ORDINANCE NO. 185A

MAY I 12000

BE IT FURTHER RESOLVED, That the Title XXIII, Licensing and Regulation of Bingo

and Other Games of Chance of the Code of Justice of the Standing Rock Sioux Tribe, be and

the same is hereby amended and replaced with the attached and the new Title XXIII, Licensing

and Regulation of Bingo and Other Games of Chance

ATTACHED PAGES

Title XXIII, i - vi

XXIII 1 through XXIII 37

RESOLUTION NO. 162 -00

BE IT FURTHER RESOLVED, that pursuant to the power vested in the Standing Rock Sioux

Tribal Council under the Consitution of the StandingRock Sioux Tribe, the foregoing Ordinance

No. 185A amending Title XXIH, Licensing and Regulation of Bingo and Other Games of

Chance of the Code of Justice of the Standing Rock Sioux Tribe and replaced with the attached

Title XXIII, Licensing and Regulation of Bingo and Other Games of Chance, be and the

same is hereby approved; and

BE IT FURTHER RESOLVED, that the Chairman and Secretaty of the Tribal Council are

hereby authorized and instructed to sign this Resolution for and on behalf of the Standing Rock

/Sioux Tribe.

CERTIFICATION

We, the undersigned, Chairman and Secretary of the Tribal Council of the Standing Rock Sioux

Tribe, hereby certify that the Tribal Council is composed of (17) members, of whom j~3

constituting a quorum, were present at a meeting thereof, duly and regularly, called, noticed,

convened and held on the 4th day of May, 2000, and that the foregoing resolution was duly

adopted by the affirmative vote of~ members, with 3 opposing, and with j not voting.

THE CHAIRMANS VOTE IS NOT REQUIRED, EXCEPT IN CASE OF A TIE.

DATED THIS 4hh1 DAY OF MAY, 2000. -

Charles W. Murphy, Chairm~u( \

ATTEST: Standing Rock Sioux Tribe ~-. ~)
/f J

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ATTACHMENT .

TITLE XXIII

LICENSING AND REGULATION OF BINGO AND OTHER GAMES OF CHANCE

(With Amendments through May 1, 2000)

CHAPTER 1. FINDINGS

23-1Ot~TheT-ribaJ-Councfl-Rnds~ .

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(a) That, under the principles established by the United States

Supreme Court in California v. Cabazon Band of Mission Indians

94 L.Ed.2d 244 (1987), Indian tribes have the exclusive right to

regulate gaming activity on Indian lands if the activity is not

specifically prohibited by federal law and is conducted within a

state which does not criminally prohibit the activity;

(b) That the United States Congress has enacted the Indian Gaming

Regulatory Act, 25 U.S.C. § 2701 et seq. providing for certain

federal regulation of Indian gaming;

(c) That tribal regulation of gaming activity on the Reservation is vital to

the protection of trust land on the Reservation and to the protection

of the interests of the Tribe and its members;

(d) That to protect the integrity and self-regulation, the Tribe agrees to

adopt a gaming ordinance and regulations which are at least as

stringent as those statutes and administrative rules adopted by the

states of North and South Dakota;

(e) That the Tribe has entered into tribal-state compacts with the State

of North Dakota and the State of South Dakota which provide for the

operation of Class III gaming;

(f) That in order to insure the publics perception of gaming on the

Standing Rock reservation, the integrity and self-regulation of

gaming must be protected;

(g) That operation of bingo and other games of chance by the Tribe

and tribal subdivisions is a valid means of promoting tribal economic

development and the health and welfare of tribal members.

CHAPTER 2. DEFINITIONS

23-201. Class I Gaming

Class I Gaming Means:
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ATTACHMENT

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

One Hundred Dollars ($100.00);

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

ceremonies, celebrations, or pow-wows such as stick or bone

games.

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

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

ceremonies, celebrations, or pow-wows. This does not include

games operated prior to a ceremony, celebration, or pow-wow for

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

wow.

23-202. Class H Gaming

The Term Class II Gaming Means:

(a) Bingo: The game of chance which is played for prizes, including

monetary prizes, with cards bearing numbers or other designations,

in which the holder of the card covers such numbers or

designations when objects, similarly numbered or designated, are

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

by the first person covering a previously designated arrangement of

numbers or designations on such cards. Electronic, computer or

technological aides such as computer rated number sequences

can be used in connection with Class II bingo, so long as all players are playing against each other to achieve the same sequence.

(b) Other games of chance: Games similar to bingo, including, If

played at the same location as bingo, pull-tabs, lotto, punch boards,

tip jars of a designated winning number or numbers, color or colors,

symbol or symbols determined by chance, and instant bingo. an4

non banking card games~ provided the nonbanking card ç~ames are

operated in compliance with state law and regulations.

23-203. Class lii Gaming

Class Ill gaming means all forms of gaming that are not Class I or Class II

gaming, including,but not limited to

~a3 Electronic or electromechanicai t~~ii ~use~ ot p~v game

slot machines of any kind~

( All banking card games; that is, card games played against the

house, including baccarat, chemin de for, and blackjack
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ATTACHMENT

(a) Any house banking game, including but not limited to

(1) Card games such as baccarat, chemin de fer, blackjack (21)

and pai gow (if played as house banking games) or other

games as set forth in 23-805 of this Ordinance

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(2) Casino games such as roulette, craps and keno

(b) Any slot machines as defined in 15 U.S.C. ~ 1 171(a)(1) and

electronic or electromechanical facsimiles of any game of chance

(c) Any sports betting and parimutuel wagering including but not

Limited to wagering on horse racing, dog racing or iai alai; or

(d) Lotteries

23-204. Social Games for Prizes of Minimal Value

Social games for prizes of minimal value means games in which the total

value of prizes awarded during the calendar year does not exceed $10,000.

23-205. Tribal Subdivision

Tribal subdivision means:

(a) The districts, as set forth in Article Ill, Section 2 of the Constitution

of the Standing Rock Sioux Tribe.

(b) Nonprofit entities organized to raise funds and operate programs to

promote the health and welfare of tribal members and/or to organize

and operate ceremonies, celebrations, and pow-wows.

(c) Tribal school boards.

23-206. Net Revenues

Net revenues shall be determined pursuant to the definition set forth within

Section 4(9) of the Indian Gaming Regulatory Act according to Generally Accepted

Accounting Principles (GAAP) as recognized by the American Institute of certified Public

Accountants.

23-207. Primary Manaciement Official

Primary management official means (1) any person having management

responsibility for a management contract; (2) any person who has authority to hire and fire
AUACH~LNT

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employees or to set up working policy for a gaming operation, or (3) the chief financial

officer or other person who has financial management responsibility.

23-208. Key Employee

Key employee means (1) a person who performs one or more of the following

functions b her, counting room supervisor, chief of security, custodian of gaming

supplies or caih, floo~n~p -b ~icreditioLciA~dian --

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

such devices; OF (2) if not otherwise included, any other person whose total cash

compensation is in excess of $50,000 per year, or (3) if not otherwise included, the four

most highly compensated persons in a gaming operation.

23-209. Non-Gaming Staff

Non-Gaming Staff means a person of a gaming operation or a gaming operation

of which there are persons who are employees thereof who do not have access to money,

gaming revenues or other items of value including chips, credits, coins or bills of legal

tender value of gaming, wagering, or gaming devices or in general money, bank drafts,

checks, credit or any other bank cards for procuring money from financial institutions or

does not have access to sensitive areas.

23-210. North Dakota Compact

North Dakota Compact means the document entitled Amended Tribal State

Compact for Control of Class Ill Games of Chance, Standing Rock Sioux in North Dakota,

entered into between the Standing Rock Sioux Tribe and the State of North Dakota.

23-211. South Dakota Compact

South Dakota Compact means the document entitled Gaming Compact

Between the Standing Rock Sioux Tribe and the State of South Dakota, entered into

between the Standing Rock Sioux Tribe and the State of South Dakota.

23-212.

Act means the Indian Gaming Regulatory Act, 25 U.S.C. §2701.

23-213. North Dakota Portion of the Reservation

North Dakota portion of the Reservation means that portion of the Standing

Rock Sioux Reservation which lies within the boundaries of the State of North Dakota.

23-214. South Dakota Portion of the Reservation

South Dakota portion of the Reservation means that portion of the Standing

Rock Sioux Reservation which lies within the boundaries of the State of South Dakota.
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ATTACHMENT V

23-21 5. Commission And Professional Staff

Commission means the Standing Rock Gaming Commission established

pursuant to Chapter 3 of this Ordinance. Professional staff shall mean the Chairman in

the exercise of Executive Secretary functions and responsibilities; an Office Manager;

Gaming Inspectors; a Licensing Assistant; a Tribal Liaison Officer to work with Grand

River Casino & Resorts, Inc.; an Executive Committee member to work with the Prairie -

KnIghtsVCas,rroV&_L~odge and-the Seven-Circle-Resorts, Inc __

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23-216. National Indian Gaming Commission

National Indian Gaming Commission means the National Indian Gaming

Commission established pursuant to 25 U.S.C. §2704.

23-21 7. Tribe

Tribe means the Standing Rock Sioux Tribe.

CHAPTER 3

TRIBAL GAMING COMMISSION AND TRIBAL GAMING DEPARTMENT

23-301. Establishment

There is hereby established the Standing Rock Gaming Commission

(Commission), the regulatory body of the Tribe, consisting of a Chairman-Executive

Secretary and eight (8) commission members. There shall be established a

Professional Staff of which the Officer Manager, Gaming Inspectors, a Licensing

Assistant, or any other professional agents for purposes of counsel, auditing,

consultation, training and investigations. The monthly Tribal Inspector reports of the

Gaming Office shall be directed to and under the supervision of the Chairman-Executive

Secretary. The Tribal Liaison Officer and Executive Member shall be appointed and

reports to the Standing Rock Sioux Tribal Council.

The Commissioners, Professional Staff, or any other professional agents

for purposes of counsel, auditing, consultation, training or investigations shall not be

allowed to participate as a player in any gaming under the regulatory jurisdiction of the

Standing Rock Sioux Tribe. Participation as a player shall mean any act of inserting

currency or tokens in any machine, banking card or table game, or pushing, activating

the spin button or arm, whether done alone or in concert with others~ Violation of this

paragraph will result in removal of the commissioner, termination of professional staff

and termination of any professional contract or relationship. The gaming establishment

is hereby authorized to have the individual offender removed from the premises and

forfeit any winnings.

No Commissioner, Professional staff or professional agents shall violate

an oath of confidentiality, which must be signed prior to commencement of employment.

Infraction of confidentiality shall result in removal from office or termination of

employment. Violation of oath of confidentiality after leaving office or employment may
c~

ATTACHMENT

result in civil suit for invasion of privacy, which may include injunctive relief and/or

possible criminal prosecution.

23-302. Function

The Commission shall have the following powers and duties:

(a) TheCb~ioh~1rhave-primary r:esponsibility for_regulatory

functions relating to tribal gaming operations authorized under this

Ordinance;

(b) The Commission shall review all license applications and determine

whether the application is complete and in compliance with the

Ordinance, and whether such license should be issued, denied,

revoked, suspended or renewed, as appropriate;

(c) The Commission shall collect any fees required to be paid under this

Ordinance. Such fees shall become tribal revenues and will be

specifically disbursed to the gaming department budget as approved

by the Tribal Council;

(d) The Commission may bring any civil action or criminal complaint in

any court of competent jurisdiction to enforce the provisions of this

Ordinance or to enjoin or otherwise prevent any violation of this

Ordinance, the Act, the North Dakota Compact or South Dakota

Compact, occurring or threatened to occur;

(e) The Commission shall, subject to approval by the Tribal Council,

promulgate such regulations as it deems necessary in order to

implement and enforce the provisions of this Ordinance.

(f) The Commission shall act in accordance with the bylaws as adopted

by the Standing Rock Sioux Tribal Council in a manner consistent with

this ordinance.

23-303. Appointment Of Members

One Commission member must be a resident of each District of the Reservation.

Each District shall recommend persons to serve as Commission member from that District.

The members of the Commission shall be appointed by majority vote of the Tribal Council.

The Chairman of the Commission may reside anywhere on the Reservation.

23-304. Terms

The initial members of the Commission shall serve as follows:

(a) Four members shall serve through December 31, 1999.

(b) Four members shall serve through December 31, 2000.
ATTACHMENT_~~~~ XXIII?

(C) The Chairman shall serve a continuous term consistent with the

Standing Rock Sioux Tribe Personnel Policies and Procedures

and with the provisions of this Ordinance as an appointed official

subject to the supervision of the Standing Rock Sioux Tribal

~

Administration.

four yØars-ariduntiLasuccessoris appointed_

and qualified. If a vacancy occurs during a term, the Council may appoint a successor for

the unexpired portion of the term, with recommendations from the District in which the

vacancy arose.

23-305. Qualifications

To be eligible to serve as Chairman or a member of the Commission, a

person shall:

(a) Be of high moral character and reputation to promote public

confidence in gaming by the Tribe;

(b) Have sufficient education and work experience to be able to fulfill the

functions of the Commission;

(c) Have no financial stake in any gaming operated under the Ordinance

nor participate as a player in any gaming operated under this

Ordinance. A person has a financial stake in any gaming operated

under the Ordinance if that person, or that persons spouse, brother,

sister, mother, father, grandmother, grandfather, son, daughter,

grandson, granddaughter or first cousin has invested in, has a direct

or indirect financial interest in, has a management contract in, or has

any other pecuniary interest whatever in gaming operated under this

Ordinance. Membership in the Tribe does not, in itself, create a

financial stake in any gaming operated under this Ordinance.

Employment at a tribally licensed gaming facility, other than as a

primary management official, by a persons spouse, brother, sister,

mother, father, grandmother, grandfather, son, daughter, grandson,

granddaughter or first cousin does not create in such person a

financial stake in any gaming operated under this Ordinance;

(d) Never have been convicted of a tribal, federal or state felony

and not have an outstanding, active bench or arrest warrant or on

probation or parole for a violation of the foregoing;

(e) Not participate as a player in any Class Il or Class Ill game of chance

Conducted by a facility or operator licensed under this Ordinance.
XXIII8

All ~CHMENT

(f) Submit to a background investigation on an annual basis under the

same procedures applicable to prospective Class Ill primary

management officials or key employees in the State in which the

prospective Commissioner resides under Section 23-502. The Tribal

Gaming Chairman-Executive Secretary shall determine whether the

prospective Commission member meets the licensing standard set

-~:-:-foiih in-Sectioni23~5O3.;~ .1 i .

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(g) Not be a member of the Tribal Council, or a local District officer.

(h) Not be delinquent on a debt to the Tribe, any agency of the Tribe, or

corporation owned or controlled by the Tribe, as defined in Title )(V,

Elections, Section 15-201(g).

(I) The Chairman-Executive Secretary of the Commission shall be

selected as advertised with the added Position Description

detailing duties and responsibilities as authorized by the Tribal

Council.

U) Not have been dishonorably discharged from the armed services.

(k) Not have been convicted of a petty theft offense within one (1) year

from the date of application.

(I) Not have been convicted of a misdemeanor involving fraud, misrep

resentation, theft or gambling in the past five (5) years from the date

of application~

23-306. Removal and Vacancies

Members, including the Chairman, may be removed by a two-thirds vote

of the Tribal Council, at a meeting at which a quorum is present. Members, including the

Chairman, may be removed for cause, including delinquency on a debt to the Tribe~

malfeasance, neglect of duty, unexcused failure to attend three successive Commission

meetings, conviction of a felony, conviction of a misdemeanor involving fraud,

misrepresentation, theft or gambling or petty theft, failure to disclose a conviction, or

failure to comply with the Constitution or laws of the Tribe. Any Commissioner being

considered for removal shall be provided with notice from the Tribal Chairman or Tribal

Secretary stating the grounds for removal, specifying a date, time, and place for a

hearing to be held by the Tribal Council within 20 days of receipt of such notice. At the

hearing, the Commissioner shall be entitled to appear, present testimony and other

evidence, and be represented by an attorney at the Commissioners own expense.

Vacancies shall be filled by majority vote of the Council, with recommendations provided

by the Districts from which the vacancies arose.
XXIII-9

ATTACHMENT

23-307. Meetings

The Commission shall meet as necessary to fulfill its duties and obligations

under this Ordinance, but in no event less frequently than once per month. Meetings may

be called by the Chairman, or by any three members of the Commission, upon at least three

days written notice to all members. If the Chairman or any three members certify in writing

~

that a meeting must be held on less than three days notice, a meeting may be held as

must--be_made~ de.t~Q~~ripan and all

members with as much advance notice of such meeting as possiblØ.FivŁræombers, orföi~

members and the Chairman, shall constitute a quorum for the transaction of business. The

vote of a majority of the members present at a meeting at which a quorum is present shall

be the act of the Commission. The Chairman-Executive Secretary shall not vote, unless

in case of a tie.

23-308. Compensation

Members of the Commission shall be compensated in accordance with By-Laws

for performing Commission duties in accordance with a budget approved by the Tribal

Council.

23-309. Monthly Reports

The Chairman-Executive Secretary shall make a report to the Tribal Council at

least once each month, or more as requested. Each report shall include a summary of all

licensing and enforcement activities, a summary of meeting and travel activities and dates,

and any additional information requested by the Tribal Council or the Judicial Committee.

23-310. Notice Of Commission Decisions

The Commission shall provide written notice to any applicant and any

other interested party of any decision or order. Notice shall be by personal service, or

certified mail, to the persons last known address, or to such persons registered agent

or attorney.

23-311. Tribal Gaming Commission Chairman-Executive Secretary

(a) There is hereby created a Tribal Gaming Commission ChairmanExecutive Secretary who shall be responsible for oversight of gaming

activities, as set forth in this Ordinance.

(b) The Chairman-Executive Secretary shall have primary responsibility for

the functions of the Commission, and shall supervise all Commission

Professional Staff.

(c) The Chairman-Executive Secretary shall be a full-time employee, shall

be subject to the Tribes personnel policies and procedures, and shall

be under the supervision of the Tribal Chairman.
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ATTACHMENT __________

(d) To be eligible for the position of Chairman-Executive Secretary, an

individual must have a bachelors degree. Experience in

administration, business, gaming or related fields is preferred. The

Chairman-Executive Secretary shall not be a Tribal Council member, or

District Officer.

(e) The Chairman-Executive Secretary shall develop an annual budget in

consultatioftwith-the-GamlngCQmrnssion-subject to approval by the

(f) The Chairman-Executive Secretary shall have the following duties:

(i) Oversee all functions relating to the Tribes regulation of gaming

operations, including all financial aspects of such gaming;

(ii) Assist in fulfilling the Tribes duties under any Class Ill management

agreement;

(iii) To provide supervision on personnel matters to tribal gaming

inspectors and other professional gaming staff.

(iv) To determine whether prospective Tribal Gaming Commission

members meet the background investigation requirements set forth

in Section 23-305;

(v) To secure audits as required by this Ordinance; and

(vi) To fulfill such other duties as may be delegated by the Tribal

Council.

23-312. Gaming Inspectors

(a) The Tribe shall employ tribal gaming inspectors who shall have

primary responsibility for monitoring ongoing Class H and Class III

gaming operations authorized by this Ordinance.

(b) Tribal gaming inspectors shall be full time tribal employees and shall

be subject to tribal personnel policies and procedures. The Gaming

Commission Chairman-Executive Secretary shall supervise the tribal

gaming inspectors with respect to compliance with personnel policies

and procedures. The budget for the Tribal Gaming Department shall

include the costs associated with tribal gaming inspectors.

(C) Tribal gaming inspectors shall report any violations of this

Ordinance, the Act, the North Dakota Compact or South Dakota

Compact to the Chairman-Executive Secretary.
1

ATTP~CHMENT

23-313. Executive Committee Member And Tribal Liaison Officer

There shall be established an Executive Committee Officer position who shall

be responsible for the oversight of the Standing Rock Sioux Tribes proprietary interests

in the Prairie Knights Casino and Lodge enterprise located on the Standing Rock Sioux

Reservation, in North Dakota.

There shalt-be-estahlisbed~aTxibal LiaisoniiQffic~r osition who shall be

responsible for the oversight for the Tribes proprietary inte~o~ts inth~Grand Ri~r

Casino and Resort enterprise located on the Standing Rock Sioux Reservation, in South

Dakota.

The Executive Committee Member officer and the Tribal Liaison Officer shall

operate in accordance with their respective position descriptions as adopted by the

Standing Rock Sioux Tribe detailing their duties and responsibilities which shall include:

(a) Meeting with casino management on a regular basis on casino

operations;

(b) Submission of written reports on the status of casino operations;

(C) Preparing with casino management the gaming activities license

application (facilities);

(d) Assure compliance with management contracts and or management

employee agreements of the respective casino enterprises (Class Ill);

(e) Submission of financial and monthly reports to the Tribal Council of

the Tribes gaming enterprises (Class Ill);

(f) Assure the Tribes gaming enterprises are operating according to

generally accepted gaming industry standards; and

(g) Assure that Indian Preference remains a priority in the recruitment,

hiring, training, lateral transfers, promotions, and career opportunities

with the Tribes casino enterprises.

23-314. Tribal Immunity

Nothing in this Ordinance shall be construed to waive the immunity from suit

of the Tribe, the Tribal Gaming Commission or Tribal Gaming Commission professional

staff; provided that judicial review of actions of the Tribal Gaming Commission shall be

available as set forth in this Ordinance. In no event shall this Ordinance be construed

as consent to any money judgment, lien or attachment of any property of the Tribe,

Commission or Professional Staff. No money damages shall be awarded against a

Commission member, professional staff, or other Tribal official acting in good faith within

the scope of their official duties under this Ordinance.
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ATTACHMENT

CHAPTER 4

COMPLIANCE WITH THE ACT

23-401. Applicability

All gaming on the Reservation shall be conducted according to the provisions

~bfihis O~dinancean~in comp1iance-with~the lndian-G.amingRegu1atoryA~L.

23-402. Sole Proprietary Interest

In compliance with 25 U.S.C. 2710(b)(2)(A), the Tribe or a tribal subdivision

shall have the sole proprietary interest and responsibility for the conduct of any gaming

activity on the Reservation. Ownership of any Class II or Ill game by any other entity or

individual is prohibited.

23-403. Use Of Revenue

In compliance with 25 U.S.C. §2710(b)(2)(B), net revenues from any gaming

activity are not to be used for any purposes other than:

(a) To fund tribal government operations or programs;

(b) To provide for the general welfare of the Indian tribe and its

members;

(c) To promote tribal economic development, in accordance with

the compacts of North Dakota and South Dakota;

(d) To donate to charitable organizations; or

(e) To help fund operations of local government agencies of the State and

its political subdivisions.

(f) To provide per capita payments to the Standing Rock Sioux Tribe

enrollees in accordance with the Indian Gaming Regulatory Act.

23-404. Audits

In compliance with 25 U.S.C. §2710(b)(2)(C) and (D), all gaming activities shall

be subject to an audit by independent certified accountants, not less than annually. The

audit shall include all contracts for supplies, services or concessions for a contract amount

in excess of $25,000 annually (except contracts for professional legal or accounting

services) relating to Class II or Class Ill gaming. The audit shall be arranged by the

licensee conducting the gaming, who shall provide a copy of the audit to the Tribal Gaming

Department upon completion. The Department shalt thereafter forward the audit report to

the Tribal Council, Tribal Gaming Commission, the National Indian Gaming Commission,

and any other entity or agency as provided for in the compacts with North Dakota and

South Dakota.
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ATTACHMENT -

23-405. Environmental And Public Health And Safety Standards

In compliance with 25 U.S.C. §2710(b)(2)(E), the construction and

maintenance of any gaming facility, and the operation of gaming activities, shall be

conducted in a manner, which adequately protects the environment and the public health

and safof d~f~rthatpurpose ~safety and

environmental standards enacted by the Tribe. Those standards geherälly impos~d by -

the laws and regulations of the State of North Dakota relating to public facilities with

regard to building, sanitary, and health standards and fire safety shall be deemed to be

incorporated by this Ordinance as the laws of the Tribe applicable to gaming facilities of

the Tribe on the North Dakota portion of the Reservation, provided however that such

state laws have no force or effect on the Reservation other than by incorporation into

this Ordinance, and provided further that if an approved management agreement

stipulates that national building, electric and fire codes apply, then those standards shall

be used. The Gaming Commission shall arrange to have quarterly or such other

inspections as may be necessary to fulfill the obligations imposed by this Section.

Those standards generally imposed by the laws and regulations of the State

of South Dakota relating to public facilities with regard to building, sanitary, and health

standards and fire safety shall be deemed to be incorporated by this Ordinance as the

laws of the Tribe applicable to gaming facilities of the Tribe on the South Dakota portion

of the Reservation, provided however, that such state laws have no force or effect on

the Reservation other than by incorporation into this Ordinance. The Gaming

Commission shall arrange to have quarterly or such other inspections as may be

necessary to fulfill the obligations imposed by this Section.

23-406. Status As A Tribal Subdivision

Each entity seeking designation as a tribal subdivision for the purpose of this

Ordinance shall file an application with the Standing Rock Sioux Tribal Council. The

application shall provide information on the nature and purpose of the entity and the

programs it operates, and shall demonstrate that the uses to which it puts its funds

conform to Section 23-403. The decision of the Council on any application shall be

final The Districts are designated as tribal subdivisions, however, any district seeking a

license under this Ordinance must specify, in writing, the members of the District entity

responsible for gaming by that District. Tribal subdivisions shall be eligible for Class II

gaming only.

23-407. Licenses For Gaming Activities

The Commission shall issue a license for each place, facility, or location

where gaming is conducted. For each location licensed, a sworn application must be

filed by the Tribe or the sponsoring organization that contains a full and complete

showing of the following:
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ATTACHMENT

(a) Satisfactory proof that the sponsoring organization (if other than the

Tribe) is of good character and reputation among the people of the

Reservation, with particular reference to the Indian people, and that it

is financially responsible.

(b) A description of the premises in Which the game is to be held, and

~

proof that the applicant is the owner of such premises, or lessee of

(c) Agreement by the applicant to accept and abide by all applicable

provisions of this Ordinance and all conditions of the tribal license.

(d) Satisfactory proof that no primary management officials or key

employees of the applicant has ever been convicted of a felony.

Non-Gaming staff shall not have any felony conviction within ten (10)

years prior to the commencement of their employment and shall have

demonstrated rehabilitative status which shall mean no criminal

convictions other than minor traffic offenses or minor crimes which did

not result in incarceration or imprisonment. Non-gaming staff who

have felony conviction shall not be allowed to assume any primary

management official or key employee positions or duties and

responsibilities.

(e) Satisfactory proof that notice of the application has been posted in a

prominent, noticeable place in the Tribal Office and on the premises

where the game is to be held for at least 30 days prior to

consideration by the Commission, and published at least twice in a

local newspaper serving the Reservation. The notice shall state the

date, time and place when the application shall be considered by the

Tribal Gaming Commission.

23-408. License Fees And Duration Of License

(a) Each application for a Class II gaming license under this Section shall

be accompanied by an application fee of $50, provided however that

the Tribe shall not be required to pay any such fee.

(b) Where the Tribe is the licensee, and the Tribe retains a management

contractor pursuant to Chapter 6 of this Ordinance, the management

contractor shall pay an annual license fee of $10,000.00. The first such

license fee shall be due prior to the contractor operating any Class Ill

games. Thereafter, such license fees shall be due on December 31 of

each year for the following calendar year, and the notice provisions of

Section 23-407 (e) shall apply.

(c) Each license shall expire on December 31 of the calendar year in which

it is issued, and may be renewed by the Commission upon proper

application, 30 days prior to its expiration.
2 /

ATTACHMENT

23-409. Hearing on Application for a License

(a) All applications for a gaming license shall be considered by the Gaming

Commission in open session at which the applicant, his attorney and any

person protesting the application shall have the right to be present, and

to offer sworn oral or documentary evidence relevant to the application.

After the hearing, the Commission shall determine whether to grant or

~~deny the ~appIication,~based on theCcrnrni~ioi~sde~ermination of the

best interests of the Tribe. The decision of theGi~nii~Cotnmissi6nihatr

be final.

(b) Existing licensees shall have no vested right to have their licenses

renewed or extended, and compliance with this Ordinance does not

guarantee an existing licensee a renewal or extension. In each case, the

Commission shall, in the exercise of its discretion, make its

determination based on all the evidence presented to it, provided that)

with respect to Class Ill gaming operated under a management contract,

the Commission shall not revise or fail to renew a license except on grounds

permissible under such management contract, this Section or Section 23-

405.

23-410. Conditions of the Tribal License

Any tribal license issued under this Ordinance shall be subject to such

reasonable conditions as the Gaming Commission shall fix, including, but not limited to

the following:

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

establishment, both inside and outside the licensed premises.

(b) The licensed premises shall be subject to patrol by the tribal and BIA

law enforcement officers, for the purpose of enforcing tribal law, and

the licensees shall cooperate at all times with such law enforcement

officers.

(c) The licensed premises shall be open to inspection by duly authorized

tribal officials and officials of the National Indian Gaming Commission

at all times during the regular business hours.

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

license by reason of race, color or creed, age, sex, or national origin,

provided, however, that a licensee shall give a preference in

employment to Indians,

(e) Management at a gaming facility shall not allow a person who

manages or receives any compensation, directly or indirectly, for
XXIII-16

ATTACHMENT

the operation of any Class II game of chance to play in that game

or other game of chance while on duty. Management shall not allow

any person who, without payment, assists in the operation of any

Class II game of chance conducted by the operator, to play in any

game conducted by the operator within 24 hours after the time

said person did so assist.

=(f) ~-Mar~agern~tshall:not aJlQw_a~y erson who receives any

compensation, directly or indire~tly~ for thoO~oiati~rio1~aClass-lll-------~

game, to play, participate as a player or make/place a wager in any

Class III game conducted by the operator.

(g) No beverage containing alcohol, including but not limited to, beer or

liquor, shall be offered or awarded as a prize or in lieu of a prize for

winning at any of the activities authorized by this Ordinance.

(h) No firearms, air guns which are capable of discharging dangerous

projectiles, including but not limited to b.b.s or C02 guns, rifles,

shotguns, pistols, or revolvers; shall be offered or awarded as a prize or

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

Ordinance.

(i) No person involved in the operation of any activity authorized by the

Ordinance shall, directly or indirectly, in the course of such operation,

employ any device, scheme, or artifice to defraud, make any untrue

statement of a fact, or omit to state a consideration of the

circumstances under which such statement was made, or engage in

any act, practice, or course of operation as would operate as a fraud

or deceit upon any person.

(j) All licensees shall comply with all applicable requirements of the

federal Internal Revenue Code.

(k) All licensees must comply with Tribal liquor law for underage drinking

and curfew laws.

23-411. Assignment or Transfer

No license issued under this Ordinance shall be assigned or transferred

without the written approval of the Commission and the Tribal Council, both expressed

by formal resolution.

23-412. Cancellation and Suspension

The licensee must have, and exercise, complete control over the premises being

used for gaming at all times said games are being played. The licensee, the manager, and

the employees shall be legally responsible for any violation of the Ordinance. Any license

issued hereunder may be canceled by the Commission for the breach of any of the

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

after 10 days notice of the claimed breach to the Licensee. If the Tribe is the licensee,
(2

ATTACHMENT

notice shall be served on the manager of the tribal operation. The time and place of the

hearing shall be posted in the Tribal Office, and if time permits, in a local newspaper

serving the Reservation. The licensee, manager, their attorney and any person affected by

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

evidence relevant to the breach charged. A license may be suspended during the 10 day

period by a majority vote of the Gaming Commission at a meeting at which a quorum is

present. The decision of the Commission shall be final.

23-413. Report to the Commission

Each licensee shall submit to the Tribal Gaming Commission, on a quarterly

basis, a financial report for the previous quarter*s operations. Such reports shall be signed,

under oath, by an official or representative of the licensee, who in the case of a tribal

operation shall be the operations manager. The reports shall document:

(a) Gross receipts for each month;

(b) Names of each employee and the salary or other compensation paid to

each;

(c) All expenses in the operation of the facility, specifying all payments to

vendors and contractors;

(d) The amount paid in prizes each month;

(e) All bank deposits made from proceeds of the facility operations, including

any interest received on such deposits;

(f) All bank withdrawals, and the purpose of each;

(g) All expenditures of net proceeds including the amount, person or

organization paid, date, and purpose of such expenditures; and

(h) That each licensee will submit copies of all IRS required forms.

CHAPTER 5. BACKGROUND INVESTIGATIONS AND LICENSING OF KEY

EMPLOYEES

PRIMARY MANAGEMENT PERSONNEL AND NON-GAMING STAFF

23-501. License Required

All primary management officials and key employees of any gaming facility on the

Reservation or licensed under this Ordinance shall be required to obtain a gaming

employment license from the Commission prior to the commencement of employment.

Upon a request from the gaming establishment and pending the results of the

background investigation, the Commission may issue a Temporary Gaming License to any
t~_ /9 XXIII-18

ATTA

key employee not to exceed thirty (30) days. The issuance of a temporary gaming license

may be revoked if the background investigation reveals an impediment to the hiring of a key

employee and the applicant must meet one the following conditions to receive a temporary

gaming license:

(a) The applicant has a current state or out of state gaming license.

-

-The

Casino

app1icant-has~rior

within the past year

employment~

and departed

rar~d:Rivei

in good standing.

Ca~1nq ~

(c) The applicant has only lived in, either North Dakota or South

Dakota.

No temporary gaming license shall be issued to any surveillance staff or key

Management personnel, unless the applicant has a current state or out of state license.

An out of state license may be a license issued by another Tribe that conducts and

regulates Class Ill gaming operations. A temporary gaming license may only be issued

three (3) times or ninety (90) days, for any one applicant.

23-502. Background investigation

As part of the licensing process, each prospective primary management official

and key employee shall be subject to a background investigation prior to hiring. For Class

ill gaming conducted in North Dakota, the investigation shall be conducted by the State of

North Dakota, the Federal Bureau of Investigations (FBI) and the Tribe. For Class lii

gaming conducted in South Dakota, the investigation shall be conducted by the State of

South Dakota, the Federal Bureau of Investigations (FBI) and the Tribe. Any costs of such

investigations shall be paid by the applicant or the gaming establishment and are non

refundable. In addition, the Commission may conduct its own investigation on any applicant

for such license, with the costs paid by the applicant. Each applicant for a license

regarding Class II or Class Ill employment shall execute a release of information permitting

the appropriate State or the Commission to conduct such investigation, and shall provide

his or her full name or other names used, address and social security number for the past

ten (10) years.

For Class II gaming conducted on the Reservation, the investigation shall be

conducted in the same manner as set forth above. The Tribes Law Enforcement

Agency shall take the fingerprints to begin the background investigation

23-503. Licensing Standard

(a) No primary management official or key employee, or entity shall be issued a

license to serve as a primary management official or key employee if he or she:

(1) Has been convicted of a federal, state or tribal felony:
XXIII....19

ATTACHMENT

(2) Has been released from parole or probation or incarcerated within five years

of the commencement of his or her employment with the Tribe;

(3) Has been convicted of a misdemeanor involving fraud, misrepresentation,

theft or gambling in the past five (5) years from the date

of application;

~4)~Hasbeen foundI~1~e~ota-per-sonof goo.d~character-hQfl~y and integrity or a person whose prior activities, criminal record, reputation, habits, and

associations pose a threat to the public interest of the Tribe or the State of

North Dakota or the State of South Dakota 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, or (4) has been found to have participated in organized

crime or unlawful gambling; or

(5) Has an active and oustanding bench or arrest warrant issued by a state

or Tribe;

(6) Has been convicted of a petty theft offense within one (1) year from the

date of application;

(7) Has been dishonorably discharged from the armed services.

(b) Non-gaming staff as defined in Section 23-210 shall be required to submit to a

background investigation and shall not have any felony conviction within ten (10)

years prior to the commencement of their employment and shall have no criminal

convictions other than minor traffic offenses or misdemeanors which did not

result in incarceration, probation, parole or imprisonment. Non-gaming staff with

a felony conviction shall not be allowed to assume any primary management

official or key employee positions or duties and responsibilities at any time. Any

change of status form support to key or primary shall be subjected to the

licensing process in Section 23-504 prior to obtaining such license(s).

(c) During the period the background investigation is being conducted for NonGaming staff, the Commission may issue a thirty (30) day temporary non-gaming

license, with the understanding that the employee is a temporary, probationary

employee, whose employment is initially conditioned upon a successful

background investigation. If the results of the background investigation reveal

an impediment to the issuance of a gaming license, the employee shall be

immediately terminated, with no right of appeal. If the background investigation

reveals no criminal history, the employee may be granted a gaming license.

A temporary gaming license may only be issued three (3) times or ninety (90)

days for any one applicant.

(d) Non-gaming staff shall have no active outstanding bench or arrest warrant(s).
XXIII-.20

ATTACHMENT

23-504. Application for License

(a) Each primary management official and key employee shall, at the time of

their hiring but prior to commencing employment, fill out an application for

a tribal license to be provided by the Commission. Each such application

shall have printed on it the following notices:

In compliance with the Privacy Act of 1974, the following information

is provided: Solicitation of the information on this form is authorized

by25 U.S.C. §2701 etseci The purpose of the requested information

is to determine the eligibility of individuals to be employed in a

gaming operation. The information will be used by National Indian

Gaming Commission members and staff who have need for the

information in the performance of their official duties. The information

may be disclosed to appropriate Federal, Tribal, State, local or

foreign law enforcement and regulatory investigations and

prosecutions or when pursuant to a requirement by a tribe or the

National Indian Gaming Commission in connection with the hiring and

firing of an employee, the issuance or revocation of a gaming license,

or investigations of activities while associated with a tribe or a gaming

operation. Failure to consent to the disclosures indicated in this

notice will result in a tribes being unable to hire you in a

primary management official or key employee position. The disclosure

of your Social Security Number (SSN) is voluntary. However, failure

to supply a SSN may result in errors in processing your application.

2. Notice regarding false statements:

A false statement or failure to disclose on any part of this

application may be grounds for not hiring or for firing after work

begins. Also, this may be punished by fine or imprisonment (U.S.

Code, title 18, Section 1001).

(b) The applicant will provide the following information:

I. Full name, other names used (oral or written),social security

number(s), birth date, place of birth, citizenship, gender, all

languages (spoken or written);

2. For the previous five years: business and employment

positions held, ownership interests in those businesses,

business and residence addresses, and driver license

numbers;

3. The names and current addresses of at least three personal

references, including one personal reference who was

acquainted with the applicant during each period of

residence listed in Subparagraph 2;
2

AT TACH I _________

4. Current business and residence telephone numbers;

5. A description of any current or previous business

relationships with Indian tribes, including ownership interests

in those businesses;

- _16 A~escfiptionof~anycuffent or previous_business_relationshjps

with the gaming industry gen~àlly~1nctuding ownership

interests in those businesses;

7. The name and address of any licensing or regulatory agency

with which the applicant has filed an application for a license or

permit related to gaming, whether or not such license or permit

was granted;

8. For each felony for which there is an ongoing prosecution or a

conviction, the charge, the name and address of the court

involved, and the date and disposition, if any;

9. For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations) within 10 years

from the date of the application, the name and address of the

court involved and the date and disposition;

10. For each criminal charge (excluding minor traffic charge) within

10 years of the date of application, other than those listed in

response to Sections 23-504(b)(8) or (b)(9) of this Ordinance,

the charge, the name and address of the Court involved, and

the date and disposition of the charge.

11. 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;

12. A photograph;

13. Fingerprints; and

14. Any other information which, in a particular case, the

Commission deems relevant.

23-505. Determination of Eligibility

On the basis of the information received under Subparagraph (b) of Section

23-504, and the background investigation conducted by the appropriate State, the

Commission shall consider the applicant for a license. Upon a vote of a majority of its

members, The Commission shall make a determination of the applicants eligibility for a
XXIII-22

ATTACHMENT

license, pursuant to the standards set forth in Section 23-503. The Commission shall make

its determination of eligibility within 30 days of receipt of the information under Section 23-

504(b). The result of the background investigation of the appropriate state, and the results

of the additional background investigation, if any, conducted by the Commission.

Notwithstanding any other provision, any person who supplies materially false or

misleading information, who has omitted material information in connection with the

requirement of this Chapter, or has failed to disclose a recent conviction shall be denied a

-__JicenseandnotentitL?djpa hearing.

23-506. Issuance of License

When the Commission determines that an applicant is eligible for a license, it

shall promptly forward its determination and the results of its investigation to the National

Indian Gaming Commission. The information forwarded to the Commission shall include the

notices set forth in Section 23-504(a)(1) and (a)(2), the information provided under 23-

504(b), and a report of the background investigation under 23-502. If, at the conclusion of

the 30-day period beginning when the National Indian Gaming Commission receives the

report submitted pursuant to this subparagraph, the National Indian Gaming Commission

has not notified the Tribal Commission that it has any objections, the Tribal Commission

may issue the license to the applicant. If the National Indian Gaming Commission informs

the Tribal Commission that it objects to issuance of the license, the Tribal Commission shall

reconsider the application in light of the National Indian Gaming Commissions objections.

The Tribal Gaming Commission shall make the final decision on whether to issue such

license.

23-507. Duration of License and Renewal

Each license shall be effective for a period of one year, from the date of issuance.

Prior to expiration of the license, the licensee shall update the information produced during

the original investigation as required by Section 23-504(b). The Commission shall conduct

a review to determine that each licensee continues to meet the standards of Section 23-503

and shall make its determination within 30 days of receipt of the renewal sheet. If the

Commission finds that the licensee continues to meet the standards, it shall renew the

license for an additional year. No license renewal request shall be tabled by the

Commission. Notice of any such renewals shall be forwarded to the National Indian

Gaming Commission. Any licenses issued under this Section are for a period of one year

and create no right or expectation of a right to receive a license renewal.

23-508. Effect of License Denial

No person denied a license under this Chapter shall be employed in any

capacity at a tribally authorized gaming facility, provided that such person shall be

eligible to reapply for a license one year or more after the license denial.
XXIII-23

ATTACHMENT

23-509. Hearings

Any person who applies for a license under this Chapter may request a hearing

before the Commission on its license application. The Commission may grant such a

request for a hearing in its sole discretion, provided that, if the hearing is requested by a

person or entity whose application under this Chapter has been denied by the Commission

and such request is made in writing within 30 days of the denial, such request fora hearing -

~hält be granted At any-hearing -under--thissection, ib.e~ppI tsba1h~.ve~ the~igtit

(a) to be present, be represented by counsel at the applicants own expense,

(b) to review all evidence before the Commission on the application, and

(c) to present additional sworn oral or documentary evidence in support of the

application.

The decision of the Commission shall be in writing, and shall be rendered within

three days of the hearing. The Commission shall have full powers to subpoena documents

and summons witnesses.

23-51 0. License Suspension

(a) If, after issuance of a license under this Chapter, the Commission

receives reliable information that a key employee or primary

management official is not eligible for employment under this

Chapter, the Commission shall suspend the license and notify the

licensee in writing of the suspension and proposed revocation.

Such suspension shall not extend beyond 7 days without a hearing.

(b) The Commission shall notify the licensee of the time and place of the

hearing. At the hearing, the licensee shall be entitled to the rights

specified in Section 23-509.

(C) After a revocation hearing, the Commission shall determine, based on

the evidence presented at the hearing, whether to revoke or reinstate

the license. If the licensee continues to meet the standards of Section

23-503, the license shall be reinstated. If not, the license shall be

revoked. The Commission shall forward the results of any license

revoked to the National Indian Gaming Commission

23-511. Appeals

(a) An applicant for a license, or any other aggrieved party, may appeal from

any final order or decision of the Tribal Gaming Commission by filing a

Complaint and Notice of Appeal with the Tribal Court and providing Notice

to the Tribal Gaming Commission within 30 days of receipt of notice of the

final order or decision.

(b) The Commission shall certify the hearing record within 30 days of receipt

of a notice of appeal.
ATTACHMENT

XXIII-~24

(c) Review by the Tribal Court shall be based on the record. A decision or

order of the Commission shall be affirmed unless arbitrary and capricious,

or contrary to law.

(d) The Tribal Court shall have no jurisdiction to award money damages

against the Commission or any member of the Commission for any action

appealedunder-this section---- ~J_ijij ~

--

23-512. Law Trained Judges

Any party to an appeal taken under section 23-312, including the Commission,

shall have a right, upon timely request, to have a licensed attorney serve as Tribal

Judge with respect to such appeal. A request for a licensed attorney to serve as Judge

shall be timely under this section if the party submits such a request to the Tribal Court

at the time of the filing of the notice of appeal, or, in the event an order is issued without

notice against a party by a Judge who is not a licensed attorney, within 10 days of

notice of such order. If no licensed attorney Chief Judge or Associate Judge of the

Tribal Court is available to hear the case, because of disqualification or otherwise, the

Chief Judge shall appoint a Special Judge to hear such case, upon timely request of a

party. The Clerk of Court shall maintain a list of qualified persons who can serve as

Special Judge for such cases.

CHAPTER 6. MANAGEMENT CONTRACTORS

23-601. Management Contracts Allowed

Subject to the approval of the Tribe and the National Indian Gaming

Commission, a licensee may enter a management contract for the operation and

management of gaming activities.

23-602. Standard for Approval

The Tribe shall not approve any management contract unless its terms

include:

(a) Adequate accounting procedures to be maintained by the contractor

and verifiable financial reports submitted to the licensee and the

Tribe on a monthly basis.

(b) Access to the daily operation of the gaming for appropriate officials of

the licensee, the Commission and the Tribe who shall also have the right

to verify the daily gross revenues and income made from the gaming

activity.
XXIII-25

ATTACHMENT

(c) A minimum guaranteed payment to the licensee that has preference over

the retirement of development and constriction costs.

(d) A contract term not to exceed seven years.

(e) A management fee not to exceed 25 percent of the net revenues of the

gaming activity. -~

(f) ~ ~~

- -

-

-.

23-603. Submission to the National Indian Gaming Commission

The Tribe shall submit to the National Indian Gaming Commission for approval

any management contract for the operation of a Class II or Class III game. The Tribe shall

submit with the contract all information required by the National Indian Gaming Commission

for its review of the contract.

23-604. Licenses Required

All persons or entities (1) with a financial interest in or having a management

responsibility for a Class Ill management contract, or (2) which are vendors to a Class Ill

gaming operation under this Ordinance shall be required to obtain a license from the

Commission. For each person or entity with a financial interest in or having a management

responsibility for a Class III management contract, the initial license fee shall be $1,000,

and the renewal license fee shall be $500. For each vendor to a Class Ill gaming operation,

the annual license fee shall be $2,500. The fees collected under this Section shall be nonrefundable and shall become gaming commission revenue.

23-605. Background Investigation

As part of the licensing process, each person or entity having a financial interest

in or having a management responsibility for a management contract and each vendor shall

be subject to a background investigation. For Class II and Class Ill gaming conducted in

North Dakota, the investigation shall be conducted by the State of North Dakota, FBI and

Tribal Court. For Class II and Class Ill gaming conducted in South Dakota, the investigation

shall be conducted by the State of South Dakota, the FBI and Tribal Court. Any costs of

such investigation shall be paid by the applicant. In addition, the Commission may conduct

its own investigation on any such person or entity, with the costs paid by the applicant.

Each applicant for a license shall execute a release of information permitting the

appropriate State or the Commission to conduct such investigation, and shall provide his or

her full name, address and social security number.

23-606. Licensing Standard

No person or entity shall be issued a license under this Chapter if that person or entity

(or a principal of such entity) (1) has been convicted of a federal, state or tribal felony (2) or

released from parole or probation or incarcerated within five years of the application date,

(3) has been convicted of a misdemeanor involving fraud, misrepresentation, theft or

gambling, within the past five (5) years from the date of application (4) has been found to be

not a person of good character, honesty and integrity or a person or entity whose prior
( 7

ATTACHMENT

activities, criminal record, reputation, habits, and association pose a threat to the public

interest of the Tribe or the State of North Dakota or the State of South Dakota 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, (5) has

been found to have participated in organized crime or unlawful gambling (6) has been

convicted of a petty theft offense within one (1) year from the date of application or(7) has

an-active-or outstandingb~.ncj~orarrestwarrant..~- --

23-607. Application for License

(a) Each applicant with a financial interest in or having a management

responsibility for a Class Ill management agreement shall fill out an

application for a tribal license to be provided by the Commission.

Each such applicant sign and submit the following statements:

1. Privacy notice:

Solicitation of the information in this section is authorized by 25

U.S.C. §2701 et seq The purpose of the requested information is

to determine the suitability of individuals with a financial interest

in, or having management responsibility for, a management

contract. The information will be used by the National Indian

Gaming Commission members and staff and Indian tribal officials

who have need for the information in the performance of their

official duties. The information may be disclosed to appropriate

federal, tribal, state, or foreign law enforcement and regulatory

agencies in connection with a back ground investigation or when

relevant to civil, criminal or re9ulatory investigations or prosecu

tions or investigations of activities while associated with a gaming

operation. Failure to consent to the disclosures indicated in this

statement will mean that the Chairman of the National Indian

Gaming Commission will be unable to approve the contract in

which the person has a financial interest or management

responsibility.

The disclosure of a personal Social Security Number (S SN) is

voluntary. However, failure to supply a SSN may result in errors in

processing the information provided.

2. Notice regarding false statements or failure to disclose:

(a) Applicant shall sign and submit the following statement:

A false statement or failure to disclose knowingly and willfully

provided in any of the information pursuant to this section may

be grounds for not approving the contract in which I have a

financial interest or management responsibility, or for the

disapproving or voiding such contract after it is approved by the

Chairman of the National Indian Gaming Commission. Also, I may

be punished by fine or imprisonment (U.S. Code, title 18, section

1001).
fXXIII-27

ATTACHMENT ~

(b) Each person seeking a license under this Chapter shaH provide

the following information:

I. Full name, other names used (oral or written), social security

number(s), birth date, place of birth, citizenship, and gender;

2.

~

A current photograph, drivers license number, and a list of all

~-~~___

3. For the previous ten years: business and employment positions

held, ownership interests in those businesses, business and

residence addresses, and driver license numbers, and the city,

state and country of residence from age 18 to the present;

4. The names and current addresses of at least three personal

references, including one personal reference who was acquainted

with the applicant at each different residence location over the past

five years;

5. Current business and residence telephone numbers;

6. A description of any previous business relationships with Indian

tribes, including ownership interests in those businesses;

7. The name and address of any licensing or regulatory agency with

which the applicant has filed an application for a license or permit

related to gaming, whether or not such license or permit was

granted;

8. For each gaming offense and each felony for which there is an

ongoing prosecution or a conviction, the charge, the name and

address of the court involved, and the date of the charge and of

the disposition;

9. For each misdemeanor or other conviction or ongoing misde

meanor or other prosecution (excluding minor traffic violations)

within 10 years from the date of the application, the name and

address of the court involved and the dates of prosecution and of

the disposition;

10. The name and address of any licensin9 or regulatory agency with

which the person has filed an application for an occupational

license or permit, whether or not such license of permit was

granted;

11. A photograph;

12. Fingerprints;

13. A complete and current financial statement showing all sources of

income for the previous three (3) years, and costs, liabilities, and

net worth as of the date of the submission;

14. Any other information which, in a particular case, the Commission

deems relevant.
XXIII-28 ATTACHMENT~2~

23-608. Determination of Eligibility

On the basis of the information received under subparagraph (b) of Section 23-

607, and the background investigation conducted by the appropriate State, the Commission

shall consider the application for a license. Upon a vote of a majority of its members, the

Commission shall make a determination of the applicants eligibility for a license, pursuant

-to-the--standardsseLforthjn Sec~on23-6O6. Notwithstanding any other provision, any

person or entity which supplies materiallyl öi5~iSI~dinginforrnation, orwho-has-~- -

omitted material information in connection with the requirements of this Chapter, shall be

denied a license.

23-609. Issuance of License

When the Commission determines that a person or entity with a financial interest

in or having a management responsibility for a Class Ill management agreement is eligible

for a license, it shall promptly forward its determination and the results of its investigation to

the National Indian Gaming Commission, If, at the conclusion of the 30-day period

beginning when the National Indian Gaming Commission receives the report submitted

pursuant to this subparagraph, the National Indian Gaming Commission has not notified the

Tribal Commission that it has any objections, the Tribal Commission may issue the license

to the applicant.

23-61 0. Duration of License

Each license under this Chapter shall be effective for a period of one year. Prior

to the expiration of the license, the license shall update the information produced during the

original investigation. The Commission shall conduct a review to determine that each

license continues to meet the standards of Section 23-606. If the Commission finds that the

licensee continues to meet the standards, it shall renew the license for an additional year.

Notice of any such renewals shall be forwarded to the National Indian Gaming Commission,

23-611. Hearings

Any person or entity which applies for a license under this Chapter may request a

hearing before the Commission on its license application. The Commission may grant such

a request for a hearing in its sole discretion, provided that, if the hearing is requested by a

person or entity whose application under this Chapter has been denied by the Commission

and such request is made in writing within 30 days of the denial, such request for a hearing

shall be granted. At any hearing under this section, the applicant shall have the right to be

present, be represented by counsel at the applicants own expense, to review all evidence

before the Commission on the application, and to present additional oral or documentary

evidence in support of the application. The decision of the Commission shall be in writing,

and shall be rendered within three days of the hearing.

23-612. License Suspension

(a) If, after issuance of a license under this Chapter, the Commission

receives reliable information that such person or entity is not eligible for

a license under this Chapter, the Tribe shall suspend the license and
XXIII-29

ATTACHMENT

notify the licensee in writing of the suspension and proposed revocation.

Such suspension shall not extend beyond 7 days without a hearing.

(b) The Tribe shall notify the licensee of the time and place of the hearing.

At the hearing, the licensee shall be entitled to the rights specified in

Section 23-611.

a.revocation b~j~ng~j~ Commission shall determine, based on the

evidence presented atihe he~in~WhethGrtorevoke~orreinstate-the

license, If the licensee continues to meet the standards of Section

23-609, the license shall be reinstated, If not, the license shall be revoked.

23-613. Definitions

(a) For purposes of this Chapter, the term persons or entities with a financial

interest in, or having management responsibility for, a management con

tract means:

(1) Each person with management responsibility for a management

contract;

(2) Each person who is a director of a corporation that is a party to a

management contract;

(3) The ten (10 persons who have the greatest direct or indirect

financial interest in a management contract;

(4) Any entity with a financial interest in a management contract;

(5) Any other person with a direct or indirect financial interest in a

management contract.

(b) For purposes of this Chapter vendor~ means:

I) any person or entity providing Class Ill gaming equipment to

gaming operator under this Ordinance in a total amount exceeding

$50,000.00 in a twelve-month period, or

ii) any other person or entity which provides goods or services (other

than accounting or legal services) to a gaming operator, provided

that, notwithstanding any other provision of this Ordinance, a vendor

as defined under this Subsection ii) shall be required to obtain a

license under Section 23-604 only if the Commission, in its

discretion, specifically so requires.

CHAPTER 7. CLASS II GAMING

23-701. Conditions

The following conditions and restrictions shall apply to the conduct of Class II

gaming, including bingo:
XXIII-30

AT IACHME NT _____

(a) No person who is under the age of 16 shall participate or play in any Class

II game of chance. No person under the age of 16 shall be allowed on

premises where Class 11 games are being conducted unless that person is

accompanied by a member of his immediate family or guardian who is not

younger than 18 years of age. It shall be the responsibility of the licensee

and of those persons physically operating the games to determine that no

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

~1he operatienTof~Øny-bin~ogame,_.. _I__

(b) All Class II licensees shall impose a uniform charge on all players for the

bingo cards to be used in each bingo game. The rate to be charged players

for cards shall be fixed by each licensee and posted conspicuously on the

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

paying this uniform charge. Each person paying for the opportunity to

participate in a bingo game shall be given a bingo card which shall be

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

card is sued shall represent a specific amount of money which has been

paid to the licensee. The amount of prize money represented by each card

issued shall be clearly made known to all players prior to anyone paying to

participate in the activity.

(c) Bingo cards shall be sold and paid for, only in advance for use in a speci

fied game or games. All sales of bingo cards shall take place upon the

premises and upon the occasion that the bingo games for which the card

is being sold are conducted. No cards may be sold on credit or as a gift or

loan of any kind whatever.

(d) Each numbered ball, or other device, used in a bingo game for the selec

tion of numbers to be called in play shall be the same weight as each of

the other balls or devices used for the purpose in that game. Immediately

following the calling of each number in a bingo game, the caller shall turn

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

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

so that participants may know that the proper number has been called out.

Nothing in this section shall prohibit the use of electronic, computer or

other technological aids in games of bingo or other games of chance pro

vided that such aids are used properly and fairly.

CHAPTER 8. CLASS Ill GAMING

23-801. Applicability

In addition to the forms of Class II gaming authorized pursuant to Chapter 7,

the Tribe shall be authorized to conduct certain specified forms of Class Ill gaming. This

chapter imposes conditions and regulations on Class Ill gaming in addition to the

conditions in Chapter 4 which are applicable to all gaming on the Reservation.
XXIII-31

ATTACHMENT -

Subchapter A. Gaming in North Dakota

23-802. Applicability

This subchapter applies to Class III gaming, as defined in Section 23-203 of

this Ordinance and in the Indian Gaming Regulatory Act at 25 U.S.C. §2703(8), that

occurs on lands within the State of North Dakota which are on the Standing Rock Sioux

~~Reservat,on, held in trt~st-by-the United-Statesforthe Tsibeor inciwi~jal Indians or are

otherwise subject to the jurisdiction of the Standing Rock Sioux Tribe. -.

23-803. Governing Law

Class III gaming under this subchapter shall be governed by and conducted in

conformity with the laws of the Standing Rock Sioux Tribe, the North Dakota Compact

and the laws of the United States.

23-804. Adoption of Compact

The North Dakota Compact is hereby incorporated within and enacted as an

integral part of this Ordinance with respect to all forms of Class Ill gaming, and the

Compact is appended to and made a part of this Ordinance as if set forth in full herein;

provided however, that nothing in the adoption of the North Dakota Compact herein

shall be deemed to affect the operation by the Tribe of Class Ill gaming on the South

Dakota portion of the Reservation, or the operation by the Tribe of Class 11 gaming on

any portion of the Reservation, or to confer upon the State of North Dakota any

jurisdiction over Class 11 gaming conducted by the Tribe on the Reservation.

23-805. Types of Class HI Games Authorized

The following Class Ill games are authorized to be operated and played on

the North Dakota Portion of the Reservation.

a. Electronic games of chance with video facsimile displays. Machines

featuring coin drop and payout, and machines featuring printed tabulations

shall both be permitted.

b. Electronic games of chance with mechanical rotating reels whereby the

software of the device predetermines the stop positions and the presence

or lack thereof, of a winning combination and pay out, if any. Machines

featuring coin drop and payout, and machines featuring printed tabulations

shall both be permitted~

c. Paddle wheel.

d. Blackjack; and similar banking games;

e. Poker, including pai gai poker and Caribbean poker.
XXIII32

ATTACHMENT

f. Keno.

g. Sports and calcutta pools on professional sporting events as defined by

North Dakota law, except that play may be conducted utilizing

electronic projections or reproductions of a sports pool board~

h. Parimutuel and simulcast betting if an agreement governing such betting is

reached-between -the-T-c~ibØ-and North-Dakota. -

-

i. Sports Book except as prohibited by the professional and Amateur Sports

Protection Acr, P.L. 102-558; 28 U.S.C. Chap. 178, Pt. VI;

j. Pull-tabs or break-open tickets when not played at the same location where

bingo is being played, subject to Section 3.4 of the Compact;

k. Raffles;

I. Punchboards and jars;

m. Craps and Indian Dice;

n. All games of chance and/or skill, other than those subject to Section 3.3 of

the Compact, authorized to be conducted by any group or individual under

any circumstances within the State of North Dakota, rules of play to be

negotiated in good faith by the parties~

o. Roulette, and similar games, whether played conventionally or electronically~

And

p. Slot Tournaments, whether or not a fee is charged, in which players use

designated electronic games of chance machines and as more fully set

forth in the Compact.

23-806. Bet Limits

The following bet limits shall apply to the following games:

Blackjack $100.00 maximum, except the Tribe may

Designate no more than two (2) tables on which

Wagers may not exceed Two hundred Fifty Dollars

($250.00)

Any machine $25.00 maximum

Poker $50.00 maximum (single bet)

Three raise maximum per round
XXIII-33

Paddle wheel $50.00 maximum

Roulette $50.00

Craps $60.00 per bet, however, a player may lay true

Odds on dont bets. -

Indian Dice $100.00 multiplied by the number of pla~or

23-807. Minimum Age Requirement

No person under the age of 21 shall be allowed to play any Class HI gaming on

the North Dakota portion of the Reservation. If any person below the age of 21 plays and

qualifies to win any Class HI game, the prize shall not be paid, and the amount wagered

during the course of the game shall be forfeited by the minor.

23-808. Record Keeping Requirement

Each location which contains video games of chance shall have an intercon

nected one-way reporting system which shall provide, for each machine, periodic analytic

reports that record coins in and coins out, calculate actual hold, and compare actual hold to

theoretical percentages. Reports shall be prepared on at least a monthly basis and shall be

made available for inspection by agents of the State of North Dakota. The reports shall be

maintained by the Tribe for a minimum of three years.

23-809. Inspection

Agents of the Commission or the State of North Dakota shall have the right to

gain access, without notice during normal hours of operation, to all premises used for the

operation of Class Ill games of chance on the North Dakota portion of the Reservation, or

for the storage of such games and equipment related thereto, and may inspect all premises,

equipment, daily records, documents or items related to the operation of Class III games of

chance.

23-810. Technical Standards

The provisions of Section 20 of the North Dakota Compact, Regulation and Play

of an Electronic Game are hereby adopted and incorporated into this Ordinance.

Subchapter B. Gaming in South Dakota

23-811. Applicability

This subchapter applies to Class Ill gaming, as defined in Section 23-203 of this

Ordinance and in the Indian Gaming Regulatory Act at 25 U.S.C. §2703(8), that occurs on
lands within the State of South Dakota which are on the Standing Rock Sioux Reservation,

held in trust by the United States for the Tribe or individual Indians or are otherwise subject

to the jurisdiction of the Standing Rock Sioux Tribe.

23-812. Governing Law

Class lii gaming under this subchapter shall be governed by and conducted in

~nf~rrnity withihelaws of the Standtng R~ch-S1oux~Tr4be,-theSQuthDakotaCompact a~d

the laws of the United States.

23-81 3. Adoption of Compact

The South Dakota Compact is hereby incorporated within and enacted as an

integral part of this Ordinance with respect to all forms of Class lii gaming, and the Compact

is appended to and make a part of this Ordinance as if set forth in full herein; provided

however, that nothing in the adoption of the South Dakota Compact herein shall be deemed

to affect the operation by the Tribe of Class lit gaming on the North Dakota portion of the

Reservation, or the operation by the Tribe of Class Il gaming on any portion of the

Reservation, or to confer upon the State of South Dakota any jurisdiction over Class II

gaming conducted by the Tribe on the Reservation.

23-814. Tv~es of Class III Games Authorized

The following Class Ill games are authorized to be operated and played on the

South Dakota portion of the Reservation;

a. Blackjack, as that term is defined in South Dakota Codified Laws

42-7B-4(3);

b. Poker, as that term is defined in South Dakota Codified Laws

42-7B-4(1 8);

C. Slot machines, as that term is defined in South Dakota Codified Laws

42-7B4(21).

23-81 5. Bet Limits

Class Ill gaming operations on the South Dakota portion of the Reservation may

offer the highest bet limits on any game consistent with the laws of the State of South

Dakota and the regulations of the South Dakota Gaming Commission.

23-816. Accounting Standards

The accounting standards of Chapter 20:18:22 of the South Dakota Rules and

Regulations for Limited Gaming are hereby adopted and incorporated into this Ordinance.
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AT1ACHMENT

23-817. Minimum Age Requirement

No person under the age of 21 shall play or be allowed to play any Class Ill

gaming device in the South Dakota portion of the Reservation. If any person below the age

of 21 plays and qualifies to win any Class Ill game, the prize shall not be paid, and the

amount wagered during the course of the game shall be forfeited by the minor.

23-8t8:~

The

Technical

hardware

-

and software specifications set forth by the South Dakota Gaming

Commission and SDCL 42-7B-43 are hereby adopted and incorporated into this Ordinance.

All Class Ill gaming machines on the South Dakota portion of the Reservation shall meet or

exceed these standards.

23-81 9. Number of Gaming Devices

The Tribe shall be authorized to operate up to 180 gaming devices on the South

Dakota portion the Reservation, or such greater amount as may be authorized under the

South Dakota compaôt, provided however, that any increase or decrease in the gaming

device limitation contained in the laws of the State of South Dakota will result in a

proportional increase or decrease in the limit of 180 devices permitted under this

Ordinance.

CHAPTER 9. NO CREDIT EXTENDED

23-901. No Credit Extended

All Class Ill gaming shall be conducted on a cash basis. No person shall be

extended credit for gaming and no licensee shall be permitted to offer credit for gaming for

a fee; provided however that this section shall not apply to credits won by players who

activate play after inserting coins or currency into the game, and provided further that this

section shall not restrict the right of the Tribe or any other person to offer check cashing or

to install or accept bank or credit card transaction in the same manner as would be normally

permitted at a retail business.

CHAPTER 10. JURISDICTION OVER CLASS III GAMING

23-1 001. Civil Jurisdiction in South Dakota

The Standing Rock Tribal Court shall have civil jurisdiction exclusive of the

State of South Dakota over all transactions or disputes related to or arising from gaming

conducted on the South Dakota portion of the Reservation, and all disputes related to or

arising from this Ordinance on the South Dakota portion of the Reservation, provided

however, that any such case involving one or more persons who are not tribal members

shall be heard in the courts of the State of South Dakota, unless all parties stipulate the

action may be heard in Tribal Court. This provision shall not be construed as a waiver of

sovereign immunity by the Tribe.
V

A1TACHMENT~~3_~ XXIII-36

23-1 002. Civil Jurisdiction in North Dakota

Nothing in this ordinance or the amended Compact shall deprive the Courts

of the Tribe, the United States, or the State of north Dakota of such civil jurisdiction as

each may enjoy under applicable law. Nothing in this ordinance or the amended

Compact shall be interpreted as extending the civil jurisdiction of the Tribe or state.

23-1003. Criminal Jurisdiction in South Dakota ~

The Standing Rock Sioux Tribal Court shall have criminal jurisdiction

exclusive of the State of South Dakota over all persons who are members of the Tribe in

any criminal proceeding related to or arising from gaming conducted on the Reservation

in South Dakota. The courts of the State of South Dakota shall have jurisdiction over

persons who are non-members of the Tribe in a criminal proceeding related to or arising

from gaming conducted on the South Dakota portion of the Reservation, to the extent

set forth in the South Dakota Compact.

23-1 004. Criminal jurisdiction in North Dakota

The Standing Rock Sioux Tribal Court shall have criminal jurisdiction

exclusive of the State of North Dakota over all persons as to whom the Tribe has

criminal jurisdiction generally, in any criminal proceeding related to or arising from

gaming conducted on the Reservation in North Dakota. The courts of the State of North

Dakota shall have jurisdiction over persons who are non-Indians in a criminal

proceeding related to or arising from gaming in North Dakota.

23-1 005. Federal Jurisdiction

Nothing herein shall be construed to limit or deprive the federal courts of

any civil or criminal jurisdiction which they might otherwise have.

CHAPTER 11. PENALTIES

23-1101. Criminal Penalties

Violation of this Ordinance shall constitute a Class A misdemeanor.

23-1102. Civil Penalties

Notwithstanding criminal penalties which may be imposed, any individual who

violates any provision of this Ordinance shall be subject to civil penalties including

exclusion from employment by any Tribal gaming enterprise, exclusion from attendance at

any Tribal gaming facility, or exclusion from the Reservation if a non-member of the Tribe.

The Tribal Court shall have the jurisdiction to impose any such civil penalty on any person

within the jurisdiction of the Tribe to impose such penalty.
XXIII- 37

ATTACHMENT

a

CHAPTER 12. CUSTOMER DISPUTES

23-1 201. Customer Disputes

~

Any person who has any dispute, disagreement or other grievance that involves

-value and is ~beiw??n the customer or player

and a tribally licensed gaming facility, may raise such dispute with the following persons -

and in the following order: (a) a member of the staff of the facility, (b) the supervisor in the

area in which the dispute arose. (c) a managerial level supervisor of the facility and (d)the

Tribal Gaming Commission.

23-1 202. Customer Rights Regarding Disputes

At each level, the complainant has the right to explain his side of the dispute,

and to present witnesses in connection with any factual allegation. At each level, if the

dispute remains unresolved, the complainant shall be informed of this right to take the

dispute to the next higher level as set forth in Section 23-1201. Resolution of any dispute by

staff of the facility shall always involve two or more staff members. All disputes, whether

resolved or not, shall be the subject of a detailed report by all staff involved to their

supervisors, or, in the case of the senior staff member handling a dispute, to the Tribal

Gaming Commission.

23-1 203. Commission Action on Customer Disputes

All disputes which are submitted to the Tribal Gaming Commission shall be

decided by the Commission based on information provided by the complainant, any

witnesses for or documents provided by the complainant, or by the licensee or manager

of the facility or any other person who has relevant information to provide. The decision

of the Commission shall be in writing, shall be issued within 14 days of submission of

the matter to the Commission, and shall be provided to the licensee or manager of the

facility and the complainant.

CHAPTER 13. MISCELLANEOUS

23-1301. Severability

In the event that any section or provision of this Ordinance is held invalid, the

remaining sections or provisions shall continue in full force and effect.