MAR - 5 2012 

Bridget Swanke, Staff Attorney 

Stockbridge-Munsee Community 

N8476 Moh He Con Nuck Road 

Bowler, WI 54416 

Also via Fnx (715) 793-4856 

RE: Gaming Ordinance Amendments, Resolution No. 017-12 

Dear Ms. Swanke: 

This letter responds to your request on behalf of the Stockbridge-Munsee 

Community for the National Indian Gaming Commission (NIGC) to review and 

approve the Community's gaming ordinance. The gaming ordinance was 

adopted by the Stockbridge-Munsee Tribal Council in Resolution No. 017-12. 

Among other changes, Section 4.22.4 of the amended ordinance includes in 

the definition of primary management officials "the four most highly 

compensated employees at the Gaming Facility, including Ancillary Facilities." 

All primary management officials are subject to the background and licensing 

provisions of the Indian Gaming Regulatory Act (25 U.S.C. 8 2710) and NIGC 

regulations (25 C.F.R. 58 556 and 558). 

Thank you for bringing the amended gaming ordinance to our attention. 

The ordinance amendments are approved, as they are consistei~t with the 

requirements of the Indian Gaming Regulatory Act and NIGC regulations. If you 

have any questions, please contact Staff Attorney Jennifer Ward at (202) 632-7003. 

Sincerely, 

Tracie L. Stevens 

Chairwoman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington DC 20005 Tel: 202,6327003 Fan: 202632.7066 W.NlGc.~ov 

REGIONAL OFFICES Poitland. OR; Sacramento, CA; Phoenix, AZ: St. Paul, MN:Tulsa. OK 
Cc: Mohican Gaming Con~mission 

Stockbridge-Munsee Tribal Council 
BAND OFTHE MOHICAN INDIANS 

TRIBAL COUNCIL OFFICES 

RESOLUTION 

January 3 o"', 20 12 No. 017-12 

. . 

M/NE.REAS, The Tribe wishes to ~b~~ly with NIGC's recommendation, . . and resubmit the .. . . co&ected amendments for approval; . . 

NOW TX-IEKEFORE BE IT RESOLVED, the Stocltbridge-Munsee Tribal Council hereby 

revokes the amendments to Chapter 25 that were adopted on December 6,201 1; 

N8476 MOW HE CON NLlCK ROAD . BOWLER, WI 54416 0 (715) 793-4111 0 FAX: (715) 793-1307 
BE IT PURTIIER RESOLVED, since the additional changes are teclmical corrections to the 

amendments to Chapter 25 that been adopted oil Decenlber 6; 201 1, any need for an additional 

posting of the anleildrnents is waived; and 

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

corrected anle~ldn~ents to Chapter 25, wl~ich include the following changes: 

r Changes or additions to Sections: Preamble; 4.1; 4.2; 4.5; 4.1 1; 4.18; 8.3.3; 9.12.1; 

9.12.2; 9.12.30; 9.12.32.1.4; 9.14; 9.15; 9.15.1; 10.1; 10.4.4; 10.4.6; 10.4.8; 10.4.9; 

10.10; 11.2; 11.5; 11.6.1; 11.6.3; 11.6.4; 15.2; 15.3.4; 15.3.7; 15.4.1; 15.5; 15.10.2; 

15.10.3; 15.15; 15.18.3; 15.18.4; 16.8; 17.1; 21.2.2;21.2.3; 21.2.4; 21.2.5; 21.2.10; 

21.2.19; 21.2.21; and 21.2.26; 

* Deletion of Sections: 14.14.2 and 14.14.6 (with 14.14 then renunbered accordingly); 

and 16.9; 

AdditionofnewSections: 4.18.1.1-.12;4.18.2;4.18.3;4.18.4;4.22.4;10.4.4.1;10.4.4.2; 

10.4.10; 10.11; 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 renunbered); and 

* Miaorlanguage 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; 15.11.2; 15.12.1; 15.12.4; 15.18.2; 15.18.5; 

16.1.2; and 16.5. 

CERTIFICATION 

I, the undersigned, as Secretary of the Stockbridge-Munsee Tribal Cou~cil, 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 30"' day of January, 2012, that the foregoing 

resolution was duly adopted at such meeting by a vote of 5 for, 1 against, and fi abstaining. 2- 

N8476 MOH HE CON NUCK ROAD 0 BOWLER, WI 54416 a (715) 793-4111 a FAX: (715) 793.1307 
CHAPTER 25 

STOCKBRIDGE-MUNSEE TRIBAL LAW ,/AN 

GAMING ORDINANCE " 5' 2072 

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

IS and Class IS1 gaming, within the jurisdiction of the Stockbridge-Munsee Community 

on its Wisconsin Reservation. 

SECTION 25.1 FINDINGS, PURPOSES AND POLICY 

1.1 Findings. The Stockbridge-Munsee Tribal Council on behalf of the Stockbridge-Munsee 

Tribe finds that: 

1.1.1 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. 

1.1.2 The Tribe has the legal authority to license and regulate all gaming activity not 

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

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

1.1.3 St is essential that the Tribe regulate gaming in a manner commensurate with 

applicable federal and tribal law and policy, including any TribalIState Gaming Compact. 

1.1.4 Tribal needs include employment opportunities, job and slcills training, housing, 

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

and judiciary, infrastructure, and economic diversification. - 

1.1.5 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. 

1.2 Purposes. The purposes of this Ordinance are to: 

1.2.1 Regulate, control and license the operation of all gaming within the jurisdiction of the 

Stockbridge-Munsee Tribe. 

1.2.2 Make clear and explicit that a tribal license to operate a gaming activity, to provide 

gaming related services or equipment or to worlc as a gaming employee is a revocable 

privilege, not a right or a property interest. 

1.2.3 Ensure that the operation of tribally regulated gaming will continue as a means of 

generating tribal revenue. 
1.2.4 Ensure that tribally regulated gaming is conducted fairly and honestly by both 

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

~mconscionable and dishonest persons and practices. 

1.2.5 Promote, strengthen and diversify tribal economic development and selfdetermination and enhance employment opportunities for its members. 

1.2.6 Generate revenue to strengthen and improve tribal self-government and the provision 

of tribal governmental services. 

1.2.7 Ensure that the tribal gaming laws are strictly and fairly enforced against all persons 

involved in gaming activities within the jurisdiction of the Tribe. 

1.2.8 Ensure that the Tribe provides a fair and impartial forum for the resolution of gaming 

disputes. 

1.3 Tribal Policy of Self-Government. The Tribe is firmly committed to the principle of tribal 

self-government. 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. 

1.4 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 Indian Gaming 

Regulatory Act, and that all proceeds of such gaming are used for the benefit of the Tribe as 

required by the Indian Gaming Regulatory Act and tribal law. When operated in accordance with 

the provisions orthis 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 

2.1 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 

living on lands under the jurisdiction of the Stoclcbridge-Munsee Tribe and all those who enter 

said lands for lawfill 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 terms 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 following terms and expressions shall have the following meanings: 

4.1 "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 

Stoclcbridge-Munsee Community, but are not gaining activities subject to regulation under the 

Indian Gaming Regulatory Act or the TribalIState Gaming Compact. 

4.2 "Barring Offense" means convictions or circumstances pertaining to an individual or 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 15.10. 

4.3 "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. 

4.4 "Class I1 gaming" means: 

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

computer or other technologic aids are used in connection therewith): 

4.4.1.1 Which is played for prizes, including monetary prizes, with cards bearing 

numbers or other designations, 

4.4.1.2 In which the holder of the card covers such numbers or designations when 

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

and 

4.4.1.3 In which the game is won by the first person covering a previously 

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

in same location) pull-tabs, lotto, boards, tip jars, instant bingo ;nd 

other games similar to bingo, and 

4.4.2 Non-Banking Card games that: 

4.4.2.1 Are explicitly authorized by the laws of the State, or 

4.4.2.2 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 of such card games or limitations on wagers or pot sizes in such carcl 

games. Class I1 gaming does not include any banking card games, including 
baccarat, chemin de fer, or blackjack (21), or electronic or electromechanical 

facsimiles of any game of chance or slot machines of any lcind. 

4.5 "Class I11 gaming" means all forms of gaming that are not Class I gaming or Class I1 

gaining, and for purposes of Stoclcbridge-Munsee Gaming facilities, any ofthe Class I11 games 

permitted by a TribaVState Compact entered into by the Tribe with a state. 

4.6 "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. 

4.7 "Compliance Department" means an investigative entity created by the Tribal Council to 

conduct background investigations for the tribal gaming licensing 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. 

4.8 "Council" or "Tribal Council" means the duly elected governing body of the StoclcbridgeMunsee Tribe. 

4.9 "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. 

4.10 "Gaming Commission" means the Mohican Gaming Commission as established pursuant 

to this Ordinance. 

4.1 1 "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 Charter7 

4.12 "Gaming Operator" means the Stoclcbridge-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. 

4.13 "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 Tribalistate Compact. 

4.14 "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. 

4.15 "Gaming Services Vendor" see "Gaming Related Contractor." 
4.16 "General Manager" or "Manager" is a Tribal Council hired position responsible for 

managing the day-to-day business of a tribal gaming enterprise. Each gaming facility shall have a 

general manager. 

4.17 "Gross Gaming Proceeds" means any money collected or received from any gaming 

activity. 

4.18 "Key Employee" for the purposes of this Ordinance includes the following employees: 

4.18.1 Employees who perform one or more of the following fimctions: 

4.18.1.1 Bingo caller; 

4.18.1.2 Slot Department personnel; 

4.18.1.3 Director of Security and all security guards working within the Gaming 

Facility; 

4.1 8.1.4 All surveillance officers; 

4.18.1.5 Custodian of gaming supplies or gaming cash; 

4.18.1.6 Pit boss; 

4.18.1.7 Table games dealer; 

4.18.1.8 Casino host; 

4.18.1.9 Custodian of gambling devices including persons with access to gaming 

cash and accounting records within such devices; 

4.18.1.10 Floor Manager and other Department managers; 

4.18.1.1 1 Croupier; and 

4.18.1.12 Count room supervisor. 

4.18.2 If not otherwise included, any person working in the Gaming Facility whose total 

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

4.1 8.3 If not otherwise included, any person with supervisory authority o~r key 

employees; 

4.18.4 If not otherwise included, any employee with access to gaming supplies, gaming 

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

gaming facility or gaming employees. 

4.19 "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. 

4.20 "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. 

4.21 "Primary Gaming License" means a permanent gaming license subject to the renewal 

requirements, revocation/suspension provisions, and administrative penalties of this Ordinance. 
4.22 "Primary Management Official" means: 

4.22.1 The person having management responsibility for a management contract; 

4.22.2 Any person who has authority; 

4.22.2.1 To hire and fire employees, or 

4.22.2.2 To set up worlcing policy for the gaming operation; or 

4.22.3 The chief financial officer or other person who has financial management 

responsibility; or 

4.22.4 The four (4) most highly compensated employees at the Gaming Facility, including 

Ancillary Facilities. 

4.23 "Provisional Gaming License" means the "temporary gaming license" issued to an 

employee by the Commission pursuant to Section 25.15 of this Ordinance 

4.24 "Suitable" means if a person, through a background investigation is determined 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 and control 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 business and financial 

arrangements incidental thereto or means that an individual or vendor has met the requirements 

set forth by the Commission to obtain or retain an employee gaining or vendor license. 

4.25 "Tribe" means the Stoclcbridge-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. 

4.26 "Tribal Court" means the Stockbridge-Munsee Tribal Court system. 

4.27 "Tribal Lands" means: 

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

(B) 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. 

4.28 "Tribal Gaming Waiver" means a waiver issued by the Tribal Council pursuant to the 

Tribal Gaming Waiver Policy. 

4.29 "Tribal Gaming Waiver Policy" means that policy approved by the Tribal Council and 

implemented by the Commission and the Tribal Council, 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 

5.1 Net revenues from Class I1 and Class I11 Gaming shall be used only for the following purposes: 

5.1.1 To fund tribal government operatioils and programs. 

5.1.2 To provide for the general welfare of the Tribe and its members. 

5.1.3 To promote tribal economic development. 

5.1.4 To donate to charitable organizations. 

5.1.5 To help fund operations of local government agencies. 

5.2 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 2710@1)(3). 

SECTION 25.6 HANDLING OF GAMING RECEIPTS 

6.1 All monies collected or received from the operation of a tribal gaming enterprise shall be 

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

money. All operating expenses shall be withdrawn Erom such account(s) by consecutively 

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. 

6.2 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. 

6.3 The Casino General Manager shall ensure that the gaming enterprise complies with the 

provisions of Section XI11 of the Tribal-State Gaming Compact pertaining to taxes. 

6.4 The Casino General Manager shall insure that the gaming facility complies with the 

applicable provisions of Title 3 1 as amended (The Bank Secrecy Act). 

SECTION 25.7 GENERAL PROVISIONS 

7.1 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 Stockbridge-Munsee Tribal Constitution. 

7.2 Application of Federal Policy. In 1970, President Nixon announced the policy of the 

United States Government to promote self-determination 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 Self-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. 

7.3 Stoclrbridge-Munsee Policy of Self-Government. The Tribe is firmly committed to the 

principal .of tribal 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. 

7.4 Title, Repeal of Prior Laws, and Effect of Repeal. This Ordinance may be cited as 

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

Stockbridge-Munsee Book of Tribal Ordinances. All 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 thereof inconsistent 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. 

7.5. Construction. In construing the provisions of this Ordinance, unless the context otherwise 

requires, the following rules shall apply: 

7.5.1 This Code shall be liberally construed to effect its purpose and to promote 

substantial justice. - 

7.5.2 Words in the present tense include the future and past tenses. 

7.5.3 Words in the singular number include the plural, and words in the plural number 

include the singular. 

7.5.4 Words of the masculine gender or neutral gender include masculine and feminine 

genders and the neuter. 

7.6 Severability. If any section of this Ordinance is invalidated by a court of competent 

jurisdiction, the remaining sections shall not be affected thereby. 

SECTION 25.8 TRIBAL COUNCIL. POWERS AND DUTIES 

8.1 This Ordinance is authorized and adopted by the Stockbridge-Munsee Tribal Council 

pursuant to its powers under the tribal constitution. 
8.2 The Stoclcbridge-Munsee Tribal Council may further delegate responsibilities under the 

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

Ordinance and to assure compliance with the Indian Gaming Regulatory Act, the Tribalistate 

Compact and all other regulations, policies and procedures promulgated therefrom. 

8.3 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. 

8.4 The Stockbridge-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 permit itself or its agents acting on its behalf to be sued in any 

court. 

8.5 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. 

8.6 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, 

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

8.7 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 revenues 

according to tribal needs and requirements for continued growth. 

8.8 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. - 

8.9 The Tribal Council has authority to employ and dismiss Gaming Commissioners, pursuant 

to the standards for employment and dismissal set forth in Section 25.9.1 1 hereinafter. 

8.10 The Tribal Council shall retain authority to hire the Casino General Manager, and to 

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

discipline this position, such termination 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. 

8.11 The Tribal Council shall review all monthly financial reports forwarded from the Gaming 

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

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

designated entity. 

8.12 The Tribal Council shall have final approval over any proposed stmctural changes to 

facilities in which the gaming enterprise is operated. 
8.13 The Tribal Council, consistent with an approved gaming waiver policy, shall have the final 

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

to licensing. 

8.14 The Tribal Council shall create a Compliance Department to perform baclcground 

investigations and other gaming related duties as requested by the Gaming Commission. All 

Compliance employees shall be subject to the same baclcground investigation standards as the 

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

while carrying out their duties related to gaming license background investigations and any other 

duties requested by the 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. 

8.15 All policies and regulations developed pursuant to this Ordinance shall be subject to final 

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

ofthe 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 jurisdiction of the 

National Indian Gaming Commission which has the authority to close a game or operation for 

failure to comply with gaming laws and the Tribal Council will strive to avoid subjecting the Tribe 

to edorcement actions from the National Indian Gaming Commission. 

SECTION 25.9 MOEITCAN GAMING COMMISSION 

9.1 Establishment. The Tribe herebv creates and establishes the Mohican Gamine ., Commission (hereinafter "Commission"), a subordinate organization, as a governmental 

subdivision of the Tribe, while reserving the right to review actions of this body. 

9.2 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 tn~st for the benefit of the Stoclcbridge-Munsee Community. 

9.3 Duration. The Commission shall have perpetual existence and succession in its own 

name, unless dissolved by the Tribal Council pursuant to Tribal law. 

9.4 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 purposes of regulation of tribal gaming pursuant to the 

Indian Gaming Regulatory Act ("IGRA"), tribal law and the Tribalistate Compact. It is the 

purpose and intent of the Tribe in creating the 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 tribal gaming enterprises. In 
canying 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. 

9.5 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 any tribal, 

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. 

9.6 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 

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

affairs of the Commission or the Tribe, or to be a consent of the Tribe 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 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. - 

9.7 Assets of the Commission. The Commission shall have only those assets specifically 

assigned to it by the Tribal Council or acquired in its name by the Tribe or by the Commission 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. 

9.8 Membership. 

9.8.1 Number of Commissioners. The Tribal Council shall employ the number crf 

Commissioners necessary to perform the duties of the Commission. 

9.8.2 Qualification of Commissioners. 

9.8.2.1 Shall be an enrolled member at least twenty-one (21) years of age 
9.8.2.2 Shall have at least two years of experience in at least one of the following 

areas: 

a) Business Management 

b) Economic Development 

c) Marketing 

d) Law 

e) FinanceiAccounting 

f) Security/Law Enforcement 

g) Gaming 

h) A degree or formal training in any of the above 

9.8.2.3 Shall not serve in any elected government position in the StockbridgeM~msee Tribe. 

9.8.2.4 No individual shall be eligible for employment with or to continue services 

on the Commission 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 gaming-related contract with the Tribe. 

9.8.2.5 No individual shall be eligible for employment with or to contin~~e services 

on the Commission 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 appointed or to continue with his or her term. 

9.8.2.6 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. 

9.8.3 Background - Check. Prior to the time any Commissioner taltes offie on the 

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

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

9.8.3.1 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; 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 

9.8.3.2 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. 

9.8.3.3 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. 
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 or manufacture of a 

controlled substance. 

9. 9 Meetings. 

9.9.1 Regular Meetings. The Commission shall hold at least one regular monthly 

meeting that shall take place on the date determined by the Commission by-laws, or 

as otherwise determined by the Commission. 

9.9.2 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. 

9.9.3 Compensation of Commissioners. Commissioners shall receive a salary 

set by the Tribal Council. 

9.9.4 Quorum. A quorum for all meetings shall consist of a simple majority of 

Commission members. 

9.9.5 Voting. All questions arising in connection with the action of the 

Commission shall be decided by majority vote. 

9.9.6 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. 

9.10 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. 

9.11 Removal of Members and Filling Vacancies. 

9.11.1 Removal. A Commissioner may be removed by the Tribal Council for 

serious inefficiency, neglect of duty, misconduct in office, or for any conduct that 

threatens the honesty or integrity orthe 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. 

9.11.2 Vacancies. If any Commissioner shall die, resign, be removed, or for 

any reason be unable to serve as a Commissioner, the Tribal Council shall declare 

his or her position vacant and shall hire another person to fill the position. 

9.12 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. The Commission is also authorized to exercise by 

majority vote the following powers in addition to all powers already conferred by this Ordinance: 

9.12.1 Exclusive jurisdiction to issue, restrict, suspend, revoke and renew any licenses 

issued by the Commission. 

9.12.2 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. 

9.12.3 To insure that completed gaming applications and completed investigative reports 

for primary manalrement officials and key employees are forwarded to the National Indian A - A. 

Gaming Commission ("NIGC") prior to issuing a gaming license. 

9.12.4 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 

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

by the Compliance Department. 

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

Stockbridge-Munsee Tribe elects to allow gaming. 

9.12.6 The Commission shall obtain annual independent outside audits, pursuant to the 

terms of the Tribalistate Compact, and submit these audits to the National Indian Gaming 

Commission as required by federal regulations, and to the State Gaming Board as required 

by the Compact, consistent with Section 25.12. 

9.12.7 To ensure that net revenues from any gaming activities are used for the limited 

purposes set forth in the Tribal Gaming Ordinance. 

9.12.8 To promulgate gaming regulations pursuant to tribal law and consistent with 

Section 25.9.13.2 of this Ordinance. 
9.12.9 To monitor and regulate all tribal gaming activities to ensure compliance with tribal 

lawlregulations. The Commission shall have such access to tribal gaming facilities and to 

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

9.12.10 To interact with other regulatory and law enforcement agencies regarding the 

regulation of gaming, as necessary to fulfill their duties. 

9.12.1 1 To be completely familiar with the Indian Gaming Regulatory Act, the federal 

regulations prom~~lgated thereunder, the Tribal Gaming Ordinance, the TribalIState 

Compact and related laws and to monitor the facility for compliance with those laws. 

9.12.12 To conduct investigations of possible violations of any gaming laws or regulations 

and talce appropriate enforcement action as authorized through this Ordinance or in 

regulations duly promulgated by the Commission and approved by the Tribal Council. 

9.12.13 To provide independent information to the Tribe on the status of the Tribe's 

gaming activities. See Section 25.9.24 on reporting for more detail. 

9.12.14 To issue oaths, take testimony and conduct hearings on regulatory matters, 

including all matters related to primary management official and lcey employee licenses or 

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

held for licensing of gaming services vendors. 

9.12.1 5 Be familiar with the minimum internal control standards or procedures for all 

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

and equipment. 

9.12.16 Establish any supplementary criteria for the licensing of primary management 

officials, key employees and other employees, vendors or contractors that the Tribe deems 

necessary. 

9.12.17 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." 

9.12.18 To maintain records on licensees and on oersons denied licenses including versons -A 

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

consistent with federal law, the TribaltState Compact requirements and this Ordinance. 

9.12.19 To perform audits of business transactions to ensure compliance with regulations 

andlor policy. 

9.12.20 To establish or approve rules of new games consistent with the requirements of 

the Tribalistate Compact and other applicable laws, and inspect games, tables, equipment, 
machines, cards, dice and chips or tokens used in the gaming operation. To inspect the 

video surveillance standards. 

9.12.21 To insure that a mechanism is in place to resolve patron disputes, employees' 

grievances and other problems, pursuant to the Tribal Gaming Ordinance and other tribal 

regulations and policies that may be in place regarding those issues. 

9.12.22 With prior approval of the Tribal Council, to malce application and accept grants 

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

purposes of the Commission or the Tribe. 

9.12.23 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 all of the powers vested in this Ordinance as permitted 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. 

9.12.24 Reporting. To require by regulation the filing of any records, forms and reports 

and all other information desired by the Council for implementation of this Ordinance 

relating to any gaming activity or 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). 

9.12.25 To provide for an internal system of record keeping with adequate safeguards for 

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

baclcground investigations shall be retained by the Compliance Department for at least 

seven years from the termination of employment or business relationship and Commission 

decisions related to the licensing of primary management officials, lcey employees or any 

other entity licensed by the Commission, shall be retained in Commission files for a period 

of at least seven (7) years from termination of employment or business rela+ionship. 

9.12.26 To adopt a schedule of fees to be charged for gaming licenses issued pursuant to 

this Ordinance. 

9.12.27 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. 

9.12.28 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 attorney(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. 
9.12.29 To discipline any licensee or other person participating in any gaming activity by 

ordering immediate compliance with this Ordinance or Commission 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. 

9.12.30 To issue an order of cease and desist to any primary 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. 

9.12.3 1 Notice of Violation. The Commission may issue a 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: 

9.12.31.1 A citation to tribal, federal or state requirement that has been or is being 

violated; 

9.12.3 1.2 A description of the circumstances surrounding the violation, set forth in 

common and concise language; 

9.12.3 1.3 Measures req~~ired to correct the violation; 

9.12.3 1.4 A reasonable time for correction, if the respondent cannot take measures to 

correct the violation immediately; and 

9.12.3 1.5 Notice of rights of appeal. 

9.12.32 Order of Temporary Clos-ure. - 

9.12.32.1 When an Order of Temporary Closure may issue. Simultaneously with 

or subsequently to the issuance of a notice of violation under Section 9.12.3 1 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: 

9.12.32.1 .1 The respondent fails to correct violations within the time 

permitted in a notice of violation. 

9.12.32.1.2 The gaming operation operates for business without a 

license. 

9.12.32.1.3 The gaming operation operates for business without either 

baclcground investigations having been completed for, or tribal licenses 

granted to all lcey employees and primary management officials as provided 

for in this Ordinance. 
9.12.32.1.4 The gaming operation'refuses to allow an authorized 

representative of the Commission or another authorized tribal official to 

enter or inspect a gaming operation or ancillary facility. 

9.12.32.1.5 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. 

9.12.32.2 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. 

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

order of temporary closure, the respondent may request, orally or in writing, 

informal expedited review by the Commission. 

(a) The Commission shall complete the expedited review provided for by 

this paragraph within two (2) days after receipt of a timely request. 

(b) The Chairman shall, within two (2) days after the expedited review 

provided for by this paragraph: 

(i) Decide whether to continue an order of temporary clos~rre; and 

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

decision. 

(c) Whether or not a respondent seeks informal expedited review under this 

paragraph, within thirty (30) days alter the Commission serves an order of 

temporary closure the respondent may appeal the order to the Tribal Court under 

the Tribal Administrative Appeals Ordinance. - 

9.12.33 To suspend or revoke the Gaming Operator's License held by the Tribal Council, 

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

revocation of said license to the National Indian Gaming Commission who has the 

authority to close tribal gaming facilities for failure to comply with federal regulations. 

9.12.34 To carry out the procedures necessary to obtain a certificate of self-regulation 

under the Indian Gaming Regulatory Act, upon request and approval by the Tribal Council. 

9.12.35 Annual Budget. The Commission shall prepare an annual operating budget for all 

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

9.12.36 Confidentiality. The Commission shall maintain confidentiality of information 

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

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 from the 

Commission. 

9.12.37 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. 

9.13 Commission Regulations. 

9.13.1 Commission Regulations necessary to carry out the orderly performance of its 

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

9.13.1.1 Internal operational procedures of the Commission and its staff; 

9.13.1.2 A regulatory system to monitor all gaming activity, including accounting, 

contracting, management and supervision, not to be confused with day-to-day 

management activities; 

9.13.1.3 The cond~~ct of inspections, hearings, enforcement actions and other 

powers of the Commission authorized by this Ordinance. 

9.13.2 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. - 

9.13.3 The Tribal Court and any other court of competent jurisdiction shall tale judicial 

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

with any other tribal or federal law. 

9.14 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 malting inspections 

and examining the accounts, books, papers and documents of such party. 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. 

9.15 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 or 

Ancillary Facility regularly during normal hours of operation for the purpose of monitoring its 

operation. Such visits shall be unannounced. 
9.15.1 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. 

9.16 Investigations. The Commission or its designated agent, upon complaint or upon its own 

initiative or whenever it may deem it necessary in the performance 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. 

9.17 Hearings. Pursuant to Commission Hearing Proceedings, the Commission may hold any 

hearing it deems to be reasonably required in administration of its powers and duties under this 

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

9.18 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. 

9.19 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 checlc writing authority designated in Section 25.6 of this 

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

9.20 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. 

9.21 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 travel available in the Commission's operating budget. All travel shall 

be subject to review by the Tribal Council. 

SECTION 25.10 POWERS, DUTIES AND LIMITATIONS: CASINO GENERAL 

MANAGER 

10.1 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 Manager shall have such authority as the Tribal Council shall delegate. 
The Manager shall be hired bv the Tribal Council. 

The Manager shall undergo avbackground checlc by the Compliance Department and a 

licensing determination through the Commission. The Manager shall obtain a Provisional Gaming - - - - 

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

Ordinance. 

The 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 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. 

10.2 Purpose. The purpose of the Manager and the management structure sihe creates, is to 

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

successful gaming enterprise. 

10.3 Qualifications. The Manager shall have the experience and demonstrated slcills necessary 

to manage a growing gaming enterprise according to the job description. The Manager shall not 

be eligible to serve on Tribal Council while employed as Casino General Manager. 

10.4 Responsibilities. 

10.4.1 The Manager shall be required to respond to all Commission notices pertaining to 

compliance with operating procedures, Minimum Internal Control Standards, and 

Tribalistate Compact within time allotted by the Commission, which time shall not be 

unreasonable. The Manager may request additional time. 

10.4.2 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. - 

10.4.3 Hiring staff pursuant to the process adopted in the Personnel Policies and 

Procedures for the gaming enterprise. 

10.4.4 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 prior to management implementing new proced~~res or procedural changes. 

10.4.4.1 In the event that the Commission has an objection to changes to the 

Operating Procedures proposed by the Manager, the Commission shall inform the 

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

discuss those concerns. 

10.4.4.2 If the concerns are not resolved within 20 days of the informal discussion, 

the parties shall participate in a mediation process approved by the Commission. 

Such process shall use a third party as a mediator and be cond~~cted in an informal 

and timely fashion. 
10.4.5 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. 

Manager may reallocate funds within an approved Budget consistent with Council 

approved guidelines. 

10.4.6 Accounting for Gaming Funds. The 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 Tribalistate 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 Manager shall 

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

Council retains the hiring authority. 

10.4.7 The Manager shall be familiar with all terms of the Compact and be directly 

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

10.4.8 The Manager shall be familiar with the terms of the National Indian Gaming 

Commission's regulations, as then in effect, and any amendments or updates thereto, and 

operate all games in compliance with said regulations. 

10.4.9 The Manager may delegate that authority necessary to ensure compliance with 

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

10.4.10 The Manager shall be present at the time of the Financial Audit and Security 

Audit presentations to the Tribal Council. 

10.5 Surveillance 

10.5.1 The Gaming Management shall, in accordance with a Coimcil appr~ved budget, 

provide all siweillance equipment, supplies, and space as deemed necessary by the 

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

si~rveillance systems, equipment, rooms, etc., shall be under the control and jurisdiction of 

the Commission. All surveillance staff shall be employees of and report only to the 

Commission. 

10.5.2 The Manager, or any management staff 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. 

10.5.3 The gaming facility management shall comply with any additional requirements of 

the Commission with regard to equipment, coverage or layout, in order to adequately 

protect the security of assets, and the security and safety of patrons, vendors and 

employees. 

10.6 Reporting. The Manager shall provide the Commission and the Tribal Council with a 

monthly report that details the number of patrons served, the amount of income generated, the 
numbers of employees working at the facility, a detailed description of any patron complaints and 

other problems experienced at the facility. The report shall also contain a detailed financial report, 

a written statement of any changes in ltey employees or primary management officials, a listing of 

all bills that are thirty (30) days or more past due and any other information the Commission may 

require. The Manager has an obligation to provide all reports requested by the Council or the 

Commission. 

10.6.1 Annual Plan of Operation. The 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 forwarded to the Commission for 

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

Tribal Council: 

10.6.1.1 Operating budget. 

10.6.1.2 Capital budget. 

10.6.1.3 Growth target. 

10.6.1.4 Staffing requirements, including training requirements. 

10.6.1.5 Expense and revenue projections. 

10.7 Travel. The Manager shall notify the Commission regarding travel plans. Travel plans 

shall be made by the Manager based on the best interest of the gaming enterprise and money 

available for such travel in the approved operating budget. 

10.8 Patron's Complaint Process. The 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 room informing patrons of the established process. - 

10.9 Confidentiality. The Manager shall maintain confidentiality of information specified as 

confidential, inclt~ding 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 Co~mcil and may be deemed "cause" for 

suspension or termination. 

10.10 The Manager shall cooperate and shall direct all Gaming Facility and Ancillary Facility 

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

actions. 

10.11 Any employee who is aware of malfeasance or a suspicion of malfeasance regarding the 

Manager's activities in relation to the integrity of the gaming operation has an obligation to report 

such information to the Tribal Council. 
SECTION 25.11 COMPLIANCE DEPARTMENT 

11.1 Establishment. The Tribal Council created the Compliance Department as a subordinate 

organization, a department within the tribal gaming regulatory stn~cture, 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. ' 

11.2 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 ElderIYouth 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. 

11.3 Qualifications. Any employee hired in the Compliance Department shall meet the 

following qualifications: 

11.3.1 Employees of the Compliance Department shall not serve in any elected 

government position in the Stockbridge-Munsee Tribe; 

11.3.2 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 

gaming-related contract with the Tribe. 

11.3.3 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. - 

11.3.4 No individual shall be eligible for - emvlovment 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. 

11.3.5 Shall be an enrolled member of the Stockbridge-Munsee Community, who is at 

least 21 years of age. 

11.4 Background Check. Prior to the time any employee with the Compliance Department 

begins employment, the Tribe shall perform a comprehensive background checlc on each 

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

11.4.1 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; 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 
11.4.2 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. 

11.4.3 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 

co~lviction involving possession, sale, use or manufacture of a controlled substance. 

11.5 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 which they are hired, by the Tribe's Perso~mel 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. 

11.6 RecordslPiles 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 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. - 

11.6.1 Recordstfiles shall be lcept 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. 

11.6.2 Baclcground 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 Commission. 

11.6.3 Duplication or reproduction of any Compliance Department recordstfiles 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 recordstfile of items which 

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

authorized in writing by the Compliance Officer and accompanied by the signature of at 

least one (1) Commissioner. 
11.6.4 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. 

11.6.5 The Compliance Department is authorized to destroy baclcground investigation files 

pursuant to a properly approved plan. 

SECTION 25.12 AUDIT 

12.1 The Commission shall cause to be conducted annually an independent audit of gaming 

operations and shall submit the resulting audit reports to the National Indian Gaming Commission, 

the Tribal Council and the State Gaming Board. Copies shall also be forwarded to the Manager. 

The Tribalistate Compact terms for both financial and security audits shall be followed for the 

audit of Class I11 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 firm to comply with the terms of the Compact. All provisions of the 

Compact shall be adhered to in this process. 

12.2 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, shall be included within the scope of the audit that is 

described in Section 12.1 above. 

SECTION 25.13 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH 

AND SAFETY 

13.1 Class I1 and Class I11 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 

Tribalistate Compact regarding constn~ction shall be adhered to. 

SECTION 25.14 LICENSING OF A GAMING FACILITY 

14.6 Applicability. This Ordinance applies to all persons engaged in gaming within the 

jurisdiction of the Stockbridge-Munsee Tribe. Any application for license pursuant to this 

Ordinance except application for an Operator's License 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. 

14.2 License Required. Only the Tribe is authorized under this Ordinance to operate Class I1 

and Class 111 gaming. The Tribe is required to apply to the Commission annually for an 

Operator's license. 

14.3 Types of Licenses. The Commission shall issue each of the following types of gaming 

licenses: 
14.3.1 Tribally Owned or Tribally Operated Class 11. This license shall be required of 

all tribally owned or tribally operated gaming facilities operating one or more Class I1 

games of chance. 

14.3.2 Tribally Owned 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 I1 gaming. 

14.4 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 Indian Gaming Regulatory Act, Federal Regulations and Tribal 

Law and practice to determine whether an activity is in fact Class I. 

14.5 Applications Procedures: Pacility License 

14.5.1 Application for Gaming License. For any proposed Class I1 or Class I11 

gaming activity, the Tribal Council shall file annually with the Mohican Gaming 

Commission an application for a tribally owned or tribally operated Class I1 or 

Class 111 gaming license, which shall contain the name of the proposed enterprise, its 

location and all other pertinent informatioil required by this Ordinance and Commission 

regulations. 

14.5.2 Tribally Owned or Tribally Operated Class 11. Before issuing a license 

to a tribally owned or operated Class I1 gaming facility the Commission shall: 

14.5.2.1 Review the proposed gaming operation to ensure that all criteria 

required by this Ordinance is met. 

14.5.2.2 Insure that the necessary baclcground checks on management contractors, 

primary management off~cials and key employees required by this Ordinance are 

being perfomed according to this Ordinance. 

14.5.2.3 Review the accounting procedures used in such gaming activity. 

14.5.3 Tribally Owned or Tribally Operated Class 111. Before issuing a license 

to a tribally owned or operated Class IS1 gaming facility, the Commission shall: 

14.5.3.1 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; 

14.5.3.2 Insure that the necessary baclcground checks on management contractors, 

primary management officials and lcey employees required by this Ordinance are 

being performed according to this Ordinance; 

14.5.3.3 Review the accounting procedures used in such gaming activity. 
14.5.3.4 Review all aspects of the proposed gaming operation to ensure 

compliance with the provisions of the Tribalistate Compact. 

14.6 Criteria That a Potential Gaming Operator Must Meet. The Commission shall issue 

the above license to any tribally owned or tribally operated Class I1 or Class I11 proposed gaming 

operation only if all of the following criteria are met: 

14.6.1 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 2719 of the Indian Gaming Regulatory Act 

for &er acquired lands, and appropriate amendments to the Tribalistate 

Compact, if required, are made. 

14.6.2 The proposed gaming activity is to be played as Class I1 gaming as 

defined by this Ordinance and the IGRA or as Class I11 gaming authorized by a 

Tribalistate Compact. 

14.6.3 The proposed gaming activity is authorized by Tribal Council Resolution. 

14.6.4 The Tribe will have the sole proprietary interest and the exclusive 

responsibility for the conduct of the proposed gaming activity. 

14.6.5 The Resolution authorizing the proposed gaming activity provides that: 

14.6.5.1 The revenues of the proposed gaming activity shall be audited annually 

and copies of those audits shall be provided to the Commission and the National 

Indian Gaming Commission. 

- 

14.6.5.2 The proposed gaming activity shall comply with all applicable IRS 

reporting and filing requirements. 

14.6.5.3 All of the net proceeds of the proposed gaming activity shall be used 

for the purposes stated in Section 5 of this Ordinance. 

14.6.5.4 All contracts for supplies, 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. 

14.6.5.5 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. 

14.6.5.6 The Manager, all primary management officials and all key 

employees have passedthe baclcground investigations and obtained the tribal 
gaming licenses required by this Ordinance. Each application must state in 

writing that all future management officials and lcey employees will be required 

to pass baclcground investigations and obtain Primary Gaming Licenses within a 

reasonable time of hire with continued employment being made contingent upon 

the successf~~l licensing of said individual. 

14.6.5.7 The Commission shall have the authority to regulate the proposed 

gaming activity. 

14.6.5.8 The proposed gaming activity shall pay tothe National Indian Gaming 

Commission and to the State such fees as federal law and the Tribalistate Compact 

may require to be paid. 

14.6.5.9 If the gaming activity is Class I11 gaming, such gaming activity meets 

all other criteria established by the Tribal-State Compact. 

14.7 License Application Fees. No application fee shall be required for a tribally owned or 

tribally operated Class I1 or Class I11 gaming activity. 

14.8 License Tax. No annual license tax shall be required for a tribally owned or tribally 

operated Class I1 or Class I11 gaming activity. 

14.9 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. 

14.10 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. - 

14.11 Term of License. A tribally owned or operated Class I1 and Class 111 Gaming Operator' s 

license shall be valid for a period of one year from the date of issuance. 

14.12 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. 

14.13 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 I1 or Class I11 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 Anllual Report required by subsection 14.14 has been properly filed. 

All renewal applications submitted by a tribally owned Class I1 or Class I11 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 tribal, federal or other 

applicable law or the terms of the Tribalistate Compact. 

14.14 Annual Reports. Each gaming operator who possesses a Class I1 or Class 111 tribal gaming 

license must file an annual report (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 information: 

14.14.1 The name, address and telephone number of the gaming operator; 

14.14.2 A description of each gaming activity that it operates and the total gross proceeds 

of each; 

14.14.3 A written copy of any changes the gaming operator proposes to initiate in its 

operating rules or policies; 

14.14.4 A statement of the specific dates and times during which the gaming activity will 

be operated during the next license period; 

14.14.5 A statement of any changes in the general manager or in the primary management 

officials or key employees who will operate the gaming activity over the next license 

period; 

14.14.6 The names and addresses of any employees who the Commission may determine 

to be primary management officials during review of the application; 

14.14.7 Written proof that the Gaming Operator has paid to the National Indian Gaming 

Commission such fees as federal and tribal law may require it to pay, and will continue to 

do so; - 

14.14.8 Written proof that the Gaming operator has paid to the State such fees as the 

Tribalistate Compact may require it to pay; 

14.14.9 A sworn statement that the Gaming Operator has complied with the Internal 

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; 

14.14.10 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; 

14.14.1 1 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; 
14.14.12 The total gross proceeds of the gaming operator attributable directly or indirectly 

to tribally licensed gaming activity over the proceeding twelve (12) months; 

14.15 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 

necessary steps to bring such gaming activity into compliance, including issuing a citation, 

charging a fine, suspending the operator's license, revoking the operator's license and or reporting 

such violation to the NIGC. In a case of revocation of the operator's license, the Commission 

shall provide notice to the NIGC, subjecting the Tribe to 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 

15.1 Scope of Employee Gaming License. Background 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 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. 

15.2 Current and Valid Employee Gaming License Required. Every primary management 

official and every key employee of any Class I1 or Class I11 gaming activity subject to this 

Ordinance shall possess a current, valid employee gaming license. Eligibility for and obtaining a 

valid employee gaming license is a requirement of continued employment. The 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. - 

15.3 Application for Employee Gaming License. 

15.3.1 A person seeking an employee gaming license must be at least eighteen (1 8) 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. ~hese gaming applications shall 

provide the basis for background investigations performed by the Compliance Department 

and shall be kept confidential. 

15.3.2 Such application shall include, but is not limited to the following information: 

15.3.2.1 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); 
15.3.2.2 Currently and for the previous five (5) years: business and employment 

oositions held. ownershiv interests in those businesses. business and residence 

addresses, and drivers license numbers; 

15.3.2.3 The names and current addresses of at least three personal references, 

including one personal reference who was acquainted with the applicant during 

each period of residence listed in subsection 15.3.2.2; 

15.3.2.4 Current business and residence telephone numbers; 

15.3.2.5 A description of any existing and previous business relationships with 

Indian Tribes, including ownership interests in those businesses; 

15.3.2.6 A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

15.3.2.7 The name and address of any licensing or regulatory agency with which 

the person has filed an application for a license or permit relating to gaming, 

whether or not such license or permit was granted; 

15.3.2.8 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; 

15,3.2.9 For each misdemeanor conviction ever received or ongoing misdemeanor 

prosecution (excluding minor traffic violations) the name and address ofthe court 

involved, and the dates of the prosecution and the disposition; 

15.3.2.10 For each criminal charge (exclitding minor traffic charges) ever received, 

whether or not there is a conviction, if such criminal charge is not &herwise listed 

pursuant to paragraphs 15.3.2.9 or 15.3.2.8 of this section, the criminal charge, the 

name and the address of the court involved and the date and disposition; 

15.3.2.1 1 Any ordinance violation involving crimes against a person, theft, fraud 

or misrepresentation; 

15.3.2.12 The name and address of any licensing or regulatory agency with which 

the person has filed an application for an occupational license, permit or certificate, 

whether or not such license, permit or certificate was granted; 

15.3.2.13 A recent photograph; 

15.3.2.14 Any other information the Commission or its agents may deem 

necessary and relevant to the licensing process; and 

15.3.2.1 5 Fingerprints consistent with procedures adopted by the Tribe; 
15.3.2.16 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. 

15.3.3 Each application shall be accompanied by a sworn statement that the applicant will 

abide by this Ordinance and all other applicable laws. 

15.3.4 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 following information is 

provided: Solicitation of the information on this form is authorized by 25 U.SC. 2710, et 

seq. The purpose of the requested information is to determine the eligibility of individuals 

to be employed in gaming activities. The information will be used by National Inclian 

Gaming Commission members and staffwho have need for the information in the 

performance of their ofJicial duties. The information may be disclosed to appropriate 

federal, tribal, state, local, or foreign law enforcement and regulatory agencies when 

relevant to civil, criminal, or regulatory investigations or prosecutions or pursuant to a 

requirement by a tribe or the National Indian Gaming Commission in connection with the 

hiring or firing ofan employee, the issuance or revocation ofcr gaming license, or 

investigations of activities while associated with a tribe or a gaming operation. Failure to 

consent to the disclosures indicated in this notice will result in a tribe's being unable to 

hire you in a primary management of&cial or key employee position. (Emphasis added.) 

15.3.5 Each application for a employee gaming license shall, if required, be accompanied 

by a nonrefundable application fee to be established by the Commission. 

15.3.6 The disclosure of an applicant's social security number (SSN) is voluntary. 

However, failure to supply a SSN may result in errors in processing the application. 

15.3.7 Each application shall contain a False Statement notice as follows: 

A false statement on any part of your application may be grounds for not 

hiring you, or for firing you after you begin work. Also, you may be punished by a 

fine or imprisonment. (1 8 U.S.C. Section 1001). 

15.3.8 If another tribe has previously employed the applicant, the Commission or its agent 

may request investigative information from the other tribe. 

15.3.9 The Commission, its employees and agents, and the Tribe, and its employees and 

agents, shall promise to keep confidential the identity of each person interviewed in the 

course of an investigation on an applicant for a employee gaming license, as required by 25 

CFR 556.4(b). The background investigation shall include interviews with a sufficient 

number of ltnowledgeable 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. 
15.4 Review Procedure for Employee Gaming License Application. 

Before issuing employee gaming license, the Commission will follow the procedure set forth 

below: 

15.4.1 Perform or arrange to have performed the necessary background investigation of 

the applicant required by this Ordinance. Such investigation shall include contacting each 

reference provided in the application and taking all appropriate steps to verify the accuracy 

of information contained in the application. Arrange to take the applicant's fingerprints and 

forward them to either the State or to the National Indian Gaming Commission to be 

forwarded to the Federal Bureau of Investigation, National Criminal Information Center, 

for a criminal records search. 

15.4.2 The Commission may require asset and liability disclosure for key employees and 

primary 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. 

15.4.3 Malce the required reportings, outlined in subsection 25.1 5.12, to the National 

Indian Gaming Commission prior to issuing a determination on the findings. 

15.4.4 Review the person's prior activities, criminal record, if any, reputation, habits, and 

associations to malce 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 fully 

described in Section 25.15.5. 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, ~mfair or illegal practices and methods and 

activities in the conduct of gaming, a tribal gaming operation shall not employ that person 

in a lcey employee or primary management official position. - 

15.4.5 Provide an opportunity for a hearing on the denial of a license, or for such 

other cause as the Commission may determine. The Commission's decision on licensing is 

final although the applicant may petition the Con~mission for re-hearing in cases where 

they have new evidence to submit, or where thep can demonstrate that the Commission 

made an error in their decision. 

15.5 Standards of Suitability. The Gaming Facility shall not employ an individual if there is 

evidence and documented history of unsuitability .or if they pose a threat to the integrity andlor 

safety of the gaming operation or its employees. The Commission shall have the authority to 

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 individ~~al'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 individual's criminal history or from hislher reputation, habits and associations 

identified during the baclcground investigation process. 
15.5.1 Criminal Offenses: The Commission will view suitability for a license as 

diminishing in direct correlation to the increased severity of the offense or offenses that 

appear in one's record. The Commission will take into account the severity of the criine 

and the number of crimes and other offenses that a person's baclcground investigation 

reveals. Some offenses are identified in the Gaming Ordinance as being an automatic bar 

to a gaming license. In 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. 

15.5.2 Non-Criminal Offenses: In considering suitability where the background 

contains unconscionable 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 

wrong-doing that may present a threat or harm to the gaming establishment, its patrons or 

employees. 

15.5.3 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 talcen into consideration when determining suitability for 

licensing. Additional arrests within that time span will also be taken into consideration. 

15.6 Issuance of Provisional Gaming License. A Provisional Gaming License is issued by the 

Commission to an individual when the following requirements are met: 

15.6.1 The Compliance Department has completed a preliminary State criminal 

background checlc and informs appromiate human resource devartment that-the individual A 

is eligible for a Provisional License. 

15.6.2 The Commission has reviewed the individual's preliminary baclcground checlc. 

15.6.3 The Commission has no notice of suitability concerns at this stage. 

15.6.4 The individual is offered employment by the Human Resource Department at the 

Tribe's gaming facility. 

15.6.5 The individual has passed hislher drug test. 

15.6.6 The appropriate licensing fees have been paid to the Compliance Depaxtment. 

15.6.7 The individual has provided fingerprints for hislher file. 

15.6.8 The individual has returned a gaming license application to the Compliance 

Department. 
15.7 The Provisional Gaming License shall be valid for no longer than (3) months from the date 

of issuance. 

15.8 The Provisional Gaming License becomes void upon the receipt of a Primary Gaming 

License. If after the Compliance Department has completed a fill1 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. 

15.9 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 performed within the actual gaming facility. These positions would not be considered 

"Gaming Employee" positions and would be excluded from the licensing process. 

15.10 Standards for Denial of a Primary Gaming License. The Commission shall not license 

as a key employee or primary management official in connection with Class I1 or Class I11 

gaming, any person who: 

15.10.1 Is under the age of eighteen (1 8); 

15.10.2 Is 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 andlor 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 25.21.2. 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 by the Tribal Council pursuant to the Tribal Gaming Waiver policy; 

15.10.3 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 25.15.10.2, wi&hin the 

immediately preceding ten (10) years, unless the Tribal Council waives such restriction 

pursuant to the Tribal Gaming Waiver policy. 

15.10.4 If person has participated in organized crime or unlawful gambling or is a person 

whose prior activities, criminal record, reputation, habits andlor 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. 

15.10.5 Is found to have intentionally supplied false or misleading material information or 

has intentionally omitted material information on hislher license application or application 

for employment. 

15.10.6 Provided further that the Commission may, by regulations, add additional 

limitations and conditions for denial of said license. 
15.10.7 Applicant or employee with a Defeired 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. 

15.10.8 Is found to have been convicted of possession andlor use of illegal dn~gs, ~mless 

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. 

15.10.9 The applicant or employee violates any part of Section 25.21.2. 

15.11 Procedures for Forwarding Applications and Reports for Key Employment and 

Primary Management Officials to the National Indian Gaming Commission. 

15.1 1.1 When a key employee or primary management official begins employment at a 

gaming operation authorized by this Ordinance, the Commission shall forward to the 

National Indian Gaming Commission a completed application for employment and an 

application for an employee gaming license, conduct the background investigation and 

make the eligibility determination regarding the issuance of an employee gaming license. 

15.1 1.2 The Tribe shall fonvard the report referred to in subsection 25.15.12 to the 

National Indian Gaming Commission within sixty (60) days after an employee begins 

work. 

15.12 Report to the National Indian Gaming Commission. 

15.12.1 Pursuant to the procedures set out in subsection 25.1 5.3, the Commission, or 

designated agent thereof, shall and forward to the National Indian Gaming 

Commission an investigative report on each background investigation. An investigative 

report shall include all of the following: - 

15.12.1.1 Steps taken in conducting a background investigation; 

15.12.1.2 Results obtained, including notation of potential problem areas and 

inclusion of any disqualifying information found; 

15.12.1.3 Conclusions reached, and 

15.12.1.4 The basis for those conclusions. 

15.12.2 The Commission shall submit, with the report, a copy of the eligibility 

determination. 

15.12.3 If, within a thirty (30) day period after the National Indian Gaming Commission 

receives a report, the National Indian Gaming Commission notifies the Tribe that it has no 

objection to the issuance of a license pursuant to a license application filed by a lcey 

employee or primary management official for whom the Tribe has provided an application 
and an investigative report to the National Indian Gaming Commission ("NIGC"), the 

Tribe may issue a license to such applicant. 

15.12.4 The Commission shall respond to a request for additional information from the 

Chairman of the NIGC concerning a key employee or primary management official who is 

the subject of a report. Such a request shall suspend the thirty-day (30) period under 

subsection 25.15.6.1 until the Chairman of the NIGC receives the additional information. 

15.12.5 If, within the thirty-day (30) period described above, the NIGC provides 

the Tribe with a statement itemizing objections to the issuance of a license to a key 

employee or to a primary management official for whom the Tribe has provided an 

application and investigative report, the Tribe shall reconsider the application, taking into 

account the objections itemized by the NIGC. The Commission shall make the final 

decision whether to issue a license to such applicant. 

15.12.6 If a license is not issued to an applicant, the Tribe or the Commission shall: 

15.12.6.1 Notify the National Indian Gaming Commission; and 

15.12.6.2 May forward copies of its eligibility determination and investigative 

report (if any) to the National Indian Gaming Commission for inclusion in the 

Indian Gaming Individuals Records System. 

15.12.7 With respect to key employees and primary management officials, the 

Commission or their designee shall retain applications for employment and reports for 

seven (7) years from the date of termination of employment. These records will be made 

available to NIGC consistent with federal regulations and the State Gaming Commission 

consistent with the Tribal State Gaming Compact. 

15.13 Employee Gaming License Badge. - 

15.13.1 Primary Gaming License. A gaming license badge will be issued to an employee 

who satisfactorily meets the licensing criteria. The badge shall include but not be limited 

to the following information: 

15.13.2.1 Photo of the employee; 

15.13.2.2 Identification number assigned by the Compliance Department; 

15.13.2.3 Full legal name, including middle initial (no nicknames); 

15.13.2.4 Employee's position title; 

15.13.2.5 License issuance and expiration date (two-year licensing period); 

15.13.2.6 Seal of the Commission; 
15.13.2.7 Signature of a Commission representative; 

15.13.2.8 Color coordination between departments; 

15.13.2.9 Identification of license status as "primary" or "provisional"; 

15.13.2.10 Return address of the Commission. 

15.14 Licensing Period. A Primary Gaming License issued pursuant to this Ordinance shall be 

effective 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. 

15.15 Renewals. A holder of a Primary Gaming License shall apply to the Commission for a 

renewal before hisiher Primary Gaming License has expired, updating all information contained in 

the Renewal Gaming License Application. 

15.16 Standards for Suspension of Provisional or Primary Gaming License. The 

Commission may suspend an Employee Gaming License for reasons including but not limited to 

the following: 

15.16.1 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 retaininga 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. 

15.16.2 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. 

- 

15.16.3 The employee is currently cited or charged with or has been convicted of or 

entered a plea of guilty or no contest to any felony. 

15.16.4 The employee has supplied false or misleading material information or has 

omitted material information on hisher gaming license application or application for 

employment 

15.16.5 The employee has participated in gaming activity unauthorized by his or her 

employee gaming license; 

15.16.6 The employee's continued employment as a primary management official or lcey 

employee of a gaming enterprise or gaming activity poses a threat to the general public; 

15.16.7 The employee refuses to comply with any lawful order or directive from the 

Commission; 
15.16.8 The employee has failed to provide the Commission with changes in status of the 

material originally submitted in their gaming application. 

15.16.9 The employee violates any part of Section 21.2 "Prohibited Acts" of this 

Ordinance. 

15.16.10 The Commission shall immediately suspend an employee gaming license upon 

receipt of notification from the NIGC vursuant to 25 CFR Section 558.5 that reliable 

information exists that such gaming employee is not eligible for licensing. Upon receipt of 

such notification, the Commission shall notify the gaming employee of the place and time - -. 

for hearing. The Commission shall notify ahi in^ Management of the suspension. 

15.17 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. 

15.18 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: 

15.18.1 The employee violates any part of Section 21.2 "Prohibited Acts" of this 

Ordinance. 

15.18.2 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 promulgated by the Wisconsin Department of Administration, Division of Gaming. Is 

currently charged with or has been convicted of or entered a plea of guilty or no contest to 

a Felony "Crimes 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. 

15.1 8.3 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 15.18.2, within the 

immediately preceding ten (10) years, unless the Tribal Co~mcil waives restriction pursuant 

to the Tribal Gaming Waiver policy. 

15.18.4 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 practices; 

15.18.5 The employee has participated in organized crime or unlawful gambling or is a 

person whose prior activities, criminal record, reputation, habits andior 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. 

15.1 8.6 The employee refuses to comply with any lawful request, investigation, order or 

enforcement action of the Commission regarding his or her gaming license andlor the 

licensing process. 

15.18.7 Provided further that the Commission may, by regulations, add additional 

limitations and conditions for revocation of said license. 

15.19 Appeal Rights. 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 the Commission made an 

error in their decision. 

SECTION 25.16 TRIBAL GAMING SERVICES VENDOR LICENSE 

16.1 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: 

16.1.1 The person or entity has a current, valid license or certificate cr perding 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. 

16.1.1.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 the State. 

16.1.2 Any license granted under subsection 25.16.1.1 may be revoked or suspended by 

the Commission in the same manner and for the same reasons as provided elsewhere in 

this Section. 

16.2 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. 
16.3 Pee for License. Any person or entity filing an application for a gaming services vendor 

license pursuant to this Section shall pay to the Commission a fee, set by the Commission. 

16.4 Background Investigation of Applicants. Upon receipt of an application for a gaming 

services vendor license, the Commission or designated Commission agent shall conduct an 

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. 

16.5 Action by Commission. Except as provided in subsection 25.16.1.1, the Commission 

shall, as soon as practicable after completion of the background investigation under subsection 

25.16.4, 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: 

16.5.1 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 

16.5.2 Has failed to provide information 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. 

16.6 Duration of License and Renewal. Any gaming services vendor license issued by the 

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. 

16.7 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 idormation concerning any facts 

not available to the Commission at the time a license was 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 revolced 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. 

16.7.1 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. 

16.7.2 When the Commission susvends 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, followine - 

administrative review or appeal allowed under this-ordinance or otherwise permitted 

by the Commission, constitute final Commission action. 

16.8 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 from 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 hearing as provided in subsection 25.16.7. 

SECTION 25.17 GENERAL PROVISIONS GOVERNING OPERATION OF TRIBALLY 

OWNED OR TRIBALLY OPERATED GAMING FACILITY 

17.1 Maintenance of Records. The Commission shall insure that all accounting records of 

each tribally licensed Gaming Facility and Ancillary Facilities 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: - 

17.1.1 Revenues, expenses, assets, liabilities and equity by game at each location where 

any component of Class 111 gaming, including ticket sales, is conducted. 

17.1.2 Daily cash transactions for each game at each location at which any component of 

Class I11 gaming is conducted, including but not limited to transactions relating to each 

gaming table bank, game drop box and gaming room bank. 

17.1.3 For electronic games of chance, analytic reports that, by each machine, compare 

actual hold percentages to theoretical hold percentages. 

17.1.4 Contracts, correspondence and other transaction documents relating to all vendors 

and contractors. 

17.1.5 Records of all tribal enforcement activities relating to gaming operated under the 

Tribalistate Compact and other tribal laws. 
17.1.6 All audits prepared by or on behalf of the Tribe. 

17.1.7 Personnel information on all Class I11 gaming employees or agents, including 

complete sets of each employee's fingerprints, employee photographs, and employee 

profiles and background investigations, except that employee work schedules shall be 

maintained for a period of at least two (2) years. 

17.1.8 Records of background investigations and determinations for licensing. 

17.1.9 The Com~nission shall also be responsible for all the above information pertaining 

to Class I1 Gaming owned or operated by the Tribe. 

17.2 Management Contracts. Each 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 management contract shall be approved by the Tribal Council with the advice and 

comment of the Commission. Before giving final consideration to any proposed 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 management 

responsibility for, the management contract, including requiring the submission of all information 

required under 25 CFR Section 537.1, as amended, incorporated herein by this reference. 

17.2.1 Background information on the proposed management contractor including: 

its name; address; the names and addresses of each person or entity having a 

direct financial 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. 

17.2.2 A description of any previous experience that each person listed in subsection 

17.2.1 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 permit relating to gaming, whether granted or not. 

17.2.3 A complete financial statement of each person listed in subsection 17.2.1 for the 

past three (3) years. 

17.2.4 The Commission shall contact each of the tribal governments and licensing 

agencies in subsection 17.2.2 to determine the performance history of the proposed 

management contractor. 

17.2.5 The Commission shall arrange to have each proposed management contractor 

investigated to learn of his or her personal attributes and to determine whether he or she 

has a prior criminal record or any pending criminal charges. 

17.2.6 The Com~nission shall obtain an independent verification of the completed 

financial statements of the proposed management contractor. 
17.2.7 The Commission shall undertake any additional steps it can to determine the 

character and reputation of the proposed management contractor &d each person listed in 

subsection 17.2.1. 

17.2.8 If the Tribal Council, after reviewing the information described above, still desires 

to enter into a management contract with the proposed management contractor, such 

management contract shall be made in writing and submitted to the Tribe's attorney(s) for 

review. 

17.2.9 Any 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. 

17.2.10 All persons who possess an ownership or management position in the proposed 

management contract shall apply for a employee gaming license under this Ordinance. No 

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. 

17.2.1 1 If the Council is satisfied with the information it receives, it shall submit the 

proposed contract along with all of the above described information to the Chairman of the 

NIGC for approval. 

17.3 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 TribaliState Compact. 

SECTION 25.18 CONFLICT OF INTEREST - 

18.1 No person employed by the gaming enterprise may have a direct or indirect 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 under Section 25.4. A direct or indirect 

interest is one inwhich the employee has an economic interest or receives personal gain from the 

transaction in question. 

18.2 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 TribaliState Compact. 

SECTION 25.19 CONDUCT OF GAMES 

19.1 The conduct of Class 111 games shall be as provided for in the Tribalistate Compact. 
19.2 Electronic Games of Chance shall be governed by Section XV of the TribalIState Compact 

and Blackjack shall be governed by Section XVI of the TribaliState 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. 

19.3 The premises where any gaming is conducted shall at all times be open to inspection by the 

Stoclbridge-Munsee Tribal Council and the Commission, and such other inspections as may be 

required by federal regulations or the TribaliState Compact. 

19.4 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 TribaVState Compact. 

SECTION 25.20 SALE OF ALCOHOL 

20.1 The sale of alcohol shall be governed by the Stockbridge-Munsee Liquor Ordinance and 

Section V.F. of the TribaliState Compact. 

SECTION 25.21 JURISDICTION AND ENFORCEMENT 

21.1 Jurisdiction. Except as provided in this Ordinance or in any Tribalistate Compact under 

the IGRA, the Commission shall have jurisdiction over all violations of this Ordinance. 

21.2 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. 

.- 

21.2.1 Is found to have intentionally supplied false andior misleading material information 

or has omitted material information on histher license application or application for 

employment with any gaming operator or with the Commission. 

21.2.2 Knowingly making a false statement in connection with any contract with the 

Gaming Facility or Ancillary Facilities. 

21.2.3 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; 

21.2.4 Offering or accepting a loan, financing or other thing of value between a 

Commission member, Compliance Officer, gaming employee or tribal government official 

and any person participating in any gaming activity, excluding tribal programs like the 

loan program. 
21.2.5 Falsifying, altering or failing to lceep 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. 

21.2.6 Falsifying any books or records that relate to any transaction connected with any 

gaming activity pursuant to this Ordinance. 

21.2.7 Conducting or participating in any gaming activity that in any manner results in 

cheating or misrepresentation or that allows any other disreputable 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. 

21.2.8 To conduct a gaming activity with or to allow participation in a gaming activity by 

an intoxicated or disorderly player. 

21.2.9 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. 

21.2.10 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. 

21.2.1 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. 

21.2.12 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. 

2 1.2.13 To alter or counterfeit a gaming license. 

21.2.14 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. 

21.2.15 To operate, use or make available to the public any illegal gaming device, 

apparatus, material or equipment. 

21.2.16 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. 

21.2.17 To assist or allow a person who is under age to participate in any gaming activity. 

47 
21.2.1 8 To possess any illegal narcotics or controlled substances on any licensed gaming 

site. 

2 1.2.19 To steal or attempt to steal funds or other items of value from the Tribe or any 

gaming facility or ancillary facility. 

21.2.20 To conspire with or ind~~ce any person to violate any of the provisions of this 

Ordinance or any tribal, federal or applicable state law. 

21.2.21 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. 

21.2.22 To use bogus or counterfeit chips, or to substitute or use any game, cards, or 

gaming equipment that have been marked or otherwise altered. 

21.2.23 To bring onto tribal lands, to employ or have on tribal property any device to 

facilitate cheating in any game of chance. 

21.2.24 To knowingly use any fraudulent scheme or technique, or to solicit, provide or 

receive inside information about any gaming activity with the intent of benefiting any 

person. 

21.2.25 To take, solicit or encourage any action that undermines the integrity of any game 

of chance. 

21.2.26 To participate in any gaming activity that was not authorized by this Ordinance. 

21.3 Civil Violations. Any person or entity who violates any provision of the Ordinance, 

Tribalistate Compact, adopted Minimum Internal Control Standards or any n~le orqegulation 

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 during 

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." 

21.3.1 Any person who violates any provision of this Ordinance or any rule or regulation 

authorized hereunder shall be subject to the Indian Gaming Regulatory Act, 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. 

21.4 Purpose of Civil and Administrative Penalties. The civil and administrative fines 

imposed under this Ordinance are intended 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. 

21.5 Seizure and Forfeiture of Property. All 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. 

21.6 Criminal Violations. State criminal law shall apply as mandated under P.L. 280 and 

as specifically addressed in the TribalIState Compact. In those areas where the state has no 

criminal statutes to cover the criminal violation that occurs on tribal property, pertaining to a 

gaming-related incident, the Tribe and the state shall work together to devise a means of 

enforcement against the specific violation. 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 Nuclc Road, Bowler, Wisconsin 54416. 

SECTION 25.23 SEVERABLLITY 

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. ResolutionNo. 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 BIA June 5, 1985. 

4. Resolution No. 1009 dated December 2, 1986 amends ordinance re. bingo. 

5. Resolution No. 1064, dated December 29, 1987, amends ordinance re. bingo. 

6. Resolution No. 1081, dated May 17, 1988, amends ordinance re. royalty fees. 

7. Council action to change sections 5 and 6, November 1, 1988. 

8. Resolution No. 1147, May 16, 1989, revised section 6 and added definitions. 

9. Gaming Ordinance entitled "An ordinance relating to the regulation of gaming activity on 

the Stocltbridge-Munsee Reservation" passed by Council 1992. 

10. Resolution No. 1338-92, November 3, 1992, enacts amended Bingo ordinance and 

amended gaming ordinance to provide for the merging of the 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 I1 and Class 111 gaming, approved by Tribal Council 

August 19, 1993 by Resolution. Approved by National Indian Gaming Commission and published 

in Federal Register December 14, 1993. 

14. March 21, 1995, Ordinance revised in its entirety, creating a Gaming Commission instead 

of a Gaming Board to regulate the gaming enterprise. 

15. May 24, 1995, Council adopted Resolution 1498-95 approving revisions lo Gaming 

Ordinance and forwarded to NIGC on June 2, 1995 for review and approval. 

16. Council approved amendments to ordinance 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 law. 

17. July 14, 1995. Revised ordinance approved by NIGC. 

18. June 28, 1995, Amendments finalized on August 22, 1995, Resolution 1525-95. 

19. 1997 amendment finalized on February 18, 1997, resolution number 11 1-97, amending to 

add new section 20.1.1. 

20. Revisions approved on July 1, 1997, resol~~tion number 232-97. 

2 1. Revisions approved by Tribal Council on June 2, 1998, resolution number 227-98 

22. Revisions approved by Tribal Council on April 20, 1999, resolution number 026-99. 

23. Complete Revision adopted on April 1,2003 by the Tribal Council, by Resolution Number 

0 15-03. 

24. Sections4.4.2,4.23, 4.27, 14.6.4, 14.6.5.6, 15.1, 15.3.29, 15.3.2.10, 15.3.6, 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, Section25.22 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 of Section 4.20 submitted 

to NIGC for approval and approved on June 12,2009. 

26. Amendments adopted by the Tribal Council on December 6,201 1, 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; 4.1 1; 4.18; 8.3.3; 9.12.1; 9.12.2; 

9.12.30; 9.12.32.1.4; 9.14; 9.15; 9.15.1; 10.1; 10.4.4; 10.4.6; 10.4.8; 10.4.9; 10.10; 11.2; 

11.5; 11.6.1; 11.6.3; 11.6.4; 15.2; 15.4.1; 15.5; 15.10.2; 15.10.3; 15.15; 15.18.3; 15.18.4; 

16.8; 17.1; 21.2.2; 21.2.3; 21.2.4; 21.2.5; 21.2.10; 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; 

Additionofnewsections: 4.18.1.1-.12;4.18.2;4.18.3;4.18.4;4.22.4;10.4.4.1;10.4.4.2; 

10.4.10; 10.11; 11.3.5; 15.10.8; 15.10.9; 15.16.2 and 15.16.3 (with 15.16 thenrenumbered 

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; 15.11.2; 15.12.1; 15.12.4; 15.18.2; 15.18.5; 

16.1.2; and 16.5. 

Amendments submitted to NIGC for approval and approved on