GAMiNG ORDINANCE 17-95

MILLE LACS BAND OF CHIPPEWA

HCR 67, BOX 194

ONAMIA, MN 56359
Section 1.1 Findings

Section 1.2 Policy

Section 1.3 Intent

Section 2

REPEAL OF PREVIOUS BAND GAMING STATUTES

Section 2.1 Repeal

SECTION I

FINDINGS, POLICY AND INTENT

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6

7

9

Section 3

DEFINITIONS

Section 3.1 Class II Gaming:

Section 3.2 Class III Gaming:

Section 3.3 Band

Section 3.4 Commission

Section 3.5 Commissioner

Section 3.6 Corporate Administrator

Section 3.7 Gaming Enterprise

Section 3.8 Primary Management Official

Section 3.9 Key Employee:

9101
Section 3.10 Indian Gaming Regulatory Act

12

Section 3.11 Compacts

Section 3.12 Other Compacts

Section 4

MILLE LACS RESERVATION GAMING CONTROL AUTHORITY

Section 4.1 Authority

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Section 4.2 Regulations

Section 4.3 Powers of the Commission

13

Section 4.4 License Gaming Operations

14

Section 4.5 Management Agreements

Section 4.6 Compacts with the State of Minnesota

14

Section 4.7 Agreements Under the Economic Development Zone

Statute.

14

Section 5

GENERAL PROVISIONS

Section 5.1 General Prohibition

15

Section 5.2 Minors

Section 5.3 Cheating

Section 5.4 Intoxicated or Disorderly Persons

15

Section 5.6 Sale of Liquor

15

Section 5.7 Gaming on Cash Basis

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Section 5.8 Sole Proprietary Interest

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Section 5.9 Net Band Revenue

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Section 5.10 Annual Audits

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Section 5.11 Gaming Facilities

Section 6

FEDERAL LAWS APPLICABLE

Section 6.1 Federal Laws Covering Gaming

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Section 7

TYPES OF GAMING PERMITTED WHEN LICENSED

Section 7.1 Games

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Section 8

LICENSING PROCEDURE

Section 8.1 Licensing of Key Employees and Primary Management

Officials

23

Section 8.2 Application Forms.

Section 8.3 Background Investigations

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Section 8.4 Eligibility Determination:

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Section 8.5 Procedures for Forwarding Applications and

Reports for Key Employees and Primary Management

Officials to the National Indian Gaming

Commission

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Section 8.6 Report to the National Indian Gaming Commission

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Section 8.7 Granting a Gaming License

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Section 8.8 License Suspension

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Section 8.9 Renewal of License

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Section 9

COMMISSION OPERATED GAMING OR GAMING CONDUCTED

VIA A CONTRACT WITH THE COMMISSION

Section 9.1 General Requirements

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Section 9.2 Management Contracts

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Section 9.3 Monitoring And Inspection

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Section 10

USE OF TRIBAL LAND FOR GAMING PURPOSES

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Section 11

Compliance with Tribal--State Compacts

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Section 12

REGULATIONS

Section 13

AMENDMENTS

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Section 14

SEVERABILITY

Section 15

EFFECTIVE DATE
Ordinance 17-95

Chapter 19

BE IT ENACTED BY THE BAND ASSEMBLY OF THE MILLE LACS BAND OF

CHIPPEWA INDIANS A GAMING CONTROL ORDINANCE TO ESTABLISH BAND

STANDARDS AND REGULATIONS FOR THE CONDUCT OF GAMING ACTIVITIES ON

THE MILLE LACS RESERVATION, AND FOR OTHER PURPOSES.

EMPOWERMENT

The Band Assembly of the Mule Lacs Band of Chippewa Indians is the

duly elected body of the Mule Lacs Reservation. The Band Assembly

is empowered to enact legislation which protects the health,

safety, welfare, and morals of the people of the Mille Lacs Indian

Reservation.

TITLE

This law may be cited as the Mille Lacs Band of Chippewa Indians

Gaming Control Ordinance. The law shall be appropriately inserted

in the proposed Codification of Mille Lacs Reservation

Section 1

FINDINGS, POLICY AND INTENT

Section 1.1 Findings

The Mille Lacs Reservation Band Assembly finds that:

1. The Mille Lacs Band of Chippewa Indians has a long

history of allowing different forms of gaming within our

territory. Prior to the Treaty-making period of United

States history the Band allowed many traditional forms of

gaming, and other types of gaming.

2. In the Treaties and Agreements made with the United

States Government, The Mille Lacs Band of Chippewa

Indians reserved the right to regulate and control gaming

within its territory.

3. The regulation and control of Gaming is necessary in

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order to: ensure the welfare and best interests of

visitors and residents within our reservation lands;

prevent any proliferation of organized crime and other

corrupting influences into our territory and preserve the

political integrity of Mille Lacs Band of Chippewa

Indians.

4. Tribal operation and licensing of gaming activities is a

legitimate means of generating revenue to the Band.

5. The Gaming authorized by this legislation are activities

which are authorized within the state of Minnesota for

some persons, organizations, or entities, and are

authorized activities within the State of Minnesota for

some purposes.

6. The Mille Lacs Band of Chippewa Indians has continuously

conducted gaming activity since 1981. The gaming has

been conducted in a manner which:

(a) has resulted in the effective and honest accounting

of all revenues; and

(b) has resulted in a reputation for safe, fair, and

honest operations of the gaming activities.

Section 1.2 Policy

The policy of The Mule Lacs Band of Chippewa Indians shall be

that:

1. That gaming on the Mule Lacs Indian Reservation be

conducted in a manner of utmost integrity.

2. This law be strictly and fairly enforced upon all people

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within the reservation.

3. Gaming within the reservation not take place in any

unconscionable manner.

4. The net Band profits from any gaming activity shall not

be used :f or purposes other than:

(a) to fund Band government operations or programs;

(b) to provide for the general welfare of the Mule

Lacs Band of Chippewa Indians and its members;

(c) to promote Band economic development;

(d) donations to charitable organizations;

(e) to help operations of local government agencies.

Section 1.3 Intent

The Band Assembly of the Mille Lacs Band of Chippewa Indians

determines that the intent of this law is to:

1. Completely regulate and control gaming within the

reservation.

2. Provide, through the licensing fees and profit split from

Band gaming conducted via a contractual arrangement, and

the operation of Band operated gambling, a source of

funding for the amelioration of health and welfare

problems which impose hardship on Band members and

others, and other charitable purposes.

3. Foster a~spirit of cooperation with federal officials in

the regulation of gaming.

4. Foster a spirit of cooperation with Minnesota State

officials in the conduct of class III gaming.

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5. Clarify that gaming is a privilege and not a right.

6. Protect gaming as a means of generating tribal revenue.

7. And ensure that gaming is conducted fairly and honestly

by both the operator and the players as a genuine means

of providing both recreation and entertainment.

8. Establish and implement and adequate system for:

(a) accounting of all revenues from gaming activities;

(b) the investigation, licensing, and monitoring of all

employees of the gaming activities;

(c) the investigation, enforcement, and prosecution of

violations of this gaming ordinance and regulations

issued pursuant thereto;

9. Ensure that the construction and maintenance of any and

all gaming facilities, and the operation of gaming

conducted at such facilities, is conducted in a manner

which adequately protects the environment, and the public

health and safety.

10. Establish an adequate system to ensure that background

investigations are conducted on the primary management

officials and key employees of any gaming enterprise and

that oversight of such officials and their management is

conducted on an ongoing basis.

11. Ensure that gaming on the Mille Lacs Indian Reservation

is conducted in conformity with the federal Indian Gaming

Regulatory Act, and regulations issued pursuant thereto,

and that class III gaming conducted on the Reservation is

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conducted pursuant to the terms of a compact negotiated

between the Commission and the State of Minnesota.

Section 2

REPEAL OF PREVIOUS BAND GAMING STATUTES

Section 2.1 Repeal

This chapter shall supersede all previous Band statutes regulating

Gaming on the Mille Lacs Reservation. Band Statutes 1000 MLC-19

and amendments thereto are expressly repealed.

Section 3

DEFINITIONS

Section 3.1 Class II Gaming

Class II Gaming means:

1. Bingo or lotto (whether or not electronic computer, or

other technologic aids are used) when players:

(a) Play for prizes with cards bearing numbers or other

designations;

(b) Cover numbers or designations when object similarly

numbered or designated are drawn or electronically

determined; and

(c) Win the game by being the first person to cover a

designated pattern on such cards;

2. If played in the same location as bingo or lotto, pull

tabs, punch boards, tip jars, instant bingo, and other

games similar to bingo;

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3. Non-banking card games that:

(a) State law explicitly authorizes, or does not

explicitly prohibit, and are played legally

anywhere in the State; and

(b) Players play in conformity with state laws and

regulations concerning hours, periods of operation,

and limitations on wagers and pot sizes;

Section 3.2 Class III Gaming

Class Ill Gaming means all forms of gaming that are not class I

gaming or class II gaming, including but not limited to:

1. Any house banking game including but not limited to:

(a) Card games such as baccarat, chemin de fer,

blackjack (21), and pai gow (if played as house

banking games);

(b) Casino games such as roulette, craps, and keno;

2. Any slot machines as defined in 15 U.S.C. 1171(a) (1) and

electronic or electromechanical facsimiles of any game of

chance;

3. Any sports betting and parimutuel wagering including but

not limited to wagering on horse racing, dog racing or

jai alai; or

4. Lotteries.

Section 3.3 Band

Band means the Mule lacs Band of Chippewa Indians.

Section 3.4 Commission

Commission means the Corporate Commission of the Mule lacs Band

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of Chippewa Indians.

Section 3.5 Commissioner

Commissioner means the Mule lacs Band Commissioner for Corporate

Affairs.

Section 3.6 Corporate Administrator

Corporate Administrator means the Corporate Administrator of the

Corporate Commission of the Mule Lacs Band of Ojibwe Indians

Section 3.7 Gaming Enterprise

Gaming Enterprise means any commercial business owned by the

Commission and operated, in whole or in part, for the conduct of

gaming activity.

Section 3.8 Primary Management Official

Primary management official means the person having management

responsibility for a management contract;

1. Any person who has authority:

(a) To hire and fire employees; or

(b) To set up working policy for the gaming operation;

or

(c) The chief financial officer or other person who has

financial management responsibility.

Section 3.9 Key Employee

A key employee is:

1. A person who performs one or more of the following

functions:

(a) Bingo caller

(b) Counting room supervisor

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(c) Chief of security

(d) Custodian of gaming supplies or cash

(e) Floor manager

(f) Pit boss

(g) Dealer

(h) Croupier

(i) Approver of credit

(j) Custodian of gambling devices including persons

with access to cash and accounting records within

such devices; or

2. If not Otherwise included, any other person whose total

cash compensation is in excess of $50,000 per year; or

3. If not otherwise included, the four most highly

compensated persons in the gaming operation.

Section 3.10 Indian Gaming Regulatory Act

Indian Gaming Regulatory Act of 1988 means the Act of Congress

adopted on October 17, 1988, as Public Law 100497, 102 stat. 2467.

Section 3.11 Compacts

Compacts means that agreement entered into in 1990 between the

Commission and the State of Minnesota governing video games and

chance and the agreement entered into in 1991 between the State of

Minnesota and Commission governing blackjack. Both of the

agreements were entered into pursuant to section 11 of the Indian

Gaming Regulatory Act of 1988.

Section 3.12 Other Compacts

Other Compacts means such agreements as may in the future be

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entered into between the Commission and the State of Minnesota,

governing Class III gaming, as that term is defined by section 4

(8) of the Indian Gaming Regulatory Act of 1988, within the

jurisdiction of the Mule Lacs Band of Chippewa Indians.

Section 4

MILLE LACS RESERVATION GAMING CONTROL AUTHORITY

Section 4.1 Authority

Authority to regulate gaming activity on the Mille Lacs Indian

Reservation shall be vested in the Mule Lacs Band Corporate

Commission. The Corporate Commission shall regulate gaming on the

reservation lands pursuant to the terms of the Corporate Charter

contained in chapter 16 of the Mule Lacs Band Statutes. Band

Statute 1077 MLC-l6. The Corporate Administrator shall have

primary responsibility for the regulation of such gaming activity.

Section 4.2 Regulations

The Corporate Commission of the Mule Lacs Band shall have the

authority to promulgate regulations consistent with this statute

and other applicable law governing the conduct of gaming activities

on the Nille Lacs Reservation. The regulations promulgated under

this chapter shall, to the greatest extent possible, assure the

games are conducted in an effective and efficient manner, and in a

manner which completely protects the honesty and integrity of the

games.

Section 4.3 Powers of the Commission

The Corporate Commission may delegate the duties and

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responsibilities of regulating the conduct of gaming on the

reservation in a manner not inconsistent with the charter and by

laws of the Commission.

Section 4.4 License Gaming Operations

The Tribe shall issue a separate license to each place, facility,

or location on Indian lands where class II or class III gaming is

conducted under this ordinance upon a finding that the management

company and\or general of that particular gaming enterprise have

met the license requirements of section 8 of this Ordinance.

Section 4.5 Management Agreements

The Corporate Commission is specifically authorized to enter into

management agreements for the conduct of gaming within the

jurisdiction of the Mule Lacs Band of Chippewa Indian when the

Commission determines it is in the Best interest of the Band to do

so. Such agreements shall not be valid until ratified by the Band

Assembly pursuant to 1141 MLC 2 §5.05.

Section 4.6 Compacts with the State of Minnesota

The Corporate Commission is specifically authorized to negotiate

and enter into compacts with the State of Minnesota governing the

conduct of class III gaming within the jurisdiction of the Mule

Lacs Band of Chippewa Indians when the Commission determines it is

in the Best interest of the Band to do so. Such agreements shall

not be valid until ratified by the Band Assembly pursuant to 2001

MLC §5.05.

Section 4.7 Agreements Under the Economic Development Zone Statute

The Corporate Commission may negotiate and enter into agreements

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with the principle gaming actors and/or the Band Assembly as

allowed under the Economic Development Zone Statute.

Section 5

GENERAL PROVISIONS

Section 5.1 General Prohibition

All gaming activity within the reservation shall occur in

compliance with this law. Any activity not expressly permitted in

this statute or in regulations promulgated by the Corporate

Commission shall be prohibited. Participation by any person in any

activity which is prohibited shall be unlawful.

Section 5.2 Minors

It shall be unlawful for any adult to allow any person under the

age of eighteen years to participate in any gaming licensed by the

Corporate Commission.

Section 5.3 Cheating

It is unlawful to conduct or participate in any gaming in any

manner which results in cheating, misrepresentation or other

disreputable tactics which distract from a fair and equal chance

for all participants, or which otherwise affects the outcome of the

game.

Section 5.4 Intoxicated or Disorderly Persons

It is unlawful to conduct any gambling while allowing participation

by disorderly persons or any person visibly intoxicated.

Section 5.6 Sale of Liquor

The sale of liquor shall not be allowed at any gaming facility

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operated by the Band government or licensed to be operated by the

Band government, unless specifically authorized by the Band

Assembly and properly licensed pursuant to applicable Band Law,

state law, and federal law.

Section 5.7 Gaming on Cash Basis

In every game licensed or operated by the Band, consideration for

the chance to play shall be in cash. Each participant must present

the money with which he or she intends to play at the time the game

is played, No check, credit card, I.O.U. or other evidence of

indebtedness shall be offered or accepted as part of the price of

participating in a game or as payment of a gaming debt. The

Commission may offer check cashing services within a gaming

enterprise or contract with a vendor for the provision of such

check cashing services.

Any debt resulting from such check cashing services are

maintainable in the Mule Lacs Band of Chippewa Indians Court of

Central Jurisdiction and any other court having jurisdiction.

Evidence of win or loss must be provided to the player upon request

in such forms as will be acceptable to the Internal Revenue

service. Failure to do so is unlawful.

Section 5.8 Sole Proprietary Interest

The Mule Lacs Band of Chippewa Indians through its Corporate

Commission shall have the sole proprietary interest in and

responsibility for the conduct of all gaming activities authorized

by this chapter.

Section 5.9 Net Band Revenue

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Net Band Revenues Derived from gaming activities conducted under

this chapter shall be used only to:

1. To fund Band government operations or programs;.

2. To provide for the general welfare of the Mule Lacs Band

and its members;

3. To promote Band economic development;

4. To donate to charitable organizations; and

5. To help fund operations of local government agencies.

There shall be no per capita payments made with gaming revenue

unless the distribution plan is approved by the Secretary of

Interior pursuant to 25 U.S.C. 2701 (3) and the payments are made

strictly in accordance with such approved plan.

Section 5.10 Annual Audits

The Commission shall cause an annual audit to be conducted, by an

independent certified public accountant, of the gaming activities

authorized under this chapter. Such annual audits shall also

include all contracts for supplies, services, or concessions for a

contract amount inexcess of $25,000 annually (except contracts for

professional accounting or legal services) relating to such gaming

activities. Such annual audit shall be submitted to the NIGC

pursuant to 25 CFR 522.4(b) (3), and to the MN Dept of Public Safety

pursuant to and in accordance with Tribal State Compacts.

Section 5.11 Gaming Facilities

The construction and maintenance of any gaming facility and the

operation of gaming activities authorized under this chapter shall

be conducted in a manner which adequately protects the environment

17
and the public health and safety, and shall comply with all

applicable law.

Section 6

FEDERAL LAWS APPLICABLE

Section 6.1 Federal Laws Covering Gaming

The federal laws regarding gaming on Indian Reservations remain

applicable to any act or transaction occurring on the Mille Lacs

Reservation not authorized by this ordinance and not otherwise in

compliance federa~l law, Violators may be subject to federal

prosecution.

Section 7

TYPES OF GAMING PERMITTED WHEN LICENSED

Section 7.1 Games

The following games are permitted when properly licensed or

exempted from licensure and when regulations are promulgated by the

Commission regulating their conduct:

1. Class I Traditional Games are permitted and expressly

exempted from the requirement of licensure by the

Commission.

2. Permitted Class II games:

(a) Bingo. The Commission shall issue regulations,

which will control:

(1) The security requirements for the operation

(ii) The posting of rules of play.

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(iji)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

which is deemed necessary by the Commission.

(b) Pull Tabs. The Commission shall issue regulations,

which will control:

(i) The security requirements for the operation.

(ii) The posting of rules of play.

(iii)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

which is deemed necessary by the Commission.

(C) Punch Boards:

The Commission shall issue regulations, which will

control:

(i) The security requirements for the operation

(iij) The posting of rules of play.

(iii)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

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Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

which is deemed necessary by the Commission.

(d) Lotto:

The Commission shall issue regulations, which will

control:

(i) The security requirements for the operation

(ii) The posting of rules of play.

(iii)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

which is deemed necessary by the Commission.

(e) Tip jars. The Commission shall issue regulations,

which will control:

(i) The security requirements for the operation.

(ii) The posting of rules of play.

(iii)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

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which is deemed necessary by the Commission.

(f) Instant Bingo. The Commission shall issue

regulations, which will control:

(i) The security requirements for the operation

(ii) The posting of rules of play.

(iii)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

which is deemed necessary by the Commission.

(g). Games Similar to Bingo. The Commission shall issue

regulations, which will control:

(i) The security requirements for the operation.

(ii) The posting of rules of play.

(iii)The maximum limit, if any, which may be offered

as a prize.

(iv) Rules for the conduct of the games, should the

Commission deem that such rules are necessary

for the proper conduct of gaming.

(v) Any other regulation controlling the operation

which is deemed necessary by the Commission.

(h) Other forms of class II gaming. The Commission may

license other class II gaming activities if:

(i) Such games have been approved by the National

21
Indian Gaming Commission pursuant to the

Indian Gaming Regulatory Act; and

(ii) The commission has promulgated regulations for

such games that assure the games will be

conducted in a manner consistent with this

Chapter.

3. Permitted Class III games:

(a) Video games of chance properly licensed and

conducted under the terms of a compact between the

Commission and the State of Minnesota.

(b) Blackjack games under the terms of the compact

between the Commission of the State Of Minnesota.

(c) Other forms of class III games. The Commission may

license other class III gaming activities if:

(i) Such games have been approved by the National

Indian Gaming Commission pursuant to the

Indian Gaming Regulatory Act; and

(ii) The Games are conducted in accordance with a

validly signed compact between the Commission

and the State of Minnesota; and

(iii) the Commission has promulgated

regulations for such games that assure

the games will be conducted in a manner

consistent with this Chapter.

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Section 8

LICENSING PROCEDURE

Section 8.1 Licensing of Key Employees and Primary Management

Officials

The Commission 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 II or class

III gaming enterprise operated on Indian lands.

Section 8.2 Application 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 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

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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 gaming

operation. Failure to consent to the disclosures

indicated in this notice will result in a Commissions

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 writing 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 described in

that notice.

3. The following notice shall be placed on the application

form for a key employee or a primary official before that

form 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. Existing key employees and primary management officials

shall be notified in writing that they shall either:

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(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.

Section 8.3 Background Investigations

1. Each primary management official and from each key

employee shall be requested to provide 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 languages (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 description of any existing or previous business

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reJationships 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 a 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, if any;

(1) 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,

26
whether or not such license or permit was granted;

(1) A current photograph;

(m) Any other information the Commission deems

relevant; and

(n) Fingerprints consistent with procedures adopted by

the Tribe and Commission according to 25 C.F.R.

Sedtion 522.2(h).

2. An investigation shall be conducted sufficient to make a

determination under subsection 8.4 below. In conducting

a background investigation, the Commission shall promise

to keep confidential the identify of each person

interviewed in the course of the investigation.

Section 8.4 Eligibility Determination

1. The Commission shall review a persons 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 Commission

determines that:

(a) 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;

(b) The applicant has ever been convicted of a felony

involving gambling; or

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(c) The applicant has been convicted of a felony within

five years of starting employment with the a tribal

gaming operation;

The Commission shall not employ that person in a key

employee or primary management official position;

(d) except that, unless the persons responsibilities

include the operation or management of video games of

chance, the restriction of subsection (C) shall not

disqualify the applicant from employment if the Band by

governmental resolution waives such a restriction after

the applicant has demonstrated to the Band evidence of

sufficient rehabilitation and present fitness.

Section 8.5 Procedures for Forwarding Applications and Reports for

Key Employees and~ Primary Management Officials to the National

Indian Gaming Commission

1. When a key employee or primary management official begins

work at a gaming operation authorized by this ordinance,

the Commission 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 8.4 of this

section.

2. The Commission shall forward the report referred to in

subsection 8.6(1) of this section to the National Indian

Gaming Commission within 60 days after an employee begins

work or within 60 days of the approval of this ordinance

28
by the Chairman of the National Indian Gaming Commission.

3. The Commission shall not employ as a key employee or

primary management official a person who does not have a

license after 90 days.

Section 8.6 Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection 8.5, the

Commission 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 Commission shall submit, with the report, a copy of

the eligibility determination made under subsection 8.4

of this section.

3. If a license is not issued to an applicant, the

Commission:

(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.

29
4. With respect to key employees and primary management

officials, the Commission shall retain applications for

employment and reports (if any) of background

investigations for inspection by the Chairman of the

National Indian Gaming Commission or his or her designee

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

termination of employment.

Section 8.7 Granting a Gaming 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 Commission 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 Commission has

provided an application and investigative report to the

National Indian Gaming Commission, the Commission may

issue a license to such applicant.

2. The Commission 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

8.7(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,

30
the Naional Indian Gaming Commission provides the

Commission with a statement itemizing objections to the

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

management official for whom the Commission has provided

an application and investigative report to the National

Indian Gaming Commission, the Commission shall reconsider

the application, taking into account the objections

itemized by the National Indian Gaming Commission. The

Commission shall make the final decision whether to issue

a license to such applicant.

Section 8.8 License Suspension

1. If, after the issuance of a gaming license, the

Commission receives from the National Indian Gaming

Commission or any other credible source reliable

information indicating that a key employee or a primary

management official is not eligible for employment under

subsection 8.4 above, the Commission shall suspend such

license and shall notify in writing the licensee of the

suspension and the proposed revocation.

2. The Commission 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 Commission shall decide

to revoke or to reinstate a gaming license. The

Commission shall notify the National Indian Gaming

Commission of its decision.

3].
Section 8.9 Renewal of License

Licenses shall be renewed annually in a manner similar to their

original approval. The Commission may, be regulation, set out the

particular procedural requirements for renewal of licenses. If a

management contract extends for more than one year, the Commission

may issue a license that extends for the duration of the contract.

Such a license that extends for more than one year may be subject

to annual review by the Commission.

Section 9

COMMISSION OPERATED GAMING OR GAMING CONDUCTED VIA A CONTRACT WITH

THE COMMISSION

Section 9.1 General Requirements

1. Investigation. Each employee or operator, prior to

beginning work or control, shall be required to apply to

the Commission for a determination that he:

(a) Has committed no felony or gaming offense in any

jurisdiction.

(b) Has no prior activities, reputation, habits, or

associations affecting his present conduct would

pose a threat to the effective regulation and

control or gambling, or enhance the dangers of

unsuitable, unfair or illegal practices, methods or

activities in the conduct of gambling, and

(c) Has no present interest in the conduct of any

gaming business.

32
The determination shall be confidential.

2. The employee or contractor shall follow the application

procedure for licenses described in this Chapter,

provided that, no notice shall be published, and no

public hearing shall be published, and no public hearing

shall be held. No employee may accept any gift or thing

of value from a gaming contractor.

3. In addition to any provisions of the Band Personnel Code

which may be applicable, or personnel policies developed

by any operator possessing a management contract with the

commission, any employee or operator shall be required to

comply with the provisions of this law, the provisions of

his contract with the Band, if any, and the provisions of

applicable federal law.

4. Any entity which contracts with a Band gaming operation,

shall be required to submit a determination as required

in this Chapter. No such contract will be valid until it

is approved by the Commission and the Secretary of the

Interior as if necessary under Federal Law.

5. Band operated gaming shall be held in compliance with

this Chapter.

6. Operators, or employees in charge of Band operated

gambling shall report quarterly to the Commission on the

result of an outside audit of the operation, and the

results of any contract for service or supplies.

7. Any operator or employee of a Band gaming operation shall

33
deposit~the proceeds of the gaming operation according to

applicable federal and Band law.

8. Any operator or employee may request the assistance of

the Commission in obtaining training or instruction for

the benefit of the Band gaming operation as well as in

determining the proper meaning of this law.

9. The commission may require that any operator or employee

of a Band gaming operation be bonded in a particular

amount.

Section 9.2 Management Contracts

The commission may approve a particular type or types of Band

gaming be operated through a management contract. The Management

Contract must be in compliance with applicable federal law. The

Commission shall require that the proposed operator comply with the

application procedure for licenses under Section 8 of this

Ordinance.

Section 9.3 Monitoring And Inspection

All Band gaming operations or operations conducted via a

contractual arrangement with the Band are subject to monitoring and

inspection by the Commission or agents of the Commission.

Section 10

USE OF TRIBAL LAND FOR GAMING PURPOSES

Any time that the Tribe leases Tribal Land for gaming purposes,

applicable federal and Tribal Law shall be followed.

1. The use of Tribal Land for Indian Celebrations which

34
include~ gaming as part of the celebration shall not be

subject to federal approval.

Section 11

Compliance with Tribal--State Compacts

The Commission shall adopt regulation and take all actions

necessary to ensure that class III gaming conducted on the lands of

the tribe complies in all respects with the Tribal-- State compact

for Class III Video Games of Chance and Class III Blackjack and any

other compacts entered into between the Commission and the State of

Minnesota.

Section 12

REGULATIONS

The Corporate Commission of the Mille Lacs Band shall have the

authority to promulgate regulations consistent with this statute

and other applicable law governing the conduct of gaming activities

on the Mule Lacs Reservation. The regulations promulgated under

this chapter shall, to the greatest extent possible, assure the

games are conducted in an effective and efficient manner, and in a

manner which completely protects the honesty and integrity of the

games.

1. The Band Assembly may request the Commission to draft or

consider a particular regulation.

2. The Commission or Band Assembly may hold public hearings,

35
conduct, polls, or circulate any proposed regulation to

the public prior to approval.

3. A regulation properly promulgated by the Commission may

be repealed by a majority vote of the Band Assembly.

Section 13

AMENDMENTS

The Band Assembly specifically reserves the right to modify or

amend this chapter by resolution.

Section 14

SEVERABILITY

The event that any section or provision of this Chapter, or any

amendment to this chapter, is held invalid, it is the intent of the

Band Assembly that the remaining sections or provisions of this

Chapter, and amendments made to this Chapter, shall continue in

full force and effect.

Section 15

EFFECTIVE DATE

This Chapter shall become effective one day after its enactment.

36
Ordinance 17-95

Introduced to the Band Assembly on this

thirtieth day of January In the year one

thousand nine hundred ninety four.

Passed by the Band Assembly on this

thirtieth day of January in the year

one thousand nine hundred ninety four.

bavid Matrious, Speaker of Assembly

I . ~.

Marge Anderson. Chief Executive

James Genia. Solicitor General

2/Qç APPROVED

DATE:

FILED

DATE: _________

OFFICIAL SEAL OF THE BAND