Stocitrilge-Munsee Community BAND OF MOHICAN INDIANS

TRIBAL COUNCIL OFFICES

No. 1498-95

May 24, 1995 RESOLUTION

WHEREAS, the Stockbridge-Munsee Community is a

sovereign nation of the StockbridgeMunsee Band of Mohican

Indians, governed by a Constitution that authorizes the Tribal

Council to enact legislation on behalf of the Community; and

WHEREAS, the Stockbridge-Munsee Community retains the

inherent authority to enact and implement Ordinances and

Regulations concerning gaming on the Stockbridge-Munsee

Reservation; and ,

~..),

WHEREAS,the Stockbridge-Munsóe Tribal Council, having

previously adopted a taming Ordinance to regulate gaming on

tribal lands, that was submitted to and approved by the National

Indian Gaming Commission; and

WHEREAS, said Ordinance requires revisions in order to

accommodate the growing needs of the tribal gaming enterprise and

to enhance the regulatory integrity Of the tribal gaming; now

THEREFORE BE IT RESOLVED, that the Stockbridge-Munsee

Tribal Council hereby adopts the attached Revised Gaming

Ordinance and approves its submission to the National Indian

Gaming Commission. .

.Y .

CERTIFICATION

I

I, the undersigned, as Secret of the Stockbridge-Munsee

Tribal Council, hereby certify that tjie Tribal Council is

composed of 17 members, of whom ~ constituting a quorum,

were present at a meeting duly called, noticed and convened on

the ~1/~ day of ~N ( ;~ 1995, that the for~going resolution

was duly adopted at s~ch meeting by a vote of I~~1 members for,

IL. members against, () members abstained, and that said

resolution was not rescinded or ainen~ed in an way.

Virgil Murphy, ~Pr~sident

.

~

Carol Goss, Secretary

S-M Tribal Council S-M Tribal Council

N8476 MOH HE CON NUCK ROAD BOWLER, WI 54416 (715) 793-4111 FAX: (715) 793-1307
INDEX

SECTION PAGE

SECTION 1- FiNDINGS, PURPOSES AND POLICY 1

1.1-FINDINGS 1

1.2-PURPOSES 1

1.3 - TRIBAL POLICY OF SELF-GOVERNMENT 2

1.4 - TRIBAL GAMING POLICY 2

SECTION 2- INTERPRETATION 2

SECTION 3- OWNERSHIP OF GAMING 3

SECTION 4- DEFINITIONS 3

SECTION 5- USE OF GAMING REVENUE 6

SECTION 6- HANDLING OF GAMING RECEIPTS 7

SECTION 7- GENERAL PROVISIONS 7

7.1- AUTHORiTY AND SOVEREIGN POWERS AND

RESPONSIBiLITIES 7

7.2 - APPLICATION OF FEDERAL POLICY 7

7.3 - STOCKBRIDGE-MUNSEE POLICY OF SELF-GOVERNMENT.... 7

7.4 -

TITLE, REPEAL OF PRIOR LAWS, AND EFFECT OF REPEAL.... 8

7.5 - CONSTRUCTION 8

7.6 - SEVERABILITY 8

SECTION 8- TRIBAL COUNCIL, POWERS AND DUTIES 8

SECTION 9- TRIBAL GAMING COMMISSION 10

9.1- ESTABLISHMENT 10

9.2 - LOCATION AND PLACE OF BUSINESS 10

9.3-DURATION 10

9.4 - ATTRIBUTES 10

9.5 - SOVEREIGN IMMUNITY OF THE TRIBAL GAMING

COMMISSION 10

9.6 - SOVEREIGN IMMUNITY OF THE TRIBE 11

9.7 - ASSETS OF THE TRIBAL GAMING COMMISSION 11

9.8 - MEMBERSHIP 11

9.8.1 - NUMBER AND TERMS OF COMMISSIONERS 11

9.8. l.a - PAID POSITIONS 11

9.8.2 -

QUALIFICATION OF COMMISSIONERS 12

9.8.3 - BACKGROUND CHECK. 12

9.9 - MEETINGS 13

9.9.1- REGULAR MEETINGS 13

9.9.2 - SPECIAL MEETINGS 13

9.9.3 - COMPENSATION OF COMMISSIONERS 13

9.9.4-QUORUM 13

9.9.5-VOTING 13
SECTION PAGE

SECTION 9- CONTINUED

9.9.6 - EXECUTiVE SESSION 13

9.10- ORGAMIZATION 13

9.11- REMOVAL OF MEMBERS AND FILLING VACANCIES 14

9.11.1- REMOVAL 14

9.12- POWERS AND DUTIES OF THE TRIBAL GAMING

COMMISSION 14

9. 12.32- REPORTING 18

9.12.41 - ANNUAL BUDGET 19

9.12.42 - CONFIDENTIALiTY 19

9.12.43 - WAIVER HEARINGS 19

9.13- TRIBAL COMMISSION REGULATIONS 19

9.14- RIGHT OF ENTRANCE; MONTHLY INSPECTION OF

TRIBAL BOOKS AND RECORDS 20

9.15 - RIGHT OF ENTRANCE; TWO-WEEK INSPECTIONS OF

GAMiNG OPERATIONS 20

9.16- INVESTIGATIONS 20

9.17 -

HEARINGS; EXAMINER 20

9.18 - APPOINTMENT OF EXAMINER; POWER OF EXAMINER 21

9.19- BANK ACCOUNT FOR TRIBALLY OWNED OR TRIBALLY

MANAGED GAMING FACILITY 21

9.20 -

QUARTERLY REPORT OF GAMING GENERAL MANGER

REPORTS 21

9.21 - ANNUAL PLAN OF OPERATION 21

9.22 - TRAVEL 21

SECTION 10- GAMING MANAGEMENT; POWERS, DUTIES AND

LiMITATIONS 21

10.2-PURPOSE 22

10.3 -

QUALIFICATIONS 22

10.4 - RESPONSIBILITIES 22

10.4.3 - OPERATING POLICIES AND PROCEDURES 22

10.4.4 - ANNUAL PLAN OF OPERATION 22

10.4.5 - BUDGET REVISIONS 22

10.4.6 - ACCOUNTING FOR GAMING FUNDS 23

10.5 - REPORTING 23

10.6-TRAVEL 23

10.8 - CONFIDENTIALITY 23

SECTION 11- AUDIT 24

SECTION 12- PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH

AND SAFETY 24

SECTION 13- GAMING LICENSES 24

13.2 - LICENSE REQUIRED 24

13.3 - TYPES OF LICENSES 24
SECTION PAGE

SECTION 13- CONTINUED

13.3.1- TRIBALLY OWNED OR TRIBALLY OPERATED

CLASS H 24

13.3.2 - TRIBALLY OWNED OR TRIBALLY OPERATED

CLASS Ill 25

13.4 - NO LICENSE REQUIREMENT FOR CLASS I GAMING 25

13.5 - APPLICATIONS PROCEDURES 25

13.5.1- APPLICATION FOR GAMING LICENSE 25

13.5.2 - TRIBALLY OWNED OR TRIBALLY OPERATED

CLASS H 25

13.5.3 - TRIBALLY OWNED OR TRIBALLY OPERATED

CLASS ifi 25

13.6 - CRITERIA THAT A POTENTIAL GAMING OPERATOR

MUST MEET 26

13.7 - LICENSE APPLICATION FEES 27

13.8 - LICENSE TAX 27

13.9 - FORM OF GAMING LICENSE 27

13.10- SCOPE OF GAMING LICENSE 27

13.11- TERM OF LICENSE 28

13.12- POSTING OF LICENSES 28

13.13- GAMING LICENSE RENEWALS 28

13.14- ANNUAL REPORTS 28

13.15- PROCEDURE TO REMEDY GAMING LICENCE

VIOLATION 30

SECTION 14- GAMING EMPLOYEE LICENSES 30

14.1- CURRENT AND VALID GAMING EMPLOYEE LICENSE

REQUIRED 30

14.2 - APPLICATION FOR GAMING EMPLOYEE LICENSE 30

14.3 - REVIEW PROCEDURE FOR GAMING EMPLOYEE

APPLICATION 33

14.4 - PROCEDURES FOR FORWARDING APPLICATIONS AND

REPORTS FOR KEY EMPLOYMENT AND PRIMARY

MANAGEMENT OFFICIALS TO THE NATIONAL INDIAN

GAMING COMMISSION 33

14.5 - REPORT TO THE NATIONAL INDIAN GAMING

COMMISSION 34

14.6 - GRANTING AN EMPLOYEE GAMING LICENSE 35

14.7 - STANDARDS FOR DENIAL OF A KEY EMPLOYEE OR

PRIMARY MANAGEMENT OFFICIAL LICENSE 35

14.8 - SCOPE OF GAMING EMPLOYEE LICENSE 36

14.9 - LICENSING PERIOD 36

14.10 - RENEWALS 36

14.11 -

REQUIREMENT TO PRODUCE LICENSE UPON REQUEST 36
SECTION PAGE

SECTION 14- CONT~D.

14.12- PERMANENT LICENSE REVOCATION OF EMPLOYEE

GAMING LICENSE 36

14.12.1- GROUNDS FOR PERMANENT REVOCATION 36

14.12.2- PROCEDURE FOR PERMANENT REVOCATION 38

14.13- TEMPORARY SUSPENSION OF EMPLOYEE GAMING

LICENSE 38

14.13.1- GROUNDS FOR TEMPORARY SUSPENSION 38

14.13.2- IMMEDIATE TEMPORARY SUSPENSION 38

14.13.3 . PROCEDURE FOR TEMPORARY SUSPENSION 39

SECTION 15- TRIBAL GAMING SERVICES VENDOR LICENSE 39

15.1- REQUIREMENT FOR GAMING SERVICES VENDOR

LICENSE 39

15.2 - APPLICATION FOR GAMING SERVICES VENDOR LICENSE... 40

15.3 - PROCEDURE FOR LICENSING 40

15.4 - FEE FOR LICENSE 40

15.5 - BACKGROUND INVESTIGATION OF APPLICANTS 40

15.6 - ACTION BY TRIBAL GAMING COMMISSION 40

15.7 - DURATION OF LICENSE AND RENEWAL 41

1.5.8 - REVOCATION OR SUSPENSION OF LICENSE 41

15.9 - REGULATION OF NON-GAMING PERSONS AND ENTITIES.... 42

SECTION 16- GENERAL PROVISIONS GOVERNING OPERATION OF

TRIBALLY OWNED OR TRIBALLY OPERATED GAMING

FACILITY 42

16.1- MAINTENANCE OF RECORDS 42

16.2 - MANAGEMENT CONTRACTS 43

SECTION 17- CONFLICT OF INTEREST 45

SECTION 18- CONDUCT OF GAMES 45

SECTION 19- SALE OF ALCOHOL 46

\ SECTION 20- JURISDICTION AND ENFORCEMENT 46

20.1- JURISDICTION 46

20.2 - PROHIBITED ACTS 46

20.3 - CWIL VIOLATION 48

20.4 - CUMULATiVE FINES 48

20.5 - PURPOSE OF CIVIL PENALTIES 48

20.6 - CIVIL ACTION FOR PENALTIES 49

20.7 - SEIZURE AND FORFEITURE OF PROPERTY 49

20.8 - REPORTING OF OFFENDERS 49

20.9 - CRIMINAL VIOLATIONS 49

SECTION 21- SEVERABILiTY 50
STOCKBRIDGE-MUNSEE BAND OF

MOHICAN INDIANS

GAMING ORDINANCE

A law to authorize, license and regulate certain forms of gaming, including Class 11 and

Class ffi gaming, within the jurisdiction of the Stockbridge-Munsee Band of Mohicans.

Section 1. FINDINGS, PURPOSES AND POLICY

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

Munsee Tribe finds that:

1.1.1 Tribal regulation and control of gaming activity within the jurisdiction of

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

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

such other areas as may be used for tribal gaming.

1.1.2 The Tribe has the legal authority to license and regulate all gaming activity

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

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

1.1.3 It is essential that the Tribe, through its Tribal Council, regulate gaming in

a manner commensurate with applicable federal and tribal law and policy, including the

Tribal-State Gaming Compact.

1.1.4 The present needs of the Tribe include increased employment, job and skills

training, housing, quality health care, educational opportunities, social services, law and

order, public safety and judiciary, and economic development needs that are not

adequately addressed by present tribal, federal and state programs.

1.1.5 Tribal operation and licensing of gaming activities within the jurisdiction of

the Tribe are an appropriate means of generating revenue to address the needs ofthe

Tribe.

1.2 Purposes. The purposes of this Ordinance are to:

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

jurisdiction of the Stockbridge-Munsee Tribe.

1
1.2.2 Make clear and explicit that a tribal license to operate a gaming activity, to

provide gaming related services or equipment or to work as a gaming employee is a

revocable privilege; not a right or a property interest.

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

means of generating tribal revenue.

1.2.4 Ensure that tribally regulated gaming is conducted fairly and honestly by

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

unconscionable and dishonest persons and practices.

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

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

provision of tribal governmental services.

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

persons involved in gaming activities within the jurisdiction of the Tribe.

1.2.8 Ensure that the Tribe provide a fair and impartial forum for the resolution

of gaming disputes.

1.3 Tribal Policy of Sell-Government. The Tribe is firmly committed to the

principle of tribal self~government. Consistent with federal policy, tribal government provides a

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

good order, establishment of educational systems and programs and promotion and regulation of

economic activities within the sovereign jurisdiction of the Tribe.

1.4 Tribal Gaming Policy. The establishment, promotion and operation of gaming is

necessaly and desirable, provided that such gaming is regulated and controlled by the Tribe

pursuant to tribal and federal law and any tribal-state gaming compact entered into pursuant to the

\ Indian Gaming Regulatory Act, and that all proceeds of such gaming are used for the benefit of

the Tribe as required by the Indian Gaming Regulatory Act and tribal law. When operated in

accordance with the provisions of this Ordinance, such gaming will be conducive to the general

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

SECTION 2. INTERPRETATION

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

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

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

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

2
for accomplishment of this purpose.

SECTION 3. OWNERSHIP OF GAMING

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

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

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

manner consistent with federal laws governing the terms and approval of such contracts, and

provisions of this Ordinance that may apply.

SECTION 4. DEFINITIONS

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

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

4.1 Cheating means operating or playing in 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.

4.2 Class I Gaming means those forms of gaming not classified as Class II or Class IH

gaming, incuding raffles.

4.3 Class H gaming means:

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

computer or other technologic aids are used in connection therewith)

4.3.1.a which is played for prizes, including monetaly prizes, with cards

bearing numbers or other designations,

4.3. 1.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

4.3. 1.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, louo, punch boards, tip jars, instant bingo and

other games similar to bingo, and

4.3.2 card games that

4.3.2.a are explicitly authorized by the laws of the State, or

3
4.3.2.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 H 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.

4.4 Class ifi gaming means all forms of gaming that are not Class I gaming or Class II

gaming, more specifically, as provided for in the Tribal State-Compact with the State of

Wisconsin:

4.4.1 Electronic games of chance with video facsimile displays.

4.4.2 Electronic games of chance with mechanical displays.

4.4.3 Blackjack.

4.4.4 Pull-tabs or break-open tickets when not played at the same location as

bingo and any other games hereinafter authorized by the Act or through modifications to

the Compact.

4.5 Compact means a gaming compact between the Tribe and the State of Wisconsin,

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

4.6 Council or Tribal Council means the duly elected governing body of the

Stockbridge-Munsee Tribe.

4.7 Fraud means intentional deception resulting in an injury to another. Included in this

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

\ embezzlement, insurance fraud and welfare fraud.

4.8 Gaming Commission means the Stockbridge-Munsee Gaming Commission as

established pursuant to this Ordinance, replacing the previously established Gaming Board.

4.9 Gaming Enterprise or Gaining Facility means the Mohican Northstar Casino and

Bingo, and any other tribal gaming facility 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.

4.10 Gaming Related Contract means any agreement under which the Tribe procures

4
for gaming any materials, supplies, equipment or services that are unique to the operation of

gaming and not common to ordinaiy tribal operations.

4.11 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. See Section

VII of the Tribal-State Compact for examples.

4.12 Gaming Vendor see Gaming Related Contractor.

4.13 General Manager is a Tribal Council appointed position responsible for managing

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

manager.

4.14 Gross Gaming Proceeds means any money collected or received from any gaming

activity.

4.15 Key Employee means any employee who does not fit into the description of a

Primary Management Official.

4.16 Management Contract means any contract, subcontract or collateral agreement

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

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

4.17 Net Gaming Revenues means gross gaming revenues of an Indian Gaming activity

less amounts paid out as, or paid for, prizes and total gaming-related operating expenses,

excluding management fees.

4.18 Primary Management Official means:

4.18.1 The person having management responsibility for a management contract;

4.18.2 Any person who has authority:

4. 18.2.a To hire and fire employees; or

4. 18.2.b To set up working policy for the gaming operation; or

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

responsibility.

4.19 Tribe means the Stockbridge-Munsee Band of Mohican Indians, a federally

recognized Indian Tribe acting through a duly elected Tribal Council pursuant to the tribal

5
constitution, unless the context clearly indicates a general meaning.

4.20 Tribal Lands means:

4.20.1 Land within the limits, or within the original boundaries of the

Stockbridge-Munsee Reservation, including the townships ofBartelme and Redsprings; or

4.20.2 Land over which the Tribe exercises governmental power and that is either:

4.20.2.a Held in trust by the United States Government for the

benefit of the Tribe or an individual tribal member; or

4.20.2.b Held by the Tribe or an individual tribal member subject to

restriction by the United States against alienation; or

4.20.3 Land held in fee simple by the Stockbridge-Munsee Community.

4.21 Waiver Policy means that policy approved by the Tribal Council and implemented

by the Tribal Gaming Commission and the Council, that pardons or waives a gaming applicants

criminal background history that would otherwise act as a bar to obtaining a tribal gaming license.

SECTION 5. USE OF GAMING REVENUE

5.1 Net revenues from Class II and Class ifi Gaming shall be used only for the following

purposes:

5.1.1 To fund tribal government operations and programs.

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

5.1.3 To promote tribal economic development.

5.1.4 To donate to charitable organizations.

5.1.5 To help fund operations of local government agencies.

5.2 If the Tribe elects to make per capita payments to tribal members, it shall authorize

such payment only upon approval of a plan submitted to the Secretary ofthe Interior under 25

U.S.C. Section 2710(b)(3).

6
SECTION 6. HANDLiNG OF GAMING RECEIPTS

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

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

money.

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

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

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

6.2 Any cash prize over Two Thousand and Five Hundred Dollars ($2,500.00) may be

paid partially by cash, not to exceed a maximum cash payout of Two Thousand and Five Hundred

Dollars ($2,500.00), with the remaining balance to be paid by check.

Such checks shall be signed by the General Casino Manager or his or her

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

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

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

SECTION 7. GENERAL PROVISIONS

7.1 Authority and Sovereign Powers and Responsibilities. This Ordinance is enacted

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

Tribal Council pursuant to the terms of the tribal constitution.

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

the United States Government to promote self-determination for Indian tribes. At the heart of

this policy is a commitment by the federal government to foster and encourage tribal selfgovernment, economic development and self-sufficiency. That commitment was signed into law

in 1975 as the Indian Self-Determination and Education Assistance Act, Public Law 93-63 8, 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, ~t. ~q.

(1988), which recognized the inherent sovereign right of tribes to operate and their exclusive right

to regulate on Indian lands gaming that is not specifically prohibited by federal law and is

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

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

7.3 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

7
a wide range of public services, including general governmental services, the maintenance of

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

sovereign jurisdiction of the Tribe.

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

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

Stockbridge-Munsee Book of Tribal Ordinances.

All Ordinances ofthe 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.

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

otherwise requires, the following rules shall apply:

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

substantial justice.

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

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

number include the singular.

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

genders and the neuter.

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

jurisdiction, the remaining sections shall not be affected thereby.

SECTION 8. TRIBAL COUNCIL, POWERS AND DUTIES

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

pursuant to its powers under the tribal constitution.

8.2 The 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 Indian Gaming Regulatory Act, the Tribal-State

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

8.3 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into

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

other local governments or entities.

8
8.4 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to waive

sovereign immunity.

8.5 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into

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

lands, interest in lands or other assets of the Tribe.

8.6 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into

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

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

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

8.7 The Tribal Council shall establish the use of gaming revenues transferred from the

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

according to tribal needs and requirements for continued growth.

8.8 Until such time as a tribal court is established, the Tribal Council may act as an

appellate court for disputes arising under this Ordinance or policies and procedures developed for

the gaming enterprises.

8.9 The tribal president shall be the spokesperson for the Tribe and shall respond to the

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

8.10 The Tribal Council has authority to appoint and dismiss Gaming Commissioners,

pursuant to the standards for appointment and dismissal set forth in Section 9 hereinafter.

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

Casino Financial Manager, and to approve any management contractors. The Council shall also

retain authority to terminate or discipline these positions, such termination not to be arbitrary but

done pursuant to criteria set forth in this Ordinance or in separate policies and procedures, or

pursuant to an approved management contract.

8.12 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 Casino Management or

another designated entity.

8.13 The Tribal Council shall have final approval over any proposed structural changes to

facilities in which the gaming enterprise is operated.

8.14 The Tribal Council, consistent with an approved waiver policy, shall have the final

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

criminal history background.

9
SECTION 9. TRIIBAL GAMING COMMISSION

9.1 Establishment. The Tribe hereby charters, creates and establishes the Stockbridge

Munsee Tribal Gaming Commission, a subordinate organization, as a governmental subdivision of

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

9.2 Location and Place of Business. The Tribal Gaming 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 Band of

Mohicans.

9.3 Duration. The Tribal Gaming Commission shall have perpetual existence and

succession in its own name, unless dissolved by the Tribe pursuant to Tribal law.

9.4 Attributes. As a governmental subdivision of the Tribe, the Tribal Commission has

been delegated the right to exercise one or more ofthe substantial governmental functions of the

Tribe, including rule-making authority for the purposes of regulation of tribal gaming pursuant to

the Indian Gaming Regulatory Act (IGRA), tribal law and the Tribal-State Compact. It is the

purpose and intent of the Tribe in creating the Tribal Gaming Commission that the operations of

the Tribal Gaming 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

Tribal Gaming Commission shall function as an arm ofthe Tribe.

Notwithstanding any authority delegated to the Tribal Gaming 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 Tribal Gaming Commission, whenever

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

Tribal Gaming Commission.

9.5 Sovereign Immunity of the Tribal Gaming Commission. The Tribal Gaming

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 Tribe or the Tribal Gaming Commission shall be deemed or construed to be a waiver of

sovereign immunity from suit of the Tribal Gaming Commission or its duly appointed agents, or

to be a consent of the Tribe or the Tribal Gaming 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

Tribal Gaming 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 Tribal Gaming Commission,

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

suit in respect to any Indian land, or to be a consent of the Tribe or the Tribal Gaming

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

10
9.6 Sovereign Immunity of the Tribe. All inherent sovereign rights of the Tribe as a

federally recognized Indian tribe with respect to the existence and activities of the Tribal

Commission are hereby expressly reserved, including sovereign immunity from suit in any tribal,

federal or state court. Except as provided in section 9.7 below, nothing in this Ordinance nor any

action of the Tribal Gaming 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 Tribal

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

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

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

attachment, or encumbrance of any such land.

9.7. Assets of the Tribal Gaming Commission. The Tribal Gaming 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 Tribal Gaining Commission on its own behalf No activity of the Tribal

Gaming Commission nor any indebtedness incurred by it shall implicate or in any way involve or

effect any assets oftribal members or the Tribe not assigned in writing to the Tribal Gaming

Commission.

9.8 Membership.

9.8.1 Number and Terms of Commissioners. The Tribal Commissioners shall

be comprised of seven (7) Tribal Gaming Commissioners appointed by the Tribal Council.

The terms ofthe Gaming Commissioners shall be staggered, such staggering to be

achieved by allowing one of the seven to serve for a four-year term, one of the seven to

serve a one-year term, two of the seven to serve a two-year term, and three ofthe seven

to serve a three-year term.

The Tribal Council reserves the right to add additional Commissioners

upon determination by the Council that such position would add stability to the

Commission and otherwise enhance the effectiveness of the Commission.

In order to promote stability of the Commission in the long-term, it is

necessary that, in the first appointment of Commissioners only, one of the two-year terms

shall be for three years, but thereafter for only two years. One of the three-year terms

shall be for four years, but thereafter only three years. One of the three-year terms shall be

for two years, but thereafter for three years.

9.8.l.a. Paid Positions. The Tribal Council authorizes at least two paid

Commissioner positions in the first year of the Tribal Gaming Commission, and reserves

the right to add more paid positions as needed, upon presentation of adequate justification.

The paid positions shall be one four-year term and one two year term.

11
9.8.2 Qualification of Commissioners.

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

9.8.2.2 Shall have at least one year of experience in at least one of the

following areas:

a) Business Management

b) Economic Development

c) Marketing

d) Law

e) Finance/Accounting

f) Security/Law Enforcement

g) Gaming

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

9.8.2.3 Shall not serve in any elected position in the Stockbridge-Munsee

Tribe while at the same time serving as a Gaming Commissioner.

9.8.2.4 No individual shall be eligible for appointment to or to continue

services on the Tribal Gaming Commission who has any financial interest in, or

management responsibility for any gaming activity operated by the Tribe, or any

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

9.8.2.5 No individual shall be eligible for appointment to or to continue

services on the Tribal Gaming Commission who has any conflict of interest as

defined in this Ordinance, UNLESS such conflict has been fully disclosed to the

entire board of Commissioners and to the Tribal Council and both entities have

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

or her term.

9.8.2.6 No individual shall be eligible for appointment to or continue

services on the Tribal Gaming Commission who is an employee of any tribal

gaming enterprise or of another gaming enterprise outside the tribes ownership

andlor management.

9.8.3 Background Check. Prior to the time any Tribal Commissioner takes

office on the Tribal Gaming Commission, the Tribe shall perform a comprehensive

background check on each prospective member. No person shall serve as a Commissioner

it~

9.8.3.1. His or her prior activities, criminal record, if any, or reputation,

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

regulation and control of gaming; enhance the dangers of unsuitable, unfair, or

12
illegal practices, methods, or activities in the operation of gaming or the carrying

on of the business and financial arrangements incidental thereto; or

9.8.3.2. If he or she has been convicted of or entered a plea of guilty or

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

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

connection or any offense involving moral turpitude.

9.8.3.3 The Tribal Waiver Policy shall not apply to Gaming Commissioner

positions.

9.9 Meetings.

9.9.1 Regular Meetings. The Tribal Gaming 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 Tribal Gaming Commission.

9.9.2 Special Meetings. Special meetings may be called at the request of the

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

or four (4) or more members of the Tribal Gaming Commission.

9.9.3 Compensation of Commissioners. Full-time, paid Tribal Gaming

Commissioners shall receive a salary set by the Tribal Council. The remaining

Commissioners shall receive a monthly stipend for attending meetings and in addition,

shall receive an hourly wage, equal to the hourly wage of the full-time Commissioners, for

time spent at hearings related to the regulatory process, and for other Commission work

as assigned, excluding trainings and regular meetings.

9.9.4 Quorum. A quorum for all meetings shall consist of four (4) members.

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

Commission shall be decided by majority vote. The Chairperson of the Tribal Gaming

Commission shall othy be entitled to vote to break a tie.

9.9.6 Executive Session. Executive session may be used when deemed necessary

by the Commission. No decisions shall be made in Executive Session. Use of executive

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

confidential or privileged nature.

9.10 Organization. The Tribal Gaming 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 has need of.

13
9.11 Removal of Members and Filling Vacancies.

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

serious inefficiency, neglect of duty, malfeasance, misfeasance, nonfeasance, misconduct in

office, or for any conduct that threatens the honesty or integrity of the Tribal 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 witnesses 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 Tribal (laming Commission hearing procedures.

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

findings thereon shall be kept by the Tribal Secretary.

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

reason be unable to~ serve as a Commissioner, the Tribal Council shall declare his or her

position vacant and shall appoint another person to fill the position. The terms of office of

each person appointed to replace an initial Commissioner shall be for the balance of any

unexpired term for such position, provided, however, that any prospective appointee must

meet the qualifications established by this Ordinance.

9.12 Powers and Duties of the Tribal Gaming Commission. In furtherance, but not in

limitation, of the Tribal Gaming Commissions purposes and responsibilities, and subject to any

restrictions contained in this Ordinance or other applicable law, the Tribal Gaming Commission

shall have and is authorized to exercise by majority vote the following powers in addition to all

powers already conferred by this Ordinance:

9.12.1 To issue, suspend, revoke and renew licenses of primaiy management

officials, key employees and gaming services vendors and principals upon completion of

background investigations.

9.12.2 To conduct background investigations on primaiy management officials,

key employees and gaming services vendors and principals or to coordinate such

investigations, as needed, with the Licensing Review Officer or other agents, in

preparation for the licensing process.

9.12.3 To forward completed employment applications and completed

investigative reports for primary management officials and key employees to the National

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

14
9.12.4 To review a persons prior activities, criminal record if any, reputation,

habits and associations to make a finding concerning the eligibility for licensing, to work

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

business relationship.

9.12.5 To issue separate license to each place, f~dility or location on tribal lands

where the Stockbridge-Munsee Tribe elects to allow gaming.

9.12.6 The Tribal Gaming Commission shall obtain annual independent outside

audits, pursuant to the terms of the Tribal-State Compact, and submit these audits to the

National Indian Gaming Commission as required by federal regulations.

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

limited purposes se~ forth in the Tribal Gaming Ordinance.

9.12.8 If the tribe elects to authorize individually owned gaming, to issue licenses

according to the requirements contained in the Tribal Gaming Ordinance.

9.12.9 To promulgate and or approve gaming regulations pursuant to tribal law.

9.12.10 To monitor and regulate all tribal gaming activities to ensure compliance

with tribal law/regulations. The Tribal Gaming Commission shall have such access to

tribal gaming facilities and to gaming employees as necessary in order to carry out this

responsibility.

9.12.11 To interact with other regulatory and law enforcement agencies regarding

the regulation of gaming, as necessary to fiLifill their duties.

9.12.12 To be completely familiar with the Indian Gaming Regulatory Act, the

Federal Regulations promulgated thereunder, the Tribal Gaming Ordinance, the TribalState Compact and related laws.

9.12.13 To conduct investigations of possible violations and take appropriate

enforcement action with respect to the Tribal Gaming Ordinance and regulations.

9.12.14 To provide independent information to the Tribe on the status ofthe

Tribes gaming activities. See Reporting section below for more detail.

9.12.15 To issue oaths, take testimony and conduct hearings on regulatory

matters, including matters related to the revocation ofprimary management official and

key employee licenses or any other licenses they are authorized to issue under this

Ordinance. Hearings may also be held for licensing of tribal gaming vendors.

15
9.12.16 Be familiar with and approve the mmimum internal control standards or

procedures for all tribal gaming operations, including credit policies and procedures for

acquiring supplies and equipment.

9.12.17 Establish any supplementary criteria for the licensing ofprimary

management officials, key employees and other employees, vendors or contractors that the

Tribe deems necessary.

9.12.18 Establish or approve standards for and issue licenses or permits to

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

suppliers of machines, equipment and supplies, such license to be called a gaming

services vendor license.

9.12.19 To maintain records on licensees and on persons denied licenses including

persons otherwise prohibited from engaging in gaming activities within the tribes

jurisdiction, consistent with federal law and the Tribl-State Compact requirements.

9.12.20 To perform audits of business transactions to ensure compliance with

regulations and/or policy.

9.12.21 To establish or approve rules of new games consistent with the

requirements of the Tribal-State Compact and other applicable laws, and inspect games,

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

To inspect from time to time the video survefflance standards.

9.12.22 To resolve patron disputes, employees grievances and other problems,

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

be in place regarding those issues.

Unless, or except as otherwise provided for through an Employee Rights

Ordinance, the Gaming Commission shall serve as a forum for hearing grievances from

gaming employees after all administrative remedies provided in the personnel policies and

procedures have been exhausted.

The Gaming Commission shall not accept a grievance that failed to follow

the proper internal procedure.

At such point that the Employees Rights Ordinance becomes effective, the

Gaming Commission shall cease to function as a grievance forum.

9.12.23 To purchase, lease, take by gift, devise or bequest, or otherwise acquire,

own, hold, improve, and use property and assets of every description, real and personal,

tangible or intangible, including money, securities, or any interests therein, rights and

services of any kind and description or any interest therein; provided that the Tribal

Commission shall have authority to purchase any interest in real property, whether located

on or off the Reservation, only with the express, prior written consent of the Tribal

16
Council as to each such action, and that title to such real property and property which is to

become a fixture or permanent improvement or part of the real property shall be taken in

the name of the Tribe or in the name of the United States in trust for the Tribe, and title to

all trust and restricted real property shall remain in trust or restricted status.

9.12.24 To sell, convey, mortgage, pledge, lease, exchange, transfer and

otherwise dispose of all or any part of its personal property and assets, with prior written

consent from the Tribal Council.

9.12.25 To deal in inventions, copyrights, and trademarks; to acquire by

application, assignment, purchase, exchange, lease, hire, or otherwise; and to hold, own,

use, license, lease and sell, either alone or in conjunction with others, the absolute or any

partial or qualified interest in and to inventions, improvement, letters patent and

applications therefor, licenses, formulas, privileges, processes, copyrights and applications

therefore, trademarks and applications therefor, and trade names, provided that title to all

such interests shall be taken in the name of the Tribe.

9.12.26 To arbitrate, compromise, negotiate or settle any dispute to which it is a

party relating to the Tribal Commissions authorized activities, except that no binding

arbitration shall be used without prior consent, by resolution, from the Tribal Council.

9.12.27 To enter into, make, perform and cany out any agreement, partnership,

joint venture contract or other undertaking with any federal, state or local governmental

agency, tribe, person, partnership, corporation or other association or entity for any lawful

purpose pertaining to the business of the Tribal Commission or which is necessary or

incidental to the accomplishment of the purpose of the Tribal Commission, subject to prior

review and approval by the Tribal Council.

9.12.28 To engage in any and all activities that directly or indirectly carry out the

purposes of the Tribe as set forth in this Ordinance.

9.12.29 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 Tribal Commission or the Tribe.

9.12.30 To exercise all authority delegated to it or conferred upon it by law and to

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

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

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

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

9.12.31 To establish and maintain such bank accounts as may be necessary or

convenient for Commission operation.

17
9.12.32 Reporting. To require by regulation the filing of any records, forms and

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

Ordinance relating to any gaming activity or operation or any investigation as required by

tribal law and the IGRA.

The Gaming Commission shall submit to the Tribal Council on a

regular basis minutes from all meetings and a monthly status report on the tribal gaming

enterprise(s).

9.12.33 To provide for an internal system of record-keeping with adequate

safeguards for preserving confidentiality as deemed necessary by the Tribal Commission.

All applications, background investigations and Tribal Commission decisions related to the

licensing of primary management officials, key employees or any other entity licensed by

the Commission, shall be retained in Tribal Commission files for a period of at least seven

(7) years and not less than three (3) years from termination of employment or business

relationship.

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

pursuant to this Ordinance.

9.12.35 To adopt a schedule of fees and charges for services rendered relating to

transcripts and the furnishing or certif~jing of copies of proceedings, files and records.

9.12.36 To conduct background investigations of all persons who propose to

participate in any gaming activity or operation.

9.12.37 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, at such

time as the Tribe has established a 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 Tribal

Commission without the prior explicit written approval ofthe Tribal Council after

consultation with the Tribal attorney(s).

9.12.38 To discipline any licensee or other person participating in any gaming

activity by ordering immediate compliance with this Ordinance or Tribal Commission

regulations and to issue an Order of Temporary Suspension of any license issued under

this Ordinance, consistent with the tenns under this Ordinance governing such suspension,

whenever the Tribal Commission is notified of a violation by any such person of this

Ordinance or any other applicable law.

9.12.39 To issue an order of temporary closure of any gaming activity or

operation in the event the Tribal Commission, based on regulatory violations, determines

that immediate closure is necessary to protect assets or interests of the Tribe, pursuant to

Tribal Commission regulations.

18
9.12.40 To become seIf~regu1ating when the Tribe becomes eligible for a

certificate of se1f-r~gu1ation under the IGRA.

9.12.41 Annual Budget. The Tribal Commission shall prepare an annual

operating budget for all Tribal Commission activities and present it to the Tribal Council

by August 15th of each year.

9.12.42 Confidentiality. The Tribal Gaming Commission shall maintain

confidentiality of information specified as confidential., including information gathered in

the background and licensing process and any financial information regarding performance

of the gaming enterprise.

Violation of this confidentiality provision shall be subject to disciplinary

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

from the Commission.

9.12.43 Waiver Hearings. The Tribal Gaming Commission shall accept

applications for waivers from those persons interested in working for the tribal gaming

enterprise(s), but who have criminal backgrounds or other violations requiring a waiver.

The Commission shall conduct the waiver hearing and forward a

recommendation to the Tribal Council regarding the waiver determination. The Tribal

Council shall makethe final decision on waiver applications.

9.13 Tribal Commission Regulations.

9.13.F Tribal Commission Regulations necessary to carry out the orderly

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

9.13.1.1 Internal operational procedures of the Tribal Commission and its

staff,

9.13.1.2 Interpretation and application of this Ordinance as may be

necessary to carry out the Tribal Commissions duties and exercise its powers;

9.13.1.3 A regulatory system to monitor all gaming activity, including

accounting, contracting, management and supervision, not to be confused with

day-to-day management activities;

9.13.1.4 The findings of any reports or other information required by or

necessary to implement this Ordinance; and

9.13.1.5 The conduct of inspections, investigations, hearings, enforcement

actions and other powers of the Tribal Commission authorized by this Ordinance.

19
9.13.2 No regulation of the Tribal Commission shall be of any force or effect

unless it is adopted by the Tribal 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, at such time as a Tribal

Court is established.

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

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

inconsistent with any other tribal or federal law.

9.14 Right of Entrance; Monthly Inspection of Tribal Books and Records. The

Tribal Commission and duly authorized officers, employees and agents of the Tribal Commission,

during regular business hours, may enter upon any premises of any gaming operator or gaming

facility for the purpose of thaking inspections and examining the accounts, books, papers and

documents of any such gaming operator or gaming facility. Such gaming operator shall facilitate

such inspection or examinations by giving every reasonable aid to the Tribal Commission and to

any properly authorized officer, employee or agent.

9.15 Right of Entrance; Two-Week Inspections of Gaming Operations. A

Commissioner or a member of the Tribal Commissions staff shall visit each tribally owned or

tribally operated gaming facility at least once every two weeks during normal business hours for

the purpose of monitoring its operation. Such visits shall be unannounced.

9.16 Investigations. The Tribal Commission, 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. In conducting such investigation, the Tribal Commission may

proceed either with or without a hearing as it may deem best, but it shall make no order without

affording any affected party notice and an opportunity for a hearing pursuant to Tribal

Commission regulations.

9.17 Hearings; Examiner. Pursuant to regulations, the Tribal Commission may hold any

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

Ordinance. Whenever it shall appear to the satisfaction of the Tribal Commission that all of the

interested parties involved in any proposed hearing have agreed concerning the matter at hand, the

Tribal Commission may issue its order without a hearing.

The Tribal Commission may designate one of its members to act as examiner for

the purpose of holding any such hearing or the Tribal Commission may appoint another person to

act as examiner under subsection 9.19 below. The Tribal Commission shall provide reasonable

notice and the right to present oral or written testimony to all people interested therein as

determined by the Tribal Commission.

20
9.18 Appointment of Examiner; Power of Examiner. The Tribal 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 Tribal

Commission or any member thereofhas 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.

9.19 Bank Account for Tribally Owned or Tribally Managed Gaming Facility. The

Tribal 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 Tribal Commission shall ensure that the check writing authority designated in

Section 6 of this Ordinance is followed.

9.20 Quarterly Report of Gaming General Manager Reports. The Tribal

Commission shall file a quarterly report with the Tribal Council summarizing reports received

from each manager of any tribally owned or managed gaming activity and make such comments as

it deems necessary to keep the Council fully informed as to the status of its various gaming

activities.

9.21 Annual Plan of Operation. The Gaming Commission shall submit an approved

Annual Plan of Operation for each tribal gaming enterprise, developed by Gaming Management,

to the Tribal Council by June first of each year (see subsection 10.4.4 ofthis Ordinance for

description of Annual Plan of Operation).

9.22 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 Commissions operating budget.

Abuse oftravel shall be subject to review by the Tribal Council

SECTION 10. GAMING MANAGEMENT; POWERS, DUTIES AND

LIMiTATIONS

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

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

efficient business decision-making, while respecting the broad guidelines of the Gaming

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

Council or the Tribal Gaming Commission shall delegate.

The Manager shall be hired by the Tribal Council.

Each General Manager shall undergo a background check by the Tribal Gaming

Commission and shall obtain an employee gaming license before commencing work.

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

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

21
adhere to policies and procedures or to tribal and federal laws and regulations.

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

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

10.2 Purpose. The purpose of the Manager and the management structure 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.

10.3 Qualifications. The Manager shall have the experience and demonstrated skills

necessaiy to manage a growing gaming enterprise according to the job description.

10.4 Responsibilities.

10.4.1 Day-to-day business management, including, but not limited to such things

as hiring, contracting, payroll and schedules. Contracting is subject to applicable sections

of this Ordinance.

10.4.2 HIring staff pursuant to the process adopted in the Personnel Policies and

Procedures for the gaming enterprise.

10.4.3 Operating Policies and Procedures. It is the responsibility of the

Manager to develop and implement operating policies and procedures for the gaming

enterprise, including personnel, financial management, contracting, purchasing, marketing

and other areas as needed. Operating policies and procedures must be submitted to the

Gaming Commission for approval before becoming effective.

10.4.4 Annual Plan of Operation. Each Manager shall submit an Annual Plan to

the Tribal Council for review and approvaL The Plan shall be submitted by June first to

the Tribal Council. The Plan shall contain the following:

10.4.4.1 Operating budget.

10.4.4.2 Capital budget.

10.4.4.3 Growth target.

10.4.4.4 Staffing requirements, including training requirements.

10.4.4.5 Expense and revenue projections.

10.4.5 Budget Revisions. Any expenditures in excess of the approbed operating

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

22
10.4.6 Accounting for Gaming Funds. The Manager is responsible for keeping

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

contracting with necessary resources to do so (subject to the terms of the 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.

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

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

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

Gaming Commissions regulations, effective February 22, 1993, and any amendments or

updates thereto, and operate all games in compliance with said regulations.

10.4.9 The Manager may delegate that authority necessary to ensure compliance

with rules and regulations and effect a more efficient and productive operating

environment.

10.4.10 The Manager shall ensure that a system for bonding of all employees is in

place.

10.5 Reporting. The General Manager shall provide the Gaming 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

management officials, a listing of all bills that are thirty (30) days or more past due and any other

information the Gaming Commission may require.

Annual Plan of Operation shall be submitted to the Gaming Commission

annually, who in turn, after review and approval, shall submit same to the Tribal Council.

10.6 Travel. The Manager shall notify the Gaming Commission regarding travel plans.

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

money available for such travel in the approved operating budget.

Abuse of travel shall be subject to the review ofthe Gaming Commission.

10.7 The General Manager shall propose and the Tribal Gaming Commission shall

approve a patrons complaint process. Each tribally owned and tribally operated gaming facility

shall post at least one sign in each gaming room informing patrons of the established process.

10.8 Confidentiality. The General Casino 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 ofthis confidentiality provision shall be subject to disciplinary action

23
from the Tribal Council and may be deemed cause for suspension or termination.

SECTION 11. AUDiT

11.1 The Tribal Gaming Commission shall cause to be conducted annually an independent

audit of gaming operations and shall submit the resulting audit reports to the National Indian

Gaming Commission, the Tribal Council and the State Gaming Commission. The Tribal-State

Compact terms for both financial and security audits shall be followed for the audit of Class ifi

games.

The Tribal Gaming 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 finn to comply with the terms of the Compact. All provisions of the

Compact shall be adhered to in this process.

11.2 All gaming related contracts that result in the purchase of supplies, services, or

concessions in excess of Twenty-Five Thousand Dollars ($25,000.00) annually, except contracts

for professional legal and accounting services, shall be included within the scope of the audit that

is described in Section 11.1 above.

SECTION 12. PROTECTION OF THE ENVIRONMENT ANI) PUBLIC

HEALTH AND SAFETY

12.1 Class II and Class ifi Gaming facilities shall be constructed, maintained and operated

in a manner that adequately protects the environment and the public health and safety.

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

SECTION 13. GAMING LICENSES

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

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

Ordinance 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 (at such time as the

\ Tribal Court shall become operational) 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.

13.2 License Required. No person shall operate Class II or Class ifi gaming within the

jurisdiction of the Tribe unless such gaming is licensed by the Tribe.

13.3 Types of Licenses. The Tribe shall issue each of the following types of gaming

licenses:

13.3.1 Tribally Owned or Tribally Operated Class IL This license shall be

required of all tribally owned or tribally operated gaming activity operating one or more

24
Class II games of chance.

13.3.2 Tribally Owned or Tribally Operated Class LII. This license shall be

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

other than Class I or Class II gaming.

13.4 No License Requirement for Class I Gaming. A tribal license shall not be

required for any Class I gaming activity or operation provided, however, that each Class I gaming

activity or operation must have written permission of the Tribal Commission, and such permission

must be on file with the Tribal Secretary before any such Class I gaming is conducted.

13.5 Applications Procedures.

13.5.1 Application for Gaming License. For any proposed Class IT or Class ifi

gaming activity, the Tribal Council shall file with the Tribal Gaming Commission an

application for a tribally owned or tribally operated Class H or Class ifi gaming license,

whichever is appropriate, which shall contain the name of the proposed enterprise, its

location and all other pertinent information required by this Ordinance and Tribal

Commission regulations.

13.5.2 Tribally Owned or Tribally Operated Class IL Before issuing a license

to a tribally owned or operated Class II gaming activity the Tribal Gaming Commission

shall:

13.5.2.1 Review the proposed gaming activity to ensure that all criteria

required by this Ordinance shall be met.

13.5.2.2 Perform the necessary background checks on management

contractors, primary management officials and key employees required by this

Ordinance.

13.5.2.3 Review and approve the accounting procedures to be used in

such gaming activity.

13.5.2.4 Take any additional steps necessary to ensure the integrity of

such gaming activity.

13.5.3 Tribally Owned or Tribally Operated Class HI. Before issuing a license

to a tribally owned or operated Class ifi gaming activity, the Tribal Commission shall:

13.5.3.1 Review the proposed gaming activity to ensure that all criteria

required by this Ordinance shall be met.

25
13.5.2.2 Perform the necessaiy background checks on management

contractors, primary management officials and key employees required by this

Ordinance.

13.5.2.3 Review and approve the accounting procedures to be used in

such gaming activity.

13.5.2.4 Take any additional steps necessary to ensure the integrity of

such gaming activity.

13.5.2.5 Review all aspects of the proposed gaming operation to ensure

that it will be in compliance with the provisions of the Tribal-State Compact.

13.6 Criteria That a Potential Gaming Operator Must Meet. The Tribal Gaming

Commission shall issue the above license to any tribally owned or tribally operated Class II or

Class ifi proposed gaming activity only Wall of the following criteria are met:

13.6.1 The proposed gaming activity or facility is to be located on tribally owned

land or land held in trust for the Tribe, within the exterior boundaries of the tribal

reservation, prior to October 17, 1988; or on after acquired lands that meet the

requirements of Section 2719 of the Indian Gaming Regulatory Act for after acquired

lands, and appropriate amendments to the Tribal-State Compact, if required, are made.

13.6.2 The proposed gaming activity is to be played as Class II gaming as defined

by this Ordinance and the IGRA or as Class ifi gaming authorized by a Tribal-State

Compact.

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

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

responsibility for the conduct of the proposed gaming activity, or if the Tribe does not

have the sole proprietary interest or management responsibility, the management contract

for such gaming is consistent with this Ordinance, tribal or federal law and is properly

approved by the National Indian Gaming Commission.

13.6.5 The Resolution authorizing the proposed gaming activity provides that:

13.6.5.1 The revenues of the proposed gaming activity shall be audited

annually and copies of those audits will be provided to the Tribal Commission and

the National Indian Gaming Commission.

13.6.5.2 The proposed gaming activity shall comply with all IRS reporting

and filing requirements.

26
13.6.5.3 All of the net proceeds of the proposed gaming activity shall be

used for the purposes stated in Section 5 of this Ordinance.

13.6.5.4 All contracts for supplies, services or concessions for an amount

in excess of Twenty-Five Thousand Dollars ($25,000.00) (except for contracts for

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

13.6.5.5 The construction or maintenance of the gaming facility and the

operation of the proposed gaming activity shall be conducted in a manner that the

Tribal Commission finds will adequately protect the environment and the public

health and safety.

13.6.5.6 The General Manager, all primary 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 management officials and key employees will be required to pass

background investigations and obtain tribal gaming employee licenses before they

are hired, or within a reasonable time thereafter, with continued employment being

made contingent upon the successful licensing of said individual.

13.6.5.7 The Tribal Gaming Commission shall have the authority to

regulate the proposed gaming activity.

13.6.5.8 The proposed gaming activity shall pay to the National Indian

Gaming Commission and to the State Gaming Commission such fees as federal law

and the Tribal-State Compact may require to be paid.

13.6.5.9 If the gaming activity is Class ifi gaming, such gaming activity

meets all other criteria established by the Tribal-State Compact.

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

or tribally operated Class II or Class ifi gaming activity.

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

operated Class II or Class ifi gaming activity.

13.9 Form of Gaming License. Every gaming license issued by the Tribal Commission

shall include the name and address of the authorized licensee and the signature of an authorized

officer of the Tribal Commission.

13.10 Scope of Gaming License. A gaming license issued by the Tribal Gaming

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 Tribal Commission

27
upon written request that details the proposed new gaming activity, its location and proposed

gaming operator.

13.11 Term of License. A tribally owned or operated Class II and Class ifi Gaming

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

13.12 Posting of Licenses. Each gaming operator shall post its tribal gaming license in a

conspicuous location at the gaming operato?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.

13.13 Gaming License Renewals. Each tribal gaming license must be renewed

annually. No renewal fee shall be required for a tribally owned or tribally operated Class II or

Class ifi license. In order to obtain a renewal of a license, the gaming operator shall submit a

written renewal application to the Tribal Commission on the form provided by the Tribal

Commission.

No renewal application shall be approved until the annual report required by

subsection 13.14 has been properly filed. All renewal applications submitted by a tribally owned

Class II or Class ifi 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.

13.14 Annual Reports. Each gaming operator who possesses a Class II or Class 111

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

Operation) with the Tribal Commission between the fifteenth (15th) day and the last day of the

twelfth (12th) month of the, duration of each such license. The report shall be submitted to the

Tribal Commission on the annual report form provided by the Tribal Gaming Commission and

shall include the following information:

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

13.14.2 The names, addresses and titles of its current general manager and all

other managers;

13. 14.3 A description of each gaming activity that it operates and the total gross

proceeds of each;

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

its operating rules or policies;

13.14.5 A statement of the specific dates and times during which the gaming

activity will be operated during the next license period;

28
13.14.6 The name and address of the person who will be the general manager and

the names and addresses of all persons who will be the primary management officials

during the next license period;

13.14.7 A statement of any changes in the general manager or in the primary

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

license period;

13.14.8 The names and addresses of any employees who the Tribal Commission

may determine to be key employees during review of the application;

13.14.9 Written proof that the gaming operator has paid to the National Indian

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

continue to do so;

13.14.10 Written proof that the gaming operator has paid to the State Gaming

Commission such fees as the Tribal-State Compact may require it to pay;

13.14.11 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 Tribal Commission and the Tribe harmless for fliilure to do so;

13.14.12 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;

13.14.13 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;

13.14.14 The total gross proceeds of the gaming operator attributable directly or

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

13.14.15 A sworn statement that the gaming operator will continue to comply

with all tribal and federal laws applicable to the gaming operators gaming operation;

13.14.16 A sworn statement that the gaming operator and all of its key employees

and management officials continue to consent to Tribal Court jurisdiction and service of

process in all matters arising from the conduct of tribally licensed gaming activity;

13.14.17 The name, address and signature of the agent who will accept service of

29
process on behalf of the gaming operator, who must reside on the Reservation; and

13.14.18 If the gaming operator is a corporation, a copy of any amendment to its

articles of incorporation, properly certified by the incorporating government, unless a

current copy has afready been filed with the Tribal Gaming Commission.

13.15 Procedure to Remedy Gaming License Violation. If the Tribal Gaming

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 Tribal

Commission shall immediately take all necessaly steps to bring such activity into compliance,

including, but not limited to, closing down such activity temporarily or permanently pursuant to

enforcement procedures and regulations duly promulgated by the Tribal Commission under this

Ordinance. Nothing contained in this Section or in this Ordinance shall be construed as limiting,

restraining or effecting a waiver of the Tribe or the Tribal Councils right and authority to take

appropriate action to remedy any gaming violation pursuant to tribal and federal law.

SECTION 14. GAMING EMPLOYEE LICENSES

14.1 Current and Valid Gaming Employee License Required. Every primary

management official and every key employee of any Class II or Class ffi gaming activity subject to

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

and obtaining a valid gaming employee license is a requirement of continued employment for

those employees who began working at the gaming enterprise prior to the development of the

licensing process.

14.2 Application for Gaming Employee License.

14.2.1 A person seeking a tribal gaming employee license must be at least eighteen

(18) years of age. All applicants shall submit an application to the Tribal Commission on

such form and in such manner as the Tribal Commission may require.

14.2.2 Such application shall include, but is not limited to the following

information:

14.2.2.1 The applicants 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);

14.2.2.2 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;

30
14.2.2.3 The names and current addresses of at least three personal

references, including one personal reference who was acquainted with the

applicant during each period of residence listed in subsection 14.2.2.2 above;

14.2.2.4 Current business and residence telephone numbers;

14.2.2.6 A description of any existing and previous business relationships

with Indian Tribes, including ownership interests in those businesses;

14.2.2.7 A description of any existing and previous business relationships

with the gaming industiy generally, including ownership interests in those

businesses;

14.2.2.8 The name and address of any licensing or regulatoiy 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;

14.2.2.9 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;

14.2.2.10 For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations) within ten (10) years ofthe date of

the application, the name and address ofthe court involved, and the dates of the

prosecution and the disposition;

14.2.2.11 For each criminal charge (excluding minor traffic charges)

whether or not there is a conviction, if such criminal charge is within ten (10) years

of the date Of the application and is not otherwise listed pursuant to paragraphs

14.2.2.9 or 14.2.2.10 above of this section, the criminal charge, the name and the

address of the court involved and the date and disposition;

14.2.2.12 The name and address of any licensing or regulatory agency

with which the person has filed an application for an occupational license, permit

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

14.2.2.13 A recent photograph;

14.2.2.14 Any other information the Tribe or the Tribal Gaming

Commission may deem necessary and relevant; and

14.2.2.15 Fingerprints consistent with procedures adopted by Tribe

according to the requirements under Federal Regulations, 25 CFR Section

31
522.2(h);

14.2.2.16 Written permission giving the Tribal Commission and their duly

appointed agents the right to investigate information including but not limited to

the applicants background, including his or her criminal record, civil and criminal

judgments, educational record, military record and credit history.

14.2.3 Each application shall be accompanied by a sworn statement that if the

license is issued, the applicant will submit to the jurisdiction of the Tribe, the Tribal

Gaming Commission and the Tribal Court

14.2.4 Each application shall be accompanied by a sworn statement that the

applicant will abide by this Ordinance and all other applicable laws.

14.2.5 Each application shall contain or be accompanied by a written statement

that the applicant has read, understands and approves of 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. 2710, et seq. The

purposed of the requested information is to determine the eligibility of individuals to be

employed in gaming activities. The information will be used by National Indian Gaming

Commission members and staff who have need for the information in the performance of

their official duties. The information may be disclosed to appropriate federal, tribal, state,

local, or foreign law enforcement and regulatory agencies when relevant to civil, criminal,

or regulatory investigations or prosecutions or pursuant to a requirement by a tribe or the

National Indian Gaming Commission in connection with the hiring or firing of an

employee, the issuance or revocation of a gaming license, or investigations of activities

while associated with a tribe or a gaming operation. Failure to consent to the disclosures

indicated in this notice will result in a tribes being unable to hire you in a primary

management official or key employee position.

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

accompanied by a nonrefundable application fee of to be established by the Tribal Gaming

Commission.

14.2.7 The disclosure of an applicants social security number (SSN) is voluntary.

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

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

A fuse statement on any part of your application may be

grounds for not hiring you, or for firing you after you begin work.

Also, you may be punished by a fine or imprisonment. (18 U.S.C.

32
Section 1001).

14.2.9 If another tribe has previously employed the applicant, the Tribe or Tribal

Gaming Commission may request investigative information from the other tribe.

14.2.10 The Tribal Gaining Commission, its employees and agents and the Tribe,

its employees and agents shall promise to keep confidential the identity of each person

interviewed in the course of an investigation on an applicant for a gaming employee

license, as required by 25 CFR 556.4(b).

14.3 Review Procedure for Gaming EmpLoyee License Application. Before issuing

a gaming employee license, the Tribal Commission shall:

14.3.1 Perform or arrange to have performed the necessary background

investigation of the applicant required by this Ordinance. Such investigation shall include

contacting each reference provided in the application and taking all appropriate steps to

verify the accuracy of information contained in the application. Arrange for a law

enforcement agency to take the applicants fingerprints and forward them to either the

State of Gaming Commission or to the National Indian Gaming Commission to be

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

for a criminal records search.

The Tribal Gaming Commission may require asset and liability disclosure

for key employees and primary management officials when it deems that information

necessary to adequately protect the gaming enterprise and determine the suitability of a

particular individual for employment or continued employment.

Make the required reportings, outlined in subsection 14.4 below, to the

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

Review the persons prior activities, criminal record, if any, reputation,

habits and associations to make a finding concerning the eligibility of a key employee or

primary management official for employment in a gaming operation. Where the Tribal

Gaming Commission determines that employment 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

management official position.

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

other cause as the Commission may determine.

14.4 Procedures for Forwarding Applications and Reports for Key Employment

and Primary Management Officials to the National Indian Gaming Commission.

14.4.1 When a key employee or primary management official begins work at a

gaming operation authorized by this Ordinance, the Tribal Gaming Commission shall

33
forward to the National Indian Gaining Commission a completed application for

employment and an application for a tribal employee gaming license, conduct the

background investigation and make the eligibility determination regarding the issuance of

an employee gaming license.

14.4.2 The Tribe shall forward the report referred to in subsection 14.5 below, to

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

work.

14.4.3 The gaming operation shall not employ as a key employee or primaiy

management official a person who does not have an employee gaming license after ninety

(90) days. (Note: this time-line was developed by the National Indian Gaming

Commission and is difficult to implement given the time FBI checks take; therefore, a

good faith effort to meet this deadline is presumed to suffice.)

14.5 Report to the National Indian Gaming Commission.

14.5.1 Pursuant to the procedures set out in subsection 14.4 above, the Tribal

Gaming Commission, or designated agent thereof; shall prepare and forward to the

National Indian Gaming Commission an investigative report on each background

investigation. An investigative report shall include all of the following:

14.5. l.a Steps taken in conducting a background investigation;

14.5.l.b Results obtained;

14.5. l.c Conclusions reached, and

14.5. l.d The basis for those conclusions.

14.5.2 The Tribal Gaming Commission shall submit, with the report, a copy of the

eligibility determination.

14.5.3 If a license is not issued to an applicant, the Tribe or the Tribal Gaming

Commission shall:

14.5.3.1 Notify the National Indian Gaming Commission; and

14.5.3.2 May forward copies of its eligibility determination and

investigativ~ report (if any) to the National Indian Gaming Commission for

inclusion inthe Indian Gaming Individuals Records System.

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

34
Tribal Gaming Commission shall retain applications for employment and reports (if any) of

background investigations for inspection by the Chairman of the National Indian Gaming

Commission or his or her designee for seven (7) years and for not less than three (3) years

from the date of termination of employment.

14.6 Granting an Employee Gaming License.

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

Commission receives a report, the National Indian Gaming Commission notifies the Tribe

that it has no objection to the issuance of a license pursuant to a license application filed

by a key employee or primaiy management official for whom the Tribe has provided an

application and an investigative report to the National Indian Gaming Commission

(NIGC), the Tribe may issue a license to such applicant.

14.6.2 The Tribal Gaming Commission shall respond to a request for additional

information from the Chairman of the NLGC concerning a key employee or primary

management official who is the subject of a report. Such a request shall suspend the

thirty-day (30) period under subsection 14.6.1 above until the Chairman of the NIGC

receives the additional information.

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

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

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

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

account the objections itemized by the NIGC. The Tribal Gaming Commission shall make

the final decision whether to issue a license to such applicant.

14.7 Standards for Denial of a Key Employee or Primary Management

Official License. The Commission shall not license, hire or employ as a key employee or

primary management official in connection with Class H or Class ifi gaming, any person

who:

14.7.1 Isunderthe age of eighteen (18);

14.7.2 Has been convicted of or entered a plea of guilty or no contest to a

gambling offense, fraud or misrepresentation; or

14.7.3 Has been convicted of or entered a plea of guilty or no contest to any

offense in subparagraph 14.7.2 within the immediately preceding ten (10) years; this

provision shall not apply if that person has been pardoned by the Governor of the State

where the conviction occurred or, if the applicant/employee has been granted a waiver of

their criminal history background by the Tribal Council pursuant to the Tribal Waiver

Policy.

35
14.7.4 Ifperson 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.

14.7.5 Is found to have supplied false or misleading information or has omitted

material information on his license application or application for employment.

14.7.6 Provided further that the Tribal Gaming Commission may, by regulations,

add additional limitations and conditions for denial of said license.

14.8 Scope of Gaming Employee License. A gaming employee 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 Tribal Commission, upon written request of the licensee identiiying the proposed

new gaming facility, its location and the proposed gaming operator thereof.

14.9 Licensing Period. An employee 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 that the license became effective and the date that it expires. This license shall be subject to

annual reviews consisting of a name check, financial check and civil litigation check.

14.10 Renewals. A holder of an employee gaming license shall apply to the Tribal

Gaming Commission for a ienewal before his original license has expired, updating all information

contained in the original application.

14.11 Requirement to Produce License Upon Request. Any person receiving an

employee gaming license must carry that license upon his or her person during all working hours

and must produce that license upon the request of any law enforcement official with jurisdiction

over the gaming activity or any agent of the Tribe, the Tribal Gaming Commission, the NTGC or

\ the State Gaming Commission.

14.12 Permanent License Revocation of Employee Gaming License.

14.12.1 Grounds for Permanent Revocation. The Tribal Gaming Commission

may permanently revoke an employee gaming license, alter notice and an opportunity for a

hearing, for any of the following reasons:

14.12.1.1 The employee has withheld pertinent information on his

application;

14.12.1.2 The employee has made false statements on the application;

36
14.12.1.3 The employee has participated in gaming activity that was not

authorized by any tribal gaming license;

14.12.1.4 The employee has attempted to bribe a Tribal Council member,

Tribal Gaming Commissioner or other person in an attempt to avoid or circumvent

this Ordinance or any other applicable law;

14.12.1.5 The employee has offered something ofvalue or accepted a

loan, financing or other thing of value from a Tribal Gaming Commissioner, a

subordinate employee or any person participating in any gaming activity;

14.12.1.6 The employee has knowingly promoted, played or participated

in any gaming activity operated in violation ofthis Ordinance or any other

applicable law;

14.12.1.7 The employee has been knowingly involved in the falsification of

books or records that relate to a transaction connected with the operation of a

gaming activity;

14.12.1.8 The employee has violated any provision of this Ordinance or the

rules and regulations of the Tribal Gaming Commission;

14.12.1.9 The employee has been convicted of; or has entered a plea of

guilty or no contest to any crime involving gaming, fraud, theft, embezzlement,

misrepresentation or any other activity that, if perpetrated at his or her gaming

operato?s place of employment, would injure or pose a threat to the public

interest, or the integrity ofthe gaming activity, or the effective regulation of

gaming or enhance the dangers ofunfair, unsuitable, or illegal gaming practices;

14.12.1.10 The employee has been convicted or entered a plea ofguilty or

no contest to a crime involving the sale of ifiegal narcotics or controlled

substances;

14.12.1.11 The employee has failed to comply with any lawful order,

inquiry or directive of the Tribal Gaming Commission, the Tribal Council or any

administrative or judicial body of competent jurisdiction, arising from any gaming

activity whether or not subject to this Ordinance; or

14.12.1.12 The employee is determined to have present or prior activities,

including criminal record, or reputation, habits or associations that pose a threat to

the public interest or to the effective regulation of gaming, or create or enhance the

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

conduct of gaming.

37
14.12.2 Procedure for Permanent Revocation. Whenever the Tribal Gaming

Commission has reasonable cause to believe that an employee has violated any of the

conditions in section 14.12.1 or has failed to comply with any condition of his or her tribal

gaming license, or has failed to obtain a license, the Tribal Commission or its designee may

either undertake an investigation or serve upon such employee an Order to Show Cause

why the employees license should not be revoked, or why the employee should not be

enjoined from conducting gaming activities within the jurisdiction of the Tribe.

The Order shall state the grounds for which such revocation or injunction is

sought and that the. employee shall have an opportunity to present testimony and to cross

examine opposing witnesses, and to present any other evidence as to why revocation or

injunction should not be issued.

The hearing shall be set for not less than ten (10) days nor more than

fourteen (14) days from the date of notice. The hearing shall be governed in all respects in

accordance with the tribal law and Tribal Gaming Commission regulations.

14.13 Temporary Suspension of Employee Gaming License.

14.13.1 Grounds for Temporary Suspension. The Tribal Gaming Commission

may temporarily suspend an employee gaming license for not more than thirty (30) days

for any of the following reasons:

14.13.1.1 The employee has been charged with a violation of any gaming

law;

14.13.1.2 The employees continued employment as a primary

management official or key employee of a gaming enterprise or gaming activity

poses a threat to the general public;

14.13.1.3 The employee has made a material false statement in his or her

license application or application for employment;

14.13.1.4 The employee has participated in gaming activity unauthorized

by his or her tribal gaining license;

14.13.1.5 The employee has refused to comply with any lawful order of

the Tribal Gaming Commission, the Tribal Council, any other tribal body having

jurisdiction over the individual, the NIGC or the State Gaming Commission

pursuant to the Tribal-State Compact, arising from or relating to gaming.

14.13.2 Immediate Temporary Suspension. The Tribal Gaming Commission

shall immediately temporarily suspend an employee gaming license for not more than thirty

(30) days upon receipt of notification from the NIGC pursuant to 25 CFR Section 558.5

that reliable information exists that such gaming employee is not eligible for employment.

38
Upon receipt of such notification, the Tribal Gaming Commission shall notify the gaming

employee of the suspension and proposed revocation and the time and place for heaiing

under section 14.13.3 below.

14.13.3 Procedure for Temporary Suspension. The Tribal Gaming

Commission, upon reasonable cause to believe that a person has violated any of the

conditions in subsections 14.12.1, or has filed to comply with any condition of his or her

employee gaming license or of this Ordinance, constituting a direct and immediate threat

to the peace, safety, morals or health or welfare of the community or the gaming

enterprise, or upon the notification from the NIGC referred to in subsection 14.13.2, the

Tribal Gaming Commission or its designee shall issue a Notice of Temporaiy Suspension

of such persons employee gaming license, which shall be served upon the employee.

The notice shall state the grounds upon which such temporary suspension

is ordered and that the employee shall have an opportunity to present testimony and to

cross-examine opposing witnesses, and to present any other evidence as to why

suspension should not issue.

The employee shall immediately cease and desist operating in his or her

management position or in his or her capacity as a key employee upon receipt of the order,

but such person may file a Notice of Appeal with the Tribal Gaming Commission within

five (5) days of such receipt.

Upon receipt of such Notice of Appeal, the Tribal Gaming Commission

shall hold a hearing on the order within fourteen (14) calendar days of its receipt of the

appeal.

At the hearing, the employee shall have the opportunity to present

testimony and cross-examine witnesses, and present any other evidence as to why the

Temporary Suspension Order should not be issued. Such hearing shall be governed in all

respects by tribal law and Tribal Gaming Commission regulations.

SECTION 15. TRIBAL GAMING SERVICES VENDOR LICENSE

15.1 Requirement for Gaming Services Vendor License. No person or entity may

provide gaming services, gaming apparatus or gaming equipment to any gaming facility or gaming

\ operator unless such person or entity is the holder of a valid and current gaming services vendor

license issued by the Tribal Gaming Commission; provided, however, that such vendor may

automatically be granted said license if

15.1.1 The person or entity has a current, valid license or certificate 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 Tribal Gaming Commission 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.

15.1.2 Any license granted under subsection 15.1.1 may be revoked or suspended

39
by the Tribal Gaming Commission in the same manner and for the same reasons as

provided elsewhere in this Section.

15.2 Application for Gaming Services Vendor License. The application for this

license shall include all provisions included in the gaming employee license listed in Section 14.2

of this Ordinance with the following additional requirement:

15.2.1 A complete financial statement showing all sources of income for the

previous three (3) years, and assets, liabilities, and net worth as of the date of the

submission of the application.

15.3 Procedure for Licensing. Each applicant for a gaming services vendor license shall

submit a completed application to the Tribal Gaming Commission on forms provided by the

Commission. The gaming application shall contain such information, documentation and

assurances as may be required by the Commission and shall identii\j all of the applicants principals

and the applicants and each such principals personal and family history, personal and business.

references, criminal conviction record, business activities, financial aff~irs, prior gaming industry

experience and general education background.

Each application shall be accompanied by a fingerprint card(s) and photograph(s)

of the applicant and of each principal of the applicant in such form as required by the Tribal

Gaming Commission.

Upon receipt of a completed application, the Tribal Gaming Commission shall

forward a copy thereofto the State or to the NICIC, for an Fifi criminal information check

through the FBI National Criminal Information Center.

15.4 Fee for License. Any person or entity filing an application for a gaming services

vendor license pursuant to this Section shall pay to the Tribal Gaming Commission a fee, set by

the Commission, sufficient to compensate the Tribal Gaming Commission for the cost of the

background investigation and review ofthe license applications.

15.5 Background Investigation of Applicants. Upon receipt of an application for a

gaming services vendor license, the Tribal Gaming Commission 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 applicants principals.

The Tribal Gaming Commission shall conduct such other investigation of applicant

and its principals as may be deemed appropriate by the Commission.

15.6 Action by Tribal Gaming Commission. Except as provided in subsection

15.1.1, the Commission shall, as soon as practicable after completion of the background

investigation under subsection 15.4, either grant or deny the license.

The Tribal Gaming Commission may deny license to any applicant upon a

determination that the applicant, or any principal identified with such applicant:

40
15.6.1 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

15.6.2 Has failed to provide information reasonably required to investigate the

applicants suitability for a license or has fkiled to reveal any fact material to such

application or has fl~rnished any information that is untrue or misleading in connection

with such application.

15.7 Duration of License and Renewal. Any gaming services vendor license issued

by the Tribal Gaming 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

Tribal Gaming Commission takes final action on the renewal application.

Previously licensed applicants or applicants for renewal shall provide currently

updated application material but will not be required to resubmit historical data already available

to the Commission. The license shall be subject to an annual review consisting of such checks as

the Gaming Commission shall determine necessaly.

No additional background investigation of an applicant for license renewal shall be

required unless new information concerning the renewal applicants continuing suitability or

eligibility for a license has been presented to the Commission; except that, a new credit check shall

be performed, the status of the entitys regulatoiy licenses in other jurisdlictions, if applicable, shall

be checked and a litigation check shall be performed.

15.8 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 Tribal Gaming

Commission may suspend 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 justif~y

revocation of an original license or any renewal thereof pursuant to this Section.

No license shall be revoked or suspended except after notice and hearing under the

\ procedures described below.

A licensed person or entity shall be entitled to any payment due for services

provided or for goods deli~ered prior to the effective date of suspension or revocation of its

license.

15.8.1 When the Tribal Gaming Commission has reasonable cause to believe that

a person or entity holding a valid gaming services vendor license did not qualiI~ for said

license or that the person or entity or any principal ofthe entity has engaged in activities

that would justil~ denial of the renewal of said license, the Tribal Gaming Commission or

its designee shall issue a notice of suspension of such person or entitys license, which shall

be served upon the licensee at its principal place of business.

41
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 testimony and to cross-examine opposing witnesses, and to present any other

evidence as to why a permanent suspension should not be issued.

Such hearing shall be governed in all respects by tribal law and

Tribal Gaming Commission regulations.

15.8.2 When the Tribal Gaming 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, constitutes final Commission action for

purposes ofjudicial review under tribal law.

15.9 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, in an amount in excess of Fifly Thousand Dollars ($50,000.00) in

any twelve-month period, shall agree to cooperate with the Tribal Gaming Commission and the

Tribal and federal law enforcement in any investigation deemed necessary 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.

Any person or entity affected by a bar under this subsection shall have a right to

notice and hearing as provided in subsection 15.8.

15.10 Labor organizations are barred from represention of tribally licensed gaming employees at

tribally owned gaming facilities within the Tribes jurisdiction, consisent with federal law.

SECTION 16. GENERAL PROVISIONS GOVERNING OPERATION OF

TRIBALLY OWNED OR TRIBALLY OPERATED GAMING

FACILiTY

16.1 Maintenance of Records. The Tribal Gaming Commission shall insure that all

accounting records of each tribally licensed gaming facility is kept on a double entry system of

accounting, maintaining detailed, supporting, subsidiary records. The Tribal Gaming Commission

shall also insure that both the operator and the Tribal Gaming Commission maintain the following

records for not less than seven (7) years:

42
16.1.1 Revenues, expenses, assets, liabilities and equity by game at each location

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

16.1.2 Daily cash transactions for each game at each location at which any

component of Class ifi gaming is conducted, including but not limited to transactions

relating to each gaming table bank, game drop box and gaming room bank.

16. 1.3 For electronic games of chance, analytic reports that, by each machine,

compare actual hold percentages to theoretical hold percentages.

16.1.4 Contracts, correspondence and other transaction documents relating to all

vendors and contractors.

16. 1.5 Records of all tribal enforcement activities relating to gaming operated

under the Tribal-State Compact and other tribal laws.

16.1.6 All audits prepared by or on behalf of the Tribe.

16.1.7 Personnel information on all Class ifi gaming employees or agents,

including complete sets of each employees fingerprints, employee photographs, and

employee profiles and background investigations, except that employee work schedules

shall be maintained for a period of at least two (2) years. This provisions shall not include

personnel records of tribal members as to matters that are not related to gaming.

16.1.8 Records of background investigations and determinations for licensing.

16.1.9 The TribaJ Gaming Commission shall also be responsible for all the above

information pertaining to Class II Gaming owned or operated by the Tribe.

16.2 Management Contracts. Each management contract shall filly comply with

applicable federal regulations and is subject to the prior approval of the NIGC.

Before submission to the NTGC, each management contract shall be approved by

\ the Tribal Council with the advice and comment of the Tribal Gaming Commission. Before giving

final consideration to any proposed management contract, the Tribal Council shall direct the

Tribal Gaming Commission to conduct a complete background investigation of persons and

entities with a financial interest in, or having management responsibility for, the management

contract, including requiring the submission of all information required under 25 CFR Section

537.1, as amended, incorporated herein by this reference.

16.2.1 Background information on the proposed management contractor

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

direct financial interest or management responsibility for the proposed management

contractor; and in case of a corporation, the names and addresses of each member of its

43
board of directors and all stockholders who hold directly or indirectly ten (10%) percent

or more of its issued or outstanding stock.

16.2.2 A description of any previous experience that each person listed in

subsection 16.2.1 above has had with other gaming contracts with Indian tribes or with

any gaming activity or operation wherever located, including the name and address of any

tribal government or licensing agency with which such person has applied, or held a

contract, license, or other agreement or permit relating to gaming, whether granted or not.

16.2.3 A complete financial statement of each person listed in subsection 16.2.1

for the past three (3) years.

16.2.4 The Tribal Gaming Commission shall contact each of the tribal

governments and licensing agencies in subsection 16.2.2 to determine the performance

histoiy of the proposed management contractor.

16.2.5 The Tribal Gaming Commission shall arrange to have each proposed

management contractor investigated to learn ofhis or her personal attributes and to

determine whether he or she has a prior criminal record or any pending criminal charges.

16.2.6 The Tribal Gaming Commission shall obtain an independent verification of

the completed financial statements of the proposed management contractor.

16.2.7 The Tribal Gaming Commission shall undertake any additional steps it can

to determine the character and reputation of the proposed management contractor and

each person listed in subsection 16.2.1.

16.2.8 If the Tribal Council, after reviewing the information described above, still

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

such management contract shall be made in writing and submitted to the Tribes

attorney(s) for review.

16.2.9 Any management contract approved by the Tribal Council must include at

a minimum, with respect to the gaming activity to which the contract is applicable, all of

the required provisions contained in 25 CFR Section 531.1, as amended, incorporated

herein by this reference.

16.2.10 All persons who possess an ownership or management position in

the proposed management contract shall apply for a gaming employee license under this

Ordinance. No management contract shall be approved by the Tribal Council until all

gaming employee license applications have been reviewed and the Tribal Gaming

Commission has submitted written findings on such application(s) to the Tribal Council.

44
16.2.11 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.

16.3 Each tribally owned or tribally operated gaming f~dility shall carry sufficient

liability insurance to protect the public in the event of an accident, and in any event, such coverage

must meet the level required by the Tribal-State Compact.

SECTION 17. CONFLICT OF INTEREST

17.1 No person employed by the gaming enterprise may have a direct or indirect

interest in any gaming-related contract with the Tribe, nor may they be employed by any person

who has a gaming-related contract with the Tribe.

Definition. A direct or indirect interest is one in which the employee has an economic

interest or receives personal gain from the transaction in question.

17.2 An employee of the gaming enterprise may have an interest in a nongaming-related

contract with the Tribe or with the gaming enterprise if such employee makes a full disclosure to

the Tribal Gaming Commission prior to such contract and the Gaming Commission finds that the

contract is not unfair to the gaming enterprise and is satisfied that the contract is nongaming

related. This clause seeks to avoid the appearance of a conflict of interest while not altering the

original conflict of interest prohibition contained in the Tribal-State Compact.

SECTION 18. CONDUCT OF GAMES

18.1 The conduct of Class ifi games shall be as provided for in Section V of the TribalState Compact.

18.2 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.

18.3 The premises where any gaming is conducted shall at all times be open to

\ inspection by the Stockbridge-Munsee Tribal Council and the Tribal Gaming Commission, and

such other inspections as may be required by federal regulations or the Tribal-State Compact.

18.4 Gaming may be conducted each and every day of the week at any hour of the day

or night, at the discretion of the Tribal Gaming Commission and the General Casino Manager,

EXCEPT that Blackjack, according the Tribal-State Compact, shall not be played at any location

for more than eighteen (18) hours in any day.

18.5 The Tribal Council shall retain the sole authority to set limits on gaming.

18.6 All employees who are working at a tribal gaming enterprise shall be clearly

45
identified with legible tags evidencing their names and shall be licensed pursuant to federal and

tribal regulations.

SECTION 19. SALE OF ALCOHOL

19.1 The sale of alcohol shall be governed by the Stockbridge-Munsee Liquor

Ordinance and Section V.F. of the Tribal-State Compact.

SECTION 20. JURISDICTION AND ENFORCEMENT

20.1 Jurisdiction. Except as provided in this Ordinance or in any Tribal-State Compact

under the IGRA, the Tribal Court shall have jurisdiction over all violations of this Ordinance.

Until such time as the Tribal Court is functioning, the Tribal Council shall act in its stead under

this Ordinance.

20.2 Prohibited Acts. In addition to other civil and criminal offenses provided for in

this Ordinance or under other applicable law, the following acts are prohibited and subject any

violator to the civil or criminal penalties specified herein:

20.2.1 Knowingly making a filse statement in an application for employment with

any gaming operator or with the Tribal Commission.

20.2.2 Knowingly making a false statement in connection with any contract to

participate in any gaming activity.

20.2.3 Bribing or attempting to bribe any person participating in any gaming

activity orin the Tribal Government.

20.2.4 Offering or accepting a loan, financing or other thing ofvalue between a

Tribal Commission member or tribal gaming employee or tribal government official and

any person participating in any gaming activity, excluding the tribal loan program.

20.2.5 Failing to keep sufficient books and records to substantiate receipts,

disbursements and expenses incurred or paid from any gaming activity authorized pursuant

to this Ordinance.

20.2.6 Falsifying any books or records that relate to any transaction connected

with any gaming activity pursuant to this Ordinance.

20.2.7 Conducting or participating in any gaming activity that in any manner

results in cheating or misrepresentation or that allows any other disreputable tactics that

detract from the fair nature and equal chance ofparticipation between gaming players, or

that otherwise creates an advantage over and above the chance of such gaming activity

46
and that affects its outcome.

20.2.8 To conduct a gaming activity with or to allow participation in a gaming

activity by an intoxicated or disorderly player.

20.2.9 To allow or participate in the sale of liquor at gaming sites if such sale is

prohibited by tribal law; to allow the sale of alcohol to anyone below the age of twentyone (21), or below the age permitted under Wisconsin State law.

20.2.10 To accept consideration other than money, personal checks or other

approved consideration for the chance to play or participate in any gaming activity.

20.2.11 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.

20.2.12 To tamper with a gaming device or conspire to tamper or manipulate the

outcome or the payoff of a gaming device, or otherwise interfere with the proper

functioning of the machine.

20.2.13 To alter or counterfeit a gaming license.

20.2.14 To aid, abet or conspire with another person knowingly, or knowingly to

cause any person to violate any provision of this Ordinance or any rules and regulations

adopted hereunder.

20.2.15 To operate, use or make available to the public any ifiegal gaming device,

apparatus, material or equipment.

20.2.16 To sell or hold out for sale or transport into or out of the jurisdiction of

the Tribe any illegal gaming device, apparatus, material or equipment.

20.2.17 To assist or allow a person who is under age to participate in any gaming

activity.

20.2.18 To possess any illegal narcotics or controlled substances on any licensed

gaming site.

20.2.19 To steal or attempt to steal funds or other items of value from any gaming

facility or from the Tribal Gaming Commission.

20.2.20 No gaming operator shall knowingly employ any person who has been

convicted of or entered a plea of guilty or no contest to a crime of theft, embezzlement,

fraud or other gaming crime, unless that person is eligible for and has received an official

47
waiver from the Tribal Council.

20.2.2! To conspire with or induce any person to violate any ofthe provisions of

this Ordinance or any tribal, federal or applicable state law.

20.2.22 No gaming operator or any of his or her employees or agents shall engage

in any act, practice, or course of operation that could result in a fraud or deceit upon any

person.

20.2.23 To use bogus or counterfeit chips, or to substitute or use any game,

cards, or gaming equipment that have been marked or otherwise altered.

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

device to facilitate cheating in any game of chance.

20.2.25 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.

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

any game of chance.

20.3 Civil Violation. Any person who violates any provision of the Ordinance or any

rule or regulation authorized hereunder, or fails or neglects to comply with any order ofthe Tribal

Gaming Commission, shall be liable for civil 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.

20.3.1 Any person who violates any provision of this Ordinance or any rule or

regulation authorized hereunder shall be subject to the Indian Gaming Regulatoiy Act, 27

U.S.C. 2713, which states that civil penalties for such violations of tribal law or the federal

act may result in fines not to exceed twenty-five thousand ($25,000) against a tribal

operator or management contractor.

20.4 Cumulative Fines. All civil fines accruing under this Ordinance shall be

cumulative and a suit for the recovery of one fine shall not bar or affect the recovery of any other

fine, judgment, penalty, forfeiture or damages, nor bar the power of the Tribal Court (or the

Tribal Council) to punish for contempt, nor bar any criminal prosecution.

20.5 Purpose of Civil Penalties. The civil 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 ofthe Tribe and the tribal community

and to compensate the Tribe for costs incurred by the Tribe in enforcing this Ordinance. The civil

48
fines under this Ordinance are also intended to coerce persons into complying with this Ordinance

and the Tribal Gaming Commission regulations and not to punish such persons for violation of

such laws and regulations.

20.6 Civil Action for Penalties. In enforcing the civil infraction provisions of this

Ordinance, the Tribal Gaming Commission shall proceed, in the name of the Tribe, by civil

complaint pursuant to the provisions of this Ordinance. The Tribal Gaming Commission in such

action shall have the burden of showing, by the preponderance of the evidence, that such person

violated the applicable provision of this Ordinance.

20.7 Seizure and Forfeiture of Property. All property utilized in violation of this

Ordinance shall be subject to seizure and forfeiture by order of the Tribal Court, or Tribal

Council, pursuant to tribal law.

20.8 Reporting of Offenders. Upon final order of the Tribal Court in any action for

civil violation under this Ordinance, the Clerk of the Tribal Court shall notif~j the Tribal Gaming

Commission in writing of the final court disposition.

In the event that the tribal court is not functioning, the Tribal Council Secretary shall

inform the Tribal Gaming Commission, in writing, of a final determination on any action for civil

violation under this Ordinance.

20.9 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 Tribal Gaming Commission shall

seek assistance from Federal agents for enforcing tribal gaming laws.

49
SECTION 21. 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

uuill force and effect.

Legislative History

1. November 3, 1993 amendments amend Gaming Ordinance Section 5, to incorporate Bingo and

Gaming Boards into one entity Gaming Board.

2. March 19, 1993 - Ordinance revised in its entirety. Approved by Tribal Council 6/1/93.

3. July 27, 1993 - Ordinance combined both Class H and Class ifi gaming, approved by Tribal

Council 8/19/93. Approved by National Indian Gaming Commission and published in the Federal

Register December 14, 1993.

4. March 21, 1995 - Ordinance revised in its entirety, creating a Gaming Commission instead of a

Gaming Board to regulate the tribal gaming enterprise(s).

5. May 24, 1995 - Council adopted resolution 1498-95 approving revisions to Gaming

Ordinance.

6. _________________________

NIGC approval of revisions.

50