9 2003

BOARD OF TRUSTEES

CHAIRMAN -

HELEN M. BLUE

VICE CHAIRMAN -

TERESA PETERSON

TRIBAL SECRETARY -

BRAD J. LERSCHEN

TRIBAL TREASURER -

LINDA J. BLuE

MEMBER AT LARGE - THOMAS V. Ross

POST OFFICE Box 147

5738 HIGHWAY 67

GRANITE FALLS, MN 56241

320.564.3853

320.564.4482 -FAX

Upper Sioux Community Resolution No. 50-2003

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Upper Sioux Community Pejuhutazizi Oyate is a federally

recognized Indian Community bordering the county of Yellow Medicine

and the state of Minnesota; and

the Upper Sioux Community, hereby possessing its powers of selfgovernment, self-determination and asserting its Sovereignty by the

Constitution of the Upper Sioux Community enacts this governing

resolution; and

the Upper Sioux Community is governed by the Board of Trustees which

is empowered by the Tribal Constitution to act on behalf of the members

of the Upper Sioux Community; and

the Upper Sioux Community has entered into a compact with the state of

Minnesota under the Indian Gaming Regulatory Act and operates Prairies

Edge Casino Resort on the Upper Sioux Community reservation near

Granite Falls, Minnesota; and

on January 27, 1997, the Board of Trustees adopted non-substantive,

technical amendments to its Federally approved Gaming Ordinance to

reflect grammatical errors and to provide for a regulatory body to oversee

its Gaming Operations, then known as the Gaming Regulations

Compliance Board; and

these amendments were approved by the National Indian Gaming

Commission on July 22, 1997; and

Upper Sioux Community Resolution No. 50-2003

Page 1 of 2
4. Section 402B was amended lowering the gaming age from 19 to 18 as

allowed by the Gaming Compacts between the Upper Sioux Community

and the State of Minnesota.

Should you have any questions or concerns regarding the revisions to the Gaining

Ordinance please contact me. Thank you for your attention to this matter.

Sh~JU,k~ Helen . Blue, Chairman

Board of Trustees

Upper Sioux Community Pejuhutazizi Oyate

C: Upper Sioux Community Gaming Commission

LeifE. Rasmussen

Page 2 of 2
I.,

UPPER SiOUX

COMMUNITY

GAMING ORDINANCE

Revised April, 2002

Frank W. Redner / Compliance Advisors

for

Upper Sioux Community

Gaming Commission

Reviewed and revised LER:

Reviewed and revised BJL:

Reviewed and revised BOT:

May 30, 2003

29 June 2003

31 July 2003

Cover
CONTENTS

Title I: General Provisions

Section 100: Short Title

Section 101: Findings and Intent

Section 102: Purpose

Section 103: Gaming Authorized

Section 104: Ownership of Gaming

Section 105: Use of Gaming Revenue

Section 106: Audit

Section 107: Protection of the Environment

Sectionl 08: Licenses for Key Employees & Primary Management Officials

Section 109: License Locations

Section 110: Definitions

Section 111: Severability

Title H: Regulation and Enforcement

Section 200: Upper Sioux Community Gaming Commission

Section 201: Regulations

Section 202: Hiring and Training

Section 203: Hearing Officer

Section 204: Hearings

Section 205: Sanctions

Title Ill: Licensing of Distributors, Employees and Fees

Section 300: License Required

Section 301: Application for License

Section 302: Machine Leases

Section 303: Classes of Licenses

Section 304: Renewal

Section 305: License Fees

Title IV: Rules and General Applicability

Section 400: Rules of Gaming Operation

Section 401: Dispute Resolution

Section 402: Restriction for Gaming Enterprise

Title V: Reserved for Future Use

Upper Sioux Community Gaming Ordinance Page 2 of 19
Title I: GENERAL PROVISIONS

Section 100: Short Title

This Ordinance shall be known as the Upper Sioux Community Gaming

Ordinance. It is promulgated pursuant to Provision 9(H) of the Constitution of the

Upper Sioux Community.

Section 101: Findings and Intent

The Upper Sioux Community Board of Trustees finds that:

A. The Upper Sioux Community is a sovereign entity retaining the

powers of self-government and self-determination;

B. The Upper Sioux Community desires to continue to exercise its

inherent authority over its internal affairs;

C. The Upper Sioux Community requires methods for maintaining a

base from which to generate revenues for self-perpetuation and essential

governmental services;

D. A gaming facility came into existence at the Upper Sioux

Community following the passage of the Indian Gaming Regulatory Act of

1988, P.L. 100-497. The Upper Sioux Community shall have proprietary

interest and responsibility for the conduct of any gaming on Community

lands in a manner commensurate with the best interests of the people of

the Upper Sioux Community.

E. This Ordinance addresses as required all provisions of the Indian

Gaming Regulatory Act of 1988, P. L. 100-497.

Further, the Upper Sioux Community Board of Trustees has determined that the

intent of this Ordinance is to:

F. Foster a spirit of cooperation with the Federal Government through

cooperation with the National Indian Gaming Commission regarding the

regulation of Class II gaming;

G. Foster a spirit of cooperation with the State of Minnesota in the

regulation of Class Ill gaming;

Upper Sioux Communny Gaming Ordinance Page 3 of19
H. Regulate gaming on Tribal lands and other lands within the

jurisdiction of the Upper Sioux Community, in compliance with the TribalState Gaming Compact and other applicable law;

1. Protect gaming as a means of promoting Tribal economic

development;

2. Ensure that gaming is conducted fairly and honestly by both

the operators and players as a means of providing both recreation

and entertainment, entirely free from organized crime and other

corrupting influences;

3. Ensure that construction and maintenance of all gaming

facilities, and the operation of gaming conducted at those facilities,

shall at all times protect the environment, the public health and

welfare, and the sovereignty of the Upper Sioux Community, and

that such gaming shall comply with all applicable Tribal, Federal,

and Tribal-State Compact laws;

4. Establish and enforce an adequate system of internal

controls that will result in accountability for revenues generated

from the gaming facilities; maintain an adequate system to

implement necessary background investigations, licensing, and

monitoring of employees at gaming facilities; and establish and

maintain an adequate system for the investigation, enforcement,

and prosecution of violations of this Ordinance and the attendant

rules and regulations adopted by the Community.

Section 102: Purpose

The purpose of this Ordinance is to regulate the conduct of Class II and Class Ill

gaming activities on the trust land of the Upper Sioux Community.

A. All gaming activities shall be conducted exclusively on Indian

Lands as defined by 25 U.S.C. §2703(4) and 25 C.F.R. §502.12, and

limited by 25 U.S.C. §2719.

B. All gaming activities shall be conducted under the exclusive control

and responsibility of the Upper Sioux Community;

Upper Sioux Communizy Gaming Ordinance Page 4 of 19
Section 103: Gaming Authorized

Class II and Class Ill gaming as defined in the Indian Gaming Regulatory Act,

P.L. 100-447, 25 U.S.C. Section 2701 et-seq. is hereby authorized.

Section 104: Ownership of Gaming

The Tribe shall have the sole proprietary interest in and responsibility for the

conduct of any gaming operation authorized by this Ordinance.

Section 105: Use of Gaming Revenue

A. Net revenues from Class II and Class Ill 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 Interior under 25 U.S.C. 2710 (b) (3).

C. The USC Gaming Commission shall oversee the transfer of funds

to ensure the percentages of the Upper Sioux Community Per Capita Plan

are met. Once this is completed, their responsibility for overseeing the

proper distribution of funds ends.

Section 108: AudIt

A. The Tribe shall cause to be conducted annually an independent

audit of gaming operations and shall submit the resulting reports to the

National Indian Gaming Commission.

B. All gaming related contracts that result in the purchase of supplies,

services, or concessions in excess of $25,000 annually, except contracts

for professional legal and accounting services, shall be specifically

included within the scope of the audit that is described in Subsection A

above.

Upper Sioux Community Gaming Ordinance Page 5 of 19
Section 107: Protection of the Environment

Class II and Class Ill gaming facilities shall be constructed, maintained and

operated in a manner that adequately protects the environment and the public

health and safety.

Section 108: Licenses for Key Employees and Primary Manaciement

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 II or Class ill gaming enterprise operated on

Tribal lands:

A. Definitions.

For the purposes of this section, the following definitions apply:

1. Key employee means:

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

functions:

(1) Bingo caller;

(2) Count room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(6) Croupier;

(9) Approver of credit;

(10) Custodian of gaming 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 $50,000.00 per year; or

(C) If not otherwise included, the four most highly

compensated persons in the gaming operation.

Upper Sioux Communny Gaming Ordinance Page 6 of19
2. Primary Management 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 working policy for the gaming operation.

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

financial management responsibility.

B. Application Forms.

1. The following notice shall be placed on the application form

for a key employee or a primary management official.

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 the National Indian Gaming Commission members division staff

who have need for 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 the Upper Sioux Board of Trustees/Gaming Commission or the

National Indian Gaming Commission in connection with the hiring

or firing of an employee, the issuance or revocation of a gambling

license, or investigations of activities while associated with a tribe

or a gaming operation. Failure to submit to the disclosures

indicated in this notice will result in the Upper Sioux Community

dba Firefly Creek Casino or Prairies Edge Casino Resort being

unable to hire you in a primary management official or key

employee position. A false statement on any part of your

application may be grounds for not hiring you, or termination after

you begin work, also, you may be punished by fine or imprisonment

(US Code, title 18, section 1001). The disclosure of your Social

Security Number (SSN) is voluntary. However, failure to supply a

SSN may result in errors in processing your application.

Upper Sioux Community Gaming Ordinance Page 7 of 19
2. Existing key employees and primary management officials

shaH 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 described in that notice.

C. Background Investigations.

1. The Tribe shall request from each primary management

official and from each 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 languages (spoken or written);

(b) Current and for the previous five (5) years: business

and employment positions held, ownership interested on 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;

(1) A description of any 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 a license

or permit was granted;

Upper Sioux Communiiy Gaming Ordinance Page 8 of19
(h) For each felony for which there is an ongoing

prosecution or a conviction, the charge, the names and address of

the court involved, and the date and disposition;

(i) For each criminal charge (excluding minor traffic

charges), whether or not there is a conviction, if such criminal

charge is within ten (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 addresses of the court

involved and the date and disposition;

U) 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;

(k) A current photograph;

(I) Any other information the Tribe deems relevant; and

(m) Fingerprints consistent with procedures adopted by

the Tribe according to 25 CFR 522.2 (h).

2. The Tribe shall conduct an investigation sufficient to make a

determination under subsection 0 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.

D. Eligibility Requirements.

The Tribe shall review a persons prior activities, criminal record, if any,

and reputation, habits and association 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 regulations 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.

Upper Sioux Community Gaming Ordinance Page 9 of19
E. 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 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 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 Commission.

3. The gaming operations shall not employ as a key employee

or primary management official a person who does not have a license

after 90 days.

F. Report to the National Indian Gaming 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 basis for those conclusions.

2. The Tribe shalt submit with the report a copy of the eligibility

determination made under subsection D of this section.

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

(a) Shall notify the National Indian Gaming Commission;

and

Upper Sioux Community Gaming Ordinance Page 10 of 19
(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

systems.

4. With respect to key employees and primary management

officials, the Tribe 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 not less

than three (3) years from the date of termination of employment.

G. Gaming License Issuance.

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

primary management official for whom the tribe has provided an

application and investigation 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 primary management official who is the

subject of a report. Such a request shall suspend the thirty (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.

H. License Suspension.

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

from the National Indian Gaming Commission reliable information

indicating that a key employee or a primary management official is not

Upper Sioux Community Gaming Ordinance Page 11 of 19
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 to reinstate a gaming license. The Tribe shall notify the National Indian

Gaming Commission of its decision.

Section 109: License Locations

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

Indian lands where gaming is conducted under this ordinance.

Section 110: Definitions

The definitions stated in 25 CFR part 502 are incorporated herein by reference.

The following words and phrases when used in this Ordinance shall have the

meaning respectively ascribed to them in this section:

A. Board of Tn,stees shall mean the governing body of the

Community, duly elected in accordance with the terms of the Constitution of the

Upper Sioux Community, adopted January 9, 1996.

B. Community or Tribe shall mean the Upper Sioux Community,

a federally recognized Indian tribe located on the Upper Sioux Reservation and

governed by its duly elected Board of Trustees.

C. Tribal/State Compacts shall mean the Tribal/State Compact for

Control of Class Ill Video Games of Chance on the Upper Sioux Community

Reservation entered into with the State of Minnesota in 1989 and the

Tribal/State Compact for Control of Class Ill Blackjack on the Upper Sioux

Community Reservation entered into with the State of Minnesota in May of 1991.

D. Gaming Enterprise shall mean any commercial business owned

by the Community and operated, in part or in whole, for the conduct of Class Ii

and Class Ill gaming as authorized by the Tribe, the Indian Gaming Regulatory

Act, and the Tribal/State Compacts.

Upper Sioux Community Gaming Ordinance Page 12 of 19
E. Gaming Test Laboratory shall mean, as contemplated by

Section 6.1 of the Tribal-State Compact regarding Video Games of Chance, a

laboratory agreed to and designated in writing by the Minnesota State

Commissioner of Public Safety and the Community as competent and qualified

to conduct scientific tests and evaluations of video games of chance and related

equipment; a laboratory operated by or under contract with the states of

Minnesota, or Nevada, or New Jersey, or South Dakota, constitutes a

designated gaming test laboratory.

F. Indian Gaming Regulatory Act of 1988 shall mean the Act of

the United States Congress adopted on October 17, 1988, as Public Law 100-

497, 102 Stat. 2467, codified at 25 U.S.C. 2701 et seq.

Section 111: Severability

If a Court finds that any provision of this Gaming Ordinance is invalid or

unenforceable, the Court may sever that provision, and the remaining provisions

of this Gaming Ordinance shall remain in full force and effect.

TITLE II: REGULATION AND ENFORCEMENT

Section 200: Upper Sioux Community Gaming Commission

There is hereby established an Upper Sioux Community Gaming Commission

(Gaming Commission) for the exclusive purpose of regulating and monitoring

gaming on behalf of the tribe. The Board of Trustees shall appoint three (3)

Upper Sioux Community members or other persons with gaming experience to

the Gaming Commission to serve in accordance with this title and the Gaming

Commissions operating regulations. The Gaming Commission shall appoint

inspectors or agents for the purpose of conducting observations or inspections

in the gaming facility.

Section 201: Regulations

The Gaming Commission shall develop procedural regulations to enforce this

Ordinance, subject to review and approval by the Board of Trustees.

Section 202: Hiring and Training

Due to the high unemployment of the Upper Sioux Community members,

preference in hiring will be given to Indian Community members and then to

other American Indian persons as permitted by federal law. This rule shall be

enforced in hiring, training and promotion.

Upper Sioux Community Gaming Ordinance Page 13 of19
Section 203: Hearing Officer

The Gaming Commission may appoint a hearing officer to hear a dispute that

may come before the Gaming Commission concerning this Ordinance and

regulations and enforcement. The hearing officer will make recommended

findings and reasons for the Gaming Commission.

Section 204: Hearings

The Gaming Commission shall provide a hearing prior to final action concerning

suspending or revoking a license, if requested; and as allowed or set by

regulation or law.

Section 205: Sanctions

Violations of this Ordinance will subject a person to sanctions that may include

fine and suspension as appropriate. Unlawful trespass will prompt immediate

response and appropriate sanction. The Gaming Commission, subject to review

and approval by the Board of Trustees, shall set up a schedule of fines and

sanctions as deemed necessary.

TITLE III. LICENSING OF DISTRIBUTORS. EMPLOYEES. FEES.

SectIon 300: License Required

Any person, organization or entity (including management officials and key

employees), on behalf of the Community, conducting a public gaming enterprise

pursuant to the provisions of this Ordinance or any person, organization or entity

selling, leasing or otherwise distributing gambling equipment or video games of

chance to the Community, shall be required to have a license. Community public

gaming operations being conducted within the jurisdiction of the Community

without the lawful written approval of the Gaming Commission is prohibited.

Section 301: ADplication for License

Any person, organization or entity (including management officials and key

employees), on behalf of the Community, wishing to conduct a public gaming

enterprise pursuant to the provisions of this Ordinance or any person,

organization or entity selling, leasing or otherwise distributing gambling

equipment or video games of chance to the Community, the application shall

contain the following information:

Upper Sioux Community Gaming Ordinance Page 14 of 19
A. The name(s) and mailing address of the person or entity making

the application;

B. The name(s) and addresses of all interested parties (including

those with direct or indirect financial interest and their interest and

connection to the applicant);

C. The nature of the license applied for; the type of activity to be

engaged in under the license;

D. Explicit and detailed disclosure of any criminal record, including

any delinquent taxes owned to the State of Minnesota, of the applicant,

any person involved in the organization, and any party of interest whose

name appears on the application;

E. Any additional information necessary to allow the Community or

the State of Minnesota to investigate the applicant or any person included

on the application;

F. Whether the applicant, if a distributor of gambling equipment, has

been properly licensed by the State of Minnesota pursuant to Minnesota

Statute section 349.151; and proof of being the holder of a current and

valid distributor or manufacturer license from the State of Minnesota; or

properly licensed and holding a current and valid license from either the

State of New Jersey, Nevada or South Dakota;

G. Whether the applicant, if a distributor of gambling equipment, has

ever had a distributor or manufacturer license revoked or suspended by

the state that issued the license and, if so, the circumstances surrounding

the states action;

H. A statement of waiver allowing the Community and the State of

Minnesota to conduct a background investigation of the applicant and any

person whose name is required to appear on the application;

I. Whether the applicant or any person whose name is required to

appear on the application maintains any involvement in the business of

wholesale distribution of alcoholic beverages.

Section 302: Machine Leases

In addition to a distributor license provided for in Section 301, the person or

entity with whom the Community enters into a lease or sales agreement

Upper Sioux Communiiy Gaming Ordinance Page 15 of 19
regarding video games of chance must obtain from the Gaming Commission an

annual non-transferable license for each video game of chance to be placed in a

gaming enterprise operating under the provision of this Ordinance.

A. An application for a license for a video game of chance shall

contain the following information:

1. The name and address of the applicant with proof of a

current and valid distributors or manufacturer license issued by a

state and the Community.

2. Identification numbers or codes for each video game of

chance placed in a Community gaming enterprise, including the

manufacturer, the serial number and the model number.

3. Proof of approval and certification of the machine by an

approved gaming test laboratory or proof that the video game of

chance conforms precisely to the exact specifications of the video

game of chance prototype tested and approved by the gaming test

laboratory.

4. All other information as required by the Tribal/State

Compacts;

5. Proof of a current and valid video game of chance license

issued by the State of Minnesota pursuant to Minnesota Statute

section 349.52.

B. Upon issuance, the Gaming Commission shalt have attached to

each video game of chance licensed under the provisions of this

Ordinance, an unremovable identification plate on the exterior cabinet

which contains the information as required by the Tribal/State Compacts.

Section 303: Classes of Licenses

Upon proper application and approval, the following classes of licenses may be

issued by the Gaming Commission:

A. Class A license for a gaming enterprise in which a gaming operator

wishes to conduct Class II gaming at a Community gaming enterprise; the

license shall be site-specific;

Upper Sioux Community Gaming Ordinance Page 16 of 19
B. Class B license for a gaming enterprise in which a gaming operator

wishes to conduct Class III gaming at a Community gaming enterprise;

the license shall be site-specific;

C. Class C license to any management official or key employee of

either a gaming operator or the Community; the license shall be valid for a

period of one year and a Class C-I license to any other employee, not

licensed as a management official or key employee, of a gaming operator

or the Community employed in a gaming enterprise licensed under the

provisions of this Ordinance; the license shall be valid for a period of one

year.

D. Class D license to any distributor or manufacturer of gambling

equipment and/or video games of chance to be used in a Community

gaming enterprise; the license shall be valid for a period of one year.

E. Class E license for each video game of chance to be used in a

Community gaming enterprise; the license shall be valid for a period of

one year.

Section 304: Renewal

All licenses granted pursuant to this Title III must be renewed on an annual basis

in accordance with the procedure set forth in Section 301.

Section 305: License Fees

Annual license fees shall be set by the Gaming Commission for gaming

distributors, management officials and employees.

TITLE IV: RULES AND GENERAL APPLICABILITY

Section 400: Rules of GaminQ Operations

Each licensee operating a gaming enterprise under a license issued pursuant

the provision of this Ordinance shall prominently display in writing all rules and

regulations pertaining to all gaming activity, including but not limited to

traditional bingo, other games of chance and video games of chance, near the

specific locations where such gaming activity is conducted; or shall make a

written copy of all such rules and regulations available to any person making a

request for such.

Upper Sioux Community Gaming Ordinance Page 17 of 19
Section 401: Dispute Resolution

Any person who disagrees with a final decision made by the Gaming

Commission including, without limitation, those decisions regarding licensing,

suitability determination, compliance with applicable law and other regulatory

matters, must, within (30) days of receipt of a written decision, send a written

request to the Gaming Commission and the Upper Sioux Community Tribal

Court requesting a hearing before the Tribal Court.

The matter will be scheduled for a hearing before the Tribal Court within thirty

(30) days of the receipt of the written request for a hearing. The Tribal Court

shall review the Gaming Commissions findings and may hear testimony and

accept evidence before making a final decision. The Tribal Court shall use an

arbitrary and capricious standard of review when rendering its decision.

The decision of the Tribal Court shall be final.

Section 402: Restriction for Gaming Enterprise

The Upper Sioux gaming enterprise must at all times observe the following

restrictions on gaming activities:

A. No credit extended: All gaming shall be conducted on a cash basis.

Except as herein provided, no person shall be extended credit for gaming

by any gaming enterprise. This restriction shall not apply to credits won

by players who activate plays on video games of chance after inserting

coins or currency into the game, and shall not restrict the right of a

gaming enterprise to offer check cashing or to install or accept bank card

or credit card transactions in the same manner as would normally be

permitted at any retail business within the State of Minnesota.

B. Minimum age for players: No person below the age of eighteen

(18) shall be permitted to participate in the gaming in any gaming

enterprise licensed under the provisions of this Ordinance. If any persons

below the age of eighteen (18) years plays and otherwise qualifies to win

any prize, the prize shall not be paid. The estimated amount wagered

during the course of the game may be returned to the player at the

discretion of the casino.

C. Regulation of alcohol: no gaming enterprise shall allow to be sold

or otherwise make available any beverage containing alcohol except in

strict compliance with the Upper Sioux Community Liquor Control

Ordinance.

Upper Sioux Community Gaming Ordinance Page 18 of19
D. Prohibition on firearms: no firearms or air guns which are capable

of discharging dangerous projectiles or gases including, but not limited to,

bbs or C02 guns, rifles, shotguns, pistols or revolvers, shall be allowed

in the premises except as permitted for security by an employed security

force or other city, state, or federal law enforcement officers in the

course of their official duties.

E. Other rules of conduct and regulations will be developed by the

Gaming Commission as needs arise.

TITLE V: RESERVED FOR FUTURE USE

CERTIFICATION

We, the undersigned members of the Upper Sioux Community Board of

Trustees, do hereby certify that the foregoing Ordinance was duly adopted and

approved on July 31, 2003, by a vote of Five (5) For, Zero (0) Against, and with

Zero (0) Abstentions.

Helen M. Blue, Chairman /

Board of Trustees /

Li da J. Bl~, Treasurer

Board of T~istees

Teresa R. Peterson, Vice

Board of Trustees

Tom V. Ross, Member at Large

Board of Trustees

Chairman

Attest:

Brad J. L~rschen, Tribal Secretary

Board of Trustees

Upper Sioux Communily Gaming Ordinance Pagel9 of 19