Gabe Prescott, President 

Lower Sioux Indian Community 

P.O. Box 308 

Morton, MN 56270 

Dear President Prescott: 

This letter is in response to your request for the National Indian Gaming 

Commission (NIGC) to review and approve an amendment to the Lower Sioux 

Indian Community (Communjty) Gaming Ordinance (Ordinance) enacted via 

ResoIution No. 09-430. The ordinance is consistent with the requirements of the 

Indian Gaming Regulatory Act (IGRA) and NIGC's regulations and is hereby 

approved. 

T see, however, that this amendment eliminates the Board of Directors for 

the gaming operation and replaces all members of the Tribal Gaming Commission 

with the Community Council. I understand from conversations you have had 

with the Office of Genera1 Counsel ht this is proposed as a cost-saving measure 

and is projected to save the Community hundreds of thousands of dollars over the 

coming year. WhiIe I appreciate the practicdity of the amendment, 1 am 

concerned that it may have the unintended effect of creating conflicts of interest 

for members of the Community Council and eroding the independence of the 

Tribal Gaming Commission. 

Under the amendment, the Community Council is responsible for both the 

management of the Jackpot Junction casino and its regulation. FiscaI and 

regulatory obligations sometimes conflict directly, and T question whether the two 

roles can be wholly fulfilled by the same individuals. 1 have attached NIGC 

Bulletin 99-3 for further discussion of this issue. I hope that the Community wilI 

consider putting safeguards in place to protect the independence of its gaming 

commission and the NIGC offers any assistance you may require in this endeavor. 

NATIONAL HEADQUARTERS 1 c41 L 51 NW, SU~P 91IXJ, Wash~ngton. DC 2COO5 TcI LO2 632 7903 Fax 702 632.7066 www.~~cc.cov 

REGIONAL OFFICES Portland, OR. Sacramentc, CA, Pho~ntu. AZ, 5t P~IJ~ Mb:, Tu!srt. OK 
Thank you for your submission. If you have any questions, please contact 

Staff Attorney Jennifer Ward at 202-632-7003. 

u 

George T. Skibine 

Acting Chairman 
72i1712M59 14:34 LOHER SIOUX INDIAN CCJHMY WwWgGffl P.0021043 

Lower Sioux Indian Community 

P.O. Box 308 39527 Res. Hwy. 1 

Modon, Mimasoh 56270 

Ccansqupi 0 tunwe 

 LO^ SIOUX mEAN coRESOLUIION NO. 09- qaAMENDING THE LOWR SIOUX INOXAN COMMUNITY IN MINNESOTA 

GAMING ORBINANCE 

WEEREAS, The Lower Sioux Indian Com~ty is n duty orgatlized and fe&dy 

recognized Indian Tribe, mdm 25 U.S.C. w76, and is govmed by a 

Cdthn and By-Lam originally adapted by the. Community's 

members on May 16,1936, and agpved by the Semtary of the United 

States Department ofthe herim on Srule 1 1,1934; and 

WHEREAS, pwsuanttotheConsti~mmdBylawsof~~LowerSiouxhh 

Cmmity, he Community Council is the governing body ofthe 

chmm*: and , 

WHEREAS, the Community ComA has the avdhori@, mder Article V, section (I), to 

regulate Community agwcim and officials, amd der ArticIe V, section 

(Q), to protect and preserve ;Ehe proper~y of the Lower Sioux Community; 

ans 

WHEREAS, for most of the yem during wlaich the Lower Sioux Comuni@ has 

operated gaming entaprises under the Mm Gdg Fkgdat~ry Ad of 

1988, the Lower Sioux Community Council smed as the Community's 

Gaming Commission; but in the recent past the Community has 

mpmimmted with a more elaborate and far more expensive system under 

which the ~uthority to regulate gaming was given to a separate 

govmmentd enti@ and business affairs of the gaming enterprise were 

overseen by a separate Board of Dimtom; and 

WHEREAS, the Cofx#nunlty Council finds &at the use of a separate gaming regukhry 

entity and a Bd of Dimtom has proved expensive and cuhom, 

md has yielded no discernible bmeM to the Cornunity as against the 

system kt the Community historicdly .y;lxas employed; and 
1 211 712GO9 1435 LOWER SfWX INDIAN COMMUNITY FbX)507 697 llS P.0031043 

WHERl?AS, the Cod@ Council wishes to reassume the role of ha Corimanity's 

Gaming Commission, and to toabolish the Board of Directors that 

Commmiy's present Oaming Ordinance contemplates, but also wishes to 

retain all of the safeguards and requirements that are mandated by the 

Man Gaming Regulatory Act of 1988; 

NOW THEREFORE BE IT RESOLVED, that the Law= Siow Corn- Council 

approves the amendments to the Community's Gaming Ordinatlce reflected in the 

"redlhd" document attached haeto, in which the Community Comcil reassumes the 

mle of the Comutlity's Gaming Commission and the entity formerly known as the 

Board of Directors is abolished; md 

AND BE XT R"URTHER IKESOLI;VEID, that the Lower Sioux Community Coutlcil 

=quests -that fhe National Indian Wing Commission approve these amhts. 

I ow that RmoIrrEiox1 No. 09-rn was duly dqkd by the Community Council of 

the Lower Sioux Indian Community at a duly &led meeting held on the L-l day of 

Dmber, 2009, a quorum being pres%nt, by a vote of3 in favor, a opposed, md 

0 abstainiag. 

/ 

Iola Hernandez, Treasurer 

,& /J? 

Brenda Fendleton, Vice-Pmsident Denny ~'rescott, Assistant Secretary- 
1211712009 14135 LOWER SIOUX IHDIAN COMMUNITY 

V, Use of Gaming Revenue 

X%. Envhmmt and Publio Hdh and SW 

I Licmm for Key Enpl- md hay Manwent 0#!&9 
R Sroadm for Farwarding Applfmtlanfi and RepDtts fbr Key 

EmpI~yt@s BnB Airnary Managcmmt OBdals to he NlGC 

F, Rqmt to the NIGC 

Xp. Licenses for Vendors 

XVI, License Lpcatims 
1211 R2009 14:36 LOWER SIOUX INDIAN COMMY FW~~fl P.O06!04J 

L Pupme 

l'he Lower Sioux Indim Commualty empowered by Community's Cwdtution hmaby ma 

this ordimue in order to regdub gaming actIvitf~ drhia the Cornmuniya jurisdiction. 

' 

II. Ddnitions 

Unless a diEmt meaning is clemly hdioated in fhia OFdinanes, tha tams used hmh shall 

hsva he samb mmhg as deffned in the Indian bhg Regulatory A& (iGM], 25 U,S .C, 8 

2701 et seq., and ib mgulatiog 25 C%X. 8 500 et sq. &d3dly: 

XVD$. CompliaPee with Federal Law 

Rum- R* 

] . I'cI~ I gaming" mmm ficcial gmes soIeb fvr plrizas of minminimaI vdm m 

rradWond 

I hr of Indian gsmiog mgagad in by indivtduals ns 8 part oL or in mnneolim with, 
1 211 71M09 14 :56 LOWER SlOW INDIAN CM.1MUNITY (Fax)507 69697 8618 P.0071043 

B6. 'TI= II gafiw' has the same mion as laid mf in 25 W3.C. 8 2743(7$(A) ---..--- 

w! 

wmputer, or other techmIogic wid^ tm used in don therewith); 

i. which is played forprizes, including mcmekry prize^, with dards bdng 4-..---m 

mb or &ar dasignations, &------ 

ii. in which the holder ofthe card covers su& numbers or designdons whn 

obj%tS, similarly uumhed or designated, am drawn or elmonlcally 

&mind, and 

iii. inwhi&~gamefs~bythafhtpmn&g apdously 

ddgnated arrangement of numbers or desbatiuns m such EW&, Wuding 

UfpImyed in the me Idon) pull-&b$, lotto, p6h bard% tlppjars, in-t 

bing~, and other gme~ similar to bingo, md 

1, art txpIfcItIy anthid by the lam offie htq or 

ii. arc not explicitly prohibited by the 1-of& State and me played N my 
1211 712809 1437 LOWER SIOUX lHDl AN COMMUNITY fpx)sO7 697 861s P.008i043 

ldan irr. the St&, but only ifsu& card pus m flayed in mnforinjty 

with those law and mp~Mons of my). ofthe State repding hours or 

phf& of omm of such card gamw m Ihftationa an wagers or pot 

sizes in sa& cad games. 

c. The term "Clm ll gamingn docs ncd ttlelude: 

L ~WO~ZG Or el-~chdcd fscaImnts oi my game of-GS w slot 

machines of my kind. 

PIS. 

TsiM hming 

%nmdssion"mmsthe 

Cornmlssim 

* 

~erformingldgulatory 

oversight md mmltgring- mqlianca withMb& Mmd, and applioable State 

regulasims. 

1 . TomWmer" r"ms a w~dthe hwcr Sioux Cmanitv C-n as a 

Trihal Gaming C~missioner, 

. HCampslctn mms a TriW-SteP: Compact m&g dl&% IU gamhg approved mt 

to 25 U S.C. 5 2710(d), 
1 2117E009 143 LOWER SIOUX INDIAN COMMUNITY FWP $7 8618 P.0091043 

a. all lan& wiMn Iht Iidllts of my Indfatl matlon; and 

b. any lands title to which is either heId in trust by the United SW for the bend3 of 

ady hdign Triba or hrdi'viduai or hdd by any laUian Trlk ur individual subject to 

restridon by the United States @st &&on and over which an Indian Wbs 

mists gowmneatal pawer. 

-&I. "aYrnploy69mwms 

a. A pmn wha pe~F6rms one or more of ae following kFtrms; 
1211 ?ROO9 14:37 LOWER SIOUX INDIAN COMMUNITY 697 8618 P.0101043 

r9. Pit boss; 

vii. Croupier; 

~ 

b Apprwer0fcredit;or 

x, Custadim of gmbhg davices including ~YIS with acceaS to cdsh hd 

accwnting &s within such devlceq 

b, Ifnot athemi= included, my other mn whose total cash wmpmsation is in 

excer#l ors50,m perm or 

F, Ifnot o#lmise inoluded, the four mmt hi&ly compensated persons in the 

gsrm-ng Opmtiw. 

W. "Net Revenues" mms gross ming revenues dm Indian guming opedon less 

a Amounts paid out as, llr paid for, prizes; md 
b. Total gming-rsIated apag qmsae, mluding maaapmt Ws. 

-- Tar Capita, Prrymmt" msans the dfstnttrudon &money or ofhm thhg of value to all 

membera ofthe Communi-iy, or to idetlMad gmp of members, whfch is paid dlrecUy 

hu the net rev- of my tribal wing hi@. 

a The pmn(sS hadng raaaegement respndbillty for B management oontFact; 

b, Any perm who has authority 

i. To hire- and fbe amplaye& OT 

ii. To set up mrklng palicy for the pmhg operatlo& or 

m, OmingAatb.orhd 

Claw SI and awss IU ping me hereby milmized, 

TV. Qwndp, 
1 211 712009 I 438 LWER SIOUX MAN Mf4MUNIlT CFW~ am18 P.0121043 

The Tribe shaII have thu sdlb ~~ inmt in and iqawlbiIity far &te conduct of any 

gaining operation autborizod by this ordinance, 

7'. Use ofL3aming Reverme 

A. Met revenues hm Ma1 gdg &dl be used only for the follwhg purposes: 

t~ fund Wial gommment omms md proms; 

1 hbprWi.de%rthegm~~oftheTribemditsmmbm; 

e. to help fund -on8 of ld government agencies, 

B. Any Community Per Capita Fsymwr$ to Mml mh shdt be h amdance with a 

ph rmbmiied to and apprcnted by the Secrw of the Interior under 25 U.S.C. H 

2710@x3), 

C. The Community &all mw thatthe inbb of minors; and other legany incampeteat 

persona who are mtitltd t~ mivu any pm ewik payments under a Mbal per capha 

payment plan are ptoteo$d and pmewed, snd ht tha per cap& pyments are disbumd to 

the patants or Idgd @&an of such minim or legd hmmm in such amounts ns 

tnw be neoessarJP fix~e health, educrrtipn, or wdhw of tht minor of other legally 

iamtnpetent person, under s plan appmved by the ~-un;tr and the, kmhry of 

th IateriQr, 
1211 712009 1 439 LOWER SIOUX MIIAH COMMUMTY fdX)S07 897 8618 P.0131043 
1211 712009 14s LOWER SIOUX INDIAN COMMUNITY ~dx)so~as7ma P.OI dm43 
1 211 712009 14139 LOWER S1WX INDIAN COMMUNITY dm 697 S6lS P.015!043 

W. ~gCbmmissi6n 

A. The Communm hereby &abIishes a Trlbal Gaming Godsion whose duty it 

Is to tttM gchg a@om The Tribal Gaming Commission shall & -- 

- 

13. Thc pltrpwt of the Tribal Cram@ Commision ia regulatory, not mtmagerid. 

The Tribal Gaming Codssiom win ~bnduct might to me eomplimm with TriM, 

Federal, end, ifapplidie, fkk laws md reguldws. The Tribal Gaminp Cammission wiU 

me as the Ilmshg authority for Mvlduals cmploycd in the gmhg @an 

snd admixrider backgrormd kvdgdlcm as part &the lidgm. Them aaming 

Commlsslm will aim haw a role in monitoring compliance wiih the intd 

wrhl standmds fcr fie @g opedon md h ttackIng revenrtea. Za order to 

any out its agulatmy dutiss, the TrIbal GamlnqCommIsafm shall have dctd tr, 

all of th.& @adti8 opcdon and to dl II& me Trib J ~m~~isreion shall have 
authority to mkn mfbmmt aetiws, indudig mpmS;on or m&on of * 

individual gaming limse when appropriate. 

C. The Communily recognizes the immce of rm in-dent TRhl Oaming 

Ckmmi&n in rnahhhg a well~lated flag operation. 

TiwaMkh 

. . ,.. *Tb amid avaidpotaw dcts of 

1nteP.ast betwaan tha oparmtlm ad rtgulation of the gaming faciIiQ, the 

Cammalty hereby finds that, atarnhhuum: 

I ---+. Mcmbea ofthe Gmhg Commission are prohibited from 

hd. Umbers of fhs Gamhg cammission are pklbhl from 

wepting wrnphenky items hrn the gaming operation, 
1211 712009 1&40 LOm SIOUX INDIAN COMMUNITY fhXj97 697 86fS P.017M43 

IS, 771s Tribal Oamlog Commission shQ: I - a Conduet or cmc b8ckghnmd hmtIgstims to be conducted on, st a 

1 minimum, pinmy mgement nEcials and kby dmpl~y~~: 

b. Review and approve all inveadgadve wrk oanrtucted; 

c. Wrt mb of backpmd hti@iona to the NIGG 

d, Obtain and process figqrin4, or dasipatt a law drccment agency to 

obtain and process fin&&; 

e. Make suitabilii detwminatimh which shall be sighbd by thc 

Chaifptraotl of the =Gaming Comissiotl; 

g. ham exartline and monitor all gaming sctivitiq md hm immadfaaa 

access to redew, Wpacc, mamine, phmcopy and audit all records of the 

gaming estabEshmM 
1 221712009 14:41 LWER SIOUX WDIAN COMMUNITY m~7697~18 p.01 8m43 

h. Easlnz campllanee with a11 Tribal, Sfate, md Fed& laws, mFm, and 

rq1~Iati0n.s regding Tndian &g; 

i. Invastigata any suspicion of m@ng associated with any gaming 

activities; 

j. Hold hmhgs on pam andlor ~o~ mmpIaints, In 

~mptimct with ptocedutcs tatablished in the gaming ordinance 

and athar Trim pnkg mguIdpns; 

k. -ply with my ma rrll mg q~kments mdcs the IORA, u 

Tribal-SWB &nnp& to which fhz &d@ i8 a party, sad any 

other applimble law; 

1. huf@ md issue mgulationa necemq -ply with he 

Community and theMQCt~ MI^ Intend C&l &mhh 

ws): 

1. mulgate and he regu1atIws an Ce Ihg of few andlor Wes 

8sarrEiW with gaming license appli~tigns; 

m. Fmmlgrv# and iaauc rtguIAona an tbc 1eg of 5nes andbr mapension 

or EWU&UII of gaming licenses for violatimu of fha piing oflnanm, or 

way other Trihl, Federal, or SWe, if applicable, wing regdatiw and 

mJkforn suoh &er d~rtia mthe Tribal Gaming Commission darns apprapdata hr 4-.' 
1 211 14:41 LOWER 510UX INDIAN COMMUNITY fb@O7 67 8618 P.0191043 

spelw- 5lnglje J C--.... [ brmattredl: uw spaciw stng~ 

W. The mUmhg Commjssiw shall enswe Wall wrds amd hfodon ohhd as 

disclosed to pmm wh are not directly invoIved in the limaing prums. Under no 

drcumhnm shall infatmaticm obtained during come ofan employee bdrpmd 

fnve&gatiun be didos& to mernbets of mmgmemt, buman msourw psrsannal m 

Dahm 

employed by &4 gamhg O@W. Ws Sca[anb&¬ apply to iequmh 

for such 

ffirmaeim w mmds fma my Mal, Fderal or SraOe law enWrcement or 

mwy EIFcy* 

ar fm the we of such informertioqar records by the Bbd Gmbw Comrnissim 

andi&mfPln 

the perfomranoe of thin fldd dub, 
1211 712009 14:41 LOWER SIOUX INDIAN COMMUNITY FAX)507 697 8618 P.0201043 

F& A rnnjurity of the WarnbqMssh &dl dtute a qum. The mmce 

of 
7211 712009 14:42 LOWER SIOUX INDIAN CDMWITY (Fm 69? 8618 P .0211043 

a majwity of 

the rrwmbm bepolntad to fhn Tribal GamInk Ccrmmisaion tihat1 ba requid for arry 

dnal dekmhtion 

by the Tribal Gmnin9wssioa The ~rlbal Gamine Camr&iw may act 

h Its m43l ~~..evwl Ztbm are 

vam1~ on the Cammiaaim. 

L. ,-Tni Gaming Chmissioners shall be cornpsdd at s IeveI determined Iby the 

CO-~@ Co~il. Tkd8 mp-dotl shall bt incIudad h tha $am& updds 

mud Mimated budget, and shdl bc rtpprwed by the Comnruniry ConnoiI, 

mCommi&aner mmpeasatim &dl not be hd on a percentage of gaming 

wmt to 

msure he Tribal Qarninp C~mmi~on isot imgroperly influenced. 

M. Thc Trihal Gaming. Codstan shall Imp a wrftwa d &all its m&@, 

vm, EWES 

A. The Community rewgnhes fha the duties ofthe 

T' Wnhg G~~ntl&m include making irnpmtmt d&w~ on highly sensitiw 

Igsoas. A# snch, the Cmratmify bas dekminecl tRat theGaming C~mmiasion shd be held to 

exaemelyhlgh ahlcal mdardn. Prior w Mhg 

their possrnp, Tribal &rnin~ Commissionm 

. . ~Isg#Bthbe I - 

, bound by tha faIiDwlng principles; 
12i1712009 14:42 LOWER ~MFX INDIAH COMMUNITY F~)W a? #la P.022IQ41 

a. Wbal GamhgGbmmhaionm hhkwball not hold iFinmci;ll intawts that 0odicF---+-- ~bsprchg: ~~m

with tfrt +bl:I.cHum?&qStyls:a,b,1;.. t SWt at: 1 + AllmrnenS LeR + Ahned at: 

Fwmmted~ Xxent: kt OS', LIM Wlrrg: 51* 40 hlla or rimkdng 

**.*.L- : & or, Llnespatlng: 

~n~blic infdm : L~P; Or: une mclng: 

oraUowthstmprOpm~bfsuch~by~~~n~edt r nurnoannp 

: L6e a5: Urm SpaClnfJ: 

bElhaIft0 mer 

mW: Indwt I. Na bulk 01 

0 shdl not solicit or accept any gift or other 

Item af 

.a d.shd.kall make QO tmautlmd commitments 07 

promises 

-any khd 

-pwporting to Lid fhe Community. 

c. Trlbal GatnIne: Cmmi~s16mrs -shall not uss their positims for @h 
f. Tribal Cfamin~ Commissioners WmkdmlI act hprhfly, in acpordance: with all 

relevant 

- aad State hw (where applicable), and hall not give pdkmtial 

bwmeatta 

printre orgmiwtion or Wdud, including t~ any parsons dated to 

O~F C- *. shalI ensure that Thibal property and gmfng 

assets 

-hall be pmpwly *.-.--. 

and safiwwded, md &at such ppi@ artd ass& shall not &.-..-- 

for uneutthd aotivities. 

w. I 

negotiating fm future employment, which mdut with tbdr offid *-++--.. ~amttad: fnkt: m or, Une$parlng: 

anpic 

dudem and 

i. Tdbal Gamha Cornmi~~~~m~hall disclwe wastq hud, abuse, and 

cbmpth tb 
1211 YE009 14:43 LOWER StWX INDIAN COMMUNITY F#@CO Q? El8 P.024/043 

I . . . . TnbalshalI mdavorto avoid any dms aesting 

L5e 

j7appesrance Cat hey are 

----vioMng €he law or the athical standards listad herein. . .- I Anne 

..---..- { Famdl UW ~Pefmg: 3bk 1 

I A 

The we of oornpIim&my itnns shall be gwmed by ngulations established by the 

1 MM Gadng Commiwion, which &all bc in rrmd with the MOCa Minimum IntmaI 

Contml Standards, found at 25 C.FR $542.17. 

EE. No Key Employee, FMmq Managmmt OBcM, Community Council member, 

#x#mk 

-Tribal Oaming Commission or any person dirdy 

telatcd to or &wing la residence with ~&qmons, sttall be autho~ To &W 

compljmmtq items. 

C. Compllmm 1- shdl be IneludQd ia the mm1 budget for ihe pmiag qmakm, 

with mm.imum Iimits apeoified, and shall be subject to approvat by the Community 

Council. 

Qr; Audit 

A. The Community &all caw an mual outside independent audit of gaming operations So 

bs mdn* md Sball submit tha wlting audit rapOrts to tbe Wahd mian Gaming 

Cornmimion. 

0, All gaming related contra& that mult in the pu~hase of snppiiw &senrice, or 

mncesaions in e~~e89 of$25,WU.W annaally, except contracts Br profw$ional legd and 

nmmdng atrvIEea &I1 bc apifiwrIIy iacludcd within the mpe &the audit tht is 
1217 712009 1 4:44 LOWER SIOUX INDIAN CDMMY @AX)507 697 8618 P.0251043 

dwrii ip su-On A above. 

x, Environmsnt ad Publi~ Health md Safety 

Gasaiag facilitiatbs shall k ~bn$tru&d, rnaint~ined d Dperated in a mmer that adequabely 

vutmls the ~~t and the yblk hmlfh md [25 C FA. g S22,4(bX7)] 

Patrons who have mptalnfs against the gmfng ~tabll~hmenf a p!nhg employat, ar 3 

magtrm~nt con- shall haM as hir sula dy the right to fiIa a patition for reliefwith I 

the 

TriM Wing Cdmim. Complstnts shall be submlW fn writing and at h didotl. 

of* 

Commission, the ptilioeer may be allowed to present wideace, The ~&uning 

ConxrGssian &dl 

hold a hmhg wiffiia fhMy (30) dsrJFs of receipt ofpetitiom's wmpI& The 

nib11 cdssi~n sw 

mda a ddSlb~ in a b1y fashidtl md dl sucb ddh~ will b fIad 

when id, 

XU$. Llcam fm Key Bmplm md Phq Managment OSdal~ 

A. hpe, 

The 'Itjbe shall ensure that the plicics and pmcadures sd out in W5 ~Bon 8re 

I implmmtd with wpt to key employem and primary rnsaagemat oEdals 

employed at any ping enterprjrre operated on Indian lands. 
1211 712009 14:44 LOHER SIOUX INDIAN COMMUNITY 

B The %Ulrwing rntice shall be pId on fha applimdon farm hr a key emplayct ar 

In mqlianoe with the Wwq Act of 1974, the foUdg imkm&m is 

prwided: 

*.."'- .I~?Lhsmh: angle 1 

~o~ciiatiw of the hfkmation on tfik famx is mrthorired by 25 U.3.C 2701 et 

seq. The p-se ofth rsqueztd informadon L to detwmItt &e digIIility of 

hdlvld~dS bl be HUpb!&d kI a f&dBg O~~OA. rhe infamtim wfll be bsad 

by the Mbe and he National Indian Gaming C~rmnjssian mmbm and Mwb 

fmip law a&trmmd and WatoFy ggenda when lent to civil, mhid 

or regulatory inveati@ms m pmutians m when nectasary pmant to r 

rcqukment by a Trlbd or theNatid Wim Cfamin$ Cdmrnision in tantrW.cn 

with the hiring or fWg of an mpIayas, the imcs or mvodon of a &g 

lioeam, or irrvewdn of&ivitiea while associaid with a Triba w a gaming 

O@&L Fa4l~ b consent to the disekurw iudiceFted h this ndw wifl &t 

tmphyt~ pas- The dfsclwura of your Social Security Number @$N) is 

voluniary. Rmw, failure ta supply a SSN may mult in dm in 

your applfmtlon. 

-...... {m ~ne~pear&c 1 

faUowjmg additional 110th shall btplaobd oa the applicadon h fbr s key 

employee w a prhfuy official: "A &ha statemM on any pt of your applfm-on 
12/ 17J2009 14:44 LPWlER SIOUX MI AN COMMUMTY ~~07 w m8 P.027f043 
12t1712009 14:4 5 LOWER SIOUX IHDIRM COMMY @AX)507 697 861& P .028C043 

may b groundti for mt hiring yuu, or for Fig you ai?er you begin work. Also, 

you mg, b~ punished by h~ oc hpri~nment @.S. Code, fltlel8, &MI I001). 

&_The Camision &all not@ in writing misting key employes and primmy 

msrtagmant afBcKals wha We not dornpIaad at! appUcatIbn Fontsrtdag th* 

notices set forth above that they shall either: 

I. Complete s new applfcattotl form hat contains both the Srivm Aot md 

false stmmmt notices; m 

ii. Sip a aatement mmins rhe Privacy Act and false mrnent norim 

and consent to &ern& uses k'bad in that lmtioe. 

WCTII~ nibe may chmge a license fee, be, set by the Tn%al Wing Cmdssion 

oWdr it5 aptmu$ in inmtigaiing md li~snsing Key Empbym and PFihmy 

Managmat Officials ofthe gaming opmtim. 

a. Tbb Tribal Gmhg Cmm~tssIon is rwpwstblt for mnducthg badcpufld 

investigations, coUec!ing fingerprintsy and m&hp dig3ilit-y debminations. 

b. Acmdmg fa th0 terms of a Mmmmndurn of UndaIstandiDg tumnt1y in e% the 

Nenioml rndi Oeuning Cdsrrim shall mu the fingemtg, generata repor$ End 

wide the dt9 lu the Trfbal Qamhg Cammimion. 
1 211 712009 14:4 5 LOWER SIOUX INDIAN COMMUNITY FA7307 697 8618 P.029M43 

c. The Trlhl Wing Cmmd59ion &tall request from each primary rn-ent official 

md hm each key employee dl of the foil* tnf.ormatioa: 

i, Full name, other mes used (oral m written), social ecurlty nmbtr(s), bi& 

date, place oiblrth, cithmhfp, gendw, md hctpw (spoken orwrim]; 

ii. Ctlxrently snd for the pwioua five (5) years: buslntss and amplaymant 

poddons hdd, murshfp Wests In those busines$a5, bu~km and &&ace 

md driw' license numh, 

iil. The namts and currsnt ad- of at 1- thw pmaI referarces, I 

incI&g one persoad dmce lhett wss qualnted with the apptrcmt dufing 

tach pdod of &dace Ild on &a applica*, 

iv. Cum business and residence telephone nmbws; 

v. A dQWCFiptjon of my existing and previous businws relrntionships with hdiern 

Tribes, inchding ownemhip inkre& in thosebusin~911~ 

vi. A description of my existing mdp'oua buainm relationships with the 

gaming indushy gmdyI includig ommhlp hte~t h thosc buhassas: 

vii. The name and ddtesa of my licensing w regulatoiy agency with which fie 

person has filed am appticadon Pdr a Tlmsb M pmft miatad to gaming, 

whuthsr or not SW~I limse w psrmit wss gmntea; 

viu. For fdmy for which fhm was an onping pmsecution or s canviation, 
1211 712009 1 4:45 LOHER SIOUX INDIAN COMMY fmmm8 PpO30M)43 

the &mge,fitt.le name and address of the court involvd and eh6 data ad 

fx. For caeh mMarnmr camvie or ongoing rn~emeanor prosecution 

(mtcludhg rn- Mc violatiom) within ten (10) yews of the date of the 

appriation, the me and ad&bss bfthr ccnrrt involved and the date and 

disposition; 

x For ed crhnhal chqt (excluding miaor tmEc chnrgw}, whotherr or not 

tke b a wnvi~on, ifsuch cn'rnind charge is within tetl (I 5) yeam of %be date: of 

the qlicatiw and is not otherwise listed pmmt to pawph (a)(vIII) or (a>Qx) 

ofthis aemluh, the crhiml chqq ths nams and address of the court involved 

4 the d~te md diqmsitim 

rd, The nlrmt and addm of li&g or mgulatpry atpryw with which the 

bas 514 m appappliation for wa occup~onal llwnse or pmpwmlt, whether w 

not such limw or @t ww gmt& 

xii. A phohgra@ taken wlthtn the last year; md 

xiii. Any other infpnnatl'on the CrrmmImity deems relevant. 

d W applicant fc~ a Key Emplayee or Prjmary Manage oEdd shall be quid 

to have 5ngqdnts bken by the 'hjbal Wg bnmiwion as part of the license 

appli~tim pcedllia 

I a. As prt of b review procedure* the TrIba1 Gaming C~is~m or its uhlzed 
Agent shall conduct a badrgmund indgation on each appBmt Mcient to alIow the 

Tshl Gaming Commission to nmkc m djgibility d&mbstim undm subsdm D 

beIow. The iaveatig~tor ahall: 

L Vbrify the appliat's identity through item such as a social seclrrity GarQ 

driver's limrle, bM dcabt or 

ii. Contact each pe~orrrd d bush mce prwided in the license 

appliclltlw, when psslble; 

iii. Obtain a ma1 crsdit check; 

iv. Cmdnct a aivil history ~haok; 

Y. Omduct a criminal hlstary &*ck via the submt4slm of aht applI&'s 

fingerprints to the NIUC which skdl include s mimind check of the histaw md 

infomation mainiah&By the Federal Bumu of of^, and Wtk 

bMn informaddm &nth qpmprlata court @g past felony abdlot 

misdmeanclr wnvidons and &id chwq 

d, Inpire inta my previous or hsirms relaEdps with i3e gsming 

indushy and Indian trib by contacting the entities w tribw 

di. VmiQ the ap@iGsntls histmy and QtaW wii% ang licensing qency by 

contacting the agency; and 

I viii. Take &r apprcrm steps ts efy the acouraay of *e on, 
121 1712009 1 446 LOWER SIOUX WDI AH COMMUNT7Y 

focusing w problem areas noted. 

f. The invmtigatm shall c& cm ifivtdpdvt fcport no* thO steps '&m, 

bhmation gained, ptmW prolllms m and disqualifying inhation, 

1 g. The Trihl Gaming Cdmmiaaim and it3 inv&igaWr ~hdI promiw h keep 

oonfidentid the iddw of each pwn intwviewed in We corn ofthe investigation, 

&w than discIaum as required under Federal, Tribal, or Skte law. 

D, Eligibility Determhatjw 

The 'Ihi1 Oaning Commissiw ghall review a pmmi~ prior activitfcs, china1 mod, if my, 

rtputstion, hebits md nddatlonf tn raw a Endhg mn-g tha eligibjlity of a key mphym 

or primary management official for employment in a g&ng opmtlon. If the 'SAM mdng 

Comia~im detemheri fhat mploymmt of the pison pm a dimat to the pbblic htms or t~ 

the elYdve ~agthtlbp. of gaming, or cimf.es cn. enhmcag dangess ofu~lguitable, unfair1 w iflegaI 

pm%w and methods and activities in tfie wnduct of gaming s, dbal gmhg o@m shall am 

employ that p~trrcm h a hy amploycls w primary manwmmt 6Ecial psition. 

B, Pmcedures far Forwrvding AppLicationrr and Keports for Key Employees md Primary 

Managanent OBcMa to fht National hdiw Gmhg Commissim. 

fomrd to the 

National Indian baming Commission a wmpleted application for 

rn~loym&.nd 

conduct the background investigation and the detenrlinaQion 

a Wha a key empl pyee or primary mrmsgment offlcld 1s mrmplaytd to wark at a -.-.+.-- 

-&g nprmhn lumadzed bythl8 brd'mmw, the TrlM Gamine Comdssio 

' -I In&* ~et ~na: ox ~ns bpldng: dw 

.--....-.-, umlplRI: ; shall Hl?~lC 1 
*--*-.= Crwmrt~ld: tmsspwrqr: smb J 

b. The @g apmtlw shall not employ as a key employee w primary management 

official a perm who &a not have a license &r ninety (80) dm 

F. Mort ta the Nd~xral Indian Gaming Commission. 

a. Thb %iaI Gaming Commission sbalI pmpm and forward a repoa on wh 

baakgmmd irrvwtigation to the Natid Indian Gaming Commissicm. An 

invdg&e report shall inctude all of the followhg: 

I ii. ma 0Wm4 

lil ~clus~ons Mad: and 

iv. The bms for ~~cludms. 

b. Thb Ma1 GBmi~bmmissian shdI fpd the compI&d hd@ive report kr - &------ 

+ W: : + Nurnbeilng St@: a, 4 c, .,. ILtheNatTmal 

-hdh Gaming Chmdhsitm within sixty (60) days after an wnpIoyee 

begins work or ~mdid: :n&nt: w 0.79: Une mdm: 

s'nole 

-with'n sixty (60) days dtfie appd dthh &arm by the 

Chafm~~~ bf &B National 

-Indim Cfaming Chddou 
1211712009 14:47 LOWER SIOUX NDIRN COMMUNITY (FEW7 897 36l8 P.0341043 

- E. 4Tbe Triizd GsmiagCommissian &dl submit, with the inW@ve repwt, a 

EbW of 

the eli~biity 

d-OD, wdws a8 NlGC sfdl have advised the Community 

that the mbmissim 

-ofthe digibiltg detr?ntiination is not nmq. This 

dstermhadan shall irlcluda a 

-s#mmt dennihg hw the infommi~n submitted by 

the applicant: was verifird: a 

4mmt dmults ErIlowing an inquiry into the 

applids prior activities, OriminaI 

-rceord, .tf m my, and *tion, habits and 

assdai5~ns; a Statement shpwhg the resui@ of 

irrterviewg of a stfilcient number of 

howIsdgaabla paople [such ax form= mplapr~, 

---aersond mfmm~es, and uihm 

r&rd to by the appBmt) in oder to provide a basis for 

, -the Cumunl@ to rn* a 

finding wncming the eligibility for employment in a gaming 

--aparadm; and a 

SFatsmaat documenting the dispddon of all patwdd pbIm 

-*d md 

disquall@hg Information obkiued. 

e;d&.Ifrr li~ensc is not issued to w qpZican6, the Tribd wg Commission: 
12117l2009 14~48 LOWER SIOUX INDIAN COMMUNITY (fpx3607 897 m8 P.0351043 

i. Shall nnazify the NIC1C; and 

B. Shall forward copies of its aligIbIIity dcWm1nadon and investiprtivb topart (if 

my) to aha NIGC hr Inclasion in fbs andim Gaming Tadividuala RAX& System, 

e. 'W'lth mpF ta all mployloyees, md h pardcula~Ky Employe$ and primmy 

matlawbat acids, the Tk!hl GBming Commission $1~11 Wain applimtiws fur 

employmmt and rep& (ifwny) of brtckgound invdgations for inspection by 

the Chairman OP the NlGC orhis or her desipe~ for no lma than thw p) yaars hn the 

date of termination of empIopmt 

a. IfwjthiR a tRircy (30) day period dtm the Nt~timQ f dim Oming Coddm 

receives a report, the National Indian Oamhtg CanrmIssion nodfles the Cmmllniiy that it 

has no objecdba w tha Issuance of a lisa pursuantta a liceuse qpIiath filed by s 

lray employ- or a primary management ofncjal fir whom the Cummunlzy has Wdcd 

Triiat Gsmfng Commission, aEting f~r the Carmunity, may issue n Licwse to such 

b, -no Trfbal Gmhg Commfssin shall mpnd to s requezt far additional idorm~tion *------ 

+ Lev@ . I + Nurnmr7y !&la: F, b, c, ... 4, 

from the Chairmtm of the Nationd Indian Wing Commissian mg a Srartar:r+~Wgnmec::k+mat: 

imp!- or aprfmmy mmagsrneat add who is thc subject to a mplt. Smh a mqu& 

ahall atspendathe thlq (30) day pt50d~ddw pwagi%ph G(a) ofthis seetion until the *-----* 

mmq: dnak 

CWrmrn of the Natiord Xndh Owmimg Commiesion r&ws the additional *I---. 
1211722003 14:48 LOWER SlWX INDIAN COMMUNITY (FAWl7 137 8618 P.0361043 

c. If, withia the thirty 00) day period &described ~bwe, the EJatirnal Man Qdng 4-.--- - - +Levehl+ImIwIngSCyle:a,b,~ .. 4- 

~issinn provida fie Communiry whh a mmt i~izing objemims to the . 

ismmw of a 1- to a Irey employee or a primwy mmagernmt nEciaI for dm th0 

Tdbal Crsming Commissim hss provided an anapplication md investigative neport lo the 

NakIoual Indian Gming Cmmissimr the Comfnnnity shall r~cw&k the application 

td&g into awwt the abje&ons itemized by the National Indian bing Cdssion. 

'Ih Community shall make the dual ddctslon whether to hue a licertse to the applicaat 

H. License Suspension 

a. If, dbr tht issuancs af a wing Botmre, the Trtbal Gaming CbmmlSon receivm 

from the Nahl Indian Gaming Commission deliable hfbrmstian hdcsdng fht a kv 

employee w w primary nzansgernwt official is not digiile fir emplopmf ths Wb81 

Gaming Commission M1 wend such IIcenes and shall notify in wrlrtng the ticensee of 

the guspeaPon md the propad revmdim 

b. Tha Tribal Gaming Colnmission hall notify the S;censee of a tlme rmd a place for a 

heating Qn fie propod rev~aatipn clfa liamw. 

c. After revoeado~~ bbatlng, tha Mbal Gaming Cormhion &all decide 10 woke or ta 

rehistate s gaming tiense. The Commission shall notify fhe NIGC of its daision. 

I. Bod of Review for Disputes 

a. The Cwunmity has detded tl~$ in order bo dhere to this Odhancn md a11 

gdug mguIstim &me shall be elishd a ?MIA Gamftlg Board af Revim @nard 
of Review). The Board of Review shdl me s the &al miew bdy for emplop 

&puW&. Ernpl~ee dispum &dl indudt disputes with rn- tumbatiws, frna 

or other inW wnpIoyee dispuka, m?u tplude dona takm by the Commission. 

Md Tho Board 6fRsvisw ahall 0c1nsfsE Of dve (5) manbars, Tha mmr&mMg ghaU be 

- mtnvised of Wo members "..-$the Tribal Oarning Co~ssion, 

-one prim m~nagmat 

oPB~id or key employee, we 

molltd WfraZ member nbt employed by *B gaming 

opffattwr, and me EmpIpye of 

- the opemtion. fie member~ shall be eIecied hn 

thoIr rqwemtathre 

- gmup and shall serve stagged terms The two Tribal members shall 

mh- 

-year braems, prhq mmgmemt o5dd w key wpIw shan. gewa a 

two- 

- year bwm 7% mtmbm~ %m the ~rii Gaming Commission 

-S~~-Q~O-YW 

I 

terms. ~CornmImtty Cmd shall dsfsmhb tfts Iwe1 

- of mpendoq for the Bead 

pf Raview. However, compensatioo shd nwer be lied to tnW gamb 

JeVmuH. 

, .- - - -. -{-d: Une mng: dngk J 

c. The Board Redew memh &all *lea a Chajrpetsan ffom among them, whose: 

duty it shd h to pida wm dl lneetinga md h&m. In ddifion, the 
1 211 712009 14149 LOWER SIOUX WDIAN COMMUNITY 

mtmbars shaU 4% a Viee-Cbirw+o shdl be the castdim ofwnywidence 

submitted, and who shall pide in the CTdpmn's abacnct. The Bd mf 

Rmi~ shdi maet as needed md shall keep mcid records of the meetings. NO 

later thm three (3) working dayrr foWg a hearing on empIoyer 

-dlspntes, the Bd of 

Maw shall isme its *ding& Findings ~f lkie Bmrd ghaII k 

final when iss'ued. 

d NQ Bod &Rmieiw mernber kdI be moved prior to the end d their term without 

cause. frmovaX shall be efPactuatad by a mfljarfty vote ot'h art& Boatd of 

Rbvftwr, and shall 'bd a hal decision, Board ofbiew members shell not rwiew 

my decisiom affecting himseffIhe~8elfor srty person ddlrectly relared to hh or hcr. 

W. Limses for Vbnb 

A, Vendon of senices or zuppfjes with a value of 32s,W or more annuatly must have a 

] vendor limme --the Wbal Gdq Chnnb10n h order t~ Irmsact bush 

the 

Tribal gdng q~gfIbd. CbnW for pmfwsional lagal and aacownring servim ew 

a~cludtd Wnu &is @&tion, 

B. In ordbt to ebb I mdar Dmse, &#M buginw mugt wmpIete a vendor qplioatioation eind 

submit to kbund checks of itself and its principals. hincipals of a businem include I ita officem, dimton, mmagmt, mon, prt.nt~9, non-MlutImal rtockboldm that 

with awn 10% or more of Be stock or are the ten (10) I- stookholders, and the onsite snpervjaor or manager under the agreement with the Community, if applicable. 

C. Appliatkm fw vendor 1imse.s must hulude the WlIowing: 
12~1712009 14:49 LOWER YWX INDIAN COMMUNITY Qm 69697 8618 P.0391043 

a. The Wnarne oft&hshw, &bllshess addrag$, bpshw phone, Mural tax ID 

Number (or 9SN ifa mIe proprietordip). main office address if difkmt 

!&om Bwhm addma, any 6th~ nms &the spplimt has done hshs 

under, md the fvDa of swvice &appliwnt wj U provide; 

L-Whtbf the Hicant is prbrnhip, e~pxdart, liability 

CrnanYP 

c. Ifthe applicant is a cqmatim, tlm 3- of binEcffgoration, and the 

-@fication to do in the -State of Miunewi~~ if the bwineq 

iwh 

IraSTrade name, otherma &ww&used, andma of my wholly 4.-m*--- 

skyk No Utes or nmkrlw 

dd 

subsididm or &mr busin- md by the vendor w its principals; 4.--. -.. 

*7----r 

LA atdement wWhether the appIicax~t will b Emlwting in or lo& money to the 

*g , Parw~ Urn s&q: mle, mm .-' +MI: : + w&winTnl mk: a. D. t ... + 

e.-tioa and, if so, bow much, Gat! 1 + ~~nrnenc Lek + Am& at: 

LA dwription dmy misting and pmiousl bwhws kelatimshigs fhe aanlimni has or 

1.~wi.th he " knmltpd: Indark FCk N: 09, Urn 

-----g&lg industry gmmafiy, hcluding ~~~e~hip htwesb kI " Formatbd! Indent: 5rst I'M OS; Eva 

apnc1-g: 5hgla 
1 211 312009 14150 LOWER SlOUX INMAN COMMUNITY (FK4507 W 861 8 P.0401043 

description of any &sting and prwieus businm relatidp *.....- 

-89 hadwith -' . ' . -Indian his, inuluding owmmlip, fmancid, wmmt interests in ** '. 

mganling aGtiYitiea; 

kh. The Wpames, addremes, md phone numbers of thee business wferences with 

whom the m!lcant mmptyhd mgularly done businws ibr ik last five years; 

<he name and address of any licensing or regulatory agency with which 

l5a amIieant &&&?+hag filed an applimtipn far a lImw or permit mIrcttd to 

gamig, whether or not auch license or pd wa~ granted, 

I ~r,&~f ths a~~liwnt 4~4~341% had a ~imse revaked far any mmn, R statement of 

the 

LLA lht of lawsuits &*which the mdicant bu&m+hm been s defendant, including 

the 

m liabilities af $50,000 or more; 

I 
1 211 7f20W 1 d :SO LOWER SIOUX INDIAN COMMWTY (Fm 697 3618 P.04 11043 

1 i%U list dthe principals ofthe -their social dty 

numbers, 

B, The following notice shall be placed on the spp2ication fom for s vendor and its 

phclpsls: %elusIan of WIsa m? mislmdhtg Infodm on the vendor spplimlion msy be 

grnmde for hid or mucation ofthe Community's vsndm Iimnsen, 

G. The CwnmmiQ may &wge a llesns~ Paa, to bo se%akbtkhed by the Ribal Gaming 

Commissbn,to , 

cwer its expisw in invqg and licensing vmh of the gmm~ 

opmtion. 

m. Wium htd CDntral Shderrds 

The Community atclmowIm@? its obliptim to adopt and implemmt: Midmnm htad Canml 

SZandards (IWCS) for the -on of its TnW gaming opemtionJM attl no Iass -gent tbm 

those 

ford in Be mgddoas oft%% NIQC at 25 C3.R Pad 542. TIM Cbmmdtfs MJCfi shall 

be set 

forthMh ssparata mgulations ta bs iwlcRlwd and approved by the Cammdly Cormcil. 

XVI. Li~se~ona 

The Wbd Ganrimg Comrmissim shell issue a sepamt~ fi~em~a t~ each plm, facw, or lodon 

on hdim land# whe wing is mducted under this dice. 
12C1712009 14:51 LOWER SIOUX INDIAN CQHMUNITY 0507 697 8618 P.0421043 

XW. Agent for Wce of Fmwm 

Tho COWUIIQ hmby desiguah the Col~unnaiiy's Pmident a8 agent for =Nice of pmessr, 

who may k macd at: 

him 

-hwer Sioux Bdian Cmmutlity 

WP.0. Box 308 

W- CampUattcd wl Fsdd Law 

fie Community will comply with all applicable federal law, including the Bank Secrecy A& 3 I 

U:s.C. 5531 1 st aeq. 

wm. RW 

To &. &ent that they me inconsistent with thi$ ordinance, dl priar gaming ordinances are 

hereby tepeattd. 

pnaoted Novemk 11, t 93, Resolutim~ 17-93-94,1343-94.1 

[Approved by NIC9C Novernk 19,1993.1 

WviM pbbm~fy 11, TOW, RMOlnti0n @-MI.] 

[Approved by NlOC Apdl18,2060.1 

@mM Mmh 16,2005, Rd&m 06-59.] 

[Aypmwd by MGC March 28,2006,l 

BeW May 6,2008, Rerrolutim 08-51,68-132.1 

LAppmwd by MGC Octaber 7,2008-1 
12ll7tMOS 1451 LOWER SIOUX INDIAN COMMUNITY (FAX)507 697 118 P.0431043