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WWW.NIGC.GOV

June 24, 2021

VIA EMAIL

Tribal President Shannon Holsey

Stockbridge-Munsee Community

P.O. Box 70

N8476 Moh He Con Nuck Road

Bowler, WI 54416

Re: Stockbridge-Munsee Community Updated Gaming Ordinance

Dear President Holsey:

This letter responds to your April 6, 2021 letter on behalf of the Stockbridge Munsee 

Community informing the National Indian Gaming Commission that the Community had 

updated the codification of its tribal code. This update included minor technical changes, 

renumbering and changes to the internal citations, to the Community’s gaming ordinance.

I understand your position that the updates do not qualify as an amendment to the 

Community’s Gaming Ordinance that require my approval as no substantive changes were 

made. However, to the extent that the Indian Gaming Regulatory Act (IGRA) or NIGC 

regulations require approval of this gaming ordinance, the amended ordinance is approved as it is 

consistent with the requirements of IGRA and NIGC’s regulations. Thank you for bringing this 

update to our attention and for providing us with an updated copy of the Community’s gaming 

ordinance. We will replace the updated ordinance with your prior copy on our website. If you 

have any questions or require anything further, please contact Josh Proper at (202) 632-0294.

Sincerely,

E. Sequoyah Simermeyer

Chairman 




Chapter GMG.01 

Gaming Ordinance 

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

and Class III gaming, within the jurisdiction of the Stockbridge-Munsee Community on its 

Wisconsin Reservation.

GMG.01.01 Findings, Purposes And Policy 

(a) Findings. The Stockbridge-Munsee Tribal Council on behalf of the Stockbridge-Munsee Tribe 

finds that:

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

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

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

areas as may be used for tribal gaming.

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

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

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

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

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

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

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

judiciary, infrastructure, and economic diversification.

(5) Tribal operation and licensing of gaming activities within the jurisdiction of the Tribe 

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

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

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

the Stockbridge-Munsee Tribe.

(2) Make clear and explicit that a tribal license to operate a gaming activity, to provide 

gaming related services or equipment or to work as a key employee is a revocable privilege, not 

a right or a property interest.

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

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

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

unconscionable and dishonest persons and practices.

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

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

provision of tribal governmental services.

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

involved in gaming activities within the jurisdiction of the Tribe.

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

disputes.

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

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

educational systems and programs and promotion and regulation of economic activities within the 

sovereign jurisdiction of the Tribe.

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

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

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

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

When operated in accordance with the provisions of this Ordinance, such gaming will be conducive to 

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

GMG.01.02 Interpretation 

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

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

the people living on lands under the jurisdiction of the Stockbridge-Munsee Tribe and all 

those who enter said lands for lawful purposes. The provisions of this Ordinance shall be 

liberally construed for accomplishment of this purpose.

GMG.01.03 Ownership Of Gaming 

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

owner of all gaming enterprises on tribal lands, except that in those cases where the Tribe 

may deem it appropriate to enter into a management contract, it shall have the authority to 

do so, in a manner consistent with federal laws governing the terms and approval of such 

contracts, and provisions of this Ordinance that may apply.
GMG.01.04 Definitions 

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

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

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

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

control of the General Manager. Ancillary Facilities are subject to regulation by the Stockbridge-Munsee 

Community, but are not gaming activities subject to regulation under the Indian Gaming Regulatory Act, 

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

(b) "Barring Offense" means convictions or circumstances pertaining to an individual or a vendor 

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

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

Gaming License at Section GMG.01.15(j).

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

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

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

penalties consistent with this Ordinance.

(d) "Class II gaming" means:

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

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

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

numbers or other designations,

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

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

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

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

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

similar to bingo, and

(2) Non-Banking Card games that:

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

(B) Are not explicitly prohibited by the laws of the State and are played at any 

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

laws and regulations (if any) of the State regarding hours or periods of operation of such 

card games or limitations on wagers or pot sizes in such card games. Class II gaming 
does not include any banking card games, including baccarat, chemin de fer, or blackjack 

(21), or electronic or electromechanical facsimiles of any game of chance or slot 

machines of any kind.

(e) "Class III gaming" means all forms of gaming that are not Class I gaming or Class II gaming, 

and for purposes of Stockbridge-Munsee Gaming facilities, any of the Class III games permitted by a 

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

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

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

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

conduct background investigations for the tribal gaming licensing process, and other investigations as 

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

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

request of the Commission

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

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

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

embezzlement, insurance fraud and welfare fraud.

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

this Ordinance.

(k) "Gaming Enterprise" or "Gaming Facility" means the Mohican North Star Gaming and Resort, 

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

Constitution, adopted under Section 16 of the Indian Reorganization Act. No tribal gaming enterprises 

are nor shall be organized under the Federal Corporate Charter.

(l) "Gaming Operator" means the Stockbridge-Munsee Community, represented by the duly 

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

Stockbridge-Munsee Community.

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

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

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

(n) "Gaming Related Contractor" means any contractor, service provider or vendor, individual or 

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

of gaming and not common to ordinary Tribal operations.
(o) "Gaming Services Vendor" see "Gaming Related Contractor."

(p) "General Manager" or "Manager" is a Tribal Council hired position responsible for managing 

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

Manager.

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

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

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

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

(s) "IGRA" refers to the Indian Gaming Regulatory Act, Public Law 100-497, 102 Stat. 2426, 25 

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

(t) “Key Employee” for the purposes of this Ordinance means any person employed by a Gaming 

Facility, but shall not include any person employed by an Ancillary Facility. This definition includes the 

following employees:

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

(A) Bingo caller and Bingo Department personnel; 

(B) Slot Department personnel;

(C) Director of Security and all security guards working within the Gaming 

Facility;

(D) All surveillance officers;

(E) Custodian of gaming supplies or gaming cash, including Cage/Vault 

personnel; 

(F) Pit boss; 

(G) Table games dealer and personnel;

(H) Casino hosts;

(I) Custodian of gambling devices including persons with access to gaming cash 

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

personnel); 

(J) Floor Manager and other gaming directors or gaming managers;
(K) Croupier; and

(L) Count room supervisor. 

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

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

(3) If not otherwise included, any person with supervisory authority over key 

employees;

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

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

Gaming Facility or key employees; and 

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

employee. 

(u) "NIGC" refers to the federal National Indian Gaming Commission.

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

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

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

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

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

(x) "Primary Gaming Management Official" means:

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

contract;

(2) Any person who has authority over gaming;

(A) To hire and fire key employees, or

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

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

responsibility; or

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

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

employee by the Commission pursuant to Section GMG.01.15(f) of this Ordinance.
(z) "Suitable" means if a person, through a background investigation is determined by the 

Commission to be a person whose prior activities, criminal record if any, or reputation, habits, and 

associations do not pose a threat to the public interest or to the effective regulation of gaming, or create 

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

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

thereto or means that an individual or vendor has met the requirements set forth by the Commission to 

obtain or retain an employee gaming or vendor license.

(aa) "Tribe" means the Stockbridge-Munsee Community, a federally recognized Indian Tribe 

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

indicates a general meaning.

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

(cc) "Tribal Lands" means:

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

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

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

over which an Indian tribe exercises governmental power.

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

Gaming Waiver Policy.

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

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

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

employee gaming license.

GMG.01.05 Use Of Gaming Revenue 

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

(1) To fund tribal government operations and programs.

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

(3) To promote tribal economic development.

(4) To donate to charitable organizations.

(5) To help fund operations of local government agencies.
(b) If the Tribe elects to make per capita payments to tribal members, it shall authorize such 

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

2710(b)(3).

GMG.01.06 Handling Of Gaming Receipts 

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

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

All operating expenses shall be withdrawn from such account(s) by consecutively numbered checks duly 

signed by the Casino General Manager or his or her Commission-approved designee, and a person(s) 

designated by the Tribal Council.

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

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

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

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

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

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

GMG.01.07 General Provisions 

(a) Authority and Sovereign Powers and Responsibilities. This Ordinance is enacted pursuant to 

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

pursuant to the terms of the Stockbridge-Munsee Tribal Constitution.

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

States Government to promote self-determination for Indian tribes. At the heart of this policy is a 

commitment by the federal government to foster and encourage tribal self-government, economic 

development and self-sufficiency. That commitment was signed into law in 1975 as the Indian SelfDetermination and Education Assistance Act, Public Law 93-638, 88 Stat. 2203, 25 U.S.C. Sections 450-

450n. In 1983, President Reagan reaffirmed that commitment in his Indian Policy Statement, 

encouraged tribes to reduce their dependence on federal funds by generating more of their own 

revenues and pledged to assist tribes in that endeavor. In 1988 the federal commitment to promote 

tribal economic development, tribal self-sufficiency and strong tribal government was expressly 

legislated in the Indian Gaming Regulatory Act ("IGRA"), Public Law 100-497, 102 Stat. 2426, 25 U.S.C. 

Section 2710, et. seq. (1988), which recognized the inherent sovereign right of tribes to operate and 

their exclusive right to regulate on Indian lands gaming that is not specifically prohibited by federal law 

and is conducted within a state that does not, as a matter of criminal law and public policy, prohibit such 

gaming, and provided a federal statutory basis for operation and regulation of Indian gaming.

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

principal of tribal self-government. Consistent with federal policy, tribal government provides a wide 
range of public services, including general governmental services, the maintenance of peace and good 

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

Tribe.

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

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

Stockbridge-Munsee Tribal Code. All Ordinances of the Tribe that pertain to gaming and are in effect as 

of the effective date of this revised Ordinance are hereby repealed, and all other tribal laws or parts 

thereof inconsistent with the provisions of this Ordinance are hereby repealed. Repeal of this Ordinance 

or any portion thereof shall not have the effect of reviving any prior tribal law heretofore repealed or 

suspended, unless otherwise stated in this Ordinance.

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

requires, the following rules shall apply:

(1) This Ordinance shall be liberally construed to effect its purpose and to promote 

substantial justice.

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

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

include the singular.

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

genders and the neuter.

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

jurisdiction, the remaining sections shall not be affected thereby.

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

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

the time the amendment is approved.

GMG.01.08 Tribal Council, Powers And Duties 

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

pursuant to its powers under the tribal constitution.

(b) The Stockbridge-Munsee Tribal Council may further delegate responsibilities under the 

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

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

procedures promulgated therefrom.
(c) The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into 

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

local governments or entities.

(d) The Stockbridge-Munsee Tribal Council shall retain the exclusive power to waive sovereign 

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

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

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

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

interest in lands or other assets of the Tribe.

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

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

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

Council shall have review of said contracts prior to signing.

(g) The Tribal Council shall establish the use of gaming revenues transferred from the gaming 

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

according to tribal needs and requirements for continued growth.

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

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

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

the standards for employment and dismissal set forth in Section GMG.01.09(k).

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

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

position, such termination not to be arbitrary but done pursuant to criteria set forth in this Ordinance or 

in separate policies and procedures, or pursuant to an approved management contract.

(k) The Tribal Council shall review all monthly financial reports forwarded from the Gaming 

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

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

entity.

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

in which the gaming enterprise is operated.

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

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

licensing.
(n) The Tribal Council shall create a Compliance Department to perform background 

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

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

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

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

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

Department may also be used in other tribal regulatory or investigative processes as directed by the 

Tribal Council, so long as such activities are not in conflict with their gaming related duties.

(o) All policies and regulations developed pursuant to this Ordinance shall be subject to final 

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

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

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

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

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

regulations may result in fines against the Tribal Council, suspension and or revocation of their Gaming 

Operator's License. Revocation of a Gaming Operator License will subject the Tribe to the jurisdiction of 

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

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

GMG.01.09 Mohican Gaming Commission 

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

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

while reserving the right to review actions of this body.

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

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

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

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

unless dissolved by the Tribal Council pursuant to Tribal law.

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

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

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

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

the operations of the Commission be conducted on behalf of the Tribe for the sole benefit and interests 

of the Tribe, its members and the residents of the Reservation and communities surrounding the tribal 

gaming enterprises. In carrying out its purposes under this Ordinance, the Commission shall function as 

a branch of the tribal government. Notwithstanding any authority delegated to the Commission under 

this Ordinance, the Tribe reserves to itself the right to bring suit against any person or entity in its own 
right, on behalf of the Tribe or on behalf of the Commission whenever the Tribe deems it necessary to 

protect the sovereignty, rights and interests of the Tribe or the Commission.

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

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

this Ordinance or other tribal law, including sovereign immunity from suit in any tribal, federal or state 

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

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

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

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

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

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

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

Tribe or the Commission to the alienation, attachment or encumbrance of any such land. The Tribal 

Council retains authority to waive the sovereign immunity of the Commission and its agents.

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

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

expressly reserved, including sovereign immunity from suit in any tribal, federal or state court. Nothing 

in this Ordinance nor any action of the Commission shall be deemed or construed to be a waiver of 

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

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

Commission or the Tribe, or to be a consent of the Tribe to any cause of action, case, or controversy, or 

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

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

any such land.

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

to it by the Tribal Council or acquired in its name by the Tribe or by the Commission on its own behalf. 

No activity of the Commission nor any indebtedness incurred by it shall implicate or in any way involve 

or effect any assets of tribal members or the Tribe not assigned in writing to the Commission.

(h) Membership. 

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

Commissioners necessary to perform the duties of the Commission.

(2) Qualification of Commissioners. 

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

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

the following areas:
(i) Business Management

(ii) Economic Development

(iii) Marketing

(iv) Law

(v) Finance/Accounting

(vi) Security/Law Enforcement

(vii) Gaming

(C) Shall not serve in any elected government position in the StockbridgeMunsee Tribe.

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

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

responsibility for any gaming activity operated by the Tribe, or any direct or indirect 

interest in any gaming-related contract with the Tribe.

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

on the Commission who has any conflict of interest as defined in this Ordinance, UNLESS 

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

has agreed, in writing, to permit the individual to be appointed or to continue with his 

or her term.

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

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

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

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

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

member. No person shall serve as a Commissioner if:

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

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

control of gaming; enhance the dangers of unsuitable, unfair, or illegal practices, 

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

business and gaming financial arrangements incidental thereto; or

(B) If he or she has been convicted of or entered a plea of guilty or nolo
contendere (no contest) to a felony or any gaming offense in any 

jurisdiction or

to a misdemeanor involving dishonesty, fraud, misrepresentation in 

any

connection or any offense involving moral turpitude.

(C) Applicants for the Commission shall not be eligible for the Commission if 

their background investigation shows a criminal history. A tribal gaming waiver shall not 

act to rehabilitate the applicant for consideration for the Commission. Criminal history, 

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

fraud, misrepresentation or gambling related offenses.

(i) Meetings. 

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

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

determined by the Commission.

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

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

the Compliance Department or at least a majority of the members of the 

Commission.

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

Tribal Council.

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

Commission members.

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

Commission shall be decided by majority vote.

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

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

or privileged nature.

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

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

(k) Removal of Members and Filling Vacancies. 
(1) Removal. A Commissioner may be removed by the Tribal Council for inefficiency, 

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

of the Commission or otherwise violates the letter or intent of this Ordinance. Except as 

provided below, no Commissioner may be removed without notice and an opportunity for a 

hearing before the Tribal Council, and then only after the Commissioner has been given written 

notice of the specific charges at least ten days prior to such hearing. At any such hearing, the 

Commissioner shall have the opportunity to be heard in person or by counsel and to present 

evidence on his or her behalf. If the Tribal Council determines that immediate removal of a 

Commissioner is necessary to protect the interests of the Tribe, the Tribal Council may 

immediately remove the Commissioner temporarily, and the question of permanent removal 

shall be determined thereafter pursuant to Commission hearing procedures. A written record of 

all removal proceedings together with the charges and findings thereon shall be kept by the 

Tribal Secretary for at least seven (7) years.

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

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

shall hire another person to fill the position.

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

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

or other applicable law, the Commission shall have the authority to issue citations and assess fines for 

violations of applicable gaming laws and to refer violations of the Ordinance to the Tribal Prosecutor for 

enforcement, consistent with this Ordinance and regulations drafted for that purpose and approved by 

the Tribal Council. All proposed citations or assessments of fines shall be reviewed by legal counsel and 

the Commission for legal sufficiency. The Commission is also authorized to exercise by majority vote the 

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

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

Commission.

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

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

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

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

Compliance Department regarding such investigations in the regulatory process.

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

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

a gaming license.

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

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

with the tribal gaming enterprise(s) or to continue such employment or business relationship. 
Such review shall include investigative reports provided to the Commission by the Compliance 

Department.

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

Stockbridge-Munsee Tribe elects to allow gaming.

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

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

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

GMG.01.12.

(7) To ensure that net revenues from any gaming activities are used for the limited 

purposes set forth in the Tribal Gaming Ordinance.

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

GMG.01.09(m)(2) of this Ordinance.

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

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

employees as necessary in order to carry out this responsibility.

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

regulation of gaming, as necessary to fulfill their duties.

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

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

monitor the facility for compliance with those laws.

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

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

promulgated by the Commission and approved by the Tribal Council.

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

gaming activities. See Section GMG.01.09(l)(24) on reporting for more detail.

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

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

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

for licensing of gaming services vendors.

(15) Be familiar with the minimum internal control standards or procedures for all tribal 

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

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

management officials, key employees and other employees, vendors or contractors subject to 

the approval of the Tribal Council.

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

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

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

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

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

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

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

gaming regulations.

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

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

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

audit the video surveillance standards.

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

problems, pursuant to the Tribal Gaming Ordinance and other tribal regulations and policies 

that may be in place regarding those issues.

(22) With prior approval of the Tribal Council, to make application and accept grants and 

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

of the Commission or the Tribe.

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

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

powers and all of the powers vested in this Ordinance as permitted by the purposes and powers 

herein stated and that are deemed to be in the best interests of the Tribe, exercising prudent 

and good judgment, all in compliance with applicable law.

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

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

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

Commission shall submit to the Tribal Council on a regular basis minutes from all meetings and a 

monthly status report on the tribal gaming enterprise(s).

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

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

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

years from the termination of employment or business relationship and Commission decisions 
related to the licensing of primary gaming management officials, key employees or any other 

entity licensed by the Commission, shall be retained in Commission files for a period of at least 

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

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

this Ordinance.

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

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

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

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

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

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

consultation with the Tribal attorney(s). This provision is not to be interpreted as a waiver of 

sovereign immunity by the Tribal Council for suit in Tribal Court but is intended to address all 

cases except those that might involve the Tribal Council as a Gaming Operator.

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

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

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

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

a violation by any such person of this Ordinance or any other applicable law. The Commission 

shall provide notice to the Tribal Council prior to suspension to the General Manager.

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

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

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

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

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

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

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

violated;

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

common and concise language;

(C) Measures required to correct the violation;

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

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

cannot take measures to correct the violation immediately; and
(E) Notice of rights of appeal.

(32) Order of Temporary Closure.

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

to, the issuance of a notice of violation under Section GMG.01.09(l)(31) of this part, the 

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

Facility operations if one or more of the following substantial violations are present:

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

in a notice of violation.

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

(iii) The gaming operation operates for business without either 

background investigation having been completed for, or tribal licenses granted 

to all key employees and primary gaming management officials as provided for 

in this Ordinance.

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

of the Commission or another authorized tribal official to enter or inspect a 

gaming operation.

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

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

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

State Compact.

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

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

of temporary closure, unless the order provides otherwise.

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

temporary closure, the respondent may request, orally or in writing, informal expedited 

review by the Commission.

(i) The Commission and if needed to assist the Commission, a 

Compliance Officer or Internal Auditor shall complete the expedited review 

provided for by this paragraph within two (2) days after receipt of a timely 

request.

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

provided for by this paragraph:
(I) Decide whether to continue an order of temporary closure; 

and

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

the decision.

(iii) Whether or not a respondent seeks informal expedited review 

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

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

Court under Section TCT.02.23.

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

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

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

failure to comply with federal regulations.

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

under the IGRA, upon request and approval by the Tribal Council.

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

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

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

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

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

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

Council and may be deemed "cause" for suspension or termination from the Commission.

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

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

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

Commission a report stating whether the applicant is eligible for a gaming waiver. The 

Commission shall conduct the gaming waiver hearing if necessary or requested by the applicant 

and forward a recommendation to the Tribal Council regarding the applicant's suitability to 

receive a gaming waiver. The Tribal Council shall make the final decision on waiver applications.

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

law and practices.

(m) Commission Regulations. 

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

and powers shall include, but shall not be limited to:
(A) Internal operational procedures of the Commission and its staff;

(B) A regulatory system to monitor all gaming activity, including accounting, 

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

management activities. The Commission shall meet the standards of 25 CFR Part 518 to 

become a self-regulated entity for purposes of regulating Class II gaming. Upon 

successful approval by the NIGC, the Commission shall regulate Class II gaming as a selfregulated entity;

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

of the Commission authorized by this Ordinance.

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

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

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

the Clerk of the Tribal Court.

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

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

any other tribal or federal law.

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

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

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

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

in secured areas. The Gaming Operator, Gaming Facility or Ancillary Facility shall facilitate such 

inspection or examinations by giving every reasonable aid to the Commission and to any properly 

authorized officer, employee or agent of the Commission.

(o) Right of Entrance; Inspections of Gaming Operations. A Commissioner or a member of the 

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

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

unannounced.

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

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

conducting both scheduled and unscheduled audits or investigations.

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

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

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

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

entity the Commission may deem best suited for the specific investigation. If the Commission 
designates a separate entity to conduct an investigation on its behalf, such entity shall be considered an 

agent of the Commission while carrying out its designated duties.

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

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

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

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

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

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

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

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

remains responsible for rendering the decision.

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

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

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

ensure that the check writing authority designated in Section GMG.01.06 of this Ordinance is followed. 

Check writing authority shall not include wire transfer authority.

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

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

informed as to the status of its various gaming activities.

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

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

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

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

the Tribal Council.

GMG.01.10 Powers, Duties And Limitations: Casino General Manager 

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

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

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

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

shall be hired by the Tribal Council. The General Manager shall undergo a background check by the 

Compliance Department and a licensing determination through the Commission. The General Manager 

shall obtain a Provisional Gaming License prior to commencing work and a Gaming License in 

accordance with this Ordinance. The General Manager may be removed by the Tribal Council for cause. 

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

failure to adhere to policies and procedures or to tribal and federal laws and regulations. The General 

Manager shall be subject to a semi-annual and an annual review by the Tribal Council or an entity 

designated by the Council for that purpose.
(b) Purpose. The purpose of the General Manager and the management structure s/he creates, 

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

gaming enterprise.

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

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

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

(d) Responsibilities. 

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

pertaining to compliance with Minimum Internal Control Standards, System Internal Control 

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

unreasonable. The General Manager may request additional time.

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

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

Ordinance.

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

Procedures for the gaming enterprise.

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

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

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

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

applicable standards or internal control prior to gaming management implementing new 

procedures or procedural changes. Notwithstanding any other provision of this section, when 

applicable law requires that the Commission review and approve a policy or procedure, the 

Commission shall have that authority. Unless applicable law requires otherwise, the 

Commission shall have thirty days to complete its review.

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

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

described in subsection (4) above, the Commission shall inform the General Manager of 

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

those concerns.

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

the parties shall participate in a mediation process approved by both parties. . Such 

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

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

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

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

guidelines.

(6) Accounting for Gaming Funds. The General Manager is responsible for keeping 

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

with necessary resources to do so (subject to the terms of the Tribal/State Compact, this 

Ordinance and Federal law), except that the Tribal Council shall retain hiring authority over the 

Chief Financial Officer for all tribal gaming enterprises. The General Manager shall participate in 

the hiring process for the Chief Financial Officer, even though the Tribal Council retains the 

hiring authority.

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

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

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

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

with said regulations.

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

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

(10) The General Manager shall be present at the time of the Financial Audit and 

Security Audit presentations to the Tribal Council.

(e) Surveillance. 

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

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

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

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

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

and report to the Commission.

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

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

to any change.

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

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

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

vendors and employees.
(f) Reporting. The General Manager shall provide the Commission and the Tribal Council with a 

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

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

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

statement of any changes in key employees or primary gaming management officials, a listing of all bills 

that are thirty (30) days or more past due and any other information the Tribal Council may require. The 

General Manager has an obligation to provide all reports requested by the Tribal Council or the 

Commission.

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

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

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

purposes only. The Plan shall contain the following unless otherwise decided by Tribal Council:

(A) Operating budget.

(B) Capital budget.

(C) Growth target.

(D) Staffing requirements, including training requirements.

(E) Expense and revenue projections.

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

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

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

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

in each gaming establishment informing patrons of the established process.

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

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

regarding performance of the gaming enterprise. Violation of this confidentiality provision shall be 

subject to disciplinary action from the Tribal Council and may be deemed "cause" for suspension or 

termination.

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

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

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

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

obligation to report such information to the Tribal Council.
GMG.01.11 Compliance Department 

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

organization, a department within the tribal gaming regulatory structure, to carry out specific duties as 

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

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

(b) Purpose. The primary purpose of the Compliance Department is to perform background 

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

and any regulations promulgated hereunder. The Compliance Department may also perform other 

investigations for the Tribe, including those for Elder/Youth licensing and as requested by the Tribal 

Council when such investigations do not conflict with their gaming responsibilities, but the Compliance 

Department has no independent investigatory powers.

(c) Qualifications. Any employee hired in the Compliance Department shall meet the following 

qualifications:

(1) Employees of the Compliance Department shall not serve in any elected government 

position in the Stockbridge-Munsee Tribe;

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

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

gaming activity operated by the Tribe, or any direct or indirect interest in any gaming-related 

contract with the Tribe.

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

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

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

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

continue with his or her employment.

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

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

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

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

21 years of age.

(d) Background Check. Prior to the time any employee with the Compliance Department begins 

employment, the Tribe shall perform a comprehensive background check on each prospective 

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

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

pose a threat to the public interest; or threaten the effective regulation and control of gaming; 
enhance the dangers of unsuitable, unfair, or illegal practices, methods, or activities in the 

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

thereto; or

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

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

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

turpitude.

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

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

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

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

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

or gambling related offenses, any drug related conviction involving possession, sale, use or 

manufacture of a controlled substance.

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

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

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

that directly applies. The Compliance Department is supervised by the Tribal Council. Although the 

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

Commission may request the Compliance Department to assist in investigating gaming issues pursuant 

to this Ordinance.

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

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

prepare summary reports of said investigations, consistent with Section GMG.01.15(d), for review and 

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

on a need to know basis only, such basis generally arises in cases where the investigative report was 

unclear or ambiguous.

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

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

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

of the file in question shall be present for hearings.

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

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

other than Commission must be approved by the Tribal Council.

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

allowed except as provided herein or in accordance with law. Exceptions to this restriction are 
limited to official hearings, reviews, reports, or Court proceedings. Other exceptions may 

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

previously submitted to the Compliance Department or when copies are authorized in writing by 

the Compliance Officer and accompanied by the signature of at least one (1) Commissioner.

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

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

Department.

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

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

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

GMG.01.12 Audit 

(a) The Commission shall cause to be conducted annually an independent audit of gaming 

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

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

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

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

to eligible audit firms and shall have the authority to engage an audit firm to comply with the terms of 

the Compact. All provisions of the Compact shall be adhered to in this process.

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

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

and accounting services, shall be included within the scope of the audit that is described in Section 

GMG.01.12(a).

GMG.01.13 Protection Of The Environment And Public Health And Safety 

Class II and Class III Gaming facilities shall be constructed, maintained and 

operated in a manner that adequately protects the environment and the public health and 

safety. Terms of the Tribal/State Compact regarding construction shall be adhered to.

GMG.01.14 Licensing Of A Gaming Facility 

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

of the Tribe. Any application for license pursuant to this Ordinance except application for an Operator's 

License made by the Tribe, and participation in any gaming activity within the jurisdiction of the Tribe 

shall be deemed to be a consent to the jurisdiction of the Tribe and the Tribal Court in all matters arising 

from the conduct of such gaming and all matters arising under any of the provisions of this Ordinance or 

other tribal laws.

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

Class III gaming. The Tribe is required to apply to the Commission annually for an Operator's license.
(c) Types of Licenses. The Commission shall issue each of the following types of gaming licenses:

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

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

chance.

(2) Tribally Owned or Tribally Operated Class III. This license shall be required for all 

tribally owned or operated gaming facilities operating any games of chance other than Class I or 

Class II gaming.

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

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

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

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

an activity is in fact Class I.

(e) Applications Procedures: Facility License. 

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

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

tribally owned or tribally operated Class II or Class III gaming license, which shall contain the 

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

this Ordinance and Commission regulations.

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

owned or operated Class II gaming facility the Commission shall:

(A) Review the proposed gaming operation to ensure that all criteria required by 

this Ordinance is met.

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

primary gaming management officials and key employees required by this Ordinance 

are being performed according to this Ordinance.

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

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

operated Class III gaming facility, the Commission shall:

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

Ordinance is met, or that good faith efforts are being used to meet that criteria;
(2) Insure that the necessary background checks on gaming management contractors, 

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

performed according to this Ordinance;

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

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

provisions of the Tribal/State Compact.

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

above license to any tribally owned or tribally operated Class II or Class III proposed gaming operation 

only if all of the following criteria are met:

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

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

October 17, 1988; or on after acquired lands that meet the requirements of Section 2719 of the 

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

required, are made.

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

Ordinance and the IGRA or as Class III gaming authorized by a Tribal/State Compact.

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

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

the conduct of the proposed gaming activity.

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

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

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

NIGC.

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

and filing requirements.

(C) All of the net proceeds of the proposed gaming activity shall be used for the 

purposes stated in Section GMG.01.05 of this Ordinance.

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

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

legal and consulting services) shall be subject to an annual independent audit.
(E) The construction or maintenance of the gaming facility and the operation of 

the proposed gaming activity shall be conducted in a manner that the Commission finds 

will adequately protect the environment and the public health and safety.

(F) The General Manager, all primary gaming management officials and all key

employees have passed the background investigations and obtained the tribal gaming 

licenses required by this Ordinance. Each application must state in writing that all future 

primary gaming management officials and key employees will be required to pass 

background investigations and obtain gaming licenses within a reasonable time of hire 

with continued employment being made contingent upon the successful licensing of 

said individual.

(G) The Commission shall have the authority to regulate the proposed Class II 

gaming activity.

(H) The proposed gaming activity shall pay to the NIGC and to the State such 

fees as federal law and the Tribal/State Compact may require to be paid.

(I) If the gaming activity is Class III gaming, such gaming activity meets all other 

criteria established by the Tribal-State Compact.

(h) License Application Fees. No application fee shall be required for a tribally owned or tribally 

operated Class II or Class III gaming activity.

(i) License Tax. No annual license tax shall be required for a tribally owned or tribally operated 

Class II or Class III gaming activity.

(j) Form of Gaming License. Every gaming license issued by the Commission shall include the 

name and address of the authorized licensee and the signature of an authorized officer of the 

Commission.

(k) Scope of Gaming License. A gaming license issued by the Commission shall be effective only 

for the gaming activity and location specified in the application. Such license may be transferred only 

upon prior approval of the Commission upon written request that details the proposed new gaming 

activity, its location and proposed gaming operator.

(l) Term of License. A tribally owned or operated Class II and Class III Gaming Operator's license 

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

(m) Posting of Licenses. Each gaming operator shall post its tribal gaming license in a 

conspicuous location at the gaming operator's gaming facility. If a gaming operator has more than one 

gaming facility, the gaming operator must obtain and post a separate license for each gaming facility.
(n) Gaming License Renewals. Each tribal gaming license must be renewed annually. No 

renewal fee shall be required for a tribally owned or tribally operated Class II or Class III license. In order 

to obtain a renewal of a license, the gaming operator shall submit a written renewal application to the 

Commission on the form provided by the Commission. No renewal application shall be approved until 

the Annual Report required by Section GMG.01.14(o) has been properly filed. All renewal applications 

submitted by a tribally owned Class II or Class III gaming activity shall be approved within a reasonable 

time unless the Commission determines, based on reasonable grounds, that the enterprise has been or 

will be operated in violation of tribal, federal or other applicable law or the terms of the Tribal/State 

Compact.

(o) Annual Reports. Each gaming operator who possesses a Class II or Class III tribal gaming 

license must file an annual report (not to be confused with the Annual Plan of Operation) with the 

Commission 15 days prior to the expiration of each such license. The report shall be submitted to the 

Commission on the annual report form provided by the Commission and shall include the following 

information:

(1) The name, address and telephone number of the gaming operator;

(2) A description of each gaming activity that it operates and the total gross proceeds of 

each;

(3) A written copy of any changes the gaming operator proposes to initiate in its 

operating rules or policies;

(4) A statement of the specific dates and times during which the gaming activity will be 

operated during the next license period;

(5) A statement of any changes in the general manager or in the primary gaming 

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

license period;

(6) The names and addresses of any key employees who the Commission may identify to 

be primary gaming management officials during review of the application;

(7) Written proof that the Gaming Operator has paid to the NIGC such fees as federal 

and tribal law may require it to pay, and will continue to do so;

(8) Written proof that the Gaming Operator has paid to the State such fees as the

Tribal/State Compact may require it to pay;

(9) A sworn statement that the Gaming Operator has complied with the Internal 

Revenue Code and regulations, including written notice of customer winnings, and a statement 

that the Gaming Operator shall continue to obey all tribal and federal laws and shall hold the 

Commission and the Tribe harmless for failure to do so;
(10) The description of any location at which the gaming activity has been conducted 

and any new location that is expected to be established during the next license period;

(11) The number of full-time equivalent persons, on an annualized basis, employed by 

the operation during the past twelve (12) months, together with a projection of the number of 

full-time equivalent persons who are expected to be employed during the next license period;

(12) The total gross proceeds of the gaming operator attributable directly or indirectly 

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

(p) Procedure to Remedy Gaming License Violation. If the Commission finds that a tribally 

owned or operated gaming activity is being operated in violation of this Ordinance or otherwise 

presents a threat to the Tribe or to the public, the Commission shall immediately take all information to 

Tribal Council before taking necessary steps to bring such gaming activity into compliance. Compliance 

means issuing a warning citation, and, if not in compliance after warning issuing a citation, charging a 

fine, suspending the operator's license, revoking the operator's license and or reporting such violation to 

the NIGC. The Commission may take all necessary steps as authorized under this law to remedy an 

emergency violation. In a case of revocation of the operator's license, the Commission shall provide 

notice to the NIGC, subjecting the Tribe to potential closure action. Nothing contained in this Section or 

in this Ordinance shall be construed as affecting a waiver of sovereign immunity.

GMG.01.15 Employee Gaming Licenses 

(a) Scope of Employee Gaming License. Background and licensing procedures will be no less 

stringent than those required under current federal regulations. An employee gaming license shall be 

effective only for the person to whom it is issued and only with respect to the gaming facility specified in 

the application. Any such license may be transferred to a new gaming facility only upon prior approval 

of the Commission, upon written request of the licensee identifying the proposed new gaming facility, 

its location and the proposed gaming operator thereof.

(b) Current and Valid Employee Gaming License Required. Every primary gaming management 

official and every key employee of any Class II or Class III gaming activity subject to this Ordinance shall 

possess a current, valid employee gaming license issued by the Tribe. Eligibility for and obtaining a valid 

employee gaming license is a requirement of continued employment. The General Manager shall not 

employ persons who refuse to voluntarily cooperate with the licensing process. Any employee receiving 

an employee gaming license must carry that license upon his or her person during all working hours and 

must produce the license upon the request of any official with jurisdiction over the gaming activity.

(c) Application for Employee Gaming License.

(1) A person seeking an employee gaming license must be at least eighteen (18) years of 

age. All applicants shall submit an application to the Compliance Department on such form and 

in such manner as the Commission may require. These gaming applications shall provide the 
basis for background investigations performed by the Compliance Department and shall be kept 

confidential.

(2) Such application shall include, but is not limited to the following information:

(A) The applicant's full name, including all other names used (oral or written), 

current home and work addresses and telephone numbers, social security number 

(optional), place of birth, date of birth, citizenship and gender, all languages (spoken or 

written);

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

positions held, ownership interests in those businesses, business and residence 

addresses, and drivers' license numbers;

(C) The names and current addresses of at least three personal references, 

including one personal reference who was acquainted with the applicant during each 

period of residence listed in subsection (B);

(D) Current business and residence telephone numbers;

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

Tribes, including ownership interests in those businesses;

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

gaming industry generally, including ownership interests in those businesses;

(G) The name and address of any licensing or regulatory agency with which the 

person has filed an application for a license or permit relating to gaming, whether or not 

such license or permit was granted;

(H) For each gaming offense and for each felony for which there is an ongoing 

prosecution or a conviction, the name and address of the court involved, the charge, 

and the dates of the charge and of the disposition;

(I) For each misdemeanor conviction ever received or ongoing misdemeanor 

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

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

(J) For each criminal charge (excluding minor traffic charges) ever received, 

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

pursuant to subsections (h) and (i) of this section, the criminal charge, the name and the 

address of the court involved and the date and disposition;
(K) Any ordinance violation involving crimes against a person, theft, fraud or 

misrepresentation;

(L) The name and address of any licensing or regulatory agency with which the 

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

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

(M) A recent photograph;

(N) Any other information the Commission or its agents may deem necessary 

and relevant to the licensing process;

(O) Fingerprints consistent with procedures adopted by the Tribe and Section 

GMG.01.15(d)(1); and

(P) Written permission giving the Commission through the Compliance 

Department or other duly appointed agent(s) the right to investigate information 

including but not limited to the applicant's background, including his or her criminal 

record, civil and criminal judgments, educational record, employment record; military 

record and credit history.

(3) Each application shall be accompanied by a sworn statement that the applicant will 

abide by this Ordinance and all other applicable laws.

(4) Each application shall contain or be accompanied by a written statement that the 

applicant has read and understands the following Privacy Act Notice:

In compliance with the Privacy Act of 1974, the 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 granted a gaming license. The information will be used by the 

Tribal gaming regulatory authorities and by the National Indian Gaming 

Commission members and staff who have need for the information in the 

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

Federal, Tribal, State, local, or foreign 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 Indian Gaming Commission in 

connection with the issuance, denial, or revocation of a gaming license or 

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

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

being unable to license you for a primary gaming management official or key 

employee position. (Emphasis added.) The disclosure of an applicant's social security 

number (SSN) is voluntary. However, failure to supply a SSN may result in errors in 

processing the application.
(5) Each application for an employee gaming license shall, if required, be accompanied 

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

(6) Each application shall contain a False Statement notice as follows:

A false statement on any part of your license application may be grounds for 

denying a license or the suspension or revocation of a license. Also, you may be 

punished by a fine or imprisonment (U.S. Code, title 18, section 1001).

(7) If another tribe has previously employed the applicant, the Commission or its agent 

may request investigative information from the other tribe.

(8) The Commission, its employees and agents, and the Tribe, and its employees and 

agents, shall follow the confidentiality act. The identity of each person interviewed in the course 

of an investigation on an applicant for an employee gaming license will be kept confidential, as 

required by 25 CFR 556.4(c). The background investigation shall include interviews with a 

sufficient number of knowledgeable people, such as former employers and personal references, 

so as to insure a comprehensive description of the applicant's character. Compliance 

Department background investigation files shall be presented to the Commissioners on a need 

to know basis only.

(9) When a primary management official or key employee is employed by the Tribe, a 

complete application, with all of the information required under this Section GMG.01.15 (c), 

shall be maintained. 

(d) Review Procedure for Employee Gaming License Application. Before issuing employee 

gaming license, the Commission will follow the procedure set forth below:

(1) Perform or arrange to have performed the necessary background investigation for 

each primary gaming management official and key employee as required by this Ordinance.

(A) Such investigation shall include contacting each reference provided in the 

application and taking all appropriate steps to verify the accuracy of information 

contained in the application.

(B) Fingerprints shall be taken by the Compliance Department.

(C) Fingerprints will then be forwarded to either the State or to the NIGC for 

processing through the Federal Bureau of Investigation and the National Criminal 

Information Center to determine the applicant's criminal history, if any.

(D) The Commission may require asset and liability disclosure for key employees 

and primary gaming management officials to adequately protect the gaming enterprise 
and determine the suitability of a particular individual for licensing, license renewal or 

continued suitability for retaining a license.

(2) The Commission, or designated agent thereof, shall create and maintain an 

investigative report for each background investigation of a primary gaming management official 

or key employee. The report shall include all of the following information:

(A) Steps taken in conducting the investigation;

(B) Results obtained;

(C) Conclusions reached; and

(D) The basis for those conclusions.

(3) Make the required reportings, outlined in Section GMG.01.15(k) and (l), to the NIGC 

prior to issuing a determination on the findings.

(4) Review the person's prior activities, criminal record, if any, reputation, habits, and 

associations to make a finding concerning the suitability of an individual for licensing. Certain 

acts or other incidents may pose a bar to obtaining a gaming license as more fully described in 

Section GMG.01.15(e). Where the Commission determines that licensing of the person poses a 

threat to the public interests or to the effective regulation of gaming, or creates or enhances 

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

gaming, a tribal gaming operation shall not employ that person in a key employee or primary 

gaming management official position.

(5) Provide an opportunity for a hearing on the denial of a license, or for such other 

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

although the applicant may petition the Commission for re-hearing in cases where they have 

new evidence to submit, or where they can demonstrate that the Commission made an error in 

their decision.

(e) Standards of Suitability. The Gaming Facility shall not employ an individual if there is 

evidence and documented history of unsuitability or if they pose a threat to the integrity and/or safety 

of the gaming operation or its employees. The Commission shall create policy regarding additional 

standards of suitability and the application of those standards. The following minimum standards and 

criteria shall be applied when determining an individual's suitability to obtain or retain a gaming license 

from the Commission. These standards may be applied in any case where there is cause to question an 

individual's suitability, whether the cause arises from an individual's criminal history or from his/her 

reputation, habits and associations identified during the background investigation process.

(1) Criminal Offenses: The Commission will view suitability for a license as diminishing 

in direct correlation to the increased severity of the offense or offenses that appear in one's 
record. The Commission will take into account the severity of the crime and the number of 

crimes and other offenses that a person's background investigation reveals. Some offenses are 

identified in the Gaming Ordinance as being an automatic bar to a gaming license. In the event 

an individual's background investigation reveals a barring offense, they will be denied a gaming 

license. They may be eligible to apply for, and obtain, a Tribal Gaming Waiver.

(2) Non-Criminal Offenses: In considering suitability where the background contains 

unconscionable acts, offenses and incidents other than those listed as a bar in the Gaming 

Ordinance, the Commission will consider any offense, situation or incident that could present a 

threat to the integrity of the gaming operation or present some threat of harm to the 

employees or patrons of the gaming establishment. These include but are not limited to violent 

acts against persons; verified reports or documented evidence of violence against persons 

without a criminal conviction; dishonest acts against an employee, person or institution with or 

without a criminal or ordinance violation; any type of verifiable wrong-doing that may present a 

threat or harm to the gaming establishment, its patrons or employees.

(3) Length of Time Since the Occurrence in Question: The length of time since the date 

of conviction(s), charge(s), release from incarceration or dismissal from employment for 

dishonest acts shall be taken into consideration when determining suitability for licensing. 

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

(f) Issuance of Provisional Gaming License. A Provisional Gaming License is issued by the 

Commission to an individual when the following requirements are met:

(1) The Compliance Department has completed a preliminary State criminal background 

check and informs appropriate human resource department that the individual is eligible for a 

Provisional License.

(2) The Commission has reviewed the individual's preliminary background check.

(3) The Commission has no notice of suitability concerns at this stage.

(4) The individual is offered employment by the Human Resource Department at the 

Tribe's gaming facility.

(5) The individual has passed his/her drug test.

(6) The appropriate licensing fees have been paid to the Compliance Department.

(7) The individual has provided fingerprints for his/her file.

(8) The individual has returned a gaming license application to the Compliance 

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

issuance.

(h) The Provisional Gaming License becomes void upon the receipt of a Primary Gaming License. 

If after the Compliance Department has completed a full investigation and the Commission finds the 

individual not suitable for a Primary Gaming License, the Provisional Gaming License shall be revoked 

and the licensing process shall cease.

(i) The Commission shall not license individuals under the age of eighteen (18), except that, the 

Tribe may approve summer youth positions provided that those positions do not involve any duties 

performed within the actual gaming facility. These positions would not be considered "key employee" 

positions and would be excluded from the licensing process.

(j) Standards for Denial of a Primary Gaming License. The Commission shall not license as a key

employee or primary gaming management official in connection with Class II or Class III gaming, any 

person who:

(1) Is under the age of eighteen (18);

(2) Is currently cited or charged with or has been convicted of or entered a plea of guilty 

or no contest to: a gambling-related offense, theft, fraud or misrepresentation in any 

connection, the manufacturing and/or selling of illegal drugs or a violation of any provision of 

chapters 562 or 565, Wis. Statutes, a rule promulgated by the Lottery Board or Wisconsin Racing 

Board, or Section GMG.01.21(b). This provision shall not apply if that person has been pardoned 

by the Governor of the State where the conviction occurred or has been granted a waiver by the 

Tribal Council pursuant to the Tribal Gaming Waiver policy;

(3) Is currently charged with or has been convicted of or entered a plea of guilty or no 

contest to any felony, other than those mentioned in Section GMG.01.15(j)(2), within the 

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

to the Tribal Gaming Waiver policy.

(4) If person has participated in organized crime or unlawful gambling or is a person 

whose prior activities, criminal record, reputation, habits and/or associations pose a threat to 

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

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

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

conduct of gaming.

(5) Is found to have intentionally supplied false or misleading material information or 

has intentionally omitted material information on his/her license application or application for 

employment.
(6) Provided further that the Commission may, by regulations, add additional limitations 

and conditions for denial of said license, subject to the approval of the Tribal Council.

(7) Applicant or employee with a Deferred Judgment for a barring offense is ineligible 

for an Employee Gaming License until such Deferred Judgment is dismissed or applicant or 

employee is granted a Tribal Gaming Waiver pursuant to the Tribal Gaming Waiver Policy.

(8) Is found to have been convicted of possession and/or use of illegal drugs, unless the 

Commission deems that the individual does not present a threat to the public interest or 

threaten the effective regulation and control of gaming during a show-cause hearing.

(9) The applicant or employee violates any part of Section GMG.01.21(b).

(10) The applicant currently holds a valid gaming license from another gaming facility, or 

has a financial interest in or management responsibility for a gaming related contractor.

(k) Notice of Results of Background Investigations. 

(1) Before issuing a Primary Gaming License to a key employee or primary gaming 

management official, the Commission shall prepare a notice of results of the applicant's 

background investigation to submit to the NIGC.

(2) The notice of results must be submitted to the NIGC within sixty (60) days after the 

applicant begins working for the Tribe.

(3) The notice of results shall include the following information:

(A) The applicant's name, date of birth, and social security number;

(B) The date on which the applicant began, or will begin, working as a primary 

gaming management official or key employee;

(C) A summary of the information presented in the investigative report, 

including:

(i) Licenses that have previously been denied;

(ii) Gaming licenses that have been revoked, even if subsequently 

reinstated;

(iii) Every known criminal charge brought against the applicant within 

the last 10 years of the date of the application; and

(iv) Every felony offense of which the applicant has been convicted or 

any ongoing prosecution; and
(D) A copy of the suitability determination made by the Commission.

(l) Report to the NIGC.

(1) The Commission may license a primary gaming management official or key employee 

after submitting a notice of results of the applicant's background investigation to the NIGC as 

required by Section GMG.01.15(k).

(2) The Commission shall notify NIGC of the issuance of a license to a primary gaming 

management official or key employee within 30 days of issuance.

(3) Tribe shall not employ an individual in a primary gaming management official or key 

employee position who does not have a license after 90 days of beginning work at the gaming 

operation.

(4) If, within thirty (30) days of the submittal of the notice of results of the applicant's 

background investigation, the NIGC provides the Tribe with a statement of itemized objections 

to the issuance of a license to a key employee or to a primary gaming management official, the 

Commission shall reconsider the application, taking into account the objections itemized by the 

NIGC.

(5) The Commission shall make the final decision whether to issue a license to an 

applicant for a primary gaming management official or key employee position.

(6) If the Commission has issued a license to a primary gaming management official or 

key employee before receiving the NIGC's statement of objections, notice and a hearing shall be 

provided to the licensee per Section GMG.01.15(d)(5).

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

(A) Notify the NIGC; and

(B) Forward copies of its suitability determination and investigative report (if 

any) to the NIGC for inclusion in the Indian Gaming Individuals Records System.

(8) With respect to key employees and primary gaming management officials, the 

Commission or their designee shall retain applications for employment, license applications,

reports and suitability determinations for seven (7) years from the date of termination of 

employment. These records will be made available to NIGC consistent with federal regulations 

and the State Gaming Commission consistent with the Tribal State Gaming Compact.

(m) Employee Gaming License Badge. 
(1) Primary Gaming License. A gaming license badge will be issued to an employee who 

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

following information:

(A) Photo of the employee;

(B) Identification number assigned by the Compliance Department;

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

(D) Employee's position title;

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

(F) Seal of the Commission;

(G) Signature of a Commission representative;

(H) Color coordination between departments;

(I) Identification of license status as "primary" or "provisional"; and

(J) Return address of the Commission.

(n) Licensing Period. A Primary Gaming License issued pursuant to this Ordinance shall be 

effective for a period of two years from the date of issuance and shall state on its face the date when 

the license became effective and the date that it expires. This license shall be subject to periodic as well 

as annual reviews. A Primary Gaming License shall automatically expire on the date the holder of said 

license is no longer employed by the Gaming Facility.

(o) Renewals. A holder of a Primary Gaming License shall apply to the Commission for a renewal 

before his/her Primary Gaming License has expired, updating all information contained in the Renewal 

Gaming License Application.

(p) Standards for Suspension of Provisional or Primary Gaming License. The Commission may 

suspend an Employee Gaming License for reasons including but not limited to the following:

(1) The employee has been charged with, convicted of, or entered a plea of guilty or no 

contest to any offense that may result in a bar to obtaining or retaining a gaming license or any 

other activity that would injure or pose a threat to the integrity of gaming, or the effective 

regulation thereof, or enhance the dangers of unfair, unsuitable or illegal gaming practices.

(2) The employee is currently cited or charged with or has been convicted of or entered 

a plea of guilty or no contest to any misdemeanor involving theft or fraud.
(3) The employee is currently cited or charged with or has been convicted of or entered 

a plea of guilty or no contest to any felony.

(4) The employee has supplied false or misleading material information or has omitted 

material information on his/her gaming license application or application for employment

(5) The employee has participated in gaming activity unauthorized by his or her 

employee gaming license;

(6) The employee's continued employment as a primary gaming management official or 

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

(7) The employee refuses to comply with any lawful order or directive from the 

Commission;

(8) The employee has failed to provide the Commission with changes in status of the 

material originally submitted in their gaming application.

(9) The employee violates any part of Section GMG.01.21(b) "Prohibited Acts" of this 

Ordinance.

(q) Immediate Suspension. The Commission shall immediately suspend an employee gaming 

license when they have reason to believe the employee presents a threat to the gaming facility, gaming 

patrons or to employees of the gaming facility, or when such person threatens the effective regulation, 

integrity and or assets of the Tribe.

(r) Standards for Revocation of Provisional or Primary Gaming License. The Commission may 

permanently revoke an employee gaming license, after notice and an opportunity for a hearing, for any 

of the following reasons:

(1) The employee violates any part of Section GMG.01.21(b) "Prohibited Acts" of this 

Ordinance.

(2) The employee is currently charged with or has been convicted of or entered a plea of 

guilty or no contest to a gambling-related offense, theft, fraud or misrepresentation in any 

connection, or a violation of any provision of chapters 562 or 565, Wis. Statutes, or a rule 

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

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

"Crimes Against Persons". This provision shall not apply if that person has been pardoned by the 

Governor of the State where the conviction occurred or has been granted a gaming waiver by 

the Tribal Council pursuant to the Tribal Gaming Waiver Policy.

(3) The employee is currently charged with or has been convicted of or entered a plea of 

guilty or no contest to any felony, other than those mentioned in Section GMG.01.15(r)(2), 
within the immediately preceding ten (10) years, unless the Tribal Council waives restriction 

pursuant to the Tribal Gaming Waiver policy.

(4) The employee has been convicted of, or has entered a plea of guilty or no contest to 

any offense that is a bar to obtaining or retaining a gaming license or any other activity that 

would injure or pose a threat to the integrity of the Tribe or its gaming operations, or the 

effective regulation thereof, or enhance the dangers of unfair, unsuitable, or illegal gaming 

practices;

(5) The employee has participated in organized crime or unlawful gambling or is a 

person whose prior activities, criminal record, reputation, habits and/or associations pose a 

threat to the public interest or to the effective regulation and control of gaming, or create or 

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

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

the conduct of gaming.

(6) The employee refuses to comply with any lawful request, investigation, order or 

enforcement action of the Commission regarding his or her gaming license and/or the licensing 

process.

(7) Provided further that the Commission may, by regulations, add additional limitations 

and conditions for revocation of said license with Tribal Council approval.

(s) Appeal Rights. The Licensee has the right to appeal any decision of the Commission by filing 

a Notice of Appeal to the Commission within five (5) working days of the Commission action. Upon 

receipt of the Notice of Appeal, the Commission shall hold a hearing within fourteen (14) days from the 

date of the Notice, unless the parties mutually agree upon another date. The hearing shall be governed 

in all respects in accordance with the tribal law and Commission regulations. The applicant or licensee 

may petition the Commission for rehearing of a negative hearing result in the event that the applicant or 

licensee has new information to present to the Commission, or if the applicant or licensee can 

demonstrate that the Commission made an error in their decision.

(t) NIGC Notice of Gaming License Suspensions and Revocations. 

(1) If, after a license is issued to a primary gaming management official or a key 

employee, the Tribe receives notice from the NIGC that the licensee is not eligible for 

employment, the Commission shall do the following: 

(A) Immediately suspend the license; 

(B) Provide the licensee with written notice of the suspension and proposed 

revocation; and 
(C) Provide the licensee with notice of a time and place for a hearing on the 

proposed revocation of the license. 

(2) The right of a revocation hearing vests only when a license is granted under an 

ordinance approved by the NIGC chair. 

(3) Following a revocation hearing, the Tribe shall decide whether to revoke or reinstate 

the license at issue. 

(4) The Tribe shall notify NIGC of its decision to revoke or reinstate a license within 45-

days of receiving notification of NIGC that a primary gaming management official or key 

employee is not eligible for employment.

GMG.01.16 Tribal Gaming Services Vendor License 

(a) Requirement for Gaming Services Vendor License. No person or entity may provide gaming 

services, gaming apparatus or gaming equipment to any gaming facility or gaming operator unless such 

person or entity is the holder of a valid and current gaming services vendor license issued by the 

Commission; provided, however, that such vendor may automatically be granted said license if:

(1) The person or entity has a current, valid license or certificate or pending application 

to provide the same type of gaming services, apparatus or equipment to tribes from the State of 

Wisconsin; provided that consent is given to the Commission or its agent(s) to review all 

evidence supporting the issuance of such license or certificate, and provided further that 

consent is given to pursue a separate investigation should the Commission find cause.

(A) A gaming services vendor may be eligible for a provisional gaming services 

vendor license upon presentation of proof of a complete gaming certificate application 

having been filed with the State.

(2) Any license granted under Section GMG.01.16 may be revoked or suspended by the 

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

Section.

(b) Application for Gaming Services Vendor License. The application for this license shall contain 

such information, documentation and assurances as may be required by the Commission.

(c) Fee for License. Any person or entity filing an application for a gaming services vendor 

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

Council approval.

(d) Background Investigation of Applicants. Upon receipt of an application for a gaming services 

vendor license, the Commission or designated Commission agent shall conduct an investigation of the 
applicant and each of its principals and shall include a criminal records check on the applicant and on 

each of the applicant's principals.

(e) Action by Commission. Except as provided in Section GMG.01.16(a)(1), the Commission 

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

GMG.01.16(d), either grant or deny the license. The Commission may deny license to any applicant 

upon a determination that the applicant, or any principal identified with such applicant:

(1) Is a person or entity whose prior activities, criminal record, if any, or reputation, 

habits and associations pose a threat to the effective regulation of gaming or create or enhance 

the chances of unfair or illegal practices, methods and activities in the conduct of the gaming 

activities permitted hereunder; or

(2) Has failed to provide information required to investigate the applicant's suitability 

for a license or has failed to reveal any fact material to such application or has furnished any 

information that is untrue or misleading in connection with such application.

(f) Duration of License and Renewal. Any gaming services vendor license issued by the 

Commission shall be effective for not more than two years and shall expire on the date two years from 

the date of issuance, provided, that a licensee that has applied for renewal prior to expiration may 

continue to provide services under the expired license until the Commission takes final action on the 

renewal application.

(g) Revocation or Suspension of License. The Commission may investigate any licensed person 

or entity or any principal of any entity at any time and the Commission may suspend, modify or revoke 

any license issued under this Section if new information concerning any facts not available to the 

Commission at the time a license was issued or any renewal thereof, is presented to the Commission, 

and if such new information would justify revocation of an original license or any renewal thereof 

pursuant to this Section. No license shall be revoked except after notice and an opportunity for a 

hearing. A licensed person or entity shall be entitled to any payment due for services provided or for 

goods delivered prior to the effective date of suspension or revocation of its license.

(1) When the Commission believes that a person or entity holding a valid gaming 

services vendor license did not qualify for said license or that the person or entity or any 

principal of the entity has engaged in activities that would justify denial of the renewal of said 

license, the Commission or its designee shall issue a notice of suspension of such person or 

entity's license, which shall be served upon the licensee by personally serving or by certified 

mail, at its principal place of business. This notice shall state the grounds upon which such 

temporary suspension is ordered and provide that the person or entity shall have an 

opportunity to present relevant evidence and to cross-examine opposing witnesses, and to 

present any other evidence as to why a suspension should not be issued. Such hearing shall be 

governed in all respects by this Ordinance and Commission regulations.
(2) When the Commission suspends a license under this subsection, the licensee shall 

immediately cease and desist from all gaming services to tribally licensed gaming operators and 

facilities. Decisions of the Commission pursuant to this Section, following any administrative 

review or appeal allowed under this Ordinance or otherwise permitted by the Commission, 

constitute final Commission action.

(h) Regulation of Non-Gaming Persons and Entities. Any person or entity that provides goods or 

services to a tribally licensed gaming operation or facility, other than gaming services or gaming 

equipment shall cooperate with the Commission and the Tribal and federal law enforcement in any 

investigation by either the Commission or the federal government relative to the fitness of such 

enterprise or organization to engage in business with a gaming operation or facility. The Commission 

may bar such person or entity from providing goods or services to a tribally licensed gaming operation 

or facility upon a determination that such person or entity, or principal thereof is a person or entity 

whose prior activities, criminal record if any, or reputation, habits and associations pose a threat to the 

effective regulation of gaming or create or enhance the dangers of unfair or illegal practices, methods 

and activities in the conduct of gaming. The Commission may bar anyone who may cause any licensed 

employee to violate any provisions of this Ordinance or any applicable tribal, federal or state law. Any 

person or entity affected by a bar under this subsection shall have a right to notice and hearing as 

provided in Section GMG.01.16(g).

GMG.01.17 General Provisions Governing Operation Of Tribally Owned Or Tribally Operated Gaming 

Facility 

(a) Maintenance of Records. The Commission shall insure that all accounting records of each 

tribally licensed Gaming Facility are kept on a double entry system of accounting, maintaining detailed, 

supporting, subsidiary records. The Commission shall also insure that the following records are 

maintained for not less than seven (7) years:

(1) Revenues, expenses, assets, liabilities and equity by game at each location where 

any component of Class II & III gaming, including ticket sales, is conducted.

(2) Daily cash transactions for each game at each location at which any component of 

Class II & III gaming is conducted, including but not limited to transactions relating to each 

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

(3) For electronic games of chance, analytic reports that, by each machine, compare 

actual hold percentages to theoretical hold percentages.

(4) Contracts, correspondence and other transaction documents relating to all gaming 

vendors and gaming contractors.

(5) Records of all tribal enforcement activities relating to gaming operated under the 

Tribal/State Compact and other tribal laws.
(6) All audits prepared by or on behalf of the Tribe.

(7) Personnel information on all Class III and Class II key employees or gaming agents, 

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

profiles and background investigations after the completion of employment, except that 

employee work schedules shall be maintained for a period of at least two (2) years from the 

date of the schedule.

(8) Applications for employment, records of background investigations and suitability 

determinations for licensing shall also be maintained consistent with the requirements under 

Section GMG.01.15(l)(8). 

(9) The Commission shall also be responsible for all the above information pertaining to 

Class II Gaming owned or operated by the Tribe.

(b) Management Contracts. Each gaming management contract shall fully comply with 

applicable federal regulations and is subject to the prior approval of the NIGC. Before submission to the 

NIGC, each gaming management contract shall be approved by the Tribal Council with the advice and 

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

contract, the Tribal Council shall direct the Commission to conduct a complete background investigation 

of persons and entities with a financial interest in, or having gaming management responsibility for, the 

gaming management contract, including requiring the submission of all information required under 25 

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

(1) Background information on the proposed gaming management contractor including: 

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

interest or management responsibility for the proposed management contractor; and in case of 

a corporation, the names and addresses of each member of its board of directors and all 

stockholders who hold directly or indirectly ten (10%) percent or more of its issued or 

outstanding stock.

(2) A description of any previous experience that each person listed in Section 

GMG.01.17(b)(1) above has had with other gaming contracts with Indian tribes or with any 

gaming activity or operation wherever located, including the name and address of any tribal 

government or licensing agency with which such person has applied, or held a contract, license, 

or other agreement or permit relating to gaming, whether granted or not.

(3) A complete financial statement of each person listed in Section GMG.01.17(b)(1) for 

the past three (3) years.

(4) The Commission shall contact each of the tribal governments and licensing agencies 

in Section GMG.01.17(b)(2) to determine the performance history of the proposed gaming 

management contractor.
(5) The Commission shall arrange to have each proposed gaming management 

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

or she has a prior criminal record or any pending criminal charges.

(6) The Commission shall obtain an independent verification of the completed financial 

statements of the proposed gaming management contractor.

(7) The Commission shall undertake any additional steps it can to determine the 

character and reputation of the proposed gaming management contractor and each person 

listed in Section GMG.01.17(b)(1).

(8) If the Tribal Council, after reviewing the information described above, still desires to 

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

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

for review.

(9) Any gaming management contract approved by the Tribal Council must include at a 

minimum, with respect to the gaming activity to which the contract is applicable, all of the 

required provisions contained in 25 CFR Section 531.1, as amended, incorporated herein by this 

reference.

(10) All persons who possess an ownership or management position in the proposed 

gaming management contract shall apply for an employee gaming license under this Ordinance. 

No gaming management contract shall be approved by the Tribal Council until all employee 

gaming license applications have been reviewed and the Commission has submitted written 

findings on such application(s) to the Tribal Council.

(11) If the Council is satisfied with the information it receives, it shall submit the 

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

NIGC for approval.

(c) Each tribally owned or tribally operated gaming facility shall carry sufficient liability insurance 

to protect the public in the event of an accident, and in any event, such coverage must meet the level 

required by the Tribal/State Compact.

GMG.01.18 Conflict Of Interest 

(a) No person employed by the gaming enterprise may have a direct or indirect interest in any 

gaming-related contract with the Tribe, nor may they be employed by any person who has a GamingRelated Contract with the Tribe, as defined under Section GMG.01.04. A direct or indirect interest is one 

in which the employee has an economic interest or receives personal gain from the transaction in 

question.
(b) An employee of the Gaming Enterprise may have an interest in a non-gaming related 

contract with the Tribe or with the Gaming Enterprise if such employee makes a full disclosure to the 

Commission prior to such contract and the Commission finds that the contract is not unfair to the 

Gaming Enterprise and is satisfied that the contract is non-Gaming Related. This clause seeks to avoid 

the appearance of a conflict of interest while not altering the original conflict of interest prohibition 

contained in the Tribal/State Compact.

GMG.01.19 Conduct Of Games 

(a) The conduct of Class III games shall be as provided for in the Tribal/State Compact.

(b) Electronic Games of Chance shall be governed by Section XV of the Tribal/State Compact and 

Blackjack shall be governed by Section XVI of the Tribal/State Compact or in a manner determined by 

both the Tribe and the State, consistent with any amendment to the Compact that may occur over time.

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

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

by federal regulations or the Tribal/State Compact.

(d) Gaming may be conducted each and every day of the week at any hour of the day or night, 

at the discretion of the Commission and the Casino General Manager and consistent with any applicable 

provisions of the Tribal/State Compact.

GMG.01.20 Sale Of Alcohol 

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

and Section V.F. of the Tribal/State Compact.

GMG.01.21 Jurisdiction And Enforcement 

(a) Jurisdiction. Except as provided in this Ordinance or in any Tribal/State Compact under the 

IGRA, the Commission shall have jurisdiction over all violations of this Ordinance with the right for 

appeal.

(b) Prohibited Acts. In addition to other civil and criminal offenses provided for in this 

Ordinance or under other applicable law, the following acts are prohibited and may subject any violator 

to the civil, administrative or criminal penalties and/or revocation of Employee Gaming License specified 

herein, and may require a Tribal Gaming Waiver if convicted or entered a plea of guilty or no contest to 

these acts pursuant to the Tribal Gaming Waiver Policy.

(1) Is found to have intentionally supplied false and/or misleading material information 

or has omitted material information on his/her license application or application for 

employment with any gaming operator or with the Commission.

(2) Knowingly making a false statement in connection with any contract with the 

Gaming Facility or Ancillary Facilities.
(3) Bribing or attempting to bribe a Tribal Council member, Commissioner, Compliance 

Officer or other person in an attempt to avoid or circumvent this Ordinance or any other 

applicable law;

(4) Offering or accepting a loan, financing or other thing of value between a Commission 

member, Compliance Officer, key employee or tribal government official and any person 

participating in any gaming activity, excluding tribal programs like the loan program.

(5) Falsifying, altering or failing to keep sufficient books and records to substantiate 

receipts, disbursements and expenses incurred or paid from, but not limited to, any gaming 

activity authorized pursuant to this Ordinance.

(6) Falsifying any books or records that relate to any transaction connected with any 

gaming activity pursuant to this Ordinance.

(7) Conducting or participating in any gaming activity that in any manner results in 

cheating or misrepresentation or that allows any other disreputable tactics that detract from 

the fair nature and equal chance of participation between gaming players, or that otherwise 

creates an advantage over and above the chance of such gaming activity and that affects its 

outcome. The employee has knowingly promoted, played or participated in any gaming activity 

operated in violation of this Ordinance or any other applicable law.

(8) To conduct a gaming activity with or to allow participation in a gaming activity by an 

intoxicated or disorderly player.

(9) To allow or participate in the sale of liquor at gaming sites if such sale is prohibited 

by tribal law; to allow the sale of alcohol to anyone below the age of twenty-one (21), or below 

the age permitted under Wisconsin State law.

(10) To accept consideration other than money, personal checks or other approved 

consideration for the chance to play, to provide services or participate in any gaming activity.

(11) To solicit, directly or indirectly, or to use inside information on the nature or status 

of any gaming activity for the benefit of any person.

(12) To tamper with a gaming device or conspire to tamper or manipulate the outcome 

or the payoff of a gaming device, or otherwise interfere with the proper functioning of the 

machine.

(13) To alter or counterfeit a gaming license.

(14) To aid, abet or conspire with another person knowingly, or knowingly to cause any 

person to violate any provision of this Ordinance or any rules and regulations adopted 

hereunder.
(15) To operate, use or make available to the public any illegal gaming device, 

apparatus, material or equipment.

(16) To sell or hold out for sale or transport into or out of the jurisdiction of the Tribe 

any illegal gaming device, apparatus, material or equipment.

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

(18) To possess any illegal narcotics or illegal controlled substances on any licensed 

gaming site.

(19) To steal or attempt to steal funds or other items of value from the Tribe or any 

gaming facility or ancillary facility.

(20) To conspire with or induce any person to violate any of the provisions of this 

Ordinance or any tribal, federal or applicable state law.

(21) No Gaming Operator or any of his or her employees, agents or vendors shall engage 

in any act, practice, or course of operation that could result in a fraud or deceit upon any 

person.

(22) To use bogus or counterfeit chips, or to substitute or use any game, cards, or 

gaming equipment that have been marked or otherwise altered.

(23) To bring onto tribal lands, to employ or have on tribal property any device to 

facilitate cheating in any game of chance.

(24) To knowingly use any fraudulent scheme or technique, or to solicit, provide or 

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

(25) To take, solicit or encourage any action that undermines the integrity of any game 

of chance.

(26) To participate in any gaming activity that was not authorized by this Ordinance.

(c) Civil Violations. Any person or entity who violates any provision of the Ordinance, 

Tribal/State Compact, adopted Minimum Internal Control Standards or any rule or regulation authorized 

hereunder, or fails or neglects to comply with any order of the Commission, may be liable for civil or 

administrative fine not to exceed five thousand dollars ($5,000). Each day during which such violation or 

failure to comply continues shall constitute a separate violation of this Ordinance. Fines issued by the 

Commission are governed by the Commission's "Regulations on Fines and Enforcement Policy for Tribal 

Gaming Entities and their Employees."
(1) Any person who violates any provision of this Ordinance or any rule or regulation 

authorized hereunder shall be subject to the IGRA, 27 U.S.C. 2713, which states that civil 

penalties for such violations of tribal law or the federal act may result in fines not to exceed 

twenty-five thousand ($25,000) against a tribal operator or management contractor.

(d) Purpose of Civil and Administrative Penalties. The civil and administrative fines imposed 

under this Ordinance are intended to be remedial and not punitive and are designed to compensate the 

Tribe for the damage done to the peace, security, economy and general welfare of the Tribe and the 

tribal community and to compensate the Tribe for costs incurred by the Tribe in enforcing this 

Ordinance. The civil and administrative fines under this Ordinance are also intended to coerce persons 

into complying with this Ordinance and the Commission regulations and not to punish such persons for 

violation of such laws and regulations.

(e) Seizure and Forfeiture of Property. All property utilized in violation of this Ordinance shall 

be subject to seizure and forfeiture by order of the Commission, pursuant to tribal law, or by the State if 

prosecution proceeds under State criminal law.

(f) Criminal Violations. State criminal law shall apply as mandated under P.L. 280 and as 

specifically addressed in the Tribal/State Compact. In those areas where the state has no criminal 

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

incident, the Tribe and the state shall work together to devise a means of enforcement against the 

specific violation. Where cooperation is not forthcoming from the state, the Commission shall seek 

assistance from Federal agents for enforcing tribal gaming laws and any applicable federal laws.

GMG.01.22 Notice For Service 

Any legal notice required to be served on the Stockbridge-Munsee Community shall 

be served on the Tribal President at N8476 Moh He Con Nuck Road, Bowler, Wisconsin 

54416.

GMG.01.23 Severability 

In the event that any section or provision of this Ordinance is held invalid, it is the 

intent of the Tribal Council that the remaining sections or provisions of this Ordinance 

shall continue in full force and effect.