MAY 1 9 1994 

JoAnn Jones,-Chairperson isc cons in Winnebago Business Committee 

P.O. Box 667 

Highway 54 East 

Black ~iver Falls, Wisconsin 54615 

Dear Chairperson Jones: 

This letter responds to your request to review and approve the 

tribal gaming ordinance of the Wisconsin Winnebago Natian- (the, 4 

Nation) as amended and restated on April 9, 1994. This letter 

conLtitutes such approval under the Indian Gaming Regulatory Act 

(IGRA) . Under the IGRA and the regulations of the National Indian Gaming 

~ommisaion (NIGC), the Chairman is directed to review ordinances 

with respect to the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. Also, such 

approval does not constitute approval of specific games. 

~t is important to note that the gaming ordinance is approved for 

gaming only on Indian lands as defined in the IGRA. 

with thechairman's approval of the Nation's gaming ordinance, 

the ~atim is now required to conduct background investigations 

on its kfy employees and primary management officials. The NIGC 

:o receive a completed application for each key employee 

and primry management official pursuant to 25 C.F.R. S 556.5(a) 

and an Dvestigative report on each background investigation 

before buing a license to a key employee or primary nienagement 

officialpursuant to 25 C.F.R. S 556,5(b). 

Thank ya for submitting the ordinance of the isc cons in Winnebago 

Nation 9r review and approval. The NIGC staff and I look 

forwardto working with you and the Nation in implementing the 

IGRA . 

Sincerely yours, 

Anthony J. Hope 

Chairman 
ADOPTION OF AMENDED AND RESTATED GAMING ORDINANCE 

RESOLUTION NO. 4/9/94-C 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

the Wisconsin Winnebago Tribe ("Tribe") is a federally recognized 

Indian tribe, organized pursuant to the Indian Reorganization Act of 

1934; and 

the governing body of the Tribe is the Wisconsin Winnebago Business 

Committee ("WWBCW) , pursuant to Article IV, Section 1 of the approved 

Constitution and Bylaws; and 

Article X, Section l(g) and (p) of the Constitution and Bylaws 

empowers the Tribe, through the WWBC, to manage any and all economic 

affairs and enterprises of the Tribe and to charter subordinate 

organizations for economic purposes and to regulate such economic 

affai.rs and enterprises and to regulate the activities of such 

subordinate organizations by ordinance or resolution; and 

the WWBC enacted a Gaming Ordinance on October 7, 1989; and 

the kMC enacted an Amended Gaming Ordinance on June 26, 1992; and 

the WWBC enacted an Amended and Restated Gaming Ordinance on November 

11, 1.992, which provided for amendments to the Gaming Ordinance to 

provide, among otherprovisions, for the reconstitution of the Gaming 

Cornmission as a body appointed by the WWBC and for the operation and 

regulation of electronic games of chance, blackjack and other Class 

111 games pursuant to the Compact as well as all forms of Class I1 

games; and 

pursuant to requirements of federal law and the Bureau of Indian 

Affairs ("BIA"), the WwBC, through its attorneys, submitted the 

Amended Gaming Ordinance to the BIA for approval; and 

representatives of the BIA have requested that certain changes be 

made to the Amended Gaming Ordinance as a condition of its approval 

of the Ordinance; and 

since the enactment of the Amended Gaming Ordinance, the National 

Indian Gaming Commission ("NIGC") has published proposed regulations 

regarding gaming ordinances that are likely to be finalized in the 

near future containing substantia1l.y similar provisions; and 

in furtherance of its powers described above, the WWBC has considered 

the attached Amended and Restated Gaming Ordinance of the Winnebago 

Tribe containing amendments to the Amended Gaming Ordinance needed 

to address the requests of the UIA and conform with anticipated 

requirements of final regulations of the NIGC; and 

t:t-ic.: adopt:jon of the Arnended anci Rcstateci Gaming Ordinance of the 

k!lr:~:cbsgc~ Tri.be atLachec! hercto I.:; 1!1 tllc best interests of the 

!~-ll.)f2; 2!1d 
NOW, THEREFORE BE IT RESOLVED, that the WwBC hereby adopts the Amended and 

Restated Gaming Ordinance of the Winnebago Tribe attached hereto, 

effective as of the date of this Resolution, to amend and supersede 

the Gaming Ordinance adopted on October 7, 1989, the Amended Gaming 

Ordinance adopted on June 26, 1992, and the Amended and Restated 

Gaming Ordinance adopted on November 11, 1992. 

CERTIFICATION 

I, the undersigned, as Secretary of the Wisconsin Winnebago Business Committee, 

hereby certify that the Wisconsin Wimebago Business Committee composed of 12 

members, of whom 12 constituting a quorum were present at a meeting duly called 

and convened this 9th day of April 1994, and that the foregoing resolution was 

duly adopted at said meeting by an affirmative vote of 2 members, 1 opposed, and 

- 1 abstaining, and that said resolution has not been rescinded or amended in any 

way. 

Terri A. Hancock Date 

4- 4'- 4.(/ 

Tribal Secretary 
AMENDED AND RESTATED 

GAMING ORDINANCE 

OF 

THE WISCONSIN WINNEBA G 0 NA TlON 

The Wisconsin Winnebago Nation ("Nation") a federally recognized Indian tribe does hereby ordain 

as follows: 

CHAPTER I. GENERAL PROVISIONS AND PURPOSE 

Sec. 101. This Ordinance shall be known as the Amended and Restated Gaming Ordinance of the 

Wisconsin Winnebago Nation ("Ordinance"), amending and superseding the gaming ordinance adopted on 

October 7, 1989, and the amended gaming ordinances adopted June 26, 1992 and November 11,1992. 

Sec. 102. This Ordinance is enacted to: 

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

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

government; and 

(b) Provide appropriate regulations and rules which shall be enforced throughout the 

jurisdiction of the Nation to ensure the close control by the W~sconsin Winnebago 

Business Committee, the Nation's governing body ("WWBC"), of all phases of the 

conduct of gaming operations on the Nation's Lands. 

Sec. 103. The Nation shall have the sole proprietary interest in and responsibility for the conduct 

of any gaming operation authorized by this Ordinance or conducted on the Nation's Lands. 

Sec. 104. The regulations and rules set forth in this Ordinance shall govern all gaming operations 

conducted on the Nation's Land. To the extent that the Nation's existing or subsequently adopted personnel 

manuals, policies and procedures are inconsistent with this Ordinance, this Ordinance shall supersede such 

personnel manuals, policies and procedures. 

Sec. 105. This Ordinance may be amended by a majority of the WWBC at any time at a duly 

called meeting at which a quorum IS present 
WISCONSIN WINNEBAGO BUSINESS COMMIXEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paqe 2 

CHAPTER 2. DEFINITIONS 

For purposes of this Ordinance: 

Sec. 201. "Applicant" means any person having on file with the Commission an application for a 

gaming license. 

Sec. 202. "Applicationn means the completed forms and information requested by the Commission 

for issuance of a Gaming License. 

Sec. 203. "Class II gaming" means Class I1 gaming as defined in accordance with the IGRA, 25 

U.S.C. §2703(7)(A). 

Sec. 204. "Class Ill gaming" means Class Ill gaming as defined in accordance with the IGRA, 25 

U.S.C. §2703(8). 

Sec. 205. "Commission" means the Winnebago Gaming Commission established pursuant to 

Chapter 8 of this Ordinance. 

Sec. 206. "Compact" means any compact between any state and the Nation entered into pursuant 

to the IGRA, including any amendments thereto. 

Sec. 207. "Gaming Facilities" means the buildings and associated real property within which the 

Nation conducts Class II and Class Ill gaming and other associated commercial activity related to such 

gaming. 

Sec. 208. "Gaming Operations" means all of the Nation's Class If and Class Ill gaming operations 

conducted pursuant to this Ordinance. "Gaming Operation" means an economic entity that is licensed by 

the Nation, operates the games, receives the revenues, issues the prizes and pays the expenses. 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GRMING ORDINANCE 3130194 Paae 3 

Sec. 209. "General Manager means the individual who has responsibility for day-to-day operations 

of a Gaming Operation. 

Sec. 210. "IGRA" means the Indian Gaming Regulatory Act, Pub.L. 100497,25 U.S.C. §§ 2701, 

- et sea., including any amendments thereto. Where appropriate, "IGRA" atso means regulations duly 

promulgated by the NJGC under the IGRA which are valid interpretations of the IGRA. 

Sec. 21 1. "Key Employees" means the General Managers and the following persons: 

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

Operations: 

(1) bingo caller; 

(ii) counting room supervisor; 

(ii) chief of security; 

(iv) all persons employed to perform security, surveillance, or compliance 

activities; 

(v) custodian of gaming supplies or cash; 

(vi) floor manager; 

(v i i) pit boss; 

(viii) dealer; 

(ix) croupier; 

(x) approver of credit; 

(xi) custodian of gaming devices including persons with access to cash and 

accounting records within such devices; 

(xii) any person having possession, control or access to keys or other 

means of access to secure areas of a Gaming Facility; and 

(xiii) couriers transporting cash or gaming receipts. 

(b) If not otherwise included, any other person whose total compensation exceeds 

$50,000 per year; or 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paae 4 

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

Gaming Operation. 

Sec. 212. "License" means a privilege granted for a limited period of time to a person or entity 

to perform certain acts; a License shall not convey any property or liberty interest to the licensee. 

Sec. 213. "Management Contract" means any contract, subcontract or collateral agreement 

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

agreement provides for the management of all or part of any Gaming Operation. For purposes of this 

Ordinance, "collateral agreement" means any contract, whether or not in writing, that is related, either 

directly or indirectly, to a management contract, or to any rights, duties or obligations created between the 

Nation (or any of its members, entities or organizations) and a management contractor or subcontractor (or 

any person related to a management contractor or subcontractor), within the meaning of 25 CFR § 502.5. 

Sec. 214. "Nation" means the Wisconsin VVinnebago Nation, any of its subdivisions, enterprises, 

agencies or instrumentalities, subdivisions of such enterprises, agencies or instrumentalities, corporations 

chartered under federal, state or tribal law which are wholly owned by any of the foregoing, and authorized 

officials, agents and representatives of any of the foregoing. 

Sec. 215. "Nation's Lands" means: 

(a) All lands within the limits of the Wisconsin Winnebago Nation reservation; 

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

October 17, 1988; and 

(c) All lands which may be acquired in trust by the United states for the benefit of the 

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

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

271 9. 
WISCONSIN WINNEBAGO BUSINESS COMMI~E 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paae 5 

Sec. 216. "NIGC" means the National Indian Gaming Commission established pursuant to the 

IGRA, 25 U.S.C. § 2704. 

Sec. 217. "Net revenues" means gross revenues of a Gaming Operation less amounts paid out 

as, or paid for, prizes and total gaming-related operating expenses including debt service but excluding 

management fees paid to a management contractor within the meaning of 25 U.S.C. 5 271 1(c). 

Sec. 218. "Ordinance" means this Gaming Ordinance. 

Sec. 219. "Owner or Controlling Person" means: 

(a) Any natural person having a direct financial interest in any Management Contract; 

(b) When a trust is a party to a Management Contract, any beneficiary or trustee; 

(c) When a partnership is a party to a Management Contract, any partner; 

(d) When a corporation is a party to a Management Contract, any person who is an 

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

outstanding stock alone or in combination with another stockholder who is a 

spouse, parent, child or sibling; or 

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

has an interest in a Management Contract, all beneficiaries, trustees, partners, 

directors or five (5) percent shareholders of such entities. 

Sec. 220. "Person" means any individual or entity, including any corporation or general or limited 

partnership. 

Sec. 221. "Premises" or "Licensed Premises" means any place, facility, or location on the Nation's 

Lands at which Class II or Class Ill gaming is conducted. 
WISCONSIN WINNEBAGO BUSINESS COMMIITEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 6 

Sec. 222. "Primary Management Official" means: 

(a) The person or persons designated in any Management Contract pursuant to Sec. 

303 of this Ordinance as having management responsibility of all or any part of any 

Gaming Operation; 

@) Any person who has authority: 

0 To hire and fire employees of a Gaming Operation; or 

(i) To set up working policy for a Gaming Operation; or 

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

management responsibility for any Gaming Operation. 

Sec. 223. A "Relative" of a person, for purposes of this Ordinance only, includes any of the 

person's spouse, son or daughter, (including adopted children), brother, sister, mother, father, grandmother, 

grandfather, grandson, or granddaughter. 

Sec. 224. "WWBC" means the Wisconsin Winnebago Business Committee, the governing body 

of the Nation duly elected in accordance with the Constitution and By-Laws of the Nation. 

Sec. 225. "Wisconsin Gaming Commission" means the State of Wisconsin Gaming Commission 

or its successor, and its authorized officials, agents or representatives. 

CHAPTER 3. AUTHORIZATION OF GAMING ACTIVITIES 

Sec. 301. Authority for Class II naminq. The Nation shall be authorized to conduct all forms of 

Class I1 gaming on the Nation's Lands. 

Sec. 302. Authority for Class Ill qarning. The Nation shall be authorized to conduct the following 

types of Class Ill gaming on the Nation's Lands: 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 7 

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

(b) Electronic games of chance with mechanical displays; 

(c) Blackjack; 

(d) PulMabs or break4pen tickets when not played at the same location where bingo is being 

played; and 

(e) Any other type of Class Ill gaming conducted pursuant to the terms of the Compact. 

The Compact is hereby incorporated within and enacted as an integral part of this Ordinance with respect 

to all forms of Class Ill gaming as if set forth in full herein; provided, however, that nothing in the adoption 

of the Compact herein shall be deemed to affect the operation by the Nation of any Class I1 gaming, 

whether conducted within or without the Gaming Facilities, or to confer upon any state any jurisdiction over 

such Class I1 gaming conducted by the Nation on the Nation's Lands. 

Sec. 303. Authoritv for Manaaement and Other Contracts. The Nation may enter into any contracts 

or other agreements to further its gaming interests, including one or more Management Contracts. Each 

Management Contract shall designate the person or persons having responsibility for management of all 

or part of any Gaming Operation. Management Contracts and other gaming-related contracts shall contain 

such provisions as are required under the IGRA and the Compact, shall be submitted to the NIGC or other 

appropriate federal regulatory body for approval as required by the IGRA, and shall be submitted to the 

Wisconsin Gaming Commission if required by the Compact. Except as provided in the contract, all such 

contracts shall be effective pending review or receipt of required approvals by the NIGC, or any other 

appropriate federal regulatory body. 

CHAPTER 4. CONFORMANCE WITH IGRA 

This Ordinance shall be construed in a manner which conforms to the IGRA in all respects, and 

if inconsistent with the IGRA in any manner, the provisions of the IGRA shall govern. 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 8 

CHAPTER 5. STANDARDS OF OPERATION AND MANAGEMENT 

Sec. 501. Class I1 qames. The WWBC shall adopt standards of operation and management for 

bingo and other Class II games and, pending such adoption, may impose such interim standards as it may 

determine necessary to protect the integrity of such games. The standards of operation and management 

for Class I1 games shall provide, at a minimum, that: 

(a) No person under the age of 18 shall be permitted to participate in any Class II gaming 

operations as an employee, contractor or player. 

(b) The rules by which the game will be conducted and the winner or winners determined will 

be established in advance of the game and shall be visibly displayed or available in 

pamphlet form in the Gaming Facility. 

Sec. 502. Class Ill names. The standards of operation and management for Class Ill games shall 

be those set forth in the Compact. The WWBC may adopt standards of operation and management for 

Class Ill games that are no less stringent than, or not otherwise inconsistent with, the Compact. 

CHAPTER 6. NET REVENUES FOR AUTHORIZED PURPOSES 

Sec. 601. The net revenues from any games shall be exclusively devoted to the purposes 

authorized by the WWBC. 

Sec. 602. The net revenues are not to be used for purposes other than: 

(a) to fund tribal government operations or programs; 

(b) to provide for the general welfare of the Nation and its members; 

(c) to promote tribal economic development; 
WISCONSIN WINNEBAGO BUSINESS COMMIJTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paqe 9 

(d) to donate to charitable organizations; or 

(e) to help fund operations of local government agencies. 

Sec. 603. Net revenues may be used to make per capita payments to members of the Nation, as 

permitted under the IGRA. Per capita payments shall be made only pursuant to a plan established by a 

resolution or ordinance adopted by the WWBC, which resolution or ordinance shall be approved by the 

Secretary of the Interior as required under the IGRA. The interests of minors and other legally incompetent 

persons who are entitled to receive per capita payments will be protected and preserved as required by the 

IGRA. 

CHAPTER 7. PUBLIC SAFETY STANDARDS 

The construction and maintenance of any Gaming Facilities, and the Gaming Operations, shall be 

conducted in a manner which adequately protects the environment and the public health and safety and 

for that purpose shall comply with the requirements of the Compact and all applicable health, safety and 

environmental standards enacted by the Nation. Those public health and safety standards for public 

buildings, electrical wiring, fire protection, plumbing and sanitation that are set forth in ch. 101, Wis. Stats. 

and the administrative rules adopted thereunder, including but not limited to chs. ILHR 14 (Fire Prevention), 

16 (Electrical Wiring), 28 (Smoke Detectors), 160 (Existing Buildings), 162 (Theaters and Assembly Halls), 

and 81-86 (Plumbing), Wis. Adm. Code as they may be amended from time to time, shall be deemed to 

be incorporated by this Ordinance as the laws of the Nation applicable to the Nation's Gaming Facilities 

located in the State of Wisconsin. 

CHAPTER 8. WlNNEBAGO GAMING COMMISSION 

Sec. 801. Establishment of Commission. 

(a) There shall be established a Wisconsin Wtnnebago Gaming Commission consisting 

of five Commissioners appointed by the WWBC in the manner hereinafter 

described, one from each of the five designated Areas of the Nation. In the 

absence of a duly constituted Commission, the Commission shall be the WWBC. 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 10 

@) In the case of the initial Commission constituted upon the adoption of his 

Ordinance, the WWBC shall appoint to, the Commission any person duly elected 

to serve as a Commissioner on the Commission established pursuant to the terms 

of the Gaming Ordinance enacted on October 7,1989 ("Prior Ordinance"), whose 

elected term has not expired under the tern of the Prior Ordinance, and who is 

willing to serve and satisfies all of the qualifications set forth in Sec. 802 of this 

Ordinance. If any such person whose elected term has not expired under the 

terms of the Prior Ordinance is not willing or qualified to serve, the Alternate 

Commissioner elected pursuant to the Prior Ordinance shall be appointed to the 

initial Commission, if he or she is willing and qualified to serve. Any previously . 

elected person appointed to the initial Commission shall serve for a term of either 

four years or two years as specified in Sec. 803. 

(c) Except as provided in Sec. 801(b), each Commissioner shall be appointed by a 

majority of the WWBC acting at a duly convened meeting. The WWBC 

encourages all persons who wish to serve on the Commission and who meet the 

qualifications set forth in Sec. 802 to apply to the WWBC for appointment to the 

Commission. In furtherance of this goal, the WWBC shall notify members of the 

Nation of any vacancies on the Commission under such notice provisions as it 

deems appropriate, and the members of the WWBC shall actively recruit qualified 

applicants from their respective Areas. The WWBC shall establish such 

application procedures as it deems appropriate for members of the Nation 

interested in serving on the Commission. 

Sec. 802. Qualifications. In order to qualify for appointment to the Commission, an applicant must 

satisfy all of the following requirements: 

(a) Be an enrolled member of the Nation. 

(b) Be age 21 or older. 
WISCONSIN WINNEBAGO BUSINESS COMMITEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 11 

(c) Have at least a high school or GED equivalent education and have knowledge of 

or experience in the gaming industry. 

(d) Have no prior criminal record of conviction of, or entry of a plea of guiky or no 

contest to, any of the following in any tribal, county, state or federal court, unless 

he or she has been pardoned: 

0 A felony. 

(ii) Any gaming-related offense. 

(iii) Fraud or misrepresentation in any connection. 

(iv) A violation of any provision of chs. 562 or 565, WIS. Stab., any rule 

promulgated by the Wisconsin Gaming Commission, or this Ordinance 

or any other ordinance of the Nation regulating or prohibiting gaming. 

(e) Not be a person whose prior activities, criminal record, if any, or reputation, habits 

and associations pose a threat to the public interest or to the effective regulation 

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

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

on of the business and financial arrangements inadental thereto. 

(0 Not be serving on the WWBC or any elected or appointed committees of the 

Nation at the time of his or her appointment to, or during his or her term of office 

on, the Commission. This prohibition does not include persons serving on Area 

or local committees. 

(g) Not be a Relative of any member of the WWBC. 

(h) Not be employed by any Gaming Operation . 

(i) Not be a Primary Management Official or Owner or Controlling Person with respect 

to any Management Contract, and not be a Relative of a Primary Management 

Official or Owner or Controlling Person with respect to any Management Contract. 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 12 

Sec. 803. Term: Quorum. The Commissioners each shall serve for a term of four years 

commenang on July I of the year of their appointment; provided, that three of the initial Commissioners 

appointed shall be designated by the WWBC to serve for an initial term of four years and two of the initial 

Commissioners appointed shall be designated by the WWBC to serve for an initial term of two years, based 

on a drawing of lots by the WC. Any three of the Commissioners present at a meeting duly called shall 

constitute a quorum. 

Sec. 804. Comuensation. Commissioners shall serve on a full-time basis, unless otherwise 

approved by the WWBC. Commissioners shall be paid the necessary travel expenses for meetings duty 

called under this Ordinance, in accordance with the established policies and guidelines of the WWBC. 

Additional compensation, if any, shall be established by the WWBC, in accordance with established policies 

and guidelines of the WWBC. 

Sec. 805. Removal. Any Commissioner may be removed by an affirmative vote of eight members 

of the WWBC acting at a meeting at which a quorum is present. Such removal shall only be for cause, 

including malfeasance, dereliction or neglect of duty, unexcused failure to attend three successive meetings 

of the Commission, failure to continue to meet the qualifications for appointment to the Commission, 

conviction of a felony in any tribal, county, state or federal court while in office, any willful and persistent 

misconduct reflecting on the dignity and integrity of the WWBC or the Nation, or failure to comply with any 

provisions of the Nation's Constitution and Bylaws and other applicable laws. Any Commissioner being 

considered for removal shall be provided with notice in writing stating the grounds for removal, and he or 

she shall have 30 days to provide an explanation to the WWBC in person or in writing, which explanation 

shall be considered by the WWBC in voting on the removal question. All removal questions shall be 

considered by the WWBC in open session at or after the end of the 30day notice period at which the 

Commissioner and his or her attorney shall have the right to be present. Until establishment of a tribal 

court, all WWBC determinations to remove a Commissioner shall be final. After establishment of a tribal 

court, judicial review of such WWBC determinations may be obtained by bringing an appeal in tribal court 

within 15 days after the date of the determination. 

Sec. 806. Vacancies. A vacancy on the Commission through death, resignation, or removal from 

office shall be filled by appointment by the WWBC to complete the unexpired term. 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 13 

Sec. 807. Powers and duties of Commission. The Commission shall be responsible for enforcing 

this Ordinance and shall ensure compliance with this Ordinance, any licenses issued, and any adions or 

orders of the Gaming Commission or WWBC. In addition to other duties specifically delegated to the 

Commission in this Ordinance, the Commission shall have the following powers and duties: 

(a) The Commission may recommend policies and guidelines relating to gaming, 

including any amendments to this Ordinance, to the WWBC. 

(b) The Commission shall monitor all Class II and Class Ill gaming on the Nation's 

Lands and all monthly reports and annual audits of such activities to insure that 

such activities conform to the provisions of this Ordinance and other applicable 

laws. 

(c) Except as otherwise provided, the Commission shall issue and deny gaming 

licenses in accordance with Chapter 9 of this Ordinance. 

(d) The Commission or WWBC shall refer any apparent violations of this Ordinance, 

Orders of the Commission, or violations of License conditions to the Legal 

Department for investigation as provided under sec. 1403 of this Ordinance. 

(e) The Commission or WWBC may impose penalties for violations of this Ordinance, 

any Order of the Commission, or any License condition in accordance with Chapter 

14 of this Ordinance. The Commission may enjoin or otherwise prevent any 

violation of this Ordinance, any Order of the Commission, any license condition, 

or other laws relating to gaming on the Nation's Lands. 

(9 The Commission shall prepare and recommend an annual budget for the purpose 

of allocating funds to the Commission for its necessary activities and expenses, 

which must be approved by the Business Committee. The Commission may in 

accordance with any approved budget employ such staff from time to time as it 

deems necessary to fulfill its responsibilities under this Ordinance. 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Pane 14 

(g) The Commission shall use the Tribal Legal Department as its counsel, or such 

other counsel to whom the Tribal Legal Department may refer such matters. 

(h) The Commission shall have authority and responsibility to interpret this Ordinance 

and its rules in proceedings before it. 

(i) The Commission shall have such other powers as are delegated to it from time to 

time by the WWBC. 

63 Except as otherwise provided in this Ordinance or any Management Contract, the 

Commission shall comply with all policies, guidelines, laws, resolutions and 

regulations of the WWBC. 

(k) Nothing in this section shall prevent the Commission from attempting to obtain 

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

Sec. 808. Meetinas and Hearings of the Commission. 

(a) All meetings and hearings of the Commission (except executive sessions) shall be open 

to all members of the Nation, and to non-members upon invitation of the Commission, the WWBC, or the 

Nation's General Counsel. Balloting at all sessions shall be as the presiding officer shall direct. The 

Commission may, upon motion duly passed, go into executive session. At such sessions all persons shall 

be excluded from the meeting chamber, and any persons whose presence shall be required before the 

Commission shall be designated by the presiding officer, and no other persons shall be allowed to be 

present other than the Commissioners. 

(b) The Commission shall post notice of any meeting or hearing in a prominent, noticeable 

place in the Nation's Executive Office no less than 48 hoilrs prior to the meeting or hearing, unless an 

emergency requires shorter notice, and shall also publish, if possible, such notice at or before the date of 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paqe 15 

posting in a Nation newspaper, or if a Nation newspaper is not currently in publication, in such other local 

newspaper serving the local community. The notice shall state the date, time and place of the hearing. 

Sec. 809. Commission Rules of Practice and Procedure. Subjed to the approval of the WWBC, 

the Commission may adopt Rules of Practice and Procedure, not otherwise inconsistent with this 

Ordinance, to regulate its proceedings. Such rules may provide for the issuance of subpoenas, upon 

application to the Commission, to compel attendance or the production of documents, and for prehearing 

discovery. Subject to any limitations set forth in this Ordinance, such rules may be amended by the 

Commission at any time, but amendments shall not be effective until approved by the WWBC. 

Sec. 81 0. Commission Hearinas. 

(a) The Commission shall afford an Applicant an opportunity for a hearing prior to any 

final action by the Commission on a license application. 

(b) The Commission shall afford a Licensee the opportunity for a hearing prior to 

taking final action resulting on the imposition of any penalties which the 

Commission is authorized to impose pursuant to this Ordinance or the 

Commission's Rules of Practice and Procedure. 

(c) Nothing in this section shall limit the Commission's authority to suspend a License 

summarily without a hearing pursuant to this Ordinance. 

(d) The burden of proving fitness and suitability for a License shall be on the 

Applicant. 

(e) Where a person or entity is charged with violation of this Ordinance, an order of 

the Commission, a License condition, the Compact, the iGRA or any other 

applicable laws, regulations or agreements, including but not limited to any 

agreement relating to gaming with the Wisconsin Winnebago Nation, the party 

allegi& the violation shall carry an initial burden of establishing a prima facie case 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 16 

of violation. If the Commission finds that a prima facie case has been established, 

the burden to rebut the charge shall shift to the person or entity. 

Sec. 81 1. Notices. 

(a) Notice of A~~li~ations. After an Application has been filed with the Commission, the 

Commission shall post notice of the Apprication in a prominent, noticeable place on the premises where the 

games are to be held for at least seven (7) days prior to consideration by the WWBC or the Commission 

and shall publish such notice at least once or before the date of posting in a Nation newspaper, or if a 

Nation newspaper is not in publication, in such other local newspaper serving the community that may be 

affected by the License as authorized by the Commission. The notice shall state the date, time and place 

when the Application shall be considered by the WWBC or the Commission and also shall state whether 

the Applicant is seeking a waiver of any requirements set forth in Sec. 903(a)(iv). 

(b) Notice to Aoolicant or Licensee. The Commission shall provide written notice to the 

Applicant or Licensee of the hearing at least seven (7) days prior to the date set for the hearing. The notice 

shall be sent by regular mail, or may be personally served upon the Applicant or Licensee. The notice shall 

state the date, time and place of the hearing. The notice shall also state the purpose of the hearing, 

including, but not limited to: 

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

information; 

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

(c) Whether the Commission will be examining any alleged violations of this Ordinance, the 

Compact, the IGRA, the conditions of any License issued by the Commission, any Order 

by the Commission or WWBC, or any other applicable laws, regulations or agreements, 

including, but not limited to any agreement with the Wisconsin Winnebago Nation. 

Sec. 812. Ex Parte Communications Prohibited. 

(a) No ex parte communication relative to any matter(s) being considered by the 

Commission, or a threat or offer of reward shall be made, before a decision is 

rendered, to any member of the Commission or any member of the Wisconsin 
WlSCONSlN WINNEBAGO BUSINESS COMMIREE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 17 

Winnebago Business Committee by an Applicant or Licensee, its legal counsel, 

representative, agent or employee. 

@) Nothing in this section shall prohibit the Applicant, licensee or its authorized agent 

from communicating with the Legal Department or its authorized agents. 

(c) Any member of the Commission or the WWBC who receives an ex parte 

communication shall immediatefy report such communication in writing to the 

General Counsel of the Legal Department. 

(d) For the purposes of this section only, "any matter@) being considered by the 

 om mission," means those matters identified in the written notice as provided in 

sec. 811 of this Ordinance, as well as any other matters that are actually 

considered by the Commission during a hearing. All matters identified in the 

written notice shall be subject to the prohibition against ex parte communications. 

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

Commission during a hearing become subject to the prohibition against ex parte 

communications as soon as they are discussed during the hearing. 

(e) The Commission shall have the power to impose any sanction pursuant to sec. 

821 upon its determination that an Applicant or Licensee, its legal counsel, agent, 

representative or employee, has made an ex parte communication in violation of 

this Section. 

Sec. 813. A~oearance through Counsel. 

(a) Parties to all hearings governed by this Ordinance may appear personally or 

through an attorney. except that a party must personally attend any hearing on the 

merits unless attendance has been waived, in writing, by the Commission. 
WlSCONSlN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paae 18 

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

orders, decisions and other papers shall thereafter be made upon the attorney, 

unless the party requests otherwise in writing. 

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

notices, requests, and other papers on behalf of the party, including a request for 

subpoenas. 

(d) Upon the establishment of the Wisconsin Winnebago Nation Bar, any attorney 

appearing before the Commission must be duly admitted and licensed by the 

W~sconsin Winnebago Nation Bar to practice law in the W~sconsin Winnebago 

Nation. 

Sec. 814. Discovery. 

(a) The Legal Department and the Licensee shall exchange a list of persons that each 

party intends to call as witnesses no later than three (3) business days before a 

scheduled enforcement hearing. Each witness shall be identified by name, if 

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

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

accord with this Section may be prohibited from testifying at a hearing in the 

Commission's discretion. 

(b) The Legal Department and the Licensee shall exchange a copy of all documents 

or tangible things that they intend to offer as evidence in support of the party's 

case in chief. This exchange shall be made to the opposing party no later than 

three (3) business days before a scheduled enforcement hearing. Failure to make 

available any document or tangible thing in accord with this section may, in the 

Commission's discretion, be grounds to deny the admission into evidence of such 

document or tangible thing. 

Sec. 815. Confidential Materials. 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paqe 19 

(a) Prior to making any documents available to the Legal Department, the Applicant 

or Licensee may designate any document it believes to contain confidential 

information as "Subject to a Confidentiality Claimw by so marking the document 

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

(b) No document provided to the Legal Department which has been marked in accord 

with subsec. (a) above, and no non-public information contained with the 

document, shall be made a part of the public record of the Commission 

proceedings or otherwise disclosed by the Commission to any person other than 

its authorized agents (or except as may be required under any laws, regulations, 

court or administrative order, or the Compact), without first providing the Applicant 

or Respondent with the opportunity to seek a ruling by the Commission that the 

documents andlor non-public information contained therein should not be made 

public. The request for such a ruling and any discussion relating to the document 

shall be heard and ruled upon by the Commission in an Executive Session 

meeting. If the request for such a ruling is made during a public hearing session, 

the hearing session shall be adjourned and the Commission shall conduct an 

Executive Session meeting in order to hear and rule upon the Applicant's or 

Respondent's request. The Applicant or Licensee may present to the Commission 

in Executive Session written and oral argument regarding the confidentiality claim, 

along with any facts the Applicant or Licensee believes to be relevant to such 

argument. 

(c) In determining whether a document marked in accord with Sec. 815 (a) above 

should be made part of the public record of the Commission proceedings on the 

license application or enforcement hearing, the Commission shall follow the 

relevant procedures set forth in paragraphs 5-9 of Resolution No. 4-26-93A, 

attachment hereto as Appendix A. 

Sec. 816. Subpoenas 

(a) The Commission has the power and discretion to issue subpoenas. 
WISCONSIN WINNEBAGO BUSINESS COMMll7EE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 20 

(b) Subpoenas may be issued only to compel any person to appear at any hearing 

before the Commission to give oral testimony, or to produce documents or other 

tangible things. 

Sec. 817. Hearina Procedures. 

(a) The Chair of the Commission shall preside over all hearings, and shall call the 

proceedings to order, control the presentation of evidence, the appearance of 

witnesses, and the order of the proceedings. 

(b) The Commission may require any person, including, but not limited to, any 

Applicant or Licensee, or any agent, employee or representative of any Applicant 

or Licensee, to appear and testify before it with regard to any matter within its 

jurisdiction at such time and place as it may designate. Such testimony shall be 

under oath and may include any matters which the Commission deems relevant 

to the discharge of the Commission's official duties. Testimony shall be recorded 

by a duly certified court reporter and may be used by the Commission as evidence 

in any proceeding or matter before the Commission. Failure to appear and testify 

fully at the time and place designated shall result in sanctions. Failure to appear 

may constitute grounds for: 

(i) the refusal to grant a License to the person summoned, and/or 

that person's principal or employer; 

(ii) the cancellation or suspension of a License held by the person 

summoned, and/or that person's principal or employer; or 

(iii) the inference that the testimony of the person summoned would 

have been adverse to that person andlor that person's principal or 

employer. 

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

exercise its discretion to limit the testimony of witnesses where that testimony is 

argumentative or repetitive. 
WISCONSIN WINNEBAGO BUSINESS COMMlnEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 21 

(d) The Commission shall have the authority to eject from the hearings any person 

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

Commission or the nature of the proceedings. 

(e) Pe~sons shall be permitted to speak only when recognized by the Commission. 

(f) Any member of the Commission may ask questions of witnesses, and may request 

or allow additional evidence at any time. 

@) Any party to the hearing may conduct cross-examinations reasonably required for 

a full and true disclosure of the facts. 

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

Wisconsin Winnebago Nation and to such other persons who, in the discretion of 

the Commission or the General Counsel of the Legal Department, should be 

allowed to attend. 

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

Sec. 819. Evidence. 

(a) In hearings governed by this Ordinance, the Commission shall not be bound by technical 

rules relating to evidence and witnesses. The Commission shall admit all testimony having 

reasonable probative value, but shall exclude immaterial, irrelevant or unduly repetitious 

testimony. The Commission shall give effect to the rules of privilege unless such privilege 

is waived. Basic principals of relevancy, materiality and probative force shall govern the 

proof of all questions of fact. Objections to evidentiary offers and offers of proof of 

evidence not admitted may be made and shall be noted in the record. 

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

which the Commission desires to avail itself, shall be duly offered and made a part of the 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 22 

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

countervailing evidence. 

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

established technical or scientific fact; but parties shall be notified either before or during 

the hearing or by full reference in preliminary reports or otherwise, of the fads so noticed, 

and they shall be afforded an opportunity to contest the validity of the official notice. 

(d) Documentary evidence may be received in the form of copies or excerpts, if the original 

is not readily available. Upon request, parties shall be given an opportunity to compare the 

copy to the original. 

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

(0 All applications, pleadings, intermediate rulings and exhibits and appendices 

thereto; 

(ii) Evidence received or considered, stipulations and admissions, including but not 

limited to confidential evidence received under sec. 815 of this Ordinance; 

(iii) A statement of matters officially noticed; 

(iv) Questions and offers of proof, objections, and ruling thereon; 

(v) Any proposed findings or decisions and exceptions; 

(vi) Any decision, opinion or report by the Commission; and 

(vii) The transcript prepared by a duly certified court reporter. 

Sec. 820. Determinations by the Commission. 

(a) The Commission shail make all determinations of issues before it by a majority vote of at 

least a quorum of the Commission. 

(b) All significant determinations made by the Commission shall be documented in a written 

resolution. Significant determinations include the grant, denial or cancellation of a License, 

a finding of a violation of the Ordinance, the Compact, the IGRA, the conditions of any 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 23 

license issued by the Commission, any order by the Commission, or any other applicable 

laws, regulations or agreements, including, but not limited to, any agreement with the 

Wisconsin Winnebago Nation, and the imposition of any sanctions or penalties. 

(c) A copy of any resolution reached pursuant to this section shall be served upon the 

Appficant or Respondent by registered or certified mail, or may be served personally. 

Sec. 821. Sanctions. 

If any party or its attorney fails to comply with any provision of this Ordinance, the Commission's 

Rules of Practice and Procedure, the Compact, the IGRA, the conditions of any license issued by the 

Commission or WWBC, any order by the Commission or WWBC, or any other applicable laws, regulations 

or agreements, including, but not limited to, any agreement with the Wisconsin Wrnnebago Nation, 

regarding any matter, including, but not limited to, discovery matters and the failure to appear at a hearing 

at the scheduled time, the Commission upon motion or upon its own initiative, may in its discretion impose 

upon such patty or attorney, or both, appropriate sanctions in regard to the failure(s) as are just, including, 

but not limited to, the following: 

(a) An order prohibiting the use of any witness, document or tangible thing which should have 

been disclosed, produced, exhibited or exchanged pursuant this Ordinance, the 

Commission's Rules of Practice and Procedure, or any order of the Commission; 

(b) An order that designated facts shall be taken as established; 

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

defenses; 

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

the proceeding or any part thereof, or entering a judgment by default against the 

disobedient party; 

(e) A finding against the disobedient party; or 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 24 

(9 Any penally provided for in chapter 14 of this Ordinance. 

Sec. 822. A~waIs. Decisions of the Commission under this chapter may be appealed under 

sec. 802A of this Ordinance. 

CHAPTER 8A. POWERS AND DUTIES OF THE WISCONSIN WlNNEBAGO BUSINESS COMMITTEE. 

Sec. 801A. The WWBC shall have primary responsibility for managing the business affairs of the 

Nation's Gaming Operations. In addition to other activities specifically assigned to the WWBC in this 

Ordinance, the WWBC and its officers and designated agents shall have the following powers and duties. 

(a) The WWBC shall adopt policies, guidelines and regulations for Class II and Class Ill 

gaming on the Nation's Lands, including any amendments to this Ordinance. 

(b) The WWBC or its designated agents shall be responsible for making any decisions called 

for on behalf of the Nation for the Gaming Operations. 

(c) The Chief Financial Officer of the Wisconsin Winnebago Nation: 

0 shall participate in the Nation's annual process for the 

development and approval of budgets of such Gaming Operations, 

except as limited under any Management Contract or other gamingrelated contracts, in order to assist the WWBC to evaluate proposed 

budgets and approve final budgets; and 

(ii) shall prescribe standard accounting practices and procedures to be 

observed by the Chief Financial Officers of the Nation's Gaming 

Operations. 

(d) All purchases by or on behalf of any of the Nation's Gaming Operations shall be subject 

to the Nation's property and procurement manual or policies as they may be from time-totime amended. In addition to compliance with such manual or policies, all contract or noncontract purchases relating to gaming in the amount of $5,000 or less shall be subject to 

approval by the Nation's Chief Financial Officer and all contract or non-contract purchases 
WISCONSIN WINNEBAGO BUSINESS COMMITEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 25 

relating to gaming in amounts greater than $5,000 shall be subject to approval by the 

WWBC upon the recommendation of the Nation's Chief Financial Officer. 

(e) The Nation's Chief Executive Officer and Chief Financial Officer shall perform such 

amties as are delegated by the WWBC and this Ordinance. 

Sec. 802A. Aowal of Commission Decisions to the MC. 

(a) Apmllants. A License Applicant may appeal the denial of a License or conditions placed 

upon a License as provided in this Section. A party aggrieved by a deasion of the 

Commission pursuant to an enforcement proceeding may appeal the deasion as provided 

in this Section. 

(b) Jurisdiction. Until the establishment of the tribal court, the WWBC shall have jurisdiction 

to review all enforcement and licensing decisions of the Commission under this Ordinance. 

After the establishment of the tribal court, only the tribal court shall have jurisdiction to 

review all such decisions, except decisions denying a License under Sec. 903 (a)(iv) 

which shall be reviewable only by the WWBC. 

(c) Procedures. Appeals to the WWBC shall be brought as follows. After the establishment 

of the tribal court, appeals to the tribal court shall be brought as provided by tribal law, 

except that the tribal court shall apply the same standard of review set out in subsec. (v) 

below. 

(i) Filinsl appeal. An appellant may file a petition for review with the Chairperson of 

the WWBC requesting that the WWBC review a decision of the Commission with 

a duplicate copy to the General Counsel of the Legal Department. The petition 

must be filed within fifteen (15) days of the decision, unless addition time is 

granted by the WWBC, and shall identify the decision appealed from and contain 

a short statement of the reason for the appeal. A petition for review shall not be 

accepted unless the appellant has paid all costs of the investigation and 

proceedings before the Commission and, if the Commission imposed a fine in the 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 26 

decision that is the subject of the appeal, the appellant shall post bond in the 

amount of the fine. 

(ii) WWBC Review of the Record. Upon receiving a petition for review which 

conforms to the requirements of this Section, the Chairperson of the WWBC shall 

notify the Commission, which shall have fifteen (1 5) days to transmit the record of 

its decision and to respond to the petition. The Chair of the WWBC shall schedule 

a meeting of the WC within thirty (30) days after receipt of the Commission's 

record and response to the petition to consider the appeal. The Chair of the 

WWBC shall preside at the meeting on the appeal. The WWBC, in its discretion, 

may deny the appeal on the record and any written statements submitted, or it 

may grant the petition for review. 

(iii) Statements. Within ten days after the appellant has been notified that the petition 

for review is granted, the appellant may file a written statement in support of the 

appeal with the Chairperson of the VVWBC. The appellant shall file an original and 

15 copies. The Chairperson of the WBC shall provide a copy to the Commission 

and the Commission shall have ten days to file a written statement in response. 

The WWBC may extend the time allowed at its own discretion. 

(iv) Stavs. Unless the WWBC stays a decision of the Commission, all Commission 

decisions shall be canied out while appeals are pending. The appellant may 

request the WWBC to stay the decision pending action on the appeal by filing a 

petition with the Chairperson of the WWBC with a copy to the Nation's General 

Counsel. 

(v) Decisions. Decisions of the WWBC shall be made by a majority vote and shall be 

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

arguments, if any, and any written statements submitted. The WWBC shall give 

proper deference to the administrative expertise of the Commission and to 

determinations of credibility. The WBC shall not set aside or modify any 

decision unless it finds that the decision was arbitrary and capricious, unsupported 

by substantial evidence or contrary to law. The WWBC shall issue a written 

decision on all appeals. 

(vi) Costs. The WWBC may, in its discretion, award costs and attorneys fees to the 

Nation against any appellant whose appeal was frivolous, malicious or in bad faith. 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 27 

Sec. 803A Ex Parte Communications Prohibited. 

(a) No ex parte communication relative to any matter(s) being considered by the 

WWBC, or threat or offer of reward shall be made before the WWBC has rendered 

its decision, to any member of the WWBC by an Applicant or Licensee, its legal 

counsel, representative, agent or employee. 

(b) Nothing in this section shall prohibit the Applicant, Licensee or its authorized agent 

from communicating with the Legal Department or its authorized agents. 

(c) Any member of the Commission or the WWBC who receives an ex parte 

communication shall immediately report such communication in writing to the 

General Counsel of the Legal Department. 

(d) For the purposes of this section only, "any matter(s) being considered by the 

WWBC" shall mean those matters identified in the written notice as provided in 

sec. 811 of this Ordinance, as well as any other matters that are actually 

considered by the Commission during a hearing. All matters identified in the 

written notice shall be subject to the prohibition against ex parte communications. 

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

Commission during a hearing become subject to the prohibition against ex parte 

communications as soon as they are discussed during the hearing. 

(e) The WWBC shall have the power to impose any penalty pursuant to sec. 821 upon 

its determination that an Applicant or Licensee, its legal counsel, agent, 

representative or employee, has made an ex parte communication in violation of 

this Section. 

CHAPTER 9. LICENSING PROCEDURES. 

Sec. 901. Garninc; License Required. 
WISCONSIN WINNEBAGO BUSINESS COMMIlTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 28 

(a) Persons, The following persons must obtain tribal Licenses under the procedures 

of this Chapter 9, as a condition to employment in any Gaming Operations on the 

Nation's Lands: 

(1) Any Owner or Controlling person; 

(io Primary Management Official; 

(iii) Key Employees; and 

(iv) Any other employee or class of employees as determined by the 

WWBC. 

The licensing requirement under this Ordinance is in addition to any state certificates required under the 

Compact. The Nation shall issue to any individual a Class II License which shall be valid for any Class II 

facility and a Class Ill License which shall be valid for any Class Ill faalii. 

(b) Facilities. The Nation shall issue a separate License to each place, facility, or 

location on the Nation's Lands where gaming is conducted under this Ordinance. 

Sec. 902. Standard for License. Licenses issued hereunder shall be issued according to 

requirements that are at least as stringent as those set forth in regulations promulgated by the NlGC in 

parts 556 and 558 of chapter 25 of the Code of Federal Regulations, including any amendments thereto, 

and also, in the case of Class Ill gaming, according to requirements that are at least as stringent as those 

set forth in the Compact. 

Sec. 903. A~~li~ation for License. 

(a) No License shall be issued under this Chapter except upon a sworn Application 

filed with the Commission, in such form as may be prescribed by the Commission, 

containing a full and complete showing, at a minimum, of the following: 

(0 Satisfactory proof that the Applicant is of good character and reputation 

among the members of the Nation, and is financially responsible; 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paae 29 

(ii) A description of the premises at which the games are to be conducted, 

with proof of the contractual or other basis upon which the Applicant 

shall conduct games, or be employed, at such premises; 

(iii) Agreement by the Applicant to accept and abide by all conditions of the 

License as provided in this Ordinance; 

(1'4 Satisfactory proof that neither the Applicant, nor any Owner or 

Controlling Person of any Appbcant which is a party to a Management 

Contract, nor any of the Applicant's employees has in any jurisdiction 

ever been convicted of, or entered a plea of guilty or no contest to, any 

of the following criminal offenses, unless the person has been 

pardoned: 

a. A felony, other than a felony conviction for an offense under b, c, 

or d, within the immediately preceding ten (10) years;. 

b. Any gaming-related offense; 

c. Fraud or misrepresentation in any connection; or 

d. A violation of any provision of chs. 562 or 565, Wis. Stats., any 

rule promulgated by the Wisconsin Gaming Commission or other 

appropriate state regulatory body, or this Ordinance or any other 

ordinance of the Nation regulating or prohibiting gaming. 

Except in the case of Owners or Controlling Persons or persons 

designated in any Management Contract as having management 

responsibility of all or any part of any Gaming Operations, the WWBC 

may in its discretion waive by legislative resolution any requirements 

set forth in this Sec. 903 (a)(iv) for any Applicant for a Class Ill License 

as permitted by the Compact or for any Applicant for a Class I1 License 

when the Applicant has demonstrated on the record before the 

Commission evidence of sufficient rehabilitation and present fitness to 

hold a License under the standard set forth in Sec. 903(b). Decisions 

of the WWBC to grant or to deny a waiver under this subsection shall 

not be appealable to the tribal court, if one is established; and 
WISCONSIN WINNEBAGO BUSINESS COMMllJ-EE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 30 

('4 That the Applicant has fulfilled any applicable requirements of IGRA 

and the Compact. 

(b) No License shall be issued to any Applicant who has been determined by the 

WWBC or the Commission to be a person whose prior activities, criminal record, 

if any, or reputation, habits and associations pose a threat to the public interest or 

to the effective regulation and control of gaming, or create or enhance the dangers 

of unsuitable, unfair, or illegal practices, methods, or activities in the operation of 

gaming or the carrying on of the business and financial arrangements incidental 

thereto. 

(c) The issuance of licenses hereunder also shall be subject to the provisions of 

Chapter 10 regarding background investigations. 

(d) The following notice shall be placed on the application form for a key employee or 

a Primary Management Official before that form is filled out by an applicant: 

In compliance with the Privacy Act of 1974, the 

following information is provided: Solicitation of the 

information on this form is authorized by 25 U.S.C. 2701 et 

seq. The purpose of the requested information is to 

determine the eligibility of individuals to be employed in a 

gaming operation. The information will be used by National 

Indian Gaming Commission members and staff who have 

need for the information in the performance of their official 

duties. The information may be disclosed to appropriate 

Federal. Tribal, State, local, or foreign law enforcement and 

regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when pursuant 

to a requirement by a tribe or the National lndian Gaming 

Commission in connection with the hiring or firing of an 

employee, the issuance or revocation of a gaming License, 

or investigations of activities while associated with a tribe or 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 31 

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 Official or key employee 

position. 

The disclosure of your Social Security Number (SSN) 

is voluntary. However, failure to supply a SSN may result 

in errors in processing your application. 

(e) Key Employees and Primary Management Officials hired prior to the effective date 

of this Ordinance shall be notified in writing that they shall either: 

0 Complete a new application form that contains a Privacy Act notice; or 

00 Sign a statement that contains the Privacy Act notice and consent to 

the routine uses described in that notice. 

(0 The following notice shall be placed on the application form for a Key Employee 

or a Primary Management Official before that form is filled out by an Applicant. 

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 fine or imprisonment. (U.S. Code, title 18, sec. 1001.) 

[Note: Check cite.] 

(g) The Commission shall notify in writing any key employees and Primary 

Management Officials hired prior to the effective date of this Ordinance that they 

shall either: 

(0 Complete a new application form that contains a notice regarding false 

statements; or 

(ii) Sign a statement that contains the notice regarding false statements. 

Sec. 904. Procedures. All applications shall be considered by the Commission in accordance with 

sections 807 to 820 of this Ordinance. 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3/30/94 Paae 32 

Sec. 905. AuthoritV to Issue License. The Commission shall grant or deny all Applications for a 

License, except that the Commission shall deny an appfication for a License where the Applicant or 

Licensee does not meet the restrictions under sec. 903 (a@) of this Ordinance, in which case, in the 

discretion of the Applicant, the Applicant may proceed to make a record for findings by the Commission as 

to the Applicant's sufficient rehabilitation and present fitness to hold a License. Any License granted by the 

Commission shall be effective upon the date of grant, which effectiveness shall be provisional as set forth 

in Sec. 908 hereof pending the satisfactory completion of all background investigations and pending 

expiration of the 30-day period for review by the NIGC provided for in regulations promulgated by the NlGC 

in part 558 of chapter 25 of the Code of Federal Regulations, including any amendments thereto; provided, 

however, that the Commission must provide written notice to the WWBC of the granting of any Licenses, 

and the WWBC shall have he power to overturn the granting of any License on its own motion at any time 

provided the WWBC has conducted a hearing consistent with sec. 810. If overturned by the WWBC, a 

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

tribal court, after it is established, as provided in sec. 802A. 

Sec. 906. Appeal of Denial of License. The Applicant may appeal any denial of a License as 

provided in sec. 802A of this Ordinance. 

Sec. 907. [Repealed.] 

Sec. 908. Effectiveness of License. Any License granted hereunder shall be effective on a 

provisional basis pending the satisfactory completion of all background investigations required under this 

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

of the 30day period for review by the NlGC provided for in regulations promulgated by the NIGC in part 

558 of chapter 25 of the Code of Federal Regulations, including any amendments thereto, if applicable. 

Upon the satisfactory completion of all required background investigations and such review by the NIGC, 

such License shall continue to be effective until it expires. If background investigations or NlGC review are 

not satisfactorily completed, a provisional License shall have no further force or effect. 

Sec. 909. Term of License; License Fees 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 33 

(a) Licenses shall be for a term of one year, and shall expire on the anniversary of the 

date of issue. 

(b) In order to recover the costs to the Nation of complying with the federal, tribal, and 

state regulatory processes applicable to Class I1 and Class Ill gaming, annual 

License fees shall be imposed as follows: 

0 License fees in the amount of $25,000.00 per year shall be imposed on 

each patty to a Management Contract with the Nation. 

(ii) License fees shall be imposed on any persons required to obtain a 

tribal License in accordance with fee schedule to be established by the 

WWBC. 

(iii) In addition to the License fees imposed pursuant to Sec. 909(b)(i) and 

(ii), the Commission may in its discretion impose such fees on licensed 

persons as are reasonably related to costs of enforcement, including 

investigations and proceedings before the Commission, which will in the 

aggregate be sufficient to enable the Nation to recover its reasonable 

costs of enforcing this Ordinance. 

Sec. 910. Conditions of License. Any License issued under this chapter shall comply with 

such reasonable conditions as may be fixed by the Commission, including but not limited to the following 

conditions: 

(a) Facility License: 

(i) The licensee shall at all times maintain an orderly, clean and neat 

establishment, both inside and outside the Licensed Premises; 

(ii) The Licensed Premises shall be subject to patrol by the Nation's 

security force and local law enforcement, and the licensee shall 

cooperate at all times with such security and law enforcement officials; 

(ii) The Licensed Premises shall be open to inspection by duly authorized 

tribal officials at all times during the regular business hours; 
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(iv) There shall be no discrimination in the operations under the License by 

reason of race, color or creed; provided, however, that nothing herein 

shall prevent the licensee from granting preferences to Indians as 

permitted by law. 

@) Persons and Entities licensed by the Commission shall comply with such conditions of the 

License as the Commission, in its reasonable discretion, may require, including but not 

limited to, compliance with such condition or remedial programs as the Nation's Employee 

Assistance Program may prescribe. 

Sec. 911. Reauired Notifications. The Commission shall promptly notify the NIGC or other 

appropriate federal regulatory body of the issuance or denial of tribal Licenses, as required under IGRA . 

Sec. 912. Assianment or Transfer. No License issued under the Ordinance shall be assigned or 

transferred without the prior written approval of the WWBC expressed by formal resolution. 

Sec. 913. Cancellation or Sus~ension. The Licensee and his or her or its employees shall be 

legally responsible for any violation of the Ordinance or the License. Any License issued hereunder may 

be canceled by the Commission for the breach of any of the provisions of the License, this Ordinance, or 

any rules promulgated pursuant to this Ordinance, as provided in Chapter 14 and as follows: 

(a) The Licensee and his or her or its attorney have the right to be present and to 

participate. 

(b) Suspensions. A License may be summarily suspended for up to thirty (30) days 

without prior hearing for good cause by a majority vote of the Commission; 

provided, however, that a License shall be suspended during such period as 

required under the IGRA if the cancellation hearing arises as a result of notice from 

the NlGC under regulations. 

(c) Appeals. All decisions of the Commission regarding cancellations of Licenses shall 

be final, unless appealed as provided in Chapter 8A of this Ordinance, except that 
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AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paqe 35 

a License canceled by the Commission pursuant to an objection itemized by the 

NIGC as provided in Sec. 1007 may not be appealed. There shall be no right of 

appeal of any suspension deasion, and no gaming shall be conducted by any 

Licensee during the period of suspension. No gaming shall be conduded by the 

Licensee after cancellation, even during the pendency of an appeal proceeding. 

Sec. 914. Notice of Licensing Actions. The Commission and the WWBC shall post public notices 

of all actions taken in regard to Licenses and License applications in a prominent, noticeable place in the 

Nation's offices, on gaming premises and shall publish such notice in a Nation or local newspaper serving 

the affected community. 

Sec. 915. Provisional Emplovment Pendina Issuance of License and Durina Provisional License 

Period. Primary Management Officials and Key Employees may be employed in the Gaming Operations 

on the Nation's Lands prior to the issuance of a License hereunder and during the period that a License 

shall be effective on a provisional basis as provided in Sec. 908, but such employment shall be provisional 

only and subject to the requirements of this Sec. 915. Any person or entity who is required to apply for a 

waiver under Sec. 903 (a)(iv) is not eligible for a provisional License or employment in a Nation Gaming 

Operation unless a waiver deasion under that section is granted by the WWBC. Employment may begin 

prior to issuance of a License only if the Commission or such other tribal agency or official as may be 

authorized by the WWBC has made a preliminary finding of eligibility for employment in the Gaming 

Operations, which shall require a preliminary determination that the Primary Management Official or Key 

Employee is not a person whose prior activities, criminal record, if any, or reputation, habits and 

associations pose a threat to the public interest or to the effective regulation and control of gaming, or 

create or enhance the dangers of unsuitable, unfair, or illegal practices, methods, or activities in the 

operation of gaming or the carrying on of the business and financial arrangements incidental thereto. 

Preliminary employment must be terminated upon the occurrence of any of the following: 

(a) denial of a License by the Commission or the WWBC; 

(b) unsatisfactory completion of background investigations or NIGC review resulting in 

nullification of a provisional License, as described in Sec. 908; or 
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(c) to the extent required under regulations promulgated by the NlGC in part 558 of chapter 

25 of the Code of Federal Regulations, including any amendments thereto, at the end of 

90 days after the starting date of provisional employment, if at the end of such period no 

License has been issued hereunder or if a License issued hereunder remains effective onty 

on a provisional basis, as provided in Sec. 908; provided, however, that provisional 

employees terminated for the reason described in subclause (c) shall be qualified for 

reemployment upon the satisfactory completion of background investigations and NlGC 

review. 

CHAPTER 10. BACKGROUND INVESTlGAnONS 

Sec. 1001. Required Backaround Investiaations. Background investigations shall be conducted 

on all persons or entities specified in sec. 901 of this Ordinance. 

Sec. 1002. Standards for Backaround Investiaations. All background investigations shall be 

conducted under the supervision and direction of the Legal Department to ensure that the Nation in its 

Gaming Operations shall not employ or contract with persons whose prior activities, or reputation, habits 

and associations pose a threat to the public interest or to the effective regulation of gaming conducted 

under this Ordinance, or create or enhance the dangers of unsuitable, unfair or illegal practices and 

methods and activities in the conduct of such gaming. Such investigations shall be conducted according 

to requirements that are at least as stringent as those set forth in regulations promulgated by the NlGC in 

25 C.F.R. parts 556 and 558, including any amendments thereto and as provided in Sec. 1003 of this 

Ordinance and as those set forth in the Compact. If the Commission or WWBC determines that 

employment of the person poses a threat to the public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in the 

conduct of gaming, a tribal gaming operation shall not employ that person in a Key Employee or Primary 

Management Official position. In the case of investigations of Primary Management Officials and Key 

Employees, the report required under regulations promulgated by the NlGC in 25 C.F.R. part 558, including 

any amendments thereto, shall be prepared and submitted to the NIGC, which report shall contain the 

eligibility determination described in such regulations. All background investigations also shall otherwise 

meet the standards of such investigations imposed under the IGRA andlor the Compact and shall be 
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AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 37 

updated as required under IGRA and/or the Compact, as applicable. Nothing herein shall prevent the 

conduct of more comprehensive background investigations than those required under the IGRA or the 

Compact. 

Sec. 1003. Backaround Investiaations. 

(a) Each peison subject to a background investigation under sec. 1001 of this 

Ordinance shall be required to provide all of the following information: 

(7) Full name. other names used (oral or written), social security 

number(s), birth date, place of birth, citizenship, gender. all languages 

(spoken or written); 

(ii) Currently and for the previous 5 years: business and employment 

positions held, ownership interests in those businesses, business and 

residence addresses, and drivers license numbers; 

(i i i) The names and current addresses of at least three personal 

references, including one personal reference who was acquainted with 

the applicant during each period of residence listed under paragraph 

(a)(ii) of this section; 

(iv) Current business and residence telephone numbers; 

('4 A description of any existing and previous business relationships with 

Indian tribes, including ownership interests in those businesses; 

(vi) A description of any existing and previous business relationships with 

the gaming industry generally, including ownership interests in those 

businesses; 

(v i i) The name and address of any licensing or regulatory agency with 

which the person has filed an application for a license or permit related 

to gaming, whether or not such license or permit was granted; 

(viii) For each felony for which there is an ongoing prosecution or conviction, 

the charge, the name and address of the court involved, and the date 

and disposition if any; 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

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(7x1 For each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations), within 10 years of the date of the 

application, the name and address of the court involved and the date 

and disposition; 

()o For each criminal charge (excluding minor traffic charges), whether or 

not there is a conviction, if such criminal charge is within 10 years of 

the date of the application and is not otherwise listed pursuant tot 

paragraph (a)(viii) or (a)@) of this sec., the criminal charge, the name 

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

(xi) The name and address of any licensing or regulatory agency with 

which the person has filed an application for an occupational license 

or permit (such as gaming, liquor, accounting, or practice of law), 

including but not limited to, whether or not such license or permit was 

granted; 

(xii) A current photograph; 

(xiii) Any other information the Commission deems relevant; and 

(xiv) Fingerprints consistent with procedures adopted by the Nation 

according to 25 C.F.R. § 533.2(h). 

(b) The investigation shall be sufficient to make a determination of suitability as set forth under 

Sec. 1002. 

Sec. 1004. Procedures for Forwardina A~Dlications and Re~orts for Kev Em~lovees and Primary 

Manaaement Officials to the National Indian Gamina Commission. 

(a) When a Key Employee or Primary Management Official begins work at a Gaming 

Operation authorized by this Ordinance, a completed application for employment, the 

background investigation and determination referred to in Sec. 1002 shall be forwarded to 

the NIGC. 
WISCONSIN WINNEBAGO BUSINESS COMMl7TEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paoe 39 

@) The report referred to in Sec. 1005 shall be submitted to the National lndian Gaming 

Commission within 60 days after an employee begins work or within 60 days of the 

approval of this Ordinance by the Chairman of the National lndian Gaming Commission. 

(c) The Gaming Operation shall not employ as a Key Employee or Primary Management 

Official a person who does not have a License after 90 days. 

Sec. 1005. Rewrt to the National lndian Gamina Commission. 

(a) Pursuant to the procedures set out in Sec. 1004, the Commission shall prepare and 

forward to the National lndian Gaming Commission an investigative report on each 

background investigation upon issuance of a License. An investigative report shall include 

all of the following: 

(i) Steps taken in conducting a background investigation; 

(ii) Results obtained; 

(iii) Conclusions reached by the Commission; and 

(iv) The Commission's bases for those conclusions. 

(b) The Commission shall submit, with the report, a copy of the eligibility determination made 

under Sec. 1002. 

(c) If a License is not issued to an Applicant, the Commission: 

(i) Shall notify the National Indian Gaming Commission; and 

(ii) May forward copies of its eligibility determination and investigation report, if any, 

to the National lndian Gaming Commission for inclusion in the lndian Gaming 

Individuals Records System. 

(d) With respect to Key Employees and Primary Management Officials, applications for 

employment and reports (if any) of background investigations shall be retained for 
WISCONSIN WINNEBAGO BUSINESS COMMITJEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 40 

inspection by the Chairman of the National lndian Gaming Commission or his or her -. 

designee for no less than three (3) years from the date of termination of employment. 

Sec. 1006. Grantina a Gamina License. 

(a) If, within a thirty (30) day period after the National lndian Gaming Commission receives a 

report. the National lndian Gaming Commission notifies the Nation that it has no objecb'on 

to the issuance of a License pursuant to a License applcation filed by a Key Employee or 

a Primary Management Offiaal for whom the Commission has provided an application and 

investigative report to the National lndian Gaming Commission, the Nation may issue a - 

License to such Applicant. 

(b) The Commission shall respond to a request for additional information from the Chairman 

of the National lndian Gaming Commission concerning a Key Employee or a Primary 

Management Oflicial who is the subject of a report. Such a request shall suspend the 30- 

day period under subsec. (a) of this section until the Chairman of the National lndian 

Gaming Commission receives the additional information. 

(c) If, within the thirty (30) day period described above, the National lndian Gaming 

Commission provides the Nation with a statement itemizing objections to the issuance of 

a License to a Key Employee or to a Primary Management Offiaal for whom the 

Commission has provided an application and investigative report to the National lndian 

Gaming Commission, the Commission shall reconsider the application, taking into account 

the objections itemized by the National lndian Gaming Commission. The Commission shall 

make the final decision whether to issue a License to such applicant. 

Sec. 1007. License Cancellation and Sus~ension Followina Receiot of Information from NIGC. 

(a) If, after the issuance of a gaming License, the Nation receives from the National lndian 

Gaming Commission reliable information indicating that a Key Employee or a Primary 

Management Official is not eligible for employment under Sec. 1002 above, the 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 41 

Commission shall suspend such License and shall notify in writing the Licensee of the 

suspension and the proposed cancellation. 

@) The Commission shall conduct a hearing in accord with sec. 81 0 and 91 3 on a proposed 

cancellation pursuant to sec. 1007(a). 

(c) After a hearing, the Commission shall decide to cancel or to reinstate a gaming License. 

The Commission shall notiw the National Indian Gaming Commission of its decision. The 

decision of the Commission to cancel the License shall be final and there shall be no 

appeal. 

CHAPTER 11. CONFLICTS OF INTEREST PROHIBITED 

Sec. 11 01. No member of the WWBC or the Commission shall: 

(a) Be employed by any Gaming Operations, be a Primary Management Official or 

Owner or Controlling Person with respect to any Management Contract, or be a 

Relative of a Primary Management Official or Owner or Controlling Person with 

respect to any Management Contract, either while sewing on the WWBC or the 

Commission or for a period of three months from the termination of service on the 

WWBC or the Commission. 

(b) Participate in the approval, denial or renewal of any Application for a gaming 

License by, or participate in the revocation or suspension of any License granted 

hereunder to, any Relative of such member of the WWBC or the Commission. 

(c) Engage in any business, transaction or professional activity or incur any obligation 

of any, nature which conflicts with the proper discharge of his or her official duties 

in administering this Ordinance; provided that a member of the WWBC who may 

engage in a conflicting activity or incur a conflicting obligation that is not otherwise 

disqualified under Sec. 1101(a) shall promptly disclose that activity or obligation 
WISCONSIN WINNEBAGO BUSINESS COMMll7EE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 42 

to the WWBC and refrain from voting on any matter regarding which such activity 

or obligation may constitute a conflict. 

Sec. 1102. Except as provided in secs. 1104 and 1105, no party to a Management Contract, 

Owner or Controlling Person, Primary Management Official, or employee of the Nation in any of its Gaming 

Operations shall: 

(a) Participate as a player in any Class I1 or Class Ill games conducted pursuant to 

this Ordinance, except 

(1) Employees of the Nation in any of its Class I1 Gaming Operations may 

participate as players in any of the Nation's Class Ill Gaming 

Operations; and 

(ii) Employees of the Nation in any of its Class Ill Gaming Operations may 

participate as players in any of the Nation's Class I1 Gaming 

Operations. 

(b) Engage in any business transaction or professional activity or incur any obligation 

of any nature which conflicts with the proper performance of any Management 

Contract or employment duties, as the case may be. 

Sec. 1103. In addition to the prohibitions in Sec. 1102, no employee of the Nation in any of its 

Gaming Operations shall own, be employed by or have any direct or indirect pecuniary interest in any 

Management Contract or other gaming-related contract of the Nation. However, nothing in this Sec. 1103 

shall prevent the Nation from employing a person with a direct or indirect financial interest in a gamingrelated contract which has been submitted to the Bureau of Indian Affairs ("BIA) or other federal regulatory 

body for review and approval during the period of such review, provided that any such employment shall 

terminate upon approval of the contract by the BIA or other federal regulatory body.. 

Sec. 1104. No surveillance, security or compliance employee shall participate as a player in any 

games at any Gaming Facility. 
WISCONSIN WINNEBAGO BUSINESS COMMllTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 43 

Sec. 1105. No Blackjack dealer shall participate in the play of Blackjack at any of the Nation's 

Gaming Facilities. 

CHAPTER 12. ACCOUNTING, MONTHLY REPORTS AND ANNUAL AUOITS 

Sec. 1201. The WWBC shall maintain or contract for the maintenance of a permanent single entry 

or double entry bookkeeping system for the purpose of recording all receipts and expenditures in connection 

with the conduct of games and the disbursement of profits derived therefrom. Such bookkeeping system 

shall consist of a columnar book maintained on a calendar or fiscal year basis. The use of a suitable 

computerized accounting system may substitute for a manual system of books. If such a computerized 

accounting system is used, however, printed copies of all information shall be in the possession of the 

Commission and the WWBC. As required under regulations promulgated by the NIGC in part 571 of 

chapter 25 of the Code of Federal Regulations, including any amendments thereto, the permanent books 

of account or records shall include inventory records of gaming supplies and shall be suffiaent to establish 

information including but not limited to the amount of gross and net income, deductions and expenses, and 

receipts and disbursements and shall be kept at all times available for inspection by the NIGC's authorized 

representatives. Such books of account or records shall be retained permanently. 

Sec.1202. No later than 15 days after the end of each month, the General Managers of each of 

the Gaming Operations shall prepare and submit to the Commission and to the WWBC, through the 

Nation's Chief Financial Officer, a comprehensive report for the month completed of the gaming operations 

for which such General Manger has overall responsibility. Monthly reports shall be made on a form 

prescribed by the Nation's Chief Financial Officer. The General Manager shall retain a copy of the report 

for the permanent records of the Nation. The report shall include, but not be limited to: 

(a) An itemized statement of the gross receipts. 

(b) An itemized statement of expenditures, including amounts paid for salaries and 

benefits, prizes, supplies and equipment, and other expenses. 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 44 

Sec. 1203. The monthly report shall be signed by the General Manager with overall responsibility 

for the operations. 

Sec. 1204. In compliance with 25 U.S.C. § 2710(b)(Z)(C) and (D), the Commission shall cause all 

Gaming Operations to be subject to an audit by independent certified public accountants conduded in 

accordance with generally accepted accounting principles and with the "Accounting and Audit GuideCasinos" of American institute of Certified Public Accountants, not less than annually, the results of which 

shall be submitted to the WWBC and the Commission, and copies of the annual audit shall be provided to 

the NIGC, the Wisconsin Gaming Commission, and the W~sconsin State Auditor within 120 days after the 

end of the fiscal year. All gaming related contracts that result in purchases of supplies, setvices or 

concessions for more than $25,000 in any year (except contracts for professional legal or accounting 

services) shall be specifically included within the scope of such audit. The Nation's Chief Financial Officer 

shall reconcile the Nation's quarterly fee assessment reports made to the NlGC with the annual audit of the 

Gaming Operations and shall make such reconciliation available to the NlGC upon request. 

CHAPTER 13. MISCELLANEOUS PROVISIONS 

Sec. 1301. Riaht to Exclude Anv Person from Premises at Any Time. Any person may be 

excluded from the Premises for any reason at any time at the discretion of any Primary Management 

Official, General Manager, or other Key Employee. 

Sec. 1302. Permissible Alcohol Bevera~es. No person shall have in his or her possession any 

alcohol beverages on any Premises, except for such beverages as are purchased from the Nation or its 

authorized agents for on-Premises consumption in accordance with licensing and other requirements of the 

Compact and Ordinances of the Nation, with possession and consumption of such beverages to be confined 

to such areas as are specifically defined by the WWBC. 

Sec. 1303. Prohibited Substances. No person shall have in his or her possession any substance 

prohibited by federal or state laws while on any Premises. 
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Sec. 1304. Persons Under the Influence of Alcohol or Prohibited Substances. No person under 

the influence of any alcohol beverage or prohibited substance shall be allowed on any Premises. 

Sec. 1305. Firearms. No person shall have in his or her possession any firearm on any Premises. 

This section shall not apply to law enforcement officers or security personnel employed by the Nation. 

Sec. 1306. Disordertv Conduct. No person shall engage in conduct which is violent, abusive, 

indecent, profane, boisterous, unreasonably loud, or otherwise disorderly under circumstances in which the 

conduct tends to cause or provide disturbance on any Premises. 

Sec. 1307. Enforcement. Any person who violates any of the above subsections shall be asked 

to leave the Premises. If any person so requested to leave refuses to promptly leave the premises, any 

of the Nation's authorized law enforcement officers or security personnel shall be called to escort such 

person from the Premises. 

Sec. 1308. Transportation Providers. No person providing conveyance on Tribal Lands, or whose 

destination is Tribal Lands, shall conduct or permit to be conducted any Class II or Class Ill games in such 

vehicle. 

Sec. 1309. Customer Disputes. Any person who has any dispute, disagreement or other grievance 

that involves currency, tokens, coins or any other thing of value and is between the customer or player and 

the Gaming Facility, may raise such dispute with the following persons and in the following order: (a) a 

member of the staff of the Gaming Facility, (b) the supervisor in the area in which the dispute arose, (c) 

the General Manager of the Gaming Facility and (d) the Gaming Commission. 

Sec. 1310. Customer riqhts reaardina disputes. At each level, the complainant has the right to 

explain his or her side of the dispute, and to present witnesses in connection with any factual allegation. 

At each level, if the dispute remains unresolved, the complainant shall be given a copy of the impartial 

dispute resolution procedures required under Sec. V.E. of the Compact, and informed of the right to take 

the dispute to the next higher level as set forth in Sec. 1309 Customer Dis~utes. Resolution.of any dispute 

by staff of the Gaming Facility shall always involve two or more staff members. All disputes, whether 
WISCONSIN WINNEBAGO BUSINESS COMMllTEfi 

AMENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 46 

resolved or not, shall be the subject of a detailed report by all staff involved to their supervisors, or, in the 

case of the General Manager, to the Gaming Commission. 

Sec. 131 1. Gaming Commission action on customer disputes. All disputes which are submitted 

to the Gaming Commission shall be decided by the Commission based on information provided by the 

complainant, any witnesses for or documents provided by the complainant, or by the General Manager of 

the Gaming Facility or any other person who has relevant information to provide. The decision of the 

Commission shall be in writing, shall be issued within 14 days of submission of the matter to the 

Commission, and shall be provided to the General Manager of the Gaming Faality and the complainant. 

CHAPTER 14. ENFORCEMENT AND PENALTIES FOR VlOLATlONS 

Sec. 1401. Enforcement. Any person who: 

(a) Violates any provision of this Ordinance; 

(b) Makes any false or misleading statements or omissions in any Application filed 

with the Commission or in connection with any matter provided for hereunder; 

(c) Gives false testimony in any matter provided for hereunder before either the 

Commission or the WWBC; 

(d) Engages in conduct which is disrespectful to the Commission or which disrupts the 

efficiency and good order of Commission proceedings; or 

(e) Fails to observe the Commission's Rules of Procedure and Practice, License 

conditions imposed by the Commission or WWBC, or orders of the Commission 

or WWBC. 

shall be subject to civil penalties as provided in Sec. 1402 
WISCONSIN WINNEBAGO BUSINESS COMMlnEE 

@ENDED AND RESTATED GAMING ORDINANCE 3130194 Paae 47 

Set- 1402. Penalties. The commission shall be empowered to impose any of the following civil 

penalties: 

(a) ~errnination, suspension or exclusion from employment in any Gaming Operations 

or other employee discipline; 

(b) Exclusion from attendance at any Gaming FaaWes; 

(c) Exclusion from the Nation's Lands if not a member of the Nation; 

(d) A fine of not more than $10,000 for each such violation, except that a General 

Manager, Owner or Controlling Person or a party to a Management Contract shall 

be subject to a fine of not more than $25,000 for each such violation, and actual 

damages to the Nation or its Gaming Operations. 

Sec. 1403. Investiaations. 

(a) The Legal Department of the Wisconsin Winnebago Nation has the power to conduct 

investigations as provided in this Section. The Legal Department may retain outside 

counsel and other agents to assist it in conducting its investigation. All references to the 

Legal Department hereafter include the Legal Department andlor any designated agent of 

that Department. 

(b) The Legal Department may instigate without limitation the background and suitability of any 

Applicant or Licensee to ensure that the Applicant's or Licensee's prior activities or 

reputation, habi and associations do not pose a threat to the public interest or to the 

effective regulation of gaming, or create or enhance the danger of unsuitable, unfair or 

illegal practices and methods and activities in the conduct of gaming. 

The Legal Department may also investigate without limitation any suspected violation of 

the Ordinance, the Compact, the IGRA, the conditions of any License issued by the 

Commission, and order by the Commission or WWBC, or any other applicable laws, 
WISCONSIN WINNEBAGO BUSINESS COMMITTEE 

AMENDED AND RESTATED GAMING ORDINANCE .3/30/94 Paae 48 

regulations or agreements, including, but not limited to any agreement with the Wisconsin 

Winnebago Nation. 

(d) No Applicant or Licensee shall neglect or refuse to produce records or evidence or to give 

information upon written demand by the Legal Department within seven (7) days of receipt 

of such request. No Applicant or Licensee shall interfere with any proper and lawful efforts 

by the Legal Department to obtain such information. Every applicant, Licensee, and all 

Licensed manufacturers, distributors and vendors shall make their premises, books and 

records available for inspection by the Legal Department for the purposes of conducting 

its investigation. Failure of any person or entity to comply with this Section may result in 

a denial .of a License application, cancellation of a License, or the imposition of other 

penatties and sanctions. 

Sec. 1404. Notice of Penatties. The Commission shall post and publish notices of all penalties 

imposed hereunder under the same posting and publication procedures prescribed in Sec. 914. 

CHAPTER 15. EFFECTIVE DATE 

This Ordinance shall take effect upon its adoption by a majority vote of the WWBC at a duly 

convened meeting. [General Counsel Note: This Ordinance was adopted at a duly convened meeting of 

the WWBC on March 30, 1994.1 

CHAPTER 16. SUPERSESSION OF RESOLUTION NUMBER 118194-C. 

To the extent that the Rules of Practice and Procedure for the Commission prescribed by WWBC 

Resolution Number 1/8/94-C are inconsistent with this Ordinance, this Ordinance shall control. 

CHAPTER 17. EXISTING PROCEEDINGS. 

This Ordinance shall not apply to proceedings commenced before the effective date of this 

Ordinance.