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[2003]
A law to authorize license and regulate certain forms of gaming, including Class
II and Class III gaming, within the jurisdiction of the Stockbridge-Munsee Band
of Mohicans.
SECTION 25.1 FINDINGS, PURPOSES AND POLICY
1. Findings. The Stockbridge-Munsee Tribal Council on behalf of the Stockbridge-Munsee Tribe finds that:
1.1.1 Tribal regulation and control of gaming activity within the jurisdiction of the Stockbridge-Munsee Tribe is essential for the protection of public health and welfare, and the interests of the Tribe and the residents of and visitors to the tribal community, and such other areas as may be used for tribal gaming.
1.1.2 The Tribe has the legal authority to license and regulate all gaming activity not specifically prohibited by federal law and which is not, as a matter of criminal law and public policy, prohibited by state law, within the jurisdiction of the Tribe.
1.1.3 It is essential that the Tribe, through its Tribal Council, regulate gaming in a manner commensurate with applicable federal and tribal law and policy, including the Tribal/State Gaming Compact.
1.1.4 Tribal needs include employment opportunities, job and skills training, housing, quality health care, educational opportunities, social services, law and order, public safety and judiciary, and economic diversification.
1.1.5 Tribal operation and licensing of gaming activities within the jurisdiction of the Tribe are one means of generating revenue to address the needs of the Tribe.
1.2 Purposes. The purposes of this Ordinance are to:
1.2.1 Regulate, control and license the operation of all gaming within the jurisdiction of the Stockbridge-Munsee Tribe.
1.2.2 Make clear and explicit that a tribal license to operate a gaming activity, to provide gaming related services or equipment or to work as a gaming employee is a revocable privilege, not a right or a property interest.
1.2.3 Ensure that the operation of tribally regulated gaming will continue as a means of generating tribal revenue.
1.2.4 Ensure that tribally regulated gaming is conducted fairly and honestly by both gaming operators and players and that it remains free from corrupt, incompetent, unconscionable and dishonest persons and practices.
1.2.5 Promote, strengthen and diversify tribal economic development and self-determination and enhance employment opportunities for its members.
1.2.6 Generate revenue to strengthen and improve tribal self-government and the provision of tribal governmental services.
1.2.7 Ensure that the tribal gaming laws are strictly and fairly enforced against all persons involved in gaming activities within the jurisdiction of the Tribe.
1.2.8 Ensure that the Tribe provides a fair and impartial forum for the resolution of gaming disputes.
1.3 Tribal Policy of Self-Government. The Tribe is firmly committed to the principle of tribal self-government. Consistent with federal policy, tribal government provides a wide range of public services, including general governmental services, maintenance of peace and good order, establishment of educational systems and programs and promotion and regulation of economic activities within the sovereign jurisdiction of the Tribe.
1.4 Tribal Gaming Policy. The establishment, promotion and operation of gaming is necessary and desirable, provided that such gaming is regulated and controlled by the Tribe pursuant to tribal and federal law and any tribal-state gaming compact entered into pursuant to the Indian Gaming Regulatory Act, and that all proceeds of such gaming are used for the benefit of the Tribe as required by the Indian Gaming Regulatory Act and tribal law. When operated in accordance with the provisions of this Ordinance, such gaming will be conducive to the general welfare of all residents in the community where such gaming is conducted.
SECTION 25.2 INTERPRETATION
2.1 This Ordinance shall be deemed a reasonable and proper exercise of police power of the Stockbridge-Munsee Tribe for the protection of the public health, welfare and safety of the people living on lands under the jurisdiction of the Stockbridge-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.
The Stockbridge-Munsee Tribe shall be the sole operator, conductor, manager and owner of all gaming enterprises on tribal lands, except that in those cases where the Tribe may deem it appropriate to enter into a management contract, it shall have the authority to do so, in a manner consistent with federal laws governing the terms and approval of such contracts, and provisions of this Ordinance that may apply.
SECTION 25.3 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:
4.1 "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 penalties consistent with this Ordinance.
4.2 "Class II gaming" means:
4.2.1 The game of chance commonly known as bingo (whether or not electronic, computer or other technologic aids are used in connection therewith):
4.2.1.1 Which is played for prizes, including monetary prizes, with cards bearing numbers or other designations,
4.2.1.2 In which the holder of the card covers such numbers or designations when objects, similarly numbered or designated, are drawn or electronically determined, and
4.2.1.3 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
4.2.2 Card games that:
4.2.2.1 Are explicitly authorized by the laws of the State, or
4.2.2.2 Are not explicitly prohibited by the laws of the State and are played at any location in the State, but only if such card games are played in conformity with those laws and regulations (if any) of the State regarding hours or periods of operation of such card games or limitations on wagers or pot sizes in such card games. Class II gaming does not include any banking card games, including baccarat, chemin de fer, or blackjack (21), or electronic or electromechanical facsimiles of any game of chance or slot machines of any kind.
4.3 "Class III gaming" means all forms of gaming that are not Class I gaming or Class II gaming, more specifically, as provided for in the Tribal/State Compact with the State of Wisconsin:
4.3.1 Electronic games of chance with video facsimile displays.
4.3.2 Electronic games of chance with mechanical displays.
4.3.3 Blackjack.
4.3.4 Pull-tabs or break-open tickets when not played at the same location as bingo and any other games hereinafter authorized by the Act or through modifications to the Compact.
4.4 "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.
4.5 “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 Office is an agent of the Commission.
4.6 "Council" or "Tribal Council" means the duly elected governing body of the Stockbridge-Munsee Tribe.
4.7 "Fraud" means intentional deception resulting in an injury to another. Included in this definition, but not limited to, are those crimes and misdemeanors involving bad check writing, embezzlement, insurance fraud and welfare fraud.
4.8 "Gaming Commission" means the Mohican Gaming Commission as established pursuant to this Ordinance.
4.9 "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 are nor shall be organized under the Federal Corporate Charter.
4.10 "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.
4.11 "Gaming Related Contractor" means any contractor, service provider or vendor, individual or entity, that provides gaming materials, supplies, equipment or services that are unique to the operation of gaming and not common to ordinary Tribal operations.
4.12 "Gaming Services Vendor" see "Gaming Related Contractor."
4.13 "General 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.
4.14 "Gross Gaming Proceeds" means any money collected or received from any gaming activity.
4.15 "Key Employee" A person who performs one or more of the following;
4.15.1 Functions:
4.15.1.1. Bingo caller;
4.15.1.2. All supervisors and step-up supervisors;
4.15.1.3. Chief of security and all security and surveillance officers working within the gaming facility;
4.15.1.4. Custodian of gaming supplies or gaming cash;
4.15.1.5. Floor manager;
4.15.1.6. Pit boss;
4.15.1.7. Dealer;
4.15.1.8. Casino Hostess;
4.15.1.9. Custodian of gambling devices including persons with access to gaming cash and accounting records within such devices;
4.15.2 If not otherwise included, any other person whose total cash compensation
is in excess of $50,000 per
year; or
4.15.3 If not other wise included, the four most highly compensated persons in the gaming operation; or
4.15.4 If not otherwise included, any employee with access to gaming supplies, or gaming cash or confidential records, reports or other information of the gaming facility or gaming employees.
4.15.5 Employment positions within the gaming facility not listed under this definition and that do not perform any of the functions listed will be considered “key employees” and will be required to obtain a gaming license.
4.16 "Management Contract" means any contract, subcontract or collateral agreement between the Tribe and a contractor or between a contractor and a subcontractor if such contract or agreement provides for the management of all or part of a gaming operation.
4.17 "Net Gaming Revenues" means gross gaming revenues of an Indian Gaming activity less amounts paid out as, or paid for, prizes and total gaming-related operating expenses, excluding management fees.
4.18 “Primary Gaming License” means a permanent gaming license subject to the renewal requirements and revocation/suspension provisions of this Ordinance.
4.19 "Primary Management Official" means:
4.19.1 The person having management responsibility for a management contract;
4.19.2 Any person who has authority;
4.19.2.1 To hire and fire employees, or
4.19.2.2 To set up working policy for the gaming operation; or
4.19.3 The chief financial officer or other person who has financial management responsibility.
4.20 “Provisional License” means the “temporary gaming license” issued to a gaming employee when the Compliance Office determines that at a minimum the following requirements are met:
4.20.1. The individual is currently a gaming employee in Mohican Gaming.
4.20.2. The individual has been determined eligible for employment.
4.20.3. The individual has returned a completed gaming license application.
4.20.4. The individual has provided two sets of fingerprints for his/her file.
4.21 "Tribe" means the Stockbridge-Munsee Band of Mohican Indians, a federally recognized Indian Tribe acting through a duly elected Tribal Council pursuant to the tribal constitution, unless the context clearly indicates a general meaning.
4.22 “Tribal Court” means the Stockbridge-Munsee Tribal Court system.
4.23 "Tribal Lands" means:
4.23.1 Land within the limits, or within the original boundaries of the Stockbridge-Munsee Reservation, including the townships of Bartelme and Red Springs; or
4.23.2 Land over which the Tribe exercises governmental power and that is either:
4.23.2.1 Held in trust by the United States Government for the benefit of the Tribe or an individual tribal member, or
4.23.2.2 Held by the Tribe or an individual tribal member subject to restriction by the United States against alienation; or
4.23.3 Land held in fee simple by the Stockbridge-Munsee Community.
4.24 "Tribal Gaming Waiver Policy" means that policy approved by the Tribal Council and implemented by the Mohican Gaming Commission and the Tribal Council, that waives a gaming applicant's criminal conviction(s) that would otherwise act as a bar to obtaining an employee gaming license.
SECTION 25.5 USE OF GAMING REVENUE
5.1 Net revenues from Class II and Class III Gaming shall be used only for the following purposes:
5.1.1 To fund tribal government operations and programs.
5.1.2 To provide for the general welfare of the Tribe and its members.
5.1.3 To promote tribal economic development.
5.1.4 To donate to charitable organizations.
5.1.5 To help fund operations of local government agencies.
5.2 If the Tribe elects to make per capita payments to tribal members, it shall authorize such payment only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. Section 2710(b)(3).
SECTION 25.6 HANDLING OF GAMING RECEIPTS
6.1 All monies collected or received from the operation of a tribal gaming enterprise shall be deposited in a special bank account(s) of that gaming enterprise, which shall contain only such money.
All operating expenses shall be withdrawn from such account(s) by consecutively numbered checks duly signed by the Casino General Manager or his or her 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 General Manager shall ensure that the gaming enterprise complies with the provisions of Section XIII of the Tribal-State Gaming Compact pertaining to taxes.
6.4 The Casino General Manager shall insure that the gaming facility complies with the applicable provisions of Title 31 as amended (The Bank Secrecy Act).
SECTION 25.7 GENERAL PROVISIONS
7.1 Authority and Sovereign Powers and Responsibilities. This Ordinance is enacted pursuant to the inherent sovereign powers of the Tribe and powers expressly delegated to the Tribal Council pursuant to the terms of the tribal constitution.
7.2 Application of Federal Policy. In 1970, President Nixon announced the policy of the United States Government to promote self-determination for Indian tribes. At the heart of this policy is a commitment by the federal government to foster and encourage tribal self-government, economic development and self-sufficiency. That commitment was signed into law in 1975 as the Indian Self-Determination and Education Assistance Act, Public Law 93-638, 88 Stat. 2203, 25 U.S.C. Sections 450-450n. In 1983, President Reagan reaffirmed that commitment in his Indian Policy Statement, encouraged tribes to reduce their dependence on federal funds by generating more of their own revenues and pledged to assist tribes in that endeavor.
In 1988 the federal commitment to promote tribal economic development, tribal self-sufficiency and strong tribal government was expressly legislated in the Indian Gaming Regulatory Act ("IGRA"). Public Law 100-497, 102 Stat. 2426, 25 U.S.C. Section 2710, et. seq. (1988), which recognized the inherent sovereign right of tribes to operate and their exclusive right to regulate on Indian lands gaming that is not specifically prohibited by federal law and is conducted within a state that does not, as a matter of criminal law and public policy, prohibit such gaming, and provided a federal statutory basis for operation and regulation of Indian gaming.
7.3 Stockbridge-Munsee Policy of Self-government The Tribe is firmly committed to the principal of tribal self-government. Consistent with federal policy, tribal government provides a wide range of public services, including general governmental services, the maintenance of peace and good order and the promotion and regulation of economic activities within the sovereign jurisdiction of the Tribe.
7.4 Title, Repeal of Prior Laws, and Effect of Repeal. This Ordinance may be cited as the Stockbridge-Munsee Gaming Ordinance. The Ordinance shall be appropriately inserted in the Stockbridge-Munsee Book of Tribal Ordinances.
All Ordinances of the Tribe that pertain to gaming and are in effect as of the effective date of this revised Ordinance are hereby repealed, and all other tribal laws or parts thereof inconsistent with the provisions of this Ordinance are hereby repealed.
Repeal of this Ordinance or any portion thereof shall not have the effect of reviving any prior tribal law heretofore repealed or suspended.
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.
7.5.4 Words of the masculine gender or neuter include masculine and feminine genders and the neuter.
7.6 Severability. If any section of this Ordinance is invalidated by a court of competent jurisdiction, the remaining sections shall not be affected thereby.
SECTION 25.8 TRIBAL COUNCIL, POWERS AND DUTIES
8.1 This Ordinance is authorized and adopted by the Stockbridge-Munsee Tribal Council pursuant to its powers under the tribal constitution.
8.2 The Stockbridge-Munsee Tribal Council may further delegate responsibilities under the constitution to subordinate organizations in order to carry out the purposes and terms of this Ordinance and to assure compliance with the Indian Gaming Regulatory Act, the Tribal/State Compact and all other regulations, policies and procedures promulgated therefrom.
8.3 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into agreements or compacts with the federal government, states, tribes, counties, municipalities and other local governments or entities.
8.4 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to waive sovereign immunity.
8.5 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into contracts and agreements effecting any sale, lease, encumbrance or other disposition of tribal lands, interest in lands or other assets of the Tribe.
8.6 The Stockbridge-Munsee Tribal Council shall retain the exclusive power to enter into business contracts and agreements pertaining to the operation of gaming, except in those cases where that power has been expressly delegated to another entity, and in such cases of delegation, the Tribal Council shall have review of said contracts prior to signing.
8.7 The Tribal Council shall establish the use of gaming revenues transferred from the gaming enterprises in accordance with this Ordinance and applicable laws for use of such revenues according to tribal needs and requirements for continued growth.
8.8 The Tribal Court may act as an appellate court for disputes arising under this Ordinance or policies and procedures developed for the gaming enterprises.
8.9 The Tribal President shall be the spokesperson for the Tribe and shall respond to the media on gaming issues, but may delegate this role as necessary and reasonable.
8.10 The Tribal Council has authority to employ and dismiss Gaming Commissioners, pursuant to the standards for employment and dismissal set forth in Section 25.9 hereinafter.
8.11 The Tribal Council shall retain authority to hire the Casino General Manager and the Casino Financial Manager, and to approve any management contractors. The Council shall also retain authority to terminate or discipline these positions, 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.
8.12 The Tribal Council shall review all monthly financial reports forwarded from the Gaming Management or other designated entity, and have final approval of the annual gaming operating budget, as well as revisions that may be recommended by Casino Management or another designated entity.
8.13 The Tribal Council shall have final approval over any proposed structural changes to facilities in which the gaming enterprise is operated.
8.14 The Tribal Council, consistent with an approved waiver policy, shall have the final authority in granting or denying a waiver request from a gaming employee applicant with a criminal history background.
8.15 The Tribal Council shall create a Compliance Department as an agent of the Gaming Commission, 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.
The Compliance Department may also be used in other tribal regulatory or investigative processes as directed by the Tribal Council, so long as such activities are not in conflict with their gaming related duties.
8.16 All policies and regulations developed pursuant to this Ordinance shall be subject to final approval by Tribal Council before becoming law.
SECTION 25.9 MOHICAN GAMING COMMISSION
9.1 Establishment. The Tribe hereby creates and establishes the Mohican Gaming 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 Mohican Gaming Commission shall be a resident of and maintain its headquarters, principal place of business and office(s) on the Stockbridge-Munsee Reservation or lands held in trust for the benefit of the Stockbridge-Munsee Band of Mohicans.
9.3 Duration. The Mohican Gaming Commission shall have perpetual existence and succession in its own name, unless dissolved by the Tribe pursuant to Tribal law.
9.4 Attributes. As a governmental subdivision of the Tribe, the Mohican Gaming 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 Mohican Gaming Commission that the operations of the Mohican Gaming Commission be conducted on behalf of the Tribe for the sole benefit and interests of the Tribe, its members and the residents of the Reservation and communities surrounding the tribal gaming enterprises. In carrying out its purposes under this Ordinance, the Mohican Gaming Commission shall function as an arm of the Tribe.
Notwithstanding any authority delegated to the Mohican Gaming 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 Mohican Gaming Commission, whenever the Tribe deems it necessary to protect the sovereignty, rights and interests of the Tribe or the Mohican Gaming Commission.
9.5 Sovereign Immunity of the Mohican Gaming Commission. The Mohican Gaming Commission and their duly appointed agents are hereby clothed with all the privileges and immunities of the Tribe, except as specifically limited by this Ordinance or other tribal law, including sovereign immunity from suit in any tribal, federal or state court.
Except as provided in this section, nothing in this Ordinance nor any action of the Tribe or the Mohican Gaming Commission shall be deemed or construed to be a waiver of sovereign immunity from suit of the Mohican Gaming Commission or its duly appointed agents, or to be a consent of the Tribe or the Mohican Gaming Commission to the jurisdiction of the United States or of any state or any other tribe with regard to the business affairs of the Tribe or the Mohican Gaming 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 Mohican Gaming Commission, or to be a consent of the Tribe or the Mohican Gaming Commission or its duly appointed agents, to suit in respect to any Indian land, or to be a consent of the Tribe or the Mohican Gaming Commission to the alienation, attachment or encumbrance of any such land.
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 Mohican Gaming Commission are hereby expressly reserved, including sovereign immunity from suit in any tribal, federal or state court. Nothing in this Ordinance nor any action of the Mohican Gaming 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 Mohican Gaming 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 Mohican Gaming Commission. The Mohican Gaming 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 Mohican Gaming Commission on its own behalf. No activity of the Mohican Gaming Commission nor any indebtedness incurred by it shall implicate or in any way involve or effect any assets of tribal members or the Tribe not assigned in writing to the Mohican Gaming Commission.
9.8 Membership.
9.8.1 Number of Commissioners. The Tribal Council shall employ the number of Gaming Commissioners necessary to perform the duties of the Commission.
9.8.2 Qualification of Commissioners.
9.8.2.1 Shall be an enrolled member at least twenty-one (21) years of age.
9.8.2.2 Shall have at least one year of experience in at least one of the following areas:
a) Business Management
b) Economic Development
c) Marketing
d) Law
e) 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 position in the Stockbridge-Munsee Tribe while at the same time serving as a Gaming Commissioner.
9.8.2.4 No individual shall be eligible for employment with or to continue services on the Mohican Gaming Commission who has any financial interest in, or management responsibility for any gaming activity operated by the Tribe, or any direct or indirect interest in any gaming-related contract with the Tribe.
9.8.2.5 No individual shall be eligible for employment with or to continue services on the Mohican Gaming Commission who has any conflict of interest as defined in this Ordinance, UNLESS such conflict has been fully disclosed to the entire board of Commissioners and to the Tribal Council and both entities have agreed, in writing, to permit the individual to be appointed or to continue with his or her term.
9.8.2.6 No individual shall be eligible for employment with or to continue services on the Mohican Gaming 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 Mohican Gaming Commissioner takes office on the Mohican Gaming Commission, the Tribe shall perform a comprehensive background check on each prospective member. No person shall serve as a Commissioner if:
9.8.3.1 His or her prior activities, criminal record, if any, or reputation, habits or associations pose a threat to the public interest; or threaten the effective regulation and control of gaming; enhance the dangers of unsuitable, unfair, or illegal practices, methods, or activities in the operation of gaming or the carrying on of the business and financial arrangements incidental thereto; or
9.8.3.2 If he or she has been convicted of or entered a plea of guilty or 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.
9.8.3.3 Applicants for the Mohican Gaming Commission shall not be eligible for the Commission if their background investigation shows a criminal history. A tribal waiver shall not act to rehabilitate the application 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 offenses, any drug related conviction involving possession or manufacture.
9. 9 Meetings.
9.9.1 Regular Meetings. The Mohican Gaming 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 Mohican Gaming Commission.
9.9.2 Special Meetings. Special meetings may be called at the request of the Tribal Council, Gaming Management, the Chairperson of the Mohican Gaming Commission, the Compliance Office or at least a majority of the members of the Mohican Gaming Commission.
9.9.3 Compensation of Commissioners. Mohican Gaming 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 Mohican Gaming Commission shall be decided by majority vote.
9.9.6 Executive Session. Executive session may be used when deemed necessary by the Commission. 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 Mohican Gaming Commission shall develop its own operating procedures and shall elect from within itself a Chairperson to direct meetings, and such other officers as the Commission requires.
9.11 Removal of Members and Filling Vacancies.
9.11.1 Removal. A Commissioner may be removed by the Tribal Council for serious inefficiency, neglect of duty, malfeasance, misfeasance, nonfeasance, misconduct in office, or for any conduct that threatens the honesty or integrity of the Mohican Gaming Commission or otherwise violates the letter or intent of this Ordinance. Except as provided below, no Commissioner may be removed without notice and an opportunity for a hearing before the Tribal Council, and then only after the Commissioner has been given written notice of the specific charges at least ten days prior to such hearing.
At any such hearing, the Commissioner shall have the opportunity to be heard in person or by counsel and to present witnesses 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 Mohican Gaming Commission hearing procedures.
A written record of all removal proceedings together with the charges and findings thereon shall be kept by the Tribal Secretary.
9.11.2 Vacancies. If any Commissioner shall die, resign, be removed, or for any reason be unable to serve as a Commissioner, the Tribal Council shall declare his or her position vacant and shall hire another person to fill the position.
9.12 Powers and Duties of the Mohican Gaming Commission. In furtherance, but not in limitation, of the Mohican Gaming Commission's purposes and responsibilities, and subject to any restrictions contained in this Ordinance or other applicable law, the Mohican Gaming Commission shall have the authority to issue citations and assess fines for violations of applicable gaming laws, consistent with 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 To issue, suspend, revoke and renew licenses of primary management officials, key employees and gaming services vendors and principals upon completion of background investigations.
9.12.2 To insure that investigations are conducted and to receive and review investigative reports from the Compliance Department, said Department created by the Tribal Council to conduct background investigations on primary management officials, key employees and gaming services vendors and principals. Where necessary, to request additional information from the Compliance Department regarding such investigations, as needed, in the licensing and waiver process.
9.12.3 To insure that completed employment applications and completed investigative reports for primary management officials and key employees are forwarded 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 concerning the eligibility 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 be based on investigative reports provided to the Commission by the Compliance Department.
9.12.5 To issue separate license to each place, facility or location on tribal lands where the Stockbridge-Munsee Tribe elects to allow gaming.
9.12.6 The Mohican Gaming Commission shall obtain annual independent outside audits, pursuant to the terms of the Tribal/State Compact, and submit these audits to the National Indian Gaming Commission as required by federal regulations, and to the State Gaming Board as required by the Compact, consistent with Section 25.11.
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 If the tribe elects to authorize individually owned gaming, to issue licenses according to the requirements contained in the Tribal Gaming Ordinance.
9.12.9 To promulgate gaming regulations pursuant to tribal law and consistent with Section 9.13.2 of this Ordinance.
9.12.10 To monitor and regulate all tribal gaming activities to ensure compliance with tribal law/regulations. The Mohican Gaming Commission shall have such access to tribal gaming facilities and to gaming employees as necessary in order to carry out this responsibility.
9.12.11 To interact with other regulatory and law enforcement agencies regarding the regulation of gaming, as necessary to fulfill their duties.
9.12.12 To be completely familiar with the Indian Gaming Regulatory Act, the Federal Regulations promulgated there under, the Tribal Gaming Ordinance, the Tribal/State Compact and related laws.
9.12.13 To conduct investigations of possible violations and take appropriate enforcement action with respect to the Tribal Gaming Ordinance and regulations, see also Section 9.16 of this Ordinance.
9.12.14 To provide independent information to the Tribe on the status of the Tribe's gaming activities. See Reporting section below for more detail.
9.12.15 To issue oaths, take testimony and conduct hearings on regulatory matters, including matters related to the revocation of primary management official and key employee licenses or any other licenses they are authorized to issue under this Ordinance. Hearings may also be held for licensing of tribal gaming vendors.
9.12.16 Be familiar with the minimum internal control standards or procedures for all tribal gaming operations, including credit policies and procedures for acquiring supplies and equipment.
9.12.17 Establish any supplementary criteria for the licensing of primary management officials, key employees and other employees, vendors or contractors that the Tribe deems necessary.
9.12.18 Establish or approve standards for and issue licenses or permits to persons and entities who deal with the gaming operation(s) such as manufacturers and suppliers of machines, equipment and supplies, such license to be called a "gaming services vendor license."
9.12.19 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 and the Tribal/State Compact requirements.
9.12.20 To perform audits of business transactions to ensure compliance with regulations and/or policy.
9.12.21 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 from time to time the video surveillance standards.
9.12.22 To insure that a mechanism is in place to resolve patron disputes, employees' grievances and other problems, pursuant to the Tribal Gaming Ordinance and other tribal regulations and policies that may be in place regarding those issues.
9.12.23 To purchase, lease, take by gift, devise or bequest, or otherwise acquire, own, hold, improve, and use property and assets of every description, real and personal, tangible or intangible, including money, securities, or any interests therein, rights and services of any kind and description or any interest therein, provided that the Mohican Gaming Commission shall have authority to purchase any interest in real property, whether located on or off the Reservation, only with the express, prior written consent of the Tribal Council as to each such action, and that title to such real property and property which is to become a fixture or permanent improvement or part of the real property shall be taken in the name of the Tribe or in the name of the United States in trust for the Tribe, and title to all trust and restricted real property shall remain in trust or restricted status.
9.12.24 To sell, convey, mortgage, pledge, lease, exchange, transfer and otherwise dispose of all or any part of its personal property and assets, with prior written consent from the Tribal Council.
9.12.25 To deal in inventions, copyrights, and trademarks; to acquire by application, assignment, purchase, exchange, lease, hire, or otherwise; and to hold, own, use, license, lease and sell, either alone or in conjunction with others, the absolute or any partial or qualified interest in and to inventions, improvement, letters patent and applications therefore, licenses, formulas, privileges, processes, copyrights and applications therefore, trademarks and applications therefor, and trade names, provided that title to all such interests shall be taken in the name of the Tribe.
9.12.26 To arbitrate, compromise, negotiate or settle any dispute to which it is a party relating to the Mohican Gaming Commission's authorized activities, except hat no binding arbitration shall be used without prior consent, by resolution, from the Tribal Council.
9.12.27 To enter into, make, perform and carry out any agreement, partnership, joint venture contract or other undertaking with any federal, state or local governmental agency, tribe, person, partnership, corporation or other association or entity for any lawful purpose pertaining to the business of the Mohican Gaming Commission or which is necessary or incidental to the accomplishment of the purpose of the Mohican Gaming Commission, subject to prior review and approval by the Tribal Council.
9.12.28 To engage in any and all activities that directly or indirectly carry out the purposes of the Tribe as set forth in this Ordinance.
9.12.29 With prior approval of the Tribal Council, to make application and accept grants and other awards from private and governmental sources in carrying out or furthering the purposes of the Mohican Gaming Commission or the Tribe.
9.12.30 To exercise all authority delegated to it or conferred upon it by law and to take all action that shall be reasonably necessary and proper for carrying into execution the foregoing powers and all of the powers vested in this Ordinance as permitted by the 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.
9.12.31 To establish and maintain such bank accounts as may be necessary or convenient for Commission operation consistent with tribal internal controls related to money handling.
9.12.32 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 Gaming 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).
9.12.33 To provide for an internal system of record keeping with adequate safeguards for preserving confidentiality as deemed necessary by the Mohican Gaming Commission. All applications, background investigations and Mohican Gaming Commission decisions related to the licensing of primary management officials, key employees or any other entity licensed by the Commission, shall be retained in Mohican Gaming Commission files for a period of at least seven (7) years and not less than three (3) years from termination of employment or business relationship.
9.12.34 To adopt a schedule of fees to be charged for gaming licenses issued pursuant to this Ordinance.
9.12.35 To adopt a schedule of fees and charges for services rendered relating to transcripts and the furnishing or certifying of copies of proceedings, files and records.
9.12.36 To license all persons who propose to participate in any gaming activity or operation.
9.12.37 To compel obedience of its lawful orders by proceedings of mandamus or injunction or other proper proceedings in the name of the Tribe in Tribal Court or in any other court having jurisdiction of the parties and of the subject matter; provided that no suit shall be brought by the Mohican Gaming Commission without the prior explicit written approval of the Tribal Council after consultation with the Tribal attorney(s).
9.12.38 To discipline any licensee or other person participating in any gaming activity by ordering immediate compliance with this Ordinance or Mohican Gaming Commission regulations and to issue an Order of Temporary Suspension of any license issued under this Ordinance, consistent with the terms under this Ordinance governing such suspension, whenever the Mohican Gaming Commission is notified of a violation by any such person of this Ordinance or any other applicable law.
9.12.39 To issue an order of temporary closure of any gaming activity or operation in the event the Mohican Gaming Commission, based on regulatory violations, determines that immediate closure is necessary to protect assets or interests of the Tribe, pursuant to Mohican Gaming Commission regulations.
9.12.40 To become self-regulating in its Class II operations when the Tribe becomes eligible for a certificate of self-regulation under the IGRA.
9.12.41 Annual Budget. The Mohican Gaming Commission shall prepare an annual operating budget for all Mohican Gaming Commission activities and present it to the Tribal Council by August 15th of each year.
9.12.42 Confidentiality. The Mohican Gaming Commission shall maintain confidentiality of information specified as confidential, including information gathered in the background and licensing process and any financial information regarding performance of the gaming enterprise.
Violation of this confidentiality provision shall be subject to disciplinary action from the Tribal Council and may be deemed "cause" for suspension or termination from the Commission.
9.12.43 Waiver Hearings. The Compliance Department shall accept applications for waivers from those persons interested in working for the tribal gaming enterprise(s), but who have criminal backgrounds or other violations requiring a waiver.
The Compliance Department shall provide to the Commission a report stating whether the applicant is eligible for a waiver.
The Commission shall conduct the waiver hearing if necessary or requested by the applicant and forward a recommendation to the Tribal Council regarding the waiver determination.
The Tribal Council shall make the final decision on waiver applications.
9.13 Mohican Gaming Commission Regulations.
9.13.1 Mohican Gaming Commission Regulations necessary to carry out the orderly performance of its duties and powers shall include, but shall not be limited to:
9.13.1.1 Internal operational procedures of the Mohican Gaming, 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 Mohican Gaming Commission authorized by this Ordinance.
9.13.2 No regulation of the Mohican Gaming Commission shall be of any force or effect unless it is adopted by the Mohican Gaming Commission by written resolution and subsequently approved by a resolution of the Tribal Council and filed for record both in the office of the Tribal Secretary and in the Office of the Clerk of the Tribal Court.
9.13.3 The Tribal Court and any other court of competent jurisdiction shall take judicial notice of all Mohican Gaming 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 Mohican Gaming Commission and duly authorized officers, employees and agents of the Mohican Gaming Commission, during regular business hours, 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 Mohican Gaming Commission and to any properly authorized officer, employee or agent.
9.15 Right of Entrance; Two-Week Inspections of Gaming Operations. A Commissioner or a member of the Mohican Gaming Commission's staff shall visit each tribally owned or tribally operated gaming facility at least once every two weeks during normal business hours for the purpose of monitoring its operation. Such visits shall be unannounced.
9.15.1 Commission Audits. The Mohican Gaming 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 Mohican Gaming Commission or its designated agent, upon complaint or upon its own initiative or whenever it may deem it necessary in the performance of its duties or the exercise of its powers, may investigate and examine the operation and premises of any facility that is subject to the provisions of this Ordinance. In conducting such investigation, the Mohican Gaming Commission or its designated agent may proceed either with or without a hearing as it may deem best, but it shall make no order without affording any affected party notice and an opportunity for a hearing pursuant to Mohican Gaming Commission regulations.
9.17 Hearings; Examiner. Pursuant to regulations, the Mohican Gaming Commission may hold any hearing it deems to be reasonably required in administration of its powers and duties under this Ordinance. Whenever it shall appear to the satisfaction of the Mohican Gaming Commission that all of the interested parties involved in any proposed hearing have agreed concerning the matter at hand, the Mohican Gaming Commission may issue its order without a hearing.
The Mohican Gaming Commission may designate one of its members to act as examiner for the purpose of holding any such hearing or the Mohican Gaming Commission may appoint another person to act as examiner under subsection 9.18 below. The Mohican Gaming Commission shall provide reasonable notice and the right to present oral or written testimony to all people interested therein as determined by the Mohican Gaming Commission.
9.18 Appointment of Examiner; Power of Examiner. The Mohican Gaming 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 Mohican Gaming Commission or any member thereof has power or authority to hold. Any such appointment shall constitute a delegation to such examiner of all powers of a Commissioner under this Ordinance with respect to any such hearing.
9.19 Bank Account for Tribally Owned or Tribally Managed Gaming Facility. The Mohican Gaming Commission shall ensure that the Tribe opens a separate bank account for each tribally owned or tribally managed gaming activity, and all money of such facility shall be deposited in that account. The Mohican Gaming Commission shall ensure that the check writing authority designated in Section 25.6 of this Ordinance is followed.
9.20 Quarterly Report of Gaming General Manager Reports. The Mohican Gaming Commission shall file a quarterly report with the Tribal Council and make such comments as it deems necessary to keep the Council fully informed as to the status of its various gaming activities.
9.21 Travel. The Gaming Commission shall notify the Tribal Council and Gaming Management regarding travel plans. Travel plans shall be made taking into consideration the best duties and responsibilities of the Commission, the best interest of the gaming enterprise and the amount of money for such travel available in the Commission's operating budget. All travel shall be subject to review by the Tribal Council.
SECTION 25.10 GAMING MANAGEMENT; POWERS, DUTIES AND LIMITATIONS
10.1 Each tribal gaming enterprise shall have a Casino General Manager ("Manager") authorized to manage the gaming enterprise on a day-to-day basis and to facilitate quick and efficient business decision-making, while respecting the broad guidelines of the Gaming Commission and the Tribal Council. The General Manager shall have such authority as the Tribal Council shall delegate.
The Manager shall be hired by the Tribal Council.
Each General Manager shall undergo a background check by the Compliance Department and a licensing determination through the Mohican Gaming Commission. Each General Manager shall obtain an employee gaming license before commencing work.
The Manager may be removed by the Tribal Council for cause. Grounds for removal must be clear and strictly limited to objective evidence of mismanagement or failure to adhere to policies and procedures or to tribal and federal laws and regulations.
The Manager shall be subject to a semi-annual and an annual review by the Tribal Council or an entity designated by the Council for that purpose.
10.2 Purpose. The purpose of the Manager and the management structure s/he creates, is to oversee the day-to-day activities, make the day-to-day business decisions and to create a successful gaming enterprise.
10.3 Qualifications. The Manager shall have the experience and demonstrated skills necessary to manage a growing gaming enterprise according to the job description.
10.4 Responsibilities.
10.4.1 The General Manager shall be required to respond to all Commission notices pertaining to compliance of operating procedures, Minimum Internal Control Standard, and Tribal/State Compact within time allotted by the Mohican Gaming Commission, which time shall not be unreasonable. The General 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 schedules. Contracting is subject to applicable sections of this Ordinance.
10.4.3 Hiring staff pursuant to the process adopted in the Personnel Policies and Procedures for the gaming enterprise.
10.4.4 Operating Policies and Operating Procedures. Operating Policies must be submitted to the Tribal Council for approval before becoming effective. However, Operating Procedures are a tool for management to use in running an efficient day to day operation in compliance with the Operating Policies and thus only require the review of the Gaming Commission and the Gaming Internal Auditor prior to management implementing new procedures or procedural changes.
10.4.5 Annual Plan of Operation. Each Manager shall submit an Annual Plan to the Tribal Council for review and approval. The Plan shall be submitted by September first to the Tribal Council and a copy shall be forwarded to the Commission for review purposes only. The Plan shall contain the following:
10.4.5.1 Operating budget.
10.4.5.2 Capital budget.
10.4.5.3 Growth target.
10.4.5.4 Staffing requirements, including training requirements.
10.4.4.5 Expense and revenue projections.
10.4.6 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.
10.4.7 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.
10.4.8 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.
10.4.9 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.
10.4.10 The Manager may delegate that authority necessary to ensure compliance with rules and regulations and effect a more efficient and productive operating environment.
10.4.11 The Manager shall ensure that a system for bonding of all employees is in place.
10.5 Reporting. The General Manager shall provide the Gaming Commission and the Tribal Council with a monthly report that details the number of patrons served, the amount of income generated, the numbers of employees working at the facility, a detailed description of any patron complaints and other problems experienced at the facility. The report shall also contain a detailed financial report, a written statement of any changes in key employees or primary management officials, a listing of all bills that are thirty (30) days or more past due and any other information the Gaming Commission may require.
Annual Plan of Operation shall be submitted to the Tribal Council annually. The Annual Plan of Operation shall also be submitted to the Gaming Commission for review purposes.
10.6 Travel. The General Manager shall notify the Gaming 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.
10.7 The General Manager shall develop and implement a patron's complaint process. Each tribally owned and tribally operated gaming facility shall post at least one sign in each gaming room informing patrons of the established process.
10.8 Confidentiality. The Casino General 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.
SECTION 25.11 AUDIT
11.1 The Mohican Gaming 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 General Manager. The Tribal/State Compact terms for both financial and security audits shall be followed for the audit of Class III games.
The Mohican Gaming Commission shall be responsible for keeping track of deadlines regarding 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.
11.2 All gaming related contracts that result in the purchase of supplies, services, or concessions in excess of Twenty-Five Thousand Dollars ($25,000.00) annually, except contracts for professional legal and accounting services, shall be included within the scope of the audit that is described in Section 11.1 above.
SECTION 25.12 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND SAFETY
12.1 Class II and Class III Gaming facilities shall be constructed, maintained and operated in a manner that adequately protects the environment and the public health and safety.
Terms of the Tribal/State Compact regarding construction shall be adhered to.
SECTION 25.13 GAMING LICENSES
13.1 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 and participation in any gaming activity within the jurisdiction of the Tribe shall be deemed to be a consent to the jurisdiction of the Tribe and the Tribal Court in all matters arising from the conduct of such gaming and all matters arising under any of the provisions of this Ordinance or other tribal laws.
13.2 License Required. No person shall operate Class II or Class III gaming within the jurisdiction of the Tribe unless such gaming is licensed by the Tribe.
13.3 Types of Licenses. The Tribe shall issue each of the following types of gaming licenses:
13.3.1 Tribally Owned or Tribally Operated Class II. This license shall be required of all tribally owned or tribally operated gaming activity operating one or more Class II games of chance.
13.3.2 Tribally Owned or Tribally Operated Class III. This license shall be required for all tribally owned or operated gaming activity operating any games of chance other than Class I or Class II gaming.
13.4 No License Requirement for Class I Gaming. A tribal license shall not be required for any Class I gaming activity or operation provided, however, that each Class I gaming activity or operation must have written permission of the Mohican Gaming Commission, and such permission must be on file with the Tribal Secretary before any such Class I gaming is conducted.
13.5 Applications Procedures: Facility License
13.5.1 Application for Gaming License. For any proposed Class II or Class III gaming activity, the Tribal Council shall file with the Mohican Gaming Commission an application for a tribally owned or tribally operated Class II or Class III gaming license, whichever is appropriate, which shall contain the name of the proposed enterprise, its location and all other pertinent information required by this Ordinance and Mohican Gaming Commission regulations.
13.5.2 Tribally Owned or Tribally Operated Class II. Before issuing a license to a tribally owned or operated Class II gaming activity the Mohican Gaming Commission shall:
13.5.2.1 Review the proposed gaming activity to ensure that all criteria required by this Ordinance shall be met.
13.5.2.2 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.
13.5.2.3 Review the accounting procedures used in such gaming activity.
13.5.3 Tribally Owned or Tribally Operated Class III. Before issuing a license to a tribally owned or operated Class III gaming activity, the Mohican Gaming Commission shall:
13.5.3.1 Review the proposed gaming activity to ensure that all criteria required by this Ordinance shall be met, or that good faith efforts are being used to meet that criteria;
13.5.3.2 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;
13.5.3.3 Review the accounting procedures used in such gaming activity.
13.5.3.4 Review all aspects of the proposed gaming operation to ensure that it will be in compliance with the provisions of the Tribal/State Compact.
13.6 Criteria That a Potential Gaming Operator Must Meet. The Mohican Gaming Commission shall issue the above license to any tribally owned or tribally operated Class II or Class III proposed gaming activity only if all of the following criteria are met:
13.6.1 The proposed gaming activity or facility is to be located on tribally owned land or land held in trust for the Tribe, within the exterior boundaries of the tribal reservation, prior to October 17, 1988; or on after acquired lands that meet the requirements of Section 2719 of the Indian Gaming Regulatory Act for after acquired lands, and appropriate amendments to the Tribal-State Compact, if required, are made.
13.6.2 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.
13.6.3 The proposed gaming activity is authorized by Tribal Council Resolution.
13.6.4 The Tribe will have the sole proprietary interest and the exclusive responsibility for the conduct of the proposed gaming activity, or if the Tribe does not have the sole proprietary interest or management responsibility, the management contract for such gaming is consistent with this Ordinance, tribal or federal law and is properly approved by the National Indian Gaming Commission.
13.6.5 The Resolution authorizing the proposed gaming activity provides that:
13.6 5.1 The revenues of the proposed gaming activity shall be audited annually and copies of those audits will be provided to the Mohican Gaming Commission and the National Indian Gaming Commission.
13.6.5.2 The proposed gaming activity shall comply with all IRS reporting and filing requirements.
13.6.5.3 All of the net proceeds of the proposed gaming activity shall be used for the purposes stated in Section 5 of this Ordinance.
13.6.5.4 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.
13.6.5.5 The construction or maintenance of the gaming facility and the operation of the proposed gaming activity shall be conducted in a manner that the Mohican Gaming Commission finds will adequately protect the environment and the public health and safety.
13.6.5.6 The General 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 tribal gaming employee licenses before they are hired, or within a reasonable time thereafter, with continued employment being made contingent upon the successful licensing of said individual.
13.6.5.7 The Mohican Gaming Commission shall have the authority to regulate the proposed gaming activity.
13.6.5.8 The proposed gaming activity shall pay to the National Indian Gaming Commission and to the Wisconsin Gaming Board such fees as federal law and the Tribal/State Compact may require to be paid.
13.6.5.9 If the gaming activity is Class III gaming, such gaming activity meets all other criteria established by the Tribal-State Compact.
13.7 License Application Fees. No application fee shall be required for a tribally owned or tribally operated Class II or Class III gaming activity.
13.8 License Tax. No annual license tax shall be required for a tribally owned or tribally operated Class II or Class III gaming activity.
13.9 Form of Gaming License. Every gaming license issued by the Mohican Gaming Commission shall include the name and address of the authorized licensee and the signature of an authorized officer of the Mohican Gaming Commission.
13.10 Scope of Gaming License. A gaming license issued by the Mohican Gaming 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 Mohican Gaming Commission upon written request that details the proposed new gaming activity, its location and proposed gaming operator.
13.11 Term of License. A tribally owned or operated Class II and Class III Gaming Operator' s license shall be valid for a period of one year from the date of issuance.
13.12 Posting of Licenses. Each gaming operator 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 operator must obtain and post a separate license for each gaming facility.
13.13 Gaming License Renewals. Each tribal gaming license must be renewed annually. No renewal fee shall be required for a tribally owned or tribally operated Class II or Class III license. In order to obtain a renewal of a license, the gaming operator shall submit a written renewal application to the Compliance Department on the form provided by the Mohican Gaming Commission.
No renewal application shall be approved until the annual report required by subsection 13.14 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 determines, based on reasonable grounds, that the enterprise has been or will be operated in violation of tribal, federal or other applicable law or the terms of the Tribal/State Compact.
13.14 Annual Reports. Each gaming operator who possesses a Class II or Class III tribal gaming license must file an annual report (not to be confused with the Annual Plan of Operation) with the Mohican Gaming Commission 15 days prior to the expiration of each such license. The report shall be submitted to the Mohican Gaming Commission on the annual report form provided by the Mohican Gaming Commission and shall include the following information:
13.14.1 The name, address and telephone number of the gaming operator;
13.14.2 The names, addresses and titles of its current general manager and all other managers;
13.14.3 A description of each gaming activity that it operates and the total gross proceeds of each;
13.14.4 A written copy of any changes the gaming operator proposes to initiate in its operating rules or policies;
13.14.5 A statement of the specific dates and times during which the gaming activity will be operated during the next license period;
13.14.6 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;
13.14.7 A statement of any changes in the general manager or in the primary management officials or key employees who will operate the gaming activity over the next license period;
13.14.8 The names and addresses of any employees who the Mohican Gaming Commission may determine to be key employees during review of the application;
13.14.9 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;
13.14.10 Written proof that the gaming operator has paid to the State Gaming Board such fees as the Tribal/State Compact may require it to pay;
13.14.11 A sworn statement that the gaming operator has complied with the Internal Revenue Code and regulations, including written notice of customer winnings, and a statement that the gaming operator shall continue to obey all tribal and federal laws and shall hold the Mohican Gaming Commission and the Tribe harmless for failure to do so;
13.14.12 The description of any location at which the gaming activity has been conducted and any new location that is expected to be established during the next license period;
13.14.13 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;
13.14.14 The total gross proceeds of the gaming operator attributable directly or indirectly to tribally licensed gaming activity over the proceeding twelve (12) months;
13.14.15 A sworn statement that the gaming operator will continue to comply with all tribal and federal laws applicable to the gaming operator's gaming operation;
13.14.16 A sworn statement that the gaming operator and all of its key employees and management officials continue to consent to Tribal Court jurisdiction and service of process in all matters arising from the conduct of tribally licensed gaming activity;
13.14.17 The name, address and signature of the agent who will accept service of process on behalf of the gaming operator, who must reside on the Reservation; and
13.14.18 If the gaming operator is a corporation, a copy of any amendment to its articles of incorporation, properly certified by the incorporating government, unless a current copy has already been filed with the Mohican Gaming Commission.
13.15 Procedure to Remedy Gaming License Violation. If the Mohican Gaming 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 Tribe or to the public, the Mohican Gaming Commission shall immediately take all necessary steps to bring such activity into compliance, including, but not limited to, closing down such activity temporarily or permanently pursuant to enforcement procedures and regulations duly promulgated by the Mohican Gaming Commission under this Ordinance. Nothing contained in this Section or in this Ordinance shall be construed as limiting, restraining or effecting a waiver of the Tribe or the Tribal Council's right and authority to take appropriate action to remedy any gaming violation pursuant to tribal and federal law.
SECTION 25.14 EMPLOYEE GAMING LICENSES
14.1 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 gaming employee license.
Eligibility for and obtaining a valid gaming employee license is a requirement of continued employment for those employees who began working at the gaming enterprise prior to the development of the licensing process.
The Tribe cannot employ persons who refuse to voluntarily cooperate with the licensing process.
14.2 Application for Employee Gaming License.
14.2.1 A person seeking a tribal gaming employee license must be at least eighteen (18) years of age. All applicants shall submit an application to the Tribal Compliance Department on such form and in such manner as the Mohican Gaming Commission may require.
These applications shall provide the basis for background investigations performed by the Compliance Department and shall be kept confidential.
14.2.2 Such application shall include, but is not limited to the following information:
14.2.2.1 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);
14.2.2.2 Currently and for the previous five (5) years: business and employment positions held, ownership interests in those businesses, business and residence addresses, and drivers license numbers;
14.2.2.3 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 14.2.2.2 above;
14.2.2.4 Current business and residence telephone numbers;
14.2.2.5 A description of any existing and previous business relationships with Indian Tribes, including ownership interests in those businesses;
14.2.2.6 A description of any existing and previous business relationships with the gaming industry generally, including ownership interests in those businesses;
14.2.2.7 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;
14.2.2.8 For each gaming offense and for each felony for which there is an ongoing prosecution or a conviction, the name and address of the court involved, the charge, and the dates of the charge and of the disposition;
14.2.2.9 For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor traffic violations) within ten (10) years of the date of the application, the name and address of the court involved, and the dates of the prosecution and the disposition;
14.2.2.10 For each criminal charge (excluding minor traffic charges) whether or not there is a conviction, if such criminal charge is within ten (10) years of the date of the application and is not otherwise listed pursuant to paragraphs 14.2.2.9 or 14.2.2.10 above of this section, the criminal charge, the name and the address of the court involved and the date and disposition;
14.2.2.11 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;
14.2.2.12 A recent photograph;
14.2.2.13 Any other information the Tribe, the Mohican Gaming Commission or its agents may deem necessary and relevant to the licensing process; and
14.2.2.14 Fingerprints consistent with procedures adopted by Tribe according to the requirements under Federal Regulations, 25 CFR Section 522.2(h);
14.2.2.15 Written permission giving the Mohican Gaming Commission through their duly appointed agents 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, military record and credit history.
14.2.3 Applicant understands issuance of a gaming license subjects them to the jurisdiction of the Tribal Court.
14.2.4 Each application shall be accompanied by a sworn statement that the applicant will abide by this Ordinance and all other applicable laws.
14.2.5 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 seq. 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 to 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.)
14.2.6 Each application for a gaming employee license shall, if required, be accompanied by a nonrefundable application fee to be established by the Mohican Gaming Commission.
14.2.7 The disclosure of an applicant's social security number (SSN) is voluntary. However, failure to supply a Social Security Number may result in errors in processing the application.
14.2.8 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).
14.2.9 If another tribe has previously employed the applicant, the Tribe or Mohican Gaming Commission may request investigative information from the other tribe.
14.2.10 The Mohican Gaming 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 gaming employee license, as required by 25 CFR 556.4(b). Compliance background investigation files shall be presented to the Commissioners on a need to know basis only.
14. Review Procedure for Employee Gaming License Application. Before issuing a gaming employee license, the Mohican Gaming Commission shall:
14.3.1 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 a law enforcement agency to take the applicant's fingerprints and forward them to either the State Gaming Board or to the National Indian Gaming Commission to be forwarded to the Federal Bureau of Investigation, National Criminal Information Center, for a criminal records search.
The Mohican Gaming Commission may require asset and liability disclosure for key employees and primary management officials when it deems that information necessary to adequately protect the gaming enterprise and determine the suitability of a particular individual for employment or continued employment.
Make the required reportings, outlined in subsection 14.8 below, to the National Indian Gaming Commission prior to issuing a determination on the findings.
Review the person's prior activities, criminal record, if any, reputation, habits and associations to make a finding concerning the eligibility of a key employee or primary management official for employment in a gaming operation. Where the Mohican Gaming Commission determines that employment of the person poses a threat to the public interests or to the effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair or illegal practices and methods and activities in the conduct of gaming, a tribal gaming operation shall not employ that person in a key employee or primary management official position.
Provide an opportunity for a hearing on the denial of a license, or for such other cause as the Commission may determine. Tribal Court may have jurisdiction for appeals from any final decision by the Commission.
14.4 Provisional (Temporary) Gaming License. A provisional employee gaming license is issued to an applicant when the Compliance Office determines an applicant suitable after an initial background check and at least the following requirements are met:
14.4.1. The individual has been determined eligible for employment.
14.4.2. The individual has returned a completed gaming license application.
14.4.3. The individual has provided two sets of fingerprints for his/her file.
The provisional license will become void when the individual receives a primary license (valid for two (2) years), or if after a completed investigation the Gaming Commission finds the individual not eligible for continued employment the provisional license shall be revoked and licensing process will cease. Tribal Court may have jurisdiction for appeals from any final decision by the Commission.
14.5 Suspension of Provisional (Temporary) Employee Gaming License. The Mohican Gaming Commission may suspend a provisional employee gaming license for any of the following reasons:
14.5.1 The employee has been charged with, convicted of, or entered a plea of guilty or no contest to any offense that may result in a bar to obtaining a gaming license;1
14.5.2 The employee has made a material false statement in his or her license application or application for employment;
14.5.3 The employee has participated in gaming activity unauthorized by his or her employee gaming license;
14.5.4 The employee’s continued employment as a primary management official or key employee of a gaming enterprise or gaming activity poses a threat to the general public;
14.5.5 The employee has refused to comply with any lawful order or directive from the Mohican Gaming Commission;
14.5.6 The employee has failed to provide the Commission with any change in status of the material originally submitted in their gaming application.
14.6 Revocation of Provisional (Temporary) Employee Gaming License. The Mohican Gaming Commission may revoke a provisional employee gaming license for any of the following reasons:
14.6.1 Has been convicted of or entered a plea of guilty or no contest to any offense that may result in a bar to obtaining a gaming license. 1
14.6.2 If there is evidence a person has participated in organized crime or unlawful gambling or is a person whose prior activities, criminal record, reputation, habits, and/or associations pose a threat to the public interest or to the effective regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair, or illegal practices and methods and activities in the conduct of gaming or to the carrying on of the business and financial arrangements incidental to the conduct of gaming.
14.6.3 Is found to have intentionally supplied false or misleading material information or has omitted material information on his license application or application for employment.
14.6.4 The employee has refused to comply with any lawful order or directive.
Revocation shall result in termination.
14.7 Procedures for Forwarding Applications and Reports for Key Employment and Primary Management Officials to the National Indian Gaming Commission.
14.7.1 When a key employee or primary management official begins work at a gaming operation authorized by this Ordinance, the Mohican Gaming Commission shall forward to the National Indian Gaming Commission a completed application for employment and an application for a employee gaming license, conduct the background investigation and make the eligibility determination regarding the issuance of an employee gaming license.
14.7.2 The Tribe shall forward the report referred to in subsection 14.8 below, to the National Indian Gaming Commission within sixty (60) days after an employee begins work.
14.7.3 The gaming operation shall not employ as a key employee or primary management official a person who does not have an employee gaming license after ninety (90) days. (Note: this timeline was developed by the National Indian Gaming Commission and is difficult to implement given the time FBI checks take; therefore, a good faith effort to meet this deadline is presumed to suffice.) Additionally, N.I.G.C accepts “provisional licenses.”
14.8 Report to the National Indian Gaming Commission.
14.8.1 Pursuant to the procedures set out in subsection 14.3 above, the Mohican Gaming 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:
14.8.1.1 Steps taken in conducting a background investigation;
14.8.1.2 Results obtained;
14.8.1.3 Conclusions reached, and
14.8.1.4 The basis for those conclusions.
14.8.2 The Mohican Gaming Commission shall submit, with the report, a copy of the eligibility determination.
14.8.3 If, within a thirty (30) day period after the National Indian Gaming Commission receives a report, the National Indian Gaming Commission notifies the Tribe that it has no objection to the issuance of a license pursuant to a license application filed by a key employee or primary management official for whom the Tribe has provided an application and an investigative report to the National Indian Gaming Commission ("NIGC"), the Tribe may issue a license to such applicant.
14.8.4 The Mohican Gaming Commission shall respond to a request for additional information from the Chairman of the NIGC concerning a key employee or primary management official who is the subject of a report. Such a request shall suspend the thirty-day (30) period under subsection 14.6.1 above until the Chairman of the NIGC receives the additional information.
14.8.5 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 Mohican Gaming Commission shall make the final decision whether to issue a license to such applicant.
14.8.6 If a license is not issued to an applicant, the Tribe or the Mohican Gaming Commission shall:
14.8.6.1 Notify the National Indian Gaming Commission; and
14.8.6.2 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.
14.8.7 With respect to key employees and primary management officials, the Mohican Gaming Commission shall retain applications for employment and reports (if any) of background investigations for inspection by the Chairman of the National Indian Gaming Commission or his or her designee for seven (7) years and for not less than three (3) years from the date of termination of employment.
14.9 Granting an Employee Gaming License.
14.9.1 Primary Employee Gaming License. A primary employee gaming license is issued to an applicant when the following requirements are met:
14.9.1.1 Compliance Office completes an investigative background check and determines applicant eligible, then forwards recommendation to the Mohican Gaming Commission for approval.
14.9.1.2 The Mohican Gaming Commission approves applicant and forwards recommendation to the National Indian Gaming Commission.
14.9.1.3 The Mohican Gaming Commission receives notice from the National Indian Gaming Commission that it has no objections to the issuance of a license.
14.10 Standards for Denial of a Key Employee or Primary Management Official License. The Commission shall not license, nor shall management hire or employ as a key employee or primary management official in connection with Class II or Class III gaming, any person who:
14.10.1 Is under the age of eighteen (18),
14.10.2 Is currently charged with or has been convicted of or entered a plea of guilty or no contest to a gambling-related offense, theft, fraud or misrepresentation in any connection, or a violation of any provision of chapters 562 or 565, Wis. Statutes, a rule promulgated by the Lottery Board or Wisconsin Racing Board, or Section 20.2 of the Mohican Gaming Ordinance. This provision shall not apply if that person has been pardoned by the Governor of the State where the conviction occurred or has been granted a waiver by the Tribal Council.
14.10.3 Is currently charged with or has been convicted of or entered a plea of guilty or no contest to any felony, other than those mention in 14.10.2, within the immediately preceding ten (10) years.
14.10.4 If person has participated in organized crime or unlawful gambling or is a person whose prior activities, criminal record, reputation, habits and/or associations pose a threat to the public interest or to the effective regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair, or illegal practices and methods and activities in the conduct of gaming or to the carrying on of the business and financial arrangements incidental to the conduct of gaming.
14.10.5 Is found to have intentionally supplied false or misleading material information or has omitted material information on his/her license application or application for employment.
14.10.6 Is currently charged with or has been convicted of or entered a plea of guilty or no contest to, any misdemeanor involving the manufacturing and/or selling, possession and/or use of illegal drugs during the immediately preceding two (2) years, pursuant to the Tribal Gaming Waiver Policy. This provision shall not apply if that person has been pardoned by the Governor of the State where the conviction occurred.
14.10.7 Provided further that the Mohican Gaming Commission may, by regulations, add additional limitations and conditions for denial of said license.
14.11 Scope of Employee Gaming License. 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 Mohican Gaming Commission, upon written request of the licensee identifying the proposed new gaming facility, its location and the proposed gaming operator thereof.
14.12 Licensing Period. An employee 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 that the license became effective and the date that it expires. This license shall be subject to annual reviews consisting of a name check, financial check and civil litigation check.
14.13 Renewals. A holder of an employee gaming license shall apply to the Mohican Gaming Commission for a renewal before his original license has expired, updating all information contained in the original application.
14.14 Requirement to Produce License Upon Request. Any person receiving an employee gaming license must carry that license upon his or her person during all working hours and must produce that license upon the request of any law enforcement official with jurisdiction over the gaming activity or any agent of the Tribe, the Mohican Gaming Commission, the NIGC or the Wisconsin Gaming Board.
14.15 Permanent License Revocation of Employee Gaming License.
14.15.1 Grounds for Permanent Revocation. The Mohican Gaming Commission may permanently revoke an employee gaming license, after notice and an opportunity for a hearing, for any of the following reasons:
14.15.1.1 The employee has intentionally withheld material information on his application;
14.15.1.2 The employee has intentionally made false statements on the application;
14.15.1.3 The employee has participated in gaming activity that was not authorized by any tribal gaming license;
14.15.1.4 The employee has attempted to bribe a Tribal Council member, Mohican Gaming Commissioner or other person in an attempt to avoid or circumvent this Ordinance or any other applicable law;
14.15.1.5 The employee has offered something of value or accepted a loan, financing or other thing of value from a Mohican Gaming Commissioner, a subordinate employee or any person participating in any gaming activity;
14.15.1.6 The employee has knowingly promoted, played or participated in any gaming activity operated in violation of this Ordinance or any other applicable law;
14.15.1.7 The employee has been knowingly involved in the falsification of books or records that relate to a transaction connected with the operation of a gaming activity;
14.15.1.8 The employee has violated any provision of this Ordinance or the rules and regulations of the Mohican Gaming Commission;
14.15.1.9 The employee has been convicted of, or has entered a plea of guilty or no contest to any offense that may result in a bar to obtaining or retaining a gaming license,1 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;
14.15.1.10 The employee has been convicted or entered a plea of guilty or no contest to a crime involving the sale of illegal narcotics or controlled substances;
14.15.1.11 The employee has failed to comply with any lawful order, inquiry or directive of the Mohican Gaming Commission, the Tribal Council or any administrative or judicial body of competent jurisdiction, arising from any gaming activity whether or not subject to this Ordinance; or
14.15.1.12 The employee is determined to have present or prior activities, including criminal record, or reputation, habits or associations that pose a threat to the public interest or to the effective regulation of gaming, or create or enhance the dangers of unsuitable, unfair or illegal practices and methods and activities in the conduct of gaming.
14.15.2 Procedure for Permanent Revocation. The Mohican Gaming Commission, upon reasonable cause to believe that an employee has violated any of the conditions in section 14.15.1 or has failed to comply with any condition of his or her employee gaming license or of this Ordinance, may serve upon such employee an Order to Show Cause why the employee's license should not be revoked. The Order shall state the grounds for which such revocation is sought and that the employee, in a Show Cause Hearing, shall have an opportunity to present testimony and to cross examine opposing witnesses, and to present any other evidence as to why revocation should not be issued.
The employee shall immediately cease and desist operating in his or her management position or in his or her capacity as a key employee upon receipt of the Order, but such person may file a Notice of Appeal with the Mohican Gaming Commission within five (5) working days of such receipt.
The hearing shall be set for not less than ten (10) days nor more than fourteen (14) working days from the date of notice. The hearing shall be governed in all respects in accordance with the tribal law and Mohican Gaming Commission regulations.
Tribal Court shall have jurisdiction to hear an appeal of the Commission’s decision to revoke a person’s employee gaming license.
14.16 Temporary Suspension of Employee Gaming License.
14.16.1 Grounds for Temporary Suspension. The Mohican Gaming Commission may temporarily suspend an employee gaming license for any of the following reasons:
14.16.1.1 The employee has been charged with, convicted of, or entered a plea of guilty or no contest to any offense that may result in a bar to obtaining or retaining a gaming license;1
14.16.1.2 The employee's continued employment as a primary management official or key employee of a gaming enterprise or gaming activity poses a threat to the general public;
14.16.1.3 The employee has made a material false statement in his or her license application or application for employment;
14.16.1.4 The employee has participated in gaming activity unauthorized by his or her tribal gaming license;
14.16.1.5 The employee has refused to comply with any lawful order or directive.
14.16.1.6 The employee has failed to provide the Commission with any change in status of the material originally submitted in their gaming application.
14.16.2 Immediate Temporary Suspension. The Mohican Gaming Commission shall immediately temporarily suspend an employee gaming license upon receipt of notification from the NIGC pursuant to 25 CFR Section 558.5 that reliable information exists that such gaming employee is not eligible for employment. Upon receipt of such notification, the Mohican Gaming Commission shall notify the gaming employee and Gaming Management of the suspension and proposed revocation and the time and place for hearing under section 14.16.3 below.
14.16.3 Procedure for Temporary Suspension. The Mohican Gaming Commission, upon reasonable cause to believe that a person has violated any of the conditions in subsections 14.16.1, or has failed to comply with any condition of his or her employee gaming license or of this Ordinance, or upon the notification from the NIGC referred to in subsection 14.16.2, may issue a Notice of Temporary Suspension of such person's employee gaming license, which shall be served upon the employee and Gaming Management. The notice shall state the grounds upon which such temporary suspension is ordered and that the employee, in a Show Cause Hearing, shall have an opportunity to present testimony and to cross-examine opposing witnesses, and to present any other evidence as to why suspension should not be issued.
The employee shall immediately cease and desist operating in his or her management position or in his or her capacity as a key employee upon receipt of the order, but such person may file a Notice of Appeal with the Mohican Gaming Commission within five (5) working days of such receipt.
Upon receipt of such Notice of Appeal, the Mohican Gaming Commission shall hold a hearing not less than ten (10) nor more than fourteen (14) working days from the date of the notice. The hearing shall be governed in all respects in accordance with the tribal law and the Mohican Gaming Commission regulations.
Tribal Court shall have jurisdiction to hear an appeal of the Commission’s decision to temporarily suspend a person’s employee gaming license.
SECTION 25.15 TRIBAL GAMING SERVICES VENDOR LICENSE
15.1 Requirement for Gaming Services Vendor License. No person or entity may provide gaming services, gaming apparatus or gaming equipment to any gaming facility or gaming operator unless such person or entity is the holder of a valid and current gaming services vendor license issued by the Mohican Gaming Commission; provided, however, that such vendor may automatically be granted said license if:
15.1.1 The person or entity has a current, valid license or certificate 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 Mohican Gaming 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.
15.1.2 Any license granted under subsection 15.1.1 may be revoked or suspended by the Mohican Gaming Commission in the same manner and for the same reasons as provided elsewhere in this Section.
15.2 Application for Gaming Services Vendor License. The application for this license shall include all provisions included in the gaming employee license listed in Section 14.2 of this Ordinance with the following additional requirement:
15.2.1 A complete financial statement showing all sources of income for the previous three (3) years, and assets, liabilities, and net worth as of the date of the submission of the application.
15.3 Procedure for Licensing. Each applicant for a gaming services vendor license shall submit a completed application to the Compliance Department on forms provided by the Commission. The gaming application shall contain such information, documentation and assurances as may be required by the Commission and shall identify all of the applicant's principals and the applicant's and each such principal's personal and family history, personal and business references, criminal conviction record, business activities, financial affairs, prior gaming industry experience and general education background.
Each application shall be accompanied by a fingerprint card(s) and photograph(s) of the applicant and of each principal of the applicant in such form as required by the Mohican Gaming Commission.
Upon receipt of a completed application, the Mohican Gaming Commission shall forward a copy thereof to the State or to the NIGC, for an FBI criminal information check through the FBI National Criminal Information Center.
15.4 Fee for License. Any person or entity filing an application for a gaming services vendor license pursuant to this Section shall pay to the Mohican Gaming Commission a fee, set by the Commission, sufficient to compensate the Mohican Gaming Commission for the cost of the background investigation and review of the license applications.
15.5 Background Investigation of Applicants. Upon receipt of an application for a gaming services vendor license, the Compliance Department or designated Mohican Gaming Commission agent shall conduct an investigation of the applicant and each of its principals and shall include a criminal records check on the applicant and on each of the applicant's principals.
The Compliance Department or Mohican Gaming Commission agent shall conduct such other investigation of applicant and its principals as may be deemed appropriate.
15.6 Action by Mohican Gaming Commission. Except as provided in subsection 15.1.1, the Commission shall, as soon as practicable after completion of the background investigation under subsection 15.5, either grant or deny the license.
The Mohican Gaming Commission may deny license to any applicant upon a determination that the applicant, or any principal identified with such applicant:
15.6.1 Is a person or entity whose prior activities, criminal record, if any, or reputation, habits and associations pose a threat to the effective regulation of gaming or create or enhance the chances of unfair or illegal practices, methods and activities in the conduct of the gaming activities permitted hereunder; or
15.6.2 Has failed to provide information reasonably 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.
15.7 Duration of License and Renewal. Any gaming services vendor license issued by the Mohican Gaming Commission shall be effective for not more than two years and shall expire on the date two years from the date of issuance, provided, that a licensee that has applied for renewal prior to expiration may continue to provide services under the expired license until the Mohican Gaming Commission takes final action on the renewal application.
Previously licensed applicants or applicants for renewal shall provide currently updated application material but will not be required to resubmit historical data already available to the Commission. The license shall be subject to an annual review consisting of such checks as the Gaming Commission shall determine necessary.
No additional background investigation of an applicant for license renewal shall be required unless new information concerning the renewal applicant's continuing suitability or eligibility for a license has been presented to the Commission; except that, a new credit check shall be performed, the status of the entity's regulatory licenses in other jurisdictions, if applicable, shall be checked and a litigation check shall be performed.
15.8 Revocation or Suspension of License. The Commission may investigate any licensed person or entity or any principal of any entity at any time and the Mohican Gaming Commission may suspend 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 hearing under the procedures described below.
A licensed person or entity shall be entitled to any payment due for services provided or for goods delivered prior to the effective date of suspension or revocation of its license.
15.8.1 When the Mohican Gaming Commission has reasonable cause to believe that a person or entity holding a valid gaming services vendor license did not qualify for said license or that the person or entity or any principal of the entity has engaged in activities that would justify denial of the renewal of said license, the Mohican Gaming Commission or its designee shall issue a notice of suspension of such person or entity's license, which shall be served upon the licensee 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 testimony and to cross-examine opposing witnesses, and to present any other evidence as to why a permanent suspension should not be issued.
Such hearing shall be governed in all respects by tribal law and Mohican Gaming Commission regulations.
15.8.2 When the Mohican Gaming Commission suspends a license under this subsection, the licensee shall immediately cease and desist from all gaming services to tribally licensed gaming operators and facilities. Decisions of the Commission pursuant to this Section, following any administrative review or appeal allowed under this Ordinance or otherwise permitted by the Commission, constitutes final Commission action for purposes of judicial review under tribal law.
15.9 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 agree to cooperate with the Mohican Gaming Commission and the Tribal and federal law enforcement in any investigation deemed necessary by either the Commission or the federal government relative to the fitness of such enterprise or organization to engage in business with a gaming operation or facility.
The Commission may bar such person or entity from providing goods or services to a tribally licensed gaming operation or facility upon a determination that such person or entity, or principal thereof is a person or entity whose prior activities, criminal record if any, or reputation, habits and associations pose a threat to the effective regulation of gaming or create or enhance the dangers of unfair or illegal practices, methods and activities in the conduct of gaming.
Any person or entity affected by a bar under this subsection shall have a right to notice and hearing as provided in subsection 15.8.
15.10 Labor organizations are barred from representation of tribally licensed gaming employees at tribally owned gaming facilities within the Tribe's jurisdiction, consistent with federal law.
SECTION 25.16 GENERAL PROVISIONS GOVERNING OPERATION OF TRIBALLY OWNED OR TRIBALLY
OPERATED GAMING FACILITY
16.1 Maintenance of Records. The Mohican Gaming 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 Mohican Gaming Commission shall also insure that both the operator and the Mohican Gaming Commission maintain the following records for not less than seven (7) years:
16.1.1 Revenues, expenses, assets, liabilities and equity by game at each location where any component of Class III gaming, including ticket sales, is conducted.
16.1.2 Daily cash transactions for each game at each location at which any component of Class III gaming is conducted, including but not limited to transactions relating to each gaming table bank, game drop box and gaming room bank.
16.1.3 For electronic games of chance, analytic reports that, by each machine, compare actual hold percentages to theoretical hold percentages.
16.1.4 Contracts, correspondence and other transaction documents relating to all vendors and contractors.
16.1.5 Records of all tribal enforcement activities relating to gaming operated under the Tribal-State Compact and other tribal laws.
16.1.6 All audits prepared by or on behalf of the Tribe.
16.1.7 Personnel information on all Class III gaming employees or agents, including complete sets of each employee's fingerprints, employee photographs, and employee profiles and background investigations, except that employee work schedules shall be maintained for a period of at least two (2) years. This provision shall not include personnel records of tribal members as to matters that are not related to gaming.
16.1.8 Records of background investigations and determinations for licensing.
16.1.9 The Mohican Gaming Commission shall also be responsible for all the above information pertaining to Class II Gaming owned or operated by the Tribe.
16.2 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 Mohican Gaming Commission. Before giving final consideration to any proposed management contract, the Tribal Council shall direct the Mohican Gaming Commission to conduct a complete background investigation of persons and entities with a financial interest in, or having management responsibility for, the management contract, including requiring the submission of all information required under 25 CFR Section 537.1, as amended, incorporated herein by this reference.
16.2.1 Background information on the proposed management contractor including: its name; address; the names and addresses of each person or entity having a direct financial interest or management responsibility for the proposed management contractor; and in case of a corporation, the names and addresses of each member of its board of directors and all stockholders who hold directly or indirectly ten (10%) percent or more of its issued or outstanding stock.
16.2.2 A description of any previous experience that each person listed in subsection 16.2.1 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.
16.2.3 A complete financial statement of each person listed in subsection 16.2.1 for the past three (3) years.
16.2.4 The Mohican Gaming Commission shall contact each of the tribal governments and licensing agencies in subsection 16.2.2 to determine the performance history of the proposed management contractor.
16.2.5 The Mohican Gaming 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.
16.2.6 The Mohican Gaming Commission shall obtain an independent verification of the completed financial statements of the proposed management contractor.
16.2.7 The Mohican Gaming 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 16.2.1.
16.2.8 If the Tribal Council, after reviewing the information described above, still desires to enter into a management contract with the proposed management contractor, such management contract shall be made in writing and submitted to the Tribe's attorney(s) for review.
16.2.9 Any management contract approved by the Tribal Council must include at a minimum, with respect to the gaming activity to which the contract is applicable, all of the required provisions contained in 25 CFR Section 531.1, as amended, incorporated herein by this reference.
16.2.10 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 Mohican Gaming Commission has submitted written findings on such application(s) to the Tribal Council.
16.2.11 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.
16.3 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 25.17 CONFLICT OF INTEREST
17.1 No person employed by the gaming enterprise may have a direct or indirect interest in any gaming-related contract with the Tribe, nor may they be employed by any person who has a gaming-related contract with the Tribe.
Definition. A direct or indirect interest is one in which the employee has an economic interest or receives personal gain from the transaction in question.
17.2 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 Mohican Gaming Commission prior to such contract and the Gaming 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 25.18 CONDUCT OF GAMES
18.1 The conduct of Class III games shall be as provided for in Section V of the Tribal/State Compact.
18.2 Electronic Games of Chance shall be governed by Section XV of the Tribal/State Compact and Blackjack shall be governed by Section XVI of the Tribal/State Compact.
18.3 The premises where any gaming is conducted shall at all times be open to inspection by the Stockbridge-Munsee Tribal Council and the Mohican Gaming Commission, and such other inspections as may be required by federal regulations or the Tribal/State Compact.
18.4 Gaming may be conducted each and every day of the week at any hour of the day or night, at the discretion of the Mohican Gaming Commission and the Casino General Manager, EXCEPT that Blackjack, according the Tribal-State Compact, shall not be played at any location for more than eighteen (18) hours in any day.
18.5 The Tribal Council shall retain the sole authority to set limits on gaming.
18.6 All employees who are working at a tribal gaming enterprise shall be clearly identified with legible tags evidencing their names and shall be licensed pursuant to federal and tribal regulations.
SECTION 25.19 SALE OF ALCOHOL
19.1 The sale of alcohol shall be governed by the Stockbridge-Munsee Liquor Ordinance and Section V.F. of the Tribal/State Compact.
SECTION 25.20 JURISDICTION AND ENFORCEMENT
20.1 Jurisdiction. Except as provided in this Ordinance or in any Tribal-State Compact under the IGRA, the Tribal Court shall have jurisdiction over all violations of this Ordinance.
20.1.1 The Tribal Court shall have jurisdiction over appeals from final decisions by the Mohican Gaming Commission.
20.2 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 subject any violator to the civil or criminal penalties specified herein, and shall require a tribal waiver if convicted or entered a plea of guilty or no contest to these acts pursuant to the Tribal Gaming Waiver Policy:
20.2.1 Knowingly making a false statement or withholding material information in an application for employment with any gaming operator or with the Mohican Gaming Commission.
20.2.2 Knowingly making a false statement in connection with any contract to participate in any gaming activity.
20.2.3 Bribing or attempting to bribe any person participating in any gaming activity or in the Tribal Government.
20.2.4 Offering or accepting a loan, financing or other thing of value between a Mohican Gaming Commission member or tribal gaming employee or tribal government official and any person participating in any gaming activity, excluding the tribal loan program.
20.2.5 Failing to keep sufficient books and records to substantiate receipts, disbursements and expenses incurred or paid from any gaming activity authorized pursuant to this Ordinance.
20.2.6 Falsifying any books or records that relate to any transaction connected with any gaming activity pursuant to this Ordinance.
20.2.7 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.
20.2.8 To conduct a gaming activity with or to allow participation in a gaming activity by an intoxicated or disorderly player.
20.2.9 To allow or participate in the sale of liquor at gaming sites if such sale is prohibited by tribal law; to allow the sale of alcohol to anyone below the age of twenty one (21), or below the age permitted under Wisconsin State law.
20.2.10 To accept consideration other than money, personal checks or other approved consideration for the chance to play or participate in any gaming activity.
20.2.11 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.
20.2.12 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.
20.2.13 To alter or counterfeit a gaming license.
20.2.14 To aid, abet or conspire with another person knowingly, or knowingly to cause any person to violate any provision of this Ordinance or any rules and regulations adopted hereunder.
20.2.15 To operate, use or make available to the public any illegal gaming device, apparatus, material or equipment.
20.2.16 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.
20.2.17 To assist or allow a person who is under age to participate in a