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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 becn 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
Tepresentative of the Commission or another authorized tribal official to enter or
inspect a gaming operation.

9.12.32.1.5 The gaming opcration’s 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 fedcral law, or the Tribal State
Compact.

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 after receipt of a timely request.

(0) 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 thc Tribal Court under
the Tribal Administrative Appeals Ordinance,

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15,13.2.3 Full legal namo, including middle initial (no nicknames);
15.13.24 Employee's position title;
15.13.2.5 License issuance and expiration date (two-ycar licensing period);
15.13.2.6 Scal of the Commission;
15.13.2.7 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 cntered 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 thereof, 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;

15.164 The employee's continued employment as a primary management official or key
employee of a gaming enterprise or gaming activity poses a thrcat to the gencral public;

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

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15.5 Standards of Suitability. The gaming facility shall not offer cmployment 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

may be applied in any case where there is cause to question an individual's suitability, whether the
cause arises from an individual's 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 one’s record. The Commission will take into account the severity of the crime
and the number of crimes and other offenses that a person’s background investigation
reveals. Some offenses are identified in the Gaming Ordinance as being an automatic bar
to a gaming license. In the event an individual's background investigation reveals a
barring offense, they will be denied a gaming liccnsc. 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
Prescnt a threat to the integrity of the gaming operation or present some threat of harm to
the employees or patrons of the gaming establishment. Thesc 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 be 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:

JUN-06-2009

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 individual’s preliminary background check.

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

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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 fully 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 hercin 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

dircct 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.

17.2.3 A complete financial statement of each person listed in subscction 17.2.1 for the
past three (3) years.

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.

17.2.5 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.

17.2.7 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.

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9.8

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Membership.

9.8.1 Number of Commissioners. The Tribal Council shall employ the number of
Commissioners necessary to perform the duties of the Commi ssion.

9.8.2 Qualification of Commissioncrs.
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 Icast onc of the following
arcas:

a) Business Management

b) Economic Development

c) Marketing

d) Law

c) Finance/Accounting

f) Security/Law Enforcement

g) Gaming

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

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

9.8.2.4 No individual shall be cligible 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 continuc scrvices
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 cntities have agreed, in writing,
to permit the individual to be appointed or to continue with his or her term.

9.8.2.6 No individual shall be eligible for cmployment with or to continue
services on the Commission who is an employee of any tribal gaming enterprise or
of another gaming enterprise outside the Tribe's ownership and/or 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

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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 nor the Compliance Department arc 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 11 1-97, 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 Apri! 20, 1999, resolution number 026-99.

23. _ Complete Revision adopted on April 1, 2003 by the Tribal Council, by Resolution Number
015-03.

24. — Sections 4.4.2, 4.23, 4.27, 14.6.4, 14.6.5.6, 15.1, 15.3.29, 15.3.2.10, 15.3.6, 15.4.1, 15.6,
15.7, 15.8, 15.12.1.2, 15.12.7, 13.1, 15.14, 15.15, 15.16, 15.18 amended, Scction 25.22 newly
created, and Section 25.23 renumbered from 25.22. Adopted by Tribal Council by Resolution
Number 043-03, on October 7, 2003. Approved by NIGC on December 11, 2003,

25. Amended by the Tribal Council on June 2, 2009, by Resolution No. 057-09. Amendments
submitted to NIGC for approval on June 3, 2009 and subsequently withdrawn. On June 8, 2009,
through Resolution No. 060-09, the Tribal Council revoked the amendments approved on June 2,
2009 and approved corrected amendment to Section 4.20. Amendment of Section 4.20 submitted
to NIGC for approval and approved on Z

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10.4.3 Hiring staff pursuant to the process adopted in the Personnel Policies and
Procedures for the gaming enterprise.

10.4.4 Opcrating 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.

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
Commission's 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
cnvironment.

10.5 Surveillance

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

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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
Teceipt 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 employcc of the place and time
for hearing. The Commission shall notify Gaming Management of the suspension.

15.17 Immediate Suspension. The Commission shall immcdiately suspend an employee
gaming license when they have reason to believe the employce 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 employec 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 becn 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 tule
promulgated by the Wisconsin Department of Administration, Division of Gaming. Is
currently charged with or has been convicted of or entcred a plea of guilty or no contest to
a Felony “Crimes Against Persons”. This provision shall not apply if that person has becn
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 1s currently charged with or has been convicted of or cntered a plea of guilty or no
contest to any felony, other than those mentioned in 15.1 8.2, 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 Tetaining 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
public interest or to the effective regulation and contro] of gaming, or create or cnhance
the dangers of unsuitable, unfair, or illegal practices and methods and activitics in the

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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 sclf-government and the provision
of tribal governmental serviccs.

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 principlc 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 thc 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 al]
residents in the community where such gaming is conducted.

SECTION 25.2 INTERPRETATION

2.1 This Ordinance shall be decmed a reasonable and proper exercise of police power of the
Stockbridge-Munscc Tribe for the protection of the public health, welfare and safety of the people
living on lands under the jurisdiction of the Stockbridgc-Munsee 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 cnterprises on tribal lands, except that in thosc 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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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 applicant's 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 swomn 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 of the information on this form is authorized by 25 U.S.C. 2710, et seg. The
purpose of the requested information is to determine the eligibility of individuals to be
employed in gaming activities. The information will be used by National Indian Gaming
Commission members and staff who have need. for the information in the performance of
their official duties. The information may be disclosed to appropriate federal, tribal, state,
local, or foreign law enforcement and regulatory agencies when relevant to civil,

criminal, or regulatory investigations or prosecutions or ‘Pursuant lo a requirement by a
tribe or the National Indian Gaming Commission in connection with the hiring or firing of
an employee, the issuance or revocation of a gaming license, or investigations of activities
while associated with a tribe or a gaming operation. Failure to consent to the disclosures
indicated in this notice will result in a tribe's 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 licensc shall, if. tequired, be accompanicd
by a nonrefundable application fee to be established by the Commission.

15.3.6 The disclosure of an applicant's social security number (SSN) is voluntary.
However, failure to supply a SSN may result in errors in processing the application.

15.3.7 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 applicant’s character. Compliance
Department background investigation files shall be presented to the Commissioners on a
necd to know basis only.

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9.12.33 To suspend or revoke the Gaming Operator’s License held by the Tribal Council,
consistent with suspension and revocation procedures, and to report the suspension or
fevocation 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 carry 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 tegarding performance of the gaming enterprise.
Violation of this confidentiality provision shall be subject to disciplinary action from the
Tribal Council and may be deemed "cause" for suspension or termination from the
Commission.

9.12.37 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
tequested by the applicant and forward a recommendation to the Tribal Council regarding
the applicant’s 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 powcrs 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.

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11.4.3 Applicants for the employment with the Compliance Department shall not be
eligible for employment with the Compliance Department if thcir background
investigation shows a criminal history. A tribal gaming waiver shall not act to rchabilitate
the applicant for consideration for employment with the Compliance Department.
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, salc, use or manufacture of a controlled substance.

11.5 Powers and Duties. The Compliance Department is delegated no regulatory or
enforcement authority. Employces of the Compliance Department are governed by the job
descriptions under which they are hired, by the Tribe’s Personnel Policies and Procedures, and by
any provisions of this Ordinance that directly applies.

The Compliance Department is supervised by the Licensing Review Officcr 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 thc duty of the Compliance Department to protect, safeguard and
maintain the confidentiality of the background investigations performed for licensing purposes and
(o prepare summary reports of said investigations for revicw 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 vicwed 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.

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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
dutics and responsibilities of the Commission, the best interest of the gaming enterprisc and the
amount of money for such travel available in the Commission's 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 Bach tribal gaming enterprise shall have a Casino General Manager ("Manager") authorized
to manage the gaming enterprise on a day-to-day basis and to facilitate quick and efficient
business decision-making, while Tespecting 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 shal] undergo a background check by the Compliance Department anda
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 dccisions 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 Gencral 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 Intemal Control Standards, and
Tribal/State Compact within time allotted by the Commission, which time shall not be
unrcasonable. 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.

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15.4
Before
below:

JUN-08-2009

Review Procedure for Employee Gaming License Application.
issuing employee gaming licensc, the Commission will follow the procedure set forth

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-Munsee Public
Safety Department, a tribal law enforcement agency with tribal police officers who arc
cross-deputized by the Shawano County Sheriff's Department, to take the applicant's
fingerprints and forward them to either the State or to the National Indian Gaming
Commission to be forwarded to the Fedcral Bureau of Investi gation, 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 15.8 below, to the National
Indian Gaming Commission prior to issuing a determination on the findings.

15.4.4 Review the person's prior activities, criminal record, if any, reputation, habits, and
associations to make a finding conceming 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 cmployee 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 determinc. The Commission’s 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.

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persons and cntities 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 tribe's 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.

9.12.21 To insure that a mechanism is in place to resolve patron disputes, employccs'
grievances and other problems, pursuant to the Tribal Gaming Ordinance and other tribal
tegulations and policies that may be in placc 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
purposcs 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 al)
action that shall be reasonably necessary and proper for carrying into execution the
foregoing powers and all of the powers vested in this Ordinance as permitted by the
Purposes and powers herein stated and that are deemed to be in the best interests of the
Tribe, exercising prudent and good judgment, all in compliance with applicable law.

9.12.24 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 intemal 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.

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SECTION 25,7 GENERAL PROVISIONS

71 Authority and Sovereign Powers and Responsibilities. This Ordinance is enacted
pursuant to the inherent sovercign powers of the Tribe and powcrs expressly delegated to the
Tribal Council pursuant to the terms of the tribal constitution.

a2 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 self-government,
economic development and self-sufficiency. That commitment was signed into law in 1975 as the
Indian Self-Dctermination 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 gencrating
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 lcgislated 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 Tight 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.

74 Title, Repeal of Prior Laws, and Effect of Repeal. This Ordinance may be cited as
the Stockbridge-Munscc Gaming Ordinance. The Ordinance shall be appropmately inserted in the
Stockbridge-Munsee Book of Tribal Ordinances. All Ordinances of the Tribe that pertain to
gaming and arc 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 otherwisc 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.

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

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(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
otherwise presents a threat to the Tribc 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 operator’s license, revoking the operator’s license and or reporting
such violation to the NIGC . In a case of revocation of the operator’s license, the Commission
shall provide notice to the NIGC, subjecting the Tribe to potential closure action. Nothing
contained in this Scction 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
recciving an cmployee 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 liccnse 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 applicant's 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

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waveerves

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 cxterior boundaries

of the tribal reservation, prior to October 17, 1988; or on after acquired lands
that meet the requirements of Scction 2719 of the Indian Gaming Regulatory Act
for after acquircd lands, and appropriate amendments to the Tribal/State
Compact, if required, arc made.

14.6.2. The proposed gaming activity is to be played as Class II gaming as
defined by this Ordinance and the IGRA or as Class 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 cnvironment 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 continucd employment being madc contingent upon
the successful licensing of said individual.

14.6.5.7 The Commission shall have the authority to regulate the proposed
gaming activity.

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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" mcans intentional deception resulting in an injury to another. Included in this
definition, but not limited to, are those crimes and misdemeanors involving bad check writing,
embezzlement, insurance fraud and welfare fraud.

4.10 "Gaming Commission" mcans the Mohican Gaming Commission as established pursuant
to this Ordinance.

4.11 "Gaming Enterprise" or "Gaming Facility" means the Mohican 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 arc 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 Stockbridge-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 serviccs that are unique to the
operation of gaming and not common to ordinary Tribal operations.

4.15 "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" mcans any money collected or received from any gaming
activity.

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41 ; “Ancillary Facility” means any gaming facility attached to or rclated to the Gaming
Facility, such as a retail shop, camp ground or other supporting facilitics under the contral 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 Tetaining an employce 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.

43 "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,

44 “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 tegarding hours or pcriods of
operation of such card games or limitations on wagers or pot sizes in such card
games. Class IT 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 nof Class I gaming or Class II

gaming, and for purposes of Stockbridge-Munsee Gaming facilities, any of the Class II games
approved by a Tribal/Statc Compact entered into by the Tribe with a state.

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JUN-08-2009

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

wavesrvos

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 attomney(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

tegulations 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.

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:

9.12.31.1 A citation to tribal, federal or state requirement that has been or is
being violated;

9.12.31.2 A description of the circumstances surrounding the violation, sct
forth in common and concise language;

9,12.31.3 Measures requircd to correct the violation;

9.12.31.4 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 appcal.

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 9.12.31 of

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

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(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" mcans that policy approved by the Tribal Council and
implemented by the Commission and the Tribal Council, that waives a gaming applicant's
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 ITT 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 2710(b)(3).
SECTION 25.6 HANDLING OF GAMING RECEIPTS
6.1 All monies collected or received from the operation of a tribal gaming enterprisc shall be
deposited in a special bank account(s) of that gaming enterprise, which shail 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 Commission-approved
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 Gencral Manager shall ensure that the gaming enterprise complics 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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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 arc thirty (30) days or more past duc and any other information the Commission may
require. The Manager has an obligation to provide all Teports requested by the Council or the
Commission.

10.6.1 Annual Plan of Operation. The Manager shal] submit an Annual Plan to

the Triba] Council for review and approval. The Plan shall bc 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 Patron’s Complaint Process, The Manager shall develop and implement a patron's
complaint process. Each tribally owned and tribally operated gaming facility shall post at Icast one
sign in each gaming room informing patrons of the established proccss.
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 dircct all management staff and key employees to cooperate with
Commission requests, directives and investigations.

SECTION 25.11 COMPLIANCE DEPARTMENT

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ours ‘No,

bs)
w Vs
On

Ng comm”
JUN 12 2009

Robert Chicks, President

Tribal Council Offices
Stockbridge-Munsee Community
Band of the Mohican Indians
N8476 Moh He Con Nuck Road
Bowler, WI 54416

Re: Request for Approval of Amendment to the Stockbridge-Munsee
Tribal Law Gaming Ordinance

Dear President Chicks:

This letter responds to your request to the National Indian Gaming Commission
(“NIGC”) for an expedited review and approval of the amendment to the tribal gaming
ordinance of the Stockbridge-Munsee Community Band of the Mohican Indians (“Tribe”).
The Tribe forwarded the amendment to the ordinance by Resolution No. 060-09 on June 8,
2009, and the NIGC received the amendment the same day.

inance is consistent with the requirements of the Indian Gaming
Act and the/NIGC’s regulations, and it is therefore approved.

Chairman

COs Kenneth Davids, Chairman, Mohican Gaming Commission
Howard Bichler, Esq., Legal Department, Stockbridge-Munsee Community

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005. Tel: 202.632.7003 Fax 202.632.7066 WWW.NIGC.Gov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


determined by both the Tribe and the State, consistent with any amendment to the Compact that
TMmay occur over time.

19.3 The premiscs where any gaming is conducted shall at all times be open to inspection by the
Stockbridge-Munsce Tribal Council and the Commission, and such other inspections as may be
required by fedcral regulations or the Tribal/State Compact.

19.4 Gaming may be conducted each and cvery 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 Tribal/State 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 Ts 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.

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 cmployee or tribal government official and any
person participating in any gaming activity, excluding the tribal loan program.

21.2.5 Failing to keep sufficicnt books and records to substantiate reccipts, disburscments
and expenses incurred or paid from any gaming activity authorized pursuant to this
Ordinanée.

21.2.6 Falsifying any books or records that relate to any transaction connected with any
gaming activity pursuant to this Ordinance.

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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 al] 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 be 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
dutics requested by the Commission. The Compliance Department may also bc 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 bchalf
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 Operator's 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

9.1 Establishment. The Tribc 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-Munsce Band of Mohicans.

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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.

83 The Stockbridge-Munsce Tribal Council shall retain the exclusive power to enter into
agrccments or compacts with the federal government, statcs, tribes, counties, municipalities and
other local governments or entities.

8.4 — The Stockbridge-Munsee Tribal Council shall retain the exclusive power to waive
sovereign immunity and nothing in this Ordinance is intended to be 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 powcr to enter into
contracts and agrccments effecting any sale, lease, encumbrance or other disposition of tribal
lands, interest in lands or other assets of the Tribe.

8.6 The Stockbridge-Munsce Tribal Council shall retain the exclusive power to enter into
business contracts and agrecments pertaining to the operation of gaming, except in thosc cases
wherc 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 revenucs 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.

8.9 — The Tribal Council has authority to employ and dismiss Gaming Commissioners, pursuant
to the standards for employment and dismissal set forth in Scction 25.9.1] 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

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investigation of the applicant and each of its principals and shall include a criminal records check
on the applicant and on each of the applicant's principals.

16.5 Action by Commission. Except as provided in subscction 16.1.1, the Commission shall,
4s 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 cntity 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 applicant's 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 continuc to provide services under the expired license unti] the Commission takes final action
on the renewal application.

16.7 Revocation or Suspension of License. Thc 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 liccnscd 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 activitics that would justify denial of the renewal of
said license, the Commission or its designce shall issue a notice of suspension of such
person or entity's 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 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

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14.14.] 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
gross proceeds of each;

14.14.4 A written copy of any changes the gaming opcrator 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 wil] be operated during the next liccnse 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 ermployees who will operatc 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 thc Gaming Operator has paid to the State such fees as the
Tribal/State Compact may require it to pay;

14.14.11 A swom statement that the Gaming Operator has complicd with the Intcrnal
Revenue Code and regulations, including written notice of customer winnings, and a
statement that the Gaming Operator shall continue to obey al) tribal and federal laws and
shall hold the Commission and the Tribe harmless for failure to do $0;

14.14.12 The description of any location at which the gaming activity has been conducted.
and any new location that is cxpected 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

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JUN-08-2009

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; {o allow the sale of alcohol to anyone below the age of twenty onc (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 liccnse.

212.14 To aid, abet or conspire with another person knowingly, or knowingly to cause
any person to violate any provision of this Ordinance or any rulcs and regulations adopted
hereunder.

21.2.15 To operate, use or make available to the public any illegal gaming device,
apparatus, material or equipment.

21.2.16 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,

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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 critcria established by the Tribal-State Compact.

14.7 License Application Fees. No application fee shall be required for a tribally owned or
tibally operated Class IT or Class III gaming activity.

14.8 License Tax. No annual license tax shall be required for a tribally owned or tribally
operated Class II or Class II] 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 be 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 I 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 opcrator shall post its tribal gaming license in a
Conspicuous location at the gaming operator's gaming facility. If a gaming operator has more than
one gaming facility, the gaming opcrator must obtain and post a separate license for each gaming
facility.

14.13 Gaming License Renewals. Each tribal gaming license must be rencwed

annually. No renewal fee shall be required for a tribally owned or tribally operated Class II or
Class TIT license, Jn 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
III gaming activity shall be approved within a reasonable time unless the Commission dctcrmincs,
based on reasonable grounds, that the enterprise has bccn 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

II 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:

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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 opcration.

4.20 "Net Gaming Revenues" for purposes of this Gaming Ordinance and as consistent with the

definition in IGRA, means gross gaming revenues of an Indian Ggaming activity less amounts
paid out as, or paid for, prizes and total gaming-related-operating expenses, excluding
management fees.

4.21 “Primary Gaming License” mcans a permanent gaming license subject to the renewal
requirements, revocation/suspension 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;
4.22.21 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 be a person whose prior activitics, 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 enhancc the dangers of unobjectionable, unfair, or illegal practices, mcthods,
and activities in the conduct of gaming or the carrying on of the busincss 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 clected 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;
(A) all lands within the limits of any Indian reservation; and

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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 Commission's staff shall visit cach 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.

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 premiscs ofany 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 investi igation 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 Examincr; 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 thcreof 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 tendering the decision.

9.19 Bank Account for Tribally Owned or Tribally Managed Gaming Facility. The
Conmnission shall ensure that the Tribe opens a scparate bank account for cach 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.

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enhance the dangers of unsuitable, unfair, or illegal practiccs 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.

15.10.5 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 cmployment 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.
15.12.1 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.

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

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 Teport to the National Indian Gaming Commission ("NIGC"), the
Tribe may issue a license to such applicant,

15.12.4 The Commission shall tespond to a request for additional information from the
Chairman of the NIGC coneeming a key employee or primary management official who is
the subject of a report. Such a Tequest 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 Ifa license is not issued to an applicant, the Tribe or the Commission shall:
15.12.6.1 Notify the National Indjan 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 datc 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 Liccnse. 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 employce;

15,13.2.2 Identification number assigned by the Compliance Department;

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SECTION 25.12 AUDIT

12.1 The Commission shall cause to be conducted annually an independent audit of gaming
operations and shall submit the resulting audit reports to the National Indian Gaming Commission,
the Tribal Council and the State Gaming Board. Copies shall also be forwarded to the Manager.
The Tribal/State Compact terms for both financial and security audits shall bc followed for the
audit of Class III games. The Commission shall be responsible for keeping track of deadlines
rogarding audits, shall submit requests for proposals to eligible audit firms and 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 scrvices, 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 IM 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/Statc 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 Operator’s License made by the Tribe, and participation in
any gaming activity within the jurisdiction of the Tribe shall be decmed 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 III gaming. The Tribe is required to apply to the Commission annually for an
Operator’s 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 liccnsc shall be required of

all tribally owned or tribally operated gaming facilities operating one or more Class IT
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.

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CHAPTER 25

STOCKBRIDGE-MUNSEE TRIBAL LAW
GAMING ORDINANCE

A law to authorize, license and Tegulate certain forms of gaming, including Class II
and Class III gaming, within the Jurisdiction of the Stockbridge-Munsce 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 contro! 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 fedcral law and which is not, as a matter of criminal law and
public policy, prohibited by state law, within the jurisdiction of the Tribe.

1.1.3 Itis essential that the Tribe tegulate gaming in a manner commensurate with
applicable federal and tribal law and Policy, including any Tribal/Statc 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 onc 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-Munsce 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 opcration 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,

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17.2.8 Ifthe Tribal Council, after reviewing the information described abo ve, still desires
to enter into a managcment contract with the proposed management contractor, such
management contract shall be made in writing and submitted to the Tribe's attomey(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
tequired provisions contained in 25 CFR Section $31 -1, as amended, incorporated hercin
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 cmployed 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 cconomic interest or receives personal gain from the
transaction in question,

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 ITT games shall be as provided for in the Tribal/State Compact.

19,2 Electronic Games of Chance shall be governed by Scction XV of the Tribal/State Compact
and Blackjack shall be governed by Section XVI of the Tribal/State Compact or in a manner

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any administrative review or appeal allowed under this Ordinance or otherwise permitted
by the Commission, constitute 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 opcration 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 paming employees
at tribally owned gaming facilities within the Tribe's 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 IIT 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.

17.1.4 Contracts, correspondence and other transaction documents rclating 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 cmployecs or agents, including
complete sets of each employee's fingerprints, cmployee photographs, and employee

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practices, methods, or activitics in the operation of gaming or the carrying on of the
business and financial arrangements incidental thereto; or

9.8.3.2 Ifhe or she has been convicted of or entered a plea of guilty or nolo
contendere (no contest) to a felony or any gaming offense in any jurisdiction or
to a misdemeanor involving dishonesty, fraud, misreprescntation in any
connection or any offense involving moral turpitude.

9.8.3.3 Applicants for the Commission shall not be eli igible for the Commission if
their background investigation shows a criminal history. A triba] 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 shal] be decided by majority vote.

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
clect from within itself a Chairperson to direct mectings, 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 incfficiency, neglect of duty, misconduct in office, or for any conduct that
threatens the honesty or integrity of the Commission or otherwise violates the letter

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JUN-08-2009

9.12.5 To issue separate license to each place, facility or location on tribal lands where the
Stockbridge-Munsee Tribe elects to allow gaming.

9.12.6 The Commission shall obtain annual independent outside audits, pursuant to the
ters 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 (o 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 cmployces 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
thosc 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
tegulations duly promulgated by the Commission and approved by the Tribal Council.

9.12.13 To provide independent information to the Tribe on the status of the Tribc's
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 mattors 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 of gaming services vendors.

9.12.15 Be familiar with the minimum intemal 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 decms
necessary.

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

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CERTIFICATION

I, the undersigned, as Secretary of the Stockbridge-Munsee Tribal Council, hereby certify
that the Council is composed of 7 members, of whom 6, constituting a quorum, were present at
a meeting duly called, noticed, and held onthe 8 day of June, 2009, that the foregoing
resolution was duly adopted at such meeting by a vote of 5 for, 0 against, and 0 abstaining.

‘\

Robert Chicks, President Johnson, Secretary

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wysvives

15.6.4 The individual is offered employment by the Human Resource Department at the
Tribe’s 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.
15.6.7 The individual has provided two sets of fingerprints for his/her file.

15.6.8 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 ccase.

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 TI
gaming, any person who:

15.10.1 Is under the age of cighteen (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
Govermor 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 posc a threat
to the public interest or to the effective regulation and control of gaming, or create or

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111 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 Tribe's 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.

11.3 Qualifications. Any employee hired in the Compliance Department shall mect the
following qualifications:

11.3.1 Employees of the Compliance Department shall not serve in any elected
government position in the Stockbridgc-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 indircct 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 cmployment 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 Tribe's ownership and/or management.

11.4 Background Check. Prior to the time any employee with the Compliance Department
begins cmployment, the Tribe shal] 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 posc 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
busincss and financial arrangements incidental thereto; or

11,42 Ifhe or she has been convicted of or entered a plea of guilty or nolo
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.

23

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Stockbridge-Munsee Community

BAND OF THE MOHICAN INDIANS
TRIBAL COUNCIL OFFICES

RESOLUTION

June 8, 2009 No. 060-09

WHEREAS, The Stockbridge-Munsee Community, Band of Mohican Indians, is a federally
Tecognized Indian tribe with inherent sovereign powers, and is governed by the
Stockbridge-Munsee Tribal Counéil Di it to the 1937 Constitution;

A

WHEREAS, The Stockbridge-Munsee Copumunity has the authority under its Constitution and

its inherent rights as a — Ratien to.adopt and amend Ordinances;

3

WHEREAS, The Tribe is authorized to copddét ganiing activities qn the Stockbridge-Munsee
. Reservation'ij? acéordanes With federal.

WHEREAS;

WHEREAS,

iis ;
ametidinents and suggested
ited once revised;

WHEREAS,

WHEREAS,

‘ and as required for

i 5 and

WHEREAS, The changes to Section 4.20, flit’ ition of net gaming revenues, will maintain
consistency with the Indian Gamin; latory Act definition and clarify that this
definition does not apply to the Revenue Allocation Plan.

NOW THEREFORE BE IT RESOLVED, the Stockbridge-Munsee Tribal Council hereby
Tevokes the amendments to Chapter 25 that were adopted on June 2, 2009 and authorizes the
amendments be withdrawn from consideration by the NIGC: .

BEIT FURTHER RESOLVED, that the Stockbridgé-Munsee Tribal Council adopts the
corrected amendment to Section 4.20 of Chapter 25. , : ‘

N8476 MOH HE CON NUCK ROAD + BOWLER, WI 54416 « (715) 793-4111 » FAX: (718) 793-1307

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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 ina 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 finc not to exceed five thousand dollars ($5,000). Each day during
which such violation or failure to comply continues shall constitute a separate violation of this
Ordinance. Fines issued by the Commission are governed by the Commission’s “Regulations on
Fines and Enforecment 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 fincs
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.

215 Seizure and Forfeiture of Property. All property utilizcd 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.

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addresses, and drivers license numbers;

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 cxisting 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 offonsc and for each felony for which there is an
ongoing prosccution 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 cach 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;

15.3.2.11 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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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 appcal 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. Appcal, the Commission shall hold a hearing within
fourteen (14) days from the date of the Notice, unless the parties mutually agrec 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 thc Commission for rehearing of
a negative hearing result in the event that the applicant or licensce 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 issucd by the Commission; provided, however, that such vendor may
automatically be 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 samc 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.

16.3 Fee for License. Any person or entity filing an application for a gaming services vendor
license pursuant to this Section shal] 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

40

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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 Commission’s responsibility to
make a detcrmination, using the Indian Gaming Regulatory Act, Federal Regulations and Tribal
Law and practice to determine whether an activity is in fact Class I.

145 Applications Procedures: Facility License

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
Tequired 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 IIT. 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 cfforts 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 II or Class III proposed gaming
operation only if all of the following criteria are met:

26

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9.3 Duration. The Commission shall have Perpetual existence and succession in its own
name, unless dissolved by thc 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-making authority for the purposes of regulation of tribal gaming pursuant to the
Indian Gaming Regulatory Act ("IGRA"), tribal law and the Tribal/State Compact. It is the
purpose and intent of the Tribe in creating the 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 cnterprises. 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 hercby 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 othcr 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 alicnation, 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 cxpressly 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 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 asscts of tribal members or the Tribe not assigned in writing to
the Commission.

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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 fedcral 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 He 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 continuc in full
force and effect.

LEGISLATIVE HISTORY
1. 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 Junc 5, 1985.

Resolution No. 1009 dated December 2, 1986 amends ordinance re. bingo.
Resolution No. 1064, dated December 29, 1987, amends ordinance re. bingo.
Resolution No. 1081, dated May 17, 1988, amends ordinance re, royalty fees.
Council action to change sections 5 and 6, November 1, 1988.

Resolution No. 1147, May 16, 1989, revised section 6 and added definitions.

9. Gaming Ordinance entitled "An ordinance Telating 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,

PFT Pw eS

13. Ordinance combined both Class II 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.

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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 wnitten record of all removal proceedings together with the charges and
findings thereon shall be kept by the Tribal Sccretary 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 hirc another person to fill the position.

9.12 Powers and Duties of the Commission. In furtherance, but not in limitation, of the
Commission's purposes and tesponsibilitics, 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
teports from thc Compliance Department, said Department created by the Tribal Council to
conduct background investigations on gaming applicants, primary management officials,
key employees and gaming serviccs 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 key employees are forwardcd to the National Indian
Gaming Commission ("NIGC") prior to issuing a gaming license.

9.12.4 To review a person's Prior activities, criminal record if any, reputation, habits and
associations to make a finding conceming 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.

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