Document ID: EPA-R01-OAR-2005-TR-0001-0017
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2007-09-06T04:00Z

Mohegan
Tribal
Ordinance
20011­
21
MOHEGAN
TRIBAL
ETHICS
ORDINANCE
SECTION
1.
TITLE
AND
AUTHORITY
This
Ordinance
may
be
cited
as
the
"
Mohegan
Tribal
Ethics
Ordinance".
Pursuant
to
Article
IX
of
the
Mohegan
Tribal
Constitution,
§
2(
n)
"
To
establish
and
enforce
all
ordinances
providing
for
the
maintenance
of
law,
order
and
the
administration
of
justice
within
the
Mohegan
Indian
Reservation"
and
§
2(
c)
"
To
establish
procedures
for
the
conduct
of
all
tribal
government
and
business
operations",
the
Mohegan
Tribal
Council
does
hereby
establish
this
Ordinance.

SECTION
2.
LEGISLATIVE
PURPOSE
AND
INTENT
A.
P
ose
The
People
of
the
Mohegan
Tribe
are
entitled
to
have
complete
confidence
in
the
loyalty
and
integrity
of
their
elected
leaders,
appointed
officials,
and
any
'
firm
or
individual
with
which
the
Tribe
conducts
business.
Public
officials
are
expected
to
conduct
the
official
business
of
the
Mohegan
Tribe
with
pride
and
reliability.
They
must
exercise
wisdom
and
sound
judgment
at
all
times
in
order
to
avoid
abuse
of
office,
power
and
people.
The
purpose
of
this
Ordinance
is
to
require
accountability
to
the
Mohegan
People
by
their
elected,
appointed
and
assigned
officials
in
exercising
the
authority
vested
in
them
as
a
matter
of
public
trust
by:

1
.
Establishing
and
requiring
adherence
to
standards
of
conduct
to
avoid
conflicts
of
interest;

2.
Requiring
the
disclosure
of
significant
economic
and
business
interests
and
affiliations
of
public
officials;
and
3
.
Prohibiting
public
officials
from
using
any
function
of
their
office
or
duties,
in
a
manner
which
could
place
their
personal
economic
or
special
interests
before
the
interests
of
the
members
of
the
Tribe.

B.
Intent
The
Mohegan
Tribal
Council
has
determined
that
it
is
in
the
best
interest
of
the
Mohegan
Tribe
that
clear
direction
be
given
with
respect
to
the
ethical
conduct
of
public
officials
who
serve
the
Tribe.
In
the
interest
of
the
Tribe,
public
officials
shall
observe
accepted
standards
and
laws,
uphold
the
dignity
and
honor
of
their
positions
and
accept
selfimposed
disciplines.
They
shall
safeguard
the
Mohegan
Tribe
against
illegal
or
unethical
conduct,
and
shall
use
appropriate
opportunities
to
inform
and
educate
the
public
in
the
aims,
purposes
and
aspirations
of
their
office
or
position
in
ordcr
to
develop
a
better
public
understanding
of
the
purposes
and
responsibilities
of
individuals
in
such
positions.
It
is
the
intention
of
the
Mohegan
Tribal
Council
that
the
provisions
of
this
Ordinance
be
construed
in
accordance
with
the
purpose
of
protecting
the
Mohegan
People
from
government
decisions
and
actions
resulting
from,
or
affected
by,
undue
influences
or
conflicts
of
interest
.

SECTION
3.
DEFINITIONS
For
purposes
of
this
Ordinance:

1
.
"
Appointed
office"
means
any
position,
compensated
or
voluntary,
to
which
a
person
is
appointed
by
the
Tribal
Council,
Council
of
Elders
or
any
other
entity
of
the
Mohegan
Tribe
with
appointment
authority;

2.
"
Business"
means
any
enterprise,
organization,
trade,
occupation
or
profession,
whether
or
not
operated
as
a
legal
entity
for
profit,
including
any
sole
proprietorship,
trust,
holding
company,
corporation,
partnership,
joint
venture,
consultant
or
other
selfemployed
person
or
entity.

3.
"
Business
with
which
the
person
is
associated"
means
any
business
in
which
the
person
or
a
member
of
his
Immediate
Family
is
a
director,
officer,
partner,
trustee,
beneficiary
or
employee,
holds
any
position
of
management
or
receives
income
in
any
form
such
as
wages,
commission,
salary,
direct
or
indirect
benefit
worth
more
than
$
1,000
.00
or
holds
any
ownership,
security
or
other
incidental
interest,
individually
or
combined
with
others,
amounting
to
more
than
ten
percent
(
10%)
of
said
business.

4.
"
Candidate
for
public
office"
means
any
person
who
has
publicly
announced
an
intent
to
seek
elective
office
with
the
Tribe,
filed
a
declaration
of
candidacy
or
a
petition
to
appear
on
the
ballot
for
election
as
a
public
official,
or
applied
for
appointment
to
any
governmental
body.

5
.
"
Compensation
or
income"
means
any
money
or
thing
of
value
received,
or
to
be
received
as
a
claim
on
future
services,
whether
in
the
form
of
a
fee,
salary,
expense,
allowance,
forbearance,
forgiveness,
interest,
dividend,
royalty,
rent,
capital
gain
or
any
other
form
of
recompense
or
any
combination
thereof.

~
6.
"
Confidential
information"
means
information
that
is
privileged
pursuant
to
Mohegan
law
or
any
other
applicable
law,
policy
or
custom
or
which
is
otherwise
unavailable
to
the
public
at
large.

7.
"
Conflict
of
interest"
means
the
reasonable
foreseeability
that
any
personal
or
economic
interest
of
a
public
official
will
be
affected
in
any
materially
different
manner
from
the
interest
of
the
tribal
membership,
by
any
decision,
enactment,
agreement,
award
or
other
official
action
or
function
of
any
governmental
body
of
the
Tribe.
8.
"
Dependent
business"
means
any
business
in
which
the
person
or
members
of
the
person's
Immediate
Family,
individually
or
combined,
have
any
direct
or
indirect
ownership,
investment,
security
or
other
beneficial
interest
amounting
to
more
than
twenty
percent
(
20%)
of
such
business
.

9.
"
Employee"
means
any
person
or
entity
working
for,
or
rendering
or
exchanging
any
services
or
performing
any
act
for
or
on
behalf
of
another
person,
organization
or
entity
in
return
for
any
form
of
pay
or
other
compensation
or
thing
of
value
received
or
to
be
received
any
time
temporarily,
permanently
or
indefinitely,
in
any
capacity,
whether
as
agent,
servant,
representative,
consultant,
advisor,
independent
contractor
or
otherwise.

10.
"
Employment"
means
the
status
or
relationship
existing
or
created
by
and
between
a
person
designated
or
acting
as
an
"
employee"
as
defined
herein
and
the
person,
organization,
group
or
other
entity
for
whom
or
on
whose
behalf
any
such
work,
acts,
services
or
other
benefit
has
been,
is
being
or
will
be
rendered
or
performed
for
pay
or
any
other
form
of
compensation.

11
.
"
Economic
interest"
means
an
interest
held
by
a
person,
members
of
the
person's
Immediate
Family
or
a
dependent
business,
which
is
:

a.
Any
ownership,
income,
investment,
security
or
other
beneficial
interest
in
a
business,
or
b.
Any
employment
or
prospective
employment
for
which
negotiations
have
already
begun.

12.
"
Gift"
means
any
gratuity,
special
discount,
favor,
hospitality,
payment,
loan,
subscription,
economic
opportunity,
advance,
deposit
of
money,
services,
or
other
benefit
received
without
equivalent
consideration
and
not
extended
or
provided
to
members
of
the
public
at
large.

13
.
"
Governmental
body"
means
any
council,
branch,
enterprise,
authority,
division,
department,
office,
commission,
board,
bureau
or
any
entity
of
the
Tribe.

14.
"
Immediate
Family"
means
spouse,
children
and
members
of
the
household
of
public
officials
and
candidates
for
public
office.

15
.
"
Ministerial
action"
means
an
action
that
a
person
performs
in
a
given
state
of
facts
in
a
prescribed
manner
in
obedience
to
the
mandate
of
legal
authority,
without
regard
to,
or
in
the
exercise
of,
the
person's
own
judgment
upon
the
propriety
of
the
action
being
taken.
16.
"
Official
discretionary
action"
means
any
function
of
public
office
or
employment,
including
any
vote,
decision,
opinion,
recommendation,
and
approval
for
or
on
behalf
of,
or
in
any
manner
affecting
any
interest
or
property
of
the
Tribe.
17.
"
Personally
and
substantially
participated"
means
that,
while
serving
in
elective
office
of
the
Tribe
or
while
employed
by
the
Tribe,
an
individual
was
involved
in
a
matter
through
approval,
disapproval,
recommendation,
rendering
of
advice,
investigation
or
otherwise
having
reason,
by
virtue
of
elective
office
or
employment,
to
be
involved
in
a
specific
matter.

18.
"
Public
office"
means
any
elected
or
appointed
office
in
any
governmental
body
of
the
Tribe.

19.
"
Public
official"
means
any
person
holding
elective
or
appointed
office
in
any
governmental
body
of
the
Tribe,
including
tribal
departments,
commissions,
authorities,
committees,
and
agencies.

SECTION
4.
STANDARDS
OF
CONDUCT
AND
RESTRICTED
ACTIVITIES
STANDARD
A.
Conduct
in
Conformity
with
Applicable
Rules
and
Laws
Public
officials
shall
at
all
times
conduct
themselves
so
as
to
reflect
credibly
upon
the
Mohegan
Tribe
and
comply
with
all
Mohegan
laws
and
other
applicable
laws
with
respect
to
their
conduct
in
the
performance
of
the
duties
.

STANDARD
B.
Conflicts
of
Interest
1
.
No
public
official
shall
use,
or
attempt
to
use,
any
official
or
apparent
authority
of
their
office
or
duties
which
places
their
private
economic
gain
or
that
of
any
special
business
interests
with
which
they
are
associated,
before
those
of
the
membership
of
the
Mohegan
Tribe.

2.
Generally,
public
officials
shall
refrain
from
all
acts
or
activities
which
may
be
construed
as
a
conflict
of
interest.
By
virtue
of
their
positions,
knowledge,
access
to
information,
and
contacts,
officials
are
frequently
offered
opportunities
in
which
they
could
personally
benefit.
In
such
situations,
all
applicable
laws
must
be
scrupulously
followed,
and
in
the
event
of
any
potential
conflict
arising
or
being
suggested,
the
matter
should
be
reported
immediately
and
steps
must
be
taken
to
eliminate
the
potential
conflict
of
interest
.
Even
where
the
conditions
permit
any
kind
of
outside
activity;
and
there
appears
to
be
no
risk
of
any
conflict
of
interest,
great
care
should
be
taken
to
ensure
that
such
outside
interests
do
not
interfere
in
any
way
with
the
proper
discharge
of
official
duties
and
responsibilities
.
3
.
Elected
officials
shall
not
engage
in
gaming
in
any
gaming
facility
owned
and
~
operated
by
the
Mohegan
Tribe.

STANDARD
C.
Use
of
Public
Office
for
Private
Gain
1
.
Public
officials
shall
not:

(
a)
Use
his
or
her
public
position
or
office
to
obtain
financial
gain
or
anything
of
substantial
value
for
the
private
benefit
of
him/
herself
or
his/
her
Immediate
Family,
or
for
an
organization
with
which
he/
she
is
associated.
(
b)
Use
his
or
her
office
or
position
in
a
way
that
produces
or
assists
in
the
production
of
a
substantial
benefit,
direct
or
indirect,
for
the
official,
one
or
more
members
of
the
official's
Immediate
Family
either
separately
or
together,
or
an
organization
with
which
the
official
is
associated.
(
c)
Accept
items
or
services
of
substantial
value
for
private
benefit,
or
for
the
benefit
of
the
official's
Immediate
Family
or
associated
organizations,
if
offered
because
of
public
position.
(
d)
Engage
in,
directly
or
indirectly,
financial
or
other
economic
transactions
as
a
result
of,
or
primarily
depending
upon,
information
obtained
through
their
public
office
or
public
employment.

STANDARD
D.
Use
of
Confidential
Information
for
Private
Gain
No
public
official
shall
use
or
disclose
confidential
information
gained
in
the
course
or
by
reason
of
their
official
position
or
activities,
to
further
their
own
economic
and
personal
interest
or
that
of
anyone
else.

STANDARD
E.
Restrictions
Against
Incompatible
Interests
or
Employment
1
.
Public
officials
shall
not:

a.
Have
direct
or
indirect
financial
or
other
economic
interests
nor
engage
in
such
other
employment
or
economic
activity
which,
as
determined
in
accordance
with
the
provisions
of
this
Ordinance
and
other
applicable
laws
of
the
Tribe,
necessarily
involves
inherent
substantial
conflict
with
their
responsibilities
and
duties
as
public
officials
of
the
Tribe;
nor
b.
Acquire
any
economic
or
other
financial
property,
contractual
or
other
economic
interest
at
a
time
when
they
believe
or
have
reason
to
believe,
that
it
may
directly
and
substantially
affect
or
be
so
affected
by
their
official
actions
or
duties.
2
.
Subject
to
the
restrictions
and
conditions
set
forth
in
this
Ordinance,
public
officials
are
free
to
engage
in
lawful
financial
transactions
to
the
same
extent
as
the
general
public.
Governmental
bodies
and
agencies
of
the
government
of
the
Tribe
may,
,
however,
adopt
further
approved
restrictions
upon
such
transactions
or
employment
as
authorized
herein
and
by
other
applicable
laws
of
the
Tribe,
in
light
of
special
circumstances
or
their
particular
duties.

3.
No
business
or
other
entity
shall
employ
a
public
official
if
such
employment
is
prohibited
by
or
otherwise
violates
any
provision
of
this
Ordinance.

4.
The
term
"
employment"
within
the
meaning
of
Standard
E
includes
professional
services
and
other
services
rendered
by
a
public
official,
whether
rendered
as
an
employee,
consultant
or
other
independent
contractor.

STANDARD
F.
Abstention
from
Official
Action
1
.
When
a
public
official
is
required
to
take
official
action
on
a
matter
in
which
such
public
official
has
a
personal
economic
interest,
they
should
first
consider
eliminating
that
interest.
If
that
is
neither
feasible
nor
required
under
Standard
E
above,
such
public
official
shall:

a.
Prepare
and
sign
a
written
statement
describing
the
matter
requiring
action
and
the
nature
of
the
potential
conflict,
as
soon
as
such
public
official
is
aware
of
such
conflict
and
they
shall
deliver
copies
of
such
statement
to
the
Ethics
Officer
and
to
the
responsible
party
for
inclusion
in
the
official
record
of
any
vote
or
other
decision
or
determination;
and
b.
Abstain
from
participating
in
or
being
present
during
deliberations,
voting,
sponsoring,
influencing
or
attempting
to
influence
any
vote,
official
decision
or
determination
which
would
favor
or
advance
such
person's
personal
economic
interest
in
such
matter;
and
c.
Abstain
from
voting
or
otherwise
participating
in
the
official
decision
or
determination
of
such
matter,
unless
otherwise
directed
by
the
authorized
presiding
official
of
the
governmental
body
making
such
decision
or
determination,
or
otherwise
legally
required
by
law
(
such
as
the
vote
of
an
elected
representative
delegate
which
is
cast
on
behalf
of
his
constituents),
or
unless
such
person's
vote,
position,
recommendation
or
participation
is
contrary
to
their
personal
economic
interest
.

2.
Unless
otherwise
provided
by
applicable
law,
the
abstention
by
such
person
from
voting
or
otherwise
participating
in
the
official
determination
or
decision
shall
not
affect
the
presence
of
such
person
for
purposes
of
establishing
a
quorum
necessary
for
a
governmental
body,
agency
or
commission
to
take
such
action
or
vote
upon
such
matter.

3.
In
the
event
that
a
public
official's
participation
is
otherwise
legally
required
for
the
action
or
decision
to
be
made,
such
person
and
the
presiding
official
or
immediate
superior
requiring
such
participation
shall
fully
report
the
occurrence
to
the
Ethics
Officer.

STANDARD
G.
Governmental
Decisions
Public
officials
shall
not
make
a
governmental
decision
outside
of
official
channels.

STANDARD
H.
Tribal
Government
Contracts;
Restrictions
and
Bid
Requirements
1
.
No
public
official
or
any
member
of
such
person's
Immediate
Family
shall
be
a
party
to,
nor
have
an
interest
in
the
profits
or
benefits
of
any
governmental
contract
of
the
Tribe
or
of
any
investment
of
funds
of
the
Tribe,
unless
the
contract
or
the
investment
meets
all
of
the
following
requirements:

a.
The
contract
is
let
by
notice
and
competitive
bid
or
procurement
or
procedures
as
required
under
all
applicable
laws,
rules,
regulations
and
policies
of
the
Mohegan
Tribe,
for
necessary
materials
or
services
for
the
governmental
agency
or
entity
involved;
and
b.
The
continuous
course
of
a
business
commenced
before
the
public
official
assumed
their
current
term
of
office
or
employment;
and
c.
The
entire
transaction
is
conducted
at
arm's
length,
with
the
governmental
agency's
full
knowledge
of
the
interest
of
the
public
official
or
a
member
of
their
Immediate
Family;
and
d.
The
public
official
has
taken
no
part
in
the
determination
of
the
specifications,
deliberations
or
decisions
of
a
governmental
agency
with
respect
to
the
public
contract;
and
e.
The
public
official
is
not
a
member,
office
holder,
employee
or
otherwise
directly
associated
with
the
same
governmental
agency
or
entity
primarily
responsible
for
letting,
performing,
receiving,
regulating
or
otherwise
supervising
the
performance
of
the
contract.

The
requirements
of
Standard
H
shall
apply
only
to
contracts
involving
the
investment,
award
or
payment
of
government
funds.
2.
A
public
official
or
a
member
of
their
Immediate
Family
shall
not
be
considered
as
having
an
interest
in
a
public
contract
or
the
investment
of
public
funds,
when
such
person
has
a
limited
investment
interest
of
less
than
ten
percent
(
10%)
of
the
ownership
of
net
assets,
or
an
interest
as
creditor
of
less
than
ten
percent
(
10%)
of
the
total
indebtedness
of
any
business
or
other
entity
which
is
the
contractor
on
the
public
contract
involved
or
in
which
public
funds
are
invested,
or
which
issues
any
security
therefor.

STANDARD
1.
Restrictions
on
Assistin
og­
r
Representing
Other
Interests
Before
Governmental
Bodies
for
Compensation
No
public
official
shall
represent
or
otherwise
assist
any
person
or
entity
other
than
the
Tribe
for
compensation
before
any
governmental
body
where
the
matter
before
the
governmental
body
is
of
a
non­
ministerial
nature.

STANDARD
J.
Restrictions
on
Assisting
or
Representing
Other
Interests
After
Termination
of
Public
Office
1
.
After
an
individual
has
left
either
elective
office
or
appointed
office,
that
public
official
shall
not
act
as
agent,
attorney
or
representative
for
any
person
or
entity
for
the
purpose
of
influencing
any
employee,
official
or
governmental
body
of
the
Tribe
in
connection
with
any
proceeding,
contract,
claim,
controversy,
investigation,
charge
or
accusation,
in
which
the
public
official
personally
and
substantially
participated
.

2.
If
a
matter
was
pending
within
the
scope
of
a
public
official's
responsibilities,
but
the
individual
did
not
participate
as
set
forth
in
paragraph
(
1)
above,
the
prohibitions
set
forth
hereunder
shall
apply
for
a
period
of
two
(
2)
years
following
the
termination
of
such
public
office
.

3
.
Nothing
in
this
Ordinance
shall
prevent
a
former
public
official
from
appearing
and
giving
testimony
under
oath,
nor
from
making
statements
required
to
be
made
under
penalty
of
perjury,
nor
from
making
appearance
or
communications
concerning
matters
of
a
personal
and
individual
nature
which
pertain
to
such
former
public
official
or
are
based
upon
such
person's
special
knowledge
of
the
particular
subject
involved,
not
otherwise
privileged
from
disclosure
by
other
applicable
law;
and
provided
further,
that
no
compensation
is
thereby
received
other
than
that
which
is
regularly
provided
for
witnesses
by
law
or
regulation.

4.
The
Tribe
shall
not
take
any
action
favorable
to
any
person,
business,
governmental
or
other
entity,
which
is
assisted
or
represented
personally
in
the
matter
by
a
former
public
official
whose
official
act,
while
a
public
official,
directly
contributed
to
the
taking
of
such
favorable
action.
Favorable
action,
for
purposes
of
this
paragraph,
means
the
approval
of
a
contract
or
agreement,
the
award
of
a
bid,
the
granting
of
a
business
opportunity,
or
the
extension
of
any
economic
benefit.

5.
Nothing
herein
shall
prohibit
a
former
public
official
from
being
retained
or
employed
by
the
governmental
entity
which
he
or
she
formally
served.

STANDARD
K.
Unauthorized
Compensation
or
Benefit
for
Official
Acts
No
public
official
shall
accept
or
receive
any
benefit,
income,
favor
or
other
form
of
compensation
for
performing
the
official
duties
of
their
office
or
employment,
beyond
the
amount
of
value
which
is
authorized
and
received
in
their
official
capacity
of
performing
such
duties
.

STANDARD
L.
Unauthorized
Use
of
Property
or
Funds
of
the
Tribe
No
public
official
shall
use
any
property
of
the
Tribe
or
any
other
public
property
for
personal
activities,
except
where
authorized
and
approved
for
official
purposes
and
activities.
Such
persons
shall
properly
protect
and
conserve
all
such
property,
equipment
and
supplies
which
are
so
entrusted,
assigned
or
issued
to
them.

STANDARD
M.
Staff
Misuse
Prohibited
No
public
official
shall
employ,
with
the
Tribe's
funds,
any
unauthorized
person(
s)
who
do
not
perform
duties
commensurate
with
such
compensation,
and
shall
utilize
authorized
employees
and
staff
only
for
the
official
purposes
for
which
they
are
employed
or
otherwise
retained.

STANDARD
N.
Restrictions
Against
Gifts
or
Loans
to
Influence
Official
Acts
Except
as
otherwise
provided
herein
or
by
applicable
rule
or
regulation
adopted
hereunder
or
by
other
applicable
law,
no
public
official
shall
solicit
or
accept
for
themselves
or
another,
any
gift,
including
economic
opportunity,
favor,
service,
loan
(
other
than
from
a
regular
lending
institution
on
generally
available
terms)
or
any
other
benefit
of
an
aggregate
monetary
value
of
one
hundred
dollars
($
100.00)
or
more
in
any
calendar
year,
from
any
person,
organization
or
group
which:

1
.
Has,
or
is
seeking
to
obtain,
contractual
or
other
business
or
financial
relationships
or
approval
from
any
governmental
office
or
entity
of
the
Tribe
with
which
the
public
official
is
associated
or
employed;
or
2.
Conducts
operations
or
activities
which
are
regulated
or
in
any
manner
supervised
by
any
governmental
office
or
entity
with
which
the
public
official
is
associated
or
employed;
or
3
.
Has
any
interest
which,
within
two
(
2)
years
of
receipt
of
the
gift,
has
been
directly
involved
with,
or
affected
by,
the
performance
or
nonperformance
of
any
official
act
or
duty
of
such
public
official
or
of
the
government
office
or
entity
with
which
the
public
official
is
associated
or
employed
or
which
the
public
official
knows
or
has
reason
to
believe
is
likely
to
be
so
involved
or
affected.

STANDARD
O.
Permitted
Gifts:
Awards,
Loans
Reimbursements
and
Campaign
Contributions
Standard
(
N)
shall
not
be
construed
to
prohibit:

1
.
An
occasional
gift
of
insignificant
monetary
value;

2.
Gifts
from
and
obviously
motivated
by
family
or
social
relationships
;

3.
Food
and
refreshments
customarily
made
available
in
the
ordinary
course
of
meetings;

4.
An
award
or
honor
customarily
and
publicly
presented
in
recognition
of
public
service;
or
5
.
Traditional
gifts
accepted
on
behalf
of
the
Tribe
from
other
tribes
or
tribal
members
provided
that
the
gifts
are
promptly
reported
to
the
Ethics
Officer.

STANDARD
P.
Adoption
of
Supplemental
Codes
of
Conduct
for
Officials
and
Employees
of
Government
Entities
of
the
Tribe
The
Tribal
Council
may
authorize
the
adoption
of
supplemental
rules
and
standards
of
conduct
for
public
officials
of
the
Tribe
where
necessary
to
address
special
conditions
relating
to
their
particular
functions,
purposes
and
duties
and
not
otherwise
in
conflict
with
this
Ordinance.
Upon
adoption,
such
supplemental
rules
and
standards
shall
be
implemented
in
the
same
manner
as
the
provisions
of
this
Ordinance.
SECTION
5.
ECONOMIC
DISCLOSURE
STATEMENT;
FILING
REQUIREMENTS
A.
Persons
Required
to
File
Annual
Statements
On
or
before
February
15
of
each
year,
the
following
persons
shall
file
a
"
Mohegan
Tribe
Economic
Disclosure
Statement",
in
accordance
with
the
provisions
of
this
Section:

l
.
Each
public
official
of
the
Tribe
as
defined
in
Section
3
of
this
Ordinance,
whose
term
of
office
or
appointment
included
any
part
of
the
previous
calendar
year.

2.
All
candidates
for
election
or
appointment
to
any
public
office
.

B.
Availability
and
Distribution
of
Economic
Disclosure
Forms
1
.
It
shall
be
the
responsibility
of
each
public
official
and
candidate
for
public
office
to
complete
such
disclosure
forms
as
prescribed
by
the
Ethics
Officer.
No
later
than
November
30
of
each
year,
the
Ethics
Officer
shall
determine,
compile
and
adopt
a
complete
list
of
the
names
of
all
public
officials
required
to
file
a
form.

2.
No
later
than
January
10
of
each
year,
the
Ethics
Officer
shall
have
mailed,
delivered
or
otherwise
distributed
notice
to
each
public
official
required
to
complete
a
disclosure
form
pursuant
to
this
Ordinance.

C.
Periods
to
be
Included
in
Statements
of
Economic
Interests;
Other
Public
Officials,
Candidates,
Nominees
Required
to
File
1
.
All
public
officials
described
in
subsections
(
A)(
1)
shall
include
all
information'
required
to
be
disclosed
in
the
Statement
of
Economic
Interests
for
the
entire
twelve
(
12)
month
period
of
the
previous
calendar
year.

2.
Any
person
who
becomes
a
public
official
or
candidate
for
election
or
appointment
to
any
public
office
shall
file
the
form
prescribed
by
the
Ethics
Officer.

D.
Confidentiality
of
Disclosure
Statements
Disclosure
Statements
filed
by
public
officials
shall
be
kept
on
record
with
the
Ethics
Officer.
Such
statements
shall
be
maintained
by
the
Tribe
in
the
same
manner
and
to
the
same
extent
as
confidential
personnel
records
of
the
Tribe
and
shall
not
be
deemed,
maintained
nor
used
for
any
purpose
or
in
any
manner
as
a
public
record,
nor
shall
the
contents
of
any
Disclosure
Statements
be
made
available
for
inspection
or
copying
by
any
person
in
any
manner
except
as
required
for
determination
of
relevant
information
pertaining
to
examinations,
investigations
or
hearings
conducted
in
accordance
with
this
Ordinance
or
otherwise
authorized
by
the
laws
of
the
Tribe
pertaining
to
the
confidentiality
of
governmental
personnel
records.
Violation
of
any
provisions
of
this
section
shall
be
punishable
in
the
same
manner
and
to
the
same
extent
as
provided
by
any
provision
of
law
applicable
to
unauthorized
disclosure
of
confidential
information
of
any
privileged
official
information
or
records
of
the
Tribe.

E.
Nondisclosure
of
Privileged
Information
Nothing
herein
shall
be
construed
as
requiring
the
disclosure
of
any
information
which
is
privileged
from
disclosure
pursuant
to
the
Tribe's
laws
or
any
applicable
law
recognized
by
the
Tribe.

SECTION
6.
DISCLOSURE
INFORMATION
REQUIRED
Each
individual
required
to
submit
a
Disclosure
Statement
shall
disclose
the
information
for
the
previous
calendar
year,
as
certified
to
be
true
and
complete.
The
Disclosure
Statement
shall
include
all
the
information
which
is
contained
in
the
"
U.
S.
Security
Exchange
Commission
Director
Disclosure
Form,
Form
(
insert)
",
as
may
be
amended
from
time
to
time.

SECTION
7.
IMPLEMENTATION
AND
COMPLIANCE
WITH
ETHICS
ORDINANCE
A.
There
is
hereby
established
an
Ethics
Commission
for
purposes
of
administration
and
enforcement
of
this
Ordinance.

B
.
The
Ethics
Commission
is
entrusted
to
hear
and
impose
sanctions
on
all
matters
relating
to
ethics
in
government.
The
Commission
shall
be
comprised
of
five
members
and
two
alternates
(
seven
in
total).
Each
member
shall
meet
all
of
the
following
requirements
:

1
.
Be
a
voting
Mohegan
tribal
member;
2.
Age
18
or
older;
3
.
Has
not
been
convicted
of
a
felony;
4.
Does
not
hold
elective
or
appointive
office.

12
For
purposes
of
selection
of
the
Ethics
Commission
members,
the
Ethics
Officer
shall
oversee
the
process
which
utilizes
the
Tribal
Roll
to
randomly
select
a
pool
of
fifteen
(
15)
adult
tribal
members
who
may
potentially
serve
on
the
Ethics
Commission
to
hear
the
pending
complaint.
From
the
list
of
the
pool
of
fifteen,
the
Ethics
Officer
shall
eliminate
the
names
of
individuals
who
do
not
meet
the
requirements
as
set
forth
in
Section
7(
B)
above.
Next,
notification
shall
be
made
to
the
individual
tribal
members
remaining
on
the
list
to
determine
whether
such
individual
is
willing
to
serve
on
the
Ethics
Commission.
If
such
individuals
can
not
or
will
not
serve
on
the
Ethics
Commission,
his/
her
name
will
be
removed
from
the
list.
From
the
remaining
individuals
on
the
list,
a
final
group
of
five
(
5)
members
shall
be
selected
at
random
and
two
(
2)
alternates
.
This
final
group
of
five
(
5)
shall
serve
on
the
Ethics
Commission
for
the
pending
complaint.
However,
if
any
individual
from
the
final
group
of
five
wishes
to
recuse
himself/
herself
from
hearing
the
case
because
of
connection
to
the
public
official
who
is
the
subject
of
the
complaint,
he/
she
may
do
so
and
the
Ethics
Officer
shall
randomly
select
one
of
the
alternates
to
sit
on
the
Commission
for
that
particular
complaint.
Further,
if
the
public
official
who
is
the
subject
of
the
complaint
is
an
Immediate
Family
member
of
one
of
the
final
group
who
will
serve
on
the
Ethics
Commission
that
Immediate
Family
member
shall
not
sit
on
the
Ethics
Commission
to
hear
that
particular
complaint.
Instead,
the
Ethics
Officer
shall
randomly
select
one
of
the
alternates
to
sit
on
the
Commission
for
that
particular
complaint.

C.
Terms;
Officers,
Duties
;
Removal
l
.
The
members
of
the
Ethics
Commission
shall
serve
for
one
case
(
complaint).
At
the
conclusion
of
the
processing/
hearing
of
each
particular
complaint,
the
obligation
of
that
particular
panel
of
five
is
completed
and
selection
of
the
next
Ethics
Commission
shall
proceed
as
described
in
Section
7(
B)
above.

2.
The
Ethics
Commission
shall
have
a
Chair
who
shall
be
selected
by
the
Ethics
Commission
members
at
a
preliminary
meeting
and
shall
hold
office
until
the
completion
of
that
particular
case
(
complaint).

3.
The
Chair
shall
preside
at
all
meetings
and
hearings
of
the
Ethics
Commission
for
that
particular
complaint,
communicate
with
any
outside
parties
on
behalf
of
the
Ethics
Commission,
and
perform
such
other
duties
as
may
be
prescribed
by
any
further
rules
and
regulations
promulgated
pursuant
to
this
Ordinance.

4.
The
Tribal
Council
may
remove
any
member
of
the
Ethics
Commission
for
neglect
of
duty,
malfeasance,
or
furthering
a
meritless
complaint
with
bias
or
prejudice.
Any
13
member
of
the
Ethics
Commission
who
knowingly
and/
or
willfully
violates
the
provisions
of
this
Ordinance,
including
violations
of
the
Standards
of
Conduct
and
Restricted
Activities,
shall
be
subject
to
removal.
The
process
for
removal
of
members
of
the
Ethics
Commission
shall
be
contained
in
the
rules
and
regulations
promulgated
by
the
Ethics
Officer.

D.
Powers
of
Ethics
Commission
1
.
The
purpose
of
the
Ethics
Commission
shall
be
to
hear
each
particular
complaint
arising
under
this
Ordinance
and
provide
a
determination
to
guide
the
conduct
of
the
public
official
who
is
the
subject
of
the
particular
case
(
complaint)
being
heard.

2.
The
Commission
may
hold
any
person
in
contempt
upon
a
finding
that
the
person
has
disobeyed
any
lawful
order,
process,
writ,
finding
or
direction
of
the
Commission.

3
.
The
Commission
may
administer
oaths
and
issue
subpoenas
to
compel
attendance
and
testimony
of
witnesses,
or
to
produce
any
documents
relevant
to
any
matter
before
the
Commission.

4.
The
Commission
may
appoint
an
investigator
on
behalf
of
the
Commission
to
conduct
investigations
which
are
deemed
to
require
such
analytical
work.

S
.
The
Commission
shall
maintain
a
complete
record
of
all
hearings,
including
all
testimony,
results
submitted
by
the
investigator,
and
documents
presented
as
evidence.
These
records
shall
be
maintained
pursuant
to
the
rules
and
regulations
promulgated
by
the
Ethics
Officer.

6.
The
Commission
shall
not
be
bound
by
formal
rules
of
evidence.

7.
The
Commission
shall
have
the
discretion
to
conduct
each
meeting
or
hearing
in
open
or
closed
session.
However,
all
minutes
of
hearings
shall
be
made
available
to
the
tribal
membership
within
seven
(
7)
days
of
such
meeting/
hearing.
All
other
records,
transcripts,
and
other
documents
in
the
possession
of
the
Ethics
Commission
shall
remain
confidential,
unless
such
documents
are
required
to
be
released
pursuant
to
an
appropriate
court
order.

8
.
Upon
the
recommendation
of
the
Ethics
Officer,
the
Ethics
Commission
may
review
any
complaint
and
dismiss
such
allegation
which
it
determines
:

14
(
a)
Contains
facts
insufficient
to
constitute
a
violation
of
this
Ordinance;
(
b)
Contains
insufficient
evidence
to
support
the
allegations;
or
(
c)
The
Commission
lacks
authority
to
hear
such
complaint.

9.
The
Commission
shall
set
forth
its
findings,
recommendations
and
the
imposition
of
any
sanctions
and/
or
penalties
in
writing
within
thirty
(
30)
days
of
the
hearing
and
the
Commission
shall
deliver
a
copy
of
any
order
or
decision
to
the
appropriate
branch
of
the
government.
The
determination
of
the
Commission
shall
be
final.

10.
The
Commission
shall
conduct
meetings
and
hearings
to
properly
administer
and
to
make
determinations
pursuant
to
this
Ordinance.

(
a)
Five
(
5)
members
of
the
Ethics
Commission
shall
be
necessary
to
constitute
a
quorum
for
the
conduct
of
meetings
and
hearings.
If
less
than
a
quorum
is
present,
a
majority
of
those
present
may
adjourn
the
meeting.

E.
Commission
Conflict
of
Interest
No
Commission
member
shall
hear
matters
before
the
Commission
that
involve
a
member
of
his/
her
Immediate
Family
and/
or
personal
economic
interest.
In
the
event
that
abstention
from
participation
is
required,
an
alternate
shall
be
selected
to
hear
the
case
(
complaint)
as
specified
in
Section
7(
B)
of
this
Ordinance.

F.
Ethics
Officer
The
provisions
of
this
Section
shall
supercede
any
and
all
contrary
provisions
of
the
Tribal
Employment
Rights
Ordinance,
99­
2,
as
may
be
amended
from
time
to
time.
Subject
to
all
other
applicable
laws
and
policies,
the
Commission
shall
select
and
hire
no
less
than
three
(
3)
individual
who
shall
serve
as
Ethics
Officer(
s)
to
carry
out
the
administrative
duties
and
to
make
recommendations
to
the
Commission.
Such
Ethics
Officer(
s)
shall
serve
on
a
rotating
basis,
as
needed.
The
Ethics
Officer(
s)
shall
not
be
a
member
of
the
Mohegan
Tribe
and
shall
not
have
a
business
relationship
with
the
Mohegan
Tribe.
Such
individual(
s)
shall
possess
all
the
necessary
credentials
required
for
such
a
position,
including
but
not
limited
to,
adequate
education
and
job
experience
in
this
area.
The
Human
Resources
Department
shall
provide
assistance
to
the
Commission
in
developing
the
appropriate
job
description
and
minimum
requirements
for
such
position(
s).

(
1)
The
Ethics
Officer
shall
have
the
authority
to
promulgate
further
rules
and
regulations
to
properly
administer
and
enforce
this
Ordinance.
These
rules
15
and
regulations
shall
be
subject
to
final
approval
by
the
Tribal
Council
prior
to
adoption.
All
such
rules
and
regulations
shall
be
made
available
to
all
public
officials
and
tribal
membership,
including
the
timely
publication
of
adoption
or
amendment
of
such
rules
in
the
Tribal
newsletter.

(
2)
The
Ethics
Officer(
s)
shall
uphold
the
integrity
and
independence
of
his/
her
position
by
avoiding
impropriety
in
all
activities
and
by
remaining
personally
impartial,
conducting
himself/
herself
without
consideration
of
partisan
or
factional
interests,
public
sentiment,
or
criticism.
Further,
the
Ethics
Officer(
s)
shall
perform
the
duties
of
the
position
diligently,
filing
regular
reports
with
the
Tribal
Council,
as
deemed
necessary
under
further
regulations
promulgated
pursuant
to
Section
7,
F
(
1)
above.

G.
Independent
Legal
Counsel
Subject
to
all
applicable
laws,
the
Commission
may
obtain
independent
legal
counsel
to
assist
and
advise
the
Commission.

H.
Filing
of
Cornplaint
A
complaint
alleging
a
violation
of
this
Ordinance
shall
be
filed
with
the
Ethics
Commission
through
its
Ethics
Officer
in
the
following
manner:
(
1)
Upon
discovery
of
a
violation,
a
public
official
shall
have
the
duty
to
timely
file
a
complaint
against
another
official
if
he/
she
has
knowledge
that
a
violation
of
this
Ordinance
has
occurred.
(
2)
Upon
discovery
of
a
violation,
a
Tribal
member
or
any
other
individual
may
present
a,
complaint
alleging
a
violation
of
this
Ordinance.
(
3)
A
complaint
must
be
in
writing,
signed
and
delivered
to
the
Ethics
Officer.
(
4)
The
Ethics
Officer
shall
receive
such
complaint
and
assure
that
such
matter
is
brought
forward
for
investigation
and
action
.
(
5)
Upon
investigation,
the
Ethics
Officer
may
review
any
complaint
and
make
a
recommendation
for
dismissal
of
such
allegation
to
the
Ethics
Commission
if
he/
she
determines
that
:
(
a)
Such
complaint
contains
facts
insufficient
to
constitute
a
violation
of
this
Ordinance;
(
b)
Such
complaint
contains
insufficient
evidence
to
support
the
allegations;
or
(
c)
The
Ethics
Commission
lacks
authority
to
hear
such
complaint
.
(
6)
After
initial
review
of
the
complaint,
the
Ethics
Officer
shall
forward
the
matter,
along
with
any
recommendations,
to
the
Ethics
Commission
for
proper
hearing.
I.
Statute
of
Limitations
No
complaint
shall
be
considered
by
the
Ethics
Commission
if
more
than
five
(
5)
years
has
passed
from
the
date
when
the
alleged
violation
occurred.
Further,
the
Ethics
Commission
has
no
jurisdiction
to
hear
a
claim
arising
out
of
conduct
which
occurred
prior
to
the
date
of
enactment
of
this
Ordinance.

SECTION
8.
SANCTIONS
AND
PENALTIES
A.
Administrative
Sanctions
1
.
Upon
fmding
that
there
has
been
violation
of
any
provisions
of
this
Ordinance,
the
Commission
may
impose
any
or
all
of
the
following
penalties
or
sanctions:

a.
The
recommendation
of
removal
from
an
appointed
position
forwarded
to
the
Tribal
Council,
Council
of
Elders
or
any
other
entity
of
the
Mohegan
Tribe
with
appointment
authority
for
final
removal
action
;

b.
Forfeiture
of
all
compensation
and
benefits
accruing
therefrom,
for
not
more
than
180
days;

c.
Issuance
of
a
written
public
reprimand,
which
shall
be
entered
into
such
person's
permanent
record
of
public
office
or
entity
which
such
person
is
a
member;
d.
Issuance
of
a
private
reprimand,
with
or
without
suspension
of
any
or
all
other
sanctions
provided
herein;

e.
Imposition
of
restitution
or
other
civil
penalties
as
hereinafter
provided
under
Subsection
(
B).

2.
No
sanctions
or
penalty
provided
herein
shall
limit
any
other
powers
of
the
Mohegan
Tribal
Council,
the
Council
of
Elders,
the
Gaming
Disputes
Court,
or
the
Mohegan
Tribal
Court,
nor
of
any
other
entity
or
administrative
officials
or
employees
under
other
applicable
law,
rules,
regulations
or
procedures
.

B.
Other
Civil
Damages
1
.
A
person
found
in
violation
of
this
Ordinance
shall
be
further
subjecYto,
and
personally
liable
for
the
following
provisions,
without
regard
to
the
imposition
of
any
administrative
sanctions:
a.
Any
public
official
who
violates
any
economic
disclosure
or
reporting
requirement
of
this
Ordinance
may
be
held
liable
to
the
Tribe
for
civil
damages
in
any
amount
not
to
exceed
the
value
of
any
interest
not
properly
reported.
b.
Any
public
official
who
realizes
an
economic
benefit
as
a
result
of
violation
of
any
prohibition
or
restriction
set
forth
in
this
Ordinance
shall
be
liable
to
the
Tribe
for
civil
damages
in
an
amount
equal
to
three
(
3)
times
the
amount
or
value
of
the
benefit
or
benefits
so
obtained.

2.
If
two
(
2)
or
more
persons
are
responsible
for
any
violation,
each
of
them
shall
be
liable
to
the
Tribe
for
the
full
amount
of
any
civil
damages
prescribed
herein,
the
full
amount
of
which
may
be
imposed
upon
and
collected
from
each
of
them
individually.

3.
Any
civil
penalties
imposed
hereunder
shall
be
collected
in
any
manner
authorized
for
recovery
of
debts
or
obligations
owed
to
the
Tribe
and
shall
be
paid
into
the
treasury
of
the
Tribe.

4.
No
imposition
of
any
or
all
civil
damages
provided
herein
shall
be
a
bar
to
institution
of
any
civil,
criminal
or
misdemeanor
action,
liability,
judgment,
conviction
or
punishment
otherwise
applicable
hereto,
nor
shall
determination
of
any
such
civil
damages
be
barred
thereby.

SECTION
9.
APPEALS
Any
person
aggrieved
by
a
final
decision
of
the
Ethics
Commission
regarding
the
promulgation,
administration,
enforcement
of
this
Ordinance
or
the
imposition
of
any
sanctions
may
appeal
such
decision
to
the
Mohegan
Gaming
Disputes
Court
or
the
Mohegan
Tribal
Court,
as
appropriate,
in
accordance
with
the
appropriate
court
rules.
Such
appeal
must
be
made
within
thirty
(
30)
days
of
notice
of
such
final
decision
of
the
Ethics
Commission.

SECTION
10.
SEVERABILITY
If
any
provision
of
this
Ordinance
or
the
application
of
such
provision
to
any
person
or
entity
shall
be
held
invalid,
the
remainder
of
this
Ordinance
shall
remain
in
full
force
and
effect
.

SECTION
11
.
SAVINGS
CLAUSE
Nothing
in
this
ordinance
shall
impair
or
affect
any
act
done
or
offense
committed
or
any
obligation,
liability,
penalty
or
punishment
incurred
prior
to
the
effective
date
of
this
ordinance
under
any
ordinances,
policies
or
codes
of
conduct
applicable
to
public
officials
that
relate
to
ethical
standards,
including
the
Code
of
Conduct
for
the
Mohegan
18
Tribal
Council
approved
on
December
5,
1996,
and
such
ordinances,
policies,
or
codes
of
conduct
may
be
asserted
and
enforced
as
fully
and
to
the
same
extent
as
they
might
have
been
asserted
and
enforced
prior
to
the
effective
date
of
this
ordinance.

SECTION
12.
EFFECTIVE
DATE
This
Ordinance
shall
be
effective
following
the
enactment
by
resolution
of
the
Mohegan
Tribal
Council.

I
hereby
certify
that
the
foregoing
Ordinance
was
approved
by
the
Mahegan
Tribal
Council
at
a
duly
called
meeting
of
the
Council
on
the
4:
71
7f
day
of
l4CL
rGA
.,
,
2002.

Chairman,
Mark
F.
Brown
Mohegan
Tribal
Council
Attest:

Recording
Secretary,
Shirley
M.
Walsh