhal all 

proceeds of such gaming are used for the benefit of the Tribe as required by the IGRA and tribal 

law. When operated in accordance with the provisions of this Ordinance, such gaming will be 

conducive to the general welfare of all residents in the community where such gaming is conducted. 

SECTION 25.2 INTERPRETATION 

This Ordinance shall be deemed a reasonable and proper exercise of police power of the 

Stockbridge-Munsee Tribe for the protection of the public health, welfare and safety of the people 

2 
living on lands under the jurisdiction of the Stockbridge-Munsee Tribe and all those who enter said 

lands for lawful purposes. The provisions of this Ordinance shall be liberally construed for 

accomplishment of this purpose. 

SECTION 25.3 OWNERSHIP OF GAMING 

The Stockbridge-Munsee Tribe shall be the sole operator~ conductor, manager and owner of 

all gaming enterprises on tribal lands, except that in those cases where the Tribe may deem it 

appropriate to enter into a management contract, it shall have the authority to do so, in a manner 

consistent with federal laws governing the tetms and approval of such contracts, and provisions of 

this Ordinance that may apply. 

SECTION 25.4 DEFINITIONS 

In this Ordinance, except where otherwise specifically provided or where the context 

otherwise requires, the followin& terms and expressions shall have the following meanings: 

(A) "Ancillary Facility" means any non-gaming facility attached to or related to the Gaming 

Facility, such as a retail shop, restaurant, hotel, campground or other supporting facilities under the 

control of the General Manager. Ancillary Facilities are subject to regulation by the StockbridgeMunsee Community~ but are not gaming activities subject to regulation under the Indian Gaming 

Regulatory Act, the Tribal/State Gaming Compact, or by the Gaming Commission. 

(B) ''Ba1Ting Offense" means convictions or circumstances pertaining to an individual cir a 

vendor that prevents them from obtaining or retaining an employee gaming or vendor license, more 

fully described in the licensing sections of this Ordinance particularly the Standards of Denial of a 

Primary Gaming License at Section 25.15 (J). 

(C) "Cheating" means operating or playing any game in a manner in violation of the written or 

commonly understood rules of the game, with the intent to create for oneself or for someone in 

privity with one an advantage over and above the chance of the game, and is subject to civil and 

administrative penalties consistent with this Ordinance. 

(D) "Class II gaming'' means: 

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

other technologic aids are used in connection therewith): 

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

numbers or other designations, 

(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 a previously designated 

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

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

games similar to bingo, and 

3 
(2) Non-Banking Card games that: 

(a) Are explicitly authorized by the laws of the State, or 

(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 or periods of 

operation ofsuch card games or.limitations on wagers or pot sizes in such card 

games. Class II gaming does not inelude any banking card games, including 

baccarat, chemin de fer, or blackjack (21 ), or electronic or electromechanical 

facsimiies of any game of chance or siot machines of any kind. 

(E) "Class III gaming" means all forms of gaming that are not Class I gaming or Class U 

gaming, and for purposes of Stockbridge-Munsee Gaming facilities, atiy of the Class III games 

permitted by a Tribal/State Compact entered into by the Tribe with a state. 

(F) "Compact" means a gaming compact between the Tribe and the State of Wisconsin, or such 

other state as might apply, authorized by the Indian Gaming Regulatory Act. 

(G) .. Compliance Department" means an investigative entity created by the Tribal Council to 

conduct background invesiigations for ihe tribai gaming iicensing process, and other investigations 

as directed by Council. The Compliance Department is deemed to be an agent of the Commission 

while carrying out its investigative activities for licensing purpose and while conducting any other 

duties at the request of the Commission 

(H) "Council" or "Tribal Council" means the duly elected governing body of the StockbridgeMunsee Tribe. 

(I) "Fraud" means intentional deception resulting in an injury to another. Included in this 

definition, but not limited to, are those crimes and misdemeanors involving bad check writing, 

embezzlement, insurance fraud and welfare fraud. 

(J) "Gaming Commission" means the Mohican Gaming Commission as established pursuant to 

this Ordinance. 

(K) "Gaming Enterprise" or "Gaming Facility" means the Mohican North Star Gaming and 

Resort, and any other tribal gaming facility in Wisconsin that shall be operated by the Tribe, 

pursuant to its Constitution, adopted under Section 16 of the Indian Reorganization Act. No tribal 

gaming enterprises are nor shall be organized under the Federal Corporate Charter. 

(L) "Gaming Operator" means the Stockbridge·Munsee Community, represented by the duly 

elected Tribal Council, or any entity licensed by the Commission to operate gaming facilities for the 

Stockbridge-Munsee Community. 

(M) "Gaming Related Contract" means any agreement under which the Tribe procures for 

gaming any materials, supplies, equipment or services that are unique to the operation of gaming 

and not common to ordinary tribal operations, consistent with the Tribal/State Compact. 

4 
(N) "Gaming Related Contractor" means any contractor, service provider. or vendor, individual 

or entity, that provides gaming materials, supplies, equipment or services that are unique to the 

operation of gaming and not common to ordinary Tribal operations. 

(0) "Gaming Services Vendor" see "Gaming Related Contractor." 

(P) "Cieneral Manager" or '·Manager" is a Tribal Council hired position responsible for managing 

the day-to--day business of a tribal gaming enterpri s~. Each gaming facility shall have a General 

Manager. 

(Q) "Gross Gaming Proceeds" means any money collected or received from any gaming activity. 

(R) "Gaming Management Contract" means any contract, subcontract or collateral agreement 

between the Tribe and a contractor or between a. contractor and a subcontractor if such contract or 

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

(S) "IGRA" refers to the Indian Gaming egu ~tory Act, Public Law 100-497, 102 Stat. 2426, 

25 U.S.C. Section 2710, et. seq. (1988), as amended. 

(T) "Key Employee" for the purposes of this Ordinance means any person employed by a 

Gaming Facility, but shall not include any person employed by an Ancillary Facility. This 

definition includes the following employees: 

(l) Employees who perform one or more of the following functions: 

(a) Bingo caller and Bingo Department personnel; 

(b) Slot Department personnel; 

(c) Director of Security and all security guards working within the Gaming Facility; 

( d) All surveillance officers; 

(e) Custodian of gaming supplies or gaming cash, including CageNault personnel; 

(t) Pit boss; 

(g) Table games dealer and personnel; 

(h) Casino hosts; 

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

accounting records within such devices (including Finance, Count, and Slots 

personnel); 

G) Floor Manager and other gaming directors or gaming managers; 

(k) Croupier; and 

(I) Count room supervisor. 

(2) If not otherwise included, any person working in the Gaming Facility whose total 

cash compensation is in excess of $50,000 per year; 

5 
(3) If not otherwise included, any person with supervisory authority ov:er key 

employees; 

( 4) If not otherwise included, any employee with access to gaming supplies, gaming 

cash, confidential records, confidential reports, or other confidential infonnation about the 

Gaming Facility or key employees; and 

(5) If not otherwise included, any other person identified by the Tribe as a key 

employee. 

(U) •'NlGC" refers to the federal National Indian Gaming Commission. 

(V) "Net Gaming Revenues" for purposes of this Gaming Ordinance and as consistent with the 

definition in IGRA, means gross gaming revenues of an Indian gaming activity less amounts paid 

out as, or paid for, prizes and total operating expenses, excluding management fees. 

(W) "Primary Gaming License" means a permanent gaming license subject to the renewal 

requirements, revocation/suspension provisions, and administrative penalties of this Ordinance. 

(X) "Primary Gaming Management Official" means: 

(1) The person having Gaming management responsibility for a Gaming management 

contract; 

(2) Any person who has authority over gaming; 

(a) To hire and fire key employees, or 

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

(3) The chief financial officer or other person who has financial management 

responsibility; or 

(4) The four (4) most highly compensated employees at the Gaming facility 

(Y) "Provisional Gaming License" means the "temporary gaming license" issued to a key 

employee by the Commission pursuant to Section 25.15 (F) of this Ordinance. I 

(Z) "Suitable" means if a person, through a background investigation is detennined by the 

Commission to be a person whose 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 of gaming, or 

create or enhance the dangers of unobjectionable, unfair, or illegal practices, methods, and activities 

in the conduct of gaming or the carrying on of the gaming business and financial arrangements 

incidental thereto or means that an individuai or vendor has met the requirements set forth by the 

Commission to obtain or retain an employee gaming or vendor license. 

6 
(AA) "Tribe" mea.1s the Stockbridge-Munsee Community, a federally recognized Indian Tribe 

acting through a duly elected Tribal Council pursuant to the tribal constitution, unless the context 

clearly indicates a general meaning. 

(BB) "Tribal Court" means the Stockbridge-Munsee Tribal Court system. 

(CC) "Tribal Lands" means: 

(1) all lands within the limits of any Indian reservation; and 

(2) any lands title to which is either held in trust by the United States for the benefit of any 

Indian tribe or individual subject to restriction by the United States against alienation and 

over which an Indian tribe exercises governmental power. 

(DD) "Tribal Gaming Waiver" means a waiver issued by the Tribal Council pursuant to the Tribal 

Gaming Waiver Policy. 

(EE) "Tribal Gaming Waiver Policy" means that policy approved by the Tribal Council and 

implemented by the Mohican Gaming Commission and the Compliance Department, that waives a 

gaming applicant's criminal conviction(s) that would otherwise act as a bar to obtaining or retaining 

an employee gaming license. 

SECTION 25.5 USE OF GAMING REVENUE 

(A) Net revenues from Class II and Class III Gaming shall be used only for the following 

purposes: 

(1) To fund tribal government operations and p.rograms. 

(2) To provide for the general welfare of the Tribe and its members. 

(3) To promote tribal economic development. 

(4) To donate to charitable organizations. 

(5) To help fund operations of local government agencies. 

(B) If the Tribe elects to make per capita payments to tribal members, it shall authorize such 

payment only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. 

Section 271 O(b )(3 ). 

SECTION 25.6 HANDLING OF GAMING RECEIPTS 

(A) All monies collected or received from the operation of a tribal gaming enterprise shall be 

deposited in a spcciaJ bank account(s) of that gaming enterprise, which shall contain only such 

money. All operating expenses shaJI be withdrawn from such account{s) by c-0nsecutively 

numbered checks duly signed by the Casino General Manager or his or her Commission-approved 

designee, and a person(s) designated by the Tribal Council. 

7 
(B) Any cash prize may be paid by check. Such checks shall be signed by the Casino 

General Manager and a person(s) designated by the Tribal Council. 

(C) The Casino General Manager shall ensure that .the gaming enterprise complies with the 

provisions of Section Xlll of the Tribal-State Gaming Compact pertaining to taxes. 

(D) The Casino General Manager shall insure that the gaming facility complies with the 

applicable provisions of Title 31 as amended (The Bank Secrecy Act). 

SECTION 25.7 GENERAL PROVISIONS 

(A) Authority and Sovereign Powers and Responsibilities. This Ordinance is enacted 

pursuant to the inherent sovereign powers of the Tribe and powers expressly delegated to the Tribal 

Council pursuant to the terms of the Stnckhridge-Munsee Trihal Constitution. 

(B) Application of Federal Policy. In 1970, President Nixon announced the policy of the 

United States Government to promote sclf-detennination for Indian tribes. At the heart of this 

policy is a commitment by the federal government to foster and encourage tribal self-government, 

economic development and self-sufficiency. That·commitment was signed into law in 1975 as the 

Indian Seif-Determination and Education Assistance Act, Public Law 93·638, 88 Stat. 2203, 25 

U.S.C. Sections 450-450n. In 1983, President Reagan reaffirmed that commitment in his Indian 

Policy Statement, encouraged tribes to reduce their dependence on federal funds by generating more 

of their own revenues and pledged to assist tribes in that endeavor. In 1988 the federal commitment 

to promote tribal economic development, tribal self·sufficiency and strong tribal government was 

expressly legislated in the Indian Gaming Regulatory Act ("IGRA"), Public Law 100-497, 102 Stat. 

2426, 25 U.S.C. Section 2710, et. seq. (1988), which recognized the inherent sovereign right of 

tribes to operate and their exclusive right to regulate on Indian lands gaming that is not specifically 

prohibited by federal law and is conducted within a state that does not, as a matter of criminal law 

and public policy, prohibit such gaming, and provided a federal statutory basis for operation and 

regulation of Indian gaming. 

(C) Stockbridge-Munsee Policy of Self-Government. The Tribe is finnly committed to the 

piincipal of trihal self-government. Consistent with federal policy, tribal government provides a 

wide range of public services, including general governmental services, the maintenance of peace 

and good order and the promotion and regulation of economic activities within the sovereign 

jurisdiction of the Tribe. · 

(D) Title, Repeal of Prior Laws, and Effect of Repeal. This Ordinance may be cited as the 

Stockbridge-Munsee Gaming Ordinance. The Ordinance shall be appropriately inserted in the 

Stockbridge-Munsee Book of Tribal Ordinances. AH Ordinances of the Tribe that pertain to gaming 

and are in effect as of the effective date of this revised Ordinance are hereby repealed, and all other 

tribal laws or parts Lhereof inconsislenl with the provisions of this Ordinance are hereby repealed. 

Repeal of this Ordinance or any portion thereof shall not have the effect of reviving any prior tribal 

law heretofore repealed or suspended, unless otherwise stated in this Ordinance. 

(E) Construction. In construing the provisions of this Ordinance, unless the context otherwise 

requires, the following rules shall apply: 

8 
(l) This Code shall be liberally construed to effect its purpose and to promote substantial 

justice. 

(2) Words in the present tense include the future and past tenses. 

(3) Words in the singular number include the plural, and words in the plural number include 

the singular. 

(4) Words of the masculine gender or neutral gender include masculine and feminine 

genders and the neuter. 

(F) Severability. If any section of this Ordinance is invalidated by a court of competent 

jurisdiction, the remainintsections shall not be affected thereby. 

(G) Amendments. All amendments to this ordinance shall have prospective effect and any 

amendment to this ordinance shall not have any effect on the employmentstatus of any employee at 

the time the amendment is approved. 

SECTION 25.8 TRIBAL COUNCIL, POWERS AND DUTIES 

(A) This Ordinance is authorized and adopted by the Stockbridge-Munsee Tribal Council 

pursuant to its powers under the tribal constitution. 

(B) The Stockbridge~Munsee Tribal Council may further delegate responsibilities under the 

constitution to subordinate organizations in order to carry out the purposes and tenns of this 

Ordinance and to assure compliance with the IGRA, the Tribal/State Compact and all other 

regulations, policies and proredures promulgated therefrom. 

(C) The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into 

agreements or compacts with the federal government, states, tribes, counties, municipalities and 

other local governments or entities. 

(D) The Stockbtidge·Munsee Tribal Council shall retain the exclusive power to waive sovereign 

immunity and nothing in this Ordinance is intended to be a waiver of sovereign immunity by the 

Tribal Council to pennit itself or its agents acting on its behalf to be sued in any court. 

(E) The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into 

contracts and agreements effecting any sale, lease, encumbrance or other disposition of tribal lands, 

interest in lands or other assets of the Tribe. 

(F) The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into 

business contracts and agreements pertaining to the operation of gaming, except in those cases 

where that power has been expressly delegated to another entity, and in such cases of delegation, by 

the Tribal Council shall have review of said contracts prior to signing. 

9 
(G) The Tribal Council shall establish the use of gaming revenues transferred·from the gaming 

enterprises in accordance with this Ordinance and applicable laws for use of such gaming revenues 

according to tribal needs and requirements for continued growth. 

(H) The Tribal President shall be the spokesperson for the Tribe for all gaming matters and shall 

respond to the media on gaming issues, but may delegate this role as necessary and reasonable. 

(I) The Tribal Council has authority to employ and dismiss Gaming Commissioners, pursuant to 

the standards for employment and dismissal set forth in Section 25.9 (K). 

(J) The Tribal Council shali retain authority to hire the Casino General Manager, and to approve 

any management contractors. The Tribal Council shall also retain authority to terminate or 

discipline this position, such tennination not to be arbitrary but done pursuant to criteria set forth in 

this Ordinance or in separate policies and procedures, or pursuant to an approved management 

contract. 

(K) The Tribal Council shalf review all monthly financial reports forwarded from the Gaming 

Management or other designated entity, and have final approval of the annual gaming operating 

budget, as well as revisions that may be recommended by Gaming Management or another 

designated entity. 

(L) The Tribal Council shall have final approval over any proposed structural changes to 

facilities in which the gaming enterprise is operated. 

(M) The Tribal Council, consistent with an approved gaming waiver policy, shall have the final 

authority in granting or denying a waiver request from a key employee or applicant with a bar to 

licensing. 

(N) The Tribal Council shall create a Compliance Department to perform background 

investigations and other gaming related duties as requested by the Tribal Council or Gaming 

Commission. All Compliance employees shall be subject to the same background investigation 

standards as the Gaming Commissioners. Compliance Employees shall be deemed to be agents of 

the Gaming Commission while carrying out their duties related to gaming license background 

investigations. and any other duties requested by the Tribal Council or Gaming Commission. The 

Compliance Department may also be used in other tribal regulatory or investigative processes as 

directed by the Tribal Council, so long as such activities are not in conflict with their gaming related 

duties. 

(0) All policies and regulations developed pursuant to this Ordinance shall be su~ject to final 

approval by Tribal Council resolution before becoming law. The Tribal Council, acting on behalf 

of the Tribe by virtue of its elected positions, is deemed to be the •'Gaming Operator" for purposes 

of this Ordinance. As Gaming Operator, the Tribal Council is responsible for complying with all 

Gaming Operator licensing requirements required by federal law, and those requirements and 

regulations officially adopted by the Commission. Failure to comply with said requirements and 

any duly adopted regulations may result in fines against the Tribal Council, suspension and or 

revocation of their Gaming Operator's License. 

Revocation of a Gaming Operator License will subject the Tribe to the jmisdiction of the 

NIGC which has the authority to close a game or operation for failure to comply with gaming laws 

10 
and the Tribal Council will strive to avoid subjecting the Tribe to enforcement actions from the 

NIGC. 

SECTION 25.9 MOHICAN GAMING COMMISSION 

(A) Establishment. The Tribe hereby creates and establishes the Mohican Gaming Commission 

(hereinafter "Commission"), a subordinate organization, as a governmental subdivision of the Tribe, 

while reserving the right to review actions of this body. 

(B) Location and Place of Business. The Commission shall be a resident of and maintain its 

headquarters, principal place of business and office(s) on the Stockbridge-Munsee Reservation or 

lands held in trust for the benefit of the Stockbridge-Munsee Community. 

(C) Duration. The Commission shall have perpetual existenee and succession in its own name, 

unless dissolved by the Tribal Council pursuant to Tribal law. 

(D) Attributes. As a governmental subdivision of the Tribe, the Commission has been delegated 

the right to exercise one or more of the substantial governmental functions of the Tribe, including 

rule making authority for the purpose of regulation of tribal gaming pursuant to the IGRA, tribal 

law and the Tribal/State Compact. It is the purpose and intent of the Tribe in creating the Gaming 

Commission that the operations of the Commission be conducted on behalf of the Tribe for the sole 

benefit and interests of the Tribe, its members and the residents of the Reservation and communities 

surrounding the ttibal gaming enterprises. In carrying out its purposes under this Ordinance, the 

Commission shall function as a branch of the tribal government. Notwithstanding any authority 

delegated to the Commission under this Ordinance, the Tribe reserves to itself the right to bring suit 

against any person or entity in its own right, on behalf of the Tribe or on behalf of the Commission 

whenever the Tribe deems it necessary to protect the sovereignty, rights and interests of the Tribe or 

the Commission. 

(E) Sovereign Immunity of the Commission. The Commission and their duly appointed agents 

are hereby clothed with all the privileges and immunities of the Tribe, except as specifically limited 

by this Ordinance or other tribal law, including sovereign immunity from suit in anytribal, federal 

or state court. Except as provided in this section, nothing in this Ordinance nor any action of the 

Commission shall be deemed or construed to be a waiver of sovereign immunity from suit of the 

Commission or its duly appointed agents, or to be a consent of the Tribe or the Commission to the 

jurisdiction of the United States or of any state or any other tribe with regard to the business affairs 

of the Tribe or the Commission to any cause of action, case or controversy, or to the levy of any 

judgment, lien or attachment upon any property of the Tribe or of the Commission, or to be a 

consent of the Tribe or the Commission or its duly appointed agents, to suit in respect to any Indian 

land, or to be a consent of the Tribe or the Commission to the alienation, attachment or 

encumbrance of any such land. The Tribal Council retains authority to waive the sovereign 

immunity of the Commission and its agents. 

(F) Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as a federally 

recognized Indian tribe with respect to the existence and activities of the Commission are hereby 

expressly reserved, including sovereign immunity from suit in any tribal, federal or state court. 

Nothing in this Ordinance nor any action of the Commission shall be deemed or construed to be a 

waiver of sovereign immunity from suit of the Tribe, or to be a consent of the Tribe to the 

11 
jurisdiction of the United States or of any state or of any other tribe with regard to the busi~ess or 

affairs of the Commission or the Tribe, or to be a consent of the Tribe to any cause ofaction, case, 

or controversy, or to the levy of any judgment, lien, or attachment upon any property of the Tribe, 

or to be a consent to suit in respect to any Indian land, or to be a consent to the alienation, 

attachment, or encumbrance of any such land. 

(G) Assets of the Commission. The Commission shall have only those assets specifically 

assigned to il by the Tribal Council or acquired in its name by the Tribe or by the Conimission on 

its own behalf. No activity of the Commission nor any indebtedness incurred by it shall implicate 

or in any way involve or effect any assets of tribal members or the Tribe not assigned in writing to 

the Commission. 

(H) Membership. 

(1) Number of Commissioners. The Tribal Council shall employ the number of 

Commissioners necessary to perform the duties of the Commission. 

(2) Qualification of Commissioners. 

(a) Shall be an enrolled member at least twenty-one (21) years of age. 

(b) Shall have at least three to five (3-5) years of experience in at least one of the 

following areas: 

(i) Business Management 

(ii) Economic Development 

(iii) Marketing 

(iv) Law 

(v) Finance/Accounting 

(vi) Security/Law Enforcement 

(vii) Gaming 

(c) Shall not serve in any elected government position in the Stockbridge-Munsee 

Tribe. 

(d) No individual shall be eligible for employment with or to continue services on 

the Commission who has any direct financial interest in, or management 

responsibiiity for any gaming activity operated by the Tribe, or any direct or 

indirect interest in any gaming-related contract with the Tribe. 

(e) No individual shall be eligible for employment with or to continue services on 

the Commission who has any conflict ofinterest as defined in this Ordinance, 

UNLESS such conflict has been fully disclosed to the entire Tribal Council and 

the Tribal Council has agreed, in writing, to pennit the individual to be appointed 

or to continue with his or her term. 

(f) No individual shall be eligible for employment with or to continue services on 

the Commission who is an employee of any tribal gaming enterprise or of 

another gaming enterprise outside the Tribe's ownership and/or management. 

12 
(3) Background Check. Prior to the time any Commissioner takes office on the 

Commission, the Tribe shall perform a comprehensive background check on each 

prospective member. No person shall serve as a Commissioner if: 

(a) His or her prior activities, criminal record, if any, or reputation, habits or 

associations pose a threat to the public interest; or threaten the effective 

regulation and control of gaming; enhanc.e the dangers of unsuitable, unfair, 

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

carrying on of the gaming business and gaming financial arrangements 

incidental thereto; or 

(b) If he or she has been convicted of or entered a plea of guilty or no lo 

contendere (no contest) to a felony or any gaming offense in any jurisdiction 

or to a misdemeanor involving dishonesty, fraud, misrepresentation in any 

connection or any offense involving moral turpitude. 

(I} Meetings. 

( c) Applicants _for the Commission shall not be eligible for the Commission if 

their background investigation shows a criminal history. A tribal gaming 

waiver shall not act to rehabilitate the applicant for consideration for the 

Commission. Crimina l history, for purposes of this section shall mean any 

felony, any misdemeanor involving theft, fraud, misrepresentation or 

gambling related offenses. 

(1) Regular Meetings. The Commission shall hold at least one regular monthly meeting 

that shall take place on the date detennined by the Commission by-laws, or as otherwise 

determined by the Commission. 

(2) Special Meetings. Special meetings may be called at the request of the 

Tribal Council, Gaming Management, the Chairperson of the Commission, the Compliance 

Department or at least a majority of the members of the Commission. 

(3) Compensation of Commissioners. Commtssioners shall receive a salary set by the 

Tribal Council. 

(4) Quorum. A quorum for all meetings shall consist of a simple majority of 

Commission members. 

(5) Voting. All questions arising in connection with the action of the 

Commission shall be decided by majority vote. 

(6) Executive Session. No decisions shall be made in Executive Session. Use of executive 

session shall include, but not be limited to matters of personnel or other issues of a 

confidential or privileged nature. 

(J) Organization. The Commission shall develop its own operating procedures and shall elect 

from within itself a Chairperson to direct meetings, and such other officers as the Commission 

requires. 

13 
(K) Removal of Members and Filling Vacancies. 

( 1) Removal. A Commissioner may be removed by the Tribal Council for inefficiency, 

neglect of duty, misconduct in office, or for any conduct that threatens the honesty or 

integrity of the Commission or otherwise violates the letter or intent of this Ordinance. 

Except as provided below, no Commissioner may be removed without notice and an 

opportunity for a hearing before the Tribal Council, and then only after the Commissioner 

has been given written notice of the specific charges at least ten days prior to such hearing. 

At any such hearing, the Commissioner shall have the opportunity to be heard in 

person or by counsel and to present evidence on his or her behalf. If the Tribal Council 

determines that immediate removal of a Commissioner is necessary to protect the interests 

of the Tribe, the Tribal Council may immediately remove the Commissioner temporarily, 

and the question of permanent removal shall be determined thereafter pursuant to 

Commission hearing procedures. 

A written record of all removal proceedings together with the charges and findings 

thereon shall be kept by the Tribal Secretary for at least seven (7) years. 

(2) Vacancies. Jf any Commissioner shall die, resign, be removed, or for ariy reason be 

unable to serve as a Commissioner, the Tribal Council shall declare his or her position 

vacant and shali hire another person to fili the position. 

(L) Powers and Duties of the Commission. In furtherance, but not in limitation, of the 

Commission's purposes and responsibilities, and subject to any restrictions contained in this 

Ordinance or other applicable law, the Commission shall have the authority to issue citations and 

assess fines for violations of applicable gaming laws and to refer violations of the Ordinance to the 

Tribal Prosecutor for enforcement, consistent with this Ordinance and regulations drafted for that 

purpose and approved by the Tribal Council. All proposed citations or assessments of fines shall be 

reviewed by legal counsel and the Commission for legal sufficiency. The Commission is also 

authorized to exercise by majority vote the following powers in addition to all powers already 

conferred by this Ordinance: 

(1) Jurisdiction to issue, restrict, suspend, revoke and renew any licenses issued by the 

Commission. 

(2) To insure that investigations are conducted and to receive and review investigative 

reports from the Compliance Department, said Department created by the Tribal Council to 

conduct background investigations on applicants for licenses issued by the Commission or 

as otherwise may be required. Where necessary, to request additional information from the 

Compliance Department regarding such investigations in the regulatory process. 

(3) To insure that completed gaming applications and completed investigative reports for 

gaming management officials and key employees are forwarded to the NIGC prior to issuing 

a gaming license. 

(4) To review a person's prior activities, criminal record if any, reputation, habits and 

associations to make a finding concerning the suitability for licensing, to work for or do 

business with the tribal gaming enterprise(s) or to continue such employment or business 

14 
relationship. Such review shall include investigative reports provided to the Commission by 

the Compliance Department. 

(5) To issue separate license to each place, facility or location on tribal lands where the 

Stockbridge-Munsee Tribe elects to allow gaming. 

(6) The Commission shall obtain annual independent outside audits, pursuant to the terms 

of the Tribal/State Compact, and submit these audits to the NIGC as required by federal 

regulations, and to the State Gaming Board as required by the Compact, consistent with 

Section 25 .12. 

(7) To ensure that net revenues from any gaming activitie.s are used for the limited purposes 

set forth in the Tribal Gaming Ordinance. 

(8) To promulgate gaming regulations pursuant to tribal law and consistent with Section 

25.9 (M)(2) of this Ordinance. 

(9) To monitor and regulate all tribal gaming activities to ensure compliance with tribal 

law/regulations. The Commission shall have such access to tribal gaming facilities and to 

key employees as necessary in order to carry out this responsibility. 

(I 0) To interact with other regulatory and law enforcement agencies regarding the 

regulation of gaming, as necessary to fulfill their duties. 

(11) To be completely familiar with the IGRA, the federal regulations promulgated 

thereunder, the Tribal Gaming Ordinance, the Tribal/State Compact and related laws and to 

monitor the facility for compliance with those laws. 

(12) To conduct investigations of possible violations of any gaming laws or regulations and 

take appropriate action as authorized through this Ordinance or in regulations duly 

promulgated by the Commission and approved by the Tribal Council. 

(13) To provide independent information to the Tribe on the status of the Tribe's gaming 

activities. See Section 25.9 (L)(24) on reporting for more detail. 

(14) To issue oaths, take testimony and conduct hearings on regulatory matters, including 

all matters related to primary gaming management officials and key employee licenses or 

any other licenses issued by the Commission under this Ordinance. Hearings may also be 

held for licensing of gaming services vendors. 

(15) Be familiar with the minimum internal control standards or procedlU'es for all tribal 

gaming operations, including credit policies and procedures for acquiring supplies and 

equipment. 

(16) Establish any supplementary criteria for the licensing of primary gaming management 

officials, key employees and other employees, vendors or contractors subject to the approval 

of the Tribal Council. 

I 5 
( 17) Establish or approve standards for and issue licenses or permits to persons and entities 

who deal with the gaming operation(s) such as manufacturers and suppliers of machines, 

equipment and supplies, such license to be called a ''gaming services vendor license." 

( 18) To maintain records on licensees and on persons denied licenses including persons 

otherwise prohibited from engaging in gaming activities within the tribe's jurisdiction, 

consistent with federal law, the Tribal/State Compact requirements and this Ordinance. 

(19) To perform audits of gaming business transactions to ensure compliance with gaming 

regulations. 

(20) To establish, review, and if applicable, approve rules of new games consistent with the 

requirements of the Tribal/State Compact and other applicable laws, and audit games, tables, 

equipment, machines, cards, dice and chips or tokens used in the gaming operation. To audit 

the video surveillance standards. 

(21) To insure that a mechanism is in place to resolve patron disputes, and other problems, 

pursuant to the Tribal Gaming Ordinance and other tribal regulations and policies that may 

be in place regarding those issues. 

(22) With prior approvai oftht: Tribai Councii, l.o mak.t: appiicatiun a.nu acct=pt grants an<l 

other awards from private and governmental sources in carrying out or furthering the 

purposes of the Commission or the Tribe. 

(23) To exercise all authority delegated to it or conferred upon it by law and to take all 

action that shall be reasonably necessary and proper for carrying into execution the 

foregoing powers and alt of the powers vested in this Ordinanee as pennitted by the 

purposes and powers herein stated and that are deemed to be in the best interests of the 

Tribe, exercising prudent and good judgment, all in compliance with applicable law. 

(24) To require by regulation the filing of any records, fonns and reports and all other 

infonnation desired by the Council for implementation of this Ordinance relating to any 

gaming activity or gaming operation or any investigation as required by tribal law and the 

IGRA. The Commission shall submit to the Tribal Council on a regular basis minutes from 

all meetings and a monthly status report on the tribal gaming enterprise(s). 

(25) To provide for an internal system of record keeping with adequate safeguards for 

preserving confidentiality as deemed necessary by the Commission. All applications, 

background investigations shall be retained by the Compliance Department for at least seven 

years from the tennination of employment or business relationship and Commission 

decisions related to the licensing of primary gaming management officials, key employees 

or any other entity licensed by the Commission, shall bt: rt:tained in Commission files for a 

period of at least seven (7) years from termination of employment or business relationship. 

(26) To adopt a schedule of fees to be charged for gaming licenses issued pursuant to this 

Ordinance. 

16 
(27) To adopt a schedule of fees and charges for services rendered relating to transcripts 

and. the furnishing or certifying of copies of proceedings, files and records. 

(28) To compel obedience of its lawful orders by proceedings of mandamus or injunction or 

other proper proceedings in the name of the Tribe in Tribal Court or in any other court 

having jurisdiction of the parties and of the subject matter; provided that no suit shall be 

brought by the Commission without the prior explicit written approval of the Tribal Council 

after consultation with the Tribal attomey(s). This provision is not to be interpreted as a 

waiver of sovereign immunity by the Tribal Council for suit in Tribal Court but is intended 

to address all cases except those that might involve the Tribal Council as a Gaming 

Operator. 

(29) To discipline any licensee or other person participating in any gaming activity by 

ordering immediate compliance with this Ordinance or applicable regulations and to issue an 

Order of Temporary Suspension of any license issued under this Ordinance, consistent with 

the terms under this Ordinance governing such suspension, whenever the Commission is 

notified of a violation by any such person of this· Ordinance or any other applicable law. 

The Commission shall provide notice to the Tribal Council prior to suspension to the 

General Manager. 

(30) To issue an order of cease and desist to any ptimary gaming management official or 

key employee engaged in activities that may be detrimental to the gaming facilities, tribal 

gaming assets, public health and safety or any other interest of the Tribe. 

(31) Notice of Violation. The Commission may·issue a written notice of violation to any 

person for violations of any provision of this Ordinance, applicable federal law, applicable 

tribal law or the Tribal State Compact. A Notice of Violation shall contain: 

(a) A citation to tribal, federal or state requirement that has been or is being violated; 

(b) A description of the circumstances surrounding the violation, set forth in common 

and concise language; 

( c) Measures required to correct the violation; 

( d) A time no less than 15 days and no greater than 30 days for the recipient to 

complete the corrective measures referenced in subsection (c) above if the 

respondent cannot take measures to correct the violation immediately; and 

( e) Notice of rights of appeal. 

(32) Order of Temporary Closure. 

(a) With notice to the Tribal Council and simultaneously with, or subsequently to, 

the issuance of a notice of violation under Section 25.9(L)(31) of this part, the 

Commission may issue an order of temporary closure of all or part of the 

Gaming Facility operations if one or more of the following substantial 

violations are present: 

(i) The respondent fails to correct violations within the time permitted in 

a notice of violation. 

(ii) The gaming operation operates for business without a license. 

17 
(iii) The gaming operation operates for business without eith.er 

background investigation having been completed for, or tribal licenses 

granted to all key employees and primary gaming management 

officials as provided for in this Ordinance. 

(iv) The gaming operation refuses to allow an authorized representative of 

the Commission or another authorized tribal official to enter or 

inspect a gaming operation. 

(v) The gaming operation's facility is constructed, maintained or operated 

in a manner that threatens the environment or the public health and 

safety, in violation of a tribal ordinance, applicable federal law, or the 

Tribal State Compact. 

(b) Order effective upon service. The Tribal Council shall close the gaming 

operation, or that part of the operation indicated by the order, upon service of an 

order of temporary closure, unless the order provides otherwise. 

( c) Informal expedited review. Within seven (7) days after service of an order of 

temporary closure, the respondent may request, orally or in writing, info1mal 

expedited review by the Commission. 

(i) The Commission and if ne~ded to assist the Commission, a 

Compliance Officer or Internal Auditor shall complete the expedited 

review provided for by this puragrnph w~thin two (2) days after 

receipt of a timely request. 

(ii) The Commission shall, within two (2) days after the expedited review 

provided for by this paragraph: 

(aa) Decide whether to continue an order of temporary closure; 

and 

(bb) Provide the respondent with an explanation of the basis for 

the decision. 

(iii) Whether or not a respondent seeks infonnal expedited review under 

this paragraph, within thirty (30) days after the Commission serves an 

order of temporary closure the respondent may appeal the order to the 

Tribal Court under the Tribal Administrative Appeals Ordinance. 

(33) To suspend or revoke the Gaming Operator's License held by the Tribal Council, 

consistent with suspension and revocation procedures, and to repott the suspension or 

revocation of said license to the NIGC who has the authority to close tribal gaming facilities 

for failure to comply with federal regulations. 

(34) To carry out the procedures necessary to obtain a certificate of self-regulation under 

the lGRA, upon request and approval by the Tribal Council. 

(35) Annual Budget. The Commission shalJ prepare an annual operating budget for all 

Commission activities and present it to the Tribal Council within the required time frame. 

(36) Confidentiality. The Commission shall maintain confidentiality of infonnation 

specified as confidential, including information gathered in the background and licensing 

process and any financial infonnation regarding performance of the gaming enterprise. 

Violation of this confidentiality provision shall be subject to disciplinary action from the 

18 
Tribal Council and may be deemed "cause" for suspension or termination from the 

Commission. 

(37) Gaming Waiver Hearings. The Compliance Department shall accept applications for 

gaming waivers from those persons interested in obtaining or retaining an Employee 

Gaming License, but who have a bar to licensing. The Compliance Department shall 

provide to the Commission a report stating whether the applicant is eligible for a gaming 

waiver. The Commission shall conduct the gaming waiver hearing if necessary or requested 

by the applicant and forward a recommendation to the Tribal Council regarding the 

applicant's suitability to receive a gaming waiver. The Tribal Council shall make the final 

decision on waiver applications. 

(38) Advisors. To retain professional advisors such as attorneys, consistent with Tribal law 

and practices. 

(M) Commission Regulations. 

(1) Commission Regulations necessary to carry out the orderly performance of its duties 

and powers shall include, but shall not be limited to: 

(a) Internal operational procedures of the Commission and its staff; 

(b) A regulatory system to monitor all gaming a.ctivity, including accounting, 

contracting, gaming management arid supe~ision, not to be confused with dayto-day management activities. The Commission shall meet the standards of 25 

CFR Part 518 to become a self-regulated entity for purposes of regulating Class 

ll gaming. Upon successful approval by the NIGC, the Commission shall 

regulate Class II gaming as a self-regulated entity; 

( c) The conduct of inspections, hearings, enforcement actions and other powers of 

the Commission authorized by this Ordinance. 

(2) No regulation of the Commission shall be of any force or effect unless it is adopted by 

the Commission by written resolution and subsequently approved by a resolution of the 

Tribal Council and filed for record both in the office of the Tribal Secretary and in the 

Office of the Clerk of the Tribal Court. 

(3) The Tribal Court and any other court of competent jurisdiction shall take judicial notice 

of all Commission regulations adopted pursuant to this Code, and not inconsistent with any 

other tribal or federal law. 

(N) Right of Entrance; Inspection of Books and Records. The Commission and duly 

authorized officers, employees and agents of the Commission, may enter upon any premises of any 

Gaming Operator, Gaming Facility or Ancillary Facility for the purpose of making inspections and 

examining the accounts, books, papers and documents of such party with the proper sign in and out 

along with escort in secured areas. The Gaming Operator, Gaming Facility or Ancillary Facility 

shall facilitate such inspection or examinations by giving every reasonable aid to the Commission 

and to any properly authorized officer, employee or agent of the Commission. 

19 
(0) Right of Entrance; Inspections of Gaming Operations. A Commissioner or a member of 

the Commission's staff shall visit each tribally owned or tribally operated Gaming Facility regularly 

during nonnal hours of operation for the purpose of monitoring its operation. Such visits shall be 

unannounced. 

(I) Commission Audits. The Commission and Internal Auditor shall be provided necessary 

access and cooperation from all Gaming Facility and Ancillary Facility personnel when 

conducting both scheduled and unscheduled audits or investigations. 

(P) Investigations. The Commission or its designated agent, upon complaint or upon its own 

initiative or whenever it may deem it necessary in the perfonnance of its duties or the exercise of its 

powers, may investigate and examine the operation and premises of any facility that is subject to the 

provisions of this Ordinance. The investigation may be conducted by the Commission itself, or by 

any entity the Commission may deem best suited for the specific investigation. If the Commission 

designates a separate entity to conduct.an investigation on its behalf, such entity shall be considered 

an agent of the Commission while carrying out its designated duties. 

(Q) Hearings. Pursuant to Commission Hearing Proceedings, the Commission may hold any 

hearing it deems to be reasonably requir.ed in administration of its powers and duties under this 

Ordinance. No hearing shall ·be held without affording the appropriate due process rights. 

(R) Appointment of Examiner; Power of Examiner. The Commission may appoint any person 

qualified in the law or possessing knowledge or expertise in the subject matter of the hearing to act 

as examiner for the purpose of holding any hearing which the Commission or any member thereof 

has power or authority to hold. Any such appointment shall constitute a delegation to such examiner 

of all powers of a Commissioner under this Ordinance with respect to any such hearing. The 

Commission remains responsible for rendering the decision. 

(S) Bank Account for Tribally Owned or Tribally Managed Gaming Facility. The 

Commission shall ensure that the Tribe opens a separate bank account for each tribally owned or 

tribally managed gaming activity, and all money of such facility shall be deposited in that account. 

The Commission shall ensure that the check writing authority designated in Section 25.6 of this 

Ordinance is followed. Check writing authority shall not include wire transfer authority. 

(T) Quarterly Report of Gaming General Manager Reports. The Commission shall file a 

quarterly report with the Tribal Council and make such comments as it deems necessary to keep the 

Council fully informed as to the status of its various gaming activities. 

(U) Travel. The Gaming Commission shall notify the Tribal Council and Gaming Management 

regarding travel plans. Travel plans shall be made taking into consideration the best duties and 

responsibilities of the Commission, the best interest of the gaming enterprise and the amount of 

money for such trave_l available in the Commission's operating budget. All travel shall be subject to 

review by the Tribal Council. 

20 
SECTION 25.10 POWERS, DUTIES AND LIMITATIONS: CASINO GENERAL 

MANAGER 

(A) Each tribal gaming enterprise shall have a Casino General Manager ("Manager") authorized to 

manage the gaming enterprise on a day-to-day basis and to facilitate quick and efficient business 

decision-making, while respecting the broad guidelines of the Commission and the Tribal Council. 

The General Manager shall have such authority as the Tribal Council shall delegate. 

The General Manager shall be hired by the 'f ribal Council. 

The General Manager shall undergo a background check by the Compliance Department and 

a licensing detem1ination through the Commission. The General Manager shall obtain a Provisional 

Gaming License prior to commencing work and a Gaming License in accordance with this 

Ordinance. 

The General Manager may be removed by the Tribal Council for cause. Grounds for 

removal must be clear and strictly limited to objective evidence of mismanagement or failure to 

adhere to policies and procedures or to tribal and federal laws and regulations. 

The General Manager shall be subject to a semi-annual and an annual review by the Tribal 

Council or an entity designated by the Council for that purpose. 

(B) Purpose. The purpose of the General Manager and the management structure s/he creates, is 

to oversee the day-to-day activities, make the day-to-day business decisions and to create a 

successful gaming enterprise. 

(C) Qualifications. The General Manager shall have the experience and demonstrated skills 

necessary to manage a growing gaming enterprise according to the job description. The General 

Manager shall not be eligible to serve on Tribal Council while employed as Casino General 

Manager. 

(D) Responsibilities. 

(1) The. General Manager shall be required to respond to all Commission notices pertaining 

to compliance with Minimum Internal Control Standards, System Internal Control 

Standards and Tribal/State Compact within 15 working days, which time shall not be 

unreasonable. The General Manager may request additional time. 

(2) Day-to-day business management, including, but not limited to such things as hiring, 

contracting, payroll and scheduling. Contracting is subject to applicable sections of this 

Ordinance. 

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

the gaming enterprise. 

(4) Operating Policies and Operating Procedures. Operating Policies must be reviewed by 

the Commission and subsequently submitted to the Tribal Council for approval before 

becoming effective. However, Operating Procedures only require the review of the 

Commission to ensure that the proposed changes will not result in a violation of the Tribe's 

Compactor applicable standards or internal control prior to gaming management 

implementing new procedures or procedural changes. Notwithstanding any other provision 

of this section, when applicable law requires that the Commission review and approve a 

21 
policy or procedure, the Commission shall have that authority. Unless applicable law 

requires otherWise, the Commission shall have thirty days to complete its review. 

(a) In the event that the Commission has an objection to changes to the Operating 

Procedures proposed by the General Manager, due to a perceived violation as 

described in subsection (4) above, the Commission shall infonn the General 

Manager of their concerns prior to meeting and then meet with the General 

Manager to discuss those concerns. 

(b) If the concerns are not resolved within 20 days of the informal discussion, the 

parties shall patticipatc in a mediation process approved by both parties. . Such 

process shall use a third party as a mediator and be conducted in an informal and 

timely fashion. 

(5) Budget Revisions. Any expenditures in excess of the approved operating and/or capital 

budgets shall be submitted by management to the Tribal Council for approval. General 

Manager may reallocate funds within an approved Budget consistent with Council approved 

guidelines. 

(6) Accounting for Gaming funds. The Genera! Manager is responsible for keeping 

accurate, up-to-date financial records and accounts of all business and for hiring or 

contracting with necessary resources to do so (subject to the terms of the Tribal/State 

Compact, this Ordinance and Federal law), except that the Tribal Council shall retain hiring 

authority over the Chief Financial Officer for all tribal gaming enterprises. The General 

Manager shall participate in the hiring process for the Chief Financial Officer, even though 

the Tribal Council retains the hiring authority. 

(7) The General Manager shall be familiar with all terms of the Compact and be directly 

responsible for managing the gaming enterprise in compliance with the Compact. 

(8) The General Manager shall be familiar with the terms of the NIGC regulations, as then 

in effect, and any amendments or updates thereto, and operate all games in compliance with 

said regulations. 

(9) The General Manager may delegate that authority necessary to ensure compliance with 

rules and regulations for a more efficient and productive operating environment. 

(I 0) The General Manager shall be present at the time of the Financial Audit and Security 

Audit presentations to the Tribal Council. 

(E) Surveillance. · 

(1) The Gaming Management shall, in accordance with a Council approved budget, provide 

all gaming surveillance equipment, gaming supplies, and space as deemed necessary by the 

Commission for the reasonable protection of patrons, employees, and Tribal assets. All 

gaming surveillance systems, gaming equipment, gaming rooms, etc., shall be under the 

control and jurisdiction of the Commission. All gaming surveillance staff shall be 

employees of the Tribe and report to the Commission. 

22 
(2) The General Manager, shall provide any and all desired plans for equipment installation, 

removal, modification, of facility layout changes to the Commission for review, prior to any 

change. 

(3) The gaming facility management shall comply with any additional requirements of the 

Commission with regard to gaming equipment, coverage or gaming layout, in order to 

adequately protect the security of gaming assets, and the security and safety of patrons, 

vendors and employees. 

(F) Repo1ting. The General Manager shall provide the Commission and the Tribal Council with 

a monthly report that details the number of patrons served, the amount of income generated, the 

numbers of employees working at the facility, a detailed description of any patron complaints and 

other problems experienced at the f~cility. The repo1t shall also contain a detailed financial report, a 

written statement of any changes in key employees or primary gaming management officials, a 

listing of aU bills that are thirty (30) days or more past due and any other information the Tribal 

Council may require. The General Manager has an obligation to provide all reports requested by 

the Tribal Council or the Commission. 

(1) Annual Plan of Operation. The General Manager shall submit an Annual Plan to the 

Tribal Council for review and approval. The Plan shall be submitted by the first day of 

September, to the Tribal Council and a copy shall be available for the Commission for 

review purposes only. The Plan shall contain the foll.owing unless otherwise decided by 

Tribal Council: 

(a) Operating budget. 

(b) Capital budget. 

( c) Growth target 

( d) Staffing requirements, including training requirements. 

(e) Expense and revenue projections. 

(G) Travel. The General Manager shall notify the Commission regarding travel plans. Travel 

plans shall be made hy the General Manager based on the best interest of the gaming enterprise. 

(H) Patron's Complaint Process. The General Manager shall develop and implement a patron's 

complaint process. Each tribally owned and tribally operated gaming facility shall post at least one 

sign in each gaming establishment infonning patrons of the established process. 

(I) Confidentiality. The General Manager shall maintain confidentiality of information 

specified as confidential, including information gathered in the hiring process and any financial 

information regarding performance of the gaming enterprise. Violation of this confidentiality 

provision shall be subject to disciplinary action from the Tribal Council and may be deemed "cause" 

for suspension or termination. 

(J) The General Manager shall cooperate and shall assist with all Gaming Facility and 

employees to cooperate with Commission requests, investigations, orders and enforcement actions. 

23 
(K) Any employee who is aware of malfeasance (Misconduct) or a suspicion of malfeasance 

regarding the General Manager's activities in relation to the integrity of the gaming operati9n has an 

obligation to report such infonnation to the Tribal Council. 

SECTION 25.11 COMPLIANCE DEPARTMENT 

(A) Establishment The Tribal Council created the Compliance Department as a subordinate 

organization, a deparlment within lhe tribal gaming regulatory structure, to carry out specific duties 

as requested either by the Tribal Council or the Commission. Employees of the Compliance 

Department share the Tribe's sovereign immunity while performing their job duties. 

{B) Purpose. The primary purpose of the Compliance Department is to perform background 

investigations for tribal gaming licensing purposes, in accordance with the provisions of this 

Ordinance and any regulations promulgated hereunder. The Compliance Department may also 

perform other investigations for the Tribe, including those for ElderN outh licensing and as 

requested by the Tribal Council when such investigations do not conflict with their gaming 

responsibilities, but the Compliance Department has no independent investigatory powers. 

(C) Qualifications. Any employee hired in the Compliance Department shat! meet the following 

qualifications: 

(1) Employees of the Compliance Department shall not se'rve in any elected government 

position in the Stockbridge-Munsee Tribe; 

(2) No individual shall be eligible for employment with or to continue services with the 

Compliance Department who has any financial interest in, or management responsibility for 

any gaming activity operated by the Tribe, or any direct or indirect interest in any gamingrelated contract with the Tribe. 

(3) No individual shall be eligible for employment with or to continue services with the 

Compliance Department who has any conflict of interest as defined in this Ordinance, 

UNLESS such conflict has been fully disclosed to the entire board of Commissioners and to 

the Tribal Council and both entities have agreed, in writing, to permit the individual to be 

hired or to continue with his or her employment. 

( 4) No individual shall be eligible for employment with or to continue services with the 

Compliance Department who is an employee of any tribal gaming enterprise or of another 

gaming enterprise outside the Tribe's ownership and/or management. 

(5) Shall be an enrolled member of the Stockbridge-Munsee Community, who is at least 21 

years of age. 

{D} Background Check. Prior to the time any employee with the Compliance Department 

begins employment, the Tribe shall perfonn a comprehensive background check on each 

prospective employee. No person shall be employed in the Compliance Department if: 

(1) His or her prior activities, criminal record, if any, or reputation, 

24 
habits or associations pose a threat to the public interest; or threaten the effective regulation 

and control of gaming; 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; or 

(2) If he or she has been convicted of or entered a plea of guilty or nolo contendere (no 

contest) to a felony or any gaming offense in any jurisdiction or to a misdemeanor involving 

dishonesty, fraud, misrepresentation in any connection or any offense involving moral 

turpitude. 

(3) Applicants for the employment with the Compliance Department shall not be eligible 

for employment with the Compliance Department if their background investigation shows a 

criminal history. A tribal gaming waiver shall not act to rehabilitate the applicant for 

consideration for employment with the Compliance Department. Criminal history, for 

purposes of this section shall mean any felony, any misdemeanor involving theft, fraud, 

misrepresentation or gambling related offenses, any drug related conviction involving 

possession, sale, use or manufacture of a controlled substance. 

(E) Powers and Duties. The Compliance Department is delegated no regulatory or enforcement 

authority . .Employees of the Compliance Department are governed by the job descriptions under 

whicb they are hired, by the Tribe's Personnel Policies and Procedures, and by any provisions of 

this Ordinance that directly applies. 

The Compliance Department is supervised by the Tribal Council. Although the Commission 

is not in a supervisory position over Compliance, the Ordinance provides that the Commission may 

request the Compliance Department to assist in investigating gaming issues pursuant to this 

Ordinance. 

(F) Records/Files. It is the duty of the Compliance Department to protect, safeguard and 

maintain the confidentiality of the background investigations performed for licensing purposes and 

to prepare summary reports of said investigations, consistent with Section 25. 15 (D), for review and 

action by the Commission. Compliance Department is to release background files to the 

Commissioners on a need to know basis only, such basis generally arises in cases where the 

investigative report was unclear or ambiguous. 

(1) Records/files shall be kept under lock and key, accessible only to Compliance 

Department Staff The files shall not be removed from the Compliance Department except 

for hearing purposes or in accordance with applicable law. When possible, the investigating 

officer of the file in question shall be present for hearings. 

(2) Background files shall be viewed in the presence of at least one staff member of the 

Compliance Department. Review of Compliance Department gaming records/files by 

anyone other than Commission must be approved by the Tribal Council. 

(3) Duplication or reproduction of any Compliance Department records/files is not 

allowed except as provided herein or in accordance with law. Exceptions to this restriction 

are limited to official hearings, reviews, reports, or Court proceedings. Other exceptions 

may include copies to the employee who is the subject of the records/file of items which the 

subject previously submitted to the Compliance Department or when ·copies are authorized 

25 
in writing by the Compliance Officer and accompanied by the signature of at least one (I) 

Commissioner. 

(4) Gaming background investigation files shall not be shared with outside agencies 

without express prior written consent from the Commission and coordination with the Legal 

Department. 

(5) The Compliance Department is authorized to destroy background investigation files 

pursuant to a properly Tribal Council approved policy. However, files on current employees 

shall he maintained for at least the term of their employment. 

SECTION 25.12 AUDIT 

(A) The Commission shalt cause to be conducted annually an independent audit of gaming 

operations and shall submit the resulting audit reports to the NIGC, the Tribal Council and the State 

Gaming Board. Copies shall also be forwarded to the General Manager. The Tribal/State Compact 

terms for both financial and security audits shall be followed for the audit of Class III games. The 

Commission shall be responsible for keeping track of deadlines regarding audits, shall submit 

requests for proposals to eligible audit firms and shall have the authority to engage an audit film to 

comply with the tenns of the Compact. All provisions of the Compact shall be adhered to in this 

process. 

(B) All gaming related contracts that result in the purchase of supplies, services, or concessions 

in excess of twenty-five Thousand Dollars, ($25,000.00) annually, except contracts for professional 

legal and accounting services, shaH be included within the scope of the audit that is described in 

Section 25.12 (A). 

SECTION 25.13 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND 

SAFETY 

Class II and Class III Gaming facilities shall be constructed, maintained and operated in a manner 

that adequately protects the environment and the public health and safety. Terms of the Tribal/State 

Compact regarding construction shall be adhered to. 

SECTION 25.14 LICENSING OF A GAMING FACILITY 

(A) Applicability. This Ordinance applies to all persons engaged in gaming within the jurisdiction 

of the Tribe. Any application for license pursua.'1t to this Ordinance except application for an 

Operator's Licenst:: made by the Tribe, and participation in any gaming activity within the 

jurisdiction of the Tribe shall be deemed to be a consent to the jurisdiction of the Tribe and the 

Tribal Court in all matters arising from the conduct of such gaming and all matters arising under 

any of the provisions of this Ordinance or other tribal laws. 

(B) License Required. Only the Tribe is authorized under this Ordinance to operate Class If and 

Class III gaming. The Tribe is required to apply to the Commission annually for an Operator's 

license. 

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(C) Types uf Licenses. The Commission shall issue each of the following types of gaming 

licenses: 

(1) Tribally Owned or Tribally Operated Class II. This license shall be required of all 

tribally owned or tribally operated gaming facilities operating one or more Class II games of 

chance. 

(2) Tribally Owued or Tribally Operated Class 111. This license shall be 

required for all tribally owned or operated gaming facilities operating any games of chance 

other than Class I or Class TI gaming. 

(D) No License Requirement for Class I Gaming. A tribal license shall not be required for any 

Class I gaming activity or operation; however, any person or group engaging in a Class I activity 

shall register their activity with the Commission. It is the Commission's responsibility to make a 

determination, using the IGRA, Federal Regulations and Tribal Law and practice to detennine 

whether an activity is in fact Class I. 

(E) Applications Procedures: Facility License. 

(1) Application for Gaming License. For any proposed Class II or Class III gaming activity, 

the Tribal Council shall file annually with the Mohican Gaming Commission an application 

for a tribally owned or tribally operated Class ll or Class III gaming license, which shall 

contain the name of the proposed enterprise, its location and all other pertinent information 

required by this Ordinance and Commission regulations. 

(2) Tribally Owned or Tribally Operated Class II. Before issuing a license to a tribally 

owned or operated Class II gaming facility the Commission shall: 

(a) Review the proposed gaming operation to ensure that all crite1ia required by this 

Ordinance is met. 

(b) Insure that the necessary backgrowid checks on management contractors, 

primary gaming management officials and key employees required by this 

Ordinance are being performed according to this Ordinance. 

(c) Review the accounting procedures used in such gaming activity. 

(F) Triball y Owned or Tribally Operated Class III. Before issuing a license to a tribally owned or 

operated Class III gaming facility, the Commission shall: 

(1) Review the proposed gaming activity to ensure that all criteria required by this 

Ordinance is met, or that good faith efforts are being used to meet that criteria; 

(2) Insure that the necessary background checks on gaming management contractors, 

primary gaming management officials and key employees required by this Ordinance are 

being performed according to this Ordinance; 

(3) Review the accounting procedures used in such gaming activity. 

27 
(4) Review all aspects of the proposed gaming operation to ensure compliance with the 

provisions of the Tribal/State Compact. 

(G) Criteria That a Potential Gaming Operator Must Meet. The Commission shall issue the 

above li cense to any tribally owned or tribally operated Class U or Class Ill proposed gaming 

operation only if all of the following criteria are met: 

(1) The proposed gaming activity or facility is to be located on tribally owned land or land 

held in trust for the Tribe, within the exterior boundaries of the tribal reservation, prior to 

October 17, 1988; or on after acquired lands that meet the requirements of Section 27 19 of 

the IGRA for after acquired lands, and appropriate amendments to the Tribal/State Compact, 

if required, are made. 

(2) The proposed gaming activity is to be played as Class II gaming as defined by this 

Ordinance and the JGRA or as Class Ill gaming authorized by a Tribal/State Compact. 

(3) The proposed gaming activity is authorized by Tribal Council Resolution. 

(4) The Tribe will have the sole proprietary interest and the exclusive responsibility for the 

conduct of the proposed gaming activity. 

(5) The Resolution authorizing the proposed gaming activity provides that: 

(a) The revenues of the proposed gaming activity shall be audited annually and 

copies of those audits shall be provided to the General Manager, Commission 

and the NIGC. 

(b) The proposed gaming activity shall comply with all applicable IRS reporting and 

filing requirements. 

(c) All of the net proceeds of the proposed gnm.ing activity shall be used for the 

purposes stated in Section 25.5 of this Ordinance. 

(d) All contracts for gaming supplies, gaming services or concessions for an amount 

in excess of.twenty-five Thousand Dollars ($25,000.00) (except for contracts for 

legal and consulting services) shall be subject to an annual independent audit. 

(t) The construction or maintenance of the gaming facility and the operation of the 

proposed gaming activity shall be conducted in a manner that the Commission 

finds will adequately protect the environment and the public health and safety. 

(f) The General Manager, all primary gaming management officials and all key 

employees have passed the background investigations and obtained the tribal 

gaming licenses required by this Ordinance. Each application must state in 

writing that all future primary gaming management officiaJs and key employees 

will be required to pass background investigations and obtain gaming licenses 

within a reasonable time of hire with continued employment being made 

contingent upon the successtu! licensing of said individual. 

(g) The Commission. shall have the authority to regulate the proposed Class 11 

gaming activity. 

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(h) The proposed gaming activity shall pay to the NIGC and to the State such fees as 

federal Jaw and the Tribal/State Compact may require to be paid. 

(i) Tf the gaming activity is Class llI gaming, such gaming activity meets all other 

criteria established by the Tribal-State Compact. 

(H) License Application Fees. No application fee shall be required for a tribally owned or 

tribally operated Class 11 or Class Ill gaming ~ctivity . 

(I) License Tax. No annual license tax shall be required for a tribally owned or tribally 

operated Class II or Class III gaming activity. 

(J) Form of Gaming License. Every gaming license issued by the Commission shall include the 

name and address of the authorized licensee and the signature of an authorized officer of the 

Commission. 

(K) Scope of Gaming License. A gaming license issued by the Commission shall be effective 

only for the gaming activity and location specified in the application. Such license may be 

transferred only upon prior approval of the Commission upon written request that details the 

proposed new gaming activity, its location and proposed gaming operator. 

(L) Term of License. A tribally owned or operated Class II and Class l1I Gaming Operator's 

license shall he valid for a period of one year from the date of issuance. 

(M) Posting of Licenses. Each gaming operator shall post its tribal gaming license in a 

conspicuous location at the gaming operator's gaming facility. If a gaming operator has more than 

one gaming facility, the gaming operator must obtain and post a separate license for each gaming 

facility. 

(N) Gaming License Renewals. Each tribal gaming license must be renewed annually. No renewal 

fee shall be required for a tribally owned or tribally operated Class n or Class III license. In order to 

obtain a renewal of a license, the gaming operator shall submit a written renewal application to the 

Commission on the form provided by the Commission. No renewal application shall be approved 

until the Annual Report required by subsection 25.14 (0) has been properly filed. All renewal 

applications submitted by a tribally owned Class II or Class Ill gaming activity shall be approved 

within a reasonable time unless the Commission determines, based on reasonable· grounds, that the 

enterprise has been or will be operated in violation of td bal, federal or other applicable Jaw or the 

terms of the Tribal/State Compact. 

(0) Annual Reports. Each gaming operator who possesses a Class II or Class lil tribal gaming 

license mus! 1ile an annual repo1i (not to be confused with the Annual Plan of Operation) with the 

Commission 15 days prior to the expiration of each such license. The report shall be submitted to 

the Commission on the annual report form provided by the Commission and shall include the 

following infonnation: 

(1) The name, address and telephone number of the gaming operator; 

29 
(2) A description of each gaming activity that it operates and the total gross proceeds of 

each; 

(3) A written copy of any changes the gaming operator proposes to initiate in its operating 

rules or policies; 

(4) A sta1ement of the specific dates and times during which the gaming activity will be 

operated during the next license period; 

(5) A statement of any changes in the general manager or in the primary gaming 

management officials or key employees who. will operate the gaming activity over the next 

license period; 

(6) The names and addresses of any key employees who the Commission may identify to be 

primary gaming management officials during n;wiew of the application; 

(7) Written proof that the Gaming Operator has paid to the NIGC such fees as federal and 

tribal Jaw may require it to pay, and will continue to do so; 

(8) Written proof that the Gaming Operator has paid to the State such fees as the 

TribaliState Compact may require it to pay; 

(9) A sworn statement that the Gaming Operator has complied with the Intemal Revenue 

Code and regulations, including written notice of customer winnings, and a statement that 

the Gaming Operator shall continue to obey all tribal and federal laws and shall hold the 

Commission and the Tribe harmless for failure to do so; 

(10) The description of any location at which the gaming activity has been conducted and 

any new location that is expected to be established during the next license period; 

(11) The number of full-time equivalent persons, on an annualized basis, employed by the 

operation during the past twelve (12) months, together with a projection of the number of 

full-time equivalent persons who are expected to be employed during the next license 

period; 

(12) The total gross proceeds of the gaming operator attributable directly or indirectly to 

tribally licensed gaming activity over the proceeding twelve (12) months; 

(P) Procedure to Remedy Gaming License Violation. If the Commission finds that a tribally 

owned or operated gaming activity is being operated in violation of this Ordinance or otherwise 

presents a threat to the Tribe or to the public, the Commission shall immediately take all 

infonnation to Tribal Council before taking necessary steps to bring such gaming activity into 

compliance. Compliance means issuing a warning citation, and, if not in compliance after warning 

issuing a citation, charging a fine, suspending the operator's license, revoking the operator's license 

and or reporting such violation to the NlGC. The Commission may take all necessary steps as 

authorized under this law to remedy aii emergency violation. In a case of revocation of the 

operator's license, the Commission shall provide notice to the NIGC, subjecting the Tribe to 

30 
potential closure action. Nothing contained in this Section or in this Ordinance shall be construed 

as affecting a waiver of sovereign immunity. 

SECTION 25.15 EMPLOYEE GAMING LICENSES 

(A) Scope of Employee Gaming Li.cense. BackgroWld and licensing procedures will be no less 

stringent than those required under current federal regulations. An employee gaming license shall 

be effective only for the person to whom it is issued and only with respect to the gaming facility 

specified in the application. Any such license may be transferred to a new gaming facility only 

upon prior approval of the Commission, upon written request of the licensee identifying the 

proposed new gaming facility, its location and the proposed gaming operator thereof. 

(B) Current and Va lid Employee Gaming License Required. Every primary gaming management 

official and every key employee of any Class II or Class III gaming activity subject to this 

Ordinance shall possess a current, vaJid employee gaming license issued by the Tribe. Eligibility 

for and obtaining a valid employee gaming license is a requirement of continued employment. The 

General Manager shall not employ persons who refuse to voluntarily cooperate with the licensing 

process. Any employee receiving an employee gaming license must carry that license upon his or 

her person during all working hours and must produce the license upon the request of any official 

with jurisdiction over the gaming activity. 

(C) Application for Employee Gaming License. 

(1) A person seeking an employee gaming I icense must be at least eighteen (18) years of 

age. All applicants shall submit an application to the Compliance Department on such form 

and in such manner as the Commission may require. These gaming applications shall 

provide the basis for background investigations perfonned by the Compliance Department 

and shall be kept confidential. 

(2) Such application shall include, but is not limited to the following information: 

(a) The applicant's full name, including all other names used (oral or written), 

current home and work addresses and telephone numbers, social security number 

(optional), place of birth, date of birth, citizenship and gender, all languages 

(spoken or written); 

(b) Currently and for the previous five (5) years: business and employment positions 

held, ownership interests in those businesses, business and residence addresses, 

and drivers' license numhers; 

( 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 

ofresidence listed in subsection (b); 

(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; 

31 
(g) The name and address of any licensing or regulatory agency with wh.ich the 

person has filed an application for a license or pennit relating to gaming, 

whether or not such license or pennit was granted; 

(h) For each gaming offense and for each felony for which there is an ongoing 

prosecution or a conviction, the name and address of the court involved, the 

charge, and the dates of the charge and of the disposition; 

(i) For each misdemeanor conviction ever received or ongoing misdemeanor 

prosecution (excluding minor traffic violations) the name and address of the 

court involved, and the dates of the prosecution and the disposition; 

(j) For each criminal charge (excluding minor traffic charges) ever received, 

whether or not there is a conviction, if such criminal charge is not otherwise 

listed pursuant to subsections (h) and (i) of this section, the criminal charge, the 

name and the address of the court involved and the date and disposition; 

(k) Any ordinance violation involving crimes against a person, theft, fraud or 

misrepresentation; 

(1) The name and address of any licensing or regulatory agency with which the 

person has filed an application for an occupational license, pennit or cettificate, 

whether or not such license, permit or certificate was granted; 

(m) A recent photograph; 

(n) Any other information the Commission or its agents may deem necessary and 

relevant to the I icensing process; 

( o) Fingerprints consistent with procedurns adopted by the Tribe and Section 25.15 

(D)(I); and 

(p) Written permission giving the Commission through the Compliance Department 

or other duly appointed agent(s) the right to investigate information including but 

not limited to the applicant's background, including his or her criminal record, 

civil and criminal judgments~ educational record. employment record; military 

record and credit history. 

(3) Each application shall be accompanied by a sworn statement that the applicant will 

abide by this Ordinance and all other applicable laws. 

(4) Each application shall contain or be accompanied by a written statement that the 

applicant has read and understands the following Privacy Act Notice: 

In compliance with the Privacy Act of 1974, the f<>lluwing information is provided: 

Solicitation of the information on this form is authorized by 25 U.S.C. 2701 et seq. The 

purpose of the requested information is to determine the eligibility o,lindividuals to be 

granted a gaming license. The information will be used by the Tribal gaming reguialory 

authorities and by the National Indian Gaming Commission members and staff' who have 

need for the information in the performance o,ftheir official duties. The information may be 

disclosed to appropriate Federal, Tribal, State, local, or foreign law enforcement and 

regulatmy agencies when relevant tu civil, criminal, or regulatmy investigations or 

prosecutions or when pursuant to a requirement by a tribe or the National Indian Gaming 

Cornmission in connection 11-'ith the issuance, denial, f>r rev:Jcation ~f·a ~amin~ licenst: or 

investigations of activities while associated with a tribe or a gaming operation. Failure to 

consent to tlie disclosures indicated in this notice will result in a tribe's being unable to 

32 
license· you for a primary gaming management official or key employee position. 

(Emphasis added.) The disclosure of an applicant's social security number (SSN) is 

voluntary. I fowever, failure to supply a SSN may result in errors in processing the 

application. 

(5) Each application for an employee gaming license shall, if required, be accompanied by a 

nonrefundable application fee to be established by the Commission. 

(6) Each application shall contain a False Statement notice as follows: 

A false statement on any part of your license application may be grounds for denying 

a license or the suspension or revocation of a license. Also, you may be punished by a fine 

or imprisonment (US. Code, title 18, section 1001). 

(7) If another tribe has previously employed the applicant, the Commission or its agent may 

request investigative information from the other tribe. 

(8) The Commission, its employees and agents, and the Tribe, and its employees and 

agents, shall follow the confidentiality act. The identity of each person interviewed in the 

course of an investigation on an applicant for an employee gaming license will be kept 

confidential, as required by 25 CFR 556.4(c). The background investigation shall include 

interviews with a sufficient number of knowledgeable people, such as former employers and 

personal references, so as to insure a comprehensive description of the applicant's character. 

Compliance Department background investigation files shall be presented to the 

Commissioners on a need to know basis only. 

(9) When a primary management official or key employee is employed by the Tribe, a 

complete application, with all of the infonnation required under this Section 25.15 (C), shall 

be maintained. 

(D) Review Procedure for Employee Gaming License Application. Before issuing employee 

gaming license, the Commission will follow the procedure set forth below: 

(1) Perform or arrange to have performed the necessary background investigation for each 

primary gaming management official and key employee as required by this Ordinance. 

(a) Such investigation shall include contacting each reference provided in the 

application and taking all appropriate steps to verify the accuracy of infonnation 

contained in the application. 

(b) Fingerprints shaU be taken by the Compliance Department 

(c) Fingerprints will then be forwarded to either the State or to the NTGC fur 

processing through the Federal Bureau of Investigation and the National 

Criminal Information Center to determine the applicant's criminal history, if any. 

(d) The Commission may require asset and liability disclosure for key employees 

and primary gaming management officials to adequately protect the gaming 

enterprise and determine the suitability of a particular individual for licensing, 

license renewal or continued suitability for retaining a license. 

33 
(2) The Commission, or designated agent thereof, shall create and maintain an _investigative 

report for each background investigation of a primary gaming management official or key 

employee. The report shall include all of the following infonnation: 

(a) Steps taken in conducting the investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The basis for those conclusions. 

(3) Make the required reportings, outlined in subsection 25.15(K) and (L), to the NIGC 

prior to issuing a determination on the findings. 

( 4) Review the person's prior activities, criminal record, if any, reputation, habits, and 

associations to make a finding concerning the suitability of an individual for licensing. 

Certain acts or other incidents may pose a bar to obtaining a gaming license as more tully 

described in Section 25.15(E). Where the Commission determines that licensing of the 

person poses a threat to the public interests or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair or illegal practices and methods and 

activities in the conduct of gaming, a tribal gaming operation shall not employ that person in 

a key employee or prim.a!)' gaming management official position. 

(5) Provide an opportunity for a hearing on the denial of a license, or for such other cause as 

the Commission may detennine. The Commission's decision on licensing is final although 

the applicant may petition the Commission for re-hearing in cases where they have new 

evidence to submit, or where they can demonstrate that the Commission made an error in 

their decision. 

(E) Standards of Suitability. The Gaming Facility shall not employ an individual if there is 

cv idcncc and documented history of unsuitability or if they pose a threat to the integrity and/or 

safety of the gaming operation or its employees. The Commission shall create policy regarding 

additional standards of suitability and the application of those standards. The following minimum 

standards and criteria shall be applied when determining an individual's suitability to obtain or 

retain a gaming license from the Commission. These standards may be applied in any case where 

there is cause to question an individual's suitability, whether the cause arises from an individua.l's 

criminal history or from his/her reputation, habits and associations identified during the background 

investigation process. 

(1) Criminal Offenses: The Commission will view suitability for a license as diminishing in 

direct correlation to the increased severity of the otfonse or offenses that appear in one's 

record. The Commission will take into account the severity of the crime and the number of 

crimes and other offenses that a person's background investigation reveals. Some offenses 

are identified in the Gaming Ordinance as being an automatic bar to a gaming license. [n 

the event an individual's background investigation reveals a barring offense, they will be 

denied a gaming license. They may be eligible to apply for, and obtain, a Tribal Gaming 

Waiver. 

34 
(2) Non-Criminal Offenses: In considering suitability where the background contains 

unconsdonable acts, offenses and incidents other than those listed as a bar in the Gaming 

Ordinance, the Commission will consider any offense, situation or incident that could 

present a threat to the integrity of the gaming operation or present some threat of harm to the 

employees or patrons of the gaming establishment. These include but are not limited to 

violent acts against persons; verified reports or documented evidence of violence against 

persons without a criminal conviction; dishonest acts against an employee, person or 

institution with or without a criminal or ordinance violation; any type of verifiable wrongdoing that may present a threat or harm to the gaming establishment, its patrons or 

employees. 

(3) Length of Time Since the Occurrence in Question: The length of time since the date of 

conviction(s), charge(s), release from incarceration or dismissal from employment for 

dishonest acts shall be taken into consideration when detennining suitability for licensing. 

Additional arrests within that time span will also be taken into consideration. 

(F) rssuance of Provisional Gaming License. A Provisional Gaming License is issued by the 

Commission to an individual when the following requirements are met: 

(1) The Compliance Department has completed a preliminary State criminal background 

check and informs appropriate human resource department that the individual is eligible for 

a Provisional License. 

(2) The Commission has reviewed the individual's preliminary background check. 

(3) The Commission has no notice of suitability concerns at this stage: 

(4) The individual is offered employment by the Human Resource Department at the 

Tribe's gaming facility. 

(5) The individual has passed his/her drug test. 

(6) The appropriate licensing fees have been paid to the Compliance Department. 

(7) The individual has provided fingerprints for his/her file. 

(8) The individual has returned a gaming license application to the Compliance Department. 

(G) The Provisional Gaming License shall be valid for no longer than (3) months from the date 

of issuance. 

(H) The Provisional Gaming License becomes void upon the receipt of a Primary Gaming License. 

If after the Compliance Department has completed a full investigation and the Commission finds 

the individual not suitable for a Primary Gaming License, the Provisional Gaming License shall be 

revoked and the licensing process shall cease. 

(I) The Commission shall not license individuals under the age of eighteen (18), except that, the 

Tribe may approve summer youth positions provided that those positions do not involve any duties 

35 
perfonned within the actual gaming facility. These positions would not be considered "key 

employee" positions and would be excluded from the licensing process. 

(J) Standards for Denial of a Primary Gaming License. The Commission shall not license as a key 

employee or primary gaming management official in connection with Class .II or Class III gaming, 

any person who: 

( 1) Is under the age of eighteen (I 8); 

(2) ls currently cited or charged with or has been convicted of or entered a plea of 

guilty or no contest to: a gambling-related offense, theft, fraud or misrepresentation in any 

connection, the manufacturing and/or selling of illegal drugs or a violation of any provision 

of chapters 562 or 565, Wis. Statutes, a rule promulgated by the Lottery Board or Wisconsin 

Racing Board, or Section 25.21 (B). This provision shall not apply if that person has been 

pardoned by the Governor of the State where the conviction occurred or has been granted a 

waiver hy the Tribal Council pursuant fo the Tribal Gaming Waiver policy; 

(3) Is currently charged with or has been convicted of or entered a plea of guilty or no 

contest to any felony, other than those mentioned in Section 25. 15 (J)(2), within the 

immediately preceding ten ( 10) years, unless the Tribal Council waives such restriction 

pursuant to the Trihai Gaming Waiver poiicy. 

(4) If person has participated in organized crime or unlawful gambling or is a person whose 

prior activities, criminal record, reputation, habits and/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 and methods and activities in the conduct 

of gaming or to the carrying on of the business and financial arrangements incidental to the 

conduct of gaming. 

(5) Is found to have intentionally supplied false or misleading material infonnation or has 

intentionally omitted material information on his/her license application or application for 

employment. 

(6) Provided further that the Commission may, by regulations, add additional limitations 

and conditions for denial of said license, subject to the approval of the Tribal Council. 

(7) Applicant or employee with a Deferred Judgment for a barring offense is ineligible for 

an Employee Gaming License until such Deferred Judgment is dismissed or applicant or 

employee is granted a Tribal Gaming Waiver pursuant to the Tribal Gaming Waiver Policy. 

(8) Is found to have been convicted of possession and/or use of illegal drugs, unless the 

Commission deems that the individual does not present a threat to the public interest or 

threaten the effective regulation and control of gaming during a show-cause hearing. 

(9) The applicant or employee violates any part of Section 25.21 (B). 

(10) The applicant currently holds a valid gaming license from another gaming facility, or 

has a financial interest in or management responsibility for a gaming related contractor. 

36 
(K) Notice of Results of Background lnvestigations. 

(1) Before issuing a Primary Gaming License to a key employee or primary gaming 

management official, the Commission shall prepare a notice of results of the applicant's 

background investigation to submit to the NIGC. 

(2) The notice ofresults must be submitted to the NIGC within sixty (60) days after the 

applicant begins working for the Tribe. 

(3) The notice of results shall include the following information: 

(a) The applicant's name, date of birth, and social security number; 

(b) The date on which the applicant began, or will begin, working as a primary 

gaming management official or key employee; 

(c) A summary of the information presented in the investigative report, including: 

(i) Licenses that have previousJy been denied; 

(ii) Gaming licenses that have been revoked, even if subsequently 

reinstated; 

(iii) Every known criminal charge brought against the applicant within the 

last 10 years of the date of the application; and 

(iv) Every folony offense of which the applicant has been convicted or any 

ongoing prosecution; and 

(d) A copy of the suitability determination made by the Commission. 

(L) Report to the NIGC. 

(1) The Commission may license a primary gaming management official or key employee 

after submitting a notice of results of the applicant's background investigation to the NIGC 

as required by Section 25.15 (K). 

(2) The Commission shall notify NIGC of the issuance of a Jicense to a primary gaming 

management official or key employee within 30 days of issuance. 

(3) Tribe shall not employ an individual in a prjmary gaming management official or key 

employee position who does not have a license after 90 days of begjnning work at the 

gaming operation. 

(4) If, within thirty (30) days of the submittal of the notice of results of the applicant's 

background investigation, the NIGC provides the Tribe with a statement of itemized 

objections to the issuance of a license to a key employee or to a primary gaming 

management official, the Commission shall reconsider the application, taking into account 

Lht: objections itemized by the NIGC. 

(5) The Commission shall make the final decision whether to issue a license to an applicant 

for a primary gaming management ofticial or key employee position. 

37 
(6) If the Commission has issued a license to a primary gaming management official or key 

employee before receiving the NIGC's statement of objections, notice and a hearing shall be 

provided to the licensee per Section 25.15 (D)(S). 

{7) If a license is not issued to an applicant, the Tribe or the Commission shall: 

(a) Notify the NIGC; and 

(b) Forward copies of its suitability determination and investigative report (if any) to 

the NIGC for inclusion in the Indian Gaming Individuals Records System. 

{8) With respect to key employees and primary gaming management officials, the 

Commission or their designee shall retain applications for employment, license applications, 

reports and suitability determinations for seven (7) years from the date of termination of 

employment. These records will be made available to NTGC consistent with federal 

regulations and the State Gaming Commission consistent with the Tribal State Gaming 

Compact. 

(M) Employee Gaming License Badge. 

(1) Primary Gaming License. A gaming license badge will be issued to an employee who 

satisfactorily met:ts the licensing criteria. The badge shall include but not be limited to the 

following infonnation: 

(a) Photo of the employee; 

(b) Identification number assigned by the Compliance Department; 

(c) FuJl legal name, including middle initial (no nicknames); 

(d) Employee's position title; 

{e) License issuance and expiration date (two-year licensing period); 

(f) Seal of the Commission; 

(g) Signature of a Commission representative; 

(h) Color coordination between departments; 

(i) identification of license status as "primary" or "provisional"; 

(j) Return address of the Commission. 

(N) Licensing Period. A Primary Gaming License issued pursuant to this Ordinance shall be 

etlecti ve for a period of two years from the date of issuance and shall state on its face the date when 

the license became effective and the date that it expires. This license shall be subject to periodic as 

well as annual reviews. A Primary Gaming License shall automatically expire on the date the 

holder of said license is no longer employed by the Gaming Facility. 

(0) Renewals. A holder of a Primary Gaming License shall apply to the Commission for a 

renewal before his/her Primary Gaming License has expired, updating all infonnation contained in 

the Rcm:wal Gaming Lit.:1.:nse Appiication. 

38 
(P) Standards for Suspension of Provisional or Primary Gaming License. The Commission may 

sμspend an Employee Gaming License for reasons including but not limited to the following: 

(I) The employee has been charged with, convicted of, or entered a plea of guilty or no 

contest to any offense that may result in a bar to obtaining or retaining_a gaming license or 

any other activity that would injure or pose a threat to the integrity of gaming, or the 

effective regulation thereof, or enhance the dangers of unfair, unsuitable or illegal gaming 

practices. 

(2) The employee is currently cited or charged with or has been convicted of or entered a 

plea of guilty or no contest to any misdemeanor involving theft or fraud. 

(3) TI1e employee is currently cited or charged with or has been convicted of or entered a 

plea of guilty or no contest to any felony. 

(4) The employee has supplied false or misleading material information or has omitted 

material information on his/her gaming license application or application for employment 

(5) The employee has participated in gaming activity unauthorized by his or her employee 

gaming license; 

(6) The employee's continued employment as a primary gaming management official or 

key employee of a gaming enterprise or gaming activity poses a threat to the general public; 

(7) The employee refuses to comply with any lawful order or directive from the 

Commission; 

(8) The employee has failed to provide the Commission with changes in status of the 

material originally submitted in their gaming application. 

(9) The employee violates any part of Section 25.21 (B) "Prohibited Acts" of this 

Ordinance. 

(Q) Immediate Suspension. The Commission shall immediately suspend an employee gaming 

license when they have reason to believe the employee presents a threat to the gaming facility, 

gaming patrons or to employees of the gaming facility, or when such person threatens the effective 

regulation, integrity and or assets of the Tribe. 

(R) Standards for Revocation of Provisional or Primary Gaming License. The Commission may 

permanently revoke an employee gaming license, after notice and an opportunity for a hearing, for 

any of the following reasons: 

(1) The employee violates any part of Section 25.21 (B) "Prohibited Acts" of this 

Ordinance. 

(2) The employee is currently charged with or has been convicted of or entered a plea of 

guilty or no contest to a gambling-related offense, theft, fraud or misrepresentation in any 

connection, or a violation of any provision of chapters 562 or 565, Wis. Statutes, or a rule 

39 
promulgated by the Wisconsin Department of Administration, Division of Gaming. ls 

currently charged with or has been convicted of or entered a plea of guilty or no contest to a 

Felony '~ Crim es Against Persons". This provision shall not apply if that person has been 

pardoned by the Governor of the State where the conviction occurred or has been granted a 

gaming waiver by the Tribal Council pursuant to the Tribal Gaming Waiver Policy. 

(3) The employee is currently charged with or has been convicted of or entered a plea of 

guilty or no contest to any felony, other than those mentioned in Section 25. l 5(R)(2), within 

the immediately preceding ten (10) years, unless the Tribal Council waives restriction 

pursuant to the Tribal Gaming Waiver policy. 

(4) The employee has been convicted of, or has entered a plea of guilty or no contest to any 

offense that is a bar to obtaining or retaining a gaming license or any other activity that 

would injure or pose a threat to the integrity of the Tribe or its gaming operations, or the 

effective regulation thereof: or enhance the dangers of unfair, unsuitable, or illegal gaming 

pr~c.tices; 

(5) The employee has participated in organized crime or unlawful gambling or is a person 

whose prior activities, criminal record, reputation, habits and/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 and methods and activities in the 

conduct of gaming or to the carrying on of the business and financial arrangements 

incidental to the conduct of gaming. 

(6) The employee refuses to comply with any lawful request, investigation, order or 

enforcement action of the Commission regarding his or her gaming license and/or the 

licensing process. 

(7) Provided fi.nther that the Commission may, by regulations, add additional limitations 

and conditions for revocation of said license with Tribal Council approval. 

(S) Appeal Ri ghts. The Licensee has the right to appeal any decision of the Commission by filing a 

Notice of Appeal to the Commission within five (5) working days of the Commission action. Upon 

receipt of the Notice of Appeal, the Commission shall hold a hearing within fourteen (14) days from 

the date of the Notice, unless the parties mutually agree upon another date. The hearing shall be 

governed in all respects in accordance with the tribal law and Commission regulations. The 

applicant or licensee may petition the Commission for rehearing of a negative hearing result in the 

event that the applicant or licensee has new information to present to the Commission, or if the 

applicant or licensee can demonstrate that tbe Commission made an error in their decision. 

(T) NlGC Notice of Gaming License Suspensions and Revocations. 

(1) u: after a license is issued to a primary gaming management official or a key employee, 

the Tribe receives notice from the NIGC that the licensee is not eligible for employment~ the 

Commission shall do the following: 

(a) Immediately suspend the license; 

40 
(b) Provide the licensee with written notice of the suspension and proposed 

revocation; and 

( c) Provide the licensee with notice of a time and place for a hearing on the proposed 

revocation of the license. 

(2) The right of a revocation hearing vests only when a license is granted under an 

ordinance approved by the NIGC chair. 

(3) Following a revocation hearing, the Tribe shalJ decide whether to revoke or reinstate the 

license at issue. 

(4) The Tribe shall notify NIGC of its decision to revoke or reinstate a license within 45-

days ofreceiving notification of NIGC that a primary gaming management official or key 

employee is not eligible for employment. 

SECTION 25.16 TRIBAL GAMING SERVICES VENDOR LICENSE 

(A) Requirement for Gaming Services Vendor License. No person or 

entity may provide gaming services, gaming apparatus or gaming equipment to any gaming facility 

or gaming operator unless such person or entity is the holder of a valid and current gaming services 

vendor license issued by the Commission; provided, however, that such vendor may automatically 

be granted said license if: 

( l) The person or entity has a cWTent, valid license or certificate or pending application to 

provide the same type of gaming services, apparatus or equipment to tribes from the State of 

Wisconsin; provided that consent is given to the Commission or its agent(s) to review all 

evidence supporting the issuance of such license or certificate, and provided further that 

consent is given to pursue a separate investigation should the Commission find cause. 

(a) A gaming services vendor may be eligible for a provisional gaming services 

vendor license upon presentation of proof of a complete gaming certificate 

application having been filed with th~ State. 

(2) Any license granted under Section 25.16 may be revoked or suspended by the 

Commission in the same manner and for the same reasons as provided elsewhere in this 

Section. 

(B) Application for Gaming Services Vendor License. The application for this license shall 

contain such information, documentation and assurances as may be required by the Commission. 

(C) Fee for License. Any person or entity tiling an application for a gaming services vendor 

license pursuant to this Section shall pay to the Commission a fee, set by the Commission with 

Tribal Council approval. 

(D) Background Investigation of Applicants. Upon receipt of an application for a gaming 

services vendor license, the Commission or designated Commission agent shall conduct an 

41 
investigation of the applicant and each of its principals and shall include a criminal records check 

on the applicant and on each of the applicant's principals. 

(E) Action by Commission. Except as provided in subsection 25.16(A)(l), the Commission 

shall, as soon as practicable after completion of the background investigation under subsection 

25.16 (D), either grant or deny the license. The Commission may deny license to any applicant 

upon a determination that the applicant, or any principal identified with such applicant: 

(1) Is a person or entity whose prior activities, criminal record, if any, or reputation, habits 

and associations pose a threat to the effective regulation of gaming or create or enhance the 

chances of unfair or illegal practices, methods and activities in the conduct of the gaming 

activities permitted hereunder; or 

(2) Has failed to provide infonnation required to investigate the applicant's suitability for a 

license or has failed to reveal any fact material to such application or has furnished any 

information that is untrue or misleading in connection with such application. 

(F) Duration of Liut::m;t:: au<l Rt::m::wal. Any gaming st::rvices vemlor licenst:: bsuetl by lht:: 

Commission shall be effective for not more than two years and shall expire on the date two years 

from the date of issuance, provided, that a licensee that has applied for renewal prior to expiration 

may continue to provide services under the expired license until the Commission takes final action 

on the renewal application. 

(G) Revocation or Suspension of License. The Commission may investigate any licensed person 

or entity or any principal of any entity at any time and the Commission may suspend, modify or 

revoke any license issued under this Section if new information concerning any facts not available 

to the Commission at the time a license wa<:> issued or any renewal thereof, is presented to the 

Commission, and if such new information would justify revocation of an original license or any 

renewal thereof pursuant to this Section. No license shall be revoked except after notice and an 

opportunity for a hearing. A licensed person or entity shall be entitled to any payment due for 

services provided or for goods delivered prior to the effective date of suspension or revocation of its 

license. 

(1) When the Commission believes that a person or entity holding a valid gaming services 

vendor license did not qualify for said license or that the person or entity or any principal of 

the entity has engaged in activities that would justify denial of the renewal of said license, 

the Commission or its designee shall issue a notice of suspension of such person or entity's 

license, which shall be served upon the licensee by personally serving or by certified mail, at 

its principal place of business. This notice shall state the grounds upon which such 

temporary suspension is ordered and provide that the person or entity shall have an 

opportunity to present relevant evidence and to cross-examine opposing witnesses, and to 

present any other evidence as to why a suspension should not be issued. Such hearing shall 

be governed in all respects by this Ordinance and Commission regulations. 

(2) When the Commission suspends a license under this subsection, the licensee shall 

immediately cease and desist from all gaming services to tribally licensed gaming operators 

and facilities. Decisions of the Commission pursuant to this Section, following any 

42 
administrative review or appeal allowed under this Ordinance or otherwise pennitted by the 

Commission, constitute final Commission action. 

(H) Regulation of Non-Gaming Persons and Entities. Any person or entity that provides goods 

or services to a tribally licensed gaming operation or facility, other than gaming services or gaming 

equipment shall cooperate with the Commission and the Tribal and federal law enforcement in any 

investigation by either the Commission or the federal government relative to the fitness of such 

enterprise or organization to engage in business with a gaming operation or facility. The 

Commission may bar such person or entity fr.om providing goods or services to a tribally licensed 

gaming operation or facility upon a determination that such person or entity, or principal thereof is a 

person or entity whose prior activities, criminal record if any, or reputation, habits and associations 

pose a threat to the effective regulation of gaming or create or enhance the dangers of unfair or 

illegal practices, methods and activities in the conduct of gaming. The Commission may bar anyone 

who may cause any licensed employee to violate any provisions of this Ordinance or any applicable 

tribal, federal or state law. Any person or entity affected by a bar under this subsection shall have a 

right to notice and hea:ring as provided in subsection 25.1 6 (G). 

SECTION 25.17 GENERAL PROVISIONS GOVERNING OPERATION OF TRIBALLY 

OWNED OR TRIBALLY OPERATED GAMING FACILITY 

(A) Maintenance of Records. The Commission shall insure that all accowiting records of 

each tribally licensed Gaming Facility are kept on a double entry system of accounting, maintaining 

detailed, supporting, subsidiary records. The Commission shall also insure that the following 

records are maintained for not less than seven (7) years: 

(1) Revenues, expenses, assets, liabilities and equity by game at each location where any 

component of Class II & III gaming, including ticket sales, is conducted. 

(2) Daily cash transactions for each game at each location at which any component of Class 

II & III gaming is conducted, including but not limited to transactions relating to each 

gaming table bank, game drop box and gaming room bank. 

(3) For electronic games of chance, analytic reports that, by each machine, compare actual 

hold percentages to theoretical hold percentages. 

( 4) Contracts, correspondence and other transaction documents relating to all gaming 

vendors and gaming contractors. 

(5) Records of all tribal enforcement activities relating to gaming operated under the 

Tribal/State Compact and other tribal laws. 

(6) All audits prepared by or on behalf of the Tribe. 

(7) Personnel information on all Class III and Class II key employees or gaming agents, 

including complete sets of each employee's fingerprints, employee photographs, and 

employee profiles and background investigations after the completion of employment, 

except that employee work schedules shall be maintained for a period of at least two (2) 

years from the date of the schedule. 

43 
(8) Applications for employment, records of background investigations and suitability 

detenninatfons for licensing shall also be maintained consistent with the requirements under 

Section 25.15 (L)(8). 

(9) The Commission shall also be responsible for all the above information pertaining lo 

Class II Gaming owned or operated by the Tribe. 

(B) Management Contracts. Each gaming management contract shall fully comply with 

applicable federal regulations and is subject to the prior approval of the NIGC. Before submission 

to the NIGC, each gaming management contract shall be approved by the Tribal Council with the 

advice and comment of the Commission. Before giving final consideration to any proposed gaming 

management contract, the Tribal Council shall direct the Commission to conduct a complete 

background investigation of persons and entities with a financial interest in, or having gaming 

management responsibility for, the gaming management contract, including requiring the 

submission of all information required under 25 CFR Section 537. l, as amended, incorporated 

herein by this reference. 

(I) Background infonnation on the proposed gaming management contractor including: its 

name; address; the names and addresses of each person or entity having a 

direct financiai interest or management responsibility for the proposed management 

contractor; and in case of a corporation, the names and addresses of each member of its 

board of directors and all stockholders who hold directly or indirectly ten (10%) percent or 

more of its issued or outstanding stock. 

(2) A description of any previous experience that each person listed in subsection 

25. I 7(B)(l) above has had with other gaming contracts with Indian tribes or with any 

gaming activity or operation wherever located, including the name and address of any tribal 

government or licensing agency with which such person has applied, or held a contract, 

license, or other agreement or pennit relating to gaming, whether granted or not. 

(3) A complete financial statement of each person listed in subsection 25.17(8)(1) for the 

past three (3) years. 

(4) The Commission shall contact each of the tribal governments and licensing agencies in 

subsection 25.17(8)(2) to detennine the performance history of the proposed gaming 

management contractor. 

(5) The Commission shall arrange to have each proposed gaming management contractor 

investigated to learn of his or her personal attributes and to detennine whether he or she has 

a prior criminal record or any pending criminal charges. 

(6) The Commission shall obtain an independent verification of the completed financial 

statements of the proposed gaming management contractor. 

(7) The Commission sha!! undertake any additional steps it can to determine the character 

and reputation of the proposed gaming management contractor and each person listed in 

subsection 25. l 7(B)(l). 

44 
(8) If the Tribal Council, after reviewing the information, described above, still desires to 

enter into a management contract with the proposed gaming management contractor, such 

gaming management contract shall be made in writing and submitted to the Tribe's 

attorney( s) for review. 

(9) Any gaming management contract approved by the Tribal Council must include at a 

minimum, with respect to the gaming activity to which the contract is applicable, all of the 

required provisions contained in 25 CFR Section 531.1, as amended, incorporated herein by 

this reference. 

(10) All persons who possess an ownership or management position in the proposed gaming 

management contract shall apply for an employee gaming license under this Ordinance. No 

gaming management contract shall be approved by the Tribal Council until all employee 

gaming license applications have been reviewed and the Commission has submitted written 

findings on such application(s) to the Tribal Council. 

(1 1) lfthe Council is satisfied with the information it receives, it shall submit the proposed 

contract along with all of the above described information to the Chainnan of the NIGC for 

approval. 

(C) Each tribally owned or tribally operated gaming facility shall carry sufficient liability 

insurance to protect the public in the event of an accident, and in any event, such coverage must 

meet the level required by the Tribal/State Compact. 

SECTION 25.18 CONFLICT OF INTEREST 

(A) No person employed by the gaming enterprise may have a direct or indir~t interest in any 

gaming-related contract with the Tribe, nor may they be. employed by any person who has a 

Gaming-Related Contract with the Tribe, as defined llllder Section 25.4. A direct or indirect interest 

is one in which the employee has an economic interest or receives personal gain from the 

transaction in question. 

(B) An employee of the Gaming Enterprise may have an interest in a non-gaming related 

contract with the Tribe or with the Gaming Enterprise if such employee makes a full disclosure to 

the Commission prior to such contract and the Commission finds that the contract is not unfair to 

the Gaming Enterprise and is satisfied that the contract is non-Gaming Related. This clause seeks to 

avoid the appearance of a conflict of interest while not altering the original conflict of interest 

prohibition contained in the Tribal/State Compact. 

SECTION 25.19 CONDUCT OF GAMES 

(A) The conduct of Class III games shall be as provided for in the Tribal/State Compact. 

(B) Electronic Games of Chance shall be governed by Sectic~n XV of the Tribal/State Compact 

and Blackjack shall be governed by Section XVI of the Tribal/State Compact or in a manner 

determined by both the Tribe and the State, consistent with any amendment to the Compact that 

may occur over time. 

45 
(C) The premises where any gaming is conducted shaH at all times be open to inspection by the 

Stockbridge-Munsee Tribal Council and the Commission, and such other inspections as may be 

required by federal regulations or the Tribal/State Compact. 

(D) Gaming may be conducted each and every day of the week at any hour of the day or night, 

at the discretion of the Commission and the Casino General Manager and consistent with any 

applicable provisions of the Tribal/State Compact. 

SECTION 25.20 SALE OF ALCOHOL 

The sale of alcohol shall be governed by the Stockbridge-Munsee Liquor Ordinance and 

Section V.F. of the Tribal/State Compact. 

SECTION 25.21 JURISDICTION AND ENFORCEMENT 

(A) Jurisdiction. Except as provided in this Ordinance or in any Tribal/State Compact under the 

IGRA, the Commission shall have jurisdiction over all violations of this Ordinance with the right 

for appeal. 

(B) Prohibited Acts. In addition to other civil and criminal offenses provided for in this 

Ordinance or under other applicable law, the following acts are prohibited and may subject any 

violator to the civil, administrative or criminal penalties and/or revocation of Employee Gaming 

License specified herein, and may require a Tribal Gaming Waiver if convicted or entered a plea of 

guilty or no contest to these acts pursuant to the Tribal Gaming Waiver Policy. 

(1) Is found to have intentionally supplied false and/or misleading material information or 

has omitted material information on his/her license application or application for 

employment with any gaming operator or with the Commission. 

(2) Knowingly making a false statement in connection with any contract with the Gaming 

Facility or Ancillary Facilities. 

(3) Bribing or attempting to bribe a Tribal Council member, Commissioner, Compliance 

Officer or other person in an attempt to avoid or circumvent this Ordinance or any other 

applicable law; 

(4) Offering or accepting a loan, financing or other thing of value between a Commission 

member, Compliance Officer, key employee or tribal government official and any person 

participating in any gaming activity, excluding tribal programs like the loan program. 

(5) Falsifying, altering or failing to keep sufficient books and records to substantiate 

receipts, disbursements and expenses incurred or paid from, but not limited to, any gaming 

activity authorized pursuant to this Ordinance. 

(6) Falsifying any books or records that relate to any Lransaction connected with arty gaming 

activity pursuant to this Ordinance. 

46 
(7) Conducting or participating in any gaming activity that in any manner results in cheating 

or misrepresentation or that allows any other djsreputable tactics that detract from the fair 

nature and equal chance of participation between gaming players, or that otherwise creates 

an advantage over and above the chance of such gaming activity and that affects its 

outcome. The employee has knowingly promoted, played or participated in any gaming 

activity operated in violation of this Ordinance or any other applicable law. 

(8) To conduct a gaming activity wjth or to allow participation in a gaming activity by an 

intoxicated or disorderly player. 

(9) To allow or participate in the sale of liquor at gaming sites if such sale is prohibited by 

tribal law; to allow the sale of alcohol to anyone below the age of twenty-one (21 ), or below 

the age permitted under Wisconsin State law. 

(I 0) To accept consideration other than money, personal checks or other approved 

consideration for the chance to play, to provide services or participate in any gaming 

activity. 

(I 1) To solicit, directly or indirectly, or to use inside information on the nature or status of 

any gaming activity for the benefit of any person. 

(12) To tamper with a gaming device or conspire to tamper or manipulate the outcome or 

the payoff of a gaming device, or otherwise interfere with the proper functioning of the 

machine. 

(13) To alter or counterfeit a gaming license. 

(14) To aid, abet or conspire with another person knowingly, or knowingly. to cause any 

person to violate any provision of this Ordinance or any rules and regulations adopted 

hereunder. 

(15) To operate, use or make available to the public any illegal gaming device, apparatus, 

material or equipment. 

(16) To sell or hold out for sale or transport into or out of the jurisdiction of the Tribe any 

illegal gaming device, apparatus, material or equipment. 

(17) To assist or allow a person who is under age to participate in any gaming activity. 

(18) To possess any illegal narcotics or illegal controlled substances on any licensed 

gaming site. 

(19) To steal or attempt to steal funds or other items of value from the Tribe or any gaming 

facility or ancillary facility. 

(20) To conspire with or induce any person to violate any of the provisions of this 

Ordinance or any tribal, federal or applicable state law. 

47 
(21) No Gaming Operator or any of his or her employees, agents or vendors shall engage in 

any act, practice, or course of operation that could result in a fraud or deceit upon any 

person. 

(22) To use bogus or counterfeit chips, or to substitute or use any game, cards, or gaming 

equipment that have been marked or otherwise altered. 

(23) To bring onto tribal lands, to employ or have on tribal property any device to facilitate 

cheating in any game of chance. 

(24) To knowingly use any fraudulent scheme or technique, or to solicit, provide or receive 

inside infom1ation about any gaming activity with the intent of benefiting any person. 

(25) To take, solicit or encourage any action that undennines the integrity of any game of 

chance. 

(26) To participate in any gaming activity that was not authorized by this Ordinance. 

(C) Civil Violations. Any person or entity who violates any provision of the Ordinance, 

Tribal/State Compact, adopted Minimum Internal Control Standards or any rule or regulation 

authorized hereunder, or fails or neglects to comply with any order of the Commission, may be 

liable for civil or administrative fine not to exceed five thousand dollars ($5,000). Each day du1ing 

which such violation or failure to comply continues shall constitute a separate violation of this 

Ordinance. Fines issued by the Commission are governed by the Commission's .. Regulations on 

Fines and Enforcement Policy for Tribal Gaming Entities and their Employees." 

(1) Any person who violates any provision of this Ordinance or any rule or regulation 

authorized hereunder shall be subject to the IGRA, 27 U .S.C. 2713, which states that civil 

penalties for such violations of tribal law or the federal act may result in fines not to exceed 

twenty-five thousand ($25,000) against a tribal operator or management contractor. 

(D) Purpose of Civil and Administrative Penalties. The civil and administrative fines imposed 

under this Ordinance are int.ended to be remedial and not punitive and are designed to compensate 

the Tribe for the damage done to the peace, security, economy and general welfare of the Tribe and 

the tribal community and to compensate the Tribe for costs incurred by the Tribe in enforcing this 

Ordinance. The civil and administrative fines under this Ordinance are also intended to coerce 

persons into complying with this Ordinance and the Commission regulations and not to punish such 

persons for violation of such laws and regulations. 

(E) Seizure and Forfeiture of Property. AH property utilized in violation of this Ordinance 

shall be subject to seizure and forfeiture by order of the Commission, pursuant to tribal law, or by 

the State if prosecution proceeds under State criminal law. 

(F') Criminal Violations. State criminal law shall apply as mandated under P.L. 280 and as 

specifically addressed in the Tribal/State Compact. In those areas where the state has no criminal 

statutes to cover the criminai violation that occurs on tribai property, pertaining lo a gaming-related 

incident, the Tribe and the state shall work together to devise a means of enforcement against the 

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specific violati~n. Where cooperation is not forthcoming from the state, the Commission shall seek 

assistance from federal agents for enforcing tribal gaming laws and any applicable federal laws. 

SECTION 25.22 NOTICE FOR SERVICE 

Any legal notice required to be served on the Stockbridge-Munsee Community shall be served on 

the Tribal President at N8476 Moh He Con Nuck Road, Bowler, Wisconsin 54416. 

SECTION 25.23 SEVERABILITY 

In the event that any section or provision of this Ordinance is held invalid, it is the intent of the 

Tribal Council that the remaining sections or provisions of this Ordinance shall continue in full 

force and effect. 

LEGISLATIVE HISTORY 

1. Bingo Ordinance (No. 8) approved July 17, 1982. 

2. Resolution No. 0817, July 26, 1982. 

3. Resolution No. 0928, dated May 7, 1985, rescinds Resolution 0817 and enacts ordinance for purpose of 

authorizing and regulating gaming. Approved by 13IA June 5, 1985. 

4. Resolution No. I 009 dated December 2, 1986 amends rd inaoc~ re. bingo. 

5. Resolution No. I 064, dated December 29, 1987, amends ordinance re. bingo. 

G. Resolution No. I 081, dated May 17, 1988, amends ordinance re. royalty fees. 

7. Council action to change sections 5 and 6, November 1 , 198 8. 

8. Resolution No. 1147; May 16, 1989, revised section 6 and. added definitions. 

9. Gaming Ordinance entitled 11 An ordinance relating to the regulation of gaming activity on the StockbridgeMunsee Reservation" passed by Council 1992. 

I 0. Resolution No. 1338-92, November 3, 1992, enacts amended Bingo ordinance and amended gaming ordinance 

to provide for the merging ofthe Bingo Board and Gaming Board into one Board. 

11. May 1993, Gaming Roles and Responsibilities approved and added to ordinance. 

12. Resolution No. 1370-93. June I, 1993, approved gaming ordinance revised in its entirety. 

13. Ordinance combined both Class TI and Class fil gaming, approved by Tribal Council August 19, 1993 by 

Resolution. Approved by National Indian Gaming Commission and published in Federal Register December I 4, 1993. 

14. March 21, 1995, Ordinance revised in its entirety, creating a Gaming Commission instead ofa Gaming Board 

to regulate the gaming enterprise. 

15. May 24, 1995, Council adopted Resolution 1498-95 approving revisions to Gaming Ordinance and forwarded 

to NIGC on June 2, 1995 for review and approval. 

16. Council approved amendments to ordi.nancc to reflect creation of Compliance Department and restructuring of 

Gaming Commission, June 28, 1995 - August 9, 1995. Those changes not affecting federally mandated provisions do 

not need NIGC approval and neither the Gaming Commission nor the Compliance Department are mandated by federal 

Jaw. 

I 7. July 14,. 1995. Revised ordinance approved by NI GC. 

18. June28, 1995, Amendments finalized on August22, 1995, Resolution 1525-95. 

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19. l 997 amendment finalized on February 18, 1997, resolution number l l l -97, amending to add l'l.ew section 

20. l.l. 

20. Revisions approved on July 1, l 997, resolution number 232-97: 

21. Revisions approved by Tribal Council on June 2, 1998, resolution number 227-98 

22. Revisions approved by Tribal C~:mncil on April 20, 1999, resolution number 026-99: 

23. Complete Revision adopted on April 1, 2003 by the Tribal Council, by Resolution Number 015-03. 

24. Sections4.4.2, 4.2'.l, 4.27, 14.6.4, 14.65.6, 15.1, 15.J.29, 153.2.10, l:'U.6, 15.4.1, 15.6, 15.7, 15.8, 15.12.1.2, 

15.12.7, 13.1, 15.14, 15.15, 15.16, 15.18 amended, Se(,1ion 25.22 newly created, and Section 25.23 renumbered from 

25.22. Adopted by Tribal Council by Resolution Number 043-03, on October 7, 2003. Approved by NIGC on 

December 11, 2003. 

25. Amended by the Tribal Council on June 2, 2009, by Resolution No. 057-09. Amendments submitted to NIGC 

for approval on June 3, 2009 and subsequently withdrawn. On June 8, 2009, through Resolution No. 060-09, the Tribal 

Council revoked the amendments approved on June 2, 2009 and approved corrected amendment to Section 4.20. 

Amendment ofSe.ction 4.20 submitted to NIGC for approval and approved on June 12, 2009. 

26. Amendments adopted by the Tribal Council on December 6, 2011, by Resolution No. 012-12. The 

amendments to Chapter 25 are as follows: 

• Changes or additions to Sections: Preamble; 4.1; 4.2; 4.5; 4. l 1; 4.18; 8.3.3; 9.12.l; 9.12.2; 9.12.30; 

9.12.32.l.4; 9.14; 9.15; 9.15.l; 10.l; 10.4.4; 10.4.6; T0.4.8; 10.4.9; 10.10; ll.2; 11.5; ll.6.l; ll.6.3; 11.6.4; 

15.2; 15.4.l; 15.5; 15.10.2; 15.10.3; 15.15; 15.18.3; 15.18.4; 16.8; l 7.1; 21.2.2; 21.2.3; 2 l.2.4; 21.2.5; 21.2. JO; 

21.2.19: 21.2.21: and 21.2.26; 

• Deletion of Sections: 14.14.2 and 14.14.6 (with 14.14 then renumbered accordingly); and 16.9; 

• Addition of new Sections: 4.18.1 . l-.12; 4.18.2; 4.18.3; 4.18.4; 4.22.4; I0.4.4.1; 10.4.4.2; 10.4.10; 10. l l; 

11.3.5; 15.10.8; 15.10.9; 15.16.2 and 15.16.3 (with 15.16 then renumbered accordingly); and 15.18.6 (with 

15.18.7 then renumbered); and 

• Minor language clarifications in Sections: 4.2.3; 4.2.5; 7.1; 9.2; 9.3; 9.12.8; 9.12.13; 15.3.2.3; 15.3.2.10; 

15.4.3; 15.4.4; 15.6.7; 15.1l.2;15.12.1; 15.12.4; 15.18.2; 15.18.5; 16.l.2; and 16.5. 

Amendments submitted to NlGC for approval. Tribe informed by NfGC that corrections needed to Sections 25.15.3.4 

and 25.15.3. 7 so that language matches federal regulations. Corrected amendments, which included changes to Sections 

25.15.3.4 and 25.15.3.7, re-adopted by the Tribal Council on January 30, 2012, by Resolution No. 017-12. Corrected 

amendments submitted to NIOC for approval and approved on March 5, 2012. 

27. Revisions adopted by the Tribal Council on October 6, 2015, by Resolution No. 02-16. The revisions included a 

renumbering of the entire Ordinance to be consistent with fonnat of other ordinances; changes to the definitions of 

ancillary facility, key employees and primary management officials, additional language for addressing disputes in 

relation to changes to operating procedures, and additional bases for suspension or denial of a gaming license. Revised 

ordinance sul>mitted to NIGC for approval on October 13. 2015. NIOC informed Tribe that additional corrections 

needed to update ordinance so that language satisfies federal regulations. Tribe withdrew ordinance from review by 

NIGC by letter dated November 18, 2015. 

Amendments, incorporating the original 2015 revisions plus additional changes, adopted by the Tribal Council 

on January 5, 2016 by Resolution No. 018-16. Tribal Council did not feel an additional comment period was necessary 

since changes primarily incorporated technical corrections required per NIGC. Amendments submitted to NIGC for 

approval on January 7, 2016. NIGC informed Tribe that addicional corrections were needed so that language satisfies 

federal regulations. Tribe withdrew ordinance from review by NIGC on February 17, 2016. 

Tribal Council adopted 2nd round of amendments, which incorporated the original 2015 revision and the 

January 2016 amendments, on February 16, 2016, by Resolution No. 029-16. Tribal Council waived an additional 

posting period since changes are technical corrections required per NIGC. The adopted amendments are as follows: 

• Renumbering of entire ordinance. 

• Addition of Table of Contents. 

• Changes or additions to Sections: 25.4{A), (I}, (R), (S), (X), (Z) and (EE); 25.8(N); 25.9(11)(2)(b) and (e); 

25.9(H)(3)(a) and (c); 25.9(K)(l); 25.9(L); 25.9(L)(l), (16), (20), (29), (30), (31)(d), (32)(a), (32)(a)(iv), 

(32)(c), 32(c)(i)-(iii) and (38); 25.9(M)(l)(b); 25.9(N); 25.9(0); 25.IO(D)(l), (4), (4)(a)-(b); 25.IO(E)(l)-(3); 

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25.10(F)1and (P)(l ), 25. lO(G), (H), (J) and (K); 25.l l(F), (F)(2) and (F)(5); 25.14(P); 25. l5(B); 

25.l5(C)(2)(o), (C)(8) and (C)(9); 25.15(0)(1) and (a)-(d); 25.15(E); 25.l5(J)(6); 25.15(K) and (1)-(3); 

25 .l S(L )( 1 )-(8); 25. l 5(N); 25.15(8); 25 .16(C); 25.17(A ), (A)(l )-(2), (A)(7) and (A)(8); and 25.21 (A). 

• Deletion of Sections: 25.4(R); 25.15(C)(6); 25.16(P)(l0); and 25.15(R)(8). 

• Addition of new Sections: 25.4 (S), (T) and (U); 25.7(G); 25.15(D)(2); 25.15(J){10); and 25.15(T). 

• Minor language clarifications in Sections: 25. l(D); 25.8(B), (G), (K) and (O); 25.9(D); 25.9(L)(3), (6), ( l l), 

(14), ( 19), (24), (25), (32)(l)(iii), and (33); 25. 10; 25.12(A); 25.14(A), (D), (E)(2)(b), (F)(2), (G) and (0); 

25.15(C)(4); 25.15(0)(3)-(4); 25.IS{J); 25.15(P)(6); 25.17(A)(4); 25.17(8); and 25.2l(C)(1). 

Amendments submitted to NIGC for approval on February 17, 2016. Approved by NIGC on ___ _ 

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