BAY MILLS INDIAN COMMUNITY

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GAMING COMMISSION RULES

The attached Code of Ethics is hereby enacted as a

regulation of the Bay Mills Indian Community Gaming

Commission.

CERTIFICATION

This is to certify that the above Gaming Commission Rule #18 has been reviewed

and approved at a meeting of the Bay Mills Executive Council held at Bay Mills,

Michigan, on the 11th day of April; 2005, with a vote of _4 in favor,

opposed, i absent, and” i abstaining. The President must abstain except in

the event ofa tie.

{ {

Gregory A. Phrker, Secretary

Bay Mills Executive Council

BAY MILLS GAMING COMIMISSTON

CODE OF ETHICS

Statement Of Policy

In the discharge of its powers, duties and responsibilities, the Bay Mills Gaming Commission

conducts its business consistent with high ethical standards, Commissioners and employees are

expected fo perform their duties with undivided loyalty and in such a manner as to promote and

preserve public trust and confidence. Commissioners and employees shall avoid all situations

where opportunity for personal or financial gain could influence their decisions in giving favored

treatment to any organization or person. They shall also avoid circumstances and conduct which

might appear questionable to the general public, even if such circumstances or conduct do not

constitute actual wrongdoing or present an actual conflict of interest.

In order to promote public confidence in the integrity and impartiality of the Commission,

Commissioners and employees shall respect and comply with the law and establish, maintain and

enforce high standards of conduct.

This Code of Ethics shall apply to members of the commission and to all employees of the

commission except as herein specifically provided.

Applicable Standards Of Conduct

Commissioners and employees are governed by ethical standards set forth in the Bay Mills

Indian Community Gaming Ordinance, Commission rules and this Code of Ethics. As

employees of the Bay Mills Indian Community, Commission employees are also governed by

ethical standards set forth in the Bay Mills Indian Community Personnel Policies and the rules of

the Executive Council. It is the responsibility of each Commissioner and employee to comply

with all applicable statutory and regulatory provisions and any amendments thereto, whether or

not such provisions and amendments are.included in this Code of Ethics.

{tis the continuing duty of each Commissioner and employee to review and assess his or her

conduct in light of this Code of Ethics.

A, Outside Employment

1. No Commissioner shall be employed, retained or receive any remuneration for services

rendered to a casino licensee or applicant or to a Commission-licensed vendor or

applicant. A Commissioner may be employed, retained or engaged by a non-licensed

vendor of goods and services provided that the issioner

tribal laws and policies and that such employment does no

conflict of interest.

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nies with all other

present a real or apparent

ed or receive any remuneration for

services rendered to a casino licensee or applicant. A Commission employee may be

employed, retained or engaged by a non-licensed vendor, provided that the employee

complies with all other requirements outlined in the Gaming Ordinance, Commission

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Rules, and the Bay Mills Personnel Policies and Procedures. The employee shall, in

advance of accepting any outside employment or business responsibilities, receive

approval from the Commission of the prospective activity.

Representation. A Commissioner or employee shall not represent, appear for or negotiate on

behalf of any licensee, registrant or applicant.

Outside Activities

1. A Commissioner or employee shal! not permit the use of his or her official title for the

purpose of fundraising for a private organization,

2, A Commissioner or employee may speak, write, lecture or participate in other activities

concerning the casino industry, if in so doing the Commissioner or employee does not

cast doubt on his or her ability to decide impartially any matter which may come before

the Commission, and provided that the Commissioner or employee does not accept

compensation or honoraria for any such activity.

3. A Commissioner or employee shall not accept compensation for published works created

as part of his or her official duties on tribal time using tribal resources,

4. A Commissioner or employee may participate in any civic or charitable activities that do

not interfere with his or her independence of judgment in carrying out official duties.

Gaming Prohibited. No Commissioner or employee shall be permitted to gamble in any

establishment licensed by the Commission except in the course of his or her duties and with

the prior written approval of the Commission.

Prohibited Conduct

Commissioners or employee shall not:

Knowingly act in any way that might reasonably be expected to create an impression arnong

the public that he or she may be engaged in conduct that violates his or her trust as a

Commissioner or employee;

Use or attempt to use his or her official position to obtain unwarranted privileges or

advantages for himself or herself or others:

Act in his or her official capacity in any matter in which the member or employee or any

Hl -child, sibling or other immediate family (as defined |

Bay Mills Gaming Ordinance) has a direct or indirect financial interest that might reasonabl

be expected to impair his or her objectivity or independence of judgment;

Act in his or her official capacity in any matter concerning a licensee or applicant who is the

spouse, parent, step-parent, child, step-child, sibling or other immediate family (as defined by

Bay Mills Gaming Ordinance) when the fact of the employment might reasonably be

expected to impair his or her objectivity and independence of judgment:

Willfully disclose, directly or indirectly, without the pric

ect! without t or authoriza

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any confidential information concerning the affairs of the Commission not generally known

or legally available to the public:

Use or permit the use of any confidential information, which he or she receives or to which

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such gif, service or other thing of value was given or offered for the

the member or employee in the discharge of his or her official duties;

Solicit or accept, directly or indirectly, any complimentary service or discount from any

casino licensee or applicant which he or she knows or has reason to know is other than a

service or discount that is offered to the general public in like circumstances,

Testify as a character witness-before the Commission; and

Lend the prestige of their office to advance the private interests of others, nor convey or

permit others to convey the impression that they are in a special position of influence,

pose of influencing

General Duties and Obligations of Commissioners and Employees

it is the duty of each Commissioner and employee:

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To refrain at all times from any criminal conduct, and to cooperate with law eriforcement

officers in the proper performance of their official duties;

To appear and testify upon matters directly related to the conduct of his or her office,

position or employment before any tribal state or federal court. Any Commissioner or

employee who fails or refuses to appear and testify, after having been informed of his or her

duty to appear and testify shall be subject to removal from his or her office, position or

employment.

To uphold the integrity and independence of the Commission; to perform the duties of their

office impartially and diligently; and to be patient, dignified and courteous to those

individuals with whom they deal in their official capacity,

To require Commission staff to comply with this Code of Ethics;

To exercise the power of appointment only on the basis of merit, and to allow only such

compensation as is fair value for the services rendered,

Duties Concerning Pending Proceedings

A Commissioner or employee shall disqualify himself or herself in a proceeding or

investigation in which his or her impartiality may reasonably be questioned, including but not

limited to instances where he or she has a personal bias or prejudice concerning a party or

personal knowledge of disputed evidentiary facts concerning the proceeding, or in other

circumstances requiring disqualification. Such circumstances shall include involvement of a

spouse, patent, step-parent, child, step-child, sibl

the Bay Mills Gaming Ordinance.

A Commissioner or employee shall abstain from public comment about a pending

proceeding, except in the course of his or her official duties or in explaining for public

information the procedures of the Commission,

A Commissioner or employee shall neither initiate nor consider ex parte or other

communications regarding a pending proceeding, except for consulting with their staff whose

function it is to aid the Commission in carrying out its responsibilities.

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ing or other immediate family (as defined by

A Commissioner or employee shall not discuss issues involving any pending or proposed

application or any matter whatsoever which may reasonably be expected to come before the

Commission with any person, except for other Commissioners, employees or other tribal

staff designated by the Commission.

Required Disclosures of Information by Commissioners and Employees

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VON.

A. Each Commissioner and employee shall disclose, in writing, the following information to the

Commission upon commencement of membership or employment, within five (5) days of the

date when he or she becomes aware of any required information not previously reported and

annually no later than January 31 of each year during the course of appointment or

employment:

1. Any spouse, parent, step-parent, child, step-child, sibling or other immediate family {as

defined by Bay Mills Gaming Ordinance) who holds or has filed an application for any

license issued by the Commission;

2. Any spouse, parent, step-parent, child, step-child, sibling or other immediate family (as

defined by Bay Mills Gaming Ordinance) who is employed by a casino licensee or

applicant

Any spouse, parent, step-parent, child, sibling or other immediate family (as defined by

Bay Mills Gaming Ordinance) who holds a financial interest in a casino licensee or

applicant;

4. Employment, retainers, contracts and all other business engagements

5. Filing of any criminal charges against the Commissioner or employee.

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B. The failure to file the above-required disclosures, or the filing of a willfully false disclosure,

is grounds for termination of employment or removal.

Post-employment Restrictions

Commission employees having access to the surveillance room of a licensed facility are

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prohibited from employment within that licensed facility, for a period of one year following

termination of employment with the Commission, unless approval is granted by the Commission

for the proposed employment with a gaming facility.

Relationship of Commissioners and Employees with Relatives Engaged im Activities

Subject to Commission Oversight

A. The following restrictions apply to Commissioners;

1. No spouse, parent, step-parent, child, step-child, sibling or other immediate family (as

defined by Bay Mills Gaming Ordinance) of a Commissioner sha

I be licensed as a key

employee for employment by a casino licensee or applicant unless such member requests

a waiver of this prohibition from the Executive Council prior to licensing. Such written

request shall contain the following information:

a) The relationship between the member and the prospective licensee; and

b) The prospective employer, employment location and job title.

The Executive Council may grant, with or without special conditions, or deny the

application after considering the following, without limitation:

a) The impact of the applicant on the effective discharge of the member’s duties; and

b)_ The impact of the applicant on the reasonable public expectation of the

Commissioner’s independence and objectivity,

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3. The following restriction applies to Commission employees;

i, No spouse, parent, step-parent, child, step-child, sibling or other immediate family (as

defined by Bay Mills Gaming Ordinance) of a Commission employee shall be licensed as

a key employee for employment by a casino licensee or applicant unless such employee

requests a waiver of this prohibition from the Gaming Commission prior to licensing.

Such written request shall contain the following information:

a) The relationship between the employee and the prospective licensee; and

b) The prospective employer, employment location and job title,

2. The Gaming Commission may grant, with or without special conditions, or deny the

application after considering the following, without limitation:

a) The impact of the applicant on the effective discharge of the employee’s duties;

and

b) The impact of the applicant on the reasonable public expectation of the

Commission employee’s independence and objectivity.

C. The Commission or employee shall not act in his or her professional capacity in any matter,

including investigations, concerning a licensee or applicant for whom he or she has requested

a waiver,

x, Violations of Code of Ethics

A. Violation of any provision of Sections IL, TV, and LX of this Code of Ethics by any

Commissioner or employee shall result in removal or termination,

B. Violation of any provision of Sections V, VI, and VII of this Code of Ethics any

Commissioner or employee shall constitute grounds for removal, termination or disciplinary

action.

C. Violation of Section VITL shall result in immediate termination of the former employee's

gaming license.

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OA/EA/OS

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.