OMMISSION 

September 23, 1993 

Robert B. Peacock 

Tribal Chairman 

Fond du Lac Reservation 

105 University Road 

Cloquet, Minnesota 55720 

Dear Chairman Peacock: 

This letter responds to your request to review and approve 

the tribal gaming ordinance, Ordinance # 09/93, submitted on 

July 21, 1993, and revised on August 24, 1993, for the Fond 

du Lac Reservation. This letter constitutes such approval 

under the Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the ~ational Indian 

Gaming Commission (NIGC), the Chairman is directed to review 

ordinances with respect to the requirements of that Act and 

the implementing regulations. Thus, the scope of the 

Chairman's review and approval is limited to the 

requirements of the IGRA and the NIGC regulations. Such 

approval does not constitute approval of specific games. 

The NIGC expects to receive the applications for key 

employees and primary management officials under 25 C.F.R. 5 

556.6 (as published in the Federal Register on January 22, 

1993, at 58 Fed. Reg. 5813) and fingerprint cards under NIGC 

Bulletin No. 2 which was sent to all tribes in July. 

Provisions other than those required under the IGRA or the 

NIGC regulations that may be included in a tribal ordinance 

are not subject to review,and approval. 

It is important to note that the gaming ordinance is 

approved for class I1 and class I11 gaming only on Indian 

lands as defined in the IGRA. 

The NIGC will be publishing the ordinance in the Federal 

Register pursuant to 25 C.F.R. 5522.8. 
Thank you for submitting the ordinance of the Fond du Lac 

Reservation for review and approval. The NIGC staff and I 

look forward to working with you and your Tribe on 

implementing the IGRA. 

Sincerely yours, 

Ant .pyx" ny J. ope 

cc: Dennis J. Peterson 

Donald J. Simon 
Fond du Lac Reservation 

Business Committee 

105 University Road. 

Cloquet. MN 55720 

Phone (218) 8794593 

Fax (21 8) 879-4146 

RESOLUTION {/ /2'/&'/- 

The Fond du Lac Reservation Business Committee, on behalf of the Fond du Lac . ; Band of Lake Superior Chippewa, hereby enacts the following Resolution: 

WHEREAS, the Fond du Lac Reservation is a sovereignty, created by the 

Treaty of September 30, 1854, 10 Stat. 1109, as the perpetual 

Chairman home of the Fond du Lac Band of Lake Superior Chippewa, which 

~obcrt B. Peacock possesses the inherent jurisdiction and authority to exercise 

SecrecarylTreasurer 

Peter I. Dcfoe 

Dirt. I Councilman 

Clifton Rabideaux 

Disl 11 Councilman 

Herman Wise 

Dirt 111 Councilman 

George Dupuis 

Executive Director 

I. Jun Mulder 

Eegulatory control within the boundaries of the Fond du Lac 

Reservation; and 

WHEREAS, it is the sovereign obligation of the Fond du Lac Reservation 

Business Committee, as the Governing Body of the Fond du Lac 

Band, under the Indian Reorganization Act, 25 U.S.C. 5 461 et 

seq., and in accordance with the Indian Self-Determination Act, 

, 25 U. S .C. 8 450 et seq. , to assume the responsibilities of self 

government; and 

WHEREAS, the Reservation Business Committee, pursuant to the requirements 

of the Indian Gaming Regulatory Act, 25 U.S.C. 8 2701 et seq., 

submitted the Fond du Lac Gaming Ordinance, Fond du Lac 

Ordinance //09/93, and the Gaming Regulations and Description of 

Procedures for Background Investigations promulgated thereto to 

the National Indian Gaming Commission on July 21, 1993; and 

WHEREAS, the National Indian Gaming Commission has reviewed the 

aforementioned submissions and has identified certain 

deficiencies as addressed by amendment hereunder; and 

WHEREAS, the Reservation Business Committee considers the following 

amendments to Fond du Lac Gaming Ordinance #09/93 and the 

Description of Procedures for Background Investigations 

promulgated thereto; 

NOW THEREFORE BE IT RESOLVED, that the Fond du Lac Reservation Business 

Committee hereby amends Fond du Lac Ordinance {,09/93 as follows: 

1. The definitions of "lotto," "paddlewheel," and "raffle," 

formerly Sections 202(b), 202(c) and 202(e) are deleted in 

their entirety, and the former Sections 202(d) and 202(f), 

entitled "tipboard" and "other games of chance," 

respectively, shall now be Section 202(b) and 202(c) of the 

Ordinance; and 

2. The term "An entity, " as used in the last sentence of Section 

401, shall be replaced with the term "The Band;" and 
RESOLUTION 102 ~6 /q 3 

Page 2 

NOW THEREFORE BE IT FURTHER RESOLVED, that the Reservation Business 

Committee hereby amends the Description for Conducting 

Background Investigations, promulgated pursuant to Fond du Lac 

Gaming Ordinance #09/93, to clearly provide that criminal 

history checks of all primary management officials and key 

employees shall be conducted by the Minnesota Department of 

Public Safety pursuant to the procedures set forth under the 

"Tribal-State Compact for Control of Class I11 Video Games of 

Chance on the Fond du Lac Band of Lake Superior Chippewa 

Reservation in Minnesota". and the "Tribal-State Compact for 

Control of Class I11 Blackjack on the Fond du Lac Band of Lake 

Superior Chippewa Reservation in Minnesota," and that 

fingerprint cards shall be processed by the Federal Bureau of 

Investigation, through the National Indian Gaming Commission, 

pursuant to the Memorandum of Understanding be tween the Band and 

the National Indian Gaming Commission dated July 13, 1993. 

We do hereby certify that the foregoing Resolution was duly presented and 

acted upon by a vote of 02 for, 0 against, silent, with a quorum 

of - being present at a SPecl~c Meeting of the Fond du Lac 

Reservation Business Committee held on &@GUS r LS/ , 19 43 in Cloquet, 

Minnesota. 

Robert B. Peacock, Chairman 

4 

Peter J. ~Ufoe, reas. as. 
EXHIBIT B 

FOND DU LAC BAND OF LAKE SUPERIOR CHIPPEWA 

GAMING ORDINANCE #09/93 

AS AMENDED 

Licensing and Regulation of Games of Chance 

Adopted by Resolution #1174/93 of the Fond du Lac ~eservation 

Business Conunittee, dated June 28, 1993. 

Amended by Resolution #1246/93 of the Fond du Lac ~eservation 

Business Committee dated August 24, 1993. 
Ordinance #08/88 entitled l8Licensing and Regulation of Bingo, Lotto 

and other Games of Chancelt is hereby repealed and in its place is 

substituted the following: 

FOND DU LAC BAND OF LAKE SUPERIOR CHIPPEWA 

GAMING ORDINANCE #09/93 

Licensing and Regulation of Games of Chance 

Cha~ter 1: Authoritv and Findinss 

Section 101 Authority 

This Ordinance is enacted pursuant to the inherent sovereign 

authority of the Fond du Lac Reservation Business'Committee, as the 

governing body of the Fond du Lac Band of Lake Superior Chippwewa, 

as granted by Article VI of the Constitution of the Minnesota 

Chippewa Tribe, and as recognized by the United States under 

Section 16 of the Indian Reorganization Act of 1934, 25 U.S.C. 5 

476, and under the Indian Gaming Regulatory Act of 1988, 25 U.S.C. 

1 2701 et seq. 

Section 102 Findinas 

The Reservation Business Committee finds: 

(a) That the operation of bingo, lotto and other games of 

chance by the Band is a valid means of promoting tribal econolnic 

development and the health and welfare of Band members. 

(b) That under the principles established by the United 

States Supreme Court in California v. Cabazon Band of Mission 

Zndians, 480 U.S. 202 (1987), Indian tribes have had the exclusive 

right to regulate gaming activity on Indian lands if the activity 

is not specifically prohibited by Federal law and conducted within 

a state, such as Minnesota, which does not criminally prohibit the 

activity. 

(c) That the United States Congress has enacted the Indian 

Gaming Regulatory Act, providing for certain federal regulation of 

Indian gaming. 

(d) That tribal regulation of gaming activity on the 

Reservation is vital to the protection of trust lands on the 

Reservation and to the protection of the interests of the Band and 

its members. 
Cha~ter 2: Definitions 

Section 201 Class I Gaminq 

"Class I gamingM means: 

(a) Social games played solely for prizes of minimal value. 

(b) Traditional forms of Indian gaming engaged in as a part 

of tribal ceremonies, celebrations, or pow wows. 

Section 202 Class I1 Gaminq 

The term nClass I1 gamingw means: 

(a) Binao. The game of chance which is played for prizes, 

including monetary prizes, with cards bearing numbers or other 

designations, in which the holder of the card covers such numbers 

or designations when objects, similarly numbered or designated, are 

drawn or electronically determined, and in which the game is won by 

the first person covering a previously designated arrangement of 

numbers or designations on such cards. 

Electronic, computer or technological aids -- such as 

computer-generated number sequences -- can be used in connection 

with Class I1 bingo, so long as all players play against the 

machine rather than against each other, are Class I11 games, 

subject to Chapter 5 of this Ordinance. 

(b) Tipboard. The game of chance where a board, playcard, or 

other device is marked off in a grid or column, in which each 

section contains a hidden number or other symbol which determines 

the winning chances. 

(c) Other Games of Chance. Games similar to bingo, 

including, if played at the same location as bingo, pull-tabs, 

punch boards, tip jars, and "instant bingo, " in which prizes are 

awarded on the basis of a designated winning number or numbers, 

color or colors, symbol or symbols determined by chance. 

Section 203 Class I11 Gaminq 

All forms of gaming that are not Class I or Class I1 gaming, 

including: 

(a) Electronic or electromechanical facsimiles of any games 

of chance or slot machines of any kind, including "video bingo." 
(b) All banking card games; that is, card games played 

against the house, including baccarat, chemin de fer, and 

blackjack. 

Section 204 Traditional Forms of Indian Gaminq 

(a) Gaming activities such as lastickll or llbonell games played 

as part of tribal ceremonies, celebrations, or pow wows. 

(b) Games such as rodeos or horse races, including those for 

which purses or prizes are awarded, that are played as part of 

tribal ceremonies, celebrations, or pow wows. This does not 

include games operated prior to a ceremony, celebration, or pow wow 

for the purpose of raising funds for the ceremony, celebration or 

pow wow; these are considered Class I1 games unless they meet the 

definition set forth in Section 205, below. 

Section 205 Social Games for Prizes of Minimal Value 

Games in which the total value of prizes awarded during the 

calendar year does not exceed $2,500. 

Section 206 Peservation Business Committee 

The Reservation Business Committee, the governing body of the 

Fond du Lac Band of Lake Superior Chippewa. 

Section 207 Net Revenues 

Gross revenues of a gaming activity less amounts paid out as, 

or paid for, prizes and total operating expenses, excluding 

management fees. 

Section 208 Key Emplovees 

(a) A person who performs one or more of the following 

functions: 

Bingo caller; 

Counting room supervisor; 

Chief of security; 

Custodian of gaming supplies or cash; 

Floor manager; 

Pit boss ; 

Dealer; 

Croupier ; 

Approver of credit; or 

Custodian of gambling devices including persons with 
access to cash and accounting records within such 

devices. 

(b) If not otherwise 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. 

Section 209 Primarv Manaaement Official 

(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. 

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

financial management responsibility. 

Section 210 Reservation 

The Reservation shall mean the Fond du Lac Reservation and any 

trust land held by the United States for the Fond du Lac Band. 

Cha~ter 3: Gamins Authorized 

Section 301 Ordinance 

Class I1 gaming and Class I11 gaming as defined in the Indian 

~arning Regulatory Act, P.L. 100-497, 25 U.S.C. 55 2703(7) and 

2703(8), and by the regulations promulgated by the National Indian 

Gaming Commission at 25 CFR 5 502.3, are hereby authorized. No 

Class I1 or Class I11 gaming shall be conducted on the Band's 

Reservation or on land held in trust for the Band by the United 

States except as authorized by this Ordinance. 

Chapter 4: Ownership of Games 

Section 401 Sole Pro~rietarv Interest in Band 

The Band shall have the sole proprietary interest in and 

responsibility for the conduct of any gaming operation authorized 

by this Ordinance. Ownership of Class I1 or Class I11 games by any 

entity other than the Band is prohibited. The Band shall be 

considered to "ownM a game if it has the sole authority to direct 
distribution of the game's revenues and sole ultimate 

responsibility for the conduct of the game. 

Chapter 5: Use of ~amina Revenue 

Section 501 Permissible Uses of Gamins Revenue 

Net revenues from Class I1 and Class I11 gaming shall be used 

only for the following purposes: to fund tribal government 

operations and programs; provide for the general welfare of the 

Band and its members; promote tribal economic development; donate 

to charitable organizations; or help fund the operation of local 

government agencies. 

Section 502 Per Capita Pavments 

If the Band 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 Interior under 25 U.S.C. I 

2710(b) (3) . 

Chapter 6 : Audit 

Section 601 Audit Reuuired 

The Band shall cause to be conducted annually an independent 

audit of gaming operations and shall submit the resulting audit 

reports to the National Indian Gaming Commission. 

Section 602 Fxce~tions 

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 Section 601 above. 

Chapter 7: Protection of the Environment and 

Public Health and Safety 

Section 701 Protection Reuuired 

Class I1 and Class I11 facilities shall be constructed, 

maintained and operated in a manner that adequately protects the 

environment and the public health and safety. 
Cha~ter 8: Class I Gaminq 

Section 801 Jteaulation of Class I Gaminq 

This Ordinance does not apply to Class I gaming as defined in 

Chapter 2, except as provided in this Section. The Band reserves 

the right to inspect the premises where the Class I game is held 

and to obtain and review financial information concerning the game 

in order to determine whether it meets the definition of a Class I 

game. In addition, Class I games may be subject to other tribal 

ordinances and regulations designed to protect the health and 

welfare of tribal members. 

Cha~ter 9: Resulation of Class I1 and Class I11 Gaminq 

Section 901 Reaulation by this Ordinance 

All Class I1 and Class I11 gaming conducted within the Fond du 

Lac Reservation or on land held in trust for the Fond du Lac Band 

by the United States shall be conducted according to the provisions 

of this Ordinance. 

Cha~ter 10: .License Remired for Class I1 

Section 1001 License Locations 

The Band shall issue a separate license to each place, 

facility or location on Indian lands where Class I1 or Class I11 

gaming is conducted under this Ordinance. No gaming may be 

conducted at any place, facility or location without a duly issued 

1 icense . 

Section 1002 License Amlication 

License for the conduct of Class I1 or Class I11 gaming may be 

issued only by the Reservation Business Committee, and only to the 

Band or a corporation or entity that is wholly owned by the Band. 

For each place, facility or location licensed, an application must 

be filed that provides the following information: 

(a) A description of the premises in which the game is to be 

held, and proof that the application is the owner of such premises, 

or lessee of such premises, for at least the term of the license. 
(b) Agreement by the applicant to accept and abide by all 

applicable provisions of this Ordinance and all conditions of the 

tribal license. 

(c) Satisfactory proof that notice of the application has 

been posted in a prominent, noticeable place in the Tribal Office 

and on the premises where the game is to be held for at least 30 

days prior to consideration by the Reservation Business Committee, 

and published at least twice in a local newspaper serving the 

Reservation. The notice shall state the date, time and place when 

the application shall be considered by the Reservation Business 

Committee to Section 1004. 

Section 1003 License Fees and Duration of License 

Each application shall be accompanied by a fee of $50.00. The 

license shall expire on December 3 1st of the calendar year in which 

it is issued. 

Section 1004 Hearina on Application for a License 

All applications for a license shall be considered by the 

Reservation Business Committee in open session at which the 

applicant, his attorney and any person protesting the application 

shall have the right to be present, and to offer sworn oral or 

documentary evidence relevant to the application. After the 

hearing, the Reservation Business Committee shall determine whether 

to grant or deny the application. The decision of the Reservation 

Business Committee is final. 

Section 1005 Conditions of the Tribal License 

Any tribal license issued under this Ordinance shall be 

subject to such reasonable conditions as the Reservation Business 

Committee shall establish, including, but not limited to the 

following: 

(a) The licensee shall at all times maintain an orderly, 

clean, and neat establishment, both inside and outside the licensed 

premises. 

(b) Prizes to be awarded are not limited, provided, however, 

that such prizes have been approved in advance by the Reservation 

Business Committee. 

(c) The licensed premises shall be opened to inspection by 

duly authorized tribal officials and officials of the National 

Indian Gaming Commission at all times during the regular business 

hours. 

(d) There shall be no discrimination in the operations under 

the tribal license by reason of race, color or creed, provided, 
however, that a licensee shall give a preference in employment to 

qualified Indians. In observing Indian preference, the licensee 

shall grant preference to qualified members of the Fond du Lac 

Band. 

(e) No person who is under the age of 18 shall participate 

nor shall be allowed to participate in any manner in the operation 

of any game. No person who is under the age of 18 shall pay in any 

game of chance. No person under the age of 18 shall be allowed on 

premises where games are being conducted. It shall be the 

responsibility of the licensee to assure that no unauthorized 

person is allowed to play in or participate in any manner in the 

operation of any game. 

(f) All licensees shall impose a uniform charge on all 

players for the bingo or lotto cards to be used in each bingo or 

lotto game. The rate to be charged players for cards shall be 

fixed by each licensee and posted conspicuously on the premises. 

No person shall be allowed to play in a game without first paying 

this uniform charge, with the exception that free games may be 

awarded as prizes. All sales of bingo or lotto cards are final. 

Each person paying for the opportunity to participate in a bingo 

game shall be given a bingo or lotto card which shall be numbered 

and can be readily identified as belonging to that licensee. Each 

card issued shall represent a specific amount of money which has 

been paid to the licensee. The amount of prize money represented 

by each card issued shall be clearly made known to all players 

prior to anyone paying to participate in the activity. 

(g) Bingo or lotto cards shall be sold and paid for, only in 

advance of use in a specified game or games. No bingo or lotto 

cards may be sold on credit or given as a loan of any kind 

whatsoever. 

(h) Lotto cards shall be printed, color coded and dated on a 

weekly basis. Unsold imprinted lotto cards shall be accounted for, 

recorded and destroyed before witnesses after the weekly lotto 

game. Sales of cards for the weekly lotto game shall be stopped at 

a predetermined time at all bingo locations where lotto cards are 

sold. 

(i) No licensee shall allow a person who manages or receives 

any compensation, directly or indirectly, for the operation of any 

Class I1 or Class I11 game conducted by the licensee to play in a 

game of chance conducted at that place, facility or location. 

(j) Each numbered ball, or other device, used in a bingo or 

lotto game for the selection of numbers to be called in play shall 

be the same weight as each of the other balls or devices used for 

the purpose of that game. Immediately following the calling of 

each number in a bingo or lotto game, the caller shall turn the 

portion of the ball or other device used to determine which number 

is called which shows the number and letter to the participants in 

the game so that participants may know that the proper number has 

been called out. Nothing in this section shall prohibit the use of 
electronic, computer or other technological aids in games of bingo 

or other games of chance provided that such aids are used properly 

and fairly. 

(k) Winners of bingo or lotto games must properly identify 

themselves with two (2) forms of identification. Winners must sign 

and date their winning card upon redemption and a receipt will be 

provided. Bingo or lotto cards shall be void if stolen, unissued, 

unreadable, mutilated, altered or counterfeited. 

(1) No beverage containing alcohol, including but not limited 

to, beer or liquor, shall be offered or awarded as a prize or in 

lieu of a prize for winning at any of the activities authorized by 

this Ordinance. 

(m) No person involved in the operation of any activity 

authorized by this Ordinance shall, directly or indirectly, in the 

course of such operation employ any device, scheme, or artifice to 

defraud; make any untrue statement of fact, or omit to state a fact 

necessary in order to make a statement not misleading in 

consideration of the circumstances under which such statement was 

made; engage in any act, practice, or course of operation as would 

operate as fraud or deceit upon any person. 

(0) The Reservation Business Committee may issue such 

regulations, at such time, and in such a manner as it shall choose 

to govern the conduct of gaming as defined under this Ordinance and 

to insure its operation for lawful purposes. 

(P) Each licensee shall have the authority to adopt additional rules and regulations concerning the conduct of gaming 

provided such rules are not inconsistent with the foregoing and 

have received the prior approval of the Reservation Business 

Committee. 

Section Assianment or Transfer 

No license issued under this Ordinance shall be assigned 

or transferred without the written approval of the Reservation 

Business Committee expressed by formal resolution. The Reservation 

Business Committee shall not assign or transfer any license except 

upon request of the holder of the license. 

Section 1007 Cancellation and Sus~ension 

The licensee must have, and exercise complete control over the 

premises being used for any Class I1 or Class I11 games of chance 

at all times said games are being played. The licensee and its 

employees shall be legally responsible for any violation of this 

Ordinance. Any license issued hereunder amy be cancelled by the 

reservation Business Committee for the breach of any of the 

provisions of this Ordinance or of the tribal license, upon hearing 

before the Reservation Business Committee or its designee after 10 
days notice of the claimed breach to the license. If the Band is 

the licensee, notice shall be sewed on the manager of the tribal 

operation. The time and place of the hearing shall be posted in 

the tribal office, and if time permits in a local newspaper serving 

the Reservation. The licensee, manager, their attorney and any 

person affected by the license shall have the right to be present 

and to offer sworn oral or documentary evidence relevant to the 

breach charged. A license may be suspended during the 10-day 

period by a majority vote of the Reservation Business Committee at 

which a quorum is present. The decision of the Reservation 

Business Committee shall be final. 

Section 1008 Tax Imposed 

The Reservation Business Committee does hereby impose upon the 

gross sales of any gaming conducted by a licensee pursuant to this 

Ordinance or any other lawful ordinance relating to gaming a tax of 

8% of the total gross sales received on any single gaming occasion. 

It shall be the responsibility of the licensee to collect this tax, 

fill out any applicable report forms, and return this tax to the 

Fond du Lac Reservation Business Committee within thirty (30) days 

of the end of the quarter during which the tax was assessed. 

Section 1009 Reports to the Band 

Each licensee shall submit to the Reservation Business 

Committee on a quarterly basis, a financial report for the previous 

quarter's operations. Such reports shall be signed, under oath, by 

an official or representative of the licensee, who in the case of 

a tribal operation shall be the operation's manager. The reports 

shall document: 

(a) Monthly attendance at bingo and other games. 

(b) Gross receipts for each month. 

(c) Names of each employee and the salary or other 

compensation paid to each. 

(d) Quantity of free plays. 

(e) All expenses in the operation of the games, specifying 

all payments to vendors and contractors. 

(f) The amount paid in prizes each month. 

(g) All bank deposits made from proceeds of all games, 

including any interest received on such deposits. 

(h) All expenditures of net proceeds including the amount, 

person or organization paid, date, and purpose of such 

expenditures. 

The Reservation Business Committee may require that record 
required to be kept by this section be preserved by a licensed 

organization for at least two years and may be inspected by 

employees or agents of the Reservation Business Committee at any 

reasonable time without notice or search warrant. Failure of an 

organization to cooperate with employees or agents of the 

Reservation Business Committee or failure to preserve such records 

may result in the immediate suspension without prior notice or 

hearing of that organization's license. 

Cha~ter 11: Licenses for Key Em~lovees 

and Primary Manasement Officials 

Section 1101 Policy 

The Band 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 I1 or Class I11 

gaming enterprise operated on Indian lands. 

Section 1102 Amlication Forms 

(a) 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. 55 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 Conunission members and staff who 

have need for the information in the performance of their 

official duties. The information may be disclosed to 

appropriate Federal, Tr'ibal, 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. 

(b) Existing key employees and primary management officials 
shall be notified in writing that they shall either: 

1. Complete a new application form that contains a 

Privacy Act notice; or 

2. Sign a statement that contains the Privacy Act 

notice and consent to the routine uses described 

in that notice. 

(c) 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: 

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, 5 1001. 

(d) The Band shall notify in writing existing key employees 

and primary management officials that they shall either: 

1. Complete a new application form that contains a 

notice regarding false statements; or 

2. Sign a statement that contains the notice 

regarding false statements. 

Section 1103 Backsround Investiaations 

(a) The Band shall request from each primary management 

official and from each key employee involved in Class I1 or Class 

I11 gaming all of the following information: 

1. Full name, other names used (oral or written), 

Social Security Number(s), birth date, place of 

birth, citizenship, gender, all languages (spoken 

or written) ; 

2. 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; 

3. 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 (a)2. of this section; 

4. Current business and residence telephone numbers; 

5. A description of any existing and previous 
business relationships with Indian tribes, 

including ownership interests in those businesses; 

6. A description of any existing and previous 

business relationships with the gaming industry 

generally, including ownership interests in those 

businesses; 

7. 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 ; 

8. 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; 

9. 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; 

10. 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 (a)8. and (a)9. of 

this section, the criminal charge, the name and 

address of the court involved and the date and 

disposition; 

11. The name and address of any licensing or 

regulatory agency with which the person has filed 

an application for any occupational license or 

'permit, whether or not such license or permit was 

granted ; 

12. A current photograph; 

13. Any other information the Band deems relevant; and 

14. Fingerprints consistent with procedures adopted by 

the Band and consistent with 25 C.F.R. 5 522.2(h). 

(b) The Band shall conduct a background investigation 

sufficient to make a determination under section 1104 below. In 

conducting a background investigation, the Band or its agent 

shall promise to keep confidential the identity of each person 

interviewed in the course of the investigation. The background 

investigation shall include a criminal history inquiry through 

the Federal Bureau of Investigation National Criminal ~nformation 

Center. 
Section 1104 Eliqibilitv Determination 

The Band 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 

Band 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 

employee or primary management official position. 

Section 1105 Procedures for Forwardina AD~lications and Reports 

for Kev Em~lovees and Primarv Manaqement Officials 

to the National Indian Gamins Commission 

(a) When a key employee or primary management official 

begins works at a gaming operation authorized by this Ordinance, 

the Band shall forward to the National Indian Gaming Commission a 

completed application for employment and conduct a background 

investigation and make the determination referred to in Section 

1104 of this Chapter. 

(b) The Band shall forward the report referred to in 

Section 1106 of this Chapter to the National 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 Association. 

(c) 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. 

Section 1106 Report to the National Indian Gamins Commission 

(a) Pursuant to the procedures set out in Section 1105 of 

this Chapter, the Band 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: 

1. Steps taken in conducting background 

investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The bases for those conclusions. 

(b) The Band shall submit, with the report, a copy of the 

eligibility determination made under Section 1104 of this 

Chapter. 
(c) If a license is not issued to an applicant, the Band: 

1. Shall notify the National Indian Gaming 

Commission; and 

2. May forward copies of its eligibility 

determination and investigative report (if any) to 

the National Indian Gaming Conmission for 

inclusion in the Indian Gaming Individuals Records 

System. 

(d) With respect to key employees and primary management 

officials, the Band shall retain applications for employment and 

reports (if any) of background investigations for inspection by 

the Chairman of the National Indian Gaming Association or his or 

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

termination of employment. 

Section 1107 Grantina a Gamina License 

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

Indian Gaming Commission receives a report, the National Indian 

Gaming Commission notifies the Band that it has no objection to 

the issuance of a license pursuant to a license application filed 

by a key employee or primary management official for whom the 

Band has provided an application and investigative report to the 

National Indian Gaming Commission, the Band may issue a license 

to such applicant. 

(b) The Band shall respond to a request for additional 

information from the Chairman of the National Indian Gaming 

Commission concerning a key employee or primary management 

official who is the subject of a report. Such a request shall 

suspend the 30-day period under paragraph (a) of this section 

until the Chairman of the National Indian Gaming Commission 

receives the additional information. 

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

the National Indian Gaming Commission provides the Band with a 

statement itemizing objections to the issuance of a license to a 

key employee or primary management official for whom the Band has 

provided an application and investigative report to the National 

Indian Gaming Commission, the Band shall reconsider the 

application, taking into account the objections itemized by the 

National Indian Gaming Commission. The Band shall make the final 

decision whether to issue a license to such applicant. 

Section 1108 License Suspension 

(a) If, after the issuance of a gaming license, the Band 
receives from the National Indian Gaming Commission reliable 

information indicating that a key employee or a primary 

management official is not eligible for employment under Section 

1104 above, the Band shall suspend such license and shall notify 

in writing the licensee of the suspension and the proposed 

revocation. 

(b) The Band shall notify the licensee of a time and a 

place for a hearing on the proposed revocation of a license. 

(c) After a revocation hearing, the Band shall decide to 

revoke or to reinstate a gaming license. The Band shall notify 

the National Indian Gaming Commission of its decision. 

Section 1109 Term of License: Renewal 

Each license shall be effective for a period of one year. 

Prior to the expiration of the license, the licensee shall update 

the information produced during the original investigation, and 

if the individual still meets the applicable standards, the Band 

shall renew the license for one year. Notice of any such 

renewals shall be forwarded by the Band to the National Indian 

Gaming Commission. 

Chapter 12: Manasement Contracts 

Section 1201 Approval Reuuired 

(a) Subject to the approval of the Reservation Business 

Committee, a licensee may enter a management contract for the 

operation and management of a Class I1 or Class I11 gaming 

activity. All such contracts are subject to the approval of the 

National Indian Gaming Commission; 

(b) Any licensee seeking to enter a management contract 

will be required to furnish certain information to the 

Commission. After the Reservation Business Committee approves 

the contract, the licensee shall forward the required information 

to the Commission. 

(c) The Reservation Business Committee shall not approve 

any contract unless its terms include: 

i. Adequate accounting procedures to be 

maintained by the contractor and verifiable 

financial reports submitted to the Band or 

the tribal subdivision on a monthly basis. 

ii. Access to the daily operation of the gaming 

for appropriate officials of the Band, who 

shall also have the right to verify the daily 
iii. 

vii. 

gross revenues and income made from the 

gaming activity. 

A minimum guaranteed payment to the Band that 

has preference over the retirement of 

development and construction costs. 

An agreed ceiling for the repayment of 

development and construction costs. 

A contract term not to exceed five years. 

A management fee not to exceed 30% of the 

gross revenues of the gaming activity. 

Grounds and mechanisms for terminating the 

contract. 

Chapter 13: Penalties 

Section 1301 Misdemeanor 

Any violation of any provision of this Ordinance or any rule 

or regulation authorized pursuant to this Ordinance or any giving 

of any false statement or omission of any required information in 

an application by a licensee for a license shall be a misdemeanor 

and subject to a fine of not more than $500 and/or 30 days in 

jail and/or a loss of a license and/or the removal from the Fond 

du Lac Reservation for such time as may be ordered by the 

Reservation Business Conunittee or a lawful tribunal designated by 

the Reservation Business Committee. 

Chapter 14: Class I11 Gamins Com~act(s) 

Section 1401 Class 111 Gamina Continaent on Com~act with the 

State 

Operation of any Class I11 game on trust land, and of any 

Class I11 game within the Reservation by the Band or other entity 

or individual shall not be permitted unless the game is 

authorized by a tribe/state compact approved by the Secretary. 

Any such compact shall conform to the requirements set forth in 

Public Law 100-497 for such compacts, and shall also conform to 

Chapter 10 of this Ordinance, unless any provisions of Chapter 10 

are specifically modified by the compact. 

Section 1402 Com~act for Video Gaminq 
This Ordinance hereby incorporates the provisions of the 

Tribal-State Compact for Control of Class I11 Video Games of 

Chance on the Fond du Lac Band of Lake Superior Chippewa 

Reservation in Minnesota, dated November 1, 1989, which permits 

the operation of Class I11 video games on the Reservation. 

Section 1403 CCR 

This Ordinance hereby incorporates the provisions of the 

Tribal-State Compact for Control of Class I11 Blackjack on the 

Fond du La Band of Lake Superior Chippewa Reservation in 

Minnesota, dated May 21, 1991, which permits the operation of 

Class I11 blackjack on the Reservation. 

To the extent that they are inconsistent with this 

Ordinance, all prior gaming ordinances are hereby repealed. 

CERTIFICATION 

We do hereby certify that the foregoing Ordinance #09/93 was duly 

presented and adopted by Resolution #1174/93 by a vote of 2 for, 

0 against, 0 silent, with a quorum of 3 being present at a 

Special Meeting of the Fond du Lac Reservation Business Committee 

held on June 28, 1993 in Duluth, Minnesota. 

Robert B. Peacock, Chairman Peter J. Defoe, Sec./Treas.