Stoc/thriiqe-Munsee Conunwzi~y BAND OF THE MOHICAN INDIANS

TRIBAL COUNCIL OFFICES

RESOLUTION

DATE: October 7th, 2003 NUMBER: 043-03

WHEREAS, the Stockbridge-Munsee Community, Band of Mohican Indians, is a

federally recognized Indian Tribe, 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-Munsee Tribal Council, having previously adopted a

gaming Ordinance to regulate gaming on tribal lands, that was submitted

to and approved by the National Indian Gaming Commission (NIGC)

and published in the Federal Register on December 14, 1993; and

WHEREAS, said Ordinance has been amended from time to time since that date; and

WHEREAS, said Ordinance was brought before the Tribal Council on April 1, 2003

and a 9omplete revision was approved by Resolution 0 15-03; and

WHEREAS, since that date, some additional revisions have been made; now

THEREFORE BE IT RESOLVED, that the Stockbridge-Munsee Tribal Council

hereby adopts the att~ched amended Stockbridge-.Munsee Band of Mohicans Gaming

Ordinance and approves its submission to the NIGC for review and approval.

CERTIFICATION

I, the undersigned, as Secretary of the Stockbridge-Munsee Tribal Council,

hereby certify that the Tribal Council is composed of 7 members, of whom 7

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

the 7th day of October ,

2003 and that the foregoing resolution was duly adopted

at such meeting by a vote of 6 members for, 0 members against, 0 members

abstained, and that said resolution was not rescinded or amended in any way.

Robert Chicks, President Je ily(JN~isJn, Secretary

Stockbridge-Munsee Tribal Council S ck~i ~v1unsee Tribal Council

N8476 MOH HE CON~NUCK ROAD BOWLER, WI 54416 (715) 793-4111 FAX: (715) 793-1307
OCT 2 7 2003

REVISED AND AMENDED GAMING ORDINANCE

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

II and Class III gaming, within the jurisdiction of the Stockbridge-Munsee Band of Mohicans.

SECTION 25.1 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.

.1.3 It is essential that the Tribe regulate gaming in a manner commensurate with

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

1.1.4 Tribal needs include employment opportunities, job and skills training, housing,

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

and judiciary, infrastructure, and economic diversification.

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

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

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.

1.2.2 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, strengthen and diversify tribal economic development and

self-determination 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 provides a fair and impartial forum for the resolution of

gaming disputes.

1.3 Tribal Policy of Self-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 necessary and

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

federal law and any tribal-state gaming compact entered into pursuant to the 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 25.2 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-Munsec Tribe and all those who

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

for accomplishment of this purpose.

SECTION 25.3 OWNERSHIP OF GAMING

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

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

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

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

provisions of this Ordinance that may apply.

SECTION 25.4 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:

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4.1 Ancillary Facility means any gaming facility attached to or related to the Gaming

Facility, such as a retail shop, camp ground or other supporting facilities under the control of the

General Manager.

4.2 Barring Offense means convictions or circumstances pertaining to an individual or a

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

more fully described in the licensing sections of this Ordinance particularly the Standards of

Denial of a Primary Gaming License at Section 15.7.

4.3 Cheating means operating or playing any game in a manner in violation of the

written or commonly understood rules of the game, with the intent to create for oneself or for

someone in privity with one an advantage over and above the chance of the game, and is subject

to civil and administrative penalties consistent with this Ordinance.

4.4 Class II gaming means:

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

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

4.4.1.1 Which is played for prizes, including monetary prizes, with cards bearing

numbers or other designations,

4.4.1.2 In which the holder of the card covers such numbers or designations when

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

and

4.4.1.3 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

4.4.2 Non-Banking Card games that:

4.4.2.1 Are explicitly authorized by the laws of the State, or

4.4.2.2 Are not explicitly prohibited by the laws of the State and are played

at any location in the State, but only if such card games are played in

conformity with those laws and regulations (if any) of the State regarding hours

or periods of operation of such card games or limitations on wagers or pot sizes

in such card games. Class II gaming does not include any banking card games,

including baccarat, chemin de fer, or blackjack (21), or electronic or

electromechanical facsimiles of any game of chance or slot machines of any kind.

4.5 Class III gaming means all forms of gaming that are not Class I gaming or Class II

gaming, and for purposes of Stockbridge-Munsee Gaming facilities, any of the Class 111 games

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

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4.6 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.

4.7 Compliance Department means an investigative entity created by the Tribal Council to conduct

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

Council. The Compliance Department is deemed to be an agent of the Commission while carrying out its

investigative activities for licensing purpose and while conducting any other duties at the request of the

Commission.

4.8 Council or Tribal Council means the duly elected governing

body of the Stockbridge-Munsee Tribe.

4.9 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 cheek writing, embezzlement,

insurance fraud and welfare fraud.

4.10 Gaming Commission means the Mohican Gaming Commission as established

pursuant to this Ordinance.

4.11 Gaming Enterprise or Gaming Facility means the Mohiean North

Star 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.

4.12 Gaming Operator means the Stockbridge-Munsee Community, represented by the duly

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

the Stockbridgc-Munsee Community.

4.13 Gaming Related Contract means any agreement under which the Tribe procures for

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

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

4.14 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.

4. 1 5 Gaming Services Vendor see Gaming Related Contractor.

4.16 General Manager or Manager is a Tribal Council hired position responsible

for managing the day-to-day business of a tribal gaming enterprise. Each gaming

facility shall have a general manager.

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

activity.

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4.18 Key Employee for the purposes of this Ordinance means all casino employees except

for Primary Management Officials.

4.19 Management Contract means any contract, subcontract or collateral agreement between

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

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

4.20 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.

4.21 Primary Gaming License means a permanent gaming license subject to the renewal

requirements, revocationlsuspension provisions, and administrative penalties of this Ordinance.

4.22 Primary Management Official means:

4.22.1 The person having management responsibility for a management contract;

4.22.2 Any person who has authority;

4.22.2.1 To hire and fire employees, or

4.22.2.2 To set up working policy for the gaming operation; or

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

responsibility.

4.23 Provisional Gaming License means the temporary gaming license issued to an

employee by the Commission pursuant to Section 15 of this Ordinance

4.24 Suitable means if a person, through a background investigation is determined by the

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

and associations do not pose a threat to the public interest or to the effective regulation and

control of gaming, or create or enhance the dangers of unobjectionable, unfair, or illegal

practices, methods, and activities in the conduct of gaming or the carrying on of the business and

financial arrangements incidental thereto or means that an individual or vendor has met the

requirements set forth by the Commission to obtain or retain an employee gaming or vendor

license.

4.25 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 constitution,

unless the context clearly indicates a general meaning.

4.26 Tribal Court means the Stockbridge-Munsee Tribal Court system.

4.27 Tribal Lands means:

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

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

benefit of any Indian tribe or individual subject to restriction by the United States against

alienation and over which an Indian tribe exercises governmental power.

4.28 Tribal Gaming Waiver means a waiver issued by the Tribal Council pursuant to the

Tribal Gaming Waiver Policy.

4.29 Tribal Gaming Waiver Policy means that policy approved by the Tribal Council and

implemented by the Commission and the Tribal Council, that waives a gaming applicants

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

gaming license.

SECTION 25.5 USE OF GAMING REVENUE

5.1 Net revenues from Class II and Class III 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 of the 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 of the Interior under 25 U.S.C.

Section 27! O(b)(3).

SECTION 25.6 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 Casino General Manager or his or her Commissionapproved designee, and a person(s) designated by the Tribal Council.

6.2 Any cash prize may be paid by check. Such checks shall be signed by the Casino

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

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

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

6.4 The Casino General Manager shall insure that the gaming facility complies with the

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

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SECTION 25.7 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 93-638, 88

Stat. 2203, 25 U.S.C. Sections 450-450n. In 1983, President Reagan reaffirmed that commitment

in his Indian Policy Statement, encouraged tribes to reduce their dependence on federal funds by

generating more of their own revenues and pledged to assist tribes in that endeavor. In 1988 the

federal commitment to promote tribal economic development, tribal self-sufficiency and strong

tribal government was expressly legislated in the Indian Gaming Regulatory Act (IGRA).

Public Law 100-497, 102 Stat. 2426, 25 U.S.C. Section 2710, et. seq. (1988), which recognized

the inherent sovereign right of tribes to operate and their exclusive right to regulate on Indian

lands gaming that is not specifically prohibited by federal law and is conducted within a state

that does not, as a matter of criminal law and public policy, prohibit such gaming, and provided a

federal statutory basis for operation and regulation of Indian gaming.

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 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 of the Tribe that pertain to

gaming and are in effect as of the effective date of this revised Ordinance are hereby repealed,

and all other tribal laws or parts thereof inconsistent with the provisions of this Ordinance are

hereby repealed. Repeal of this Ordinance or any portion thereof shall not have the effect of

reviving any prior tribal law heretofore repealed or suspended, unless otherwise stated in this

Ordinance.

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

otherwise requires, the following rules shall apply:

7.5.1 This 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.

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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 neutral gender 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 25.8 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.

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

sovereign immunity and nothing in this Ordinance is intended to he a waiver of sovereign

immunity by the Tribal Council to permit itself or its agents acting on its behalf to be sued in any

court.

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

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

reasonable.

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8.9 The Tribal Council has authority to employ and dismiss Gaming Commissioners,

pursuant to the standards for employment and dismissal set forth in Section 25.9.11 hereinafter.

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

approve any management contractors. The Council shall also retain authority to terminate or

discipline this position, such termination not to be arbitrary but done pursuant to criteria set forth

in this Ordinance or in separate policies and procedures, or pursuant to an approved management

contract.

8.11 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.

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

facilities in which the gaming enterprise is operated.

8.13 The Tribal Council, consistent with an approved gaming waiver policy, shall have the

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

a bar to licensing.

8.14 The Tribal Council shall create a Compliance Department to perform background

investigations and other gaming related duties as requested by the Gaming Commission. All

Compliance employees shall he subject to the same background investigation standards as the

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

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

and any other duties requested by the Commission. The Compliance Department may also be

used in other tribal regulatory or investigative processes as directed by the Tribal Council, so

long as such activities are not in conflict with their gaming related duties.

8.15 All policies and regulations developed pursuant to this Ordinance shall be subject to final

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

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

purposes of this Ordinance. As Gaming Operator, the Tribal Council is responsible for

complying with all Gaming Operator licensing requirements required by federal law, and those

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

requirements and any duly adopted regulations may result in fines against the Tribal Council,

suspension and or revocation of their Gaming Operators License.

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

National Indian Gaming Commission which has the authority to close a game or operation for

failure to comply with gaming laws and the Tribal Council will strive to avoid subjecting the

Tribe to enforcement actions from the National Indian Gaming Commission.

SECTION 25.9 MOHICAN GAMING COMMISSION

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9.1 Establishment. The Tribe hereby creates and establishes the Mohican Gaming

Commission (hereinafter Commission), a subordinate organization, as a governmental

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

9.2 Location and Place of Business. The Commission shall be a resident of and maintain its

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

lands held in trust for the benefit of the Stockbridge-Munsee Band of Mohicans.

9.3 Duration. The 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 Commission has been

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

Tribe, including rule-makin~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 Commission that the operations of the

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

its members and the residents of the Reservation and communities surrounding the tribal gaming

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

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

under this Ordinance, the Tribe reserves to itself the right to bring suit against any person or

entity in its own right, on behalf of the Tribe or on behalf of the Commission, whenever the

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

Commission.

9.5 Sovereign Immunity of the Commission. The Commission and their duly appointed

agents are hereby clothed with all the privileges and immunities of the Tribe, except as

specifically limited by this Ordinance or other tribal law, including sovereign immunity from suit

in any tribal, federal or state court. Except as provided in this section, nothing in this Ordinance

nor any action of the Commission shall be deemed or construed to be a waiver of sovereign

immunity from suit of the Commission or its duly appointed agents, or to be a consent of the

Tribe or the Commission to the jurisdiction of the United States or of any state or any other tribe

with regard to the business affairs of the Tribe or the Commission to any cause of action, case or

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

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

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

the alienation, attachment or encumbrance of any such land. The Tribal Council retains authority

to waive the sovereign immunity of the Commission and its agents.

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 Commission

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

state court. Nothing in this Ordinance nor any action of the Commission shall be deemed or

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

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

the business or affairs of the Commission or the Tribe, or to be a consent of the Tribe to any

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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 Commission. The Commission shall have only those assets specifically

assigned to it by the Tribal Council or acquired in its name by the Tribe or by the Commission

on its own behalf. No activity of the Commission nor any indebtedness incurred by it shall

implicate or in any way involve or effect any assets of tribal members or the Tribe not assigned

in writing to the Commission.

9.8 Membership.

9.8.1 Number of Commissioners. The Tribal Council shall employ the number of

Commissioners necessary to perform the duties of the Commission.

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 two years of experience in at least one of the

following areas:

a) Business Management

b) Economic Development

c) Marketing

d) Law

e) Finance/Accounting

~ 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 government position in the Stockbridge

Munsee Tribe.

9.8.2.4 No individual shall be eligible for employment with or to continue

services on the 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 employment with or to continue

services on the Commission who has any conflict of interest as defined in this

Ordinance, UNLESS such conflict has been fully disclosed to the entire 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.

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9.8.2.6 No individual shall be eligible for employment with or to continue

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

or of another gaming enterprise outside the Tribes ownership andlor

management.

9.8.3 Background Check. Prior to the time any Commissioner takes office on the

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

prospective member. No person shall serve as a Commissioner if:

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 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 Applicants for the Commission shall not be eligible for the Commission if

their background investigation shows a criminal history. A tribal gaming waiver

shall not act to rehabilitate the applicant for consideration for the Commission.

Criminal history, for purposes of this section shall mean any felony, any

misdemeanor involving theft, fraud, misrepresentation or gambling related

offences, any drug related conviction involving possession, sale or manufacture.

9. 9 Meetings.

9.9.1 Regular Meetings. The Commission shall hold at least one regular

monthly meeting that shall take place on the date determined by the Commission

by-laws, or as otherwise determined by the Commission.

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

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

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

9.9.3 Compensation of Commissioners. Commissioners shall receive a salary

set by the Tribal Council.

9.9.4 Quorum. A quorum for all meetings shall consist of a simple majority of

Commission members.

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

Commission shall be decided by majority vote.

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9.9.6 Executive Session. No decisions shall be made in Executive Session. Use

of executive session shall include, but not be limited to matters of personnel or

other issues of a confidential or privileged nature.

9.10 Organization. The Commission shall develop its own operating procedures and shall

elect from within itself a Chairperson to direct meetings, and such other officers as the

Commission requires.

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, misconduct in office, or for any conduct that

threatens the honesty or integrity of the Commission or otherwise violates the

letter or intent of this Ordinance. Except as provided below, no Commissioner

may be removed without notice and an opportunity for a hearing before the Tribal

Council, and then only after the Commissioner has been given written notice of

the specific charges at least ten days prior to such hearing.

At any such hearing, the Commissioner shall have the opportunity to be

heard in person or by counsel and to present evidence on his or her behalf. If the

Tribal Council determines that immediate removal of a Commissioner is

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

immediately remove the Commissioner temporarily, and the question of

permanent removal shall be determined thereafter pursuant to Commission

hearing procedures.

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

findings thereon shall be kept by the Tribal Secretary for at least seven (7) years.

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 hire another person to fill the position.

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

Commissions purposes and responsibilities, and subject to any restrictions contained in this

Ordinance or other applicable law, the Commission shall have the authority to issue citations and

assess fines for violations of applicable gaming laws and to refer violations of the Ordinance to

the Tribal Prosecutor for enforcement, consistent with this Ordinance and regulations drafted for

that purpose and approved by the Tribal Council. The Commission is also authorized to exercise

by majority vote the following powers in addition to all powers already conferred by this

Ordinance:

9.12.1 Exclusive jurisdiction to issue, restrict, suspend, revoke and renew licenses of

primary management officials, key employees, gaming operator and gaming services

vendors and principals upon completion of background investigations.

9.12.2 To insure that investigations are conducted and to receive and review

investigative reports from the Compliance Department, said Department created by the

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Tribal Council to conduct background investigations on gaming applicants, primary

management officials, key employees and gaming services vendors and principals. Where

necessary, to request additional information from the Compliance Department regarding

such investigations, in the regulatory process.

9.12.3 To insure that completed gaming applications and completed investigative reports

for primary management officials and kcy employees are forwarded to the National

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

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

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

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

relationship. Such review shall include investigative reports provided to the Commission

by the Compliance Department.

9.12.5 To issue separate license to each place, facility or location on tribal lands where

the Stockbridge-Munsce Tribe elects to allow gaming.

9.12.6 The 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, and to the State Gaming Board as

required by the Compact, consistent with Section 25.12.

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

purposes set forth in the Tribal Gaming Ordinance.

9.12.8 To promulgate gaming regulations pursuant to tribal law and consistent

with Section 9.13.2 of this Ordinance.

9.12.9 To monitor and regulate all tribal gaming activities to ensure compliance with

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

and to gaming employees as necessary in order to carry out this responsibility.

9.12.10 To interact with other regulatory and law enforcement agencies regarding the

regulation of gaming, as necessary to fulfill their duties.

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

Federal Regulations promulgated thereunder, the Tribal Gaming Ordinance, the

Tribal/State Compact and related laws and to monitor the facility for compliance with

those laws.

9.12.12 To conduct investigations of possible violations of any gaming laws or

regulations and take appropriate enforcement action as authorized through this Ordinance

or in regulations duly promulgated by the Commission and approved by the Tribal

Council.

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9.12.13 To provide independent information to the Tribe on the status of the Tribes

gaming activities. See Reporting section below for more detail.

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

matters, including all matters related to primary management official and key employee

licenses or any other licenses issued by the Commission under this Ordinance. Hearings

may also be held for licensing ot gaming services vendors.

9.12.15 Be familiar with the minimum internal control standards or procedures

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

supplies and equipment.

9.12.16 Establish any supplementary criteria for the licensing of primary management

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

deems necessary.

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

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

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

gaming services vendor license.

9.12.18 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, the Tribal/State Compact requirements

and this Ordinance.

9.12.19 To perform audits of business transactions to ensure compliance with

regulations and/or policy.

9.12.20 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 the video surveillance standards.

9.12.2 1 To insure that a mechanism is in place 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.

9.12.22 With prior approval of the Tribal Council, to make application and accept grants

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

purposes of the Commission or the Tribe.

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

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

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

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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.

9.12.24 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 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).

9.12.25 To provide for an internal system of record keeping with adequate safeguards for

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

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

seven years from the termination of employment or business relationship and

Commission decisions related to the licensing of primary management officials, key

employees or any other entity licensed by the Commission, shall be retained in

Commission files for a period of at least seven (7) years from termination of employment

or business relationship.

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

this Ordinance.

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

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

and records.

9.12.28 To compel obedience of its lawful orders by proceedings of mandamus or

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

other court having jurisdiction of the parties and of the subject matter; provided that no

suit shall be brought by the Commission without the prior explicit written approval of

the Tribal Council after consultation with the Tribal attorney(s). This provision is not to

be interpreted as a waiver of sovereign immunity by the Tribal Council for suit in Tribal

Court but is intended to address all cases except those that might involve the Tribal

Council as a Gaming Operator.

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

activity by ordering immediate compliance with this Ordinance or Commission

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

this Ordinance, consistent with the terms under this Ordinance governing such

suspension, whenever the Commission is notified of a violation by any such person of

this Ordinance or any other applicable law.

9.12.30 To issue an order of cease and desist to any management official or key

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

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

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9.12.31 Notice of Violation. The Commission may issue a notice of violation to any

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

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

9.12.3 1.1 A citation to tribal, federal or state requirement that has been or is

being violated;

9.12.3 1.2 A description of the circumstances surrounding the violation, set

forth in common and concise language;

9.12.3 1.3 Measures required to correct the violation;

9.12.3 1.4 A reasonable time for correction, if the respondent cannot take

measures to correct the violation immediately; and

9.12.31.5 Notice of rights of appeal.

9.12.32 Order of Temporary Closure.

9.12.32.1 When an Order of Temporary Closure may issue. Simultaneously with

or subsequently to the issuance of a notice of violation under Section 9.12.3 I of

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

the Gaming Facility operations if one or more of the following substantial

violations are present:

9.12.32.1.1 The respondent fails to correct violations within the time

permitted in a notice of violation.

9.12.32.1.2 The gaming operation operates for business without a

license.

9.12.32.1.3 The gaming operation operates for business without either

background investigations having been completed for, or tribal licenses granted to

all key employees and primary management officials as provided for in this

Ordinance.

9.12.32.1.4 The gaming operation refuses to allow an authorized

representative of the Commission or another authorized tribal official to enter or

inspect a gaming operation.

9.12.32.1.5 The gaming operations facility is constructed, maintained

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

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

Compact.

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9.12.32.2 Order effective upon service. The Tribal Council shall close the

gaming operation, or that part of the operation indicated by the order, upon

service of an order of temporary closure, unless the order provides otherwise.

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

order of temporary closure, the respondent may request, orally or in writing,

informal expedited review by the Commission.

(a) The Commission shall complete the expedited review provided for by

this paragraph within two (2) days aftcr receipt of a timely request.

(b) The Chairman shall, within two (2) days after the expedited review

provided for by this paragraph:

(i) Decide whether to continue an order of temporary closure; and

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

decision.

(c) Whether or not a respondent seeks informal expedited review under

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

temporary closure the respondent may appeal the order to the Tribal Court under

the Tribal Administrative Appeals Ordinance.

9.12.33 To suspend or revoke the Gaming Operators License held by the Tribal

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

suspension or revocation of said license to the National Indian Gaming Commission who

has the authority to close tribal gaming facilities for failure to comply with federal

regulations.

9.12.34 To cany out the procedures necessary to obtain a certificate of self-regulation

under the Indian Gaming Regulatory Act, upon request and approval by the Tribal

Council.

9.12.35 Annual Budget. The Commission shall prepare an annual operating budget for

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

frame..

9.12.36 Confidentiality. The Commission shall maintain confidentiality of information

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

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

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

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

Commission.

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9.12.37 Gaming Waiver Hearings. The Compliance Department shall accept applications

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

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

provide to the Commission a report stating whether the applicant is eligible for a gaming

waiver. The Commission shall conduct the gaming waiver hearing if necessary or

requested by the applicant and forward a recommendation to the Tribal Council regarding

the applicants suitability to receive a gaming waiver. The Tribal Council shall make the

final decision on waiver applications.

9.13 Commission Regulations.

9.13.1 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 Commission and its staff,

9.13.1.2 A regulatory system to monitor all gaming activity, including

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

day-to-day management activities;

9.13.1.3 The conduct of inspections, hearings, enforcement actions and other

powers of the Commission authorized by this Ordinance.

9.13.2 No regulation of the Commission shall be of any force or effect unless it is

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

resolution of the Tribal Council and filed for record both in the office of the Tribal

Secretary and in the Office of the Clerk of the Tribal Court.

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

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

with any other tribal or federal law.

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

Commission and duly authorized officers, employees and agents of the Commission, may enter

upon any premises of any gaming operator or gaming facility for the purpose of making

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 Commission and to any properly authorized

officer, employee or agent of the Commission.

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

or a member of the Commissions staff shall visit each tribally owned or tribally operated gaming

facility at least once every two weeks during normal operation hours for the purpose of

monitoring its operation. Such visits shall be unannounced.

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9.15.1 Commission Audits. The Commission and Internal Auditor shall be provided

necessary access and cooperation from casino personnel when conducting audits or

investigations scheduled or non-scheduled.

9.16 Investigations. The Commission or its designated agent, upon complaint or upon its

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

exercise of its powers, may investigate and examine the operation and premises of any facility

that is subject to the provisions of this Ordinance. The investigation may be conducted by the

Commission itself, or by any entity the Commission may deem best suited for the specific

investigation. If the Commission designates a separate entity to conduct an investigation on its

behalf, such entity shall be considered an agent of the Commission while carrying out its

designated duties.

9.17 Hearings. Pursuant to Commission Hearing Proceedings, the Commission may hold any

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

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

9.18 Appointment of Examiner; Power of Examiner. The Commission may appoint any

person qualified in the law or possessing knowledge or expertise in the subject matter of the

hearing to act as examiner for the purpose of holding any hearing which the Commission or any

member thereof has power or authority to hold. Any such appointment shall constitute a

delegation to such examiner of all powers of a Commissioner under this Ordinance with respect

to any such hearing. The Commission remains responsible for rendering the decision.

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

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

tribally managed gaming activity, and all money of such facility shall be deposited in that

account. The Commission shall ensure that the check writing authority designated in Section

25.6 of this Ordinance is followed. Check writing authority shall not include wire transfer

authority.

9.20 Quarterly Report of Gaming General Manager Reports. The Commission shall file a

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

the Council fully informed as to the status of its various gaming activities.

9.21 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. All travel shall

be subject to review by the Tribal Council.

SECTION 25.10 POWERS, DUTIES AND LIMITATIONS: CASINO GENERAL

MANAGER

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

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

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

The Manager shall be hired by the Tribal Council.

The Manager shall undergo a background check by the Compliance Department and a

licensing determination through the Commission. The Manager shall be capable of obtaining a

Primary Gaming License in a timely manner upon 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 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 necessary

to manage a growing gaming enterprise according to the job description. The Manager shall not

be eligible to serve on Tribal Council while employed as Casino General Manager.

10.4 Responsibilities.

10.4.1 The Manager shall be required to respond to all Commission notices pertaining to

compliance with operating procedures, Minimum Internal Control Standards, and

Tribal/State Compact within time allotted by the Commission, which time shall not be

unreasonable. The Manager may request additional time.

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

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

of this Ordinance.

10.4.3 Hiring staff pursuant to the process adopted in the Personnel Policies and

Procedures for the gaming enterprise.

10.4.4 Operating Policies and Operating Procedures. Operating Policies must be

submitted to the Tribal Council for approval before becoming effective. However,

Operating Procedures are a tool for management to use in running an efficient day- to

day operation in compliance with the Operating Policies and thus only require the review

of the Gaming Commission and the Gaming Internal Auditor prior to management

implementing new procedures or procedural changes.

10.4.5 Budget Revisions. Any expenditures in excess of the approved operating and/or

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

Manager may reallocate funds within an approved Budget consistent with Council

approved guidelines.

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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.

10.5 Surveillance

10.5.1 The Gaming Management shall, in accordance with a Council approved budget,

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

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

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

of the Commission. All surveillance staff shall be employees of and report only to the

Commission.

10.5.2 The Manager, or any management staff shall provide any and all desired plans

for equipment installation, removal, modification, of facility layout changes to the

Commission for review, prior to any change.

10.5.3 The gaming facility management shall comply with any additional requirements

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

protect the security of assets, and the security and safety of patrons, vendors and

employees.

10.6 Reporting. The Manager shall provide the Commission and the Tribal Council with a

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

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

and other problems experienced at the facility. The report shall also contain a detailed financial

report, a written statement of any changes in key employees or primary management officials, a

listing of all bills that are thirty (30) days or more past due and any other information the

Commission may require. The Manager has an obligation to provide all reports requested by

the Council or the Commission.

10.6.1 Annual Plan of Operation. The Manager shall submit an Annual Plan to

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

of September, to the Tribal Council and a copy shall be forwarded to the Commission for

review purposes only. The Plan shall contain the following unless otherwise decided by

Tribal Council:

10.6.1.1 Operating budget.

10.6.1.2 Capital budget.

10.6.1.3 Growth target.

10.6.1.4 Staffing requirements, including training requirements.

10.6.1.5 Expense and revenue projections.

10.7 Travel. The Manager shall notify the 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.

10.8 Patrons Complaint Process. The Manager shall develop and implement 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.

10.9 Confidentiality. The Manager shall maintain confidentiality of information specified as

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

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

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

suspension or termination.

10.10 The Manager shall direct all management staff and key employees to cooperate with

Commission requests, directives and investigations.

SECTION 25.11 COMPLIANCE DEPARTMENT

11.1 Establishment. The Tribal Council created the Compliance Department as a

subordinate organization, a department within the tribal gaming regulatory structure, to carry out

specific duties as requested either by the Tribal Council or the Commission. Employees of the

Compliance Department share the Tribes sovereign immunity while performing their job duties.

11.2 Purpose. The primary purpose of the Compliance Department is to perform background

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

Ordinance and any regulations promulgated hereunder. The Compliance Department may also

perform other investigations for the Tribe, as requested by the Tribal Council when such

investigations do not conflict with their gaming responsibilities, but the Compliance Department

has no independent investigatory powers.

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11.3 Qualifications. Any employee hired in the Compliance Department shall meet the

following qualifications:

11.3.1 Employees of the Compliance Department shall not serve in any elected

government position in the Stockbridge-Munsee Tribe;

11.3.2 No individual shall be eligible for employment with or to continue services with

the Compliance Department who has any financial interest in, or management

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

interest in any gaming-related contract with the Tribe.

11 .3.3 No individual shall be eligible for employment with or to continue services with

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

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

to the Tribal Council and both entities have agreed, in writing, to permit the individual to

be hired or to continue with his or her employment.

11.3.4 No individual shall be eligible for employment with or to continue services with

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

another gaming enterprise outside the Tribes ownership andlor management.

11.4 Background Check. Prior to the time any employee with the Compliance Department

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

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

11.4.1 His or her prior activities, criminal record, if any, or reputation,

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

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

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

business and financial arrangements incidental thereto; or

11.4.2 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.

11.4.3 Applicants for the employment with the Compliance Department shall not be

eligible for employment with the Compliance Department if their background

investigation shows a criminal history. A tribal gaming waiver shall not act to

rehabilitate the applicant for consideration for employment with the Compliance

Department.. Criminal history, for purposes of this section shall mean any felony, any

misdemeanor involving thefi, fraud, misrepresentation or gambling related offences, any

drug related conviction involving possession, sale, use or manufacture of a controlled

substance.

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11.5 Powers and Duties. The Compliance Department is delegated no regulatory or

enforcement authority. Employees of the Compliance Department are governed by the job

descriptions under which they are hired, by the Tribes Personnel Policies and Procedures, and

by any provisions of this Ordinance that directly applies.

The Compliance Department is supervised by the Licensing Review Officer and the Licensing

Review Officer is supervised by the Tribal Council. Although the Commission is not in a

supervisory position over Compliance, the Ordinance provides that the Commission may request

the Compliance Department to assist in investigating gaming issues pursuant to this Ordinance.

11.6 Records/Files It is the duty of the Compliance Department to protect, safeguard and

maintain the confidentiality of the background investigations performed for licensing purposes

and to prepare summary reports of said investigations for review and action by the Commission.

Compliance Department is to release background files to the Commissioners on a need to know

basis only, such basis generally arises in cases where the investigative report was unclear or

ambiguous.

11.6.1 Records/files shall be kept under lock and key, accessible only to Compliance

Department Staff. The Files shall not be removed from the Compliance Department

except for hearing purposes.

11.6.2 Background files shall be viewed in the presence of at least one staff member of

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

anyone other than Commission must be approved by the Commission.

11.6.3 Duplication or reproduction of any Compliance Department records/files is not

allowed. Exceptions to this restriction are limited to official hearings, reviews, reports, or

Court proceedings. Other exceptions may include copies to the employee who is the

subject of the records/file of items which the subject previously submitted to the

Compliance Department or when copies are authorized in writing by the Licensing

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

11.6.4 Gaming background investigation files shall not be shared with outside agencies

without express written consent from the Commission.

11.6.5 The Compliance Department is authorized to destroy background investigation

files pursuant to a properly approved plan.

SECTION 25.12 AUDIT

12.1 The Commission shall cause to be conducted aimually 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 Board. Copies shall also be forwarded to

the Manager. The Tribal/State Compact terms for both financial and security audits shall be

followed for the audit of Class III games. The Commission shall be responsible for keeping

track of deadlines regarding audits, shall submit requests for proposals to eligible audit firms and

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shall have the authority to engage an audit firm to comply with the terms of the Compact. All

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

12.2 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 12.1 above.

SECTION 25.13 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH

AND SAFETY

13.1 Class II and Class III Gaming facilities shall be constructed, maintained and operated in a

manner that adequately protects the environment and the public health and safety. Terms of the

Tribal/State Compact regarding construction shall be adhered to.

SECTION 25.14 LICENSiNG OF A GAMING FACILITY

14.1 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 except application for an Operators License made by the Tribe, and participation in

any gaming activity within the jurisdiction of the Tribe shall be deemed to be a consent to the

jurisdiction of the Tribe and the Tribal Court in all matters arising from the conduct of such

gaming and all matters arising under any of the provisions of this Ordinance or other tribal laws.

14.2 License Required. Only the Tribe is authorized under this Ordinance to operate Class II

and Class 111 gaming. The Tribe is required to apply to the Commission annually for an

Operators license.

14.3 Types of Licenses. The Commission shall issue each of the following types of gaming

licenses:

14.3.1 Tribally Owned or Tribally Operated Class II. This license shall be required

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

games of chance.

14.3.2 Tribally Owned or Tribally Operated Class III. This license shall be

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

chance other than Class I or Class II gaming.

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

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

activity shall register their activity with the Commission. It is the Commissions responsibility

to make a determination, using the Indian Gaming Regulatory Act, Federal Regulations and

Tribal Law and practice to determine whether an activity is in fact Class I.

14.5 Applications Procedures: Facility License

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14.5.1 Application for Gaming License. For any proposed Class II or Class III

gaming activity, the Tribal Council shall file annually with the Mohican Gaming

Commission an application for a tribally owned or tribally operated Class II or

Class III gaming license, which shall contain the name of the proposed enterprise, its

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

regulations.

14.5.2 Tribally Owned or Tribally Operated Class II. Before issuing a license

to a tribally owned or operated Class II gaming facility the Commission shall:

14.5.2.1 Review the proposed gaming operation to ensure that all criteria

required by this Ordinance is met.

14.5.2.2 Insure that the necessary background checks on management

contractors, primary management officials and key employees required by this

Ordinance are being performed according to this Ordinance.

14.5.2.3 Review the accounting procedures used in such gaming activity.

14.5.3 Tribally Owned or Tribally Operated Class 111. Before issuing a license

to a tribally owned or operated Class III gaming facility, the Commission shall:

14.5.3.1 Review the proposed gaming activity to ensure that all criteria

required by this Ordinance is met, or that good faith efforts are being

used to meet that criteria;

14.5.3.2 Insure that the necessary background checks on management

contractors, primary management officials and key employees required by this

Ordinance are being performed according to this Ordinance;

14.5.3.3 Review the accounting procedures used in such gaming activity.

14.5.3.4 Review all aspects of the proposed gaming operation to ensure

compliance with the provisions of the Tribal/State Compact.

14.6 Criteria That a Potential Gaming Operator Must Meet. The Commission shall issue

the above license to any tribally owned or tribally operated Class 11 or Class III proposed gaming

operation only if all of the following criteria are met:

14.6.1 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.

14.6.2 The proposed gaming activity is to be played as Class II gaming as

27
defined by this Ordinance and the IGRA or as Class III gaming authorized by a

Tribal/State Compact.

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

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

responsibility for the conduct of the proposed gaming activity.

14.6.5 The Resolution authorizing the proposed gaming activity provides that:

14.6.5.1 The revenues of the proposed gaming activity shall be audited annually

and copies of those audits shall be provided to the Commission and the National

Indian Gaming Commission.

14.6.5.2 The proposed gaming activity shall comply with all applicable IRS

reporting and filing requirements.

14.6.5.3 All of the net proceeds of the proposed gaming activity shall be used

for the purposes stated in Section 5 of this Ordinance.

14.6.5.4 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.

14.6.5.5 The construction or maintenance of the gaming facility and the

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

the Commission finds will adequately protect the environment and the public

health and safety.

14.6.5.6 The 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 Primary Gaming Licenses within a

reasonable time of hire with continued employment being made contingent upon

the successful licensing of said individual.

14.6.5.7 The Commission shall have the authority to regulate the proposed

gaming activity.

14.6.5.8 The proposed gaming activity shall pay to the National Indian Gaming

Commission and to the State such fees as federal law and the Tribal/State

Compact may require to be paid.

14.6.5.9 If the gaming activity is Class III gaming, such gaming activity meets

all other criteria established by the Tribal-State Compact.

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

tribally operated Class II or Class III gaming activity.

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

operated Class 11 or Class HI gaming activity.

14.9 Form of Gaming License. Every gaming license issued by the Commission shall include

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

Commission.

14.10 Scope of Gaming License. A gaming license issued by the Commission shall he

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

be transferred only upon prior approval of the Commission upon written request that details the

proposed new gaming activity, its location and proposed gaming operator.

14.11 Term of License. A tribally owned or operated Class II and Class III Gaming Operator s

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

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

conspicuous location at the gaming operators 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.

14.13 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 III license. In order to obtain a renewal of a license, the gaming operator shall submit a

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

No renewal application shall be approved until the Annual Report required by subsection 14.14

has been properly filed. All renewal applications submitted by a tribally owned Class II or Class

HI 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.

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

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

Operation) with the Commission 15 days prior to the expiration of each such license. The report

shall be submitted to the Commission on the annual report form provided by the Commission

and shall include the following information:

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

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

other managers;

14.14.3 A description of each gaming activity that it operates and the total

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gross proceeds of each;

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

in its operating rules or policies;

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

activity will be operated during the next license period;

14.14.6 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;

14.14.7 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;

14.14.8 The names and addresses of any employees who the Commission may determine

to be primary management officials during review of the application;

14.14.9 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;

14.14.10 Written proof that the Gaming Operator has paid to the State such fees as the

Tribal/State Compact may require it to pay;

14.14.1 1 A sworn statement that the Gaming Operator has complied with the Internal

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

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

shall hold the Commission and the Tribe harmless for failure to do so;

14.14.12 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;

14.14.13 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;

14. 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;

14.15 Procedure to Remedy Gaming License Violation. If the Commission finds that a

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

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

all necessary steps to bring such gaming activity into compliance, including issuing a citation,

charging a fine, suspending the operators license, revoking the operators license and or

reporting such violation to the NIGC. In a case of revocation of the operators license, the

Commission shall provide notice to the NIGC, subjecting the Tribe to potential closure action.

Nothing contained in this Section or in this Ordinance shall be construed as effecting a waiver of

sovereign immunity.

SECTION 25.15 EMPLOYEE GAMING LICENSES

15.1 Scope of Employee Gaming License. Background and licensing procedures will be no

less stringent than those required under current federal regulations. An employee gaming license

shall be effective only for the person to whom it is issued and only with respect to the gaming

facility specified in the application. Any such license may be transferred to a new gaming

facility only upon prior approval of the Commission, upon written request of the licensee

identifying the proposed new gaming facility, its location and the proposed gaming operator

thereof

15.2 Current and Valid Employee Gaming License Required. Every primary management

official and every key employee of any Class II or Class III gaming activity subject to this

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

valid gaming employee license is a requirement of continued employment. The Manager shall

not employ persons who refuse to voluntarily cooperate with the licensing process. Any

employee receiving an employee gaming license must carry that license upon his or her person

during all working hours and must produce the license upon the request of any official with

jurisdiction over the gaming activity.

15.3 Application for Employee Gaming License.

15.3.1 A person seeking an employee gaming license must be at least eighteen (18) years

of age. All applicants shall submit an application to the Compliance Department on such

form and in such manner as the Commission may require. These gaming applications

shall provide the basis for background investigations performed by the Compliance

Department and shall be kept confidential.

15.3.2 Such application shall include, but is not limited to the following information:

15.3.2.1 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);

15.3.2.2 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;

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15.3.2.3 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 15.3.2.2 above;

15.3.2.4 Current business and residence telephone numbers;

15.3.2.5 A description of any existing and previous business relationships with

Indian Tribes, including ownership interests in those businesses;

15.3.2.6 A description of any existing and previous business relationships with

the gaming industry generally, including ownership interests in those

businesses;

15.3.2.7 The name and address of any licensing or regulatory agency with which

the person has filed an application for a license or permit relating to gaming,

whether or not such license or permit was granted;

15.3.2.8 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;

15.3.2.9 For each misdemeanor conviction ever received or ongoing

misdemeanor prosecution (excluding minor traffic violations) the name and

address of the court involved, and the dates of the prosecution and the disposition;

15.3.2.10 For each criminal charge (excluding minor traffic charges) ever

received, whether or not there is a conviction, if such criminal charge is not

otherwise listed pursuant to paragraphs 15.3.2.9 or 15.3.2.8 above of this section,

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

and disposition;

15.3.2.1 1 Any ordinance violation involving crimes against a person, theft, fraud

or misrepresentation;

15.3.2.12 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;

15.3.2.13 A recent photograph;

15.3.2.14 Any other information the Commission or its agents may deem

necessary and relevant to the licensing process; and

15.3.2.15 Fingerprints consistent with procedures adopted by the Tribe;

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15.3.2.16 Written permission giving the Commission through the Compliance

Department or other duly appointed agent(s) the right to investigate information

including but not limited to the applicants background, including his or her

criminal record, civil and criminal judgments, educational record, employment

record; military record and credit history.

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

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

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

that the applicant has read and understands the following Privacy Act Notice:

In compliance with the Privacy Act of 1974, the following information is provided:

Solicitation ofthe information on this form is authorized by 25 U.S.C. 2710, et seq. The

purpose of the requested information is to determine the eligibility ofindividuals to be

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

Commission members and staff who have needfor the information in the perfbrmance of

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

state, local, orforeign 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 /1ring

ofan employee, the issuance or revocation ofa gaming license, or investigations of

activities while associated with a tribe or a gaming opera lion. 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. (Emphasis added.)

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

accompanied by a nonrefundable application fee to be established by the Commission.

15.3.6 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.

1 5.3.7 Each application shall contain a False Statement notice as follows:

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. (18 U.S.C. Section 1001).

15.3.8 If another tribe has previously employed the applicant, the Commission or its

agent may request investigative information from the other tribe.

15.3.9 The Commission, its employees and agents, and the Tribe, and 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 employee gaming license, as required by

25 CFR 556.4(b). The background investigation shall include interviews with a sufficient

number of knowledgeable people, such as former employers and personal references, so

as to insure a comprehensive description of the applicants character. Compliance

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Department background investigation files shall be presented to the Commissioners on a

need to know basis only.

15.4 Review Procedure for Employee Gaming License Application.

Before issuing employee gaming license, the Commission will follow the procedure set forth

below:

15.4.1 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 the Stockbridge-Munsce Public Safety Department, a tribal law

enforcement agency with tribal police officers who arc cross-deputized by the Shawano

County SherifPs Department, to take the applicants fingerprints and forward them to

either the State 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.

15.4.2 The Commission may require asset and liability disclosure for key employees and

primary management officials to adequately protect the gaming enterprise and determine

the suitability of a particular individual for licensing, license renewal or continued

suitability for retaining a license.

15.4.3 Make the required reportings, outlined in subsection 1 5.8 below, to the National

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

15.4.4 Review the persons prior activities, criminal record, if any, reputation, habits, and

associations to make a finding concerning the suitability of an individual for licensing.

Certain acts or other incidents may pose a bar to obtaining a gaming license as more fully

described in Section 15.5 below. Where the Commission determines that licensing of the

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

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

activities in the conduct of gaming, a tribal gaming operation shall not employ that

person in a key employee or primary management official position.

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

other cause as the Commission may determine. The Commissions decision on licensing

is final although the applicant may petition the Commission for re-hearing in cases where

they have new evidence to submit, or where they can demonstrate that the Commission

made an error in their decision.

15.5 Standards of Suitability. The gaming facility shall not offer employment to an

individual if there is evidence and documented history of unsuitability or if they pose a threat to

the integrity and/or safety of the gaming operation or its employees. The Commission shall

establish have the authority to create policy regarding additional standards of suitability and the

application of those standards. The following minimum standards and criteria shall be applied

34
when determining an individuals suitability to obtain or retain a gaming license from the

Commission. These standards may be applied in any case where there is cause to question an

individuals suitability, whether the cause arises from an individuals criminal history or from

his/her reputation, habits and associations identified during the background investigation process.

15.5.1 Criminal Offenses: The Commission will view suitability for a license as

diminishing in direct correlation to the increased severity of the offense or offenses that

appear in ones record. The Commission will take into account the severity of the crime

and the number of crimes and other offenses that a persons background investigation

reveals. Some offenses are identified in the Gaming Ordinance as being an automatic bar

to a gaming license. In the event an individuals background investigation reveals a

barring offense, they will be denied a gaming license. They may be eligible to apply for,

and obtain, a Tribal Gaming Waiver.

15.5.2 Non-Criminal Offenses: In considering suitability where the background contains

unconscionable acts, offenses and incidents other than those listed as a bar in the Gaming

Ordinance, the Commission will consider any offense, situation or incident that could

present a threat to the integrity of the gaming operation or present some threat of harm to

the employees or patrons of the gaming establishment. These include but are not limited

to violent acts against persons; verified reports or documented evidence of violence

against persons without a criminal conviction; dishonest acts against an employee, person

or institution with or without a criminal or ordinance violation; any type of verifiable

wrong-doing that may present a threat or harm to the gaming establishment, its patrons or

employees.

15.5.3 Length of Time Since the Occurrence in Question: The length of time since the

date of conviction(s), charge(s), release from incarceration or dismissal from employment

for dishonest acts shall be taken into consideration when determining suitability for

licensing. Additional arrests within that time span will also he taken into consideration.

15.6 Issuance of Provisional Gaming License. A Provisional Gaming License is issued by the

Commission to an individual when the following requirements are met:

15.6.1 The Compliance Department has completed a preliminary State criminal

background check and informs appropriate human resource department that the

individual is eligible for a Provisional License.

15.6.2 The Commission has reviewed the individuals preliminary background check.

15.6.3 The Commission has no notice of suitability concerns at this stage.

15.6.4 The individual is offered employment by the Human Resource Department at the

Tribes gaming facility.

15.6.5 The individual has passed his/her drug test.

15.6.6 The appropriate licensing fees have been paid to the Compliance Department.

35
15.6.7 The individual has provided two sets of fingerprints for his/her file.

1 5.6.8 The individual has returned a gaming license application to the Compliance

Department.

15.7 The Provisional Gaming License shall be valid for no longer than (3) months from the

date of issuance.

15.8 The Provisional Gaming License becomes void upon the receipt of a Primary Gaming

License. If after the Compliance Department has completed a full investigation and the

Commission finds the individual not suitable for a Primary Gaming License, the Provisional

Gaming License shall be revoked and the licensing process shall cease.

15.9 The Commission shall not license individuals under the age of eighteen (18), except that,

the Tribe may approve summer youth positions provided that those positions do not involve any

duties performed within the actual gaming facility. These positions would not be considered

Gaming Employee positions and would be excluded from the licensing process.

15.10 Standards for Denial of a Primary Gaming License. The Commission shall not license

as a key employee or primary management official in connection with Class II or Class Ill

gaming, any person who:

15.10.1 Is under the age of eighteen (18);

15.10.2 Is currently cited or charged with or has been convicted of or entered a plea of

guilty or no contest to: a gambling-related offense, theft, fraud or misrepresentation in

any connection, the manufacturing and/or selling, possession and/or use of illegal drugs

or a violation of any provision of chapters 562 or 565, Wis. Statutes, a rule promulgated

by the Lottery Board or Wisconsin Racing Board, or Section 20.2 of the Mohican

Gaming Ordinance. This provision shall not apply if that person has been pardoned by

the Governor of the State where the conviction occurred or has been granted a waiver by

the Tribal Council;

15.10.3 Is currently charged with or has been convicted of or entered a plea of

guilty or no contest to any felony, other than those mentioned in 15.10.2, within the

immediately preceding ten (10) years.

15.10.4 If person has participated in organized crime or unlawful gambling or is a person

whose prior activities, criminal record, reputation, habits and/or associations pose a threat

to the public interest or to the effective regulation and control of gaming, or create or

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

in the conduct of gaming or to the carrying on of the business and financial arrangements

incidental to the conduct of gaming.

36
15.10.5 Is found to have intentionally supplied false or misleading material information

or has intentionally omitted material information on his/her license application or

application for employment.

15.10.6 Provided further that the Commission may, by regulations, add additional

limitations and conditions for denial of said license.

15.10.7 Applicant or employee with a Deferred Judgment for a barring offense is

ineligible for an Employee Gaming License until such Deferred Judgment is dismissed or

applicant or employee is granted a Tribal Gaming Waiver pursuant to the Tribal Gaming

Waiver Policy.

15.11 Procedures for Forwarding Applications and Reports for Key Employment and

Primary Management Officials to the National Indian Gaming Commission.

15.11.1 When a key employee or primary management official begins employment at a

gaming operation authorized by this Ordinance, the Commission shall forward to the

National Indian Gaming Commission a completed application for employment and an

application for an employee gaming license, conduct the background investigation and

make the eligibility determination regarding the issuance of an employee gaming license.

15.11.2 The Tribe shall forward the report referred to in subsection 15.9 below, to the

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

work.

15.12 Report to the National Indian Gaming Commission.

1 5.12.1 Pursuant to the procedures set out in subsection 15.3 above, the 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:

15.12.1.1 Steps taken in conducting a background investigation;

15.12.1.2 Results obtained, including notation of potential problem areas and

inclusion of any disqualifying information found;

15.12.1 .3 Conclusions reached, and

15.12.1.4 The basis for those conclusions.

15.12.2 The Commission shall submit, with the report, a copy of the eligibility

determination.

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15.12.3 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 an investigative report to the National Indian Gaming Commission

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

15.12.4 The Commission shall respond to a request for additional information from the

Chairman of the NIGC 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 15.6.1 above until the Chairman of the NIGC receives the additional

information.

15.12.5 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 Commission shall make the final

decision whether to issue a license to such applicant.

15.12.6 If a license is not issued to an applicant, the Tribe or the Commission shall:

15.12.6.1 Notify the National Indian Gaming Commission; and

15.12.6.2 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.

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

Commission or their designee shall retain applications for employment and reports for

seven (7) years from the date of termination of employment. These records will be made

available to NIGC consistent with federal regulations and the State Gaming Commission

consistent with the Tribal State Gaming Compact.

15.13 Employee Gaming License Badge.

15.13.1 Primary Gaming License. A gaming license badge will be issued to an

employee who satisfactorily meets the licensing criteria. The badge shall include but not

be limited to the following information:

15.13.2.1 Photo of the employee;

15.13.2.2 Identification number assigned by the Compliance Department;

15.13.2.3 Full legal name, including middle initial (no nicknames);

38
15.13.2.4 Employees position title;

15.13.2.5 License issuance and expiration date (two-year licensing period);

15.13.2.6 Seal of the Commission;

1 5.13.2.7 Signature of a Commission representative;

15.13.2.8 Color coordination between departments;

15.13.2.9 Identification of license status as primary or provisional;

15.13.2.10 Return address of the Commission.

15.14 Licensing Period. A Primary Gaming License issued pursuant to this Ordinance shall be

effective for a period of two years from the date of issuance and shall state on its face the date

when the license became effective and the date that it expires. This license shall be subject to

periodic as well as annual reviews.

15.15 Renewals. A holder of a Primary Gaming License shall apply

to the Commission for a renewal before his/her original license has expired, updating all

information contained in the Renewal Gaming License Application.

15.16 Standards for Suspension of Provisional or Primary Gaming License. The

Commission may suspend an Employee Gaming License for reasons including but not limited to

the following:

15.16.1 The employee has been charged with, convicted of, or entered a plea of

guilty or no contest to any offense that may result in a bar to obtaining or retaining a

gaming license or any other activity that would injure or pose a threat to the integrity of

gaming, or the effective regulation thereot~ or enhance the dangers of unfair, unsuitable

or illegal gaming practices.

15.16.2 The employee has supplied false or misleading material information or has

omitted material information on his/her gaming license application or application for

employment

15.16.3 The employee has participated in gaming activity unauthorized by his or

her employee gaming license;

15.16.4 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;

15.16.5 The employee refuses to comply with any lawful order or directive

from the Commission;

39
15.16.6 The employee has failed to provide the Commission with changes in

status of the material originally submitted in their gaming application.

15.16.7 The employee violates any part of Section 21.2 Prohibited Acts of this

Ordinance.

15.16.8 The Commission shall immediately suspend an employee gaming license 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 licensing. Upon receipt

of such notification, the Commission shall notify the gaming employee of the place and

time for hearing. The Commission shall notify Gaming Management of the suspension.

15.17 Immediate Suspension. The Commission shall immediately suspend an employee

gaming license when they have reason to believe the employee presents a threat to the gaming

facility, gaming patrons or to employees of the gaming facility, or when such person threatens

the effective regulation, integrity and or assets of the Tribe.

15.18 Standards for Revocation of Provisional or Primary Gaming License. The

Commission may permanently revoke an employee gaming license, after notice and an

opportunity for a hearing, for any of the following reasons:

15.18.1 The employee violates any part of Section 21.2 Prohibited Acts of this

Ordinance.

15.18.2 Is currently charged with or has been convicted of or entered a plea of

guilty or no contest to a gambling-related offense, theft, fraud or misrepresentation in any

connection, or a violation of any provision of chapters 562 or 565, Wis. Statutes, or a rule

promulgated by the Wisconsin Department of Administration, Division of Gaming. Is

currently charged with or has been convicted of or entered a plea of guilty or no contest

to a Felony Crimes Against Persons. This provision shall not apply if that person has

been pardoned by the Governor of the State where the conviction occurred or has been

granted a gaming waiver by the Tribal Council pursuant to the Tribal Gaming Waiver

Policy.

15.18.3 Is currently charged with or has been convicted of or entered a plea of guilty or

no contest to any felony, other than those mentioned in 15.18.2, within the immediately

preceding ten (10) years.

15.18.4 Has been convicted of, or has entered a plea of guilty or no contest to any offense

that is a bar to obtaining or retaining a gaming license or any other activity that would

injure or pose a threat to the integrity of gaming, or the effective regulation thereof, or

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

15.18.5 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

40
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.

15.18.6 Provided further that the Commission may, by regulations, add additional

limitations and conditions for revocation of said license.

15.19 Appeal Rights. The Licensee has the right to appeal any decision of the Commission by

filing a Notice of Appeal to the Commission within five (5) working days of the Commission

action. Upon receipt of the Notice of Appeal, the Commission shall hold a hearing within

fourteen (14) days from the date of the Notice, unless the parties mutually agree upon another

date. The hearing shall be governed in all respects in accordance with the tribal law and

Commission regulations. The applicant or licensee may petition the Commission for rehearing

of a negative hearing result in the event that the applicant or licensee has new information to

present to the Commission, or if the applicant or licensee can demonstrate that the Commission

made an error in their decision.

SECTION 25.16 TRIBAL GAMING SERVICES VENDOR LICENSE

16.1 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 Commission; provided, however, that such vendor

may automatically he granted said license if:

16.1 .1 The person or entity has a current, valid license or certificate or pending

application to provide the same type of gaming services, apparatus or equipment to tribes

from the State of Wisconsin; provided that consent is given to the Commission or its

agent(s) to review all evidence supporting the issuance of such license or certificate, and

provided further that consent is given to pursue a separate investigation should the

Commission find cause.

16.1 .1 .a A gaming services vendor may be eligible for a provisional gaming

services vendor license upon presentation of proof of a complete gaming

certificate application having been filed with the State.

16.1.2 Any license granted under subsection 16.1.1 may be revoked or suspended

by the Commission in the same manner and for the same reasons as provided elsewhere

in this Section.

16.2 Application for Gaming Services Vendor License. The application for this license

shall contain such information, documentation and assurances as may be required by the

Commission.

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

license pursuant to this Section shall pay to the Commission a fee, set by the Commission.

16.4 Background Investigation of Applicants. Upon receipt of an application for a gaming

services vendor license, the Commission or designated Commission agent shall conduct an

investigation of the applicant and each of its principals and shall include a criminal records check

on the applicant and on each of the applicants principals.

16.5 Action by Commission. Except as provided in subsection 16.1 .1, the Commission shall,

as soon as practicable after completion of the background investigation under subsection 16.4,

either grant or deny the license. The Commission may deny license to any applicant upon a

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

16.5.1 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

16.5.2 Has failed to provide information required to investigate the applicants

suitability for a license or has failed to reveal any fact material to such application or has

furnished any information that is untrue or misleading in connection with such

application.

16.6 Duration of License and Renewal. Any gaming services vendor license issued by the

Commission shall be effective for not more than two years and shall expire on the date two years

from the date of issuance, provided, that a licensee that has applied for renewal prior to

expiration may continue to provide services under the expired license until the Commission takes

final action on the renewal application.

16.7 Revocation or Suspension of License. The Commission may investigate any licensed

person or entity or any principal of any entity at any time and the Commission may suspend,

modify or revoke any license issued under this Section if new information concerning any facts

not available to the Commission at the time a license was issued or any renewal thereof, is

presented to the Commission, and if such new information would justify revocation of an

original license or any renewal thereof pursuant to this Section. No license shall be revoked

except after notice and an opportunity for a hearing. A licensed person or entity shall be entitled

to any payment due for services provided or for goods delivered prior to the effective date of

suspension or revocation of its license.

16.7.1 When the Commission believes that a person or entity holding a valid gaming

services vendor license did not qualify for said license or that the person or entity or any

principal of the entity has engaged in activities that would justify denial of the renewal of

said license, the Commission or its designee shall issue a notice of suspension of such

person or entitys license, which shall be served upon the licensee by personally serving

or by certified mail, at its principal place of business. This notice shall state the grounds

upon which such temporary suspension is ordered and provide that the person or entity

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shall have an opportunity to present relevant evidence and to cross-examine opposing

witnesses, and to present any other evidence as to why a suspension should not be issued.

Such hearing shall be governed in all respects by this Ordinance and Commission

regulations.

16.7.2 When the Commission suspends a license under this subsection, the licensee shall

immediately cease and desist from all gaming services to tribally licensed gaming

operators and facilities. Decisions of the Commission pursuant to this Section, following

any administrative review or appeal allowed under this Ordinance or otherwise permitted

by the Commission, constitutes final Commission action.

16.8 Regulation of Non-Gaming Persons and Entities. Any person or entity that provides

goods or services to a tribally licensed gaming operation or facility, other than gaming services

or gaming equipment shall cooperate with the Commission and the Tribal and federal law

enforcement in any investigation by either the Commission or the federal government relative to

the fitness of such enterprise or organization to engage in business with a gaming operation or

facility. The Commission may bar such person or entity from providing goods or services to a

tribally licensed gaming operation or facility upon a determination that such person or entity, or

principal thereof is a person or entity whose prior activities, criminal record if any, or reputation,

habits and associations pose a threat to the effective regulation of gaming or create or enhance

the dangers of unfair or illegal practices, methods and activities in the conduct of gaming. Any

person or entity affected by a bar under this subsection shall have a right to notice and hearing as

provided in subsection 16.7.

16.9 Labor organizations are barred from representation of tribally licensed gaming employees

at tribally owned gaming facilities within the Tribes jurisdiction, consistent with federal law.

SECTION 25.17 GENERAL PROVISIONS GOVERNING OPERATION OF

TRIBALLY OWNED OR TRIBALLY OPERATED GAMING FACILITY

17.1 Maintenance of Records. The 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 Commission shall also insure that the

following records are maintained for not less than seven (7) years:

17.1.1 Revenues, expenses, assets, liabilities and equity by game at each

location where any component of Class III gaming, including ticket sales, is

conducted.

17.1.2 Daily cash transactions for each game at each location at which any

component of Class III gaming is conducted, including but not limited to

transactions relating to each gaming table bank, game drop box and gaming room

bank.

17.1.3 For electronic games of chance, analytic reports that, by each machine,

compare actual hold percentages to theoretical hold percentages.

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17.1 .4 Contracts, correspondence and other transaction documents relating to

all vendors and contractors.

17.1.5 Records of all tribal enforcement activities relating to gaming operated

under the Tribal/State Compact and other tribal laws.

17.1.6 All audits prepared by or on behalf of the Tribe.

17.1.7 Personnel information on all Class III 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.

17.1.8 Records of background investigations and determinations for licensing.

17.1 .9 The Commission shall also be responsible for all the above information

pertaining to Class II Gaming owned or operated by the Tribe.

17.2 Management Contracts. Each management contract shall fuiiy comply with applicable

federal regulations and is subject to the prior approval of the NIGC. Before submission to the

NIGC, each management contract shall be approved by the Tribal Council with the advice and

comment of the Commission. Before giving final consideration to any proposed management

contract, the Tribal Council shall direct the Commission to conduct a complete background

investigation of persons and entities with a financial interest in, or having 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.

17.2.1 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

board of directors and all stockholders who hold directly or indirectly ten (10%) percent

or more of its issued or outstanding stock.

17.2.2 A description of any previous experience that each person listed in subsection

17.2.1 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.

1 7.2.3 A complete financial statement of each person listed in subsection 17.2.1 for the

past three (3) years.

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17.2.4 The Commission shall contact each of the tribal governments and licensing

agencies in subsection 17.2.2 to determine the performance history of the proposed

management contractor.

1 7.2.5 The Commission shall arrange to have each proposed management contractor

investigated to learn of his or her personal attributes and to determine whether he or she

has a prior criminal record or any pending criminal charges.

17.2.6 The Commission shall obtain an independent verification of the completed

financial statements of the proposed management contractor.

1 7.2.7 The 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 17.2.1.

17.2.8 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.

17.2.9 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.

17.2.10 All persons who possess an ownership or management position in the proposed

management contract shall apply for a employee gaming license under this Ordinance.

No management contract shall be approved by the Tribal Council until all employee

gaming license applications have been reviewed and the Commission has submitted

written findings on such application(s) to the Tribal Council.

17.2.11 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.

17.3 Each tribally owned or tribally operated gaming facility shall carry sufficient liability

insurance to protect the public in the event of an accident, and in any event, such coverage must

meet the level required by the Tribal/State Compact.

SECTION 25.18 CONFLICT OF INTEREST

18.1 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, as defined under Section 25.4. 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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18.2 An employee of the Gaming Enterprise may have an interest in a non-gaming related

contract with the Tribe or with the Gaming Enterprise if such employee makes a full disclosure

to the Commission prior to such contract and the Commission finds that the contract is not unfair

to the Gaming Enterprise and is satisfied that the contract is non-Gaming Related. This clause

seeks to avoid the appearance of a conflict of interest while not altering the original conflict of

interest prohibition contained in the Tribal/State Compact.

SECTION 25.19 CONDUCT OF GAMES

19.1 The conduct of Class Ill games shall be as provided for in the Tribal/State Compact.

19.2 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 or in a

manner determined by both the Tribe and the State, consistent with any amendment to the

Compact that may occur over time.

19.3 The premises where any gaming is conducted shall at all times be open to inspection by

the Stockbridge-Munsee Tribal Council and the Commission, and such other inspections as may

be required by federal regulations or the Tribal/State Compact.

19.4 Gaming may be conducted each and every day of the week at any hour of the day or

night, at the discretion of the Commission and the Casino General Manager and consistent with

any applicable provisions of the TriballState Compact.

SECTION 25.20 SALE OF ALCOHOL

20.1 The sale of alcohol shall be governed by the Stockbridge-Munsee Liquor Ordinance and

Section V.F. of the Tribal/State Compact.

SECTION 25.21 JURISDICTION AND ENFORCEMENT

21.1 Jurisdiction. Except as provided in this Ordinance or in any Tribal/State Compact under

the IGRA, the Commission shall have jurisdiction over all violations of this Ordinance.

21.2 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 may subject any

violator to the civil, administrative or criminal penalties and/or revocation of Employee Gaming

License specified herein, and may require a Tribal Gaming Waiver if convicted or entered a plea

of guilty or no contest to these acts pursuant to the Tribal Gaming Waiver Policy.

21.2.1 Is found to have intentionally supplied false and/or misleading material

information or has omitted material information on his/her license application or

application for employment with any gaming operator or with the Commission.

21.2.2 Knowingly making a false statement in connection with any contract to

participate in any gaming activity.

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21.2.3 Bribing or attempting to bribe a Tribal Council member, Commissioner or other

person in an attempt to avoid or circumvent this Ordinance or any other applicable law;

21.2.4 Offering or accepting a loan, financing or other thing of value between a

Commission member or tribal gaming employee or tribal government official and any

person participating in any gaming activity, excluding the tribal loan program.

21.2.5 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.

21.2.6 Falsifying any books or records that relate to any transaction connected

with any gaming activity pursuant to this Ordinance.

21.2.7 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 of participation between gaming players, or that

otherwise creates an advantage over and above the chance of such gaming activity and

that affects its outcome. The employee has knowingly promoted, played or participated

in any gaming activity operated in violation of this Ordinance or any other applicable

law.

21.2.8 To conduct a gaming activity with or to allow participation in a gaming

activity by an intoxicated or disorderly player.

21 .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 twenty

one (21), or below the age permitted under Wisconsin State

law.

21 .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.

21.2.11 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.

21.2.12 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.

21.2.13 To alter or counterfeit a gaming license.

2 1.2.14 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

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regulations adopted hereunder.

2 1.2.15 To operate, use or make available to the public any illegal gaming device,

apparatus, material or equipment.

2 1.2.16 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.

21 .2.17 To assist or allow a person who is under age to participate in any gaming

activity.

21.2.18 To possess any illegal narcotics or controlled substances on any licensed gaming

site.

21.2.19 To steal or attempt to steal funds or other items of value from any

gaming facility or from the Commission.

21.2.20 To conspire with or induce any person to violate any of the provisions of this

Ordinance or any tribal, federal or applicable state law.

21.2.21 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.

21.2.22 To use bogus or counterfeit chips, or to substitute or use any game, cards, or

gaming equipment that have been marked or otherwise altered.

21.2.23 To bring onto tribal lands, to employ or have on tribal property any device to

facilitate cheating in any game of chance.

21.2.24 To knowingly use any fraudulent scheme or technique, or to solicit,

provide or receive inside information about any gaming activity with the intent

of benefiting any person.

21.2.25 To take, solicit or encourage any action that undermines the integrity

of any game of chance.

21.2.26 To participate in any gaming activity that was not authorized by any tribal

gaming license.

21.3 Civil Violations. Any person or entity who violates any provision of the Ordinance,

Tribal/State Compact, adopted Minimum Internal Control Standards or any rule or regulation

authorized hereunder, or fails or neglects to comply with any order of the Commission, may be

liable for civil or administrative fine not to exceed five thousand dollars ($5,000). Each day

during which such violation or failure to comply continues shall constitute a separate violation of

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this Ordinance. Fines issued by the Commission are governed by the Commissions

Regulations on Fines and Enforcement Policy for Tribal Gaming Entities and their Employees.

21.3.1 Any person who violates any provision of this Ordinance or any rule or

regulation authorized hereunder shall be subject to the Indian Gaming Regulatory

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.

21.4 Purpose of Civil and Administrative Penalties. The civil and administrative fines

imposed under this Ordinance are intended to be remedial and not punitive and are designed to

compensate the Tribe for the damage done to the peace, security, economy and general welfare

of the Tribe and the tribal community and to compensate the Tribe for costs incurred by the

Tribe in enforcing this Ordinance. The civil and administrative fines under this Ordinance are

also intended to coerce persons into complying with this Ordinance and the Commission

regulations and not to punish such persons for violation of such laws and regulations.

21.5 Seizure and Forfeiture of Property. All property utilized in violation of this

Ordinance shall be subject to seizure and forfeiture by order of the Commission , pursuant to

tribal law, or by the State if prosecution proceeds under State criminal law.

21.6 Criminal Violations. State criminal law shall apply as mandated under P.L. 280

and as specifically addressed in the Tribal/State Compact. In those areas where the state has no

criminal statutes to cover the criminal violation that occurs on tribal property, pertaining to a

gaming-related incident, the Tribe and the state shall work together to devise a means of

enforcement against the specific violation. Where cooperation is not forthcoming from the state,

the Commission shall seek assistance from Federal agents for enforcing tribal gaming laws and

any applicable federal laws.

SECTION 25.22 NOTICE FOR SERVICE

Any legal notice required to be served on the Stockbridge-Munsee Community shall be served

on the Tribal President at N8476 Moh I-Ic Con Nuck Road, Bowler, Wisconsin 54416.

SECTION 25.23 SEVERABILITY

In the event that any section or provision of this Ordinance is held invalid, it is the intent of the

Tribal Council that the remaining sections or provisions of this Ordinance shall continue in full

force and effect.

LEGISLATIVE HISTORY

I. Bingo Ordinance (No. 8) approved July 17, 1982.

2. Resolution No. 0817, July 26, 1982.

3. Resolution No. 0928, dated May 7, 1985, rescinds Resolution 0817 and enacts

ordinance for purpose of authorizing and regulating gaming. Approved by BIA

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June 5, 1985.

4. Resolution No. 1009 dated December 2, 1986 amends ordinance re. bingo.

5. Resolution No. 1064, dated December 29, 1987, amends ordinance re. bingo.

6.Resolution No. 1081, dated May 17, 1988, amends ordinance re. royalty fees.

7.Council action to change sections 5 and 6, November 1, 1988.

8. Resolution No. 1147, May 16, 1989, revised section 6 and added definitions.

9.Gaming Ordinance entitled An ordinance relating to the regulation of gaming

activity on the Stockbridge-Munsee Reservation passed by Council 1992.

10. Resolution No. 1338-92, November 3, 1992, enacts amended Bingo ordinance and amended

gaming ordinance to provide for the merging of the Bingo Board and Gaming Board into one

Board.

11. May 1993, Gaming Roles and Responsibilities approved and added to ordinance.

12. Resolution No. 1370-93. June I, 1993, approved gaming ordinance revised in

its entirety.

13. Ordinance combined both Class 11 and Class III gaming, approved by Tribal

Council August 19, 1993 by Resolution. Approved by National Indian Gaming Commission and

published in Federal Register December 14, 1993.

14. March 21, 1995, Ordinance revised in its entirety, creating a Gaming

Commission instead of a Gaming Board to regulate the gaming enterprise.

15. May 24, 1995, Council adopted Resolution 1498-95 approving revisions to

Gaming Ordinance and forwarded to NIGC on June 2, 1995 for review and approval.

16. Council approved amendments to ordinance to reflect creation of Compliance

Department and restructuring of Gaming Commission, June 28, 1995 -

August 9,

1995. Those changes not affecting federally mandated provisions do not need NIGC approval

and neither the Gaming Commission or the Compliance Department are mandated by federal

law.

17. July 14, 1995. Revised ordinance approved by NIGC.

18. June 28, 1995, Amendments finalized on August 22, 1995, Resolution 1525-95.

19. 1997 amendment finalized on February 18, 1997, resolution number 111-97,

amending to add new section 20.1.1.

20. Revisions approved on July 1, 1997, resolution number 232-97

21. Revisions approved by Tribal Council on June 2, 1998, resolution number

227-98

22. Revisions approved by Tribal Council on April 20, 1999, resolution number

026-99

23. Complete Revision adopted on April 1, 2003 by the Tribal Council, by Resolution Number

015-03.

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