\'~'
UU­

RESOLUTION
95­
7/
27­
1
OF
'
rim'
M0REGAN
TRIBE
OF
INDIANS
OF
CONNECTICUT
WHEREAS,
the
Mohegan
Tribe
of
Indians
of
Connecticut
is
an
American
Indian
Tribe
recognized
by
the
United
States
;
and
WHEREAS,
the
Tribe
desires
to
renumber
the
ordinances
of
the
Code
to
provide
for
a
more
logical
and
sequentially
ordered
system
;
and
WHEREAS,
the
Tribe
is
in
the
final
stages
of
developing
its
first
code;

NOW,
THEREFORE,
BE
IT
RESOLVED,
that
the
Chief
and
Tribal
Council
direct
the
renumbpring,
by
calendar
year,
of
the
following
ordinances:
V'
94­
1
Tribal
~'
minir
(
lr~
iinanrP
dated
7tt
htty
19g4
!
­­­
­
95­
1
Election
Ordinance
dated
29
June
1995
95­
2
Tribal
Gaming
Ordinance
dated
15
July
1995
95­
3
Personnel
Policies
dated
15
July
1995
95­
4
Gaming
Disputes
Court
dated
20
July
1995
;
.
ro',
c­
rt.~
Gl
<:
ht.~

<~
~'
.
i7I
t~
1
A
~(
C
t=

­

and
the
resolutions
be
consecutively
numbered
beginning
with
the
calendar
year
so
that
the
next
resolution
on
the
agenda
be
written
with
a
sequentially
chosen
number
for
the
record
.

ADOPTED,
this
27th
day
of
July,
1995,
at
Uncasville,
Connecticut.

MOHEGAN
TRIBE
OF
INDIANS
OF
CONNECTICUT
U
ATTEST:
C
ERT~
IC
ATION
1,
the
undersigned
Chairman
of
Mohegan
Tribal
Council
do
hereby
certify
that
the
Mohegan
Tribal
Council
is
composed
of
nine
(
9)
members
of
which
9
were
present,
thereby
constituting
a
quorum,
at
a
duly
called
meeting
of
the
Mohegan
Tribal
Council
held
on
the
28th
~
day
of
July
,
199?
,
and
the
attached
Ordinance
Number
94­
1
,
An
Ordinance
concerning
Gaming
on
Tribal
Land
was
duly
adopted
by
the
affirmative
vote
of
9
members
of
the
Council
and
that
the
attached
Ordinance
is
a
true
and
correct
copy
of
Ordinance
Number
94­
1
(
previously
enacted
as
94­
7/
28­
2)

ATTEST:

Shirley
M.
WaLsh
Tribal
Council
Recording
Secretary
Seal
ORDINANCE
NO.
94­
1
ORDINANCE
OF
THE
MOHEGAN
TRIBE
OF
OF
CONNECTICUT
FOR
GAMING
ON
TRIBAL
LANDS
An
Ordinance
to
Regulate
and
Provide
for
the
Licensing
of
Class
li
and
Class
III
Gaming
on
Tribal
Lands
of
the
Mohegan
Tribe
of
Indians
of
Connecticut
GENERAL
PROVISIONS
SECTION
1
­
SHORT
TITLE
This
Ordinance
may
be
cited
as
the
"
Mohegan
Tribal
Gaming
Ordinance."

SECTION
2
­
DECLARATION
OF
TRIBAL
POLICY
§
2­
1
.
It
is
the
policy
of
the
Mohegan
Tribe
of
Indians
of
Connecticut,
hereinafter
referred
to
as
"
Tribe":

(
a)
That
the
Tribe
shall
have
the
sole
proprietary
interest
in
any
Gaming
Operation
;

(
b)
That
all
Gaming
Operations
on
Tribal
Lands
shall
be
conducted
by
the
u
Tribe,
through
employees
of
the
Tribal
Council
or
its
Management
(
Contractors
only;
._
(
c)
That
it
is
the
objective
of
this
Ordinance
to
provide
revenue
to
promote
(
i)
Tribal
economic
development
and
self­
sufficiency
and
(
ii)
the
health,

education,­
and
welfare
of
Tribal
members;
and
(
d)
That
the
Gaming
activities
provided
for
by
this
Ordinance
within
lands
of
the
Tribe
shall
be
conducted
in
conformance
with
the
requirements
of
this
Ordinance,
the
Indian
Gaming
Regulatory
Act,
102
Stat.
2467,

25
U
.
S.
C.
§
2701,
gt
sq.,
as
implemented
by
the
regulations
promulgated
by
the
National
Indian
Gaming
Commission,
and
the
provisions
of
any
Tribal­
State
Compact
governing
Class
III
Gaming
on
Mohegan
Tribal
Lands
.

SECTION
3
­
FINDINGS
§
3­
1
.
The
Tribal
Council
finds
that
­

(
a)
Class
II
Gaming
may
be
conducted
on
Tribal
Lands
of
the
Tribe
by
reason
of
the
fact
that
the
State
of
Connecticut
permits
bingo;
.

(
b)
Class
III
Gaming
may
be
conducted
on
Tribal
Lands
of
the
Tribe
by
reason
of
the
fact
that
the
State
of
Connecticut
permits
­

(
i)
lottery
(
ii)
jai
alai
or
pelota
;
(
iii)
pari­
mutuel
wagering
on
horse
and
dog
racing
;

(
iv)
casino
nights;
r
~

(
v)
off­
track
betting
and/
or
simulcasting
horse
and
dog
races.

SECTION
4
­
DEFINITIONS
§
4­
1
.
For
the
purpose
of
this
Ordinance,
the
following
definitions
shall
apply:

(
a)
"
Act"
means
the
Indian
Gaming
Regulatory
Act,
Public
Law
100­
497,
102
Stat.
2466,
codified
at
25
U
.
S.
C
.
§
§
2701,
el
sea
.

(
b)
"
Applicant"
means
any
person
that
completes
an
application
with
the
Tribe
for
a
Gaming
License.

(
c)
"
Assessable
Gross
Revenues"
means
the
annual
total
amount
of
money
wagered
and
admission
fees,
less
any
amounts
paid
out
as
prizes
or
paid
for
prizes
awarded,
and
less
an
allowance
for
amortization
of
capital
expenditures
for
structures
.

(
d)
"
Bingo"
means
that
game
of
chance
(
whether
or
not
electronic,
computer,
or
other
technologic
aids
are
used
in
connection
therewith)
:
(
i)
which
is
played
for
prizes,
including*
monetary
prizes,
with
cards
bearing
numbers
or
other
designations
;
,

(
ii)
in
which
the
holder,
of
the
cards
covers
such
numbers
or
designations
when
objects,
similarly
numbered
or
designated,
are
drawn
or
electronically
determined;
and
(
iii)
in
which
the
game
is
won
by
the
first
person
covering
a
previously
designated
arrangement
of
numbers
or
.
designations
on
such
cards.

(
e)
"
Chairman"
means
Chairman
of
the
National
Indian
Gaming
Commission
or
his
or
her
designee.

(
fl
"
Cheating"
means
operating
or
playing
in
a
game
in
a
manner
in
violation
of
the
written
or
commonly
understood
rules
of
the
game,
with
the
intent
to
create
for
himself/
herself
or
someone
in
privity
with
him/
her
an
advantage
over
and
above
the
chance
of
the
game.

(
g)
"
Class
II
Gaming"
means
that
Gaming
defined
in
25
C.
F
.
R.
§
502.3.

(
h)
"
Class
III
Gaming"
means
that
Gaming
defined
in
25
C
.
F
.
R.
§
502
.4.

(
i)
"
Collateral
Agreement"
means
any
contract,
whether
or
not
in
writing,
that
is
related,
either
directly
or
indirectly,
to
a
Management
Contract,

­
4­
or
to
any
rights,
duties,
or
obligations
created
between
the
Tribe
(
or
any
of
its
members,
entities,
or
organizations)
and
a
Management
Contractor
or
subcontractor
(
or
any
person
or
entity
related
to
a
Management
Contractor
or
subcontractor)
.

(
j)
"
Commission"
means
the
National
Indian
Gaming
Commission
.

(
k)
"
Council"
means
the
Tribal
Council
as
described
in
the
Constitution
of
the
Mohegan
Tribe.

(
I
)
"
Employee
Manager"
is
a
manager
other
than
a
"
Management
Contractor"
employed
by
the
Tribe
to
manage
a
tribal
Gaming
Establishment.

(
m)
"
Gaming"
means
risking
any
money
or
other
thing
of
value
for
gain,

contingent,
wholly
or
partially,
upon
lot,
chance,
the
operation
of
Gaming
apparatus,
or
the
happening
or
outcome
of
an
event
over
which
the
person
taking
the
risk
has
no
control.

(
n)
"
Gaming
Establishment"
means
any
location
or
structure,
wherein
Gaming
is
licensed,
promoted,
performed,
conducted,
or
operated.

(
o)
"
Gaming
License"
means
the
permit
granted
by
the
Tribe
to
an
applicant
for
employment
with
a
Gaming
Operation
.

(
P)
"
Gaming
Operation"
means
each
economic
entity
that
is
licensed
by
the
Tribe,
operates
the
games,
receives
the
revenues,
issues
the
­
5­
prizes,
and
pays
the
expenses
.
A
Gaming
Operation
may
be
operated)
by
the
Tribe
directly
or
by
a
Management
Contractor
.

(
q)
"
Gross
Gaming
Revenues"
means
the
annual
total
amount
of
money
wagered
and
admission
fees
.

(
r)
"
Key
Employee"
means:
(
i)
A
person
who
performs
one
or
more
of
the
following
functions
:

(
1)
Bingo
caller;

(
2)
Counting
room
supervisor
;

(
3)
Chief
of
security;

(
4)
Custodian
of
Gaming
supplies
or
cash
;

(
5)
Floor
manager;

(
6)
Pit
boss;

(
7)
Dealer;

(
8)
Croupier;
(
9)
Approver
of
credit
;
or
(
10)
Custodian
of
gambling
devices
including
persons
with
access
to
cash
and
accounting
records
within
such
devices
;

(
ii)
If
not
otherwise
included,
any
other
person
whose
total
cash
compensation
is
in
excess
of
Fifty
Thousand
Dollars
($
50,000)
per
year;
or.

(
iii)
If
not
otherwise
included,
the
four
most
highly
compensated
persons
in
the
Gaming
Operation.

(
s)
"
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.

(
t)
"
Management
Contractor"
means
the
person
or
entity
holding
a
contract
entered
into
pursuant
to
25
U
.
S.
C.
§
2710(
d)(
9)
or
§
2711
.
N/
o
M,
c
­

_'

.01
(
u)
"
Minor"
rr~
ns
a
person
less
than
eighteen
(
18)
years
of
age.
(
v)
"
Net
Revenues"
means
Gross
Gaming
Revenues
of
a
Tribal
Gaming
Operation
less
­

(
i)
Amounts
paid
out
as,
or
paid
for,
prizes
;
and
(
W)
(
ii)
Total
Gaming­
related
Operating
Expenses,
excluding
management
fees.

"
Operating
Expenses"
means
total
Gaming­
related
expenses
excluding
management
fees
.'
~
f
6
(
A­
E­
V
\

(
x)
"
Person"
means
any
individual,
firm,
partnership,
corporation,

company,
or
association
.

(
Y)
"
Person
Having
a
Direct
or
Indirect
Financial
Interest
in
a
Management
Contract"
means:

\
At,

(
i)

such
Management
Contract;
When
a
person
who
is
a
party
to
a
Management
Contract,
any
person
having
a
direct
financial
interest
in
(
ii)
When
a
trust
is
a
party
to
a
Management
Contract,
any
beneficiary
or
trustee;

(
iii)
When
a
partnership
is
a
party
to
a
Management
Contract,
any
partner;

­
8­
til
v
c
­­
(
iv)
When
a
corporation
is
a
party
to
a
Management
Contract,
any
person
who
is
a
director
or
who
holds
at
least
ten
percent
(
10%)
of
the
issued
and
outstanding
stock
alone
or
in
combination
with
another
stockholder
who
is
a
spouse,
parent,
child
or
sibling;
or
(
v)
When
an
entity
other
than
a
natural
person
has
an
interest
in
a
trust,
partnership,
or
corporation
that
has
an
interest
in
a
Management
Contract,
all
parties
of
that
entity
are
deemed
to
be
persons
having
a
direct
financial
interest
in
a
Management
Contract.

(
z)
"
Tribal
Land"
means
the
person
designated
in
the
Management
Contract
as
having
engagement
responsibility
for
the
Gaming
Operation,
or
a
portion
thereof.

(
aa)
"
Player"
means
a
person
participating
in
a
game
with
the
hope
of
winning
money
or
other
benefit,
but
does
not
include
a
licensee,
any
assistant
of
a
licensee,
or
their
immediate
family.

(
ab)
"
Primary
Management
Official"
means:
(
i)
The
Person
Having
Management
Responsibility
for
a
Management
Contract;

(
ii)
Any
person
who
has
authority;

(
1)
To
hire
and
fire
employees;
or
(
2)
To
set
up
working
policy
for
the
Gaming
Operation
;
or
(
iii)
The
chief
financial
officer
or
other
person
who
has
financial
management
responsibility.
(
ac)
"
Secretary"
means
the
Secretary
of
the
Interior.

(
ad)
"
Tribal
Lands"
means
all
lands
which
are
held
in
trust
by
the
United
States
of
America
for
the
Tribe
and
all
lands
owned
by
the
Tribe
which
are
subject
to
restriction
against
alienation
imposed
by
the
United
States.

(
ae)
"
Tribal­
State
Compact"
means
an
agreement
between
the
Tribe
and
the
State
of
Connecticut
about
Class
III
Gaming
under
25
U
.
S
.
C.
§
2710(
d)
.

(
af)
"
Tribe"
means
the
Mohegan
Tribe
.

SECTION
5
­
AUTHORITY
OF
TRIBAL
COUNCIL
§
5­
1
.
The
Council
shall
have
the
power
and
responsibility
to:

(
a)
enforce
and
administer
the
provisions
of
this
Ordinance;

(
b)
issue
and
renew
Gaming
Licenses
as
provided
in
this
Ordinance
and
in
any
regulation
which
may
be
promulgated
by
the
Council
;

(
c)
revoke,
suspend,
or
condition
a
Gaming
License
or
deny
an
application
for
a
license
for
violation
of
applicable
law
or
Ordinance
regulating
Gaming,
or
conviction
of
any
offense
involving
a
Gaming
related
crime
or
moral
turpitude;

(
d)
collect
fees
and
interest
as
provided
for
in
this
Ordinance
;

(
e)
assess
and
collect
penalties
provided
for
in
this
Ordinance;

(
f)

(
g)
adjust
the
respective
amounts
of
the
annual
license
fees,
provided
that
such
fees
shall
not
be
increased
retroactively;

audit
or
cause
to
be
audited
expenditures,
receipts,
and
reports
of
a
licensee
responsible
for
managing
a
Tribal
Gaming
enterprise;

(
h)
review,
on
demand,
such
books
and
records
and
inspect
the
premises
and
operations
of
licensees
as
it
deems
necessary
for
the
enforcement
of
this
Ordinance;
(
i)
draw
up
such
forms
as
it
deems
necessary;

U)
institute
such
legal
proceedings
in
the
name
of
the
Tribe
in
a
court
of
competent
jurisdiction
as
it
deems
necessary
for
the
enforcement
of
this
Ordinance;

(
k)
conduct
hearings
provided
for
in
this
Ordinance;

(
1)
deposit
all
fees,
penalties,
and
interest
collected
under
authority
of
this
Ordinance
into
an
account
to
the
credit
of
the
Tribe;

(
m)
maintain
a
correct
and
full
accounting
of
all
fees,
penalties,
and
interest
received
under
authority
of
this
Ordinance,
and
provide
a
monthly
record
of
that
accounting;
and
(
n)
take
such
other
actions
and
.
issue
such
orders
and
promulgate
such
regulations
as
the
Council
may
deem
necessary
to
properly
and
fully
perform
its
duties
and
responsibilities
under
this
Ordinance.

§
5­
2
.

Tribal
members
to
exercise
any
or
all
of
the
powers
and
responsibilities
set
out
in
§
5­
1
of
this
Ordinance,
above
.

SECTION
6
­
GAMES
AUTHORIZED
r
t
The
Council
may
appoint
a
committee
of
not
more
than
three
(
3)

­
12­
§
6­
1
.
The
Tribe
shall
have
the
sole
proprietary
interest
in
and
responsibility
for
the
conduct
of
any
Gaming
Operation
.
.

§
6­
2.
Class
II
Games
as
follows
may
be
licensed
for
conduct
on
Tribal
Lands:

(
a)
bingo,
pull­
tabs,
lotto,
punch
boards,
tip
jars,
instant
bingo,
and
other
games
similar
to
bingo
as
defined
under
25
C.
F.
R.
§
502.9.

(
b)
non­
banking
card
games
defined
as
Class
II
Gaming
under
25
C
.
F
.
R.

§
502
.3(
c)
.

(
c)
any
game
determined
to
be
a
Class
II
Game
by
Congressional
amendment
of
the
Act,
by
regulation,
or
by
decision
of
the
Commission
or
the
federal
courts
.

§
6­
3.
Class
III
Games
as
follows
may
be
licensed
for
conduct
on
Tribal
Lands:

(
a)
such
Class
I11
Games
as
may
be
authorized
by
a
Tribal­
State
Compact,
and
(
b)
such
Class
III
Games
authorized
under
procedures
specified
in
25.
U
.
S
.
C.
§
2710(
d)(
7)(
B).

SECTION
7
­
GAMING
LICENSES
REQUIRED
§
7­
1
.
A
separate
Gaming
License
is
required
for:

(
a)
(
i)
each
person
having
a
Management
Contract;~
Ffu
C
i
(
ii)
each
Primary
Management
Official
and
each
Key
Employee
whether
employed
by
the
Management
Contractor
or
directly
by
the
Tribe;
and
I \

(
iii)
all
other
employees.

(
b)
each
place,
facility,
or
location
on
Tribal
Lands
at
which
class
II
or
Class
III
Gaming
is
conducted.

SECTION
8
­
APPLICATION
FOR
GAMING
LICENSES
C
/

§
8­
1
.
Each
person
having
a
Man
ageme
n)
4­­_
ontract,
each
Primary
Management
Official
and
each
Key
Employee
whether
employed
by
the
Management
Contractor
o 
r_
directly
by
the
Tribe,
and
'
all
other
employees
shall
complete
an
<<.
f­
/~~
application
for
an
initial
Gaming
License
or
renewal
of
an
existing
Gaming
­
14­
License
for
each
Gaming
Establishment
on
an
application
form
prescribed
by
the
Council
.
The
form
or
forms
prescribed
by
the
Council
for
employees
other
than
Primary
Management
Officials
or
Key
Employees
shall
be
less
inclusive
than
the
form
prescribed
for
Primary
Management
Officials
and
Key
Employees
and
shall
be
appropriate
to
the
position
held
by
the
employee
or
for
which
the
employee
is
applying.
The
application
shall
set
forth:

(
a)
the
name
under
which
the
applicant
transacts
or
intends
to
transact
business
on
Tribal
Lands
;
and
(
b)
the
location
of
the
Gaming
Establishment
for
which
the
Gaming
License
is
sought;
and
(
c)
the
application
shall
be
signed
by
the
applicant
if
a
natural
person,
or,

in
the
case
of
an
association
or
partnership,
by
a
member
or
partner
thereof,
or,
in
the
case
of
a
corporation,
by
an
executive
officer
thereof,
or
by
some
other
person
specifically
authorized
by
the
corporation
to
sign
the
application,
in
which
case
written
evidence
of
the
signator's
authority
shall
be.
attached.
The
applicant
shall
provide
evidence
of
authority
of
the
signator
or
any
other
representative
to
act
for
and
bind
the
applicant
.
If
any
change
is
made
in
that
authority,
the
Council
shall
be
immediately
informed
in
writing
and,
until
that
information
is
filed
with
the
Council,
any
action
of
the
representative
shall
be
presumed
to
be
that
of
the
applicant
.
§
8­
2
.
Each
application
shall
be
accompanied
by
payment
of
the
appropriate
license
fee
.
.

§
8­
3.
The
Management
Contractor
shall
file
along
with
the
application
an
organizational
chart
of
its
management
organization
and
job
descriptions
of
the
employees
of
the
Gaming
Operation.
The
chart
shall
identify
which
employees
are
or
will
be
the
Primary
Management
Officials
and
the
Key
Employees
of
the
Gaming
Operation
.

§
8­
4.
An
application
for
a
Gaming
License
shall
include:

(
a)
a
description
of
the
place,
facility,
or
location
on
Tribal
Lands
where
the
applicant
will
operate
a
Gaming
Operation
or
where
the
applicant
will
be
employed
.

(
b)
the
following
privacy
notice
prescribed
by
25
C.
F.
R.
§
556.2:

In
compliance
with
the
Privacy
Act
of
1974,
the
following
information
is
provided:
Solicitation
of
the
information
on
this
form
is
authorized
by
25
U
.
S.
C.
§
2701,
et
seq.
The
purpose
of
the
requested
information
is
to
determine
the
eligibility
of
individuals
to
be
employed
in
a
Gaming
Operation.
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
.

­
16­
The
information
may
be
disclosed
to
appropriate
Federal,
Tribal,
State,
local,
or
foreign
law
enforcement
and
regulatory
agencies
,
when
relevant
to
civil,
criminal
or
regulatory
investigations
or
prosecutions
or
when
pursuant
to
a
requirement
by
a
Tribe
or
the
National
Indian
Gaming
Commission
in
connection
with
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.

The
disclosure
of
your
Social
Security
Number
(
SSN)
is
voluntary
.
However,
failure
to
supply
a
SSN
may
result
in
errors
in
processing
your
application
.

(
c)
the
following
notice
regarding
false
statements
is
prescribed
by
25
C
.
F.
R.
§
556.3:

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
fine
or
imprisonment
(
U
.
S
.
Code,
Title
18,
Section
1001).
(
d)
the
following
background
investigation
information
from
each
Primary
Management
Official
and
each
Key
Employee:

(
i)
full
name,
other
names
used
(
oral
or
written),
social
security
number(
s),
birth
date,
place
of
birth,

citizenship,
gender,
all
languages
(
spoken
or
written)
;

(
ii)
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
;

(
iii)
the
names
and
current
addresses
of
at
least
three
(
3)

personal
references,
including
one
personal
reference
who
was
acquainted
with
the
applicant
during
each
period
of
residence
listed
under
paragraph
(
d)(
ii)
of
this
Section;

(
iv)
current
business
and
residence
telephone
numbers;

(
v)
a
description
of
any
existing
and
previous
business
relationships
with
Indian
tribes,
including
ownership
interests
in
those
businesses;
(
vi)
a
description
of
any
existing
and
previous
business
relationships
with
the
gaming
industry
generally,

including
ownership
interests
in
those
businesses;

(
vii)
the
name
and
address
of
any
licensing
or
regulatory
agency
with
which
the
person
has
filed
an
application
for
a
license
or
permit
related
to
Gaming,
whether
or
not
such
license
or
permit
was
granted;

(
viii)
for
each
felony
for
which
there
is
an
ongoing
prosecution
or
a
conviction,
the
charge
the
name
and
address
of
the
court
involved,
and
the
date
and
disposition
if
any;

(
ix)
for
each
misdemeanor
conviction
or
on­
going
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
date
and
disposition
;

(
x)
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
paragraph
(
d)(
viii)
or
(
d)(
ix)
of
this
Section,
the
criminal
charge,
the
name
and
address
of
the
court
involved,
and
the
date
and
disposition
;

­
19­
(
xi)
the
name
and
address
of
any
licensing
or
regulatory
agency
with
which
the
applicant
has
filed
an
application
for
an
occupational
license
or
permit,

whether
or
not
such
license
or
permit
was
granted
;

(
xii)
a
current
photograph;

(
xiii)
a
complete
history
of
the
applicant's
educational
background,
including
the
names
of
any
colleges,

universities,
trade
or
vocational
schools,
and
high
schools
attended
;

(
xiv)
a
description
of
the
applicant's
family
including
an
explanation
of
the
relationships
described
(
e.
g
.,

parents,
guardians,
etc.);

(
xvi)
any
financial
statement
from
the
applicant's
accountant
or
other
financial
information
specifically
requested
on
the
application
form,
for
example,

income
sources,
assets
owned,
insurance
policies,

mortgages,
and
other
information
relating
to
the
filing
of
bankruptcy
or
other
obligations
;

(
xvii)
a
description
of
the
applicant's
spousal
status
including,
if
applicable,
the
existence
of
any
previous
marriages
;

­
20­
(
xviii)
fingerprints
of
the
applicant
to
be
taken
by
the
Connecticut
State
Police
(
or
other
law
enforcement
agency
approved
by
the
Tribe)
and
forwarded
to
the
NIGC
for
a
criminal
history
check.
A
criminal
history
check
will
include
a
check
of
criminal
history
records
information
maintained
by
the
Federal
Bureau
of
Investigation
;

(
xix)
a
statement
authorizing
law
enforcement
agencies
and
prior
employers
to
release
information
and
respond
to
questions
relating
to
the
applicant's
records,
habits,
reputation,
and
associations
;

(
xx)
all
applicants
are
required
to
submit
to
a
drug
screening
test
and,
if
employed,
random
screening
tests
thereafter;
and
(
xxi)
any
other
information
the
Council
deems
relevant.

§
8­
5.
Each
applicant
for
a
Gaming
License
who
has
o'r
will
have
a
contract
with
the
Tribe
to
manage
a
Tribal
Gaming
Operation
shall
state
whether
or
not
he/
she
already
has
a
Management
Contract
to
operate
any
Indian
or
non­
Indian
Gaming
Operation
and,
if
so,
a
doscription
of
the
location
of
each
such
operation.
§
8­
6
.
A
Management
Contractor's
application
shall
include
information
required
by
25
U
.
S
.
C
.
§
2711
and
25
C.
F.
R.
§
537
.1
.

§
8­
7.
When
a
Key
Employee
or
a
Primary
Management
Official
begins
work
at
a
Gaming
Operation
the
Council
shall
forward
a
copy
of
the
person's
completed
application
for
a
Gaming
License
to
the
Commission
.

SECTION
9
­
QUALIFICATIONS
FOR
GAMING
LICENSES
§
9­
1
.
The
Council
may
issue
or
renew
a
Gaming
License
to
an
applicant
who
submits
a
proper
and
completed
application
and
pays
the
appropriate
license
fee,
provided
that
the
Council
determines
that
the
applicant:

(
a)
is
not
a
minor;

(
b)
is
a
person
of
good
character,
honesty,
and
integrity;

(
c)
has
no
prior
activities,
criminal
record,
reputation,
habits,
and
associations
which
pose
a
threat
to
the
public
interest
or
the
interest
of
the
Tribe
or
to
the
effective
regulation
and
control
of
Gaming,
or
create
or
enhance
the
dangers
of
unsuitable,
unfair,
or
illegal
practices,

methods,
and
activities
in
the
conduct
of
Gaming
or
the
carrying
on
of
the
business
and
financial
arrangements
incidental
to
the
conduct
of
.

Gaming
;
(
d)
has
not
supplied
false
and/
or
misleading
information
or
who
has
riot
omitted
material
information
required
under
this
Ordinance,
the
Act,

and
25
C.
F.
R.
Chapter
III
;
,

(
e)
has
not
had,
or
is
not
in
privity
with
anyone
who
has
had,
a
Gaming
License
revoked
for
cause
in
any
jurisdiction
since
the
effective
date
of
the
Act;

(
f)
has
complied
with
this
Ordinance
or
any
resolution
adopted
by
the
Council;

(
g)
does
not
occupy
a
competing
position
in
the
employ
of
another
Tribe
within
a
five
hundred
(
500)
mile
radius
of
any
Tribal
Gaming
Operation;
and
(
h)
does
not
violate
any
of
the
requirements
set
forth
in
25
U
.
S
.
C
.
§
2711(
a)
and
(
e).

§
9­
2
.
Subject
to
the
requirement
of
payment
of
annual
license
fees,
each
Gaming
License
shall
be
valid
for
three
(
3)
years
provided
that,
in
the
discretion
of
the
Council,
a
Gaming
License
may
be
granted
for
a
term
to
run
concurrently
with
the
term
of
a
Management
Contract.
00
§
9­
3.
A
Gaming
License
may
not
be
assigned
or­
transferred
and
is
valid
only
for
use
by
the
person
in
whose
name
it
is
issued
and
at
the
Gaming
Establishment
for
which
it
is
issued
.
A
Gaming
License
shall
be
conspicuously
displayed
at
all
times
at
the
Gaming
Establishment
for
which
issued
.

§
9­
4
.
The
Council
shall
make
the
final
decision
as
to
whether
a
Gaming
License
shall
be
issued,
suspended,
or
revoked,
subject
to
the
dispute
resolution
procedures
agreed
to
by
the
Tribe
in
a
management
agreement.

§
9­
5
.
Until
authorized
by
a
Tribal­
State
Compact,
no
Gaming
License
shall
be
issued
by
the
Council
for
Class
III
Gaming
.

SECTION
10
­
GAMING
LICENSE
FEES
§
10­
1
.
The
fees
for
Gaming
Licenses
issued
pursuant
to
this
Ordinance
shall
be
determined
by
the
Tribal
Council.
Such
fees
shall,
be
set
at
an
amount
determined
to
be
sufficient
to
cover
tribal
administrative
costs
plus
the
cost
of
conducting
the
background
investigations
of
the
license
applicant,,,
provided
that
the
investigation
fee
for
persons
having
a
Management
Contract
shall
not
I
exceed
the
reasonable
cost
of
such
fees
agreed
to
by
the
Tribe
in
aa
Management
Contract.)
It
is
estimated
that
the
costs
of
conducting
background
checks
of
Primary
Management
Officials
and
Key
Employees
will
not
exceed
Five
Thousand
Dollars
($
5,000)
per
individual
and
Twenty
Thousand
Dollars
($
20,000)
per
domestic
entity,
with
an
additional
cost
of
Twenty
Thousand
Dollars
($
20,000)
for
each
foreign
country
in
which
an
entity
does
business.
License
fees
for
all
other
employees
shall
be
One
Hundred
Dollars
($
100).
The
Council
may
waive
the
annual
fee
on
a
case­
by­
case
basis.

§
10­
2
.
The
Council
may
adjust
the
license
fee
at
any
time
on
a
prospective
basis
.

§
10­
3.
The
license
fee
shall
be
paid
with
the
submission
of
the
applicant's
completed
application,
and
shall
be
non­
refundable.

§
10­
4.
All
moneys
collected
or
received
at
a
Gaming
Establishment,
except
any
individual
winnings
or
prizes
of
Ten
Thousand
Dollars
($
10,000)
or
less
paid
in
cash
immediately,
shall
be
deposited
by
the
licensee
in
bank
accounts
approved
by
the
Council,
which
accounts
shall
contain
only
such
moneys
.
Other
cash
prizes,
the
purchase
prices
of
non­
cash
prizes,
and
all
expenses
for
such
Gaming
activities
shall
be
withdrawn
from
such
accounts
approved
by
the
Council
by
consecutively
numbered
checks
duly
signed
by
a
specified
officer
or
officers
of
the
licensee
and
payable
to
a
specific
person
or
organization
.
There
shall
also
be
documentation
for
each
check
designating
the
nature
of
the
expense
or
prize
for
which
the
check
is
drawn.
No
check
shall
be
drawn
to
"
cash"
or
a
fictitious
payee.
Wire
transfers
shall
be
allowed
with
proper
supporting
documentation
.

SECTION
11
­
BACKGROUND
INVESTIGATIONS
§
11­
1
.
The
Council
shall
conduct,
or
cause
to
be
conducted,
a
background
investigation
of
each
applicant
for
a
position
which
is
designated
as
a
Key
Employee
or
Primary
Management
Official
sufficient
to
make
a
qualification
determination
under
Section
9
above,
provided
that
the
Tribe
shall,
to
the
extent
permitted
by
law,
utilize
state
investigative
processes
set
forth
in
the
Tribal­
State
Compact.
In
conducting
the
investigation,
the
Council
shall
keep
confidential
the
identity
of
each
person
interviewed
in
the
course
of
the
investigation.

§
11­
2.
Investigative
Reports.

(
a)
The
Council
shall
prepare
and
forward
to
the
Commission
an
investigative
report
summarizing
each
background
investigation
of
a
Key
Employee
or
Primary
Management
Official
that
the
Council
intends
to
employ.

(
b)
The
Council
shall
forward
an
investigative
report
to
the
Commission
within
sixty
(
60)
days
after
a
Key
Employee
or
Primary
Management
Official
begins
work
or
within
sixty
(
60)
days
of
the
approval
of
this
Ordinance
by
the
Commission
.

(
c)
Each
investigative
report
shall
include
the
following:

(
i)
the
steps
taken
in
conducting
the
background
investigation
;
(
ii)
the
results
obtained;

(
iii)
the
conclusions
reached;
and
(
iv)
the
basis
for
those
conclusions
.

(
d)
The
Council
shall
submit
to
the
Commission,
along
with
the
investigative
report,
a
summary
of
the
Council's
qualification
determination
made
under
Section
9
above.

(
e)
If
a
Gaming
License
is
not
issued
to
an
applicant,
the
Council
:

(
i)
shall
notify
the
Commission;
and
(
fl
(
ii)
may
forward
copies
of
its
qualification
determination
and
investigative
report
(
if
any)
to
the
Commission
for
inclusion
in
the
Indian
Gaming
Individuals
Records
System.

With
respect
to
Key
Employees
and
Primary
Management
Officials,
the
Council
shall
retain
applications
for
Gaming
Licenses
and
reports
(
if
any)
of
background
investigations
for
inspection
by
the
Chairman
or
his
or
her
designee
for
no
less
than
three
(
3)
years
from
the
date
of
termination
of
employment.
(
g)
A
Gaming
Operation
shall
not
employ
as
a
Key
Employee
or
Primary
Management
Official
a
person
who
does
not
have
a
Gaming
License
ninety
(
90)
days
after
a
license
application
has
been
submitted.

§
11­
3
.
Granting
a
Gaming
License.

(
a)
If,
within
a
thirty
(
30)
day
period
after
the
Commission
receives
an
investigative
report,
the
Commission
notifies
the
Council
that
it
has
no
objection
to
the
issuance
of
a
Gaming
License
pursuant
to
a
license
application
filed
by
a
Key
Employee
or­
a
Primary
Management
Official,
the
Council
may
issue
a
license
to
such
applicant.

(
b)
The
Council
shall
respond
to
a
request
for
additional
information
from
the
Chairman
concerning
a
Key
Employee
or
a
Primary
Management
Official
who
is
the
subject
of
an
investigative
report.
Such
a
request
shall
suspend
the
thirty
(
30)
day
period
under
Subsection
(
a)
above
until
the
Chairman
receives
the
additional
information
.

(
c)
If,
within
the
thirty
(
30)
day
period
described
in
Subsection
(
a)
above,

the
Commission
provides
the
Council
with
a
statement
itemizing
.
objections
to
the
issuance
of
a
Gaming
License
to
a
Key
Employee
or
to
a
Primary
Management
Official
application,
the
Council
shall
reconsider
the
application,
taking
into
account
the
objections
itemized
by
the
Commission.
The
Council
shall
make
the
final
decision
whether
to
issue
a
Gaming
License
to
such
applicant
.

§
11­
4
.
Gaming
License
Suspension
.

­
28­
If,
after
the
issuance
of
a
Gaming
License,
the
Tribe
receives
from
the
Commission
reliable
information
indicating
that
a
Key
Employee
or
a
Primary
Management
Official
is
not
eligible
for
employment
under
Section
9
of
this
Ordinance,
the
Tribe
shall
suspend
such
license
and
shall
notify
in
writing
the
licensee
of
the
suspension
and
the
proposed
eevocation
.
SECTION
12
­
MAINTENANCE
OF
GAMING
FACILITY
§
12­
1
.
The
Council
shall
establish
standards
and
procedures
for
inspection
and
enforcement
by
which
a
Gaming
facility
licensed
under
this
Ordinance
shall
be
maintained
in
a
manner
which
adequately
protects
the
environment
and
the
public
health
and
safety.

SECTION
13
­
USE
OF
NET
REVENUES
§
13­
1
.
Net
Revenues
from
Gaming
permitted
under
this
Ordinance
shall
only
be
expended
for
one
or
more
of
the
following
purposes:

(
a)
to
fund
Tribal
government
operations
or
programs;

(
b)
to
provide
for
the
general
welfare
of
the
Tribe
and
its
members;

(
c)
to
promote
Tribal
economic
development;

(
d)
to
donate
to
charitable
organizations
;
or
(
e)
to
support
operations
of
local
governmental
agencies
.

§
13­
2.
If
the
Council
elects
to
make
per
capita
payments
to
tribal
members,
it
shall
authorize
such
payments
only
upon
approval
of
a
plan
submitted
to
the
Secretary
pursuant
to
25
U
.
S.
C
.
§
2710(
b)(
3)
.
SECTION
14
­
RECORDS
AND
REPORTS
§
14­
1
.
A
Gaming
Operation
shall
keep
permanent
books
of
account
or
records,
including
inventory
records
of
Gaming
supplies,
sufficient
to
establish
the
amount
of
gross
and
net
income,
deductions
and
expenses,
receipts
and
disbursements,
and
other
information
required
in
any
financial
statement,
report,
or
other
accounting
prepared
pursuant
to
the
Act
or
Chapter
III
in
Title
25
C
.
F.
R.

§
14­
2
.
No
later
than
the
twenty­
fifth
(
25th)
day
of
each
month,
each
Gaming
Operator
shall
provide,
in
a
report
form
prescribed
by
the
Council,
a
statement
of
gross
revenues,
Assessable
Gross
Revenue
and
Net
Revenues
received
or
collected
at
each
Gaming
Establishment
during
the
immediate
preceding
month
.
§
14­
3
.
All
papers,
books,
and
records
including
computer
records
of
the
Gaming
Operation
relating
to
licensed
Gaming
activities
shall
be
subject
to
inspection,
examination,
photocopying,
and
auditing
by
the
Council
and
the
Commission's
authorized
representatives
at
any
time
during
reasonable
hours.
All
such
papers,
books,
and
records
shall
be
retained
not
less
than
six
(
6)
years
.
SECTION
15
­
ANNUAL
AUDIT
§
15­
1
.
(
a)
The
Council
shall
cause
to
be
conducted,
at
least
.
annually,
an
independent
audit
of
the
books
and
records
of
each
Gaming
Operation
.

(
b)
Audit
Standards.
The
Tribe
shall
engage
an
independent
certified
public
accountant,
licensed
in
Connecticut,
to
provide
an
annual
audit
of
the
financial
statements
of
each
Gaming
Operation
on
Tribal
Lands
.
Such
financial
statements
shall
be
prepared
in
accordance
with
generally
accepted
accounting
principles
and
the
audit(
s)
shall
be
conducted
in
accordance
with
generally
accepted
auditing
standards
.
Audit(
s)
of
the
Gaming
Operation
required
under
this
Section
may
be
conducted
in
conjunction
with
any
other
independent
audit
of
the
Tribe,
provided
that
the
requirements
of
Chapter
III
in
Title
25
C.
F.
R.
are
met.

(
c)
Copies
of
Audit
Reports.
The
Tribe
shall
submit
to
the
Commission
a
copy
of
the
audit
report(
s)
and
management
letter(
s)
setting
forth
the
results
of
each
annual
audit
within
one
hundred
twenty
(
120)
days
after
the
end
of
each
fiscal
year
of
the
Gaming
Operation(
s)
resulting
from
the
audit(
s)
conducted
pursuant
to
Subsection
(
a)
above.

(
d)
Relationship
of
Audited
Financial
Statements
to
Fee
Assessment
Reports
.
The
Tribe
shall
reconcile
its
quarterly
fee
assessment
reports,
submitted
under
­
32­
25
C.
F.
R.
Part
514,
with
its
audited
financial
statements
and
make
available
such
reconciliation
upon
request
by
the
Commission's
authorized
representative.

§
15­
2
.
All
Gaming
related
contracts
that
result
in
purchases
of
supplies,

services,
or
concessions
for
more
than
Twenty­
Five
Thousand
Dollars
($
25,000)

in
any
year
(
except
contracts
for
professional
legal
or
accounting
services)
shall
be
specifically
included
within
the
scope
of
the
audit
conducted
pursuant
to
this
Section.
.

SECTION
16
­
GROSS
GAMING
REVENUES
§
16­
1
.
The
Gross
Gaming
Revenues
derived
from
Gaming
Operations
are
Tribal
funds
and
may
be
expended
by
a
licensee
whose
authority
is
either
,
delegated
or
provided
for
by
the
Council
in
an
approved
Management
Contract.)

SECTION
17
­
VIOLATIONS
§
17­
1
.
No
person
shall
operate
or
conduct
any
Gaming
activity
in
a
Gaming
Operation
within
the
exterior
boundaries
of
Tribal
Lands
without
a
Gaming
License
issued
by
the
Council
as
required
by
this
Ordinance.

§
17­
2.
No
person
shall
knowingly
submit
false
or
misleading
information
to
the
Commission
or
the
Tribe
in
response
to
any
provision
of
the
Act,
Chapter
III
in
Title
25
C
.
F
.
R
.,
or
a
Tribal
Ordinance
or
Resolution
that
the
Chairman
has
approved
under
Parts
522
or
523
in
Title
25
C.
F.
R
.

§
17­
3.
(
a)
No
Management
Contractor
shall
fail
to
account
­
33­
fully
for
all
moneys
received
or
collected
in
connection
with
Gaming
activities
or
to
file
any
report
required
by
the
Management
Contract
.

(
b)
A
Gaming
Operation
shall
not
refuse
to
allow
an
authorized
representative
of
the
Commission
or
an
authorized
Tribal
official
to
enter
or
inspect
a
Gaming
Operation
in
violation
of
25
C.
F.
R
.
§
571
.5
or
§
571
.6,
or
of
a
Tribal
Ordinance
or
resolution
approved
by
the
Chairman
under
Parts
522
or
523
in
Title
25
C.
F.
R.
'

§
17­
4.
No
person
under
the
age
of
eighteen
(
18)
years
shall
be
employed
by
a
Gaming
Operation
or
shall
otherwise
be
permitted
to
participate
in
any
Gaming
activities.

§
17­
5.
No
person
shall
engage
in
cheating
(
as
that
term
is
defined
in
§
4­
1(
f)
of
this
Ordinance)
in
any
Gaming
activity
or
engage
in
any
fraudulent
conduct
affecting
either
the
Tribe
or
a
customer
of
a
Gaming
Operation
.

§
17­
6
.
No
person,
other
than
an
officer
of
the
Mohegan
Department
of
Law
Enforcement,
may
enter
or
remain
in
a
Gaming
Establishment
licensed
under
this
Ordinance
while
in
the
possession
of
a
firearm
or
other
weapon
.

§
17­
7.
Any
person
who
knowingly
acts
in
concert
with
a
person
who
violates
this
Ordinance
shall
be
deemed
to
be
in
violation
of
this
Ordinance
to
the
same
extent
as
the
violator,
and
shall
be
treated
accordingly.

§
17­
8.
The
Management
Contractor
is
responsible
for
ensuring
that
all
Primary
Management
Officials
and
Key
Employees
assisting
in
the
operation
of
any
­
34­
Gaming
activity
on
the
Management
Contractor's
behalf
comply
with
this
Ordinance
.
A
violation
by
any
such
officials
or
employees,
unless
otherwise
provided
in
an
approved
Management
Contract,
shall,
subject
to
the
contractual
opportunity
to
cure,
be
deemed
a
violation
by
the
Management
Contractor
and
shall
subject
the
contractor
to
civil
enforcement
action
.
It
shall
not
be
a
defense
that
the
Management
Contractor
was
unaware
of
the
violation
.

§
17­
9.
No
person,
whether
playing
in
or
conducting
any
Gaming
activity
authorized
under
this
Ordinance,
shall:

(
a)
use
bogus
or
counterfeit
cards,
or
substitute
or
use
any
game
cards
that
have
been
tampered
with;

(
b)
employ
or
have
on
one's
person
any
cheating
device
to
facilitate
cheating
in
any
Gaming
activity;
or
(
c)
knowingly
cause,
aid,
abet,
or
conspire
with
another
person
or
cause
any
person
to
violate
any
provision
of
this
Ordinance
or
any
rule
adopted
under
this
Ordinance.

§
17­
10
.
A
Gaming
Operation's
facility
shall
be
constructed,
maintained,
and
operated
in
a
manner
that
does
not
threaten
the
environment
or
the
public
health
and
safety.

§
17­
11
.
Alcohol
not
sold
by
the
licensee
to
customers,
and/
or
controlled
substances
(
as
defined
by
federal,
state,
or
tribal
laws)
are
not
to
be
brought
into
­
35­
the
Gaming
Establishment.
All
retail
alcohol
sales
must
comply
with
applicable
tribal
law.

§
17­
12
.
If
the
Management
Contractor
fails
to
correct
violations
within
the
time
permitted
in
a
notice
of
violation
issued
by
the
Chairman
or
within
fifteen
(
15)

calendar
days
after
the
Tribe
provides
notice
of
a
violation,
such
failure
shall
be
deemed
a
further
violation
by
the
Management
Contractor.

SECTION
18
­
NOTICE
OF
VIOLATION
§
_
18­
1
.
The
Council
may
issue
a
notice
of
violation
to
any
person
for
violation
of
any
provision
of
this
Ordinance.

§
18­
2
.
A
notice
of
violation
shall
contain:

(
a)
a
citation
to
the
Ordinance
provision
that
has
been
or
is
being
violated
;

(
b)
a
description
of
the
circumstances
surrounding
the
violation,
set
forth
in
common
and
concise
language;

(
c)
measures
required
to
correct
the
violation;

(
d)
a
statement
that
the
violation
must
be
corrected
within
five
(
5)
calendar
days
from
the
date
the
notice
was
issued,
providing
that
a
violation
which
threatens
the
public
health
or
safety
or
the
integrity
of
the
Gaming
process
may
require
correction
in
a
shorter
period
;

(
e)
a
statement
of
the
alleged
violator's
rights
of
appeal;
and
(
f)
the
amount
of
civil
penalties,
if
any,
that
the
alleged
violator
must
pay
pursuant
to
Section
19,
below.

SECTION
19
­
CIVIL
PENALTIES
§
19­
1
.
In
issuing
a
notice
of
violation
under
Section
18
of
this
Ordinance,
the
Council
may:

(
a)
impose
a
penalty
not
to
exceed
Five
Hundred
Dollars
($
500)
for
each
violation
and,
if
such
violation
is
a
continuing
one,
for
each
day,
that
the
violation
occurs;
and/
or
(
b)
impose
a
penalty
of
One
Hundred
Dollars
($
100)
per
day
for
failure
to
submit
to
the
Council
any
report
required
under
this
Ordinance
when
it
is
due,
and
One
Thousand
Dollars
($
1,000)
per
day
for
failure
to
file
any
such
report
after
three­
day
notice
and
demand,
provided
that
if
the
person
to
whom
the
notice
of
violation
is
issued
appeals
the
notice,
the
Council
may
stay
the
imposition
of
such
penalties
pending
the
resolution
of
the
appeal.
§
19­
2
.
How
assessments
are
made.
.

The
Council
shall
review
each
notice
of
violation
to
determine
whether
a
civil
fine
will
be
assessed,
the
amount
of
the
fine,
and,
in
the
case
of
a
continuing
violation,
whether
such
daily
violation
will
be
deemed
a
separate
violation
for
purposes
of
the
total
civil
fine
assessed.

§
19­
3
.
Procedures
for
assessment
of
a
civil
fine:

(
a)
within
five
(
5)
calendar
days
after
service
of
a
notice
of
violation,
the
alleged
violator
shall
submit
written
information
about
the
violation
and
any
corrective
measures
undertaken
to
Council.
The
Council
shall
consider
any
information
so
submitted
in
determining
the
facts
surrounding
the
violation
and
the
amount
of
the
civil
fine
;

(
b)
the
Council
shall
serve
a
copy
of
the
proposed
assessment
on
the
alleged
violator
within
ten
(
10)
calendar
days
after
the
notice
of
violation
was
issued,
when
practicable
;
and
(
c)
the
Council
may
review
and
reassess
any
civil
fine
if
necessary
to
consider
facts
that
were
not
reasonably
available
on
the
date
of
issuance
of
the
proposed
assessment.

§
19­
4.
Final
assessment:
(
a)
if
the
alleged
violator
fails
to
request
a
hearing
as
provided
in
§
21
of
this
Ordinance,
the
proposed
civil
fine
assessment
shall
become
a
final
order
of
the
Council;

(
b)
civil
fines
assessed
under
this
Section
shall
be
paid
by
the
person
assessed
and
shall
not
be
treated
as
an
Operating
Expense
of
the
Gaming
Operation;
and
(
c)
the
Council
shall
transfer
civil
fines
paid
under
this
Ordinance
to
the
Secretary­
Treasurer
of
the
Tribe
for
deposit
into
the
Tribal
Treasury.

SECTION
20
­
ENFORCEMENT
§
20­
1
.
The
Council
shall
take
any
one
or
a
combination
of
the
following
actions
with
respect
to
any
person
who
violates
any
provision
of
this
Ordinance:

(
a)
suspend
or
revoke
any
Gaming
License
issued
by
Council;

(
b)
bring
an
action
in
a
court
of
competent
jurisdiction
for
imposition
of
one
or
more
of
the
following
sanctions
:

(
i)
seizure
of
any
Gaming
apparatus,
.
proceeds,
or
other
property
of
a
licensee
connected
with
the
Gaming
activities
engaged
in
by
the
licensee
;
(
ii)
collection
of
any
unpaid
fees,
interest,
penalties,
and
of
any
civil
fines
unpaid
after
thirty
(
30)
calendar
days;
or
.

execution
on
any
nonexempt
property
of
a
violator
located
within
the
exterior
boundaries
of
Tribal
Lands,
or
(
c)
refer
the
matter
to
arbitration
under
the
procedures
set
forth
in
a
governing
Gaming
management
agreement.

§
20­
2.
Civil
actions
may
be
brought
by
the
Council
pursuant
to
this
Ordinance
in
any
court
of
competent
jurisdiction
to
enforce
the
imposition
of
any
and
all
sanctions
provided
for
under
this
ordinance.

§
20­
3.
Before
taking
any
action
authorized
in
§
19
and
§
20­
1
of
this
Ordinance,
the
Council
shall
use
its
best
efforts
to
notify
the
alleged
violator,
in
person
or
by
letter
delivered
to
his/
her
last
known
address,
of
the
charges
against
him/
her,
and
allow
the
alleged
violator
an
opportunity
for
a
prompt
hearing.
If
the
alleged
violator
fails
to
respond,
or
cannot
be
found,
the
Council
may
proceed
with
a
hearing
notwithstanding,
and
take
such
action
as
it
deems
appropriate.
Said
notice
of
the
alleged
violation
shall
be
served
at
least
three
(
3)
business
days
prior
to
the
hearing.

§
20­
4
.
Every
person
who
applies
for
a
Gaming
License
and
accepts
such
license
thereby
acknowledges
the
civil
enforcement
jurisdiction
and
authority
of
the
Council
under
this
Ordinance
to
order
an
execution
on
his/
her
nonexempt
­
40­
property,
the
suspension
or
termination
of
his/
her
further
conduct
of
Gaming
activities
and
the
seizure
of
his/
her
Gaming
equipment
or
proceeds
or
other
,
property,
upon
a
proper
finding
of
the
Council
or
the
court
that
the
person
has
violated
a
provision
of
this
Ordinance,
despite
lack
of
actual
notice,
provided
that
the
Council
has
used
its
best
efforts
to
notify
the
person,
in
person
or
by
letter
delivered
to
his/
her
last
known
address
.

SECTION
21
­
HEARINGS
AND
APPEALS
§
21­
1
.
This
Section
provides
procedures
for
appeals
to
the
Council
regarding
:

(
a)
a
violation
alleged
in
a
notice
of
violation;
and
(
b)
civil
fines
assessed
by
the
Council
in
this
Ordinance
.

§
21­
2
The
Council
shall
hold
a
hearing
on
the
proposed
revocation
of
a
Gaming
License
held
by
a
Primary
Management
Official
or
Key
Employee
after
it
has
suspended
such
license
pursuant
to
25
C.
F.
R.
§
558.5.
The
licensee
shall
be
notified
by
the
Council
of
the
time
and
place
for
hearing.
After
the
hearing,
the
Council
shall
decide
to
revoke
or
reinstate
the
Gaming
License.
The
Tribe
shall
notify
the
Commission
of
its
decision
.

§
21­
3.
Any
licensee
paying
a
civil
fine
or
penalty
for
any
violation
enumerated
in
this
Ordinance
because
of
excusable
neglect
may
petition
the
Council
for
a
partial
or
full
waiver
of
suit,
fine,
or
penalty
.
The
petition
shall
be
filed
within
thirty
(
30)
business
days
after
the
payment
was
made
.

§
21­
4
.
Any
person
aggrieved
by
a
decision
made
or
action
taken
by
the
Council
without
notice
and
opportunity
for
hearing
to
the
aggrieved
person,
may
petition
the
Council
for
a
hearing
and
reconsideration.
The
petition
shall
be
filed
within
thirty
(
30)
business
days
after
the
petitioner
knew
or
should
have
known
of
the
decision
or
action
.
The
Council
shall
grant
a
prompt
hearing
upon
receiving
such
a
petition,
and
shall
reconsider
its
decision
or
action,
affirm,
modify,
reverse
and/
or
vacate
the
Council's
order
in
light
of
what
is
presented
at
a
hearing.

§
21­
5.
Any
person
aggrieved
by
a
decision
made
or
action
taken
by
the
Council
after
notice
and
opportunity
for
hearing
may
petition
the
Council
for
review.
Such
petition
shall
specifically
set
forth
the
reasons
for
aggrievement
and
be
filed
with
the
Council
no
later
than
thirty
(
30)
business
days
after
the
Council's
decision
or
action
.
The
Council
shall
set
the
matter
for
hearing
no
later
than
thirty
(
30)

business
days
and
no
sooner
than
three
(
3)
business
days
after
receipt
of
the
petition,
and
may,
upon
establishing
that
it
has
jurisdiction,
affirm,
modify,

reverse
and/
or
vacate
the
Council's
order.

§
21­
6
.
Upon
the
Council's
finding
of
a
violation
by
a
party
to
a
federally­
approved
Gaming
Management
Contract,
that
person
may
invoke
the
dispute
resolution
procedures
of
that
contract
before
any
liabilities
are
effective
.
SECTION
22
­
SERVICE
§
22­
1
.
The
Chairman
of
the
Mohegan
Tribe,
27
Church
Lane,
Uncasville,

Connecticut
06382,
is
hereby
designated
as
the
Tribe's
agent
for
service
of
any
official
determination,
order,
or
notice
of
violation
by
the
Commission
;
proyided
that
the
Council
may
change
such
designation
by
resolution
provided
to
the
Commission
with
copies
to
the
Tribe's
Management
Contractor
.

§
22­
2
.
A
Management
Contractor
or
a
Tribal
operator
shall
designate
by
written
notification
to
the
Commission
an
agent
for
service
of
any
official
determination,

order,
or
notice
of
violation
.

SECTION
~
23
­
RESOLUTION
OF
DISPUTES
BETWEEN
MANAGEMENT
CONTRACTOR
OR
TRIBE
AND
CUSTOMERS
§
23­
1
.
Notice
of
warning
regarding
the
improper
conduct
set
out
in
§
23­
2
of
this
Ordinance
or
other
Gaming
rules
established
and
enforced
by
the
Gaming
Operation
shall
be
posted
at
the
entrance
of
each
Gaming
Establishment
and/
or
given
to
the
customer
upon
entering
the
premises.
,

§
23­
2.
The
following
improper
conduct
shall
result
in
ejection
of
a
customer
from
any
Gaming
Establishment:
(
a)
cheating
;

(
b)
possession
of
weapons
in
the
Gaming
Establishment
;

(
c)
possession
of
alcohol
that
has
been
brought
by
a
customer
into
the
Gaming
Establishment;

(
d)
possession
of
a
controlled
substance
in
the
Gaming
Establishment
;

(
e)
disorderly
conduct,
including
the
willful,
or
wanton
disregard
for
the
rights
of
others;
and
(
f)
any
other
act
which
is
disruptive
to
the
Gaming
Operation
.

§
23­
3.
Failure
by
a
customer
to
provide
proof
of
age
when
requested
by
Gaming
Operation
personnel
shall
result
in
ejection
of
the
customer
from
the
premises
but
the
admission
fee
shall
be
refunded
.

§
23­
4
.
Ejection
of
a
customer
shall
be
accomplished
by
the
Mohegan
Department
of
Law
Enforcement,
upon
request
of
the
Gaming
Operation.

§
23­
5
.
(
a)
Either
the
Employee
Manager
or
management
contractor
of
the
Gaming
Operation
or
an
alternate
designated
by
either
shall
be
present
at
all
times
to
resolve
complaints
by
customers
involving
the
operation
of
bingo
and
other
Class
II
Games
at
the
establishment
.

(
b)
If
the
Employee
Manager
or
Management
Contractor
or
their
alternates
are
unable
to
resolve
any
dispute,
as
provided
in
(
a)
the
matter
may,
upon
request
of
the
customer,
be
referred
to
the
Council
for
resolution
.
Action
by
the
Council
may
be
initiated
by
making
a
written
request
to
the
Legal
Department
of
the
Mohegan
Tribe,
27
Church
Lane,
Uncasville,
Connecticut
06382
.
The
decision
of
the
Council
on
any
dispute
so
referred
to
it
for
resolution
shall
be
final.

SECTION
24
­
APPLICABLE
LAW
§
24­
1
.
All
controversies
involving
contracts
relating
to
Gaming
entered
into
under
the
authority
of
the
Council
on
Tribal
Lands
shall.
be
resolved,
as
appropriate,
in
accordance
with
:
­
(
a)
the
Indian
Gaming
Regulatory
Act;

(
b)
National
Indian
Gaming
Commission
Regulations
;

(
c)
the
laws
of
the
Tribe;
and
(
d)
if
no
Tribal
laws
exist,
the
laws
of
the
State
of
Connecticut,
which
are
incorporated
herein
by
reference.
§
24­
1
.
To
the
extent
that
the
provisions
of
any
Tribal­
State
Compact
entered
into
by
the
Mohegan
Tribe
and
the
State
of
Connecticut
are
inconsistent
with;
any
provisions
of
this
Ordinance,
the
provisions
of
the
compact
shall
govern
Class
III
Gaming
on
Mohegan
Tribal
Lands.

SECTION
25
­
SAVINGS
PROVISION
§
25­
1
.
If
any
provision
of
this
Ordinance
or
the
application
thereof
to
any
person
or
circumstance
is
held
invalid,
the
invalidity
shall
not
affect
other
provisions
or
applications
of
the
Ordinance
which
can
be
given
effect
without
the
invalid
provisions
or
application,
and,
to
this
end,
the
provisions
of
this
Ordinance
are
severable.

SECTION
26
­
EFFECTIVE
DATE
§
26­
1
.
This
Ordinance
shall
be
effective
immediately
upon
approval
by
appropriate
governmental
authority
.
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MOBEGAN'TZiIBAL
GAMING
AUTHORITY
§
L
Establishment
The
Mohegan
Tribal
Gaming
Authority
is
hereby
established
by
the
Mohegan
1995,
pursuant
to
and
consistent
with
Article
)=
of
Tribal
Council
on
1
.5"

the
Mohegan
Constitution,
and
authorized
to
exercise
aU
governmental
and
proprietary
powers
of
the
Mohegan
Tribe
over
development,
construction,

operation,
promotion,
financing,
regulation
and
licensing
of
gaming,
and
any
associated
hotel,
associated
resort
or
associated
entertainment
facilities;
on
tribal
lands
.
The
authority
hereby
assumes
all
obligations,
responsibilities
and
duties
of
the
Mohegan
Tribe
under
Gaming
law
existing
at
the
date
of
enactment
of
this
Ordinance.

§
2.
Name,
location
and
place
of
business
(
a)
Mohegan
Tribal
Gaming
Authority.

(
b)
The
principal
place
of
business
and
the
office
of
the
Authority
shall
be
in
Montville,
Connecticut.
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~~
bU
1
I
DO
r
(
c)
The
Authority
may
also
have
offim
at
such
other
place
or
places
as
the
Manage,
m.
ent
Board
may
from
time
to
time
direct,
or
as
the
operation
of
the
Audrority
may
require.

§
3.
Definit3oas
"
Associated
development"
means
any
and
all
development
associated
with
or
relating
to
the
Enterprise
in
furtherance
of
the
purposes
and
policies
enunciated
in
the
Mohegan
Constitution
Artide
XIII,
the
Tribal
Gaming
Ordinance,
Ordinance
No,
941,
and
Tribal
Resolution
No.
94­?/
282.

"
Collateral
Documents"
means
the
documents
defined
as
Collateral
Documents
in
the
Financing
Agreements.

"
Enterprise"
means
the
"
Enterprise"
as
defined
in
the
Management
Agreement,
and
any
and
all
other
gaming
related
development
operated
pursuant
to
the
Indian
Gaming
Regulatory
Act,
including
but
not
limited
to
related
retail
sales,
associated
hotel,
resort
or
entertainment
facilities.

"
Gaming"
means
Gaming
as
that
term
is
defined
in
Article
XIII,
section
1
of
.
_
the
Constitution
of
the
Mohegan
Tribe
of
Indians
of
Connecticut
"
Gaming
Disputes
Court"
means
the
Gaming
Msputes
Court
created
pursuant
to
Article
XIII
of
the
Mohegan,
Constitution.
rKUJj
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rn
I
nnLticn
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psgt
3
"
Management
Company"
shall
be
that
company
selected
pursuant
to
the
"
Financing
Agreements"
shall
mean
the
F'uuancing
Agreements
as
defined
in
the
Mana~
ement
Agreement.
­­

Manageutient
Agreement
between
the
Tribe
and
Trading
Cove
Associates.

the
Hotel/
Resort
Management
Agreement
between
the
Tribe
and
Trading
Cove
Associates
as
executed
on
July
28,
1994,
and
as
amended
June
1995,
and
as
may
be
amended
and
restated
from
fame
to
time.
­" ­­­­
ended
J~
e
Ir,
1995
and
as
may
be
amended
and
restated
from
time
to
time,
or
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q
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4­

"
Mutag,
ement
Agreements"
is
the
Gaming
Facility
Management
Agreement
etween
the
Tribe
and
Trading
Cove
Associates,
as
executed
on
july
28,
1994,
and
as
'
Maznager"
shall
be
the
Manager
as
defined
in
the
Management
Agreement
I
"
Regulatory
staff
of
the
Director
of
Regulation"
is
the
group
of
persons
selected
by
the
Director
of
Regulation
of
conduct
background
investigations
of
applicants
for
gaming
licenses,
issue
or
revoke
gaming
licenses,
and
enforce
such
regulations
as
the
Director
of
Regulations
may
from
time
to
time
promulgate.

§
4.
Purposes
(
a)
Gencral.
The
purposes
for
which
the
Mohegan
Tribal
Gaming
Authority
is
organized
are
as
follows:
l
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(
1)
To
developt
operate,
maintain,
proamote,
construct,
and
regulate
the
Enterprise
and
associated
developanent
on
the
MQhe.
gan
Reservation,
and
to
have
custody
of,
inventory,
and
b
°
hold
all
assets
of
that
Enterprise
and
associated
development
on
beltaff
of
the
Mohegan
Tribe­
Provided
however
the
Authority
shall
have
no
power
to
retain
distributed
net
revenues:
and
provided
further
that
the
Authority
may
receive
and
expend
any
funds
appropriated
to
it
by
the
Tribal
Council.
All
net
revenues
shall
be
distributed
as
provided
by
the
Fmanring
Agreements,
the
Collateral
Documents
and
the
Management
Agreements­)

(
2)
To
carry
out
the
purposes
and
intent
of
the
Indian
Gaming
Regulatory
Act,
25
US­
C.
§
2701,
et
seq.
(
Pub.
L.
No.
100­
497)
and
of
the
Moh,
egan
Tribal
Gaming
Ordinance,
No.
94­
1,
adopted
pursuant
to
that
Act,
as
either
that
Act
or
that
Ordinance
ma.
Y
be
amended
from
time
to
time.

(
3)
To
negotiate
with
state
aad
local
governments
and
private
entities,
and
to
enter
into
and
implement
contracts
in
furtherance
of
the
development,
Operation,
maintenance,

promotion,
construction,
and
regulation
of
the
f:
nterprise
and
.
Associated
development.

(
¢
)
To
provide
a
fair
return
to
the
Tribe
on
its
investment
consistent
with
the
development
and
operation
of
a
legal
and
profitable
Gaming
Enterprise,
the
terms
of
any
applicable
management
or
laUw
tlVbbb
bInnub
ur.
An
it
nnLKcn
I'sge
5
tevirI
uo.
u
i
yj
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:
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1.
UV
.
a%)
i
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o,
ruu
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i
yJqu
r
V
financing
agreements
and,
where
pracdical,
with
the
employment
of
mmbers
of
the
Mohegan
Tribe
in
the
operation
of
the
Enterprise.

(
5)
To
raise
the
financing
for
the
activities
and
purposes
of
the
Authority
set
forth
in
this
Ordinance.

(
b)
Ancillary
.
To
do
everything
necessary,
proper,
advisable,
or
convenient
for
the
accomplishment
of
the
purposes
for
which
the
Authority
is
established
pursuant
to
Article
XIII,
and
to
do
all
things
incidental
thereto
or
connected
therewith.
I
§
5.
Management
Board;
establishment;
duties
and
powers
(
a)
Establishment.
There
is
hereby
established
a
Management
Board
of
the
Mohegan
Tribal
Gaming
Authority
the
Purpose
of
,
which
is
to
carry
out
the
duties
and
powers
set
forth
herein.

(
b)
Exercise
of
powers
by
Management
Board.
Subject
to
applicable
Federal
and
Tribal
Laws
and
Regulations,
the
Management
Board
shall
exercise
the
following
powers
and
duties­

(
1)
The
Management
Board
of
the
~
Mohegan
Tribal
Gaming
.
Authority
is
hereby
delegated
full
and
complete
authority
and
r(
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nv0ck)
o
Innuo
ur.
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a
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r
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u
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y3
uy
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:
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J)
ou
r
ly34d
r
responsibility
of
the
T
.
al
Council
and
the'
Tribe
for
the
development,
operation,
management,
promotion
and
construction
of
the
Prop,
the
Enterprise
and
all
associated
development.
'

(
2)
The
lvianagement
Board
is
authorized
to
implement
the
policies
.

and
purposes
set
forth
'~
Article
7X
of
the
Mohegan
Constitution,
the
Tribal
Gaming
Ordinance,
Mohegaa
Ord.
94­
1,

and
Resolution
No.
94­
/
282,
and
this
Ordinance,
and
to
ex~
eraise
the
powers
set
forth
in
3ubsection
(
c)
below
without
any
further
authorization
or
subseq~
ent
approval
by
the
Tribal
Council
or
the
Tribe.
All
parties
d~
aling
with
the
Authority
shall
have
the
right
to
rely
upon
any
4ction
taken
by
the
Manageme.
rnt
Board
on
behalf
of
the
Tribe;
ro
ided
however,
tha
the
Management
oard
shall
not
have
th~
power
or,
authority
or
responsibility
to
exercise
regulatory
funktions,
including
conducting
background
i
.
checks,
issuing
and
revbking
licenses
.

(
3)
The
Management
Eoar~
shall
be
responsible
for
selection
of
Tribal
representatives
I
the
Business
Board
of
the
Enterprise
as
established
by
the
gement
Agreement
and
shall
be
.
responsible
for
establis
'
g
tribal
policies
to
be
implemented
by
the
Tribal
representati
e
to
the
Business
Board;
provided
howeverManage
ent
Board
shall.
not
have
direct
control
or
responsibility
over
~
e
e=
ployees
of
the
Enterprise.
i
FROM
HOBBS
STRAUS
DEAN
&
WALKER
par
~

i
(
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09
0
1~
95
09
:
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ST.
09
:
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3y6U
(
19346
P
8
(
4)
The
Management
Board
shall
exerc.,
ibe
its
powers
ia
the
best
inuParests
of
the
Mohegan
Tnbe
withirn
the
limits.
of
,
riesponsilie
business
judgment.
.
.

(
g)
The
Management
Board
shall
adopt
such
rules
as
it
may
determine
necessary
for
the
orderly
conduct
of
its
business:

(
6)
Minutes
of
each
meeting
shall
be
kept
by
the
Secretary
and
be
made
available
promptly
after
each
meeting
to
the
Tribal
Council.,
and
to
such
other
officials
as
inay
be
designated
from
time
to
time
.

(
7)
Members
shall
be
reimbursed
for
expenses
incurred
in
attending
its
meetings
or
in
furtherance
of
business
objectives
and
the
Management
Board
may,
at
its
discretion,
propose
a
fee
to
be
paid
to
its
members
(
subject
to
approval
by
the
Tribal
Council)

on
a
per­
meeting
attended
or
an
annual
basis
.

(
8)
The
Chairman
of
the
Management
Board
shall
make
a
formal
report­
to
the
Tribal
Council
not
less
often
than
each
quarter,
and
in
each
annual
report,
shall
include
a
sumnaary
of
the
budget
.,
which
the
Management
Board
has
approved
for
the
coming
fiscal
year.

(
9)
No.
member
of
the
Management
Board
may
vote
on
any
matter
before
the
Management
Board
in
which
such
member
has
a
FROM
UBUs
SIluus
ULnN
I
rrALLErc
i
IJtUNI
UtL
U
1
0
Uy
:
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I
.
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:
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bU
(
19440
r
y
financial
interest
directly
or
Wdirectly
which
is
specific
and
,
peculiar
to
that
member.

(
I0)
The
Management
Board
shall
appoint
a
Director
of
Regulation
.
who
shall
perform
the
gaming
regulatory
functions
of
the
Tribal
Government
as
set
forth
in
Ordinance
N
94­
1.
)
The
Director
of
Regulation
and
all
regulatory
staff
shall
act
independently
of
the
Management
Board,
and
pertaining
to
all
f
regularly
required
duties
of
the
Tribe
pursuant
to
the
IGRA
and
the
Compact,
shall
have
the
duty
of
conducting
background
checks,
issuing
and
revoking
licenses
and
generally
overseeing
the
integrity
of
the
gaming
operation
through
promulgatiorn
and
enforcement
of
appropriate
regulations
pursuant
to
the
relevant
Federal,
and
Tribal
laws
and
the
Tribal­
State
Compact
between
the
Mohegan
Tribe
and
the
State
of
Connecticut­

(
c)
Enumerated
powers.
The
Management
Board
shall
have
the
following
powers:

(
1)
Facilities
.
The
Management
Board
shall
have
the
full
authority
of
the
Tribe
with
respect
to
the
development,
operation,

..,
management,
promotion,
and
construction
of
all
gaming
facilities,
utilities
and
associated
resoiit
property
owned
by
the
Mohegan
Tribe,
including
such
expansion
and
enlargements
thereof
as
shall
be
authorized:
for
the
planning,
construction
and
operation
of
additional.
Gaming
and
Associated
facilities
y,
IIa
IYN.
r
..

rag~
e
9
,
N.
..
1
.1
vv.
v
i
av
v
..
.
vvi
.
.1
.
vO
.
vvi
nv.
,
rdvv
i
i
w4v
i
IV
inclurding
the
negotilLtion
and
execitioti
'
of
developatem
and
construction
contracts
and
for
taking
of
any
and
all
usual,

necessary
actions
incident
thereto
including,
should
it
be
deemed
advisable
or
desirable,
the
borrowing
of
funds,
and
the
maldng
of
contracts
or
commitments
necessary
to
the
functioning
of
the
organization.

(
2)
To
appoint
officers
and
agents
.
To
select
agents,
auditors,
and
such
professional
consultants
as
in
the
opinion
of
the
Manageanent
Board
may
be
needed
from
time
to
time,
and
to
define
their
duties
and
fix
their
compensation;
provided,

however,
that
the
selection
of
a
Director
of
Regulation
and.
of
Business
Board
representatives
shall
be
approved
by
the
Tribal
Council.

(
3)
To
act
as
agent.
To
act
in
any
state,
territory,
district,
or
possession
of
the
United
States,
or
in
any
foreign
country
for
and
on
behalf
of
the
Tribal
Enterprise
.

(
4)
To
deal
in
real
property.
To
negotiate
the
acquisition
of
(
by
purchase,
exchange,
lease,
hire
or
othwrwfse),
utilize,
improve,

.
manage,
operate,
and
to
negotiate
the
lease,
or
mortgage
of,

either
alone
or
in
conjunction
with
others,
real
estate
of
every
ldnd,
character
and
description
and
any
interest
therein,

necessary
or
incidental
to
the
purposes
set
forth
in
Article
)=
of
the
Mohegan
Constitution,
Mohegan
Tribal
Ord.
No.
94­
1
and
rnvrt
nvcoa
atdnua
uann
ec
nnIACn
pagel0
~
teM
ua
uI
yJ
UV
.
wia1.
VV
:
a%)
inv
.
OJuui
iy0yu
I
Tribal
Resolution
No.
9
¢
7/
282
except
as
prohibited
by.
Tniba!
or
Federal
law.

(
5)
To
deal
in
pcnsorcal
property,
genadly.
To
acquire
(
by
purchase,

exchange,
lease,
hire
or
otherwise),
hold,
own,
manage,
o'Perate,

mortgage,
pledge,
hypothecate,
exchaage,
sell,
deal
in
and
dispose
of,
either
alone
or
in
conjunction
with
others,
personal
property,
and
interests
therein
and
comatodities
of
every
kind,

character
and
description
necessary
or
incidental
to
the
purposes
set
forth
in
Article
XIII
of
the
Mohegan
Constitution,
Ord.
No.

94­
1,
and
Tribal
Resolution
No.
94­
7/
282­

(
6)
To
deal
in
inventions,
copyrights,
and
trademarks.
To
acquire
(
by
application,
assignment,
purchase,
exchange,
lease,
hire
or
otherwise),
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,
improvements,
letters
patent
and
applications
therefor,
licenses,
formulas,
privileges,

processes,
copyrights
and
applications
therefor,
trademarks
and
applications
therefor,
and
trade
names,
and
that
title
of
all
such
acquisitions
shall
be
taken
in
the
name
of
the
Ivfohegan
Tribe
of
Indians
of
Connecticut.

(
7)
Depository.
To
designate
and
approve
all
depositories
used
for
the
deposit
of
funds
o
£
the
Enterprise.
raur
nvnoD
DiaMa
ULAN
e
nni.
Mn
page
il
/
MR)
UM
ui
V
UV
:
V/
61­
uy
:
sJ/
nu.
NOW
iy34o
r
lie
(
8)
To
=
LL.
coatracts.
:
To
eAter
into,
maker
Perform
and
carry
out
or
cancel
and
resdnd,
contracts'
for,
any
lawful
puipose
,
pertaining
to
its
business
necessary
or
incidental
to
the
purposes
set
forth
in
Article
=
of
the
Drtohegan
Constitution,
Or+
duuue
No.
94­
1
and
Resolution
No.
94­
7/
282,
imcluding
the
negotiation
of
contracts
subject
to
25
US.
C
§
81,
which
shall,
as
therein
provided,
become
effective
only
upon
the
approval
of
the
Secretary
of
the
Interior
or
the
Chairman
of
the
National
Indian
Gaming
Commission,
as
appropriate.

(
9)
To
approve
budgets.
To
give
initial
approval
to
annual
Enterprise
budgets
subject
to
approval
of
the
Tribal
Coundl.

(
10)
Limited
Waiver
of
sovereign
immunity.
To
grant
limited
waivers
of
sovereign
immunity,
to
the
extent
permitted
by
Article
X331
of
the
Mohegan
Constitution,
including
the
waivers
of
sovereign
immunity
contained
in
the
Financing
Agreements,

the
Collateral.
Documents,
and
the
Management
Agreement.

(
1.1)
To
stipulate
for
judgment
as
provided
by
Article
XIII
of
the
.
(
12)
To
delegate
or
assign
any
or
all.
of
its
authority
and
responsibility
for
the
development,
operation,
management,
promotion
\
and
construction
of
the
Enterprise
and
any
and
a11
associated
development
to
the
Manager
pursuant
to
tlie
terms
of
the
Mohegan
Constitution
.
rava
nvnuJ
0ipnvS)
ue.
nn
a
IMIAnan
pAV72
r
%
evnI
uo.
uI
y%
I
uy
.')
1/
0
1
.
uy
.,).)
iIrv.
OduuI
iy')
qu
r
~
o
management
Agreement,
provided
that,
the
Management
Board
shall
not
retain
any
such
authority
or
responsibility
which
is
delegated
to
the
Manager
in
the
Management
Agreement.

(
d)
Ancillary
powers.
To
have
and
vaercise
all
powers
necessary
or
.

convenient
to
effect
any
or
all
of
the
purposes
for
which
the
Authority
is
organized.

(
e)
No
construction
of
powers
as
purposes.
The
powers
enumerated
herein
shall
not
be
construed
as
purposes
but
the
Ivfohegan
Tribal
Gaming
Authority
shall
have
and
exercise
such
powers
solely
in
furtherance
of
but
not
in
addition
to,
the
limited
purposes
set
forth
in
this
ordinance.

§
6.
Business
Board
Representatives:
functions;
duties
(
a)
The
Business
Board
Representatives
shall
be
selected
by
the
Management
Board
to
represent
the
Authority
On
the
Business
Board
established
by
the
Management
Agreement.

(
b)
The
Business
Board
Representatives
shall,
together
with
the
Manager's
I
Representatives
to
the
Board,
oversee
the
operation
of
the
Gaming
Enterprise
in
accordance
with
the
provisions
of
the
Management
Agreement.
~/
Pf
a
e'\

Wj
4,
h'KUII
HUM
S~
i
tUUS
uW
I
rinLLEn
/
ftV
13
uaunj
UM
ul
yi
uy
:
31/
6)
j
.
uy
:
jainv.
JJVVIt
yJ9v
1
144
(
c)

(
d)

(
e)

r
Repr.
esentadves
sha11
exerdse
their
best
jtisdga~
e=
tt
The
Business
Board
in
the
Consideration,
of
all
business
decisiM,
and
UL
the
effedua.
tfon
of
the
generai
policties
determined
by
the
Management'
Board
and
the
Executive
Committee
thereof.

The
Business
Board
Representatives
shall
report
semi­
monthly
to
the
Exectitive
Committee
and
may
call
Spe
°
al5essions
of
the
Executive
Committee
to
review
proposals
under
consideration
by
the
Business
Board.

The
Business
Board
Representatives
shall
be
reimbursed
for
any
personal
expenses
they
may
incur
in
carrying
out
his
or
her
responsibilities
.

§
7.
IndemmificaEion
of
officers,
employees
and
members
of
the
Authority.

The
Authority
shall
indemnify
any
officer,
employee
or
member
of
the
Authority
or
former
officer,
employee
or
member
of
the
Authority,
or
any
person
who
may
have
served
at
its
request
as
an
officer,
employee
or
member
of
the
Authority,

against
reasonable
expenses
actually
and
necessarily
ixtcurred
by
that
person
in
connection
with
the
defense
of
any
action,
suit
or
proceeding
in
which
that
person
is
nude
a
party
by
reason
of
being,
or
having
been
such
officer,
employee
or
member
of
the
Authority
except
in
relation
to
matters
as
to
which
that
person
shall
be
adjudged
in
such
action,
suit
or
proceeding
to
be
liable
for,
negligence
or
misconduct
in
the
performance
of
duty;
or
except
in
relation
to
matters
in
which
such
employee
rKUII
tiuuts5
S'fKAUS
llh:
M1
It
ttltLUK
,
P&
vl4
(
VON)
UN.
U
1
95
Uy
:
J
f/
ST.
09
:
33/
N0.
396U
(
1930
Y
15
was
acting
beyond
the
scope
of
his
employment.
The
Authority
shall
also
­
reimburse
to
any
officer,
employee
or
member
of
the
Authority
reasonable
costs
of
seitlements
of
any
such
action,
suit
or
proceeding
if
it
shall
be
found
by
a
majority
of
the
Manag~
aeat
Board
other
than
members
involved
in
the
matter
of
controversy
(
whether
or
not
a
quorum
exists),
that
it
is
in
the
best
interest
of
the
Mohegan
Tribal
Gaming
Authority
and
the
Mohegan
Tribe
that
such
settlement
be
made
and
that
such
officer,
employee
or
member
of
the
Management
Board
was
not
guilty
of
negtigenm
or
misconduct,
or
acting
beyond
the
scope
of
his
employment
Such
rights
of
indeauaification
and
reimbursement
shall
not
be
deemed
exclusive
of
any
other
rights
which
such
officer,
employee,
or
member
of
the
Management
Board
may
be
entitled
to
receive.

§
8.
Membership
of
Management
Board;
qualification;
term
of
office
The
Management
Board
shall
consist
of
all
members
of
the
Tribal
Council.
In
addition
thereto,
there
shall
be
two
non­
voting
advisory
members
who
shall
have
experience
in
business
management
and
shall
have
no
financial
interest
in,
nor
be
an
employee
of,
the
Enterprise.
These
non
voting
­
members
shall
be
chosen
by,
and
shall
serve
at
the
pleasure
of,
the
Tribal
Council..

§
9.
Meeting
of
Management
Board
(
a)
Annual
meeting.
The
annual
meeting
of
the
Management
Board
shall
be
held
at
7:
00
p.
m.
on
the
second
Tuesday
of
October
at
the
principal
raun
nubua
blnnO
ur.
nn
I
nni.
tian
IYUNIUa
U(
0
Uy
:
Jn/
bi.
Uy:
JS/
NU.
J)
bUlly34b
V
Ib
I
pap;
e'is
place
of
business,
or
at
such
other
place
as
the
Board
shall
fix,

commendng
with
199S.
The
Executive
Committee
shall
provide
notice
of
the
annual
meeting
at
least
30
days
in
advance
to
all
members
of
the
Mamageaant
Board,
and
shall
cause
such
notice
to
be
posted
at
the
Board's
office
and
such
locations
as
the
Managernent
Board
may
fix
(
b)
Regular
meetings.
The
Management
Board
shall
meet
at
least
semi­
monthly
upon
notice
fixing
the
time
and
place.

(
c)
Special
meetings.
Special
meetings
of
the
Management
Board
may
be
called
by
the
Chairman.

(
d)
Notice.

(
1)
Notice
of
rneetings
shall
state
the
time,
date
and
place
of
the
meeting
and
shall
be
given
in
writing
or
telecopy
properly
addressed
to
each
member
according
to
the
latest
available
Authority
records.
Notice
shall
be
given
no
Liter
than
five
days
nor
more
than
30
days
immediately
preceding
the
ateedng,

excluding
the
day
of
the
meeting.

(
2)
Notice
may
be
waived
in
writing
signed
by
the
member
or
members
entitled
to
such
notices;
whether
before
or
after
the
time
stated
therein,
and
such
waiver
shall
be
deemed
equivalent
.
,
,
FROM
HOBBS
5'
TKAUS
DUN
A
MIALLU
taurIi
Ua
u
1
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r
uy
.
aoi
~~
.
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.
~~~
~,
V.
~~~~
~
~
­
YV,
W
.

.
to
the
givirtg
of
such
notice.
Atten~
of
any
member
at
fhe
special
meeting
shall
constitute
a
waiver
of
notice.

(
e)
Quorum.
Five
voting
members
of
the
Management
Board
shall
eonstit0e
a
quorum
for
the
transaclion
of
any
business
.
The
act
of
the
majority
of
the
members
present
and
voting
at
a
meeting
at
whiclt
a
quorum
is
present
shall
be
the
act
of
the
Management
Board.

§
10.
F_
xecutive
committee
I
(
a)
Designation
of
committee.
The
Management
Board,
by
res
°
lution
duly
adopted,
shall
designate
the
Chairdtan,
Secretary,
and
Treasurer
of
the
Management
Board
to
serve
as
the
Executive
Committee­
Following
such
designation
of
Executive
Committee
membership
or
a
modification
thereof,
the
Management
Board
shall
give
prompt
notice
in
writing
to
the
Tribal
Council­
The
designation
of
such
Executive
Committee
and
the
delegation
of
the
authority
herein
granted,
shall.

not
operate
to
relieve
the
Management
Board,
or
members
thereof,
of
any
responsibility
imposed
by
this
ordinance.
No
member
of
the
Executive
Committee
shall
continue
to
be
a
member
thereof
after
he
ceases
to
be
a
member
of
the
Management
Board
The
Management
Board
shall
have
the
power
to
increase
the
number
of
members
of
the
Executive
Committee,
and
to
fill
vacancies
thereon.

(
b)
powers
of
the
Exccutive
Committee.
During
the
intervals
between
meetings
of
the
Managemernt
Board,
and
subject
to
such
limitations
as
FROM
HOBBS
STRAUS
DEAN
&
WALKER
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110N)
08.
0I~
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09
:
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:
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3M119346
P
IB
f
ps
®
a
17
may
be
adopted
by
,
resolution
of
the
Maaagement
Board,
the
Executive
Cominittee
shall
have
and
may
exercise
such
authpdty
as
may
be
.
properly
detegated
by
the
Board.
.

All
minutes
of
meetings
of
the
Executive
Committee
shall
be
submitted
to
the
next
succeeding
meeting
of
the
Management
Board
for
approval,
but
failure
to
submit
the
same
or
to
receive
the
approval
thereof
shall
not
invalidate
any
prior
action
taken
by
the
Authority
upon
authorization
of
the
Executive
Committee.

r
(
c)
Procedure,
meetings
.
The
Tribal
Chairman
shall
serve
as
the
Chairman
of
the
Executive
Committee,
shall.
preside
at
meetings
of
the
Executive
Committee
and
perform
all
duties
incident
to
the
office
of
the
Chairman
of
the
Executive
Committee,
and
such
other
duties
as,

from
time
to
time,
may
be
assigned
to
him
by
the
Management
Board
or
the
Executive
Committee­
The
Secretary
of
the
Authority
shall
keep
a
record
of
the
meetings
of
the
Executive
Committee
and
its
proceedings.
In
the
absence
of
the
Secretary,
the
Chairman
of
the
Executive
Committee
shall
designate
a
person
to
act
in
said
capacity.

(
d)
'
No
individual
authority.
The
members
of
the
Executive
Committee
shall
aa
only
as
a
committee,
and
the
individual
members
shall
have
no
power
as
individuals.

(
e)
Notice.
Notices
of
all.
meetings
of
the
Executive
Committee
shall
be
given
by
the
Chairman
and
the
Secretary
in
the
manner
provided
by
FKUK
HOBBS
STtiAUS
DEAN
I
WALKER
htUNl
UB.
U
1
95
Uy
:
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R.
U9
:
33/
ft
43U
i
i
yJ4b
Y
19
the
Bylaws
of
the
Mohegan
.
Tribe
with
respect
to
meetings
of
the
Tribal
Council,
and
maybe
waived
as
therein
provided.
.

(
f)
Quorum.
The
presence
of
not
less
than
two
members
of
the
Executive
Committee
shall
be
necessary
to
constitute
a
quorum
of
the
Executive
Coauaittee
for
the
transaction
of
business
and
the
act
of
a
majority
of
those
members
present
and
voting
at
a
meeting
at
which
a
quorum
is
present
shall
be
the
act
of
the
Committee­

§
L
LL
Principal
officers
The
princzpal
officers
of
the
Authority
shall
consist
of
the
following:

(
1.)
Chairman
of
the
Management
Board,
who
shall
be
the
Tribal
Chairman
.

(
Z)
Secretary
and
a
Treasurer.

,
(
3)
Business
Board
Representatives.

(
4)
Director
of
Regulation,
who
shall
not
be
a
member
of
the
Management
Board,
nor
a
member
of
the
Tribal
Council.

(
5)
At
the
discretion
of
the
Management
Board,
there
may
be
a
Vice
Ckiairman
of
the
Management
Board,
Assistant
Secretary,
and
Assistant
Treasurer.
FROM
iiOBBS
STKnUS
uW
e
rrni.
xEK
J%
r
19
§
12.
Powers
and
duties
(
jlVrl/
UO.
UI
UJ
Uy
"
JV/
w1
"
UV
"
JJ/
iIV
"
wvVI
1';
Q­
IV
6
a.
V
,
All
officers,
and
agents
of
the
Authority
shall
have
the
following
duties
and
S
'
h
off=
duties
as
may
be
determined
by
resolution
of
the
Management
Board,
uc
zzot
inconsistent
with
the
Ordinance:

(
1)
The
Chairman
of
the
Management
Board.
The
Chairman
of
the
Management
Board
shall
preside
at
all
meetings
of
the
Management
Board,
and
shall
perform
all
duties
incident
to
the
office
of
the
Chairman
of
the
Management
Board
and
such
other
duties
as,
from
time
to
time,
may
be
assigned
to
him
by
the
Management
Board­
A
Vice
Chairman,
if
elected,
shall
act
in
the
capacity
of
the
Chairman
in
the
absence
of
the
latter,
and
shall
discharge
any
other
duties
designated
by
the
Chairman.

(
2)
The
Secretary
.
The
Secretary
shall
keep,
or
cause
to
be
kept,
the
minutes
of
the
meeting
of
the
Management
Board
and
the
Executive
Committee.
The
Secretary
shall
see
that
all
notices
are
duly
given
in
accordance
with
the
provisions
of
this
ordinance.
The
Secretary
shall
be
custodian
of
the
seal
and
records,
and
shall
perform
all
duties
incident
to
the
office
of
the
Secretary,
and
such
other
duties
as
may,

from
time
to
time,
be
assigned
to
the
Secretary
by
the
Management
Board,
the
Chairman,
or
the
Executive
Committee.
FROIt
HOBBS
STUAUS
DEAN
I
WALKER
tiiUN
1
UK
u
(
y3
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:
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:
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MN4u
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s,
I
np
20
(
3)
The
Tracsurer.
The
Treasurer
shall
be
the
finantW
officer
of
the
.
Authority
and
shall
have
charge
and
custody
of,
and
be
responsible
for,

all
funds
of
the
Authority,
and
shall
deposit
such
fnmds
in
such
banks,

trust
companies,
or
other
depositories
as
shall
have
been
designated
by
the
Management
Board.
The
Treasuter
sball.'
receive
and
give
receipts
for
monires
due
and
payable
to
the
Authority
from
any
source
whatsoever­,
and,
in
general,
shall
perform
all
duties
incident
to
the
office
of
the
Treasurer
and
such
other
duties
as,
from
time
to
time,
may
be
assigned
to
him
by
the
Management
Board,
the
Chairman,
or
the
Executive
Committee.
The
Treasurer
shatl
render
to
the
Chairman
"
and,
the
Management
Board,
whenever
the
same
may
be
required,
an
account
of
all
transactions
as
Treasurer
and
of
the
financial
condition
of
the
Authority.
The
Treasurer
shall,
at
the
expense
of
the
Authority,

give
a
bond
for
the
faithful
performance
and
discharge
of
the
Treasurer's
duties
in
such
amount,
so
conditioned,
and
with
such
surety
or
sureties
as
the
Management
Board
may
require.

(
4)
Business
Board
Representatives.
The
Business
Board
ILepresentatives
are
the
representatives
to
the
Management
Board
directing
the
outside
Manager
for
the
Tribe's
Gaming
Enterprise
and
associated
resort.
The
Business
Board
Representatives
shall
render
reports
to
the
Manage~
nemt
Board
and
oversee
all
functions
and
duties
as
specified
in
the
gaming
Management
Agreement.
hK1All
tiVbBb
MAUS
ULAN
&
IMALKLK
IMUNI
Ud.
U
i
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Uy
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I
9346
P
2?

i
r
(
5)
Duector
of
Regulation
.
~
Thg
Director
of
Regulation
shall
carry
out
the
Tribe's
regulatory
duties
as
described
in
the
Gaming
Ordinance,
.

Ordinance
No.
94­
1,
as
may
be
amended
from
time
to
tiane.
The
.

Director
shall
employ
staff
who
sha11
carry
out
the
tasks
Of
completing
background
iavestigations;
reviewing
Licensing
applications,

recoaimending
for
promulgation
such
additional
regulations
as
may
be
deemed
necessary
to
ensure
the
safety
and
integrity
of
the
Gaming
Enterprise.
Pursuant
to
procedures
established
by
the
Tribal
Council,

the
Director
of
Regulation
shall
promulgate
regulations
and
shall
have
final
authority
over
all
license
applications.
Determinations
of
the
Director
of
Regulation
may
be
appealed
to
the
Gaming
Disputes
Court
pursuant
to
§
13.
The
Director
of
Regulation
and
the
regulatory
staff
shall
not
have
the
power
or
authority
to
participate
or
direct
the
development,
construction,
operation,
promotion
and
financing
of
gaming
on
the
Tribe's
lands
.

§
13.
Decisio.
ns
A.
ppealable
to
Gaming
Disputes
Court
Final
decisions
of
the
Director
of
Regulation
regarding
the
promulgation
and
enforcement
of
regulations
and
the
issuance
or
revocation
of
gaming
licenses
shall
be
appealable
to
the
Gaming
Disputes
Court.
The
Tribal
Council.
shall
establish
reasonable
procedures
by
which
such
appeals
may
be
taken.

§
IL
Removal
FROM
HOBBS
STRAUS
DEAN
&
WALKER
tU0N108.
07'
95
U9
:
39/
ST.
09
:
33/
NU.
SW
(
1930
!'
?
3
PaV
zz
Any
officer
or
agent
elected
or
appointed
by
the
Ivtanagement
l3oard
way
be
removed,
b3"
the
Manageatient
Board
whenever,
in
its
judgment,
the
best
interest
of
the
Authontlr
will
be
served
thereby.

C
i5.
ILesignaEi,
ons;
vacancies
Any
of5,
cer
may
resign
at
any
time
by
giving
written
notice
to
the
Management
Board,
the
Chairman
of
the
Management
Board,
or
Secretary
of
the
Authority.
Such
resignation
shall
take
effect
at
the
time
specified
therein,
and,

unless
otherwise
specified
therein,
the
accepta.
nce
of
such
resignation
shall
not
be
necessary
to
make
it
effective.
Any
vacancy
in
any
office
because
of
death,

resignation,
removal,
or
any
other
cause
shall
be
filled
for
the
unexpired
portion
of
the
term
in
the
manner
prescribed
herein
for
election
or
appointment
to
such
offioe.

5
16
AccounEing;
fiscal
year
The
Management
Board
shall
establish
and
install
an
acconnting
system
in
conformity
with
accounting
principles
generally
accepted
in
the
gaming
field
in
order
to
manage
the
Tribe's
gaming
assets.
Financial
and
operating
statements
shall
be
provided
to
the
Chairman
of
the
Tribal
Council
and
the
Management
Board
not
.
less
often
than
quarterly.
The
accounting
system
shall
insure
the
availability
of
information
as
may
bp,
necessary
to
comply
with
Federal,
State,
and
Tribal
regulatory
requirements.
Use
of
automatic
data
processing
shall
be
encouraged
wherever
possible.
The
fiscal
year
of
the
Authority
shall
be
October
I
to
September
30.

§
19.
Records;
inspection;
audits
FROM
HOBBS
STRAUS
DEAN
&
RALIER
pa
®
e
23
(
MON)
08.
07'
95
09
:
39/
ST.
09
:
33/
N0.
3560719346
P
24
.

:
The
books,
records
and
property
of
the
Authority
shall
be
available
for
inspection
at
all
reasonable
times
by
auttiwrized
representatives
of
the
Mohegart
Tribe,
and
upon
notice
to
the
Mohegan
Tribal
Coundl,
by
representatives
of
the
Secretary
of
the
Interior.
The
accounts
and
records
of
the
Authority
shall
be
audited
at
the
close
of
each
fiscal
year
in.
accordance
with
the
provisions
of
the
Indfan
Gaming
Regulatory
Act
and
the
regulations
of
the
National
Indian
Gaming
Gosnmi,
ssioxt.
Copies
of
such
Audit
Reports
shall
be
furnished
to
the
parties
receiving
copies
of
the
financial
and
operating
statements
and
to
the
Tribal
Council.

§
18.
Insurance
Insurance,
including
liability,
adequate
and
sufficient
to
protect
the
interests
of
the
United
States
and
the
Tribe
from
losses
by
fire
or
other
disaster
shall
be
carried
on
all
property
of
the
Authority
.
