MENOMINEE NATION

MENOMINEE TRIBAL LEGISLATURE

ORDINANCE NO. 93-30

MIENOMINEE INDIAN TRIBAL GAMING CODE

FINAL APPROVAL

BE IT ORDAINED BY THE LEGISLATURE OF THE MENOMINEE INDIAN TRIBE OF

WISCONSIN:

Pursuant to the authority vested by Menominee Constitution, Article III, and Bylaw II, § 2, the

Menominee Indian Tribal Gaming Code, attached hereto and incorporated herein, is enacted into

Menominee Law. This code is available for inspection at the Office of the Tribal Chairperson.

Gaming Ordinances No. 92-17 and Ordinance No. 92-22, any amendments and motions thereto

pertaining, are hereby repealed and replaced by this ordinance.

CERTIFICATION

The undersigned Officers of the Menominee Tribal Legislature do hereby certify that the

foregoing Ordinance No. 93-30, Menominee Indian Tribal Gaming Code, was duly adopted at

a regular meeting of the Menominee Tribal Legislature held on January 20, 1994 at which a

quorum was present, by a vote of 6 for, 0 opposed, 0 abstentions, and 3 absent.

The undersigned also certify that the foregoing Ordinance has been posted in accordance with

the Menominee Constitution and Bylaws.

J~ -~

GL . MILLER, Chairman

MENOMIr~4EE INDIAN TRIBE OF WISCONSIN

January 20, 1994

DATE

0

LO NE A. POCAN, Secretary

MENOMINEE INDIAN TRIBE OF WISCONSIN
MENOMINEE NATION

MENOMINEE TRIBAL LEGISLATURE

ORDINANCE NO. 93

MENOMINEE INDIAN TRIBAL GANING CODE

CONTENTS

CHAPTER 1 PAGE 01

Definitions

CHAPTER 2 PAGE 10

Administration and Enforcement

CHAPTER 3 PAGE 24

Licensing of Gaines and Personnel

CHAPTER 4 PAGE 38

Management Contracts

CHAPTER 5 PAGE 44

Auditing and Internal Control

CHAPTER 6 PAGE 47

Authorization of Gaining

CHAPTER 7 PAGE 48

Exclusion or Ejection of Individuals

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CHAPTER 8.PAGE 49

Cheating

CHAPTER 9 PAGE 51

National Indian Gaming Commission and

Tribal-State Compacts

CHAPTER 10 PAGE 52

Miscellaneous

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MENOMINEE INDIAN TRIBAL GAMING CODE

CHAPTER I

DEFINITIONS

Section 1.01 Definitions Unless a different code meaning

is clearly indicated, the terms used in this Code shall have the

same meaning as defined in the Indian Gaming Regulatory Act,

Public Law 100 §497, 102 Stat. 2467, codified at 25 U.S.C. §~ 2701

et. seq. (Oct. 17; 1988)

Section 1.02 Calendar Year means the period beginning

on the first day of January at 12:00:01 and ending the immediately

following December 31 at 12:00 oclock midnight

Section 1.03 Chairman means the Chairman of the National

Indian Gaining Commission or his designee.

Section 1.04 Class I Gamma means social games played

solely for prizes of minimal value or traditional forms of Indian

gaming engaged in, by individuals as a part of, or in connection

with, tribal cerembnies or celebration.

Section 1.05 Class II Gaming means:

(a) the game~ of chance commonly known as bingo (whether or

not elec~tronic, computer, or other technologic aids are

used in connection therewith)

(i) which is played for

prizes, including monetary prizes,

with cards bearing numbers or other

designations;

(ii) in which the holder of

the card covers such numbers or
designations when objects, similarly

numbered or designated, are shown or

electronically determined; arid

(iii)in which the game is won only

by, the first person covering a previously

designated arrangement of numbers or

designations on such cards, including (if

played in the same location) pull tabs,

lotto, punch boards, tip jars, instant

bingo, and other games similar to bingo;

and,

(b) card games that are

(i) explicitly authorized by the

laws of the State of Wisconsin; or

(ii) are not explicitly prohibited by the

laws of the State of Wisconsin and are

played at any location in the State of

Wisconsin, but only if such card games

are played in conformity with those laws

and regulations (if any) of the State of

Wisconsin regarding hours or periods of

operation of such card games or

limitations on wagers or pot prizes in

such card games.

(c) The term class II gaming does not

include

(i) any banking card games,

including baccarat, chemin de fer, or

blackjack (21) ; or

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(ii) electronic or electromechanical

facsimiles of any game of chance or slot

machines of any kind.

Section 1.06 Class III Gaming means all forms of gaming

that are not Class I or Class II gaming.

Section 1.061 Collateral agreement means any con

tract, 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 a tribe (or any of its members,

entities, or organizations) and a management contractor or

subcontractor (or~ any person or entity related to a management

contractor or subcontractor)

Section 1.07 Commission means the Menominee Tribal

Gaming Commission.

Section 1.08 Commissioner means one of the members of

the Menominee Tribal Gaming Commission.

Section 1.09 Legislature means the Menominee Tribal

Legislature.

Section 1.10 Director means the Director of the

Menominee Tribal Gaming Commission appointed by the Legislature as

the chief administrator of Menorninee gaming.

Section 1.11 Gaming or Gaming Activity means to

deal, operate, carry on, conduct, maintain or expose for play any

game played with cards, dice, equipment or any mechanical,

electromechanical or electronic device or machine for money,

property, checks, credit or any representative of value,

including, without limiting the generality of the foregoing, faro,

monte, roulette, keno, bingo, fan tan, twenty-one, blackjack,

seven-and-a-half, big injun, klondike, craps, poker, chuck-a-luck,

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chinese chuck-a-luck (dal shu) , wheel of fortune, chemin de fur,

baccarat, pai gow, beat the banker, panguingui, slot machine,

video poker machine, pull tabs, bingo, any banking or percentage

game or any other game or device approved by the Commission, but

does not include games played with cards in private homes or

residences in which no person makes or charges money for operating

the game.

Section .1.12 Gaminc Device or Gamblincr Device

means:

(i) any so-called Slot Machine or any other machine

or mechanical device an essential part of which is a drum or

reel with insignia thereon, and (A) which when operated may

deliver, as the result of the application of an element of

chance, any money or property, or (B) by the operation of

which a person may become entitled to receive, as the result

of the application of an element of chance, any money or

property; or

(ii) any other machine or mechanical device (including,

but not limited to, roulette wheels and similar devices)

designed and manufactured primarily for use in connection

with gambling, and (A) which when operated may deliver, as

the result of the application of an element of chance, any

money or property, or (B) by the operation of which a person

may become entitled to receive, as the result of the

application of an element of chance, any money or property;

or

(iii) any subassembly or essential part intended to be

used in connection with any such machine or mechanical

device, but which is not attached to any such machine or

mechanical device as a constituent part.

Section 1.13 Gamincr Establishment or Gaming

Premises means any premises where gaming, other than Class I

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gaming is operated or conducted, and includes all buildings,

improvements, equipment, and facilities used or maintained in

connection with such gaming.

Section 1.131 Gamincy Operation means each economic

entity that is licensed by the Tribe, operates the gaines, receives

the revenues, issued the prizes, and pays the expenses. A gaming

operation may be operated by the Tribe directly or by a management

contractor.

Section 1.14 Gross Revenue means total revenue from

all sources of a gaming operation before operating expenses but

after all gaming wins. The rules and regulations of the American

Institute of Certified Public Accountants defining gross revenues

in a gaming operation are adopted in this Code as if set forth

fully at this pOint. Further, this definition may be further

defined and expanded on by regulations duly promulgated by the

National Indian Gaming Commission.

Section 1.15 Indian Land means:

(a) Any lands title to which is either held in

trust by the United States for the benefit of

the Menominee Indian Nation, or held by the

Nenominee Indian Nation subject to restriction

by the United States against alienation and

over which the Menominee Indian Nation

exercises governmental power, and

(b) Any lands located within the exterior

boundaries of the Menominee Indian

Reservation, title to which is either held in

trust by the United States for the benefit of

the individual Indian, or held by an

individual Indian subject to restriction by

the United States against alienation and over

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which the Menominee Indian Nation exercises

governmental power.

Section 1.16 Key Employee means:

(a) A person who performs one or more of the

following functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or

cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit;or

(10) Custodian of gambling devices

including persons with access to

cash and accounting records within

such devices;

b) If not otherwise included, any other

person whose total cash compensation is in

excess of $50,000 per year; or,

c) If not otherwise included, the four most

highly compensated persons in the gaining

operation.

Section 1.17 Licensee means any person who has been

issued a valid and current license pursuant to the provisions of

this Gaming Code.

Section 1.18 RESERVED]

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Section 1.19 Management Contract means any contract,

subcontract, or collateral agreement between the Tribe and a

contractor or between a contractor and a subcontractor if such

contract or agreement provides for the management of all or part

of a gaming operation.

Section 1.20 Management Fee means any monies paid from

operational revenues of a gaming operation to any person or entity

contracted and/or licensed to operate a gaming establishment.

Such term shall not include monies paid for operating expenses.

Such term shall also include any monies paid to the owner of a

gaming establishment pursuant to §3.07 of this Code.

Section 1.20~ Net revenues means: gross gaming revenues

of an Indian gaming operation less -

(a) Amounts paid out as, or paid for, prizes; and

(b) Total gaming-related operating expenses, excluding

management fees.

Section 1.21 Operating Expense means any expense

incurred in the daily operation of a gaming activity that is

specifically designated as an operating expense in a management

contract; provided that in the case of an establishment licensed

by the Tribe pursuant to §3.07, the term shall mean an expense

specifically designated as an operating expense in any regulation

adopted by the Commission.

Section 1.22 Patron means any person or group of persons

on Indian land who participate as players in games as defined by

this Code, or who:are physically present on premises wherein or

whereon such games are being played.

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Section 1.23 Person means any association, partnership,

corporation, firm, trust or other form of business association as

well as a natural: person.

Section 1.231 Persons having a direct or indirect

financial inter~st in a management contract means:

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

person having a direct financial interest in such 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 a director or who holds at least 10% of the

issued and outstanding stock alone or in combination with another

stockholder who is a spouse, parent, child or sibling; or

(e) When an entity other than a natural person has an

interest in a trust, partnership or corporation that has an

interest in a management contract, all parties of that entity are

deemed to be persons having a direct financial interest in a

management contract.

Section 1.232 Person having management responsibility

for a management contract means the person designated by the

management contract as having management responsibility for the

gaming operation, or a portion thereof.

Section 1.24 Primary Management Official means:

(a) The person having management responsibility for a

management contract;

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(b) Any person who has authority:

(1) To hire and fire employees; or

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

or

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

financial management responsibility.

Section 1.25 Recrulation means the regulations of the

Commission under this Code.

Section 1.26 Reservation when not qualified, means the

Menominee Indian Reservation and any other lands designated as

reservation lands by the Secretary of the Department of Interior.

Section 1.27 Services means labor provided by one

person to or for another, where such labor is provided in pursuit

of the purpose of gaming on Indian land.

Section 1.28 Tribal Court means the Tribal Court of

the Menominee Indian Nation.

Section 1.29 Tribal-State Compact or Compact means a

written document, either negotiated and agreed to by the Menominee

Nation and an official or agent of the State of Wisconsin, or

prescribed by the Secretary pursuant to 25 U.S.C. 2710(7) (B) (vii),

governing the conduct of Class III gaming activities on Indian

lands.

Section 1.30 Tribe means the Menominee Indian Nation.

Section 1.3.Z Words and Terms Tense, number and gender.

In constructing the provisions of this Code, save when otherwise

plainly declared or clearly apparent from the context;

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(a) words in the present tense shall include

the future tense;

(b) words in masculine, feminine and neuter

genders~ shall include all genders;

(c) words in the singular shall include the

plural,~ and in the plural shall include the

singular.

Section 1.32 Workincy Days means Monday through Friday

except for Federal or Tribal holiday.

CHAPTER II

ADMINISTRATION AND ENFORCEMENT

Section 2.01. Unauthorized Gaining Any Indian who commits

any act of unauthorized gaming on this reservation or any Indian

land shall be guilty of a crime and shall be prosecuted in Tribal

Court. Prosecution for such a crime in Tribal Court is not meant

to be exclusive; a finding of guilt or innocence shall not deprive

the federal government from criminal jurisdiction. However, it is

hereby declared that Class I, Class II and Class III gaming

conducted on this reservation or on any Indian land, that fully

complies with the provisions of this Code, shall not be subject to

any criminal penalties.

Section 2.02 Ownership - Revenues to Benefit Tribe

Except for those licenses issued pursuant to §3.08, the Tribe

shall have the sole proprietary interest in, and the sole

responsibility for, the conduct of the gaming activity. Such

provision does not, however, limit the Tribes ability to enter

into a management contract wherein net profits are divided between

the Tribe and other parties to the contract. A gaming

establishment shall be operated so as to produce the maximum

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amount of net profit to the Tribe. The Tribes share of net

revenues will go entirely to the Tribe and will be used solely for

the following purposes:

(a) to fund tribal government operations or

programs;

(b) to provide for the general welfare of the

Tribe and its members;

(c) to promote tribal economic development;

(d) to donate to charitable organizations; or

(e) to help fund operations of local

government agencies. Net revenues from the

gaming establishment may be used to make per

capita payments to members of the Tribe upon

the preparation of a plan to allocate revenues

to the above uses and approval of this plan by

the Secretary of the Interior.

Section 2.03: Establishment of Conunission The Menominee

Tribal Gaming Commission is hereby established. The Commission

shall consist of seven (7) members appointed by a majority vote of

the Legislature. Only enrolled members of the Tribe may be

appointed to the Commission. A commissioner shall serve for three

(3) years and may be removed from office prior to the end of his

term only for cause and by a unanimous vote of Legislature

following a public hearing. In order to establish an annually

staggered Commission appointment schedule similar to that of the

Legislature, the first commissioners shall be appointed by the

Legislature as follows: three (3) members shall serve three (3)

year terms, two (2) shall serve two (2) year terms and two (2)

shall serve a one (1) year term for the initial appointment terms

only. Thereafter, all successive terms of appointment shall run

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for three (3) years. Vacancies shall be filled within thirty (30)

days by the Legislature.

Section 2.04 Restrictions on Commissioners

Commissioners may hold other tribal positions and may engage in

business, provided however, that they shall not engage in any

business which is~ subject to the provisions of this Gaining Code.

Commissioners shall not gamble in the gaming establishment nor

have any personal financial interest in any gambling by any

patron.

Section 2.05 Compensation for Commissioners

Commissioners shall be compensated at a rate to be established

annually by the Commission, and approved by the Tribal

Legislature. Commissioners shall be reimbursed for actual

expenses incurred on Commissioner business, including necessary

travel expenses. In no event shall compensation be based on a

percentage of net profits from gaming operations of the Tribe.

Section 2.06 Selection of Chairperson The Commission

shall select annually from its membership a chairperson, who shall

have the power to convene special meetings of the Commission upon

forty-eight (48) hours written notice to members of the

Commission. If the chairperson determines that a bona fide

emergency exists, the chairperson may conduct special meeting(s)

by telephone.

Section 2.07 Meetings Open to Public General meetings

of the Commission may be open to the general membership of the

Menominee Nation and all meetings shall be governed by Roberts

Rules of Order. Upon a majority vote as defined in Section 2.08,

matters dealing with personnel, security or the fiscal integrity

of the gaming operation shall be conducted in executive session

and not be open to the public.

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Section 2.08 Quorum - Malority Vote A quorum shall

consist of four (4) members of the Commission. All decisions

shall be made by a majority vote of the Commission, unless

indicated otherwise in this Code.

Section 2.09 Monthly Report The Commission shall make

monthly reports to the Legislature within thirty (30) days after

the close of the month for which the information is being

required. The report shall include a full and complete statement

of gaming revenues paid to the Tribe, expenses and all other

financial transactions of the Commission and a summary of all

licensing and enforcement actions.

Section 2.10 Powers The Commission shall exercise all

powers necessary to effectuate the purposes of this Code. The

Commission may exercise any proper power and authority necessary

to perform the duties assigned to it by this Code, and is not

limited by the enumeration of powers in this chapter. The

Commission shall meet with the Director not less than once each

month to make recommendations and set policy, to approve or reject

reports of the Director and transact other business that may be

properly brought before it. The Commission shall promulgate rules

and regulations for the operation of any gaming establishment and

shall hear and resolve all disputes regarding any provision of the

Code. In all decisions, the Commission shall act to promote and

ensure integrity, security, honesty, and fairness of the operation

and administration of gaming and ancillary activities of the

gaming operation. The Commission shall have the power and

authority to deny, any application; to limit, condition, suspend,

or restrict any license; make a finding of suitability or approval

of a license, or find suitable the imposition of a fine upon any

person licensed, for any cause deemed reasonable by the

Commission.

Section 2.11 Prior Notice of Actions In adopting,

amending, and repealing regulations, the Commission shall give

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prior notice of the proposed action to all licensees and other

persons whom the Commission or Director has reason to believe have

a legitimate and bona fide interest in such proposed action.

Said notice shall inform such persons as to the general nature of

the proposed action and advise them as to the manner in which

comments on said proposed action shall be received by the

Commission. In emergencies, the Commission may summarily adopt,

amend or repeal any regulation if at the time the Commission

determines such action is necessary for the immediate preservation

of the public peace, health,safety, morals, and good order or

general welfare, together with a statement of facts constituting

the emergency; provided the Commission shall schedule such

emergency action for a regular hearing within sixty (60) days

after any such emergency meeting.

Section 2.12 Reauest for Commission Action Any person

who is determined~ by the Commission or Director to be a bona fide

interested party may file a petition in a manner and form approved

by the Commission requesting the adoption, amendment or repeal of

a regulation. Upon receipt of the petition, the Commission shall

within thirty (30) days deny the request in writing or schedule

the matter for action pursuant to this chapter.

Section 2.13 Voting on Licensing Any Commission vote

resulting in approving, disapproving, revoking, suspending,

limiting or conditioning a license under this Code shall be by

ballot only; provided that in an emergency a phone vote may be

polled pursuant to Commission Regulations. To approve of any

license issued pursuant to this Code, a quorum of the Commission

must be present with a majority vote of approval by said quorum

required. A license will not be issued to a person whose license

has previously been revoked pursuant to this Code, or to whom the

issuance of renewal of a license has been denied, except with the

unanimous approval of the Commission members.

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Section 2.14 Reconsideration Should an applicant file

written objections to the determination of the Commission within

twenty days of receiving written notice of such determination, the

Commission shall hold a hearing to review its decision, within

three (3) working days from the date of the filing of such

objections. At the hearing, the burden shall be on the applicant

to show cause why the Commissions determination was incorrect.

Following such hearing, the Commission shall, within three (3)

working days reach a determination concerning:

(a) the accuracy of the preliminary

certification of facts; and

(b) whether the license in question should be

granted, continued, suspended, revoked,

conditioned, or limited; and

(c) whether or not any other action

recommended to the Commission including, but

not limited to forfeitures, should be taken.

Section 2.15 Notification of Commission Decision

Within three (3) working days following this determination, the

Commission shall inform the subject in writing of that

determination.

Section 2.16 Right to Appeal Unless otherwise

contractually agreed to, the subject shall have the right to

appeal the determination of the Commission to the Tribal Court.

Such appeal must be filed with the Tribal Court in written form on

or before the tenth (10th) day following receipt of the written

determination of the Commission. A determination of such appeal

by the Tribal Court shall be final and no further appeal may be

had. In any appropriate case which has been referred to the

Tribal Court for final action, the Tribal Court shall review, de

15
novo, the determination of the Commission. The Courts action

shall be final and no further appeals may be had.

Section 2.17 Appointment of Director The Legislature,

with the advice and consent of the Commission, shall appoint a

Director who shall be responsible for the day-to--day management of

the affairs of the Commission as well as overseeing the

establishment and operation of all gaming activities. A detailed

background investigation shall be conducted on the Director before

his appointment and the Commission shall maintain oversight of the

Director on an ongoing basis. Preference will be given to

applicants with ecperience in legal gaming or law enforcement. No

one convicted of a felony of any kind or misdemeanor related to

illegal gambling or bribery can serve as Director. The Director

shall not have any personal interests in the gaming activity.

The Director may not gamble in the gaming establishment nor have

any personal financial interest in any gambling by any gaming

establishment patron. During any period in which the position of

Director is vacant, the Chairman of the Commission or his designee

shall assume the Directors duties.

Section 2.18 Directors Contract The Director shall be

hired on a contract for a period of at least two (2) years. The

terms of the contract will be negotiated with the Commission and

approved by the Legislature. The Directors compensation shall be

part of the negotiations. Compensation for the Director shall not

be based, in whole, or in part, on the profitability of the gaming

operation.

Section 2.19 Termination of Director The Director

shall be terminated immediately and without the necessity of a

vote of the Legislature upon the Directors conviction of a

federal or state court of competent jurisdiction for any felony or

for any misdemeanor related to illegal gambling or bribery or upon

conviction in the Tribal Court of any charge that the Legislature

finds relates to the Directors honesty or ability to fulfill his

16 -
duties. If the Director is convicted of violating any part of

this code, he shall be immediately terminated. Additionally, the

Director may be terminated for inadequate performance of the

duties required to be performed or may additionally be terminated

for associations or conduct that would tend to bring the gaming

operation into disrepute.

Section 2.20 Duties of Director The Director shall,

subject to the approval of the Commission, perform all duties,

exercise all powers, assume and discharge all responsibilities,

and carry out and effect all purposes of this Code relating to the

regulation of all gaming activity. In all decision, the Director

shall act to promote and ensure integrity, security, honesty, and

fairness of the operation and administration of all gaming

activity. The Directors duties shall include but not be limited

to the following:

(a) Negotiating contracts for payments by the

Tribe for the provision of security and other

professional services. Such contracts must be

approved by the Commission and the Legislature

and shall not constitute a waiver of

jurisdiction by the Tribe;

(b) Correspond with the National Indian Gaming

Commission and do whatever is necessary to

ensure complete compliance with the rules and

regulations of that agency. Specifically, the

Director shall arrange for an annual outside

audit of authorized gaming and will provide a

copy to the National Indian Gaming Commission.

(c) The Director will enssure that all gaming

activity is conducted in a manner which

adequately protects the environment and the

publics health and safety;

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17 -
(d) The Director will arrange that there is an

adequate system which ensures that background

investigations are conducted on all primary

management officials, key employees, and other

employees of any gaming establishment and that

oversight of such officials and their

management is conducted on an ongoing basis.

The Director will recommend to the Commission,

which shall have final authority, on the

granting of tribal licenses for primary

management officials, key employees, and other

employees of any gaming establishment. The

Director shall immediately notify the National

Indian Gaming Commission of the issuance of

such licenses to primary management officials

or key employees. The Director will review

all applications and background investigations

to ensure that no person shall be eligible for

employment in or with any part of the gaming

operation if that persons prior activities,

criminal record (if any) , or reputation,

habits and associations pose a threat to the

public interest or to the effective regulation

of gaming or create or enhance the dangers of

unsuitable, unfair, or illegal practices and

methods and activities in the conduct of

gaming. The Director shall notify the

National Indian Gaming Commission of the

results of such background checks before the

issuance of such licenses to primary

management officials or key employees.

(e) Hiring, pursuant to the approval of the

Commission, such professional, clerical,

technical and administrative personnel as may

18
be necessary to carry out the provisions of

this Code.

(f) Reviewing all records, documents, and

anything else necessary and pertinent to

enforcement of any provisions of this Code.

(g) Recommend to the Commission whether

sanctions should be imposed on any person

subject to the jurisdiction of this Code.

Section 2.21 Right of Inspection The Commission, the

Director and their agents, inspectors, and employees have the

authority:

(a) To inspect and examine all premises

wherein gaming is conducted or gambling

devices or equipment are manufactured, sold or

distributed;

(b) To inspect all equipment and supplies in,

upon or about a gaming establishment, or

inspect any equipment or supplies wherever

located, which may, or have been used in the

gaming establishment;

(c) Su~nmarily to seize and remove from a

gaming establishment (or whatever located) and

impound such equipment or supplies for the

purpose of examination, inspection, evidence

or forfeiture;

(d) To demand access to and inspect, examine

and audit all papers, books, and records of

applicants and licensees respecting any income

produced by any gaming business, and require

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verification of income and all other matters

affecting the enforcement of the policy of or

any of~ the provisions of this Code;

(e) To seize and impound any patrons winnings

which the Commission may have reasons to

believe may have been won or obtained in

violation of this Code pending a civil

forfeiture hearing on such seizure;

(f) For the purpose of administration and

enforcement of this Code the Commission, the

Director and their investigative personnel

may, if deemed necessary by the Tribal

Legislature, have the powers of the peace

officer of the Menominee Indian Nation for

purposes of this Code only;

(g) Commissioners and the Director shall each

have full power and authority to issue

subpoenas and compel the attendance of

witnesses for hearing at any place within the

Reservation, to administer oaths and to

require testimony under oath. Any process or

notice may be served in the manner provided

for service of process and notices in civil

actions. The Commission and the Director may

pay such transportation and other expenses of

witnesses as it may deem reasonable and

proper.

Section 2.22 Confidentiality of Information The

Commission and the Director may refuse to reveal, in any court

proceeding, the identity of any informant, or the information

obtained from the informant, or both the identify and the

information.

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Section 2.23 Powers of Delegation The Commission may

organize itself, into a functional division as it may deem

necessary and from time to time alter such plan of organization as

it may deem expedient. The Commission shall establish its own

budget for operations, including a budget for the Director, and

acquire such furnishings, equipment, supplies, stationery, books,

motor vehicles, and other things as it may deem necessary or

desirable in carrying out is functions, and incur such other

expenses within the limit of funds available to it, as it may deem

necessary. With in the limits of a Legislature approved budget,

the Commission shall employ and fix the salaries of or contract

for the services of such professional, technical and operational

personnel and consultants as the execution of its duties and the

operation of the Director and Commission may require. At the

Legislatures discretion, said budget may be reviewed and modified

by the Legislature every six (6) months. Upon the end of the

budget year, any surplus which might exist shall be refunded by

the Legislature at their discretion. The Commission and the

Director shall each keep and maintain a file of all applications

for licenses under this chapter, together with a record of all

action taken with respect to such applications. The Commission

and the Director, shall keep and maintain such other files and

records as they may deem desirable and all such records may be

open to public inspection as they may deem appropriate, provided

that the annual Commission budget shall be made available to any

tribal member upon demand.

Section 2.24 Sanctions Any person who engages in

activities on property subject to the provisions of this Gaming

Code without a license, in violation of any license or terms

imposed thereon, in violation of terms of suspension, or in

violation of the Code, including any person who unlawfully

trespasses upon any premises licensed by this Code without the

consent of the licensee and/or the Commission shall be guilty of a

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21 -
crime arid be punished in accordance with the provisions of Section

2.26 hereinafter

Section 2.25 Limitations Period No fine shall be

assessed nor any action taken for any violation under the

preceding section unless a charge is filed in proper form with the

Tribal Court within two (2) years of the commission of the

offense.

Section 2.26 Violations of Code - Punishment Any

violation of this Code shall be punished by a fine of no more than

Five Thousand Dollars ($5,000.00) for each separate count or

violation, or one (1) year in jail, or both. Each day of

violation shall constitute a separate count or violation under

this Code. A violator may also be required to pay court costs,

storage fees, and auction or sales fees. All property used or

which may be used in activities in each and every separate

violation of this Code may become the property of the Tribe;

persons may be prohibited from trespassing on premises licensed

under this Code, licenses may be suspended, revoked, or limited

and/or establishments may be forcibly closed. All such action

shall be taken at the discretion of the Commission, subject to the

right cf appeal to the Tribal Court. Winnings found to have been

received in violation of this Code are forfeited and become the

proper:y of the Tribe.

Section 2.27 Due Process Regarding Enforcement

Actions The Commission shall promulgate regulations protecting

due process rights of all individuals subject to the enforcement

of this Code. Such regulations shall, at a minimum:

(a) provide standards for emergency or summary

suspension of license;

(b) provide fair notice and opportunity for

hearing regarding any revocation or suspension

22
of license, and regarding any enforcement

action~ taken pursuant to this Code; and

(c) provide the right to appeal, de novo, of

any Commission disciplinary or enforcement

actionto the Tribal Court.

Section 2.28 S~ecia1 Agents The Commission shall

authorize special agents appointed pursuant to Section 1 of

Chapter IV of the Tribes Law and Order Code or pursuant to any

appropriate section and/or chapter of any subsequent Law and Order

Code to perform services reasonably necessary to assure compliance

with the provisions of this Code only. Said special services of

enforcement and surveillance shall be under the authorization and

direction of the Director, unless otherwise determined by the

Commission. This section shall in no way be deemed to limit the

normal law enforcement functions of these or other tribal law

enforcement officers not so authorized.

Section 2.29 Independence of Commission The Director,

Commissioners, members of the Legislature and their immediate

families shall receive no personal compensation, gift,

reimbursement or payment of any kind from any person doing or

wishing to do business with the Tribe relating to gaming nor with

any person wishing to obtain an unfair advantage in any authorized

wager on gaming. Any property received in violation of this

provision, including cash payments, shall be immediately forfeited

to the Tribe and the offending persons shall be prosecuted to the

fullest extent possible under the tribal law for accepting a

bribe. The Commission shall cooperate to the fullest extent

possible with any Federal or State law enforcement agency to

pursue prosecution under applicable Federal or State law.

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23 -
CHAPTER III

LICENSING OF GAMES AND PERSONNEL

Section 3.01 Mandatory License Any person seeking to

conduct, operate, or manage any gaming activity on Indian lands,

or any person seeking employment therefrom, shall apply for, and

receive, all the required licenses and/or approvals from the

Commission prior to engaging in such gaming activities. Engaging

in such gaming activities without first obtaining the required

licenses and/or approvals shall be deemed a violation of this Code

and shall be punishable in accordance with §2.26. This provision

shall not preclude the Commission from entering into consulting

contracts for services, the payment of which is fixed and not

determined by a percentage of the net profits from the gaming

operation.

Section 3.02 Apt~1ication forms

(a) 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:

HIn 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 pur~ose of the requested information is to

determine the eligibility of individuals to be

employed in a gaming operation. The

information will be used by Menominee Gaming

Commission members and staff, by Tribal police

officers, and 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

24
regulatory agencies when relevant to civil,

criminal or regulatory investigations or

prosecutions or when pursuant to a requirement

by a tribe or the National Indian Gaming

Commission in connection with the hiring or

firing of an employee, the issuance or

revocation of a gaming license, or

investigations of activities while associated

with a tribe or a gaining operation. Failure

to consent to the disclosures indicated in

this notice will result in a tribes 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.

(b) Existing key employees and primary management officials

shall be notified;in writing that they shall either:

(1) Complete a new application form that

contains a Privacy Act notice; or

(2) Sign a statement that contains the

Privacy Act notice and consent to the routine

uses described in that notice.

(c) The following notice shall be placed on the application

form for a key employee or a primary 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, section 1001.)

25
(d) The Commission shall notify in writing existing key

employees and primary management officials that they shall either:

(1) Complete a new application form that

contains a notice regarding false statements;

or

(2) Sign a statement that contains the notice

regarding false statements.

Section 3.03 A~p1ication Information

(a) The Commission shall request from each primary

management Official and from each key employee all of the

following information:

(1) Full name, other names used (oral or

written), social security numbers(s), birth date,

place of birth, citizenship, gender, all languages

(spoken or written);

(2) 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;

(3) The names and current addresses of at

least three personal references, including one

personal reference who was acquainted with the

applicant during each period of residence listed

under paragraph (1) (b) of this section;

(4) Current business and residence telephone

numbers;

26 -
(5)~ A description of any existing and

previous business relationships with Indian tribes,

including ownership interests in those businesses;

(6) A description of any existing and

previous business relationships with the gaming

industry generally, including ownership interests

in those businesses;

(7) 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;

(8) For each felony for which there is an

ongoing prosecution or a conviction, the charge,

the name and address of the court involved, and the

date and disposition if any;

(9) 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;

(10) 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 to paragraph (1) (h) or

(1) (i) of this section, the criminal charge, the

name and address of the court involved and the date

and disposition;

27
(11) The name and address of any licensing or

regulatory agency with which the person has filed

an application for an occupational license or

permit, whether or not such license or permit was

granted;

(12) A current photograph;

(13) Any other information the Commission

deems relevant; and

(14) Fingerprints consistent with procedures

adopted in Section 3.04(e) below.

(b) For all other employees, the Commission shall adopt

application forms appropriate to each job category.

Section 3.04 Background Investigation Procedures

(a) The Commission shall conduct an investigation sufficient

to make a determination under Section 3.05. In conducting a

background investigation, the Commission and its agents shall keep

confidential the identity of each person interviewed in the course

of the investigation.

(b) The procedures for conducting background investigations

on key employees and primary management officials in order to

determine their eligibility for employment shall include, at a

minimum:

1. Criminal history check by a law enforcement

agency, under the direction of the Director,

including, at a minimum, a check of criminal

history records maintained by the Federal Bureau of

Investigation;

2. Civil history check;

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28 -
3. Reference check;

4. Previous business and employment check;

5. Relative check;

6. Business and personal associates check;

7. Educational verification;

8. Documentation of the disposition of all

potential problem areas and disqualifying information

noted.

(c) The procedures for conducting background investigations

on any other employee shall be appropriate to the employees job

category.

(d) The Commission is primarily responsible for the conduct

of the background investigations and suitability determinations,

in consultation with the National Indian Gaming Commission and/or

the State of Wisconsin where appropriate.

(e) Law enforcement personnel, under the direction of the

Director, shall obtain the fingerprints of applicants.

(f) The Director shall be responsible for conducting or

causing to be conducted, reviewing and approving or disapproving

the investigative work.

(g) An investigative report shall be prepared by the

Director, and shall set forth, in detail, the:

1. Steps taken in conducting the background

investigation;

29 -
2. Results obtained;

3. Conclusions reached; and

4. The basis for those conclusions.

Section 3.05 E].i~ibi].ity Determination The Commis

sion shall review a persons prior activities, criminal record, if

any, and reputation, habits and associations and all relevant

background information to make a finding concerning the

eligibility of a key employee or primary management official for

employment in a gaming operation. If the Commission 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, it shall deny the

license application and a tribal gaming operation shall not employ

that person in a, key employee, primary management official, or

other position.

Section 3.06 Reports of Back~round Investigations on

Key Employees and Primary Management Officials to the

National Indian Gaming Commission

(a) When a key employee or primary management official

begins work at a gaming operation authorized by this ordinance,

the Director shall forward to the National Indian Gaming

Commission a completed application for employment and conduct the

background investigation and make the determination referred to in

Section 3.05.

(b) The Director shall prepare and forward to the

National Indian Gaming Commission an investigative report on

each background investigation of a primary management

official or key employee with a copy of the eligibility

determination madeunder Section 3.05.

(c) If a license is not issued to an applicant, the

Director:

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30 -
(1) Shall notify the National Indian Gaming

Commission; and,

(2) May forward copies of its eligibility

determination and investigative report (if

any) to the National Indian Gaining Commission

for inclusion in the Indian Gaming Individuals

Records System.

(d) If within a thirty (30) day period after the

National Indian Gaining Commission receives a report, the

National Indian Gaming Commission notifies the Commission

that it has no objection to the issuance of a license

pursuant to a license application filed by a key employee or

a primary management official for whom the Commission has

provided an application and investigative report to the

National Indian Gaming Commission, the Commission may issue a

license to such applicant.

(e) The Director shall respond to a request for

additional information from the Chairman of the National

Indian Gaming Commission concerning a key employee or a

primary management official who is the subject of a report.

Such a request shall suspend the 30-day period under

paragraph (d) of this section until the Chairman of the

National Indian Gaming Commission receives the additional

information.

(f) If, within the thirty (30) day period described

above, the National Indian Gaming Commission provides the

Commission with a statement itemizing objections to the

issuance of a license to a key employee or to a primary

management official for whom the Commission has provided an

application and investigative report to the National Indian

Gaming Commission, the Commission shall reconsider the

31 -
application, taking into account the objections itemized by

the National Indian Gaming Commission. The Commission shall

make the final decision whether to issue a license to such

applicant.

Section 3.07. Licensing and Regulation of Class II and

Class III Gaming Activity; Net Revenue Allocation; Audits;

Contracts

(a) A separate license issued by the

Commission shall be required for each place,

facility, or location on Indian lands within

the Tribes jurisdiction at which any Class II

or Class III Gaining Activity is conducted.

(b) The Commission may lic~nse and regulate a

tribal-owned Class III Gaming Activity if

(1) such gaming activity is

located on Indian lands within the

Tribes jurisdiction, and the State

of Wisconsin permits such gaming for

any purpose by any person,

organization, or entity (and such

gaining is not otherwise specifically

prohibited on Indian lands by

Federal laws);

(ii) except as provided in

Chapter IV, the Tribe will have the

sole proprietary interest and

responsibility for the conduct of

such gaming activity;

(iii) net revenues from such

gaming activity are used in

32 -
accordance with Section 2.02 of this

Code;

(iv) such gaming activity is

subject to annual outside audits,

which may be encompassed within

existing independent, tribal audit

systems, and provided to the

Legislature;

(v) all contracts for

supolies, services, or concessions

for any aggregate amount in excess

of $25,000 annually relating to such

gaming are also subject to

independent audits;

(vi) the construction and

maintenance of the gaming facility,

and the operation of that gaming is

conducted in a manner which

adeauately protects the environment

and the publics health and safety;

and

(vii) all primary management

officials and key employees of the

Class III gaming operation have

successfully passed a background

investigation and have obtained

licenses from the Commission.

Section 3.08 Class III Licenses that Mirror State

Regulations

(a) The Commission may license and regulate

Class LII gaming activities owned by any

33
person or entity other than the Tribe and

conducted on Indian lands within the Tribes

jurisdiction, only if the requirements

described in section (b) of this Section are

met and are conducted in a manner that is at

least as restrictive as the regulations

established by Wisconsin State law governing

similar gaming within its jurisdiction. No

person or entity, other than the Tribe, shall

be eligible to receive a license from the

Commission to own a Class III gaming activity

conducted on Indian lands within the Tribes

jurisdiction if such person or entity would

not be eligible to receive a license from the

State of Wisconsin to conduct the same

activity within its jurisdiction.

(b) Such licenses are only valid so long as

the licensee and the Tribe comply, at a

minimum, with the following provisions:

(1) income to the Tribe from such

gaming is used only for the purposes

described in Section 2.02 of this

Code,

(2) not less than sixty percent

(60%) of the net revenues is income

to, the Tribe, and

(3) the owner of such gaming

operation pays the appropriate

assessment levied by the National

Indian Gaming Commission.

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34 -
Section 3.09 Issuance of Tribal Gaming Licenses;

Obiections The Commission shall consult with appropriate law

enforcement officials concerning any gaming licenses it may issue.

If, after issuance of a gaining license by the Commission, reliable

information is received that a primary management official, key

employee, or other employee does not meet the standard established

under Section 3.05 of this Code, the Commission shall suspend such

license and, after notice and hearing, may revoke such license.

Section 3.010 License and Regulation of Class III

Gaming Activities; Tribal-State Compact Required The

Commission may license and regulate Class III gaming activity if

conducted in conformance with the terms and conditions of a valid

Tribal-State Compact entered into by the Tribe and the State of

Wisconsin, or pursuant to procedures provided by the Secretary of

the Interior, and/or the Chairperson of the National Indian Gaming

Commission and/or pursuant to any amendments to the Indian Gaming

Regulatory Act (IGRA, 25 U.S.C. 2701 et. seq.).

Section 3.011 Non-Transferability of License Any

license issued pursuant to the provision of this Code is valid

only for the person or entity at the place of business shown on

the face thereof. It is not assignable or otherwise transferable

to any other person or entity for any other location without

approval of the Director or Commission.

Section 3.012 Application Fee The Commission shall set a

fee for applications, background investigations and licenses. All

such fees shall be made payable to the Menominee Nation and

delivered to the Menorninee Nations Accounting office.

Section 3.13 Failure of Applicant to Disclose Material

Information An applicant for licensing shall make true and full

disclosure of all information to the Director and Commission as

necessary or appropriate in the publics interest or as required

in order to carry out the policies of this Tribe relating to

35
licensing and control of the gaming industry. It is the duty of

the applicant to disclose all information material to whether the

applicants involvement with gaming would jeopardize or compromise

the Tribal interest, whether or not the applicant has been

specifically requested to provide that information. It shall

constitute a violation of this Code to fail to disclose, to

mislead or to misstate any such material information to the

Director of the Commission, or to any licensees employer.

Section 3.14 Temporary Employment Licenses The

Commission may issue a temporary employment license to any person

or entity applying for a license to work in a licensed gaming

establishment which shall be valid pending the background

investigation of the applicant. In no event shall such temporary

license be valid for longer than 90 days.

Section 3.1.5. Parameters of Licenses

(a) Violation of any material provision of this Code or any

of the Commissions regulations by a licensee, its agent, or

employee shall be deemed contrary to the public health, safety,

morals, good order and general welfare of the Menorninee Nation and

the inhabitants of the Menorninee Reservation, and shall be deemed

grounds for refusing to grant or renew a license, suspension or

revocation of a license, or shall constitute grounds for the

filing of charges by the Commission or Director. If the Tribe

elects to contractually agree to resolve disputes in a manner

other than revocation of a license, such contractual agreement

shall supersede any conflicting provisions of this section, so

long as the agreement provides a reasonable avenue for the Tribe

to insure a licensees compliance with all other aspects of this

Gaming Code.

(b) Acceptance of a gaming license or renewal on the part of

the licensee shall constitute the licensees agreement to be bound

by all of the regulations and conditions of the Director or

Commission and by the provisions of this Code as the same are now,

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36 -
or may hereafter be amended or promulgated, and to cooperate fully

with the Director and Commission. It is the responsibility of the

licensee to keep informed of the contents of such regulations,

amendments, provisions, and conditions, and ignorance thereof will

not excuse violations.

(c) The license may be limited to a particular term to be

determined by the Commission. Whether or not so limited, the

Commission may periodically review the eligibility of primary

management officials, key employees, and other employees to

determine whether such persons may continue to be employed in

gaming. The Commission may request of any licensee such

information as it deems necessary to perform such a review. If

the Commission determines that the licensee is not eligible for

employment in gaming, it shall rescind or fail to renew the

license, and the licensee shall have the appeal rights provided in

this Code for denial of a license.

(d) In view of the less stringent background investigations

contemplated for employees who are neither primary management

officials nor key employees, licenses for such employees may be

limited to the job category for which employed or to non-primary

management or key employee positions. Should such employee

subsequently obtain employment as a primary management official or

a key employee, he/she shall apply for a license which is not so

limited.

Section 3.16. Licensing of Distributors The

Commission may authorize, require and issue such annual licenses

as the Commission by regulation may provide, to any person or

entity to engage in the selling, distributing, or otherwise

supplying of gambling equipment or paraphernalia for use in

connection with licensed gaming activity.

Section 3.17 License__Suspension.

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37 -
(a) If, after the issuance of a gaming license, the Tribe

receives from the National Indian Gaming Commission reliable

information indicating that a key employee or a primary management

official is not eligible for employment under subsection 3.05,

above, the Commission shall suspend such license and shall notify

in writing the licensee of the suspension and the proposed

revocation.

(b) The Commission shall notify the licensee of a time and a

place for a hearing on the proposed revocation of a license.

(c) After a revocation hearing, the Commission shall decide

to revoke or to: reinstate a gaming license. The Tribe shall

notify the National Indian Gaming Commission of its decision.

CHAPTER IV

MANAGEMENT CONTRACTS

Section 4.01 Commission Approval Required

(a) Any management contract entered into by the Tribe

for the operation and management of Class II and Class

III gaming activity must be submitted to the Commission

for approval, but before approving such contract, the

Commission shall require and obtain the following

information:

(i) the name, address, and other additional

pertinent background information on each

person or entity (including persons comprising

such entity) having direct or indirect

financial interest in, or management

responsibility, for such contract, including

in the case of a corporation, the directors

and ea~h stockholder who holds (directly or

38
indirectly) 10% or more of the corporations

issued and outstanding stock, and including in

the case of a partnership each partner who

holds, directly or indirectly, an interest of

10% or more in the partnership or in the

management contract;

(ii) a description of any previous experience

that each person listed pursuant to subsection

(i) has had with other gaming contracts with

Indian tribes or with the gaming industry

generally, including specifically the name and

address of any licensing or regulatory agency

with which such person has had a contract

relating to gaming;

(iii) Any further or additional information

as may be required under the Tribal/State

compact entered into between the Tribe and the

State; and

(iv) Any further or additional information as

may be required under existing rules and

regulations for management contracts required

pursuant to IGRA including all information

required to be submitted to the National

Indian Gaming Commission pursuant to 25 C.F.R.

§ 533.3(d).

(b) Any person listed pursuant to subsection (a) (1)

shall be required to respond to such written or oral

questions that the Commission may propound in accordance

with its responsibilities under this section.

(c) For purposes of this Code, any reference to the

management contract described in Section 4.01(a) shall

39 -
be considered to include all collateral agreements to

such contract that relate to the gaming activity.

(d) After the Commission has given its approval of a

management contract, the Commission shall submit such

contract to the National Indian Gaming Commission for

its approval. The Commission may, in its discretion,

allow a management contract to be submitted to the

National Indian Gaming Commission pending approval by

the Commission. Any management contract shall be void

until the Commission and National Indian Gaming

Commission have approved it.

Section 4.02 A~prova1 of Management Contracts

Commission action on management contracts and the rights of

management contractors regarding such action are governed by

Sections 2.13-2.16 of this Code. The Commission may approve any

management contract entered into by the Tribe pursuant to this

Chapter only if it determines that such contract provides at

least:

(a) for adequate accounting procedures that are

maintained, and for verifiable financial reports that

are prepared by or for the Legislature on a monthly

basis;

(b) for access to the daily operations of the gaming to

appropriate tribal officials who shall also have a right

to verify the daily gross revenues and income made from

any such tribal gaming activity;

(c) for a minimum guaranteed payment to the Tribe that

has preference over the retirement of development and

construction costs;

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40 -
(d) for an agreed ceiling for repayment of development

construction costs;

(e) for a contract term not to exceed five years, except

that, upon the request of the Tribe, the Corrtmission may

authorize a contract term that exceeds five years but

does not exceed seven years if the Commission is

satisfied that the capital investment required, and the

income projections, for the particular gaming activity

require additional time;

(f) for grounds and mechanisms for terminating such

contract, but actual contract termination shall not

require the approval of the National Indian Gaming

Commission; and

(g) for preference to Tribal members and non-member

Indians in hiring of employees for the gaming

establishment.

Section 4.03 Percentage of Net Revenue Fees

(a) A management contract providing for a fee based upon

a percentage of the net revenues of a tribal gaming

activity may be approved by the Commission if such

percentage fee is reasonable in light of surrounding

circumstances. Except as provided in this Section, such

fee shall not exceed 30% of the net revenues.

(b) Upon request of the Legislature, the Commission may

approve a management contract providing for a fee upon a

percentage of the net revenues of a tribal gaming

activity that exceeds 30% but not 40% of the net

revenues if the Commission and Legislature are satisfied

that the capital investment required, and income

projections, for such tribal gaming activity require the

additional fee.

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41 -
Section 4.04 Contract Disapproval The Commission shall

not approve any contract if it determines that:

(a) Any person listed pursuant to Section 4.01(a) (i)

(1) is an elected member of the Legislature;

(ii) has been or subsequently is convicted of

any felony or gaming offense;

(iii) has knowingly and willfully provided

materially important false statements of

information to the Commission or the tribal

officials who negotiate such contracts or has

refused to respond to questions propounded

pursuant to Section 4.01(b); or

(iv) has been determined 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 gaining, or

create or enhance the dangers of unsuitable,

unfair, or illegal practices, methods, and

activities in the conduct of gaming or the

carrying on of the business and financial

arrangements incidental thereto;

(b) The management contractor has, or has attempted

unduly to interfere or to influence for its gain or

advantage any decision or process of tribal government

relating to gaming activity; or

(c) The mahagement contractor has deliberately or

substantially failed to comply with the terms of this

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42 -
management contract or the provisions of this Code or

any regulations adopted pursuant to this Code or the

Indian Gaming Regulatory Act.

Section 4.05 Modifying or Voiding . The

Commission, after notice and hearing, shall have the authority to

require appropriate contract modifications or may void any

contract if it subsequently determines that any of the provisions

of this Chapter have been violated. If the Tribe elects to

contractually agree to resolve disputes in a manner other than the

revocation of a license, such contractual agreement shall

supersede any conflicting provisions of this section, so long as

the agreement provides a reasonable avenue for the Tribe to insure

a licensees compliance with all other aspects of this Gaming

Code.

Section 4.06 Chances in Ownership Interest Any

transfer of an ownership interest in a management contract

subsequent to approval of such contract by the Commission requires

Commission approval under this Chapter and is void until and

unless so approved. The management contractor shall provide the

information required under section 4.01 (a) and (b) as to such

transfer.

Section 4.07 Conveying Interest in Land No management

contract for the operation of a gaming activity regulated by this

Code shall transfer or, in any other manner, convey any interest

in land or other real property, unless specific applicable

statutory authority exists and unless clearly specified in writing

in said contract.

Section 4.08 Fee for Investigation Cost The Commission

shall require a potential contractor to pay a fee to cover the

actual cost of the investigation necessary to reach a

determination required by this Chapter.

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43 -
CHAPTER V

AUDITING AND INTERNAL CONTROL

Section 5.01 Minimum Procedures for Control of

Internal Fiscal Affairs The Commission shall promulgate

regulations for control of internal fiscal audits of all gaming

operations. At a minimum, those regulations shall:

(a) Prescribe minimum procedures for safeguarding the

gaming operations assets and revenues, including

recording of cash and evidences of indebtedness,

mandatory count procedures. Such procedures shall

establish a control environment, accounting system, and

control procedures that safeguard the assets of the

organization, assures that operating transactions are

properly recorded, promote operational efficiency, and

encourage adherence to prescribed policies;

(b) Prescribe minimum reporting requirements to the

Commission;

(c) Provide for the adoption and use of internal audits,

by internal auditors and Certified Public Accountants

licensed to practice accounting in the State of

Wisconsin -

(d) Formulate a uniform code of accounts and accounting

classifications to assure consistence, comparability and

effective disclosure of financial information. Such

code shall require that records be retained that reflect

statistical drop (amount of cash wagered by patrons)

statistical win (amount of cash won by the gaming

operating) and the percentage of statistical win to

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44 -
statistical drop, or provide similar information, for

each type of~garne, or each gaining device.

(e) Prescribe the intervals at which such information

shall be furnished;

(f) Provide for the maintenance of documentation (i.e.,

checklists, programs, reports, etc) to evidence all

internal work performed as it relates to the

requirements of this section; and

(g) Provide that all financial statements and

documentation referred to in section (f) be maintained

for a minimum of five (5) years.

Section 5.02 Commission Oversight of Internal Fiscal

Affairs The Commission shall, by regulation, require audits to

be conducted no less frequently than annually of the financial

statements of all gaming operations. Such audits must:

(a) be made by independent Certified Public Accountants

holding a permit issued by the State of Wisconsin to

practice public accounting;

(b) include an opinion that the financial statement

fairly and accurately presents the financial condition

of the gaming operation in accordance with generally

accepted accounting principals (GAAP) and in accordance

with the standards of the accounting profession

established by rules and regulations of the Wisconsin

State Board of Accountancy and the American Institute of

Certified Public Accountants;

(c) disclose whether the accounts, records, and control

procedures maintained by the gaming operation are as

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required by the regulations promulgated by the

Commission; ~nd

(d) provide for a preliminary review of the internal

control structure, upon adoption of the polices and

procedures by the entity, to disclose any deviation from

prescribed rules and regulations and report such

findings to the Commission and management.

The scope of these audits shall include all gaming related

contracts that result in the purchase of supplies, services or

concessions in excess of $25,000.00 annually, except contracts for

professional, legal and accounting services. Resulting audit

reports shall be submitted to the National Indian Gaming

Commission.

Section 5.03 Commissions Right to Conduct Audit The

Commission shall be able to retain its own appointed accountants,

or direct an accountant employed by the Tribe to conduct its own

audit of any gaming operation.

Section 5.04 Prohibition Against Embezzlement Any

delay, maneuver or action of any kind which in the opinion of the

Director is effectuated by any licensee to unlawfully divert

gaming or other proceeds properly belonging to the Tribe shall

constitute grounds for taking disciplinary action against that

licensee. If the Commission finds an unlawful diversion was

attempted, it shall sanction the licensee. Sanctions may include

fining, revoking, suspending, limiting or refusing to renew the

license.

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CHAPTER VT

AUTHORIZATION OF GAMING

Section 6.00 Gaming Authorized Class I and Class II

gaming are hereby authorized. Class III gaming is hereby

authorized to the extent provided under the Tribal-State Compact.

Class II and III gaming are subject to the regulations provided in

this Code and regulation by the Commission, and to the Indian

Gaming Regulatory Act.

Section 6.01 Prohibition Against Gaming No person duly

authorized by the Commission shall engage, conduct or condone any

game unless such game is approved by this Commission and

regulations governing such game have been duly promulgated by this

Commission.

Section 6.02 Grace Period The prohibition contained in

Section 6.01 shall not apply to those games already being played

as of the date of enactment of this Code, provided however, that

the licensee conform to the rules promulgated hereunder within

five (5) days of such promulgation.

Section 6.03 Authorization of Gaming The Commission

may authorize the playing of any game not prohibited by the laws

of the State of Wisconsin. The Commission shall promulgate

regulations for rules governing all authorized games,including

regulations governing the equipment (chips, dice, cards, tiles,

etc.) used in such game. Any provision in the Tribes Compact

with the State of Wisconsin providing for notice to and comment

from the state, shall be complied with before any game is

authorized by the Commission.

Section 6.04 Approval of Gaming Eguipment The

Commission shall have the discretion to review and approve all

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gaming equipment and other devices used in the gaming operation as

to quality, d~sign, integrity, fairness, honesty and suitability.

(a) The Commission may require a prototype or sample of

any model of gaming equipment or other device used in

the gaming operation to be placed in the custody of the

Director and retained by him as a control for comparison

purposes.

(b) Any evidence that gaming equipment or other devices

used in the gaming operation has been tampered with or

altered in any way which would affect the integrity,

fairness, honesty or suitability of the equipment or

device shall be immediately reported to the Commission.

Section 6.05 Posting of Rules The Rules of each

authorized game offered at any duly licensed establishment shall

be posted in a conspicuous location and shall be clearly legible.

CHAPTER VII

EXCLUSION OR EJECTION OF INDIVIDUALS

Section 7.01, List of Undesirables The Commission may,

by regulation, provide for the establishment of a list of persons

who are to be excluded or ejected from any duly licensed gaming

operation. The list may include any person whose presence in the

gaming establishment is determined by the Commission to pose a

threat to the interests of the Tribe, the State of Wisconsin, or

to licensed gaming. Race, color, creed, national origin or

ancestry or sex must not be grounds for placing the name of a

person on the list.

Section 7.02 Notice and Opportunity to be Heard The

Commission shall promulgate regulations providing fair notice and

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opportunity to be heard to any individual whose name is being

contemplated by the Tribe to be placed on the list referred to in

section 7.10. Such regulations must provide the person an

opportunity to show cause why his name should be deleted from the

list. The individual may appeal any decision of the Commission to

place his name on the list to Tribal Court.

Section 7.03 Prohibition Against Listed Individuals

It shall be a violation of this Code for any licensee to knowingly

fail to exclude or eject from the gaming establishment any persons

placed on the list referred to in section 7.01. It shall a

violation of this Code for any person whose name appears on the

list referred to in section 7.01 to enter into or engage in any

game at a duly licensed gaming establishment.

Section 7.04 Prohibition Against Certain Individuals

It shall be a violation of this Code for any licensee who

knowingly fails to exclude or eject the gaming establishment any

individual who:

(a) is visibly under the influence of liquor or any

narcotic or such other substance; or

(b) is underthe age of eighteen years.

CHAPTER VIII

CHEATING

Section 8.01 Unlawful Acts. It is unlawful for any

person

(a) to alter or misrepresent the outcome of a game or

other event on which wagers have been made after the

outcome is made sure but before it is revealed to the

players;

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49
(b) to place, increase or decrease a bet or to determine

the course of play after acquiring knowledge, not

available to all players, of the outcome of the game or

knowledge of any event that affects the outcome of the

game or knowledge that is the subject of the bet or

wager;

(c) to aid anyone in acquiring such knowledge as set

forth in subparagraph (b), for the purpose of increasing

or decreasing a bet or wager, or for the purpose of

determining the course of play contingent upon that

event or outcome;

(d) to claim, collect or take, or attempt to claim,

collect or take, money or anything of value in or from a

gambling game with intent to defraud, without having

made a wager contingent thereon, or to claim, collect or

take an amount greater than the amount won;

(e) knowingly to entice or induce another to go to any

place where a gambling game is being conducted or

operated in violation of the provisions of this chapter,

with the intent that the other person play or

participate in that gambling game;

(f) to place or increase a bet or wager after acquiring

knowledge of the outcome of the game or event which is

the subject of the bet or wager, including past-posting

and pressing bets;

(g) to reduce the amount wagered or cancel the bet after

acquiring knowledge of the outcome of the game or other

event which is the subject of the bet or wager,

including pinching bets; or

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(h) to manipulate with intent to cheat, any component of

a gaining device in a manner contrary to the designed and

normal operational purpose for the component, with

knowledge that the manipulation affects the outcome of

the game or with knowledge of any event that affects the

outcome of the game.

Section 8.02 Prohibition Against Electronic Aids

Except as specifically permitted by the Director with approval of

the Commission, no person shall possess with the intent to use, or

actually use, at any table game, either by himself or in concert

with others any calculator, computer or other electronic,

electrical, or electromechanical device to assist in projecting an

outcome at any table game, to keep track of or analyze the cards

having been dealt, to change the probabilities of any table game

or the playing strategies to be utilized.

CHAPTER IX

NATIONAL INDIAN GAMING COMMISSION

AND TRIBAL-STATE COMPACTS

Section 9.01 National Indian Gaming Commission

Regulations Notwithstanding any provision in this Gaming Code or

any regulation promulgated thereunder, the Commission is fully

empowered to comply with all regulations promulcated by the

National Indian Gaming Commission, including but not limited to,

all requirements to report ordinances, contracts, license

applications, background checks, and other information to the

National Commission.

Section 9.02 National Indian Gaming Commission -

Assessment Notwithstanding any provision in the Gaming Code or

any regulation promulgated thereunder, the Commission is fully

empowered to comply with all assessments authorized by the

51 -
National Commission. Such assessments shall be paid from the

Treasury of the Menorninee Indian Nation.

Section 9.03 Com~act with the State of Wisconsin

I~Iotwithstanding any provision in this Gaming Code or any

regulation promulgated thereunder, the Commission is fully

empowered to implement and to comply with the provisions of any

compact properly executed between the Tribe and the State of

Wisconsin, including provisions requiring background

investigations of persons not subject to such investigations under

this Code. The Commission shall adopt procedures and fees for the

conduct of such investigations.

CHAPTER X

MISCELLANEOUS

Section 10.01 Security Each licensed gaming

establishment must provide for reasonable security. All security

personnel must be licensed by the Commission.

Section 10.02 Maintenance of Code and Regulations

Each licensee shall obtain, maintain and keep current a copy of

the Gaming Code and regulations promulgated thereunder, which

shall be located at the premises used for the conduct of a

licensed activity. The Code and regulations shall be produced by

the licensee and shown to any person upon demand. That licensee

may not have a current copy of the Code, or each of the rules of

the Commission, shall not in any diminish the licensees

obligation to abide by the Code and regulations.

Section 10.03 Compliance with Other Laws The

construction, maintenance and operation of any facility in which

gaming activities are to take place shall be in a manner which

adequately protects the environment and the publics health and

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safety and shall comply with any otherwise applicable tribal and

federal laws relating to environmental protection and public

health and safety.

Section 10.04 Amendments All provisions of this Gaming

Code are subject to amendment by the Menominee Tribal Legislature.

All regulations promulgated by the Commission are subject to

proper revision, repeal or amendment by the Commission.

Section 10.05 Severability If any provision of this

Code, or its application to any purpose or circumstance, is held

invalid by a court of competent jurisdiction, the full remainder

of the provision, or the application of the provision through

another person or circumstances, shall not be affected.

Section 10.06 Notices of National Indian Gaming

Commission Any official determination, order, or notice of

violation issued by the National Indian Gaming Commission shall be

served upon the Director, Menorninee Tribal Gaming Commission, P.O.

Box 910, Keshena, Wisconsin 54135. The Director shall promptly

provide copies of any such determination, order or notice to the

Commissioners, the Tribal Chairman, and the Chairman of the

Menominee Tribal Gaming Corporation.

Section 10.07 Repeal To the extent that they are

inconsistent with this ordinance, all prior gaming ordinances are

hereby repealed.

THIS GANING CODE HAS BEEN DULY ENACTED INTO

LAW BY THE MENOMINEE TRIBAL LEGISLATURE ON THIS

20th DAY OF JANUARY , 1994.

MENOMINEE EGISLATURE

BY:

MENOMINEE TR~IBAL CHAIRMAN

53
MENOMINEE TRIBAL LEGISLATURE

JANUARY 20, 1994

LUKE BEAUPREY: I move for Final Approva). of Ordinance

93-30 Menozninee Tribal Gaming Cods.

LORENE POCAN: I second the Motion.

CHAIRMAN: All those in favor of the Motion raise your

right hand. Opposed. The Motion is carried: 6 for, 0

opposed, 0 abstentions and 3 absent (Avonohopay, Daly,

and Fish).

GMller,~i~afl

MENOMINEE INDIAN TRIBE OF WISCONSIN