Section GMG.01.11 — Compliance Department

(a) Establishment. The Tribal Council created the Compliance Department as a subordinate organization, a department within the tribal gaming regulatory structure, to carry out specific duties as requested either by the Tribal Council or the Commission. Employees of the Compliance Department share the Tribe's sovereign immunity while performing their job duties.

(b) Purpose. The primary purpose of the Compliance Department is to perform background investigations for tribal gaming licensing purposes, in accordance with the provisions of this Ordinance and any regulations promulgated hereunder. The Compliance Department may also perform other investigations for the Tribe, including those for Elder/Youth licensing and as requested by the Tribal Council when such investigations do not conflict with their gaming responsibilities, but the Compliance Department has no independent investigatory powers.

(1) Employees of the Compliance Department shall not serve in any elected government position in the Stockbridge-Munsee Tribe;

(2) No individual shall be eligible for employment with or to continue services with the Compliance Department who has any financial interest in, or management responsibility for any gaming activity operated by the Tribe, or any direct or indirect interest in any gaming-related contract with the Tribe.

(3) No individual shall be eligible for employment with or to continue services with the Compliance Department who has any conflict of interest as defined in this Ordinance, UNLESS such conflict has been fully disclosed to the entire board of Commissioners and to the Tribal Council and both entities have agreed, in writing, to permit the individual to be hired or to continue with his or her employment.

(4) No individual shall be eligible for employment with or to continue services with the Compliance Department who is an employee of any tribal gaming enterprise or of another gaming enterprise outside the Tribe's ownership and/or management.

(5) Shall be an enrolled member of the Stockbridge-Munsee Community, who is at least 21 years of age.

(d) Background Check. Prior to the time any employee with the Compliance Department begins employment, the Tribe shall perform a comprehensive background check on each prospective employee. No person shall be employed in the Compliance Department if:

(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

(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.

(3) Applicants for the employment with the Compliance Department shall not be eligible for employment with the Compliance Department if their background investigation shows a criminal history. A tribal gaming waiver shall not act to rehabilitate the applicant for consideration for employment with the Compliance Department. Criminal history, for purposes of this section shall mean any felony, any misdemeanor involving theft, fraud, misrepresentation or gambling related offenses, any drug related conviction involving possession, sale, use or manufacture of a controlled substance.

(e) Powers and Duties. The Compliance Department is delegated no regulatory or enforcement authority. Employees of the Compliance Department are governed by the job descriptions under which they are hired, by the Tribe's Personnel Policies and Procedures, and by any provisions of this Ordinance that directly applies. The Compliance Department is supervised by the Tribal Council. Although the Commission is not in a supervisory position over Compliance, the Ordinance provides that the Commission may request the Compliance Department to assist in investigating gaming issues pursuant to this Ordinance.

(f) Records/Files. It is the duty of the Compliance Department to protect, safeguard and maintain the confidentiality of the background investigations performed for licensing purposes and to prepare summary reports of said investigations, consistent with Section GMG.01.15(d), for review and action by the Commission. Compliance Department is to release background files to the Commissioners on a need to know basis only, such basis generally arises in cases where the investigative report was unclear or ambiguous.

(1) Records/files shall be kept under lock and key, accessible only to Compliance Department Staff. The files shall not be removed from the Compliance Department except for hearing purposes or in accordance with applicable law. When possible, the investigating officer of the file in question shall be present for hearings.

(2) Background files shall be viewed in the presence of at least one staff member of the Compliance Department. Review of Compliance Department gaming records/files by anyone other than Commission must be approved by the Tribal Council.

(3) Duplication or reproduction of any Compliance Department records/files is not allowed except as provided herein or in accordance with law. Exceptions to this restriction are limited to official hearings, reviews, reports, or Court proceedings. Other exceptions may include copies to the employee who is the subject of the records/file of items which the subject previously submitted to the Compliance Department or when copies are authorized in writing by the Compliance Officer and accompanied by the signature of at least one (1) Commissioner.

(4) Gaming background investigation files shall not be shared with outside agencies without express prior written consent from the Commission and coordination with the Legal Department.

(5) The Compliance Department is authorized to destroy background investigation files pursuant to a properly Tribal Council approved policy. However, files on current employees shall be maintained for at least the term of their employment.