STOCKBRIDGE-MUNSEE GAMING ORDINANCE

Table of Contents

1. Purpose

2. Qualifications for Appointment to Board

B. Responsibilities of the Board

C. Reporting

D. Limitations of the Board

E. Board travel

GAMING MANAGEMENT; POWERS, DUTIES AND

LIMITATIONS 11

1. Purpose

2. Qualifications

B. Responsibilities of Manager

C. Reporting

AUDIT 13

PROTECTION OF THE ENVIRONMENT AND PUBLIC

HEALTH AND SAFETY 13

LICENSE FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS 13

A. Definitions

B. Application Forms

Section I.

Section II.

Section III.

Section IV.

Section V.

Section VI.

Section VII.

Section VIII.

Section IX.

Purpose

SHORT TITLE

GAMING AUTHORIZED

INTERPRETATION

OWNERSHIP OF GAMING

DEFINITIONS

USE OF GAMING REVENUE

HANDLING OF GAMING RECEIPTS

TRIBAL COUNCIL: POWERS AND DUTIES

GAMING BOARD; POWERS, DUTIES AND

LIMITATIONS

I

1

1

1

1

2

4

4

5

6

Section X.

Section XI.

Section XII.

Section XIII.
C.

D.

E.

F.

Section XIV.

Section XV.

Section XVI.

B.

C.

Section XVII.

Section XVIII.

Section XIX.

Section XX.

Section XXI.

Section XXII.

Section XXIII.

Background Investigations

Eligibility Determination

Procedures for Forwarding Applications and Reports

Report to the National Indian Gaming Commission

LICENSING OF OTHER EMPLOYEES 21

FINANCIAL REPORTS 22

EMPLOYMENT QUALIFICATIONS 22

The Tribes Waiver Policy

Preference

CONFLICT OF INTEREST 23

DISPUTE RESOLUTION PROCEDURE 24

CONDUCT OF GAMES 24

Bingo: NonProfit Organization:

SALE OF ALCOHOL 27

VIOLATION: JURISDICTION 27

AGE REQUIREMENTS 28

REPEAL 28
STOCKERIDGEMUNSEE COMMUNITY

GAMING ORDINANCE

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Purpose

The Stockbridge-Munsee Tribal Council, empowered by the

StockbridgeMunsee Constitution to enact ordinances, hereby

enacts this ordinance in order to set the terms for class II and

class III gaming operations (hereinafter gaming) on tribal

lands; further, to assure that gaming in the StockbridgeMunsee

Community is conducted fairly and honestly by both the operator

and the players according to the regulations and standards set

forth herein; and finally, to produce revenue for support of the

programs which promote the health, education, welfare and

economic development of the StockbridgeMunsee Community.

Section I. SHORT TITLE

This Ordinance may be cited as the Stockbridge-Munsee Gaming

Ordinance, regulating both Class II and Class III Gaming.

Section II. GAMING AUTHORIZED

Class II gaming as defined in the Indian Gaming Regulatory

Act, P.L. 100447, 25 U.S.C. Section 2703(7)(a) (IGRA) and Class

III gaming as defined by 25 U.S.C. Section 2703(8). by the

regulations promulgated by the National Indian Gaming Commission

at 25 C.F.R. section 502.3 (as published in the Federal Register

at 57 FR 1238212393, April 9, 1992) and by the Tribal/State

Compact signed in February of 1992, is hereby authorized.

Section III. INTERPRETATION

This Ordinance shall be deemed a reasonable and proper

exercise of the police power of the StockbridgeMunsee Tribe for

the protection of the public health, welfare and safety of the

people of the StockbridgeMunsee Reservation and all other people

who enter the Reservation for lawful purposes. The provisions of

this Ordinance shall be liberally construed for the

accomplishment of this purpose.

Section IV. OWNERSHIP OF GAMING

The Stockbridge-Munsee Community shall be the sole operator,

conductor, manager and owner of all gaming enterprises on the

StockbridgeMunsee Reservation.

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Section V. DEFINITIONS

A. Class II gaming means:

1. the game of chance commonly known as bingo

(whether or not electronic, computer, or other

technologic aids are used in connection therewith)

a. which is played for prizes, including

monetary prizes, with cards bearing numbers

or other designations,

b. in which the holder of the card covers such

numbers or designations when objects,

similarly numbered or designated, are drawn

or electronically determined, and

c. in which the game is won by the first person

covering a previously designated arrangement

of numbers or designations on such cards,

including (if played in same location) pull

tabs, lotto, punch boards, tip jars, instant

bingo and other games similar to bingo, and

2. card games that

a. are explicitly authorized by the laws of the

State, or

b. are not explicitly prohibited by the laws of

the State and are played at any location in

the State, but only if such card games are

played in conformity with those laws and

regulations (if any) of the State regarding

hours or periods of operation of such card

games or limitations on wagers or pot sizes

in such card games.

Class II gaming does not include

a. any banking card games, including baccarat, chemin

de fer, or blackjack (21), or

b. electronic or electromechanical facsimiles of any

game of chance or slot machines of any kind.

B. Class III gaming means all forms of gaming that are not

class I gaming or class II gaming, more specifically,

as provided for in the Compact:

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1. Electronic games of chance with video

facsimile displays;

2. Electronic games of chance with mechanical

displays;

3. Blackjack; and

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.

C. Bingo Occasion means a single gathering or session at

which a series of successive bingo games are played.

D. Gross Receipts (for bingo) means receipts from the sale

of shares, tickets, or rights in any manner connected

with participation in a game of bingo or the right to

participate therein, including any admission fee,

charge, the sale of equipment or supplies,

concessionary sales and all other income from the bingo

operation.

E. Net Revenues means gross revenues of an Indian gaming

activity less amounts paid out as, or paid for, prizes

and total operating expenses, excluding management

fees.

F. Tribe means the StockbridgeMunsee Community, a

federally recognized Indian Tribe.

G. Tribal Council means the Tribal Council specified in

Article IV of the StockbridgeMunsee Constitution and

Bylaws.

I-I. Fraud means intentional deception resulting in an

injury to another, for example, loss of property or

assets.

I. Gaming related contract means any agreement under which

the Tribe procures for gaming any materials, supplies,

equipment or services that are unique to the operation

of gaming and not common to ordinary Tribal operations.

(See section VII of Gaming Compact.

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J. Gaming Board means the StockbridgeMunsee Gaming Board

as established under this Ordinance.

K. Key employees (see Section XI, License for Key

Employees and Primary Management Officials)

L. Primary Management (see Section XI).

M. Gaming Enterprise -

The Mohican Northstar Casino and

Bingo.

N. Charitable organization means an organization having

the character or purpose of a charity. The word

charitable in a legal sense includes every gift for a

general public use, to be applied consistent with

existing laws, for benefit of an indefinite number of

persons and designed to benefit them from an

educational, religious, moral, physical or social

standpoint.

Section VI. USE OF GAMING REVENUE

A. Net revenues from class II and class (II gaming shall

be used~only for the following purposes: to fund

tribal government operations and programs; provide for

the general welfare of the Tribe and its members;

promote tribal economic development; donate to

charitable organizations; or help fund operations of

local government agencies.

B. If the Tribe elects to make per capita payments to

tribal members, it shall authorize such payment only

upon approval of a plan submitted to the Secretary of

the Interior under 25 U.S.C. section 2710(b)(3).

Section VII. HANDLING OF GAMING RECEIPTS

A. All monies collected or received from the operation of

the Gaming Casino from any source shall be deposited in

a special bank account of the StockbridgeMunsee Gaming

Enterprise which shall contain only such money. All

operating expenses shall be withdrawn from such account

by consecutively numbered checks duly signed by the

General Casino Manager and a designated member of the

Gaming Board and shall be payable to a specific person

or organization. No check shall be drawn to cash or

a fictitious payee.

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B. Any cash prize over $2,500 may be paid partially by

cash, not to exceed a maximum cash payout of $2,500,

with the remaining balance to be paid by check. The

General Casino Manager or Assistant General Casino

Manager may be the primary signatories of such checks,

and a separate itemization of all such checks shall be

included in the General Casino Managers weekly

reports.

C. The General Casino Manager shall ensure that the

enterprise complies with the provisions of Section XIII

of the Compact pertaining to taxes.

Section VIII. TRIBAL COUNCIL: POWERS AND DUTIES

A. This Ordinance is authorized and adopted by the

StockbridgeMunsee Tribal Council pursuant to its

powers under Article Vu, Section 1, paragraphs (f) and

(g) of the Constitution and Bylaws of the Stockbridge

Munsee Reservation.

B. The Stockbridge-Munsee Tribal Council may further

delegate responsibilities under the Constitution to

subordinate organizations in order to carry out the

terms of this Ordinance and assure compliance with the

Indian Gaming Regulatory Act, the State Compact and all

other regulations, policies and procedures promulgated

therefrom.

C. The StockbridgeMunsee Tribal Council shall retain the

exclusive power to enter into agreements or compacts

with the federal government, states, tribes, counties,

municipalities and other local governments or entities.

D. The Stockbridge-Munsee Tribal Council shall retain the

exclusive power to 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.

E. The StockbridgeMunsee 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, council shall have review of said

contracts prior to signing.

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F. The StockbridgeMunsee Tribal Council shall give final

approval to all gaming-related policies and procedures

and any rules or regulations promulgated pursuant to

this Ordinance, as recommended by the Board.

G. The Tribal Council shall establish the use of gaming

revenues transferred from the gaming enterprises in

accordance with this ordinance and applicable laws for

use of such revenues according to Tribal needs and

requirements for continued growth.

H. The Tribal Council may act as an appellate court for

disputes arising under this Ordinance or policies and

procedures developed for the Gaming Enterprise.

I. 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.

J. The Tribal Council has authority to appoint and dismiss

Gaming Board members.

K. The Tribal Council shall hire and supervise the Casino

General Manager and shall hire Casino Financial

Manager.

Section IX. GAMING BOARD; POWERS, DUTIES AND LIMITATIONS

A. There shall be a Gaming Board (Board) to monitor the

operations of the tribal gaming enterprises, insuring

that those operations follow sound business practices

and reflect the strategic interests and objectives of

the Tribe. Seven members shall be appointed by Tribal

Council to the Gaming Board and members shall serve a

term of two years. The terms shall be staggered, such

staggering to be achieved by allowing three of the

first seven Board Members to serve a oneyear term,

three~ to serve a twoyear term, and one member shall

serve a threeyear term. Thereafter, all appointments

shall be for a twoyear term. Vacancies shall be

filled by appointment by the Stockbridge-Munsee Tribal

Council.

1. Purpose

The purpose of the Board is to monitor the

operations of the tribal gaming enterprises and to

insure compliance with policies, procedures and

regulations developed pursuant to this Ordinance,

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the Tribal-State Compact and Guidelines

promulgated by the National Indian Gaming

Commission and the Secretary of Interior.

2. Qualifications for Appointment to Board

a. Shall be an enrolled member at least twenty

one years of age.

b. No individual shall be eligible for

appointment to, or to continue services on

the Board, who:

1) Has been convicted of or pleaded guilty

to a felony, a gaming related offense or

a crime of fraud as defined in this

Ordinance, unless granted a waiver by

the Tribal Council;

2) Has any financial interest in, or

management responsibility for any gaming

activity operated by the Tribe or

operated by a competitor of the Tribe,

or any direct or indirect interest in

any gamingrelated contract with the

Tribe;

3) Has any conflict of interest as defined

in this Ordinance.

c. Shall meet one of the following criteria:

Experience of at least one year in:

1) Business Management

2) Economic Development

3) Marketing

4) Law

5) Finance

6) Accounting

7) Gaming

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8) Security/Law Enforcement, or

9) Formal training in any of the above

d. Shall not serve in any elected position in

the StockbridgeMunsee Tribe while at the

same time serving as Gaming Board member.

e. Compensation shall be paid for attendance at

meetings consistent with tribal practice and

policy as set forth in the Operations and

Procedure Manual and approved by Tribal

Council. Must attend meetings in order to

receive compensation.

B. Responsibilities of the Board

1. Board shall create and implement a set of bylaws

governing gaming enterprises, such bylaws being

consistent with provisions of Constitution,

Ordinance, Tribal-State Compact and Federal Gaming

Regulations and overall tribal objectives, subject

to Tribal Council approval.

2. Board shall have power of review and approval over

all gaming-related expenditures over five thousand

dollars; however, any expenditure over twenty

thousand dollars must also be reviewed and

approved by Tribal Council.

3. Board shall monitor operations of the gaming

business to insure that Management follows sound

business practices.

4. Board shall monitor operations of the gaming

business to insure that Management complies with

existing policies and procedures.

5. The Board shall review each policy for compliance

with this Ordinance, the Compact, Constitution,

Federal Regulations and for overall compatibility

with goals of the tribe, such as tribal member

employment. Board shall approve policies and

procedures and submit to Tribal Council for final

approval.

6. Board shall insure that routine business practices

comply with the long-term interests and objectives

of the Tribe.

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7. Board shall meet monthly on a fixed day. Special

meetings may be called by the Boards chair when

necessary, provided that such meetings are posted

48 hours in advance in the normal Tribal posting

places and are open to the public.If requested by

the General Manager, the chair is responsible for

calling a board meeting within 48 hours of

receiving General Managers request.

Emergency meetings may be held and emergency must

be documented.

8. A simple majority vote at a meeting in which a

quorum (four members) is present constitutes a

decision by the Board. In the absence of the

Chairperson, the Vicechair shall preside over the

meeting.

9. Board has authority and may hear grievances

pursuant to the grievance policy. Hearing~ of

grievances that have not followed the proper

procedure pursuant to policy shall be grounds for

removal from the Board.

10. No Board Member shall act independently of the

Board. Any such acts may be considered grounds

for removal.

11. Board may inspect and examine all premises where

gaming is conducted.

12. Board may inspect and examine all reports

necessary to fulfill their regulatory duties.

13. Board shall review licenses and licensing policy

as may be deemed necessary to insure that Compact

and Federal Regulations have been followed.

14. Board shall monitor and review Gaming management

plans, budgets and projects to insure

implementation of all directives from the Tribal

Council.

15. Board shall maintain the confidentiality of

information specified as confidential and

violation of confidentiality shall be grounds for

removal.

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16. The Board shall take those measures necessary to

investigate any alleged violation of policy or law

within the gaming enterprise.

17. Executive session when deemed necessary by the

Board. No decisions will be made in Executive

session.

C. Reporting

1. The Board, in conjunction with the General

Manager, shall submit to Tribal Council by June

first, an annual Plan of Operation, including:

budgets, annual audit statements, an annual report

describing progress against business goals in the

past year, quarterly business balance sheets and a

profit and loss statement.

2. Board shall submit to Tribal Council copy of

minutes from each Board meeting as soon thereafter

as minutes are available, and any other records

that Tribal Council might request.

D. Limitations of the Board

The Board is an oversight and regulatory body

responsible for insuring that Management operates

according to the policies and procedures developed by

Management and within the Bylaws developed by the

Board. The Board must also exercise oversight to

insure that policies and procedures developed by

Management comply with Compact and Federal Regulations.

Where noncompliance is detected, the Board has the

responsibility of pointing out such noncompliance and

making recommendations, both to Tribal Council and to

Management, to remedy the situation. The Boards

powers do not extend to making day to day management

decisions.

E. Board travel will be submitted to Tribal Council for

prior approval. Travel reports will be completed and

submitted to Council.

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Section X. GAMING MANAGEMENT; POWERS, DUTIES AND LIMITATIONS

A. The General Manager (Manager) is 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

Board and the Tribal Council. The Manager shall be

hired by the Tribal Council with consultation from the

Board. The Manager may be removed by the Tribal

Council for cause. Grounds for removal must be clear

and strictly limited to objective evidence of poor

performance.

1. Purpose

The purpose of the Manager, and the management

structure s/he creates, is to oversee the daytoday activities, make the day-to-day business

decisions and create a successful gaming business.

2. Qualifications

The Manager shall have the experience and

demonstrated skills necessary to manage a growing

gaming enterprise according to the job

description.

B. Responsibilities of Manager

1. Day-to-day business management, including, but not

limited to such things as hiring, contracting,

payroll and schedules.

2. Hiring staff. All staff ultimately report to

Manager.

3. Operating policies and procedures. It is the

responsibility of the Manager, in consultation

with the Board, to develop and implement operating

policies and procedures for the gaming enterprise,

including personnel, financial management,

contracting, purchasing, marketing and other areas

as needed.

4. Annual Plan of Operation. Manager shall submit

annual plan to Board for review and approval.

Plan shall contain the following:

a. Operating budget

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b. Capital budgets

c. Growth target

d. Staffing requirements (including training)

e. Expense/revenue projections

Plan shall be submitted in a timely fashion,

taking into consideration the June first deadline

that Board must submit same to Tribal Council.

5. Accounting for Gaming funds. Manager is

responsible for keeping accurate, upto--date

financial records and accounts of all business,

and for hiring or contracting with necessary

resources to do so (subject to terms of Compact,

this Ordinance and federal law).

6. Manager shall be familiar with all terms of the

Compact and be directly responsible for managing

the gaming enterprise in compliance with the

Compact.

7. Manager shall be familiar with the terms of the

National Indian Gaming Commission regulations

effective February 22, 1993, and operate both

Class II and Class III Gaming in compliance with

said regulations.

8. Manager may delegate that authority necessary to

insure compliance with rules and regulations and

effect a more efficient and productive operating

environment.

9. Manager shall insure that a system for bonding of

all employees is in place.

C. Reporting

The Manager shall provide Board and Tribal Council with

a monthly financial report. Annual Plan of Operation

shall be submitted to the Board annually, who in turn,

after review and approval, submits same to Tribal

Council.

The Manager shall notify Board of travel plans and of

all times that he or she plans to be away.

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Section XI. AUDIT

A. The Tribe shall cause to be conducted annually an

independent audit of gaining operations and shall submit

the resulting audit reports to the National Indian

Gaming Commission. Compact terms for audit shall be

followed for audit of class III games.

B. All gaming related contracts that result in the

purchase of supplies, services, or concessions in

excess of $25,000.00 annually, except contracts for

professional legal and accounting services, shall be

specifically included within the scope of the audit

that is described in section A. above.

Section XII. PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND

SAFETY

Class II and Class III gaming facilities shall be

constructed, maintained and operated in a manner that adequately

protects the environment and the public health and safety.

Section XIII. LICENSE FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS

Pursuant to 25 CFR 556.4, the Tribe shall ensure that the

policies and procedures set out in this section are implemented

with respect to key employees and primary management officials

employed at any class II and class III gaming enterprise operated

on Indian lands:

A. Definitions

For the purpose of this section, the following definitions

apply:

1. Key employee means

(a) A person who performs one or more

of the following functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies

or cash;

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(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices

including persons with access to

cash and accounting records within

such devices;

(b) If not otherwise included, any other

person whose total cash compensation is

in excess of $50,000 per year; or

(C) If not otherwise included, the four

most highly compensated persons in the

gaming operation.

2. Primary management official means

(a) The person having management

responsibility for a management

contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the

gaming operation; or

(3) The chief financial officer or other

person who has financial management

responsibility.

B. Application Forms

1. Pursuant to 25 CFR 556.2 the following notice

shall be placed on the application form for a new

key employee or a primary management official

before that form is filled out by an applicant:

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In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation of the

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

2701 et seq. The purpose of the requested information

is to determine the eligibility of individuals to be

employed in a gaming operation. The information will

be used by National Indian Gaming Commission members

and staff who have need for the information in the

performance of their official duties. The information

may be disclosed to appropriate Federal, Tribal, State.

local, or foreign law enforcement and regulatory

agencies when relevant to civil, criminal or regulatory

investigations or prosecutions, or when pursuant to a

requirement by a tribe or 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 the tribe or a gaming operation.

Failure to consent to the disclosure indicated in this

notice will result in a tribes being unable to hire

you ma primary management official or key employee

position.

The disclosure of your Social Security Number (SSN) is

voluntary. However, failure to supply a SSN may result

in errors in processing your application.

2. Existing key employees and primary management

officials shall be notified in writing that they

shall either:

a. Complete a new application form that contains

a Privacy Act notice; or

b. Sign a statement that contains the Privacy

Act notice arid consent to the routine uses

described in that notice.

3. Pursuant to 25 CFR 556.3, the following notice

shall be placed on the application form for a key

employee or a primary official before that form is

filled out by an applicant.

A false statement on any part of

your application may be grounds for

not hiring you, or for firing you

after you begin work. Also, you

may be punished by a fine or

imprisonment.

(U.S. Code, title 18, section 1001).

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4. The Tribe shall notify in writing existing key

employees and primary management officials that

they shall either:

a. Complete a new application form that contains

a notice regarding false statements; or

b. Sign a statement that contains the notice

regarding false statements.

C. Background Investigations

1. The Tribe shall request from each primary

management official and from each key employee all

of the following information:

a. Full name, their names used (oral or

written), social security number(s), birth

date, place of birth, citizenship, gender,

all languages (spoken or written);

b. Currently and for the previous 5 years:

business and employment positions held,

ownership interests in those businesses,

business and residence addresses, and driver

license numbers;

c. The names and current addresses of at least

three personal references who were acquainted

with the applicant during each period of

residence listed under paragraph (l)(b) of

this section;

ci. Current business and residence telephone

numbers;

e. A description of any existing or previous

business relationships with Indian tribes,

including ownership interests in those

businesses;

f. A description of any existing and previous

business relationships with the gaming

industry generally including ownership

interests in those businesses;

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g. The name and address of any licensing or

regulatory agency with which the person has

filed an application for a license or permit

related to gaming, whether or not such

license or permit was granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the

name and address of the court involved, and

the date and disposition if any;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor

traffic violations), within 10 years of the

date of the application, the name and address

of the court involved and the date and

disposition;

j. For each criminal charge (excluding minor

traffic charges), whether or not there is a

conviction, if such criminal charge is within

10 years of the date of the application and

is not otherwise listed pursuant to paragraph

(l)(h) or (1)(i) of this section, the

criminal charge, the name and address of the

court involved and the date and disposition;

k. The name and address of any licensing or

regulatory agency which the person has filed

an application for an occupational license or

permit, whether or not such license or

permit was granted;

1. A current photograph;

m. Any other information the Tribe deems

relevant; and

n. Fingerprints consistent with procedures

adopted by the Tribe according to 25 C.F.R.

section 522.2(h).

o. If another tribe has previously employed the

applicant, Tribe may request investigative

information from the other tribe.

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2. The Tribe shall conduct an investigation

sufficient to make a determination under

subsection D below. In conducting a background

investigation, the Tribe or its agent shall

promise to keep confidential the identity of each

person interviewed in the course of the

investigation.

3. The Tribe may require asset and l;iability

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.

D. Eligibility Determination

The Tribe shall review a persons prior activities,

criminal record, if any, and 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. If the

Tribe 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. (see

Section XIII for more information).

E. Procedures for Forwarding Applications and Reports for

Key Employee and Primary Management Officials to the

National Indian Gaming Commission

1. When a key employee or primary management official

begins work at a gaming operation authorized by

this ordinance, the Tribe shall forward to the

National Indian Gaming Commission a completed

application for employment, conduct the background

investigation and make the determination referred

to in subsection D of this section.

2. The Tribe shall forward the report referred to in

subsection F of this section to the National

Indian Gaming Commission within 60 days after an

employee begins work or within 60 days of the

approval of this ordinance by the Chairman of the

National Indian Gaming Commission.

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3. The gaming operation shall not employ as a key

employee or primary management official a person

who does not have a license after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E

of this section, the Tribe shall prepare and

forward to the National Indian Gaming Commission

as investigative report on each background

investigation. An investigation report shall

include all of the following:

a. Steps taken in conducting a background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Tribe shall submit, with the report, a copy of

the eligibility determination made under

subsection D of this section.

3. If a license is not issued to an applicant, the

Tribe:

a. Shall notify the Indian Gaming Commission;

and

b. May forward copies of its eligibility

determination and investigative report (if

any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming

Individuals Records System.

4. With respect to key employees and primary

management officials, the Tribe 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 no less than three (3)

years from the date of termination of employment.

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G. Granting a Gaming License

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 primary

management official for whom the Tribe has

provided an application and investigative report

to the National Indian Gaming Commission, the

Tribe may issue a license to such applicant.

2. The Tribe shall respond to a request for

additional information from the Chairman of the

National Indian Gaming Commission concerning a key

employee or primary management official who is the

subject of a report. Such a request shall suspend

the 30day period under paragraph G. 1. of this

section until the Chairman of the National Indian

Gaming Commission receives the additional

information.

3. If, within the thirty (30) day period described

above, the National Indian Gaming Commission

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 to the National Indian Gaming

Commission, the Tribe shall reconsider the

application, taking into account the objections

itemized by the National Indian Gaming Commission.

The Tribe shall make the final decision whether to

issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the

Tribe receives from the National Indian Gaming

Commission reliable information indicating that a

key employee or primary management official is not

eligible for employment under subsection D above,

the Tribe shall suspend such license and shall

notify in writing the licensee of the suspension

and the proposed revocation.

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2. The Tribe shall notify the licensee of a time and

a place for a hearing on the proposed revocation

of a license. Hearing will be before the tribal

council.

3. After a revocation hearing, the Tribe shall decide

to revoke or to reinstate a gaming license. The

Tribe shall notify the National Indian Gaming

Commission of its decision.

I. License Locations

The Tribe shall issue a separate license to each place,

facility, or location on Indian lands where class II

and class III gaming is conducted under this ordinance.

Section XIV. LICENSING OF OTHER EMPLOYEES

1. Other employees for purposes of this section,

are those who are not key employees or primary

management officials.

2. Purpose. Licensing of other employees is not

required to satisfy federal law or regulations;

however, in order to be eligible for a Certificate

of SelfRegulation under 25 USC 2710(c), all class

II employees must be licensed by the Tribe.

3. Other employees shall submit an application

containing the same notices of Privacy and

False statements as key employees and primary

management officials.

4. Other employees shall undergo a local CIB check

and a state fingerprint check.

5. Personnel and the licensing official (director of

security and surveillance) shall review

applicants prior activities, criminal record, if

any, and reputation, habits and associations to

make a finding concerning eligibility for

employment as a licensed employee of the North

Star Casino and Bingo.

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6. No investigative report on other employees is

required to be submitted to the commission.

However, information gathered for determining

eligibility for licensing shall be kept on file in

the same manner and with the same degree of

confidentiality as that of key employees and

primary management officials.

7. License shall be issued by licensing official

after review of the above mentioned reports and

information.

Section XV. FINANCIAL REPORTS

A. All financial reports of the gaming enterprises shall

be deemed confidential and proprietary information and

not available to nonmembers of the Tribe except as

required by the Indian Gaming Regulatory Act, the

Compact or as disclosed by the Tribal Council. Tribal

Members may inspect such financial reports in the

office of the Tribal President during regular office

hours or by appointment with the Tribal President. The

right to inspect does not extend to a right to copy.

B. Any person who discloses such financial information

except as provided for herein shall be subject to

disciplinary action by the Tribal Council.

C. All financial records shall be kept pursuant to the

terms of the Compact.

Section XVI. EMPLOYMENT QUALIFICATIONS

A. No person may be employed in the operation or conduct

of gaming, nor shall any gaming related contractor be

hired or employ another to work under him or her in the

course of performance under the contract if that

person:

1. Has been convicted of or entered a plea of guilty

or no contest to any of the following:

a. A felony, other than a felony conviction for

an offense under subdivision b or c, during

the immediately preceding 10 years;

b. Any gamblingrelated offense;

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c. A violation of any provision of Chapters 562

or 565 of the Wisconsin Statutes; a rule

promulgated by the Wisconsin Gaming

Commission, or a Tribal Ordinance or policy

regulating gaming.

2. Has been determined by the Tribe to be a person

whose prior activities, criminal record if any, or

reputation, habits and associations pose a threat

to the public interest or to the effective

regulation and control of gaming, or create or

enhance the dangers of unsuitable, unfair, or

illegal practices, methods, or activities in the

operation of gaming or the carrying on of the

business and financial arrangements incidental

thereto.

B. The Tribes Waiver Policy may act to remove certain

criminal backgrounds as a bar to employment in the

tribal gaming enterprises, where applicable; however, a

waiver does not guarantee employment in the gaming

enterprises.

C. Preference shall be granted in the recruiting, training

and employment to qualified members of the Tribe in all

job categories falling under the Gaming Ordinance and

provisions, pursuant to the Preference Policy adopted

in the Policies and Procedures governing the conduct of

Gaming *

SECTION XVII. CONFLICT OF INTEREST

1. No person employed by the Gaming Enterprise may have a

direct, or indirect interest in any gamingrelated

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.

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2. An employee of the Gaming Enterprise may have an

interest in a nongamingrelateci contract with the Tribe

or with the Gaming Enterprise if such employee makes a

full disclosure to the Gaming Board prior to such

contract and the Gaming Board finds that the contract

is not unfair to the Gaming Enterprise and is satisfied

that the contract is nongamingrelated. This clause

seeks to avoid the appearance of a conflict of interest

while not altering the original conflict of interest

prohibition contained in the compact.

Section XVIII. DISPUTE RESOLUTION PROCEDURE

This Ordinance authorizes a dispute resolution policy for

all games as required by the Compact. The purpose of such

policies are to insure that gaming is conducted fairly and

honestly by both the operators and the players and to resolve

disputes that may arise between players.

Section XIX. CONDUCT OF GAMES

A. The conduct of class III games shall be as provided for

in Section V. of the Compact.

B. Electronic Games of Chance shall be governed by Section

XV of the Compact and Blackjack shall be governed by

Section XVI of the Compact.

C. The premises where any gaming is conducted shall at all

times be open to inspection by the Stockbridge-Munsee

TribalCouncil and the Stockbridge-Munsee Gaming Board.

D. Gaming may be conducted each and every day of the week

at any hour of the day or night, at the discretion of

the Gaming Board and the General Casino Manager.

E. The Tribal Council shall retain the sole authority to

set limits on gaming.

F. THIS SECTION AWAITING FINAL DECISION) No person

employed at the Gaming Enterprise may play any

Electronic Game of Chance, Blackjack (except dealers

playing for the house) or any other authorized game at

the Stockbridge-Munsee Casino or Bingo.

G. All employees who are working at the Gaming Enterprise

shall be clearly identified with legible tags

evidencing their names and shall be licensed pursuant

to Federal Regulation and gaming policy.

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H. When any merchandise prize is awarded in a game of

bingo, its value shall be at its current retail price.

No merchandise shall be redeemable or convertible into

cash directly or indirectly.

I. Equipment, prizes and supplies for games of bingo shall

not be sold at prices in excess of the usual price

thereof.

J. There shall be no limit on the size of the prize

offered or given in any single game of bingo or for any

occasion, except that all such prize amounts must be

approved by the Gaming Board.

K. The equipment used in the playing of bingo and the

method of play, shall be such that each card shall have

an equal opportunity to be a winner. The object or

balls to be drawn shall be exactly the same as to size,

weight and balance and all other characteristics that

may influence the selection process. All objects or

balls shall be present in the receptacle and shall be

inspected by a bingo participant before each game is

begun. All numbers announced shall be plainly and

clearly audible or visible to all participants present.

Where more than one room is used for any one game, the

receptacle and the caller must be present in the room

where the greatest number of participants are present.

All numbers announced shall be plainly audible or

visible to the participants in the room and to the

participants in any other room(s). The participant

cards or sheets shall be a part of a deck, group or

series of cards, no two of which shall be alike, and

which deck, group, or series shall not be so prepared

or arranged as to prefer any card.

L. The receptacle, the caller and the person removing the

object or balls from the receptacle must be visible to

all players at all times except when more than one room

is used for any one game.

M. The particular arrangement of numbers required to be

covered in order to win the game and the amount of the

prize shall be clearly and audibly or visibly described

and announced to the players immediately before each

game is begun.

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N. Any player shall be entitled to call for a verification

of all numbers drawn at the time a winner is

determined, and for a verification of the objects or

balls remaining in the receptacle and not yet drawn.

The verification shall be made in the immediate

presence of the Security Officer designated to patrol

the occasion.

0. Persons who are not physically present on the premises

where the game is actually conducted shall not be

allowed to participate as a player in the game.

P. Any person who holds, conducts, operates, or assists in

holding, operating or conducting a game of bingo may

not play at the occasion at which such person is

working.

Bingo: Non-Profit Organization:

1. Any nonprofit organization within the exterior

boundaries of the StockbridgeMunsee Indian

Reservation may request from the Tribal Council

authorization to participate in the profits from

the concessions at any single bingo occasion. If

so approved, the organization will be allowed to

keep 50% of the profits from that specific

occasion. The Gaming Board and Casino Manager

shall have the opportunity to recommend whether

bingo cash balances are sufficient for the Tribal

Council to approve such requests. However, the

Tribal Council has the final authority in its

discretion to approve or disapprove such requests.

2. A nonprofit organization seeking assistance under

section 1 must submit a written application to the

StockbridgeMunsee Tribal Council designating:

(a) the name of the organization.

(b) the address of the organization.

(c) the name of the authorized individual

submitting the application on behalf of the

non-profit organization.

(d) the specific purpose(s) for which the money

will be used.

(e) the date on which the organization wishes to

participate.

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3. Upon approval by the Tribal Council, a copy of the

approved application shall be submitted to the

Gaming Board.

4. The Gaming Board shall provide at least fourteen

(14) days advance notice to the Casino Manager of

the approved application.

5. The StockbridgeMunsee Tribal Council retains the

authority to reject any application for reasons

set forth by the Tribal Council.

6. All applicants shall be notified in writing of the

Tribal Councils decision which is final.

Section XX. SALE OF ALCOHOL

The sale of alcohol shall be governed by the Stockbridge

Munsee Liquor Ordinance and Section V.F. of the Compact.

Section XXI. VIOLATION: JURISDICTION

A. Any person who violates any provision of the Ordinance

or any rule or regulation authorized thereunder, shall

be guilty of a Tribal Civil offense punishable by a

fine of not more than fivehundred dollars ($500.00).

B. The Stockbridge-Munsee Tribal Council, until such time

a Tribal Court is established, shall have jurisdiction

to hear and determine all violations of this Ordinance

and over all persons who are parties to gaming

hereunder and may, in addition to the penalty described

in (A) above, grant such other relief as necessary and

proper for the enforcement of this Ordinance, including

barring persons found guilty of violations of this

Ordinance, or State or Federal laws pertaining to the

regulation of gaming from further entry upon the

Stockbridge-Munsee reservation. Because of Federal law

and terms of the Tribal/State Compact, jurisdiction for

violations of this ordinance may also be in State or

Federal court.

C. The Indian Gaming Regulatory Act, 25 USC 2713 states

that civil penalties for violations of the Federal Act,

regulations, tribal regulations, ordinances or

resolutions approved under section 2710 or 2712 of the

Act may result in fines not to exceed $25,000 against a

tribal operator or management contractor.

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Section XXII. AGE REQUIREMENTS

Notwithstanding any other age requirements, limitations or

restrictions found in any Tribal Ordinance, State Law, or the

Tribal-State Compact, the following shall be the minimal ages for

the activities specified:

A. Any person engaged in casino gaming shall be at least

twentyone (21) years of age.

B. Any person engaged in Bingo games shall be at least

eighteen (18) years of age.

C. Any person employed in the gaming enterprise shall be

at least eighteen (18) years of age, except those

persons selling or serving alcohol who shall be at

least twentyone (21) years of age.

D. Any person present in the Casino other than those

employed in the gaming enterprise or unless accompanied

by a parent, spouse or guardian who is at least twentyone (21) years of age, shall be twenty-one (21) years

of age.

D. Any person shall be at least twenty-one (21) years of

age to purchase, consume or possess alcohol.

Section XXIII. Repeal

To the extent that they are inconsistent with this

ordinance, all prior gaming ordinances are hereby repealed.

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