NOV 2 9 1993 

Tom Maulson, President: 

Lac du Flambeau Band o$ 

Lake Superior Chippewa! Indians 

P.O. Box 67 I 

Lac du Flambeau, "iscobsin 54538 

Dear President Maulsonl: 

. - , your request to review and approve the . . tribal gaming submitted on June 23, 1993, and amended 

on September for the Lac du Flambeau Band of Lake 

Superior ns (Band). This letter constitutes such 

Gaming Regulatory Act (IGRA). 

Under the IGRA and th regulations of the National Indian Gaming 

 omm mission (NIGC), th Chairman is directed to review ordinances 

with respect to the r quirements of the IGRA and the implementing 

regulations. Thus, t e scope of the Chairman's review and 

approval is limited t the requirements of the IGRA and the NIGC 

regulations. Provisj other than those required under the IGRA 

or the NIGC regulatio that may be included in a tribal 

ordinance are not sub to review and approval. Also, such 

approval does not con approval of specific games. 

It is important to node that the gaming ordinance is approved for 

gaming only on Indian/lands as defined in the IGRA. 

i 

With the Chairman's a proval of the Band's gaming ordinance, the 

Band is now required o conduct background investigations on its 

key employees and pri ary management officials. The NIGC expects 

to receive a complete application for each key employee and 

primary management of icial pursuant to 25 C.F.R. S 556.5(a) and 

an investigative rep0 t on each background investigation before 

issuing a license to key employee or primary management 

official pursuant to 5 C.F.R. S 556.5(b). 

I 

Thank you for submitting the ordinance of the Lac du Flambeau 

Band of Lake Superior Chippewa Indians for review and approval. 

The NIGC staff and I look forward to working with you, and the 

Band in implementing phe IGRA. 

Sincerely yours, 

cc: R. Terry Hoyt, $sq. 

1850 M STREET. N W. SUITE 25C/ WASHINGTON. DC. 20036 TEL. 202-632-7003 FAX. 202-632.7066 

I 
CHAPTER IX: CL. I1 AND I11 GAMING ORDIh E 

The Lac du Flambeau Tribal council empowered by the Tribe's 

Constitution to enact ordinances, hereby enacts this ordinance in 

order to set the terms for class I1 and 111 gaming operations on 

tribal lands. 

43.902 Gaminu Authorized 

Class I1 and I11 gaming as defined in the Indian Gaming 

Regulatory Act, P.L. 100-447, 25 U.S.C. § 2703(7)(A) (IGRA) and 

by the regulations promulgated by the Nationa-1 Indian Gaming 

Commission at 25 C.F.R. § 502.3 and 502.4 (as published in the 

Federal Register at 57 FR 12382-12393, April 9, 1992) is hereby 

reaffirmed as being authorized. 

43.903 owners hi^ of Gaminq 

The Tribe shall have the sole proprietary interest in and 

responsibility for the conduct of any gaming operation authorized 

by this ordinance. 

43.904 Use of Gamina Revenue 

A. Net Revenues from class I1 and I11 gaming shall be used 

only for the following purposes: to fund tribal government 

operations and programs; provide for the general welfare of the 

Tribe and its members; promote tribal economic development; 

donate to charitable organizations; or help fund operations of 

local government agencies. 

B. If the Tribe elects to make per capita payments to 

tribal members, it shall authorize such payments only upon 

approval of a plan submitted to the Secretary of the ~nterior 

under 25 U.S.C. 5 2710(b) (3). 

43.905 Audit 

A. The Tribe shall cause to be conducted annually an 

independent audit of gaming operations and shall submit the 

resulting audit reports to the National Indian Gaming ~ommi~sionB. All gaming related contracts that result in the 

purchase of supplies, services, or concessions in excess of 

$25,000.00 annually, except contracts for professional legal and 

accounting services, shall be specifically included within the 

scope of the audit that is described in subsections A. above. 

43.906 Protection of the Environment and Public Health and 

- Safety 

Class XI and I11 gaming facilities shall be constructed, 
maintained and opeidted in a manner that adeq~acely Protects the. 

environment and the public health and safety. 

43.907 Licenses for Key Em~ioyees and Primary Manauement 

Officials 

The Tribe shall ensure that the policies and procedures set 

out in this section are implemented with respect to key employees 

and primary management officials employed at any class 11 gaming 

enterprise operated on Indian lands: 

A. Definitions 

For the purposes of this section, the following 

definitions apply: 

1. Kev em~lovee means 

a. A person who performs one or more of the 

following functions: 

(1) Binqo 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; 

b. If not otherwLse included, any other person 

whose total cash compensation is in excess of 

$50,000 per year; or 

c. If not otherwise included, the four most 

highly compensated persons in the gaming 

operation. 

2. Primarv manauement official means 

a. The person having management responsibility 

for a management contract; 

b. Any person who has authority: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming 

operation; or 

c. The chief financial officer or other person 
who has financial manage t responsibility. 

A~~lication Forms 

1. The following notice shall be placed on the 

application form for a key employee or a primary management 

official before that form is filled out by an applicant: 

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. 

The information may be disclosed to appropriate Federal, 

Tribal, State, local, or foreign 1a.w enforcement and 

regulatory agencies when reluvan-t to civil, criminal st 

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. 

2. Existing key employees and primary management 

officials shall be notified in w~iting that they shall either: 

a. Complete a new application form that contains 

a Privacy Act notice; or, 

b. Sign a statement that contains the Privacy 

Act notice and consent to the routine uses 

de~cribed In that notice. 

3. The following notice shall be placed on the 

application form for a key employee or a primary official before 

that fonn is filled out by an applicant. 

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.) 

4. The Tribe shall notify in writing existing key 

employees and primary management officials that they shall 
either: 

a. Complete a new application form that contains 

a notice regarding false statements; or, 

b. Sign a statement that contains the notice 

regarding false statements. 

C. Backaround Investination 

1. The Tribe shall request from each primary 

management official and from each key employee all of the 

following information: 

a. Full name, other names used (oral or 

written) , social security number (s) , birth 

date, place of birth citizenship, gender, all 

1angua.ges (spoken or written) ; 

b. Currently and for the previous 5 years: 

business and employment positions held, 

ownership interests in those businesses, 

business and residence addresses, and drivers 

license numbers ; 

c. The names and current addresses of at least 

three personal references, including one 

personal reference who was acquainted with 

the applicant during each period of residence 

listed under paragraph (1) (b) of this 

section ; 

d. Current business and residence telephone 

numbers ; 

e. A description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 

businesses; 

f. A descl-iptian o* zny existing and previous 

business relationships with the gaming 

industry generally, including ownership 

interests in those businesses; 

g. The name and address of any licensing or 

regulatory agency with which the person has 

filed an application for license or permit 

related to gaming, whether or not such 

license or permit was granted; 

h. 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 

i. For each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor 

traffic violations), within 10 years of the 

date of the application, the name and address 

of the court involved and the date and 

disposition; 

j. For each criminal charge (excluding minor 

traffic charges), whether or not there is a 

conviction, if such criminal charge is within 

10 years of the date of the application and 

is not otherwise listed pursuant to paragraph 

(1) (h) or (1) (i) of this section, the 

criminal charge, the name and address of the 

court involved and the date and disposition; 

k. The name and address of any licensing or 

regulatory agency with which the person has 

filed an application for an occupational 

license or permit, whether or not such 

license or permit was granted; 

1. A current photograph; 

ma Any other information the Tribe deems 

relevant; and, 

n. Fingerprints consistent with procedures 

adopted by the Tribe according to 25 C.F.R. 

sec 522.2 (h) . 2. The Tribe shall conduct an investigation 

sufficient to make a determination under subsection D. 

below. In conducting a background investigation, the Tribe 

or its agent shall promise to keep confidential the identity 

of each person interviewed in the course of the 

investigation. 

The Tribe shall review a person's prior activities, criminal 

record, if any, and reputation, habits and associations to make a 

finding concerning the eligibility of a key employee or primary 

management official for employment in a gaming operation. if the 

Tribe determines that employment of the person poses a threat to 

the public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal 

practices and methods and activities in the conduct of gaming, a 

tribal gaming operation shall not employ that person in a key 

e 

employee or primary management official position. 

E. Procedures for Forwardina Aa~lications aM Re~orts fox 
Kev Em~l 2es and Primarv Manaaemer 3f f icials to the 

National -ndian Gamins Commission 

1. When a key employee or primary management official 

begins work at a gaming operation authorized by this 

brdinance, the Tribe shall forward to the National Indian 

Gaming Commission a completed application for employment and 

conduct the background investigation and make the 

determination referred to in subsection D of this section. 

2. The Tribe shall forward the report referred to in 

subsection F of this section to the ~ational Indian Gaming 

Commission within 60 days after an employee begins work or 

within 60 days of the approval of this ordinance by the 

Chairman of the National Indian Gaming omm mission. 

3. The gaming operation shall not employ as a key 

employee or primary management official a person who does 

not have a license after 90 days. 

Report to the National Indian Gamin Commission 

1. Pursuant to the procedures set out in subsection E 

of this section, the Tribe shall prepare and forward to the 

National Indian Gaming Commission an investigative report on 

each background investigation. An investigative report 

shall include all of the following: 

a. Steps taken in conducting a background 

investigation; 

b. Results obtained; 

c. Conclusions reached; and, 

d. The bases for those conclusions. 

2. The Tribe shall submit, with the report, a copy of 

the eligibility determination made under subsection D of 

this section. 

3 If a license is net issued tc an applicant, the 

Tribe: 

a. Shall notify the National Indian Gaming 

Commission; and, 

b. May forward copies of its eligibility 

determination and investigative report ( if 

any) to the National Indian Gaming commission 

for inclusion in the Indian Gaming 

Individuals Records System. 

4. With respect to key employees and primary 
management 1 icials, the Tribe shall r 3in applications 

for employmelli and reports (if any) of background 

investigations for inspection by the Chairman of the 

National Indian Gamin Commission or his or her designee for 

no less than three (3) years from the date of termination of 

employment. 

G. Grantinu a Gaminu License 

1. If, within a thirty (30) day period after the 

National Indian Gaming Commission receives a report, the 

National Indian Gaming Commission notifies the tribe that it 

has no objection to the issuance of a license pursuant to a 

license application filed by a key employee or a primary 

management official for whom the tribe has provided an 

application and investigative report to the national Indian 

Gaming Commission, the Tribe may issue a license to such 

applicant. 

2. The Tribe shall respond to a request for 

additional information from the chairman of the National 

Indian Gaming Commission concerning a key employee or a 

primary management official who is the subject of a report. 

Such a request shall suspend the 30-day period under 

paragraph G. 1. of this section until the Chairman of the 

National Indian Gaming Commission receives the additional 

information. 

3. If, within the thirty (30) day period described 

above, the National Indian Gaming Commission provides the 

Tribe with a statement itemizing objections to the issuance 

of a license to a key employee or to a primary management 

official for whom the Tribe has provided an application and 

investigative report to the National Indian Gaming 

commission, the Tribe shall reconsider the application, 

taking into account the objections itemized by the National 

Indian Gaming Commission. The Tribe shall make the final 

decision whether to issue a license to such applicant. 

1. If, after the iss*ranca of a gaming license, 

Tribe receives from the National Indian Gaming ~ommissl~n 

reliable information indicating that a key employee or a 

primary management official is not eligible for employment 

under subsection D. above, the Tribe shall suspend such 

license and shall notify in writing the licensee of the 

suspension and the proposed revocation. 

2. The Tribe shall notify the licensee of a time and 

a place for a hearing on the proposed revocation of a 

license. 

3. After a revocation hearing, the Tribe shall decide 
to revoke or . . reinstate a gaming lice. . The Tribe shall ' ' . 

notify the National Indian ~aming commiss~on of its 

decision. 

43.908- License Locations 

The Tribe shall issue a separate license to each place, 

facility, or location on Indian lands where class I1 and/or 111 

gaming is conducted under this ordinance. 

To the extent that they are inconsistent with this 

ordinance, all prior gaming ordinances are hereby repealed. 
RESOLUTION NO 322 (93) 

WHEREAS, . there have been changes in the requirements for gaming ordinances - since the Tribal Council fommlated its presents ordinance, and 

VFEREAS, the National Indian Gaming Camcission has developed a .Nodel Gaming 

Crdinance for adoption by tribes, therefore be it 

RESOLVED, that the Lac du Flambeau Gaming Odinance is hereby anended by adding 

the attached Chapter 43.9 to the "Cdg Control Ordinancen. 

I, the undersigned, as Secretary of the Lac du Flmbeau Band of Lake S-uperiar 

Chippewa Indians, a tribal goverrnrrent operating der a Constitution adopted 

pursuant to Section 16, of the Indian Reorganization Act, 25 U.S.C., s.476, do 

hereby certify that the Tribal Council of the Band is canposed of 12 members, of 

wf.lam 11, constituting a quorum, were present at a Regular Meeting, duly called, 

noticed, convened, and held on the 27th day of Septgnber, 1993, and that fhe 

foregoing resolution was duly adopted at said meting by an affirmative vote of 

Eleven members, None against, None abstaining, and that the said resolution has 

not been recended or amended in any way. 

1/-/a R2E.J 

Victoria A. Doud, Secret. 

Lac du Flambeau ~nad of Lake 

Superior Chippewa Indians