July 12, 2016 

Wally Dupuis, Chairman 

Fond Du Lac Band of Lake Superior 

Chippewa Reservation Business Committee 

1720 Big Lake Rd. 

Cloquet, MN 55720 

Re: Amended Fond Du Lac Band of Lake Superior Chippewa Gaming Ordinance #09/93 

Dear Chairman Dupuis: 

This letter responds to a request from Tribal Attorney Sean Copeland on behalf of the Fond Du 

Lac Band of Lake Superior Chippewa for the National Indian Gaming Commission Chairman to review 

and approve Gaming Ordinance# 09/93, as amended pursuant to Resolution No. I 071/16, dated April 6, 

2016. 

The amendments include updates such as a new vendor licensing section, bingo and Class II 

gaming definitions consistent with NIGC regulations, and the employee licensing provisions reflecting 

the most recent amendments to NIGC regulations. 

Thank you for bringing the amended ordinance to my attention and for providing me with a 

copy. The amended ordinance is approved as it is consistent with the requirements of the Indian Gaming 

Regulatory Act and the NIGC regulations. If you have any questions, please feel free to contact Staff 

Attorney Jennifer Lawson at (202) 632-7003. 

Sincerely, 

( 

Cc: Sean Copeland, Tribal Attorney 

NfW MAILING ADDRESS: NIGC/ DEPARTMENT OF THE INTERIOR 1849 C Street NW. M oil Stop# 1621 Washington, DC 20 240 Tel 202.632.7003 ~ox: 202.6 32.7066 

REGIONAL OFFICES Porllond, OR; Socromenlo, CA; Phoenix, AZ; St. f>o11I, MN; Tvlso OK; Oklahoma City, OK 

WWW.NtGC.GOV 
Fond du Lac Band of Lake Superior Chippewa 

1120BigLakeRd. Reservation Business Committee 

Cloquet, MN 55720 

Phone (218) 879--4593 

Fax (218) 879·4146 

Chairman 

Wally Dupuis 

Secretary/Treasurer 

Ferdinand Martineau, Jr. 

Dist. II Representative 

Bruce M, Savage 

Dist. Ill Representa!ive 

Kevin IR. Dupuis, Sr. 

Executive Director, 

Tribal Programs 

Chuck.Walt 

Executive Director, 

Tribal Enterprises 

Michael Himango 

RESOLUTION #1071/16 Amended 

AMENDJNG THE GAMING ORDINANCE, FDL ORD. #09/93 

The Fond du Lac Reservation Business Committee, on behalf of the Fond du Lac 

Band of Lake Superior Chippewa, hereby enacts the following Resolution: 

WHEREAS, the Fond du Lac Band of Lake Superior Chippewa are a sovereign 

people, who occupy the Fond du Lac Reservation and retain their 

aboriginal rights of self-government and self-determination pursuant 

to the Treaty ofLaPointe of September 30, 1854, 10 Stat. 1109; the 

Indian Reorganization Act of 1934, 25 U.S.C. § 461 et seq.; the 

common law of the United States; and as recognized by the United 

Nations Decl~ation on the Rights of Indigenous Peoples of 

September 13, 2007; and 

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

Committee, as the duly-constituted governing body of the Fond du 

Lac Band, to exercise the responsibilities of self-government and 

management over the Band's affairs; and 

WHEREAS, on June 28, 1993, the Fond du Lac Reservation Business Committee 

adopted, and the Chairman of the National Indian Gaming 

Conimission, acting under the authority of the Indian Gaming 

Regulatoxy Act of 1988, 25 U.S.C. §2710(b)(l)(B)(1994), 

subsequently approved the Fond du Lac Gaming Ordinance, FDL 

Ord. #09/93, under which the Fond du Lac Band licenses and 

regulates gaming on the Fond du Lac Indian Reservation; and 

WHEREAS, the Reservation Business Committee has determined it to be 

necessary and in the best interests of the Fond du Lac Band to amend 

its Gaming Ordinance #09/93; and 

WHEREAS, towards this purpose, the Reservation Business Committee has 

developed proposed amendments, which are hereby deemed 

acceptable and in the best interests of the Band; 

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

Business Committee does hereby adopt the attached Fond du Lac 

Gaming Ordinance #09/93, As Amended, to become effective upon 

approval by the National Indian Gaming Com.mission; and 
RESOLUTION #.l.fillL!6 Amended 

Pagc2 

BE IT FURTHER RESOLVED, that the Fond du Lac ReseJ.Vation Business Committee does 

herewith request that the Chairman of the National Indian Gaming Commission also 

approve the Fond du Lac Band's Gaming Ordinance #09/93, As Amended. 

laws:9309.R2016.04.04 

CERTIFICATION 

Ferdinand Martineau, Jr. 

Secretaryffreasurer 

Fond du Lac Band of Lake Superior Chippewa 
SECTION 15. DISPUTE RESOLUTION. 

15 .1 Disputes between a customer or members of the 

public and the Gaming Facility with respect to 

Gaming activities at the Gaming Facility shall be 

handled as follows: 

15 .1.1 

15 .1. 2 

Disputes shall initially be brought to 

the attention of the supervisor on duty 

at the time the dispute arises; 

If the dispute is not resolved to the 

satisfaction of the aggrieved party, s/he 

may submit a complaint in writing to. the 

General Manager of the Gaming Facility, 

who shall render a decision on the 

dispute in writing, stating the reasons 

for the decision. 

15. 2 If the aggrieved party remains unsatisfied, s/he 

may submit a written statement to the Reservation 

Business Committee, outlining with specificity the 

reasons for his or her dissatisfaction with the 

decision of the Gaming Facility manager. The 

Reservation Business Committee may request 

additional information from the aggrieved party, 

the manager of the Gaming Facility or other 

parties, and may, in its sole discretion, conduct a 

hearing on the matter. The Reservation Business 

Committee shall issue a final written decision on 

the dispute within ten {10) days from the receipt 

of the written statement from the aggrieved party 

or within ten (10) days from the completion of the 

hearing, if one is conducted. · 

67 
RECEIVED 

NATIONAL INDIAN 

GMAl NG COMMISSION 

7Ul6 MAY -Q AH II= 20 

FOND DU LAC BAND OF LAKE SUPERIOR CHIPPEWA 

GAMING ORDINANCE #09/93 

AS AMENDED 

Licensing and Regulation of Games of Chance 

Adopted by Resolution #1174/93 of the Fond du Lac Reservation Business Committee, dated 

June 28, 1993. 

Amended by Resolution #1246/93 of the Fond du Lac Reservation Business Conunittee dated 

August 24, 1993. 

Amended by Resolution #1062/03 of the Fond du Lac Reservation Business Committee dated 

March 25, 2003. 

Amended by Resolution #1071/16 of the Fond du Lac Reservation Business Committee dated 

February 24, 2016. 

Amended by Resolution #1071116 Amended of the Fond du Lac Reservation Business 

Committee dated April 6, 2016. 
TABLE OF CONTENTS 

Chapter 1: Purpose, Authority, and Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

Section 101 Purpose and Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

Section 102. Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

Section 103. Repealer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

Section 104. Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 

Section 105. Effective Date . .... . ..... . ......... . .... . ......... . ........ 2 

Chapter 2: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

Section 201 . "Applicant" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

Section 202. "Band'' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

Section 203 . "Class I gaming" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

Section 204. "Class II gaming11 

• • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • 3 

Section 205. "Class III Gaming". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 206. "Compact" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 207. "Complimentary" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 208. "Facility License" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 200. "Gaming" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

S ectlon . 210 "G . E . " 4 . ammg nterpnse .. .. . .......................... . ... . .. . . 

Section 211. "Gaming Facility" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 212. "Gaming Operation(s)" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 213. "Indian Lands" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Section 214. "Indian Tribe" or "Tribe" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

Section 215. "Key Employee" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

Section 216. "Licensee" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

Section 217. "Management Contract" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

Section 218. "Net Revenues" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

Section 219. "Primary Management Official" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 

Section 220. "Reservation" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 

Section 221. ''Reservation Business Committee" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 

Section 222. "Social Games for Prizes of Minimal Value" . . . . . . . . . . . . . . . . . . . . . 6 

Section 223. "Traditional Forms oflndian Gaming" . . . . . . . . . . . . . . . . . . . . . . . . . . 6 

Section 224. ''Vendor" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 

Chapter 3: Gaming Authorized . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 

Section 301 Class I Gaming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 

Section 302 Class II and Class III Gaming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 

Chapter 4: Ownership of Games . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 

Section 401 Sole Proprietary Interest in Band . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 

Chapter S: Use of Gaming Net Revenue ....................... ................ 9 

Section 501 Permissible Uses of Gaming Revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 

Section 502 Per Capita Payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 

Chapter 6: Tribal Gaming Regulatory Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 

Section 601. Regulatory Duties and Authority of the Reservation 

Business Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 

Section 602. Regulatory Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 
Section 603. Independence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 

Section 604. Regulatory Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I 0 

Section 605. Confidentiality of Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 

Chapter 7: Complimentary Items .. .. . .................................. . .. . . 13 

Section 701. Regulated Use . ....................................... . .... 13 

Section 702. Budget ................. . . . .. . .. . .. . .......... . ........... 13 

Chapter 8: Audit ..................... .. ................. ...... ............ 14 

Section 801. Audit Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 

Section 802. Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 

Section 803. Exceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 

Chapter 9: Agent for Service of Process ................................. ... . . . 15 

Section 901 . Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 

Chapter 10: Protection of the Environment and Public Health and Safety ........... 16 

Section 1001. Protection Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 

Section 1 002. Applicable Laws and Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 

Chapter 11: Facility Licenses ................................................ . 17 

Section 1101. Separate Licenses Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 

Section 1102. Issuance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 

Section 1103. License Application and Fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 

Section 1104. Hearing on Application for a Facility License ................. . ... 17 

Section 1105. Conditions ....... ................. . ................. . ..... 18 

Section 1106. Required Notification . . .. . ................................ . .. 18 

Section 11 07. Display ....................................... . ...... . .... 18 

Section 1108. Assignment or Transfer ....... .. . . ....... . ........ ........... 19 

Section 1109. Cancellation and Suspension ....... .. .......... ..... .......... 19 

Section 1110. Reports to the Band ............................ . ... . ........ 19 

Chapter 12: Licensing .............. . .... ..... ...................... . ........ 20 

Section 1201. License Required ......... . . .. ... . .................. . ....... 20 

Section 1202. Application Required ............. .. ......................... 20 

Section 1203. Fees . .... ............... . ......................... . .. . . . . 20 

Section 1204. Not a Right . . ... . .... . ..................................... 20 

Section 1205. Licenses .................................................. 20 

Section 1206. Authority to Condition and Limit Licenses . . . . . . . . . . . . . . . . . . . . . . 20 

Section 1207. Tenn of License and Renewal ................................. 21 

Chapter 13: Licenses for Key Employees and Primary Management Officials ........ 22 

Section 1301. Policy . .... . ........... . ..... . ............................ 22 

Section 1302. Application Forms .......................................... 22 

Section 1303. Fingerprints .. ............................................. 23 

Section 1304. Background Investigations ...... . . . ................ . .......... 23 

Section 1305. Procedures for Conducting Background Investigations .............. 24 

Section 1306. Investigative Reports ............ . ........................... 25 

Section 1307. Eligibility Determination ....................... . ............. 26 

Section 1308. Notice of Results of Background Investigation .................... 26 

Section 1309. Granting a Gaming License .... . .............................. 27 

Section 1310. Denying a Gaming License ......... . ................... . ... . . 28 

Section 1311. License Suspension or Revocation of a Gaming License ... . ........ 29 

11 
Section 1312. Records Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 

Chapter 14. Vendor Licenses ............. . ......... . .......... . .............. 31 

Section 1401. Licenses for Vendors ....................................... 31 

Chapter 15: Licensing Hearings .............................................. 33 

Section 1501. Hearing Request ............................................ 33 

Section 1502. Timing of Request ............. . .... . ......... . . . ........... 33 

Section 1503. Hearing Procedures . ........... . .. . . . ... . ....... . . . ... . . . ... 33 

Chapter 16: Triballnternal Control Standards ......... . ........................ 34 

Section 1601. Adoption ..... .................... . ..... . .. .. . . ... . . . . . ... 34 

Chapter 17: Class III Gaming Compact(s) ... . . .... . ............. .. ............. 35 

Section 1701. Class III Gaming Contingent on Compact with the State . . . . . . . . . . . . 3 5 

Section 1702. Compact for Video Games of Chance .............. .......... . . . 35 

Section 1703. Compact for Blackjack .......................... ............. 35 

CERTIFICATION ............................................ . .. . . . . . ....... 35 

111 
FOND DU LAC BAND OF LAKE SUPERIOR CHIPPEWA 

GAMING ORDINANCE #09/93 

Licensing and Regulation of Games of Chance 

Chapter 1: Purpose. Authority, and Findings 

Section 101. Purpose and Authority 

The Fond du Lac Band of Lake Superior Chippewa enacts this Ordinance to regulate all 

forms of Gaming on Band's Lands. This Ordinance is enacted pursuant to the inherent sovereign 

authority of the Fond du Lac Reservation Business Committee, as the governing body of the Fond 

du Lac Band of Lake Superior Chippewa, as granted by Article VI of the Constitution of the 

Minnesota Chippewa Tribe, and as recognized by the United States under Section 16 of the Indian 

Reorganization Act of 1934, 25 U.S.C. § 476, and under the Indian Gaming Regulatory Act of 1988, 

25 U.S.C. §§ 2701 et seq. 

Section 102. Findings 

The Reservation Business Committee finds: 

(a) That the operation of bingo, lotto and other games of chance by the Band is a valid 

means of promoting tribal economic development and the health and welfare of Band members. 

(b) That under the principles established by the United States Supreme Court in 

California v. Cabazon Band of Mission Indians, 480 U.S. 202 (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 conducted within a state, such as Minnesota, which does not criminally prohibit 

the activity. 

( c) That the United States Congress has enacted the Indian Gaming Regulatory Act, 25 

U.S.C. §§ 2701-272l(IGRA) providing for certain federal regulation ofindian gaming. 

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

of trust lands on the Reservation and to the protection of the interests of the Band and its members. 

Section 103. Repealer 

lbis Ordinance is enacted by adoption of Resolution No. 1071/16 Amended, which also 

repeals and replaces all prior Gaming Ordinances adopted by the Fond du Lac Band. 

1 
Section 104. Applicability 

Unless specifically indicated otherwise, all provisions of this Ordinance shall apply to all 

Gaming on the Fond du Lac Reservation and on all land held in trust by the United States for the 

benefit of the the Band. 

Section 105. Effective Date 

This Ordinance~ and the repeal of the prior ordinance, is effective upon the approval by the 

National Indian Gaming Committee (NIGC) as provided in 25.U.S.C. § 2710. 

2 
Chapter 2: Definitions 

Section 201. "Applicant" means any person who has filed an application for any license required 

by the Ordinance. 

Section 202. "Band" means the Fond du Lac Band of Lake Superior Chippwea, a federally 

recognized Indian Tribe. 

Section 203. "Class I gaming" means: 

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

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

celebrations, or pow wows. 

Section 204. "Class II gaming" has the same definition as provided in 25 U.S.C. § 2703(7)(A) 

and means: 

(a) Bingo or lotto. The game of chance (whether or not electronic, computer or 

technologic aids are used) 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 detennined, and in 

which the game is won by the first person covering a previously designated arrangement of numbers 

or designations on such cards. 

(b) Other Games similar to bingo. Games including, if played at the same location as 

bingo, pull-tabs, punch boards, tip jars, "instant bingo, 11and other games similar to bingo. 

(c) Non-Banking Card Games. Non-Banking card games within a licensed Gaming 

Enterprise are authorized , provided that they are played in conf onnity with the following rules and 

restrictions: 

I. Non-banking card games may be played if specifically authorized by 

Millilesota law or if not explicitly prohibited by Minnesota law and played 

legally anywhere in the state. 

2. Non-banking card games must be played in conformity with Minnesota laws 

and regulations regarding hours, periods of operation and limitations on 

wagers or pot sizes. 

3. Non-banking card games must be played and supervised in conformity with 

the Tribal internal control standards adopted by the Band. 

Section 205. "Class III Gaming" means all forms of Gaming that are not Class I or Class II 

gaming, including: 

3 
(a) Electronic or electromechanical facsimiles of any games of chance or slot machines 

of any lcind. 

(b) All banking card games; including baccarat, chemin de fer, and blackjack. 

Section 206. "Compact" means a Tribal-State Compact concerning Class III gaming entered into 

between the Fond du Lac Band of Lake Superior Chippewa and the State of MilUlesota pursuant to 

25 u.s.c. § 2710(d). 

Section 207. "Complimentary" means a service or item provided at no cost, or at a reduced cost, 

to a customer or other person. 

Section 208. "Facility License" means the separate license issued by the Reservation Business 

Committee to each place, facility, or location on the Band's Indian Lands where Class II or Class III 

Gaming is allowed. 

Section 209. "Gaming" means the act of paying for the opportunity to participate in a game of 

chance for money or other valuable consideration, where the outcome is determined predominantly 

by chance. Gaming shall include Class I, Class II and Class III gaming as defined in this Ordinance. 

Section 210. "Gaming Enterprise" means any business owned by the Band and operated for the 

conduct of Class II or Class III Gaming. 

Section 211. "Gaming Facility'~ means any location, place or structure on the Band's Indian Lands 

where Class II or Class III Gaming is permitted and conducted. 

Section 212. "Gaming Operation(s)" means the conduct of Class II or Class III gaming and 

related business activities by a Gaming Enterprise. 

Section 213. "Indian Lands" means: 

(a) lands within the limits of the Fond du Lac Indian Reservation; or 

(b) lands over which the Band exercises govemmental power and which are either: 

1. held in trust by the United States for the benefit of the Band or a Band 

member; or 

2. held by the Band or a Band member subject to restriction by the United States 

against alienation. 

Section 214. "Indian Tribe" or "Tribe" means the Fond du Lac Band of Lake Superior 

Chippewa> a federally recognized Indian Tribe. 

4 
Section 215. "Key Employee" 

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

I. Bingo caller; 

2. Counting room supervisor; 

3. Chief of security; 

4. Custodian of gaming supplies or cash; 

5. Floor manager; 

6. Pit boss; 

7. Dealer; 

8. Croupier; 

9. Approver of credit; or 

I 0. Custodian of gambling devices including persons with access to cash and 

accounting records within such devices. 

(b) If not otherwise included, any other person whose total cash compensation is in 

excess of $50,000 per year; or 

( c) If not otherwise included, the four most highly compensated persons in the 

gaming operation. 

( d) Any other person designated by the Band as a key employee. 

Section 216. "Licensee" means a Class II or Class III Gaming Operation, a pe.rson licensed by the 

Reservation Business Committee as a Key Employee, Primary Management Official, or Vendor 

under the provisions of this Ordinance. 

Section 217. "Management Contract" means any contract, subcontract or collateral agreement 

between the Band and a contractor or between a contractor and subcontractor if such contract or 

agreement provides for the management of all or a part of the Band's Gaming Operation. 

Section 218. "Net Revenues'' means gross revenues of a Gaming Operation less,;. 

(a) amounts paid out as, or paid for, prizes.;. and 

(b) total Gaming-related operating expenses, including all those expenses of the Gaming 

Operation commonly known as operating expenses and non-operating expenses consistent with 

professional accounting pronouncements, excluding management fees. 

Section 219. "Primary Management Official" 

(a) The person having management responsibility for a management contract; 

(b) Any person who has authority: 

5 
I. to hire and fire employees; or 

2. to set up working policy for the Gaming Operation. 

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

responsibility. 

(d) Any other person designated by the Band as a Primary Management Official. 

Section 220. "Reservation" means the Fond du Lac Reservation and any trust land held by the 

United States for the Fond du Lac Band. 

Section 221. "Reservation Business Committee" means the governing body of the Fond du Lac 

Band of Lake Superior Chippewa. The Reservation Business Committee shall perform regulatory 

oversight and monitoring of all Gaming on the Reservation to assure compliance with Tribal, federal, 

and applicable state law. 

Section 222. "Social Games for Prizes of Minimal Value" means games in which the total value 

of prizes awarded during the calendar year does not exceed $2,500. 

Section 223. "Traditional Forms of Indian Gaming" means: 

(a) Gaming activities such as 11stick" or "bone" games played as part of tribal ceremonies, 

celebrations, or pow wows. 

(b) Games, 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 powwow. 

Section 224. "Vendor" means any person or entity which provides property, goods or services to 

a Gaming Facility for use in a Gaming Operation. 

6 
Chapter 3: Gaming Authorized 

Section 301. Class I Gaming 

Class I gaming is authorized on the Band's Indian Lands. However, this ordinance does not 

apply to Class I gaming as defined in Section 203, except that the Band reserves the right to inspect 

the premises where the Class I game is held and to obtain and review financial information 

concerning the game in order to determine whether it meets the definition of a Class I game. In 

addition, Class I games may be subject to other tribal ordinances and regulations designed to protect 

the health, welfare and safety of tribal members. 

Section 302. Class Il and Class ID Gaming 

Class 11 gaming and Class III gaming are hereby authorized on the Band's Indian Lands. No 

Class II or Class III gaming shall be conducted on the Band's Indian Lands except as authorized by 

this Ordinance and regulations adopted by the Band, and in accordance with the Indian Gaming 

Regulatory Act, the Regulations of the National Indian Gaming Commission, the Tribal-State 

Compacts and any other applicable law. 

7 
Chapter 4: Ownership of Games 

Section 401. Sole Proprietary Interest in Band 

The Band shall have the sole proprietary interest in and responsibility for the conduct of any 

gaming operation authorized by this Ordinance. Ownership of Class II or Class III games by any 

entity other than the Band is prohibited. 

8 
Chapter 5: Use of Gaming Net Revenue 

Section 501. Permissible Uses of Gaming Revenue 

Net revenues from Class II and Class III gaming shall be used only for the following 

purposes: to fund tribal government operations and programs; provide for the general welfare of the 

Band and its members; promote tribal economic development; donate to charitable organizations; 

or help fund the operation of local government agencies. 

Section 502. Per Capita Payments 

If the Band elects to make per capita payments to tribal members, it shall authorize such 

payments only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. § 

2710(b)(3) and 25 CFR Part 290. 

9 
Chapter 6: Tribal Gaming Re@Iatory Authority 

Section 601. Re~ulatory Duties and Authority of the Reservation Business Committee 

The Reservation Business Committee shall be the primary regulatory authority for all Gaming 

on the Band's Indian lands and shall exercise its regulatory duties and authority over the Band's 

Gaming Operation as set forth in this Ordinance. 

Section 602. Re@latory Duties 

The Reservation Business Committee will conduct oversight to ensure compliance with 

Tribal, Federal and applicable State laws and regulations. The Reservation Business Committee will 

serve as the licensing authority for all Gaming Facilities on the Band's Indian lands, for all Key 

Employees and Primary Management Officials employed in the Band's Gaming Operation and for 

Vendors who supply goods and services to the Gaming Operation. The Reservation Business 

Committee will oversee background investigations as part of the licensing process. The Reservation 

Business Committee will also have a role in monitoring compliance with the internal control 

standards for the Gaming Operation and in tracking Gaming revenues. In order to carry out is 

regulatory duties, the Reservation Business Committee shall have unrestricted access to all areas of 

the Gaming Facility and to all records of the Gaming Operation. The Reservation Business 

Committee shall have authority to take enforcement actions, including suspension or revocation of 

any licensed issued pursuant to this Ordinance. 

Section 603. Independence 

To avoid potential conflicts of interest with respect to the operation and regulation of the 

Gaming Operation, the members of the Reservation Business Committee, and the regulatory staff 

(Employee Compliance Department, Internal Audit and Legal) are prohibited from participating in 

Gaming at the Band's Gaming Facilities. 

Section 604. Reeulatory Authority 

The Reservation Business Committee shall have the authority to: 

(a) conduct or cause background investigations to be conducted on Primary Management 

Officials and Key Employees and any other persons or Vendors the Reservation Business Committee 

designates by regulation; 

(b) review and approve all investigative work conducted in connection with the 

background investigations, and cause investigative reports to be maintained based on the background 

investigations; 

(c) submit or cause to be submitted a Notice of Results of background investigations 

conducted on each Primary Management Official and Key Employee to the National Indian Gaming 

Commission (NIGC); 

10 
( d) obtain and process fingerprints, or designate a law enforcement agency to obtain and 

process fingerprints; 

(e) make licensing eligibility determinations and review licensing eligibility 

determinations of the Employee Compliance Department; 

(f) issue licenses to Primary Management Officials, Key Employees, other employees 

of the Gaming Operation, and Vendors if warranted by the eligibility determination; 

(g) establish standards for the licensing of Tribal Gaming Facilities; 

(h) issue licenses to Tribal Gaming Facilities; 

(i) inspect, examine and monitor all of the Band's Gaming activities and Gaming 

Operation(s), and have immediate access to review, inspect, examine, photocopy and audit all 

records of the Gaming Establishment; 

G) ensure compliance with all applicable laws, rules and regulations regarding Indian 

Gaming; 

(k) investigate or cause to be investigated any suspicion of wrongdoing associated with 

any Gaming activities; 

(1) establish procedures for the handling of patron complaints and resolve any complaints 

consistent with those procedures; 

(m) comply with any and all reporting requirements under the IGRA, the NIGC 

·Regulations, the Compact and any other applicable law; 

(n) promulgate and issue regulations necessary to comply vvith applicable Minimum 

Internal Control Standards (MICS); 

( o) promulgate and issue regulations on the levying of fees and /or taxes associated with 

Gaming license applications or the Gaming Operation; 

(q) promulgate and issue regulations on the levying of fines and/or the suspension or 

revocation of Gaming licenses for violations of this ordinance, or any other Tribal, Federal, or if 

applicable, State law or regulations; 

(r) establish a list of persons not allowed to participate in Gaming in the Band's Gaming 

Facilities, and create procedures for the enforcement of the exclusions; 

(s) establish a list of persons who have voluntarily agreed to be excluded from the Band's 

Gaming Facilities, and create procedures for the enforcement of the exclusions; 

11 
(t) establish by regulation or policy the conditions tlllderwhichemployeesofthe Gaming 

Operation may gamble at the Band's Gaming Facilities; 

(u) 

ordinance; 

employ such staff as necessary to assist in the exercise of its authority under this 

(v) adopt such regulations and procedures as necessary and appropriate to implement the 

provisions of this ordinance and govern the conduct of Gaming to maintain the integrity of the 

Gaming Operation; and 

(w) perform such other duties that the Reservation Business Committee deems 

appropriate for the proper regulation of the Band's Gaming Operation(s). 

Section 605. Confidentiality of Records 

The Reservation Business Committee shall ensure that all records and information obtained 

as a result of all employee backgrotmd investigations shall remain confidential and shall not be 

disclosed to persons who are not directly involved in the licensing and employment processes. 

Information obtained during the course of an employee background investigation may be disclosed 

to members of management, human resources personnel or others employed by the Gaming 

Operation sparingly and on a need-to-know basis for actions taken in their official capacities. The 

confidentiality requirements contained in this Section shall not apply to requests for records or 

information from any Tribal, Federal or State law enforcement or regulatory agency, or for the use 

of such information or records by the Reservation Business Committee and its staff in the 

performance of their official duties. 

12 
Chapter 7: Complimentary Items 

Section 701. Re~ulated Use 

The use of complimentary items shall be governed by regulations established by the 

Reservation Business Committee, which regulations shall be consistent with the Minimum Internal 

Control Standards found at 25 C.F .R. §542.17 and §543 .13. 

Section 702. Budget 

Complimentary Items shall be included in the annual budget for the Gaming Operation, with 

maximum limits specified, and shall be subject to the approval of the Reservation Business 

Committee. 

13 
Chapter 8: Audit 

Section 801. Audit Required 

The Band shall cause to be conducted annually an independent audit of Gaming Operations 

and shall submit the resulting audit reports to the National Indian Gaming Commission. 

Section 802. Standards 

Annual Audits shall conform to generally accepted accounting standards. 

Section 803. Scope 

All Gaming-related contracts that result in the purchase of supplies, services, or concessions 

in excess of $25,000.00 annually, except contracts for professional legal and accounting services, 

shall be specifically included within the scope of the audit that is described in Section 801 above. 

14 
Chapter 9: Agent for Service of Process 

Section 901. Service 

Service of any official detennination, order or notice of violation relating to any Gaming 

Facility on the Band's Indian Lands shall be made on: 

Chairperson of the Reservation Business Committee 

1720 Big Lake Road 

Cloquet, MN 55720 

15 
Chapter 10: Protection of the Environment and Public Health and Safety 

Section 1001. Protection Required 

Each Gaming Facility shall be constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and safety. 

Section 1002. Applicable Laws and Codes 

The Reservation Business Committee shall identify and enforce laws, resolutions, codes, 

policies, standards, or procedures which are applicable to each Gaming place, Facility or location 

to ensure adequate protection of the environment and health and safety of the public. 

16 
Chapter 11: Facility Licenses 

Section 1101. Separate Licenses Required 

A separate Facility License must be issued to each place, facility or location on the Band's 

Indian lands where Class II and/or Class III gaming is conducted. The term of the Facility License 

shall be for four ( 4) years. A Facility License may be issued only to the Band or to a corporation or 

entity that is wholly owned by the Band. 

Section 1102. Issuance 

The Reservation Business Conunittee is responsible for issuing a new or renewed Facility 

License to each Gaming Facility. The Band shall submit to the NIGC a copy of each new or renewed 

Facility License, along with any required docwnentation, within thirty (30) days of issuance. The 

Reservation Business Committee shall only issue or renew a Facility License if the application for 

the Facility License includes the required information and documentation, and otherwise satisfies 

any additional conditions imposed by the Band under this Ordinance. 

Section 1103. Application and Fee 

For each place, facility or location, in which Class II or Class III Gaming is, or will be, 

conducted, an application must be filed, on a form prescribed by the Reservation Business 

Committee, that contains the following information: 

(a) 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 such premises, for at least the term of the 

license. 

(b) Agreement by the applicant to accept and abide by all applicable provisions of this 

Ordinance and all conditions of the Facility License. 

( c) Satisfactory proof that notice of the application has been posted in a prominent, 

noticeable place in the Tribal Office and on the premises where the Gaming is to be held for at least 

3 0 days prior to consideration by the Reservation Business Committee, and published at least twice 

in a local newspaper serving the Reservation. The notice shall state the date, time and place when 

the application shall be considered by the Reservation Business Committee. 

(d) Each application shall be accompanied by a fee of $50.00. 

Section 1104. Hearing on Application for a Facility License 

An application for a Facility License shall be considered by the Reservation Business 

Committee in open session at which time the Applicant and any person protesting the application 

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

application. After the hearing, the Reservation Business Committee shall determine whether to grant 

or deny the application. The decision of the Reservation Business Committee is final. 

17 
Section 1105. Conditions 

Any Facility License issued under this Ordinance shall be subject to such reasonable 

conditions as the Reservation Business Committee shall establish, including, but not limited to the 

following: 

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

both inside and outside the licensed premises. 

(b) The Gaming Facility shall be opened to inspection by duly authorized tribal officials, 

by officials of the State of Minnesota as prescribed in the Compacts, and by officials of the NIGC 

at all times during the regular business hours. 

( c) The Gaming Facility shall comply with all health and safety standards adopted by the 

Reservation Business Corrunittee as applicable to the Gaming Facility. 

( d) No person who is under the age of 18 shall be permitted to participate in Gaming or 

to participate in the operation of Gaming. No person under the age of 18 shall be allowed on the 

Gaming floor. 

( e) No Facility licensee shall allow a person who manages or is employed by the Gaming 

Operation to participate in any Gaming conducted at that place, facility or location, except as 

prescribed in the regulations and/or policies adopted by the Reservation Business Committee. 

(f) Each Facility licensee shall have the authority to adopt additional regulations and policies 

concerning the conduct of Gamin&, provided such rules are not inconsistent with this Ordinance, and 

the additional regulations and policies have received the prior approval of the Reservation Business 

Committee. 

Section 1106. Required Notification 

The Reservation Business Committee shall notify the NIGC Chair within thirty (30) days if 

a Facility License is revoked, terminated or expires, or if a Gaming Facility closes, unless the closure 

is seasonal or temporary and lasts for less than 180 days. The Reservation Business Committee shall 

notify the NIGC Chair that issuance of an initial Gaming Facility License is under consideration at 

least 120 days prior to the opening of the Gaming Facility. 

Section 1107. Display 

Every Gaming Facility shall display in a prominent place a current and valid Facility License 

issued by the Reservation Business Committee for that location. 

18 
Section 1108. Assipment or Transfer 

No Facility License issued under this Ordinance shall be assigned or transferred without the 

written approval of the Reservation Business Committee expressed by fomlal resolution. The 

Reservation Business Conunittee shall not assign or transfer any Facility License except upon 

request of the holder of the license. 

Section 1109. Cancellation and Suspension 

Any Facility License issued under this Ordinance may be cancelled by the Reservation 

Business Committee for the breach of any of the provisions of this Ordinance, for violation of 

federal, tribal or to the extent applicable, state law, or for noncompliance with the conditions of the 

Facility License. A decision to cancel a Facility License shall only be made after a hearing before 

the Reservation Business Conunittee upon 10 days' notice of the claimed breach, violation or 

noncompliance to the Facility licensee. If the Band is the Facility licensee, notice shall be served 

on the manager of the Gaming Facility. 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 Facility licensee, 

manager, and their attorneys, if any, shall have the right to be present and to offer sworn oral or 

documentary evidence relevant to the breach charged. A Facility License may be suspended during 

the 10-day period by a majority vote of the Reservation Business Committee at which a quorum is 

present. The decision of the Reservation Business Committee shall be final. 

Section 1110. Reports to the Band 

(a) Each Facility Licensee shall submit to the Reservation Business Committee on a 

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

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

be the operation's manager. The Reservation Business Conunittee shall adopt regulations specifying 

the infonnation that must be reported by Facility Licensees pursuant to this Section. 

(b) The Reservation Business Committee may require that records required to be kept 

by this section be preserved by a Facility Licensee for at least two years. The records may be 

inspected by employees or agents of the Reservation Business Committee at any reasonable time 

without notice. Failure of Facility Licensee to cooperate with employees or agents of the 

Reservation Business Committee or failure to preserve such records may result in the suspension of 

Facility License. 

19 
Chapter 12: Licensing 

Section 1201. License Required 

Unless otherwise exempted under this ordinance, any person employed in the Band's Gaming 

Operation as a Key Employee or Primary Management Official or a Vendor providing goods or 

services to the Gaming Enterprise for use in the Gaming Operation must possess a valid license 

issued by the Reservation Business Committee. 

Section 1202. Application Required 

License applications will be considered only upon receipt of a complete written application 

on a fonn approved for use by the Reservation Business Conunittee. 

Section 1203. Fees 

The Reservation Business Committee shall establish a schedule of fees applicable to all 

licenses. Each application for a license shall be accompanied by payment of the applicable fee. All 

fees are non-refundable. An application that is not accompanied by the applicable fee shall be 

deemed incomplete and shall not be processed. The Reservation Business Committee may impose 

additional fees reasonably related to the cost of enforcement of this ordinance, including but not 

limited to, the cost of conducting a background investigation. 

Section 1204. Not a Ri2ht 

A license issued pursuant to this ordinance is a revocable privilege. A licensee shall not be 

deemed to have any vested right in or to a Gaming license and a license does not convey any 

property interest to the holder of the license. 

Section 1205. Assignment or Transfer 

A license is valid only for the person or entity to whom the license was issued. No license 

is assignable or transferable to another person or entity without the express prior approval of the 

Reservation Business Committee. 

Section 1206. Authority to Condition and Limit Licenses 

(a) Every license issued by the Reservation Business Conunittee shall be conditioned on 

the licensee's continuing eligibility under the requirements of this ordinance and any conditions 

imposed by the Reservation Business Committee. 

(b) The Reservation Business Committee may impose conditions or limitation on any 

license, such as limitations on access to secure areas of the Gaming Facility, based on the 

Applicant's or licensee's position, responsibilities and/or regulatory concerns. 

20 
Section 1207. Term of License and Renewal 

Unless provided otherwise in this ordinance, every license issued by the Reservation Business 

Committee shall be valid for a period of one (1) year. Prior to the expiration of the license, the 

licensee shall update the information provided during the initial licensing process. If the Applicant 

continues to meet the applicable standards, the license may be renewed for a period of one ( 1) year. 

Notice of any such renewal shall be sent by the Reservation Business Committee to the NIGC. 

21 
Chapter 13: Licenses for Key Employees and Primary Management Officials 

Section 1301. Policy 

The Reservation Business Committee shall ensure that the policies and procedures set out 

in this section are implemented with respect to key employees and primary management officials 

employed at any Gaming Enterprise operated on the Band's Indian lands. 

Section 1302. Application Forms 

(a) The following notice shall be placed on the application form for a Key Employee or 

a Primary Management Official: 

In compliance with the Privacy Act of 1974, the following information is provided: 

Solicitation of the information on this form is authorized by 25 

U.S.C. §§ 2701 et seq. Thepurposeoftherequestedinformationisto 

determine the eligibility of individuals to be granted a gaming license. 

The information will be used by the Tribal gaming regulatory 

authorities and the 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 by the Tribe 

or the NIGC to appropriate Federal, Tribal, State, local, or foreign law 

enforcement and regulatory agencies when relevant to civil, criminal 

or regulatory investigations or prosecutions or when pursuant to a 

requirement by the Band or the NIGC in connection with the 

issuance, denial 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 the Band being unable to hire you in a primary management 

official or key employee position. 

The disclosure of your Social Security Number (SSN) is voluntary. 

However, failure to supply a SSN may result in errors in processing 

your application. 

(b) The following additional notice shall be placed on the application form for a Key 

Employee and Primary Management Official: 

"A false statement on any part of your application may be grounds for 

denying a license or the suspension or revocation of a license. Also, 

you may be punished by fine or imprisonment. (U.S. Code, Title 18, 

§ 1001)." 

( c) Existing Key Employees and Primary Management Officials shall be notified in 

writing that they shall either: 

22 
1. Complete a new application form that contains a Privacy Act notice; or 

2. Sign a statement that contains the Privacy Act notice and consent to the uses 

described in that notice. 

Section 1303. Fingerprints 

The Reservation Business Committee shall perform or cause to be performed a background 

investigation for each Primary Management Official and Key Employee of the Gaming Operation. 

Fingerprints shall be obtained from each Primary Management Official and Key Employee by the 

Employee Compliance Department. Fingerprints shall be submitted to either (1) the State of 

Mhmesota, Department of Public Safety, in accordance with the tenns of the Tribal-State Compacts 

or (2) the NIGC. The fingerprints will be forwarded for processing through the Federal Bureau of 

Investigation and the National Criminal Information Center to detennine the Applicant's criminal 

histozy, if any. 

Section 1304. Background Investigations 

(a) The Reservation Business Committee shall cause to be performed a background 

investigation for each Key Employee and Primary Management Official in the Band's Gaming 

Operation. Prior to determining eligibility of a person for a Key Employee or Primary Management 

Official license, the following information shall be obtained: 

1. full name, other names used (oral or written), Social Security Number, birth 

date, place of birth, citizenship, gender, all languages (spoken or written); 

2. currently and for the previous five (5) years, business and employment 

positions held, ownership interests in those businesses, business and 

residence addresses, and driver's license numbers; 

3. the names and current addresses of at least three (3) personal references, 

including one (1) personal reference who was acquainted with the Applicant 

during each period of residence listed under paragraph (a)2 of this section; 

4. current business and residence telephone numbers and all cellular/mobile 

phone numbers; 

5. a description of any existing and previous business relationships with other 

Indian tribes, including ownership interests in those businesses; 

6. a description of any existing and previous business relationships with the 

Gaming industry generally, including ownership interests in those businesses; 

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

person has filed an application for a license or permit related to Gaming, 

whether or not such license or permit was granted; 

23 
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 ten (10) years of the date of the 

application, the name and address of the court involved and the date and 

disposition; 

10. for each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge is within ten (10) years of the 

date of the application and is not otherwise listed pursuant to paragraph (a)8 

and (a)9 of this section, the criminal charge, the name and address of the 

court involved and the date and disposition; 

11. the name and address of any licensing or regulatory agency with which the 

person has filed an application for any occupational license or permit, 

whether or not such license or permit was granted; 

12. a current photograph (taken within the last year); 

13. Fingerprints obtained in accordance with procedures adopted by the 

Reseivation Business Committee pursuant to 25 C.F.R. § 522.2(h); and 

14. any other information the Reseivation Business Committee deems relevant. 

(b) If, in the course of the background investigation, it is discovered that the applicant 

has a notice of results on file with the NI GC from a prior investigation and access is available to the 

earlier investigation materials (either through NI GC or the previous tribal investigative body), those 

materials may be relied on to update the investigation and investigative report. In conducting a 

background investigation, the Reseivation Business Conunittee its agent shall keep confidential the 

identity of each person interviewed in the course of the investigation. When a Primary Management 

Official or Key Employee is employed by the Gaming Operation, a complete application file, 

containing all of the information listed in this Section, must be maintained. 

Section 1305. Procedures for Conducting Background Investigations 

The Reservation Business Committee or its authorized Agent(s) shall conduct a background 

investigation on each applicant for a Primary Management Official or Key Employee position 

sufficient to allow an eligibility detennination to be made under this ordinance. The investigation 

shall: 

(a) Verify the applicant's identity through items such as a social security card, driver's 

license, birth certificate or passport; 

(b) Contact each personal and business reference provided in the license application, 

when possible; 

24 
( c) Obtain a personal credit check; 

( d) Conduct a civil history check; 

( e) Conduct a criminal history check by submitting the applicant's fingerprints to the 

State of Minnesota or the NIGC for forwarding to the FBI to perform a criminal history records 

check using the NCIC data base; 

(f) Based on the results of the criminal history check, as well as information acquired 

from the applicant or from other sources, obtain information from the appropriate court regarding 

past felony and/or misdemeanor convictions and/or ongoing prosecutions; 

(g) Inquire into any previous or existing business relationships with the gaming industry 

and other Indian Tribes by contacting the entities or Tribes; 

(h) Verify the applicant's history and current status with any licensing agency by 

contacting the agency; and 

(i) Take other appropriate steps to verify the accuracy of the information, focusing on 

problem areas noted. 

Section 1306. Investigative Reports 

(a) An investigative report shall be created and maintained for each background 

investigation of a Primary Management Official or Key Employee. 

(b) Investigative reports shall include all of the following information: 

1. steps taken in conducting the investigation; 

2. results obtained; 

3. conclusions reached; and 

4. the basis for the conclusions. 

(c) The Reservation Business Committee and its investigator(s) shall promise to keep 

confidential the identity of each person interviewed in the course of the investigation, other than 

disclosure as required under Federal, Tribal, or applicable State law. 

25 
Section 1307. Elidbility Determination 

(a) Eligibility determinations shall in the first instance be made by the Employee 

Compliance Department, which is hereby authorized to make such determinations. The Employee 

Compliance Department shall review the Applicant's prior activities, criminal record, if any, and 

reputation, habits and associations to make a finding concerning the eligibility of a Key Employee 

or Primary Management Official for receipt of a license and employment in the Gaming Operation. 

The eligibility determination shall be forwarded to the Reservation Business Committee for review, 

and if appropriate under the standards of this ordinance, the Reservation Business Committee may 

issue the license as prescribed in Section 1309 of this Chapter. 

(b) If the Employee Compliance Department determines, based on the standards adopted 

in this ordinance, that licensing of the person poses a threat to the public interest or to the effective 

regulation of gaming, or creates or enhances the danger of unsuitable, unfair, or illegal practices and 

methods and/or activities in the conduct of gaming, a license shall not be issued and a Gaming 

Operation shall not employ that person in a Key Employee or Primary Management Official position. 

( c) A person aggrieved by a finding of the Employee Compliance Department may 

petition the Reservation Business Committee, in a format prescribed by the Reservation Business 

Committee, for review of the eligibility determination made by the Employee Compliance 

Department. If the Reservation Business Committee determines, based on the standards adopted in 

this ordinance, that licensing of the person poses a threat to the public interest or to the effective 

regulation of gaming, or creates or enhances the danger of unsuitable, unfair, or illegal practices and 

methods and/or activities in the conduct of Gaming, a license shall not be issued and a Gaming 

Operation shall not employ that person in a Key Employee or Primary Management Official position. 

( d) Copies of the eligibility determination shall be included with the notice ofresults that 

must be submitted to the NIGC before the licensing of a Pdmary Management Official or Key 

Employee. 

Section 1308. Notice of Results of Background Investigation 

(a) Before issuing a license to a Key Employee or Primary Management Official, the 

Reservation Business Committee shall prepare or cause to be prepared a Notice of Results of the 

Applicant's background investigation to submit to the NIGC. 

(b) The notice of results must be submitted to the NI GC no later than sixty ( 60) days after 

the Applicant begins working for the Gaming Operation and the Gaming Operation shall not employ 

as a Key Employee or Primary Management Official a person who does not have a license within 

ninety 90 days of the submission of the application. 

26 
( c) The Notice of Results shall include the following information: 

1. The Applicant's name, date of birth and social security number; 

2. The date on which the Applicant began, or will begin, working as a Primary 

Management Official or Key Employee; 

3. A summary of the information presented in the investigative report, including: 

i. licenses that have been previously denied; 

u. Gaming licenses that have been revoked, even if subsequently reinstated; 

m. every known criminal charge brought against the Applicant within the last ten 

(10) years of the date of the application; and 

iv. every felony offense of which the Applicant has been convicted or any 

ongoing prosecution. 

v. A copy of the eligibility determination made in accordance with Section 1307 

above. 

Section 1309. Granting a Gaming License 

(a) All Primary Management Officials and Key Employees of the Gaming Operation 

must have a valid Gaming license. 

(b) The Reservation Business Committee is responsible for granting and issuing Gaming 

licenses to Primary Management Officials and Key Employees. 

( c) The Reservation Business Committee may issue a license to a Primary Management 

Official or Key Employee applicant only after submitting a Notice of Results to the NIGC as 

required by section 1308 above. 

(d) The Reservation Business Committee shall notify the NIGC of the issuance of a 

license to a Primary Management Official or Key Employee within thirty (30) days of issuance. 

( e) The Reservation Business Conunittee shall respond to a request for additional 

information from the Chairman of the National Indian Gaming Commission concerning a Key 

Employee or Primary Management Official Applicant. Such a request shall suspend the 30-day 

period under paragraph (g) of this section until the Chairman of the National Indian Gaming 

Commission receives the additional information. 

(f) No person may be employed as a Primary Management Official or Key Employee if 

a license is not issued within ninety (90) days of employment at a Gaming Operation. 

27 
(g) The Reservation Business Committee must reconsider a license application for a 

Primary Management Official or Key Employee if it receives a statement of itemized objections to 

the issuance of such license from the National Indian Gaming Commission, provided the objections 

are received within thirty (30) days of the date the NIGC receives the Notice of Results for the 

Applicant. The Reservation Business Committee may reconsider a license application for a Primary 

Management Official or Key Employee if a statement of itemized objections to the issuance of a 

license is received more than thirty (30) days from the NI GC' s receipt of the Notice of Results for 

the Applicant. In either case, the Reservation Business Committee must take the objections of the 

NIGC into consideration when reconsidering a license application. The Reservation Business 

Committee shall make the final decision whether to issue a license to such Applicant. 

(h) If the Reservation Business Committee has issued a license to a Primary Management 

Official or Key Employee before receiving a statement of objections from the NIGC, the Reservation 

Business Committee may suspend or revoke the license after providing notice and an opportunity 

for a hearing as required by Chapter 14 of this ordinance. 

Section 1310. Denying a Gaming License 

(a) The Reservation Business Committee shall not issue a license to a Primary 

Management Official or Key Employee if the Reservation Business Committee determines, after 

applying the standards contained in this Ordinance, and after considering any objections received 

from the NIGC, that licensing the person: 

1. poses a threat to the public interest; 

2. poses a threat to the effective regulation of Gaming; or 

3. creates or enhances the danger of unsuitable, unfair or illegal practices, 

methods and/or activities in the conduct of Gaming. 

4. has made a materially false statement in an application to the Reservation 

Business Committee or in any verbal or written statement submitted to the 

Reservation Business Committee. 

5. has been convicted of a felony within five years of the commencement of 

employment with the Gaming Operation; or convicted of a felony or gross 

misdemeanor involving fraud, misrepresentation, or gambling. 

i. The restriction of subsection (a)(5) shall not disqualify the applicant 

from employment as a Primary Management Official or Key 

Employee whose duties or responsibilities relate to the operation of 

blackjack, if the Band by govenunental resolution waives such a 

restriction after the applicant has demonstrated to the Band evidence 

of sufficient rehabilitation and present fitness. 

28 
(b) If the Reservation Business Committee denies a license to a Primary Management 

Official or Key Employee, the Reservation Business Conunittee shall: 

1. Notify the NIGC; and 

2. Forward a copy of the eligibility determination and Notice of Results to the 

NIGC for inclusion in the Indian Gaming Individuals Record System. 

Section 1311. Suspension or Revocation of a Gaming License 

(a) The Reservation Business Committee may suspend, revoke or condition the license 

of a Primary Management Official or Key Employee if it determines that the Primary Management 

Official or Key Employee: 

1. is no longer eligible for a license under the standards contained in this 

ordinance; 

2. has violated a federal, state or tribal law related to Gaming, or has failed to 

comply with a validly issued order of the Reservation Business Committee; 

3. has made a materially false or misleading statement in a license application 

or in any verbal or written submission to the Reservation Business 

Committee; or 

4. has falsified any books, records or materials relating to any transaction 

coruiected with the operation of the Gaming Enterprise. 

(b) The Reservation Business Committee shall suspend and may revoke the license of 

a Primary Management Official or Key Employee if the Reservation Business Committee receives 

a timely statement of objections or other notice from the NIGC that the Primary Management 

Official or Key Employee is not eligible for a license. The Reservation Business Committee shall: 

l. inunediately suspend the license; 

2. provide written notice of the suspension and the proposed revocation to the 

licensee; 

3. provide the licensee with written notice of his or her right to request a 

hearing; and 

4. after consideration of the NIGC objections to the issuance of the license as 

well as any information received at a hearing, if timely requested, make a 

final written determination to revoke or reinstate the license and provide 

written notice of its final decision to the Licensee and the NIGC within 45 

days of receipt of objections to the license from the NIGC. 

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Section 1312. Records Retention 

The Reservation Business Committee shall retain and cause to be retained for no less than 

three (3) years from the date a Primary Management Official or Key Employee is terminated from 

employment with the Gaming Establishment, the following documentation: 

(a) The application for licensing; 

(b) Investigative reports; and 

( c) The eligibility determination. 

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Chapter 14. Vendor Licenses 

Section 1401. Licenses for Vendors 

(a) Vendors of gaming services or supplies with a value of $10,000 or more annually 

must have a vendor license issued by the Reservation Business Committee in order to transact 

business with the Gaming Operation. Contracts for professional legal and accounting services are 

excluded from this section. 

(b) In order to obtain a vendor license, an Applicant must complete the required 

applications identified in Section 1401(c) below, and may be required to submit to background 

checks of itself and, if a business entity, its principals. Principals of a business include its officers, 

directors, managers, owners, partners, governors, non- institutional stockholders that either own 10% 

or more of the shares or are the ten (10) largest stockholders, and the on-site supervisor or manager 

as designated by the Band, if applicable. 

( c) Applicants for vendor licenses must submit a business license application and, when 

applicable, a video gaming device manufacturer/distributor license application. Through that 

process, the applicant must provide the following: 

1. The name of the business, its business address, business phone, federal tax 

ID Number (or SSN if a sole proprietorship), its main office address if 

different from business address, any other names used by the business , and 

the type of service(s) the Applicant will provide; 

2. A statement whether the Applicant is a partnership, corporation, limited 

liability company, sole proprietorship, or other entity; 

3. If the Applicant is a corporation, the State of its incorporation, and a certified 

copy of its articles of incorporation, partnership agreement, or other 

organizational documents which describe the fonnation and existence of the 

business; 

4. Its trade name(s), other name(s) ever used, and the names of any wholly 

owned subsidiaries or other businesses owned by the Applicant or its 

principals; 

5. A general description of the business and its activities; 

6. A statement whether the Applicant has ever had a license related to Gaming 

revoked for any reason, and if so, a description of the circumstances 

involved.; 

7. Any further infonnation that the Reservation Business Committee deems 

relevant. 

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( d) The following notice shall be placed on the application form for a vendor license: 

"Inclusion of false or misleading information on this application may be grounds for 

denial or revocation of the license". 

(f) Each application shall be accompanied by a non-refundable application fee of$50.00. 

The Band may charge additional license fees, to be established by the Reservation Business 

Committee, to cover its expenses in investigating and licensing under this section. 

(g) A background investigation may be conducted for any applicant for a gaming 

vendor's license. The background investigation may include: 

I. verification of the Applicant's business organization status and verification 

of its eligibility to do business in the State of Minnesota; 

2. verification of the information contained on the vendor application, including 

in particular if the vendor has ever had a license suspended, conditioned, or 

revoked for any reason; and 

3. a criminal history check of the vendor and its principals; 

4. The background investigation may also include a check of the credit history 

for the vendor and its principals. 

5. A complete investigative report covering each of the steps taken in a 

background investigation of a vendor applicant and its principals may be 

completed and presented to the Reservation Business Committee prior to its 

consideration of the vendor license application. 

6. The Reservation Business Committee may adopt regulations listing gaming 

authorities that it recognizes and may authorize exemptions to the 

background investigation requirement for vendors who have received a 

license from one of the listed gaming authorities. 

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Chapter 15: Licensing Hearings 

Section 1501. Hearing Request 

Except as otherwise provided in this Ordinance, any person aggrieved by a licensing decision 

of the Reservation Business Committee may request a hearing by submitting a written request to the 

Reservation Business Committee. 

Section 1502. Timing of Request 

A hearing must be requested within five (5) days of the date of the final licensing decision 

or the hearing is deemed waived. A hearing request must be accompanied by a complete explanation 

of why the person disagrees with the decision of the Reservation Business Committee. 

Section 1503. Hearing Procedures 

(a) The hearing will be conducted by an independent hearing officer appointed by the 

Reservation Business Committee for that purpose. The hearing officer will notify the licensee of the 

date, time and location of the hearing, which shall not be more than thirty (30) days from the date 

the hearing request was received by the Reservation Business Committee. 

(b) At the hearing, both parties may, but need not, be represented by legal counsel. The 

hearing officer shall receive all evidence he/she deems relevant, including, but not limited to, the 

results of any background investigation conducted on the person. 

( c) Within ten (10) days of the close of the hearing, the hearing officer shall issue a 

written decision, which includes findings of fact, and conclusions of law. The decision of the 

hearing officer is final and is not appealable. 

( d) A person who requests but fails to appear at a hearing shall be in default, and the right 

to a hearing shall be deemed waived. 

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Chapter 16: Tribal Internal Control Standards 

Section 1601. Adoption 

The Reservation Business Committee shall adopt and implement Tribal Internal Control 

Standards (TICS) for the operation of the Band's Gaming Operation. The TICS shall be set forth 

in separate regulations to be reviewed and approved by the Reservation Business Committee. 

34 
Chapter 17; Class III Gaming Compact(s) 

~ction 1701. Class III Gaming Contingent qn Compact with the State 

Operation of any Class III game on the Band's Indian Lands shall not be permitted unless the 

game is authorized by a Tribal-State Compact approved by the Secretary of the Interior. 

Section 1702. Compact for Yideo Games of Chance 

This Ordinance hereby incorporates the provisions of the Tribal-State Compact for Control 

of Class Ill Video Games of Chance on the Fond du Lac Band of Lake Superior Chippewa 

Reservation in Minnesota, dated November l, 1989, and all amendments to the Compact, which 

pennits the operation of Class Ill video games of chance on the Band's Indian Lands. 

Section 1703. Compact for Blackjack 

This Ordinance hereby incorporates the provisions of the Tribal-State Compact for Control 

of Class III Blackjack on the Fond du La Band of Lake Superior Chippewa Reservation in 

Minnesota, dated May 21, 1991, and all amendments to the Compact, which pennits the operation 

of Class III blackjack on the Band's Indian Lands. 

CERTIFICATION 

We do hereby certify that the foregoing Ordinance #09/93 was duly presented and adopted by 

Resolution # 1174/93 by a vote of 2 for, 0 against, 0 silent, with a quorum of 3 being present at a 

Special Meeting of the Fond du Lac Reservation Business Committee held on June 28, 1993 in 

Duluth, Minnesota, and subsequently amended as follows: by Resolution #1246/93 on August 24, 

1993; by Resolution #1062/03 on March 25, 2003; by Resolution #1071/16 on February 24, 2016; 

and by Resolution #1071116 Amended on April 6, 2016. 

laws:93 09 (062893;082493;032.503;0224 l6;0.CC616) 

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