SECTION 8. GAMING LICENSE FEES

8.1

8.2

8.3

The Commission may establish the amount of the annual fee, provided
that any increase shall take effect only on the ensuing January 1.

The annual license fee shall be paid in advance of the initial issuance or
renewal of a license.

The annual license fee shall be prorated in the case of each initially issued
license.

SECTION 9. RECORDS AND REPORTS

9.1

9.3

9.4

9.5

9.6

Each licensee responsible for the gaming organization shall keep and
maintain sufficient books and records substantiate the receipts, expenses,
and uses of revenues relating to the conduct of gaming activities
authorized under a license. The records shall include but is not limited to
session summary sheets, operational budgets and projections and
tour/bus attendance and compensation. No later than the first and
fifteenth day of each month, each gaming organization shall provide, in a
report form prescribed by the Commission, a statement of gross revenues
and adjusted gross revenues received or collected at each gaming
organization during immediately preceding period.

No license shall falsify any books or records relating to any transaction
connected with the conduct of gaming activities authorized under a
license.

All books and records of a gaming organization relating to licensed
gaming activities shall be subject to review by the Commission or a person
designated by the Commission at any time during reasonable hours;
provided, that the Commission shall cause, at lease annually, to be
conducted an independent audit of gaming operations and of all contracts
in excess of $25,000.00 for supplies, services or concessions, except
contracts for professional legal or accounting services.

A copy of all insurance policies covering a gaming organization or any part
thereof shall be filed with the Commission.

The Commission shall submit the results of an audit performed pursuant
to Section 9.4 to the National Indian Gaming Commission.

SECTION 10. REVENUES


5.2

Each gaming establishment shall be separately licensed by the gaming
Commission. No gaming shall be conducted at any place, location or
facility without a duly issued license.

SECTION 6. APPLICATION FOR LICENSES

6.1

6.2

6.3

6.4

Application for an initial license or renewal of an existing gaming license
shall be made for each gaming establishment in the form prescribed by
the Commission and shall set forth the name under which the applicant
transacts or intends to transact business on the Reservation, and the
location of the gaming establishment for which the initial issuance or
renewal of a gaming license is sought. The application shall be signed by
the applicant if a natural person; or, in the case of an association or
partnership, by a member or partner thereof, or in the case of a
corporation, by an executive officer thereof; or, by some other person
specifically authorized by the corporation to sign the application, in which
case written evidence of the signatory authority shall be attached. In
addiction, the applicant shall provide evidence of authority of the signatory
or any other representative to act for and bind the applicant. If any
change is made in that authority the Commission shall immediately be
informed in writing and until that information is filed with the Commission
any action or the representative shall be presumed to be that of the
applicant.

Prior to issuing a license to a key employee or management official, the
Commission shall conduct a background investigation which at a minimum
shall be consistent with 25 C.F.R. Part 556 pursuant to 25 C.F.R. §
522.4(b) (5), as amended and insure that such employee or official has
properly completed the “Personal History Statement for Key Employees
and Primary Management Officials” attached hereto as Appendix 1.
Unless they have previously completed the Appendix I. form or another
form which contains the information required by 25C.F.R. § 556.4
(including the notices specified herein), the Commission shall notify
existing key employees or management officials that they must sign both a
statement containing a notice regarding false statements (18 U.S.C. §
1001) and a statement containing a Privacy Act notice and consent to
routine uses.

Each applicant shall be accompanied by payment of the appropriate
annual license fee and evidence of compliance with applicable ordinances
of the Tribe, including the Tribal Employment Rights Ordinance (TERO).

The Cornmission shall conduct an investigation sufficient to make a
determination under Section 6.2 herein, and Section 7.1 below. In
conducting a background investigation, the Commissioner or its agent
shail promise to keep confidential the identity of each person interviewed


12.5 Any licensee paying a penalty for late filing or failing to file a report for
which there is an acceptable excuse may petition the Commission for a
credit. The petition shall be filed within thirty (30) days after the petitioner
knew or should have known that the payment was excusable, but not
more than six (6) months after payment in any case.

12.6 Any person aggrieved by a decision made or action taken by the
Commission without notice and opportunity for hearing, may petition the
Commission for a hearing and reconsideration. The petition shall be filed
within (30) days after the petitioner knew or should have known of the
decision or action. The Commission shall grant a prompt hearing upon
receiving such a petition, and shall reconsider its decision or action in light
of what is presented at a hearing.

12.7 Any person aggrieved by a decision made or action taken by the
Commission after notice and opportunity for hearing may petition any
court of competent jurisdiction for review. Such petition shall specifically
set forth the reasons for aggrievement, and be filed with the court no later
than sixty (60) days after the Commission decision or action. The court
shall set the matter for hearing no later than thirty (30) days after receipt of
the petition, and may, upon establishing that it has jurisdiction, affirm,
modify or set aside the Commission's order. The reviewing court shall
modify or set aside Commission action, findings, and conclusions found to
be arbitrary or capricious, not in accordance with law, or without
observance of procedure required by law.

SECTION 13. USE OF GAMING REVENUES

13.1 Net revenues from gaming conducted under this Ordinance shall not be
used for purposes other than:

13.1.1 to fund tribal government operations or programs;
13.1.2 to provide for the general welfare of The Three Affiliated
Tribes and its members.;
13.1.3 to promcte tribal economic devetopment;
13.1.4 to donzte to charitablo organizations;
13.1.5 to hel}; fund operations of local government agencies.
SFCTION 14. PROTECTION OF ENVIRONMENTAL AND PUBLIC

HEALTH AND SAFETY


Resolution No. 07-3GvJB

BE IT FURTHER RESOLVED, That these amendments to Chapter 27 shall be submitted to
the National Indian Gaming Commission for approval by the NIGC Chairman in accordance
with 25 CFR § 522.2 within 15 day of the date of adoption of this Resolution.

BE IT FINALLY RESOLVED, that the amendments to Chapter 5-18, Part 7 herein enacted
shall become effective upon adoption and certification of this Resolution by the Tribal Business
Council and approval Of the Chairman of the National Indian Gaming Commission.

CERTIFICATION

I, the undersigned, as Secretary of the Tribal Busines$ Council of the Three Affiliated Tribes of
the Fort Berthold Reservation, hereby certify that the Tribal Businéss Council is composed of 7
members of whom 5 constitute a quorum, () were present at a Régular Meeting thereof duly’,
called, noticed, convened, and held on the oYday of December 2007; that the foregoing _
Resolution was duly ‘adopted at Such Meeting by the affirmative vote of _~p.members, O
members opposed, D_ members abstained, O_ members not voting, and that said, ‘Resolution
has not ‘been tescinded or amended in any way. a i

ye
My f bs
Chairman [ (ting, [ ] not voting. é : i}

Dated this ots December 2007.

secretaly, iy Beach Chairman, Marcus Wells,

Tribal Business Council Tribal Business Council


10.1

10.2

The gross revenues derived from operations of a tribally-owned and
licensed gaming enterprises are tribal funds and may be expended by a
manager only upon authority delegated by the Tribal Council.

All monies collected or received at a gaming establishment from the
conduct of gaming activities and admissions thereto, except any winnings
or cash prize of one hundred dollars ($100.00) or less paid immediately,
shall be deposited by the licensee daily in a separate bank account
designated by the Tribal Treasurer, which account will contain only such
monies. Cash prizes of more than one hundred dollars ($100.00), the
purchase prices of merchandise prizes and all expenses for such gaming
activities shall be withdrawn from such account by consecutively
numbered checks duly signed by a specified officer of officers of a
licensee and payable to a specific person or organization. There shall
also be written on the check the nature of the expense or prize for which
the check is drawn. No check shall be drawn to cash or a fictitious payee.

SECTION 11. VIOLATIONS

11.1

11.8

No person shall operate or conduct any gaming activity in a gaming
establishment on the Reservation without a gaming license issued by the
Commission, as required by this Ordinance, or in violation of this
Ordinance, IGRA, or Tribal/State Compact

No licensee or license applicant shall provide false information in
connection with any document or proceeding under this Ordinance.

No licensee shall fail to account fully for all monies received or collected in
connection with gaming activities.

No person under the age of eighteen (18) shall be permitted to participate
in any gaming activities.

No person shall engage in cheating (as that term is defined in Section
1,2.2 of this Ordinance) in any gaming activity.

No person, other than a law enforcement officer, may enter or remain ina
gaming establishment licensed under this Ordinance while in the
possession of a firearm or other weapon.

No person shall intentionally violate any of the regulatory provisions of the
other sections of this Ordinance, nor any rule, regulation or order of the
Commission.

Any person who is in privity with a violator shall be deemed to be in
violation of this Ordinance to the same extent as the violator.


12.2

12.3

12.4

12.1.3 Following a final decision of the Commission with respect to
the suspension, revocation, or conditioning of a license, the
Commission may bring an action in the Tribal Court for
imposition of one or more of the following sanctions.

12.1.3.1 Seizure of any gaming apparatus, proceeds, or other
property of a licensee or connected with the gaming
activities engaged in by the licensee;

12.1.3.2 in case of any nonmember of the tribes, expulsion
from Indian lands;

12.1.3.3 collection of any unpaid fees, interest, and penalties
unpaid after thirty (30) days;

12.1.3.4 execution on any nonexempt property on a violator
located within the exterior boundaries of the Indian
lands; and

12.1.3.5 such other relief as necessary to enforce its decision.

Any court of competent jurisdiction shall have jurisdiction over any civil
action brought by the Commission under this Ordinance and any court of
competent jurisdiction shall have authority to impose any and all sanctions
provided for herein.

Before taking any action authorized in Section 12.1, the Commission shall
use its best efforts to notify the alleged violator, in person or by letter
delivered, to his/her last known address, of the charges against him/her
and allow the alleged violator an opportunity for a prompt hearing. If the
alleged violator fails to respond, or cannot be found, the Commission may
proceed with a hearing notwithstanding, and take such action as it deems
appropriate.

Every person who applies for a gaming license and accepts such license
thereby acknowledges the civil enforcement jurisdiction and authority of
the Commission and a court of competent jurisdiction under this
Ordinance to order an execution on his/her nonexempt property, the
suspension or termination of his/her further conduct of gaming activities
and the seizure of his/her gaming equipment or proceeds or other
property, upon a proper finding of the Commission or the court that the
person has violated a provision of this Ordinance, despite lack of actual
notice, provided thal the Commission has used its best efforts to notify the
accused personally or by letter delivered to his/her last known address.


7.9

7.10

7.8.2

7.8.3

an application and investigative report to the National Indian
Gaming Commission, the Commission may issue a license
to such applicant.

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 thirty (30) day period
under Section 7.8.1 until the Chairman of the National Indian
Gaming Commission receives the additional information.

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

License Suspension:

7.9.1

7.9.2

7.9.3

If, after the issuance of a gaming license, the Commission
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 7.1 above, the Commission shall suspend
such license and shall notify in writing the licensee of the
suspension and the proposed revocation;

The Commission shall notify the licensee of a time and a
place for a hearing on the proposed revocation of a license;

After a revocation hearing, the Commission shall decide to
revoke or to reinstate a gaming license. The Co:nmission

shall notify the National Indian Gaming Commission of its

decision.

Until authorized by a tribal-state compact, no license shall be issued for
any Class Ill gaming establishment, primary management official, key
employee or any other employee or person as may be required by the
Commission from time to time.


1.2.16.2 Any person who has authority:
(i) To hire and fire employees; or

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

1.2.16.3 The chief financial officer or other person who
has financial management responsibility;

1.2.16.4 Any other person for whom the Commission
deems a license is necessary.

1.2.17 Reservation means the Fort Berthold Reservation
specifically including all lands, whether title thereto is held in
trust or in fee, situated within the exterior boundaries thereof,
as such boundaries were established by the Act of March 3,
1891, 26 Stat.1032, and such other Indian lands as provided
in 25 U.S.C. § 2703(4);

1.2.18 Tribe means the Three Affiliated Tribes

SECTION 2. TRIBAL GAMING COMMISSION

24

2.2

There is hereby established a gaming Commission which shall be called
the Three Affiliated Tribes’ Tribal Gaming Commission. The Commission
shall have seven (7) members all of whom shall be appointed by the Tribal
Business Council. The Commission shall be filled by selecting from the
adult enrolled members of the Three Affiliated Tribes resident on the
Reservation. The members and alternate member of the Commission
shail serve terms of four (4) years. Successor Commission members shall
be designated not sooner than sixty (60) days nor later than thirty (30)
days before the terms of the members expire. A Commission member
may be removed during his or her term for cause upon a two-thirds vote of
the members voting of the Council. Vacancies which occur by death,
disability, resignation or removal shall be filled by the Council within thirty
(30) days after the vacancy occurs, and such replacement shall serve the
remainder of the terms of the former member.

2.1.1. The Commission shall be funded in accordance with a budget
prepared by the Commission and as approved by the Council.

No member or alternate member of the Commission shall engage in any
business which is subject to regulation by the provisions of this Ordinance.


SECTION 1.

11

flow

1.2

GAMING
CHAPTER 27
CODE OF LAWS

OF THE THREE AFFILIATED TRIBES
OF THE FORT BERTHOLD RESERVATION

An Ordinance to authorize, license and regulate

gaming on lands of the Three Affiliated Tribes.
DECLARATION OF POLICY AND DEFINITIONS

It is the declared policy of the Three Affiliated Tribes:

1141

That gaming conducted on Indian lands of the Three
Affiliated Tribes shall be regulated by the Council for the
protection of the public health, welfare and morals of all
residents, employees and persons who visit the reservation
for gaming purposes from the adverse affects which may
from unregulated gaming;

That is the objective of the Tribe (i) to achieve the maximum
potential for Tribal revenue from gaming and (ii) to sustain
the highest achievable levels of tribal revenue from gaming ;
and

That the conduct of gaming activities provided for by this
Ordinance within lands of the Three Affiliated Tribes and
regulation thereof shall be in conformance with the Indian
Gaming Regulatory Act, 102 Stat. 2467, 25 U.S.C. § 2701
et seq. (IGRA)

As used in this Ordinance, unless the context requires otherwise:

1.2.1

1.2.2

Adjusted gross revenues mean gross revenues less cash
prizes or the cost of merchandise prizes,

Cheating means operating or playing in a game in a manner
in violation of the written or commonly understood rules of
the game, with the intent to create for himself/herself or
someone in privity with him/her an advantage over and
above the chance of the garne;


GAMING
CHAPTER 27
CODE OF LAWS

OF THE THREE AFFILIATED TRIBES
OF THE FORT. BERTHOLD RESERVATION

As amended by Resolution of the Tribal Business Council
Mandan, Hidatsa & Arikara Tribes

October 14, 1994

Resolution No. 94-084-JJR
AND
December 13, 1994
Resolution No. 94-38-MW

AND
October 19", 2000

Resolution No. 00-171-DSB

AND
December 20" 2007

Resolution No. 07-236-VJB
Ordinance Approved, as amended, by
the National Indian Gaming Commission Chairman

October 19, 2000


7.11

Conditions of the Tribal License. Any tribal license issued under this
Ordinance shall be the subject to such reasonable conditions as the
Commission may establish, including, but not limited to the following:

TAWA

7.11.2

7.11.3

7.11.4

FAVS

7.11.6

The license shall at all times maintain an orderly, clean, and
neat establishment, both inside and outside the licensed
premises.

The licensed premises shall be opened to inspection by duly
authorized tribal officials and officials of the National Indian
Gaming Commission and officials of the Commission at all
times upon demand;

There shall be no discrimination in the operations under the
tribal license by reason of race, color or creed, provided,
however, that the licensee shall give a preference in
employment to qualified Indians. In observing Indian
preference, the licensee shall grant preference to qualified
members of the Three Affiliated Tribes.

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
play in any game of chance. No person under the age of 18
shall be allowed to 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.

A licensee shall continuously provide information that
impacts, or may reasonably be expected to impact their
status as licensee. 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
devise, 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 under any person;

The Commission 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.


1.2.13

1.2.14

1.2.15

1.2.16

(iv) Custodian of gaming supplies or cash:

(v) Floor manager;

(vi) Pit boss;

(vii) Dealer:

(viii) | Croupier;

(ix) | Approver of credit;

(x) Custodian of gambling devises including
persons with access to cash and
accounting records within such devises;

If not otherwise included, any other person

whose total cash compensation is in excess of

$50,000.00 per year.

If not otherwise included, the four most highly

compensated persons in the gaming operation;

or

Any other person for whom the Commission
deems a license is necessary

Net revenues means gross gaming revenues of any gaming
operation less:

1.2.13.1 Amounts paid out as, or paid for, prizes; and

1.2.13.2 Total gaming-related operating expenses,
excluding management fees.

Persons means any individual, firm, partnership, corporation,
corporation, company or association;

Player means a person participating in a game with the hope
of winning money or other benefit but does not include a
licensee, or any assistant of a licensee;

Primary management official means:

1.2.16.1 The person having management responsibility
for a management contract;


14.1. Gaming establishments on the Reservation shall be constructed,
maintained and operated so as to protect the natural environment and the
public health and safety.

SECTION 15. CLASS II! GAMING COMPACT

15.1 Operation of any Class Ill games within the Reservation by the Tribe or
other entity or individual shall not be permitted unless the games are
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, 25 U.S.C. § 2701, et seq. for such compacts, and shall also
conform to the terms of this Ordinance, unless any provision of this
Ordinance is specifically modified by the Compact.

15.2 This Ordinance hereby incorporates the provisions of the Gaming
Compact between the Three Affiliated Tribes and the State of North
Dakota for the operation of Class ill gaming on the Fort Berthold
Reservation dated October 7. 1992.

15.3. This Ordinance hereby incorporates the provisions of the Pari-Mutual
Racing Addendum to the Gaming Compact between the Three Affiliated
Tribes and the State of North Dakota, which said Addendum is dated April
14, 1993, and provides for the operation of pari-mutal racing within the
Fort Berthold Reservation.

SECTION 16. APPLICABI.E LAW

16.1 All controversies involving contracts related to gaming entered under the
authority of the Three Affiliated Tribes on its Indian lands shall be
resolved, as appropriate, in accordance with (i) Indian Gaming Regulatory
Act, (ii) the law of the Tribe and (iii) if no tribal law exists, the Commission
or a court may, as its discretion, adopt state laws as tribal law,

SECTION 17. SAVINGS PROVISIONS

17.1 If any provision of this ordinance or the application thereof to any person
or circumstance is held invalid, the invalidity shall not effect other
provisions or applications of the Ordinance which can be given effect

without the invatid provision or application and to this end the provisions of
this Ordinance are severable.

SECTION 18. EFFECTIVE DATE
18.1 This Ordinance shall be effective immediately.

SECTION 19, DISPUTE RESOLUTION

20



Mis

Marcus Wells, Jr

Chairman

Three Affiliated Tribes

404 Frontage Road

New Town, ND 58763-9404

RE: Gaming Ordinance Amendment

Dear Mr. Wells:

This letter responds to your request on behalf of the Three Affiliated Tribes for the
National Indian Gaming Commission (NIGC) to review and approve the Tribes'
amendment to their gaming ordinance. The amendment to the gaming ordinance was
adopted by the Three Affiliated Tribes Tribal Business Council Resolution 07-236 VJB.
This proposed amendment eliminates the statutory requirement of a Gaming Commission
Comptroller and restructures the Tribal Gaming Commission and staff.

This letter constitutes approval under the Indian Gaming Regulatory Act (IGRA), 25
U.S.C. § 2701 et seq., of this amendment to the Tribe’s gaming ordinance.

Thank you for. jtting the amendment for review and approval. If you have any
i fease contact Staff Attorney Jennifer Ward at (202) 418-9814.

Philip N. Hogen
Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


with the procedures of the Indian Gaming Regulatory Act, 25 U.S.C. §
2701 et seq., and as further defined in 25 CFR § 502.4.

SECTION 4.

41

TRIBAL GAMING COMMISSION AUTHORITY

The Tribal Gaming Commission shall have the authority and responsibility

to:

44]

4.1.2

4.1.10

4.1.11

receive applications to license and conduct Class | gaming
activities on the Reservation.

receive applications to license and conduct Class II gaming
activities on the Reservation.

receive applications to license and conduct Class III gaming
activities on the Reservation upon such terms and conditions
which may be provided for in any compact entered into
between the Three Affiliated Tribes and the State of North
Dakota.

enforce and administer the provisions of this Ordinance, the
IGRA, and the Tribal/State Compacts;

upon application issue and renew gaming licenses and
permits as provided in this Ordinance and in regulations
promulgated by the Commission:

grant, revoke, suspend, or condition a license or deny an
application for a license for a violation of this Ordinance or
federal laws and regulations governing the conduct of
gaming;

promulgate regulations governing the procedures of the
Commission implementing this Ordinance;

collect fees and interest as provided in this Ordinance and
the IGRA;

levy and collect penalties as provided in this Ordinance;
increase the respective amounts of the annual license and
permit fees, provided that such fees shall not be increased

retroactively;

audit expenditures, receipts, and reports;


23

2.4

25

2.6

27

The Commission shall act by majority vote of a quorum present and each
member of the Commission shall be entitled to one vote except that the
alternate member shall only be entitled to vote in place of an absent
member. A quorum shall consist of five (5) members.

The Tribal Business Council shall appoint the members of the
Commission as soon as possible after the effective date of the Ordinance.
Such members and alternate members shall assume their offices
immediately upon appointment, and shall serve until their successors are
appointed.

The Commission shall elect from among its members a Chairman, and
such other officers as the Commission may deem appropriate.

Gaming Commissioners may be compensated for services at an amount
determined by the Tribal Business Council of the Three Affiliated Tribes.

The Gaming Commission may be staffed by personnel who shall assist
the Commission with its regulatory functions, according to a budget and
staffing plan developed by the Commission and approved by the Tribal
Business Council. Gaming Commission personnel shall be recruited and
selected by the Tribal Business Council but be under the immediate and
direct supervision of the Commission.

SECTION 3. GAMING AUTHORIZED

3.1

3.2

3.3

3.4

The Tribe shall have sole proprietary interest in all gaming authorized by
this section, except as otherwise provided pursuant to the Indian Gaming
Regulatory Act.

The following Class | games may be licensed for conduct on the
reservation: Social games played solely for prizes of minimal value;
traditional forms of Indian gaming engaged in as a part of tribal
ceremonies, celebrations or pow wows, including but not limited to rodeos
or horse races and “stick” or “bone” games; and as further defined in 25
C.F.R. § 502.2.

Class II games as follows may be licensed for conduct on the Reservation:
bingo (whether or not electronic, computer, or other technologic-aids are
used in connection therewith) including, if played in the same location,
pull-tabs, lotto, punchboards, tip jars, instant bingo, and other games
similar to bingo and as may be further defined in 25 C.F.R.§ 502.3.

Class III games as follows may be licensed for conduct on the
Reservation: gaming to the full extent authorized by and in accordance


1.2.3

1.2.4

1.2.5

1.2.6.

1.2.7.

1.2.8.

1.2.9.

1.2.9.10.

1.2.11.

1.2.12.

Class 1 gaming means that gaming defined in 25 U.S.C. §
2703 (6), and by the regulations promulgated by the National
Indian Gaming Commission (NICG) at 25 CFR § 502.2.

Class |! gaming means that gaming defined in 25 U.S.C. §
2703(7), and by the regulations promulgated by the NIGC at
25 C.F.R. § 502.3;

Class III gaming means that gaming defined in 25 U.S.C. §
2703 (8), and by the regulations promulgated by the NIGC at
25 C.F.R. § 502.4;

Commission means the Tribal Gaming Commission as
established pursuant to section 2 of this Ordinance.

Council means the Tribal Business Council as described in
the Tribal Constitution;

Gaming means risking any money or other thing of value for
gain, contingent, wholly or partially, upon lot, chance, the
operation of gaming apparatus, or the happening or outcome
of an event over which the person taking the risk has no
control;

Gaming establishment means any location or structure,
wherein gaming is licensed, promoted, performed,
conducted, or operated;

Gross revenues means all moneys collected or received
from a gaming operation and admissions thereto,

In privity with means one who acts jointly with another or as
an accessory before the fact to an act committed by the
other or as a co-conspirator with the other;

Key employee means:

4.2.12. A person who performs one or more of the
following functions:

(i) Bingo caller;
(ii) Counting room supervisor,

(iii) Chief of security;


11.9 The licensee who employs persons in a gaming establishment is
responsible to ensure that all primary management officials and key
employees assisting in operating any gaming activity on the licensee’s
behalf comply with the Ordinance. A violation by any such official or any
employees shall be deemed a violation by the licensee, subjecting such
licensee to civil enforcement action, and it shall not be a defense that a
licensee was unaware of the violation.

11.10 No person, playing in or conducting any gaming activity authorized under
this Ordinance, shall:

11.10.1 use bogus or counterfeit cards, or substitutes or use any
game cards that have been tampered with;

11.10.2 employ or have on one’s person any cheating device to
facilitate cheating in any gaming activity.

11.10.3 use any fraudulent scheme or technique, including when an
operator or player of games of charitable gaming tickets
directly or indirectly solicits, provides, or receives inside
information of the status of a game for the benefit of either
person:

11.10.4 cause, aid, abet, or conspire with another person or cause
any person to violate any provision of this Ordinance or any
rule adopted under this Ordinance.

SECTION 12. CIVIL ENFORCEMENT

12.1. The Commission may take any one or a combination of the following

actions with respect to any person who violates any provision of this
Ordinance:

12.1.4 Impose a civil penalty not to exceed five hundred dollars
($500.00) for each violation, and if such violation is a
continuing one, for each day of such violation, a penalty of
one hundred dollars ($100.00) per day for failure to file any
roport when due and one thousand dollars ($1,000.00) per
day for failure to file such report after notice and demand;

12.1.2 Suspend, revoke or condition any gaming license or deny an
application for the issuance or renewal of a license issued by
the Commission;


WHEREAS,

Resolution No. 07-236VJB

pursuant to the authority set out in the Constitution and the Indian Gaming
Regulatory Act, the Tribal Business Council adopted Resolution No. 94-084 JJR

_ which enacted Chapter 27- Gaming of the Code of Laws of the Three Affiliated

WHEREAS,

- Tribes on October 14, 1994 which authorizes Class III gaming on the Fort

Berthold Indian Reservation; and

The Tribal Business Council also adopted Resolutions 94-38 and 00-171 DSB

~ amending Chapter 27 of the Code of Laws of the Three A ffi liated Tribes; and

WHEREAS, Title 27- Gaming was approved by the Chairman of the National Indian Gaming

WHEREAS,
WHEREAS,

WHEREAS,

Commission on October 19", 2000; and

Section 2 of Chapter 27 establishes the Three Affiliated Tribes Tribal Gaming

: Commission which is a seven member Commission appointed by the Tribal
sy Business Council; and :

Section 2.5 of Chapter 27 provides that the Gamu ig Commission shall elect from
among its members a chairman, a comptroller ‘and such other officers as the
commission shall deem appropriate; an :

Section 4 of Title 27 sets for the powers of the Tribal Gaming ‘Commission and
Section 4.1.21 provides that the Commission has the power to employ such staff

: as necessary to administer and enforce the ordi: ance; and

WHEREAS,

WHEREAS,

The Tribal Gaming Commission members. ‘currently serve in the capacity as full-
time staff members to the Commission; and »

The Tribal Business Coundil has determined that it is necessary to restructure the
operation of the Gaming Commission so that it may operate as a regular
functioning Commission and meet its overall responsibility of regulating gaming
on the Fort Berthold Reservation and whereby Gaming Commissioners shall not
be full-time employees but instead the Commission will supervise a staff of
between 5 and 8 employees who will be hired by the Tribal Business Council, be
compensated pursuant to the Commissions annual budget and be under the direct
supervision of the Gaming Commission, and


in the course of the investigation. Fingerprints taken by the Commission
or on behalf of the Commission by the North Dakota Bureau of Criminal
Investigation shall be submitted through the National Indian Gaming
Commission or the State of North Dakota to the Federal Bureau of
Investigation for the fingerprint check. In addition, for Class Ill gaming, the
Commission shall conduct an investigation as required by the Tribal/State
Compact. The Commission may by regulation establish a schedule of
fees applicable to background investigations.

SECTION 7. ISSUANCE OF LICENSES

7A

7.2

Upon receipt of a complete application, the Commission shail review an
applicant'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 and licensing in
a gaming operation. If the Commission determines that employment or
licensing of the applicant 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, the applicant shall not be employed or licensed.

The Commission may issue or renew a gaming license to an applicant
who submits a proper and completed application and pays the appropriate
annual fee, provided that no license shall be issued to or renewed for an
applicant:

7.2.14 who is not a person or good character, honesty, and
integrity:
7.2.2 whose prior activities, criminal record, reputation, habits, and

association pose a threat to the public interest of the
Reservation or to the effective regulation and control of
gaming, or create or enhance the dangers of unsuitable,
unfair or illegal practices, methods, and activities in the
conduct of gaming, or the carrying on of the business and
financial arrangements incidental to the conduct of gaming:

7.2.3 who has had, or who is in privity with anyone who has had, a
gaming license revoked for cause in any jurisdiction;

7.2.4 who is delinquent in the payment of any obligation owed to
the Tribe pursuant to this Ordinance or a management
contract;

7.2.5 who has failed to comply with this Ordinance or any

resolution adopted by the Council;

10


7.7

7.8

7.6.2

7.6.3

7.6.4

background investigation. An investigative report shall
include all of the following:

7.6.1.1 Steps taken in conducting a background
investigation.

7.6.4.2 Results obtained;

7.6.1.3 Conclusions reached; and

7.6.1.4 The basis for those conclusions.

The Commission shall submit, with the report, a copy of the
eligibility determination made under Section 7.1.;

If a license is not issued to an applicant, the Commission:

7.6.3.1 Shall notify the National Indian Gaming
Commission; and

7.6.3.2 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
Record System.

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.

The National Indian Gaming Commission shall be promptly notified of the
issuance of licenses for primary management officials and key employees
of a gaming enterprise

Granting a gaming license:

7.8.1

{f, 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


Resolution No. 07-235VJB

WHEREAS, The Tribal Business Council believes that the proposed restructuring of the
Gaming Commission will enable the Commission to act as a fully autonomous
regulatory agency with less potential conflicts of interests because the
Commission staff will be conducting investigations of matters that will be
considered by the Commission rather than then Commissions performing
investigations and other day to day functions; and

WHEREAS, The Tribal Business Council intends to amend Title 27 to meet its objectives and
to establish that the Gaming Commission staff will be hired by the Tribal
Business Council under a plan developed by the Tribal Business Council pursuant
to a Resolution but such staff will be under the immediate and direct supervision
of the Gaming Commission;

NOW.THEREFORE BE IT RESOLVED, that Chapter 27- Gaming of the Code of Laws of
the Three Affiliated Tribes is hereby amended as follows: 1

L. Section’ 2. amended. by striking the language a Compe roller. and ‘the language The
: Comptroller shall be bonded and shall be responsible for all money sollected by the
_ Commission.

2. Section 4.1.21 is amended by deleting it in its entirety.
3. By aciding a new Section 2.6 as follows:

“26 Gaming Commissioners may be compensated for services at an amount
determined by the Tribal Business Council of tl the Three Affiliated Tribes.

4, By adding anew Section 2.7 as follows:

2.7 The Gaming Commission shall be staffed by personnel who shall assist the
Commission with its regulatory functions, according to a budget and staffing plan
developed by the Commission and approved by the Tribal Business Council.
Gaming Commission personnel shall be recruited and selected by the Tribal
Business Council but be under the immediate and direct supervision of the
Commission.


19.1

Disputes involving members of the public and a gaming enterprise
Operated by the Tribe shall be submitted first in writing to the Manager of
the gaming enterprise, who shall render a decision on the dispute in
writing, stating reasons thereof. If thereafter the member of the public is
unsatisfied, a written statement of the dispute and reasons for
dissatisfaction may be submitted to the gaming Commission, which may in
its discretion request additional information from the disputant and/or the
Manager, and which shall render its decision on the dispute in writing.

21


Resolution No. 07-O&CVJB

~

RESOLUTION OF THE GOVERNING BODY P
OF THE
THREE AFFILIATED TRIBES
OF THE
FORT BERTHOLD INDIAN RESERVATION

A Resolution Entitled: Amendment to Chapter: 27- Gaming of the Code of Laws of the Three
Affiliated Tribes of the Fort Berthold Reservation”

WHEREAS,

This Natioi having accepted the Indian Reorganization Act of June 18, 1934, and
the authority, under said Act and shaving adopted a Constitution and By- -laws

: pursuant to said Act; and

WHEREAS,
WHEREAS,

WHEREAS,

‘adtiéle. ‘Ill of the Constitution of the Three Affiliated Tribes provides that, the
Tribal Business Council is the governing body of the Tribes; and,

The ‘Constitution of the Three Affiliated Tribes ‘authorizes ind _ empowers the
Tribal Business Council to engage in activities on behalf of andi ‘in the interest of
the welfare and benefit of the Tribes and of the enrolled menibers thereof, and

Article VI, Section 3 of the Constitution ‘Biants the Tribal Business Council all

legislative authority necessary for the purpose of exercising the jurisdiction
“granted by Article I of the Constitution; and; :

WHEREAS, ' the Indian Gaming Regulatory Act, 25 usc 2701 authorizes Indian Tribes to

WHEREAS,

WHEREAS,

engage in Class III Gaming provided it is conducted in accordance with a Gaming
Compact between the tribe and State in which the: Indian Tribe is located and
provided the gaming the is authorized by an Ordinance adopted by the governing
body of the tribe having jurisdiction over the lands where the gaming will be
conducted which is approved by the Chairman of the National Indian Gaming
Commission; and

25 CFR $522.3 provides that an Indian Tribe shall submit for the chairman’s
approval any amendment to a tribal gaming ordinance within 15 days of its
adoption; and

25 CFR § 522.2 sets forth the NIGC’s submission requirements for tribal gaming
ordinances and amendments to such ordinances; and


4.1.12 review, on demand, such books and records and inspect the
premises and operations of applicants and licensees as it
deems necessary for the enforcement of this Ordinance;

4.1.13 issue such forms as it deems necessary;

4.1.14 institute such legal proceedings in a court of competent
jurisdiction as it deems necessary for the enforcement of this
Ordinance. Such action taken, however, shall not be
deemed an express or implied waiver of sovereign immunity
of the Commission or the Tribe;

4.1.15 conduct hearings on matters involving the application for any
license required by this Ordinance and as may otherwise be
required in this Ordinance.

4.1.16 deposit all fees, penalties, interest and civil fines collected
under authority of this Ordinance into an account designated
by the Council;

4.117 maintain a correct and full accounting of all fees, penalties,
interest, and civil fines received under authority of this
Ordinance, and provide a monthly record of that accounting
to the Couricil upon its request;

4.1.18 take all actions and issue orders necessary to perform
properly and fully its duties and responsibilities under this
Ordinance with all protection otherwise afforded to members
of the Tribal Business Council and its employees including
but not limited to sovereign imrnunity from any legal action
taken against the Commissioners, its staff, contractors and

employees.
4.1.19 resolve disputes and complaints of the gaming public;
4.1.20 prepare a budget sufficient to carry out the duties of the

Commission under this Ordinance; and

SECTION 5. GAMING LICENSE REQUIRED

5.1

A tribal gaming license shall be required for each person having a
management contracl, each primary management official and key
employee and such other employees as designated by the Commission in
its rules.


7.3

7.4

7.5

7.6

7.2.6 who occupies a competing position within a five hundred
mile radius of the tribal gaming enterprise.

Each license shall be valid for one-year following issuance.

A license may not be assigned or transferred and is valid only for use by
the person in whose name it is issued and at the gaming establishment for
which it is issued. A license issued to a gaming organization or individual
licensee shall be conspicuously displayed at all times.

Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the National Indian Gaming
Commission:

tA 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 complete application for
employment and conduct the background investigation and
make the determination referred to in Section 7.1;

CBD: The Commission shall forward the report referred to in
Section 7.5 to the National Indian Gaming Commission
within sixty (60) days after an employee begins work or
within sixty (60) days of the approval of this ordinance by the
Chairman of the National Indian Gaming Commission;

7.5.3 No gaming establishment shall employ as a key employee or
primary management official a person who does not have a
tribal license after ninety (90) days;

7.5.4 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.

Report to the National Indian Gaming Commission:
7.6.1 Pursuant to the procedures set out in Section 7, the

Commission shall prepare and forward to the National Indian
Gaming Commission an investigative report on each

11