St. Ciolx TdbQl Council TRIBAL COUNCIL

P.O. Box 287 Hertel, Wisconsin 54845 (715)349-2195 Fax (715)349-5768

Lewis Taylor

Tribal Chairman

Sand Lake Community

Beverly Benjamin

Vice-Chairman

Danbury Community RESOLUTION #1-9-95-1

Curtis Bearfiart

Secretary/Treasurer

Maple Plain Community

WHEREAS, the St. Croix Tribal Council is the

LeoButler governing body of the St. Croix Chippewa Indians of

Tnbal Administrator Wisconsin and Sand Lake Community

Phyllis Lowe WHEREAS, the Tribal Council has the responsibility Member for insuring and maintaining the integrity of Class Ii and

RoundLakeCommunity III gaming on the St. Croix Indian Reservation and,

EXECUTIVE SECRETARY

WHEREAS, the Tribal Council has reviewed the attached

Mary Hartmann ordinance.

COMPTROLLER NOW THEREFORE BE IT RESOLVED, that the Tribal Council

GraceE.Plaster for the St. Croix Chippewa Indians of Wisconsin hereby

approves the attached ordinance titled the Gaming Control

ACCOUNTANT Ordinance of the St. Croix Chippewa Indians of Wisconsin.

Thomas J. Murphy

PLANNING DEPARTMENT CERTI F I CATION

RichardF.Hartmann I, the ~indersigned as Secretary of the St. Croix Tribal

JUDICIALBRANCH Council, do hereby certify that the Council is composed of

five(5) members of whom three(3) were present, DavidMemli constiti~ting a quorum, at a meet.–ng-duly~called, convened

Judge and hØl~ this 9th~ day of January 1995, and that the

foregoing~ resolution~was adopted at said meeting by an

AltemateJudge affirmative vote of three(3) members.f or, zero(O) against,

and zerq(O~ members abstaining: from the vote and that said

TRIBALATTORNEY re~o1ution has not been rescinded or amended in anyway.

Howard J. Bichler /7

L:JA~SPe~alIst ~

ry / Treasurer

JulieA. Nelson St. Croix Tribal Council

Court Clerk

BIOLOGIST

Elizabeth Greiff

ENTERPRISES

St. Croix Casino

Turtle Lake

Hole In The Wall Casino

Danbury

Chippewa Comers Cafe

Danbury Bingo

Round Lake Bingo

Maple Plain Bingo

Sand Lake Bingo & Casino

SCI-IA

St. Croix Ojibwa Construction Co.
ST. CROIX CHIPPEWA INDIANS OF WISCONSIN

GAMING CONTROL ORDINANCE

SECTION 1 - PURPOSE

The Tribal Council of the St. Croix Chippewa Indians of Wisconsin (hereinafter

~Tribe) empowered by the Tribes constitution to enact ordinances, hereby enacts this

ordinance in order to set the terms for Class II and III gaming.

SECTION 2 - GAMING AUTHORIZED

Class II and III gaming as defined inthe Indian Gaming Regulatory Act, P.L. 100-

447, 25 U.S.C. Section 2703(7)(A) and (8) (IGRA) and by the regulations promulgated

by the National Indian Gaming Commission at 25 C.F.R. sections 502.3 and 502.4 (as

published in the Federal Register at 57 FR 12382-12393, April 9, 1992) is hereby

authorized.

SECTION 3-OWNERSHIP OF GAMING

The Tribe shall have the sole proprietary interest in and responsibility for the

conduct of any gaming operation on the Tribes Reservation or lands owned by the Tribe

or authorized by this ordinance.

SECTION 4- USE OF GAMING REVENUE

(a) Net revenues, as defined at 25 C.F.R. 502.16, from Class II and III gaming

shall be used only for the following purposes: to fund tribal government operations and

programs, provide for the general welfare of the Tribe and its members, promote tribal

economic development, donate to charitable organizations, or help fund operations of

local government agencies.

(b) If the Tribe elects to make per capita payments to tribal members, it shall

authorize such payments only upon approval of a plan submitted to the Secretary of the

Interior under 25 U.S.C. subsection 2710(b)(3).
St. Croix Gaming Control Ordinance

SECTION 5- AUDIT

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

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

Gaming Commission.

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

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

professional, legal and accounting services shall be subjected to the audit that is described

in subsection (a) above.

SECTION 6- PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH

AND SAFETY

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

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

SECTION 7- LICENSES FOR KEY EMPLOYEES AND PRIMARY

MANAGEMENT OFFICIALS

The Tribe shall ensure that the policies and procedures set out in this section are

implemented with respect to key employees and primary management officials employed

at any Class II or Class III gaming enterprise operated on Indian lands:

(a) Definitions

For the purposes of this section, the following definitions apply:

(1) Key employee means

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

functions:

(1) Bingo Caller

(ii) Counting room supervisor

(i//) Custodian of gaming supplies or cash

(v) Chief of Security

(v) Pit Boss

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St. Croix Gaming Control Ordinance

(vi) Blackjack Dealer

(vii) Croupier

(viii) Any person who has authority to approve credit

(ix) Floor manager

(x) Any person who is a custodian of any gaming

device, including any person with access to cash and

accounting records within gaming devices

(B) If not otherwise included, any other person whose total cash

compensation is in excess of $50,000.00 per year; or

(C) If not otherwise included, the four most highly compensated

persons in the gaming operation.

(2) Primary management official means

(a) The person having management responsibility for a

management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

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

or

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

management responsibility.

(b) Application Forms

(1) The following notice shall be placed on the application form for a

key employee or a primary management official before that form is filled out by an

applicant:

In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on this form is

authorized by 25 U.S.C. 2701 et seq. The purpose of the requested

information is to determine the eligibility of individuals to be employed in a

Page - 3
St. Croix Gaming Control Ordinance

gaming operation. The information will be used by Tribal government and

staff and National Indian Gaming Commission members and staff who have

need for the information in the performance of their official duties. The

information may be disclosed to appropriate Federal, Tribal, State, local, or

foreign law enforcement and regulatory agencies when relevant to civil,

criminal or regulatory investigations or prosecutions or when pursuant to a

requirement by a Tribe or the National Indian Gaming Commission in

connection with a hiring or firing of an employee, the issuance or

revocation of a gaming license, or investigations of activities while

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

disclosures indicated in this notice will result in the Tribes being unable to

hire you in primary management official or key employee position.

The disclosure of your Social Security Number (SSN) is voluntary.

However, failure to supply a SSN may result in errors in processing your

application.

(2) Key employees and primary management officials employed on the date of

enactment of this ordinance shall be notified in writing that they shall either:

(A) Complete a new application that contains a Privacy Act notice; or

(B) Sign a statement that contains the Privacy Act notice and consent

to the routine uses described in that notice.

(3) The following notice shall be placed on the application form for a key

employee or a primary management official before that form is filled out by an applicant.

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 forfeiture, fine or imprisonment under both tribal and

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

(4) Key employees and primary management officials employed on the date of

enactment of this ordinance shall be notified in writing that they shall either:

(A) Complete a new application that contains a notice regarding false

statements; or

(B) Sign a statement that contains the notice regarding false statements.

Page - 4
St. Croix Gaming Control Ordinance

(5) The following notice shall be placed on the application form for a key

employee or a primary management official before that form is filled out by an applicant.

If you are hired, you may be hired conditionally, pending the

completion of a background investigation and eligibility for licensure

determination. If for any reason you do not receive a favorable

background investigation report or eligibility determination by the

completion of your 90th day of employment, your employment will be

terminated.

(6) Key employee and management officials employed on the date of

enactment of this ordinance shall be notified in writing that they shall either:

(A) Complete a new application that contains the notice required by

subparagraph (5), above; or

(B) Sign a statement that contains the notice required by subparagraph

(5), above.

(c) Background Investigations

(I) The Tribe shall request from each primary management official and

from each key employee all of the following information:

(A) Full name, other names used (oral or written), social

security number(s), birth date, place of birth, citizenship, gender, all languages (spoken or

written);

(B) Currently and for the previous five years: business and

employment positions held, ownership interests in those businesses, business and residence

addresses, and drivers license numbers;

(C) The names and current addresses of at least three personal

references, including one personal reference who was acquainted with the applicant during

each period of residence listed under paragraph (1)(B) of this section;

(D) Current business and residence telephone numbers;

Page - 5
St. Croix Gaming Control Ordinance

(E) A description of any existing and previous business

relationships with Indian tribes, including ownership interests in those businesses;

(F) A description of any existing and previous business

relationships with the gaming industry generally, including ownership interest in those

businesses;

(G) The name and address of any licensing or regulatory agency

with which the person has filed an application for a license or permit related to gaming,

whether or not such license or permit was granted;

(11) For each felony for which there is an ongoing prosecution

or a conviction, the charge, the name and address of the court involved, and the date and

disposition if any;

(I) For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violation), within 10 years of the date of the

application, the name and address or the court involved and the date and disposition;

(J) For each criminal charge (excluding minor traffic charges),

whether or not there is a conviction, if such criminal charge is within 10 years of the date

of the application and is not otherwise listed pursuant to paragraph (1 )(H) or (1 )(I) of this

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

disposition;

(K) The name and address of any licensing or regulatory agency

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

whether or not such license or permit was granted;

(L) A current photograph;

(M) Any other information the Tribe deems relevant; and

(N) Fingerprints consistent with procedures adopted by the

Tribe according to 25 C.F.R. subsection 522.2(h).

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St. Croix Gaming Control urdinance

(2) The Tribe shall conduct an investigation sufficient to make a determination

under subsection (ci) below. The investigation may be conducted prior to any hiring of the

person for a key employee or primary management official position. In conducting a

background investigation the Tribe or its agent shall promise to keep confidential the

identify of each person interviewed in the course of the investigation.

(d) Eligibility Determination

(1) The Tribe shall review a persons prior activities, criminal record, if

any, and reputation, habits and associations to make a finding concerning the eligibility of

a key employee or primary management official for employment in a gaming operation. If

the Tribe determines that employment of the person poses a threat to the public interest or

to the effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair,

or illegal practices and methods and activities in the conduct of gaming, a tribal gaming

operation shall not employ that person in a key employee or primary management official

position. This determination may be made prior to any hiring of the person for a key

employee or primary management official position.

(2) Under no circumstances shall any individual be employed in the

Class III gaming operation who has been convicted of, or entered a plea of guilty or no

contest to, any of the following, unless the person has been pardoned:

(A) A felony, other than a felony conviction for an offense under

subdiv. (B), (C), or (D), during the immediately preceding 10 years.

(B) Any gambling-related offense.

(C) Fraud or misrepresentation in any connection.

(D) A violation of any provision of chapters. 562 or 565, Wis.

Stats., a rule promulgated by the Lottery Board or Wisconsin Racing Board (or the

Wisconsin Gaming Commission), or a Tribal ordinance regulating or prohibiting gaming.

(3) The prohibition contained in the preceding paragraph may be

waived by the Tribal Council, by resolution, if the applicant or employee demonstrates to

Page - 7
St. Croix Gaming Control Ordinance

the satisfaction of the Tribal Council evidence of sufficient rehabilitation and present

fitness.

(e) Procedures for Forwarding Applications and reports for Key Employees

and Primary Management Officials to the National indian Gaming Commission

(1) When a key employee or primary management official begins work

at a gaming operation authorized by this ordinance, the Tribe shall forward to the National

Indian Gaming Commission a completed application for employment and conduct the

background investigation and make the determination referred to in subsection (a) of this

section, unless already completed.

(2) The Tribe shall forward the report referred to in subsection (I) of

this section to the National Indian Gaming Commission within 60 days after an employee

begins work or within 50 days of the approval of this ordinance by the Chairman of the

National Indian Gaming Commission.

(3) The gaming operation shall not employ as a key employee or

primary management official, a person who does not receive a license within 90 days of

hiring.

(j9 Report to the National Indian Gaming Commission

(1) Pursuant to the procedures set out in subsection (e) of this section,

the Tribe shall prepare and forward to the National Indian Gaming Commission an

investigative report on each background investigation. An investigative report shall

include all of the following:

(A) Steps taken in conducting a background investigation;

(B) Results obtained;

(C) Conclusions reached; and

(D) The bases for those conclusions.

(2) The Tribe shall submit, with the report, a copy of the eligibility

determination made under subsection D of this section.

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St. Croix Gaming Control Ordinance

(3) If a license is not issued to an applicant, the Tribe shall:

(A) Notify the National Indian Gaming Commission; and

(B) Forward copies of its eligibility determination and

investigation report (if any) to the National Indian Gaming Commission for inclusion in the

Indian Gaming Individuals Records System.

(4) With respect to key employees and primary management officials,

the Tribe shall retain applications for employment and reports (if any) of background

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

or his or her designee for no less than three (3) years from the date of termination of

employment.

(g) Granting a Gaming License

(1) The Tribal Council shall issue all gaming licenses.

I (2) 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 a primary management official for whom the tribe has provided an

application and investigative report to the National Indian Gaming Commission, the Tribal

Council may issue a license to such applicant.

(3) The Tribe shall respond to a request for additional information from

the Chairman of the National Indian Gaming Commission concerning a key employee or a

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

the 30-day period under paragraph (g)(2) of this section until the Chairman of the National

Indian Gaming Commission receives the additional information.

(4) If, within the thirty (30) day period described above the National

Indian Gaming Commission provides the Tribe with a statement itemizing objections to

the issuance of a license to a key employee or to a primary management official for whom

the tribe has provided an application, the Tribe shall reconsider the application taking into

Page - 9
St. Croix Gaming Control Ordinance

account the objections itemized by the National Indian Gaming Commission prior to

council action on the license. The Tribal Council shall make the final decision whether to

issue a license to such applicant.

(It) License Suspension

(1) If, after the issuance of a gaming license, the Tribe receives from

the National Indian Gaming Commission reliable information indicating that a key

employee or a primary management official is not eligible for employment under

subsection (d) above, the Tribe shall suspend such license and shall notify in writing the

licensee of the suspension and the proposed revocation.

(2) The Tribe shall notify the licensee of a time and a place for a

hearing on the proposed revocation of a license, which shall be conducted before the

Tribal Council under rules as it may prescribe.

(3) After a revocation hearing, the Tribal Council shall decide to

revoke or to reinstate a gaming license. The decision of the Tribal Council shall be final.

The Tribe shall notify the National Indian Gaming Commission of is decision.

SECTION 8- LICENSE LOCATIONS

The Tribe shall issue a separate license to each place, facility, or location on Indian

lands where Class II or Class III gaming is conducted under this ordinance.

SECTION 9 -REPEAL

To the extent that any section of any prior tribal ordinance is inconsistent with any

section of this chapter, the section of the prior ordinance is repealed.

Page- 10
St. Croix Tribcxl Council TRIBAL COUN~ll PC. Box 287 Hertel, Wisconsin 54845 (715)349-2195 Fax (715)349-5768

Lewis Taylor

Tribal Chairman

Sand Lake Community

January 9, 1995

Beverly Benjamin

Vice-Chairman

Danbury Community

CurtisBearhart Mr. Harold A. Monteau, Chairman

Secretary/Treasurer

Maple Plain Community National Indian Gaming Commission

1850 M Street, N.W. Suite 250

LeoButler Washington, DC 20036

Tribal Administrator

Sand Lake Community

PhyllisLowe Dear Mr. Monteau:

Member

RoundLakeCommunity The St. Croix Tribal Council hereby designates the

EXECUTIVESECRETARI individual listed below as agent for service of any

official determination, order or notice of violation

MaryHartmanfl pursuant to 25 C.F.R. 519.1:

COMPTROiJ~R Lewis Taylor, Tribal Chairman

GraceE.Plaster St. Croix Chippewa Indians of Wisconsin

P.O. Box 287

ACCOUNTANT Hertel, WI 54845

Thomas J~ Murphy

PLANNING DEPARTMENT Sin rel

Richard F. Hartmann

JuDIcIALBRANci~ Curtis Bearhart, Secretary/Treasurer St. Croix Chippewa of Wisconsin

David Merrill

Judge

Alternate Judge

IRI~AL ATTORNEY

Howard J. Bichler

George Morrison

Legal Affairs Specialist

Julie A. Nelson

Court Clerk

BIOLOGIST

Elizabeth Greiff

ENTERPRISE~

St. Croix Casino

Turtle Lake

Hole In The Wall Casino

Danbury

Chippewa Corners Cafe

Danbury Bingo

Round Lake Bingo

Maple Plain Bingo

Sand Lake Bingo & Casino

SCHA

St. Croix Ojibwa Construction Co.
ST. CROIX CHIIPEWA INDIANS OF WISCONSIN

DESCRIPTION OF PROCEDURES

I. BACKGROUND INVESTIGATIONS OF

KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS

25 C.F.R. 522.2(b)

2. ISSUANCE OF TRIBAL LICENSES TO

KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS

25 C.F.R. 522.2(c)

3. CRIMINAL HISTORY CHECKS FOR

KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS

25 C.F.R. 522.2(h)

A. The St. Croix Tribe is responsible for the conduct of background investigations and

suitability determinations for all key employees and primary management officials. This

Description of Procedures sets forth how this responsibility is exercised.

B. All applicants for key and primary management positions are supplied Privacy Act,

False Statement, and Background Investigation notices on their applications, as provided

in the St. Croix Gaming Control Ordinance, section 7(b). Applicants are then required to

complete an application that requests all of the information required in section 7(c).

C. The Casino Risk Manager obtains fingerprints from all applicants, and sends these to

the Criminal Investigation Bureau of the Wisconsin Department of Justice. Fingerprints

are taken in accordance with standards and practices acceptable to the Wisconsin

Department of Justice. The CIB performs federal and Wisconsin checks on each set of

fingerprints, and reports the results back to the Risk Manager.

D. Any individual showing a conviction which prohibits hiring, pursuant to section

7(d)(2) of the Ordinance, is either informed that he or she cannot be hired or is discharged

(employees of the Casino on date ordinance is enacted).

E. If questions are raised by the criminal background check, the Risk Manager performs a

further investigation in order to ascertain an accurate criminal history.

F. The Risk Manager completes the background investigation pursuant to section 7(c) of

the Ordinance. The identity of any individual interviewed in the course of such an

investigation is kept confidential.
Investigation, licensing, criminal check procedures

St. Croix Tribe

G. The results of the investigation, and the risk managers preliminary suitability

determination are reported to the Human Resources Director, who is responsible for

reviewing and approving the investigative work done.

H. The Human Resources Director make a final suitability determination and decides

whether or not to recommend an individual to the Tribal Council for licensure.

I. The Tribal Council makes a tentative decision to license, pending notification of NIGC.

The Risk Manager forwards to NIGC an investigative report on the applicant, pursuant to

section 7(f) of the Ordinance. If no objection is received from NIGC, or if no request for

additional information is received from NIGC, the Tribal Council licensing decision takes

effect 30 days after the report on an applicant is received by NTGC.

J. An objection, or a request for additional information will suspend the 30 day period,

and the license will not be issued until questions raised by NTGC are resolved. The Tribal

Council will take into account each objection itemized by NIGC. The Tribal Council will

make the final decision whether to issue a license to an applicant.

K. if after the issuance of a license, the Tribe receives from NIGC reliable information

indicating that a licensee is ineligible to hold a license, the Human Resources Director shall

suspend the license and notify in writing the licensee of the suspension and of the

proposed revocation. The notice shall include the grounds for suspension and revocation

and shall set a time and place for a hearing before the Tribal Council on the revocation.

L. The Tribal Council shall conduct the revocation hearing. The Tribal Council shall

make its decision based on the evidence presented to it at the hearing. The formal rules of

evidence will not apply at the hearing, provided that evidence that is received shall be

sufficiently reliable to consider.

M. After the revocation hearing the Tribal Council shall decide to reinstate or revoke the

license. The decision shall be presented orally or in writing to the licensee. A written

notice of decision shall be sent to NIGC, with a copy to the licensee. The decision of the

Tribal Council is final and nonreviewable.

Page - 2
ST. CROIX CII11PEWA iNDIANS OF WISCONSIN

DESCRIPTION OF PROCEDURES

DISPUTE RESOLUTION

25 C.F.R. 522.2(F)

A. This Description of Procedures sets forth the procedure for resolving disputes between

the gaming public and the S. Croix Tribe.

B. Any dispute which cannot be immediately resolved to the patrons satisfaction by the

first employee contacted by the patron regarding the dispute is referred to the shift

manager. It is the first employees obligation to notify the shift manager (or to cause

another employee to notify the shift manager) that a patron has a dispute.

C. The shift manager attempts to resolve the dispute.

D. If the patron is not satisfied, the patron is given a preprinted card with the name,

address, phone number, and telefacsimile number of the Tribes Economic Development

Committee (EDC). The patron is instructed to contact the EDC for final resolution of the

dispute.

E. The EDC receives the patrons complaint and decides the appropriate response. The

decision of the EDC is final and nonreviewable.