May 27,2005 

Ms. Kathryn Tierney 

Tribal Attorney 

Bay Mills Indian Community 

12140 W. Lakeshore Dr. 

Brimley MI 49715 

Re: Game Rule 18, Code of Ethics 

Dear Ms. Tierney: 

This is in reply to your letter of April 13, 2005, submitting the Bay Mills Indian Community's new Game Rule 18, Gaming Commission Code of Ethics. That regulation is 

have any questions, please contact Michael 

Chairman 

NATIONAL HEAOQUARTERS 1441 L St. NW, Suite 9100, Washington. DC 20005 Tel: 202.632.7003 Fax' 202.632 7066 www.~lGc.cov 

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BAY MILLS INDIAN COMMUNITY 

GAMING COMMISSION RULES 

RULE 78: CODE OF ETHICS 

The attached Code of Ethics is hereby enacted as a 

regulation of the Bay Mills Indian Community Gaming 

Commission. 

CERTIFICATION 

This is to certify that the above Gamin Commission Rule #18 has been reviewed 

and approved at a meeting of the Bay hf ills Executive Council held at Bay Mills, 

Michigan, on the 1 lth day of April, 2005, with a vote of r( in favor, C> 

opposed, I absent, and I abstaining. The President must abstain excethe event of tie. 
BAY MILLS GAMING COMMISSION 

CODE OF ETHICS 

I. Statement Of Policy 

In the discharge of its powers, duties and responsibilities, the Bay Mills Gaming Commission 

conducts its business consistent with high ethical standards. Commissioners and employees are 

expected to perform their duties with undivided loyalty and in such a manner as to promote and 

preserve public trust and confidence. Commissioners and employees shall avoid all situations 

where opportunity for personal or financial gain could influence their decisions in giving favored 

treatment to any organization or person. They shall also avoid circumstances and conduct which 

might appear questionable to the general public, even if such circumstances or conduct do not 

constitute actual wrongdoing or present an actual conflict of interest. 

In order to promote public confidence in the integrity and impartiality of the Commission, 

Commissioners and employees shall respect and comply with the law and establish, maintain and 

enforce high standards of conduct. 

This Code of Ethics shall apply to members of the commission and to all employees of the 

commission except as herein specifically provided. 

11. Applicable Standards Of Conduct 

Commissioners and employees are governed by ethical standards set forth in the Bay Mills 

Indian Community Gaming Ordinance, Commission rules and this Code of Ethics. As 

employees of the Bay Mills Indian Community, Commission employees are also governed by 

ethical standards set forth in the Bay Mills Indian Community Personnel Policies and the rules of 

the Executive Council. It is the responsibility of each Commissioner and employee to comply 

with all applicable statutory and regulatory provisions and any amendments thereto, whether or 

not such provisions and amendments are included in this Code of Ethics. 

It is the continuing duty of each Commissioner and employee to review and assess his or her 

conduct in light of this Code of Ethics. 

111. Restrictions Applicable to Commissioners and Employees 

A. Outside Employment 

1. No Commissioner shall be employed, retained or receive any remuneration for services 

rendered to a casino licensee or applicant or to a Commission-licensed vendor or 

applicant. A Commissioner may be employed, retained or engaged by a non-licensed 

vendor of goods and services provided that the Commissioner complies with all other 

tribal laws and policies and that such employment does not present a real or apparent 

conflict of interest. 

2. No Commission employee shall be employed, retained or receive any remuneration for 

services rendered to a casino licensee or applicant. A Commission employee may be 

employed, retained or engaged by a non-licensed vendor, provided that the employee 

complies with all other requirements outlined in the Gaming Ordinance, Commission 
Ir* u 

Rules, and the Bay Mills Personnel Policies and Procedures. The employee shall, in 

advance of accepting any outside employment or business responsibilities, receive 

approval from the Commission of the prospective activity. 

B. Representation. A Commissioner or employee shall not represent, appear for or negotiate on 

behalf of any licensee, registrant or applicant. 

C. Outside Activities 

1. A Commissioner or employee shall not permit the use of his or her official title for the 

purpose of hndraising for a private organization. 

2. A Commissioner or employee may speak, write, lecture or participate in other activities 

concerning the casino industry, if in so doing the Commissioner or employee does not 

cast doubt on his or her ability to decide impartially any matter which may come before 

the Commission, and provided that the Commissioner or employee does not accept 

compensation or honoraria for any such activity. 

3. A Commissioner or employee shall not accept compensation for published works created 

as part of his or her official duties on tribal time using tribal resources. 

4. A Commissioner or employee may participate in any civic or charitable activities that do 

not interfere with his or her independence of judgment in carrying out oficial duties. 

D. Gaming Prohibited. No Commissioner or employee shall be permitted to gamble in any 

establishment licensed by the Commission except in the course of his or her duties and with 

the prior written approval of the Commission. 

IV. Prohibited Conduct 

Commissioners or employee shall not: 

A. Knowingly act in any way that might reasonably be expected to create an impression among 

the public that he or she may be engaged in conduct that violates his or her trust as a 

Commissioner or employee; 

B Use or attempt to use his or her official position to obtain unwarranted privileges or 

advantages for himself or herself or others; 

C. Act in his or her official capacity in any matter in which the member or employee or any 

spouse, parent, step-parent, child, step-child, sibling or other immediate family (as defined by 

Bay Mills Gaming Ordinance) has a direct or indirect financial interest that might reasonably 

be expected to impair his or her objectivity or independence ofjudgment; 

D. Act in his or her official capacity in any matter concerning a licensee or applicant who is the 

spouse, parent, step-parent, child, step-child, sibling or other immediate family (as defined by 

Bay Mills Gaming Ordinance) when the fact of the employment might reasonably be 

expected to impair his or her objectivity and independence of judgment; 

E. Willhlly disclose, directly or indirectly, without the prior authorization of the Commission, 

any confidential information concerning the affairs of the Commission not generally known 

or legally available to the public; 

F. Use or permit the use of any confidential information, which he or she receives or to which 

he or she has access by virtue of his or her official duties; 

G. Directly or indirectly accept any gift, favor, service, employment, offer of employment or 

other thing of value under circumstances from which it might be reasonably inferred that 
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such gift, service or other thing of value was given or offered for the purpose of influencing 

the member or employee in the discharge of his or her official duties; 

H. Solicit or accept, directly or indirectly, any complimentary service or discount from any 

casino licensee or applicant which he or she knows or has reason to know is other than a 

service or discount that is offered to the general public in like circumstances; 

I. Testify as a character witness before the Commission; and 

J. Lend the prestige of their office to advance the private interests of others, nor convey or 

permit others to convey the impression that they are in a special position of influence. 

V. General Duties and Obligations of Commissioners and Employees 

It is the duty of each Commissioner and employee: 

A. To refrain at all times from any criminal conduct, and to cooperate with law enforcement 

officers in the proper performance of their official duties; 

B. To appear and testifL upon matters directly related to the conduct of his or her office, 

position or employment before any tribal state or federal court. Any Commissioner or 

employee who fails or refhses to appear and testify, after having been informed of his or her 

duty to appear and testify shall be subject to removal from his or her office, position or 

employment. 

C. To uphold the integrity and independence of the Commission; to perform the duties of their 

office impartially and diligently; and to be patient, dignified and courteous to those 

individuals with whom they deal in their official capacity. 

D. To require Commission staff to comply with this Code of Ethics; 

E. To exercise the power of appointment only on the basis of merit, and to allow only such 

compensation as is fair value for the services rendered. 

VI Duties Concerning Pending Proceedings 

A. A Commissioner or employee shall disqualify himself or herself in a proceeding or 

investigation in which his or her impartiality may reasonably be questioned, including but not 

limited to instances where he or she has a personal bias or prejudice concerning a party or 

personal knowledge of disputed evidentiary facts concerning the proceeding, or in other 

circumstances requiring disqualification. Such circumstances shall include involvement of a 

spouse, parent, step-parent, child, step-child, sibling or other immediate family (as defined by 

the Bay Mills Gaming Ordinance. 

B. A Commissioner or employee shall abstain from public comment about a pending 

proceeding, except in the course of his or her official duties or in explaining for public 

information the procedures of the Commission. 

C. A Commissioner or employee shall neither initiate nor consider exparte or other 

communications regarding a pending proceeding, except for consulting with their staff whose 

function it is to aid the Commission in carrying out its responsibilities. 

D. A Commissioner or employee shall not discuss issues involving any pending or proposed 

application or any matter whatsoever which may reasonably be expected to come before the 

Commission with any person, except for other Commissioners, employees or other tribal 

staff designated by the Commission. 

VII. Required Disclosures of Information by Commissioners and Employees 
A. Each Commissioner and employee shall disclose, in writing, the following information to the 

Commission upon commencement of membership or employment, within five (5) days of the 

date when he or she becomes aware of any required information not previously reported and 

annually no later than January 3 1 of each year during the course of appointment or 

employment: 

1. Any spouse, parent, step-parent, child, step-child, sibling or other immediate family (as 

defined by Bay Mills Gaming Ordinance) who holds or has filed an application for any 

license issued by the Commission; 

2. Any spouse, parent, step-parent, child, step-child, sibling or other immediate family (as 

defined by Bay Mills Gaming Ordinance) who is employed by a casino licensee or 

applicant 

3. Any spouse, parent, step-parent, child, sibling or other immediate family (as defined by 

Bay Mills Gaming Ordinance) who holds a financial interest in a casino licensee or 

applicant; 

4. Employment, retainers, contracts and all other business engagements 

5. Filing of any criminal charges against the Commissioner or employee. 

B. The failure to file the above-required disclosures, or the filing of a willfully false disclosure, 

is grounds for termination of employment or removal. 

VIII. Post-employment Restrictions 

Commission employees having access to the surveillance room of a licensed facility are 

prohibited from employment within that licensed facility, for a period of one year following 

termination of employment with the Commission, unless approval is granted by the Commission 

for the proposed employment with a gaming facility. 

LX. Relationship of Commissioners and Employees with Relatives Engaged in Activities 

Subject to Commission Oversight 

A. The following restrictions apply to Commissioners; 

1. No spouse, parent, step-parent, child, step-child, sibling or other immediate family (as 

defined by Bay Mills Gaming Ordinance) of a Commissioner shall be licensed as a key 

employee for employment by a casino licensee or applicant unless such member requests 

a waiver of this prohibition from the Executive Council prior to licensing. Such written 

request shall contain the following information: 

a) The relationship between the member and the prospective licensee; and 

b) The prospective employer, employment location and job title. 

2. The Executive Council may grant, with or without special conditions, or deny the 

application after considering the following, without limitation: 

a) The impact of the applicant on the effective discharge of the member's duties; and 

b) The impact ofthe applicant on the reasonable public expectation of the 

Commissioner's independence and objectivity. 
B. The following restriction applies to Commission employees; 

1. No spouse, parent, step-parent, child, step-child, sibling or other immediate family (as 

defined by Bay Mills Gaming Ordinance) of a Commission employee shall be licensed as 

a key employee for employment by a casino licensee or applicant unless such employee 

requests a waiver of this prohibition from the Gaming Commission prior to licensing. 

Such written request shall contain the following information: 

a) The relationship between the employee and the prospective licensee; and 

b) The prospective employer, employment location and job title. 

2. The Gaming Commission may grant, with or without special conditions, or deny the 

application after considering the following, without limitation: 

a) The impact of the applicant on the effective discharge of the employee's duties; 

and 

b) The impact of the applicant on the reasonable public expectation of the 

Commission employee's independence and objectivity. 

C. The Commission or employee shall not act in his or her professional capacity in any matter, 

including investigations, concerning a licensee or applicant for whom he or she has requested 

a waiver. 

X. Violations of Code of Ethics 

A. Violation of any provision of Sections 11, IV, and IX of this Code of Ethics by any 

Commissioner or employee shall result in removal or termination. 

B. Violation of any provision of Sections V, VI, and VII of this Code of Ethics any 

Commissioner or employee shall constitute grounds for removal, termination or disciplinary 

action. 

C. Violation of Section VIII shall result in immediate termination of the former employee's 

gaming license.