D.L. ~~

I~7017664126 JUN 1~94 14:05 No.003 P.01

DEVILS L~(E SICIJX TRIBE

~SO_UTION NO. ~05-~?14-176

~1-EREAS, The Devils Lake Sioux Tribe of Indians acting under a

revised Constitution dated May 5. 1960, approved by the

~ctingCorITnissioner, Bureau of Indian ~flairs, July 114,

1961, and as subsequently emended July 17, 1969; May 3,

197~4; ~pril 16, 197~ and May 14, 1981; and

1l-EFEAS, the Constitution of the Devils Lake Sioux Tribe

generally authorizes and empowers the Devils Lake Sioux

Tribal Council to engage in activities on behalf of and

in the interest of the welfare and benefit of the Tribe

and of the enrolled members thereof, and

tFEREAS, Section 8 of the Tribal L~ & Order Code dealing with

G~ning was revised and codified on October 23, 1988, by

Resolution W*)5-89-030, and further revised on January

31. 1991, by Resolution l4i~iO5-91089, and further

revised on October 7, 1992, by Resolution ~O593-011;

and

I+E~S, the National Indian Gaming Commission has requested

Tribal Council consideration of certain changes and

additions to the Tribes Gaming Code as contained in

Title 8 of the Devils Lake Sioux L~j & Order Code in

order to more accurately reflect definitions and

requirements within regulations adDpted by the

Commission; and

ki-EREAS, the Tribal Council has developed a provision to be

added to Chapter 4 of Section 8 of the Tribes L~ &

Order Code and has further developed a revision of

chapter is of Title S of the Tribes Law & Order Code

to reflect the concerns brought to the attention of the

Tribal Council by the National Indian Gaming

Commission; and

L4-Ef~AS, the proposed addition to Section 8 Chapter 14 numbered

as Paragraph 112 is attached hereto; and

ki-EREAS, the proposed revisions t~ Chapter 15 of Section 8

includes substantive revisions and renumbered sections,

a replacement text of Chapter 15 of Title 8 of the

Tribes Law & Order Code has therefore been prepared

and is attached hereto; and

REThEF.~1OF, the Tribal Council believes that the additional and

replacement provisions of Section 8 of the Tribes L~

& Order Code serves the interests of the Tribe.
~~_JtJp~ ~~g4 14:06 No.003 P.02

E~VflLS LI~(E SIOUX TRIBE

~S0LUT ION ~C)5-9L4-176

Page 2

NOW TIREFDRE BE IT ~S0L~D, that title 8, Gaming of the

Devils Lake Sioux Laa~ & Order Code be hereby an~ended to

include the addition of Section 8-4112, in the form

attached hereto and be further amended to incorporate

the attached revision of Title 8, Chapter 15 as

replacement for Title 8, Chapter 15 as previously

codified.

CERTIF ICAT ION

1, the undersigned as SecretaryTreasurer of the Devils Lake

Sioux Tribal Council, do hereby certify that the Tribal Council

is composed of six (6) members of ~~hom four (Li) were present,

constituting a quorum for a special meeting duly called and

convened on this 10th day of JUNE, 199L1, and approved this

resolution by an affirmative vote of three (3) in favor, none (0)

opposed, t~o (2) absent. (The SecretaryTreasurer does not vote

and the Chairman votes only in case of a tie.)

~masFrank~) ~ ___

Recording Secretary Chairman

~~ .
84112 Appointment of Agent for Service of Process

The Gaming Commissioner of the Devils Lake Sioux

Tribe during his or her term of office shall be the

official designated as Agent for Service of any official

determination, order, or notice of violation. Service of

such notice should be made upon:

Gaming Commissioner

Devils Lake Sioux Tribal Offices

Devils Lake Sioux Tribe

Fort Totten, North Dakota 58335
CHAPTER XV

TRIBAL LICENSING

815101 License Required

All personnel employed or contractors engaged by the

Tribe, and/or by any Management Agent under contract with

the Tribe, whose responsibilities include the operation

or management of Class III gains of chance, shall be

licensed by the Tribal Gaming Commission. All personnel

employed or contractors engaged by the Tribe and/or by

any Management Agent under contract with the Tribe, other

and apart from the Members of the Tribe, whose

responsibilities include the operation or management of

Class II Class III games of chance, shall conform to such

requirements as are required by Federal law and/or

regulation. All personnel employed or contractors

engaged by the Tribe and/or by any Management Agent under

contract with the Tribe, other and apart from the Members

of the Tribe, whose responsibilities include the

operation or management of Class II Class III games of

chance, shall conform to such requirements as are applied

by the State of North Dakota for state licensure.

815102 Tribal License

The Tribal Gaming Commission shall ensure that the

policies and procedures set out in this section are

implemented with respect to key employees and primary

management officials employed at any Class II or Class

III gaming enterprise operated upon trust lands of Tribe.

1. Definitions

(a.) Key Employee means:

(a) A person who performs one or more of

the following functions:

(1) 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

(10) Custodian of gambling devices

including person 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.

(b.) Primary Management Official means:

(a) The person having management

responsibility for a management contract;

(b) Any person who has authority:

(1) to hire and fire employees; or

(2) To set up working policy for the

gaming operation; or

(c) The chief financial officer or other

person who has financial management

responsibility.

815103 Application for License

1. Every person seeking a license from the Council

shall file an application which shall contain:

a. The name of the applicant and all

pertinent information required by Council

regulations.

b. A release authorizing the Council to

conduct a background investigation of the

applicant.

2. The following notice shall be placed on the

application form for a key employee or a primary

management official before that form is filled out by an

applicant: In compliance with the Privacy Act of 1974,

the following information is provided:

Solicitation of the information on this form is

authorized by 25 U.S.C. 2701 et seq. The purpose

of the requested information is to determine the

eligibility of individuals to be employed in a

gaming operation. The information will be used by

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 agencies when relevant

to civil, criminal or regulatory investigations or

prosecutions or when pursuant to a requirement by

the Tribal Gaming Commission or the National Indian

Gaming Commission in connection with the hiring or
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 mt his 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.

3. Existing key employees and primary management

officials shall be notified in writing that they shall

either:

a. Complete a new application form that contains

a Privacy Act notice; or

b. Sign a statement that contains the Privacy Act

notice and consent to the routine uses

described in that notice.

4. The following notice shall be placed on the

application form for a key employee or a primary official

before that form is filled out by an applicant:

A false statement on any part of your

application may be grounds for not hiring you, or

for firing you after you begin work. Also, you may

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

title 18, section 1001.)

5. The Tribal Gaming Commission shall notify in writing

existing key employees and primary management officials

that they shall either:

a. Complete a new application form that contains

a notice regarding false statements; or

b. Sign a statement that contains the notice

regarding false statements.

815104 Form and Display of License

Every license issued by the Tribal Gaming Commission

shall contain the following data:

a. The name and address of the authorized

licensee.

b. A recital that the licensee is authorized

to be employed as a consultant, or as a

primary management official or key employee of

any gaming enterprise.
c. The signature of the Commissioner.

815105 Display of License

The license of each primary management official, or

key employee of any gaming enterprise operated under this

Code, shall be posted in at a location to which the

public has access on the premises of associated gaming

activity.

815106 Background Investigations Generally

(1.) Information Gathering The Tribal Gaming

Commission, prior to hiring a prospective employee or

engaging a contractor whose responsibilities include the

operation or management of Class II or Class III gaming

activities, shall obtain sufficient information and

identification from the applicant to permit the conduct

of a background investigation.

(2.) Authorization of Background Investigation

Any person who applies for a tribal license shall first

submit an application to the Tribal Gaming Commission

which includes a written release by the applicant

authorizing the Tribal Gaming Commission to conduct a

background investigation of the applicant which shall be

accompanied by an appropriate fee for such investigation

as determined by the Tribal Gaming Commission.

(3.) Background Investigation by the Tribal

Gaming Commission Upon receipt of the application and

fee, an investigation shall be commenced under such

procedures as the Tribal Gaming Commission finds

appropriate to implement. The Tribal Gaming Commission

shall utilize the North Dakota Bureau of Criminal

Investigations (BCI) and/or the services of the Federal

Bureau of Investigation (FBI) through the National Indian

Gaming Commission to assist in background investigations

as to those seeking licensing in connection with Class II

and Class III gaming activity. The Tribal Gaming

Commission shall utilize any resource the Tribal Gaming

Commission determines appropriate as to Class II and

Class III gaming licensing.

(4.) Background Investigations of Employees

During Employment Each person whose responsibilities

include the operation or management of Class II or Class

III games shall be subject to periodic review by the

Tribal Gaming Commission comparable to that required for

initial employment. This review shall take place at

least annually, commencing with the date of employment.

Employees found to have committed disqualifying
violations shall be dismissed.

(5.~) Investigation Fees An applicant shall

be responsible for payment of and/or reimbursement of for

any and all reasonable expenses associated with

background investigations by the Trial Gaming Commission,

the State of North Dakota, and/or the National Indian

Gaming Commission.

(6.) Background Investigation Procedures

(1) The Tribal Gaining Commission shall

request from each primary management

official and from each key employee all

of the following information:

(a) Full name;

(b) Other names used;

(C) Social Security Number(s);

(d) Date and place of birth;

(e) Citizenship;

(f) Currently and for the previous five

(5) years: Business and employment

positions held, Ownership interest

in those businesses, Business and

residence addresses, and Drivers

license numbers;

(g) The names and current addresses of

at least three personal references,

including one personal reference who

was acquainted with the applicant

for the previous five (5) years;

(h) Current business and residence

telephone numbers;

(i) A description of any existing and

previous business relationships with

Indian tribes, including ownership

interests in those businesses;

(j) A description of any existing and

previous business relationships with

the gaming industry generally,

including ownership interests in

those businesses;

(k) 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 gaining, whether or not

such license or permit was granted;

(1) For each felony conviction or no

contest plea for which there has

been a conviction at any time or for

which there is an ongoing

prosecution, the charge, the name

and address of the court involved,

and the date and disposition if any;
q

(m) For each misdemeanor conviction or

plea of no contest (excluding minor

traffic violations) where the

conviction or plea of release from

parole, probation, or incarceration

occurred within ten (10) years of

the date of the application, the

name and address of the court

involved and the date and

disposition;

(n) 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, the

criminal charge, the name and

address of the court involved and

the date and disposition;

(0)

A current photograph;

(p) Fingerprints consistent with

procedures adopted by the Tribe in

accordance with 25 CF.R.

§

522.2(h);

(q) All languages spoken or written;

and

(r) Any other information the Tribal

Gaming Commission deems relevant.

(2) If items are incomplete or if directors

were not followed in the applicants

completion of the request for

information, the Personnel Director shall

contact and advise the applicant to

properly complete the request.

(3) The applicant shall complete an

authorization permitting the Tribe, the

State of North Dakota, the Federal Bureau

of Investigation, and the National Indian

Gaming Commission to seek background

information. If this is not signed, the

individual will not be considered for

employment.

(4) The Personnel Director may issue

a

temporary license after making verbal

inquiries of selected past employers,

references, or other relevant included

information.

(5) Forms completed by the applicant,

together with the applicable fees paid by

the applicant, shall be sent to the North

Dakota Bureau of Criminal Investigation

and/or the Federal Bureau of

Investigation (FBI) through the National

Indian Gaming Commission for completion
of its background investigation.

(6) Forms completed by the applicant shall be

made available to the Tribal Gaming

Commission, the North Dakota Bureau of

Criminal Investigation, the Federal

Bureau of Investigation (FBI), and the

National Indian Gaming Commission.

815107 Eligibility Determination

The Tribal Gaming Commission shall review a persons

prior activities, criminal record, if any, and

reputation, habits and associations to make a finding

concerning the eligibility of a key employee or primary

management official for employment in a gaming operation.

If the Tribal Gaming Commission determines that

employment of the person poses a threat to the public

interest or to the effective regulation of gaming, or

creates or enhances dangers of unsuitable, unfair, or

illegal practices and methods and activities in the

conduct of gaming, a tribal gaming operation shall not

employ that person in a key employee or primary

management official position.

815108 Procedures for Forwarding Applications and Reports for

Key Employees and Primary Management Officials to the

National Indian Gaming Commission

1. When a key employee or primary management official

begins work at a gamin operation authorized by this

Chapter, the Tribal Gaming Commission shall forward to

the National Indian Gaming Commission a completed

application for employment and conduct the background

investigation and make the eligibility determination

according to Section 815107.

2. The Tribal Gaming Commission shall forward the

report as required by Section 815109 to the National

Indian Gaming Commission within sixty (60) days after an

employee begins work or within sixty (60) days of the

approval of this ordinance by the Chairman of the

National Indian Gaming Commission.

3. The gaming operation shall not employ as a key

employee or primary management official a person who does

not have a license after ninety (90) days.

815109 Report to the National Indian Gaming Commission

1. Pursuant to the background investigation procedures

adopted in this Chapter, the Tribal Gaming Commission

shall prepare and forward to the National Indian Gaming

Commission an investigative report on each background

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

a. Steps taken in conducting a background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Tribal Gaming Commission shall submit, with the

report, a copy of the eligibility determination made

according to Section 815107.

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

Tribe:

a. Shall notify the national Indian Gaming

Commission; and

b. May forward copies of its eligibility

determination and investigative report (if

any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming Individuals

Records System.

4. With respect to key employees and primary management

officials, the Tribal Gaming Commission shall retain

applications for employment and the Chairman of the

National Indian Gaming Commission or his or her designee

for no less than three (3) years from the date of

termination of employment.

815110 Background Investigations by State

The Tribal Gaming Commission shall obtain a release

and other information from each applicant whose

responsibilities include the operation or management of

Class II or Class III games of chance to permit the State

to conduct a background check on the applicant. This

information, along with the standard fee, shall be

provided in writing to the state which shall report to

the Tribe regarding each applicant within thirty (30)

days of receipt of the request. The Tribal Gaming

Commission may employ any person who represents, in

writing, that he or she meets the standards set forth in

this section, but must not retain any person who is

subsequently revealed to be disqualified. Criminal

history data compiled by the State on prospective

employees shall, subject to applicable state to federal

law, be released to the Tribe as part of the reporting

regarding each applicant. The background check of

employees and contractors to be conducted pursuant to

this paragraph shall be independent of any similar

federal requirements.

815111 Granting a Gaming License

1. If, within a thirty (30) day period after the
I

National: Indian Gaming Commission receives a report, the

National Indian Gaming Commission notifies the tribe that

it has no objection to the issuance of a license pursuant

to a license application filed by a key employee or a

primary management official for whom the tribe has

provided an application and investigative report to the

National Indian Gaming Commission, the Tribal Gaming

Commission may issue a license to such applicant.

2. The Tribal Gaming Commission shall respond to a

request for additional information from the Chairman of

the National Indian Gaming Commission concerning a key

employee or a primary management official who is the

subject of a report. Such a request shall suspend the

thirty day period under subsection 1 of this section

until the Chairman of the National Indian Gaming

Commission receives the additional information.

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

above, the National Indian Gaming Commission provides the

Tribe with a statement itemizing objections to the

issuance of a license to a key employee or to a primary

management official for whom the Tribal Gaming Commission

has provided an application and investigative report to

the National Indian Gaming Commission, the Tribal Gaming

Commission shall reconsider the application ,k taking

into account the objections itemized by the National

Indian Gaming Commission. The Tribal Gaming Commission

shall make the final decision whether to issue a license

to such applicant.

815112 License Suspension

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

Tribal Gaming Commission receives from the National

Indian Gaming Commission reliable information indicating

that a key employee or a primary management official is

not eligible for employment under subsection D. above,

the Tribal Commission shall suspend such license and

shall notify in writing the licensee of the suspension

and the proposed revocation.

2. The Tribal Gaming Commission shall notify the

licensee of a time and a place for a hearing on the

proposed revocation of a license.

3. After a revocation hearing, the Tribal Gaming

Commission shall decide to revoke or to reinstate a

gaming license. The Tribal Gaming Commission shall

notify the National Indian Gaming Commission of its

decision.
DEVILS LAKE SIOUX TRIBE

RESOLUTION NO. A05-93-O11

WHEREAS, the Devils Lake Sioux Tribe of Indians is a Federally

recognized American Indian Tribe governed by a revised

Constitution dated May 5, 1960, approved by the Acting

Commissioner, Bureau of Indian Affairs, July 14, 1961,

and subsequently amended July 17, 1969; May 3, 1974;

April 16, 1976 and May 4, 1981; and

WHEREAS, the Tribal Council of the Devils Lake Sioux Tribe is the

governing body of the Tribe; and

WHEREAS, Section 8 of the Tribal Law and Order Code dealing with

Gaming was revised and codified on October 13, 1988, by

Resolution No. A05-89-030, and further revised on January

31, 1991, by Resolution No. A05-91-089; and

WHEREAS, the execution by the Tribe and by the State of North

Dakota of a Class III Gaming Compact, negotiated by the

parties, and further development by the Tribe of its

gaming activities, requires that Title 8, Gaming of the

Tribes Law and Order Code be extensively revised; and

WHEREAS, the Tribal Council has developed a text as a replacement

to the Devils Lake Sioux Law and Order Code, Ti:le 8,

Gaming, and believes that the replacement provisions, as

therein presented, serves the needs of the Tribe.

NOW THEREFORE, BE IT RESOLVED, that the revised Title 8 of the

Devils Lake Sioux Law and Order Code entitled Gaming, attached

hereto, is hereby approved and accepted as the Gaming Code of the

Devils Lake Sioux Tribe, that said Code shall be codified as Title

8 within the Devils Lake Sioux Law and Order Code, and shall

replace in its entirety the text of Title 8 in existence prior to

this Resolution.

CERTIFICATION

I, the undersigned as Secretary-Treasurer of the Devils Lake Sioux

Tribal Council, do hereby certify that the Tribal Council is

composed of six (6) members of whom 6 were present, consisting

of a quorum for a Special Meeting, which was duly called and

convened on the 7th day of October, 1992, and approved this

Resolution by an affirmative vote of 4 in favor, 0 opposed,

0 abstaining, and 0 absent. (The Secretary-Treasurer does

not vote, and the Ch irperson votes only in the case of a tie.)

Jeannette M. Herald, Peter Belgarde,

Secretary-Treasurer Tribal Chairperson
DEVILS LAKE SIOUX LAW AND ORDER CODE

TITLE 8: GAMING

TABLE OF CONTENTS

CHAPTER ONE

INTRODUCTION, LEGISLATIVE FINDINGS,

POLICY AND PURPOSE

§8110 1

§81102

§81103

§81104

§81105

§81106

§81107

§81108

§81109

§81110

Tribal Gaming Policy

Purposes of Title

Interpretation

Savings Clause

1

1

1

1

2

23

CHAPTER TWO

DEFINITIONS

§82101

(1.)

(2.)

(3.)

(4.)

(5.)

(6.)

(7.)

(8.)

(9.)

(10.)

(11.)

(12.)

(13.)

(14.)

(15.)

(16.)

(17.)

(18.)

(19.)

(20.)

(21.)

Definitions

Act

Bingo

Class I Gaming

Class II Gaming

Class III Gaming

Commissioner

Compact

Council or Tribal Council

Credit

Distributor

Electronic Game of Chance

Enterprise

Facility

Gaining

Gaming Establishment

General Manager

IGRA

Immediate Family

Key~ Employee

Licensee

Management Contract .

4567

Title

Repeal of Prior Authority

Sovereign Powers and

Responsibilities

Federal Policy of Tribal

SelfDetermination

Devils Lake Sioux Tribal Policy

of SelfGovernment

Tribal Need for Governmental Revenue

and Additional Economic Development

1
(22.) Manufacturer 7

(23.) National Indian Gaining Commission 7

(24.) Participate or Participation 7

(25.) Person 8

(26.) Primary Management Official 8

(27.) PullTab 8

(28.) State 8

(29.) Tribal Gaining Commission 8

(30.) Tribal Police Department 9

(31. ) Tribe 9

(32.) wager 9

CHAPTER THREE

GENERAL PROVISIONS

§83101 Sovereign Immunity and Waiver 10

(1.) Sovereign Immunity 10

(2.) Waiver of Sovereign Immunity 10

(3) Credit of the Tribe 10

(4.) Assets of the Tribe 11

§83102 Tribal Gaining Account Established 11

§83103 Use of Gaining Revenue 11

§83104 Specified Usage of Gaining Revenue 12

§83105 Regulations of the Council 12

§83106 Gaming Location 13

§83107 Construction, Maintenance and

Operation Standards 13

CHAPTER FOUR

GENERAL REGULATION OF GAMING

§84101 Gaining Regulated 14

§84102 Tribal Ownership of Class II

and Class III Gaming 14

§84103 Council to Regulate Gaming 14

§8-4-104 Annual Budget 14

§84105 Tribal Gaming Commission 14

§84106 Powers of the Council and Tribal

Gaming Commission 15

§84107 General Procedures 18

§84108 License Requirements 18

(1.) Class I 18

(2.) Class II 18

(3.) Class III 19

§84109 Investigations 19

§84110 Hearings; Examiner 19

§84111 Appointment of Examiner; Power

of Examiner 19

ii
CHAPTER FIVE

AUTHORIZED TRIBAL GAMES AND LIMITS

§85 10 1

(1.)

(2.)

(3.)

(4.)

(6.)

(7.)

(8.)

(9.)

(10.)

(11.)

(12.)

(13.)

(14.)

(15.)

(16.)

(17.)

212

22

22

23

CHAPTER SIX

GAMING OFFICIALS

§8610 1

§86102

§86103

§86104

§86105

§86106

§86107

Appointment

Gaining Officers to be Appointed

Gaming Commissioner

General Manager

Chief Financial Officer .

Tribal Inspection

Training Manager

2456

21

21

21

21

21

21

21

21

21

Authorized Games

Class I traditional games .

Bingo

Other Class II Gaming

Electronic Games of Chance with

video facsimile displays

(5.) Electronic Gaines of Chance with

mechanical rotating reels

Blackjack

Poker

Parimutuel and Simulcast

Sports and Calcutta Pools on

professional sporting events

Pulltabs or Breakopen Tickets

Raffles

Keno

Punchboards and Jars

Paddlewheels

Craps

Indian Dice

Games which any other Indian Tribe

may legally conduct on trust lands

within North Dakota

(18.) Other games authorized within the

State of North Dakota

§85102 Limits on Wagers

(1.) General

(2.) Maximum Limits

a. Blackjack

b. Poker

c. Paddlewheels

d. Craps and Indian Dice .

e. Electronic Games of Chance

(3.) Play Permitted to Maximum

Authorization unless Council

sets other limits

iii
§86108

§86109

§86110

§86111

§86112

§86113

§86114

Promotion

Chief Legal

Manager

Officer .

Personnel Manager

Security Manager

Chief Engineer

Other Officers

Gaming Commissioner May Be Member

of Tribal Council

267

CHAPTER SEVEN

GENERAL REGULATIONS - APPLICABLE TO GAMING

§8710 1

§87102

§87103

(1.)

(2.)

(3.)

§87104

§87105

§87106

§87107

§87108

§87109

Odds and Prize Structure .

No Credit Extended

Age Restrictions

Participation in Class III game

Presence on premises

Class II gaines

Player Disputes

Prohibition Against Intoxication

Regulations to be Posted .

Exclusion

Equal Opportunity to Win by

Each Player

Determination of Winners .

289

29

30

CHAPTER EIGHT

ACCOUNTING, AUDIT AND RECORD KEEPING

§8810 1

(1.)

(2.)

(3.)

(4.)

§88102

(1.)

Accounting and Audit Procedures . .

Accounting Standards

Systems

Audits

Supplies, Services and

Concessions Audits

(5.) Accounting Records and Audits Concerning

Class III Gaming by Tribe

Tribal Record Keeping

Record Maintenance

a. Revenues, Expenses, Assets,

Liabilities and Equity

b. Daily Cash Transactions

c. Individual and Statistical

Game Records

d. Records of Tribal Enforcement

Activities

e. Audits

f. Returned Checks

g. Personnel Information

. . 31

31

. . . 31

. . 31

31

31

31

31

31

. 32

. . . 32

. 32

. . . 32

. . . 32

32

iv
§88103 Access to Records

(3.)

§88104

(1.) National Indian Gaining Conunission

(2.) State of North Dakota

Confidentiality

Tax Reporting Matters

(1.) United States Internal Service Form

(2.) Employee Income Withholding

323

CHAPTER NINE

BINGO

§89 10 1

§89102

§89103

§89104

§89105

§89106

§89107

Sale of Bingo Cards

Method of Play

Verification of Winners

Award of Prizes

Personnel

Operation as Part of Network

Participation in Tribal Bingo

3456

Events 36

CHAPTER TEN

PULLTABS

§81010 1

§810102

§81010 3

§810104

Conduct and Licensing .

Standards and Limitations

To Be Dispensed by Machine

Participation by Tribal and

Charitable Organizations

CHAPTER ELEVEN

ELECTRONIC GAMES OF CHANCE -

REGULATORY AND TECHNICAL STANDARDS

(1.)

(2.)

(3.)

(4.)

(5.)

(6.)

(7.)

(8.)

(9.)

(10.)

(11.)

(12.)

(13.)

Hardware Requirements for Electronic

Games of Chance

Physical Hazard

Surge Protector

Battery Backup

On/Off Switch

Static Discharge

Approved Coin and Bill Acceptors

Electronic Game Management/Reporting

System

Cabinet Security

Repairs and Service

Microprocessor Compartment

Secure Electronic Components . .

Secure Cash Compartment

Hardware Switches Prohibited . .

32

37

37

§811 10 1

37

38

38

38

38

38

38

38

38

39

39

39

39

40

40

V
(14.) Printing of Written Statement

of Credits

Operation of Part of a Network .

Software Requirements for Video Gaines

of Chance

(1.) Randomness Testing

a. ChiSquare Analysis

b. Runs Test

c. Correlation Analysis

d. Serial Correlation Analysis .

e. Live Game Correlation

(2.) Percentage Payout

(3.) Minimum Probability Standard for

Maximum Payout

(4.) Continuation of Game After Malfunction

(5.) Play Transaction Records

(6.) No Automatic Clearing of

Accounting Meters

Display of Information

Rules Display

Transitional Provision

Amendments to Regulatory and

Technical Standards for Electronic

Games of Chance

CHAPTER TWELVE

ELECTRONIC GAMES OF CHANCE

REPORTING AND TESTING

Machine Reporting and Display .

Reporting System

Record Keeping

Display

Conformity to Technical Standards

and Identification

(1.) Conformity to Technical Standards

(2.) Machine Identification

Testing

Testing and Approval of Electronic

Games of Chance

(2.) Application for Approval of Prototype

Video Games of Chance

(3.) Testing of Video Games of Chance

(4.) Report of Test Results

(5.) Modifications of Approved

Electronic Games of Chance

§812104 Tribal Reports to State

(1.) Installation and Operation

(2.) Removal from Play

(3.) Transitional Provision as To

Existing Games

(15.)

§811102

40

40

. . . 41

. . . 41

. . . 41

. . . 41

41

. . . 42

. . 42

. . . 42

42

. . . 42

43

(7.)

(8.)

§811103

§811104

43

43

43

43

44

§81210 1

(1.)

(2.)

(3.)

§812102

§812103

(1.)

456

46

46

46

47

47

47

47

48

48

vi
CHAPTER THIRTEEN

OTHER GANES

§813 10 1

(1.)

(2.)

(3.)

(4.)

(5.)

(6.)

(7.)

§813102

(1.)

(2.)

(3.)

(4.)

Rules of Play

Blackjack, Poker, and Keno

Craps and Indian Dice

Paddlewheels

Sports and Calcutta Pools

on Professional Sporting Events

Raffles

Punchboards and Jars

Parimutuel and Simulcast Betting

Regulations of Play

Gaming Table Bank

Drop Box

Gaming Room Bank

Rules to be Posted

4950

CHAPTER FOURTEEN

PERSONNEL

§814101

§814102

(1.)

(2.)

52

CHAPTER FIFTEEN

TRIBAL LICENSING

§81510 1

§815102

(a.)

(b.)

§815 103

§815104

§815105

§815106

(1.)

(2.)

53

53

53

54

54

55

56

56

56

56

56

57

57

57

Prohibitions in Hiring Employment

and Contracting

Conditions of Employment .

Procedural Manual

Limitation of Participation in

Games by Employees

(3.) Employee Disqualifications

51

52

52

License Required

Tribal License

Key Employee

Primary Management Official . .

Application for License

Form and Display of License

Display of License

Background Investigation Generally

Information Gathering

Authorization of Background

Investigation

(3.) Background Investigation by the

Tribal Gaming Commission

(4.) Background Investigations by State

Prior to Employment

(5.) Background Investigations of

Employees During Employment

(6.) Investigation Fees

vii
Eligibility

Procedures for

Detennination

Forwarding Applications

.

and

Reports for Key Employees and Primary

Management Officials to the National Indian

Gaining Commission

Report to the National Indian

Gaming Commission

Background Investigations by State .

Granting a Gaining License

License Suspension

CHAPTER SIXTEEN

MANAGEMENT AGREEMENTS

§816101

§816102

§816103

§816104

§816105

Option for Tribe

Receipt of Information by Tribe

Provisions of Management Agreement

Fee

Background Check

635

CHAPTER SEVENTEEN

QUALIFICATIONS OF PROVIDERS OF CLASS III

GAMING EQUIPMENT OR SUPPLIES

Purchase of Equipment and Supplies

Required Information

No Business Dealings with

Disqualified Parties

Receipt of Gaming Equipment

CHAPTER EIGHTEEN

ESCROW ACCOUNT FOR STATE EXPENSES

§818101

§818102

Escrow Fund

Procedure and Challenge

68

68

CHAPTER NINETEEN

INSPECTION AND COMPLIANCE

§81910 1

(1.)

(2.)

(3.)

(4.)

(5.)

§819102

Inspection

Periodic Inspection and Testing .

Receipt of Reports of NonCompliance

State Inspection of Operations .

Inspection of Electronic

Games of Chance

Removal and Correction

Compliance

6970

70

§815107

§815108

§815109

§815110

§815111

§815112

59

59

60

60

61

62

§817101

§817102

§817103

§817104

66

66

67

67

viii
§820101

§820102

§820103

§820104

§820105

§820106

§820107

§820108

§820109

§820110

§820111

§820112

§820113

§820114

§820115

§820116

§820117

§820118

§820119

§820120

§820121

(1.) Report of Suspected Violation

by Parties

(2.) Response to Complaints by

Third Parties

(3.) NonComplying Class III Games

(4.) Demand for Remedies for NonComplying

Games of Chance

CHAPTER TWENTY

LICENSING FOR GAMES CONDUCTED BY

ORGANIZATIONS OTHER THAN THE TRIBE

Prohibition Against NonTribal Games

Tribally Licensed Games Generally

License Applications

Additional Application Documents

Investigation

Selection of Licensees

Requirements of Licensees

Reports and Finances of Licensees

Records Improperly Filed

Gaming Activities Assessed

Payment of Assessment

Exemption from Assessment

Right of Entrance; Inspection . .

Investigations

Hearings

Appointment of Examiner;

Power of Examiner

Gaming Account

Bookkeeping and Accounting

Suspension and Revocation of Licenses

NonApplicability

Monitoring

. . . 80

. . 80

80

81

. . . 82

82

70

70

70

70

72

72

73

75

75

75

76

76

78

78

78

79

79

79

80

ix
DEVILS LAKE SIOUX LAW AND ORDER CODE

TITLE 8: ~

CHAPTER I

INTRODUCTION, LEGISLATIVE FINDINGS, POLICY AND PURPOSE

81101 Title

This Title shall be known as the Devils Lake Sioux

Gaming Code.

81102 Repeal of Prior Authority

This Title hereby repeals all other previously

enacted gaining codes to the extent that the previous

gaming codes are inconsistent with this Title.

81103 Sovereign Powers and Responsibilities

This Title is enacted pursuant to the inherent

sovereign tribal powers expressly delegated to the Tribal

Council in the Constitution of the Devils Lake Sioux

Tribe, which authorizes the Tribal Gaming Commission to

represent the Tribe and to negotiate with federal, state

and local goverrunents, to employ legal counsel subject to

Secretarial approval, to regulate the conduct of trade

and the use and disposition of property upon the

Reservation, to promulgate and enforce ordinances

providing for the maintenance of law and order and the

administration of justice on the Reservation, to

administer all tribal funds, to manage and otherwise deal

with tribal lands and property, to engage in any business

that will further the economic well being of members of

the Tribe, and to regulate tribal agencies and tribal

officials.

81104 Federal Policy of Tribal SelfDetermination

A commitment by the United States government to

foster and encourage Tribal selfgovernment, economic

development and self sufficiency was signed into law in

1975 as the Indian SelfDetermination and Education

Assistance Act, Public Law 93638, 88 Stat. 2204, 25

U.S.C. ~45O45On.

1
The federal commitment was furthered in 1988 by

passage of Public Law 100497, 102 Stat. 2426, 25 U.S.C.

§S2701 ~ seq (1988), through which the federal

government recognized the inherent sovereign right of

tribes to conduct and regulate gaming on their

reservations and preempted state authority in the area of

Indian gaming.

81105 Devils Lake Sioux Tribal Policy of SelfGovernment

The Tribe is firmly committed to the principal of

tribal selfgovernment. Consistent with federal policy,

tribal government provides a wide range of public

services on the Reservation; including general

governmental services, the maintenance of peace and good

order, the establishment of educational systems and

programs, the maintenance of various social welfare

programs, such as the Tribes Alcohol and Rehabilitation

Program, the Tribes Land Consolidation Program to

consolidate and increase its trust land base, and the

promotion and regulation of economic activities within

the sovereign jurisdiction of the Tribe.

81106 Tribal Need for Governmental Revenue and Additional

Economic Development

The Tribe is vigorously pursuing its goal of self

determination through the development of manufacturing

and farming enterprises. The tribal farm enterprise

requires a vastly expanded land base for increased

efficiency and productivity, expansion of its programs

and increased employment and training of tribal members.

Because of the modest income level of the Tribe and

because of cutbacks in federal funding and increasing

costs of selfgovernment, it is essential that the Tribe

develop additional economic activities on the Reservation

to support programs, such as those set forth above and to

provide employment for Tribal members.

81107 Tribal Gaming Policy

The establishment, promotion and operation of gaming

is necessary and desirable, provided that such gaming is

regulated and controlled by the Tribe pursuant to tribal

and federal law and TribalState compact, and that the

proceeds of such gaming are directed to the benefit of

the Tribe and its members. When operated in accordance

with the provisions of this Title, such gaming will be

conducive to the general welfare of all residents of the

Reservation.

2
81108 Purposes of Title

The purposes of this Title are:

(1.) To regulate, control and license the

operation of all gaming within the territorial

jurisdiction of the Tribe.

(2.) To promote and strengthen tribal economic

development, independence and selfdetermination.

(3.) To generate revenue to strengthen and

improve tribal selfgovernment and the provision of

governmental services.

(4.) To enhance employment opportunities for

tribal members.

81109 Interpretation

The provisions of this Code:

(1.) Shall be liberally construed in favor of

effectuating the purposes set forth above.

(2.) Shall be construed to be consistent with

the provisions of the National Indian Gaming Regulatory

Act, 25 U.S.C. §2701, ~t seq. and the 1992 TribalState

Gaining Compact (governing Class III games) between the

Tribe and the State of North Dakota.

(3.) Shall be liberally constructed to be

consistent with any Gaming Management Agreement entered

into by the Tribe.

(4.) The Tribe asserts immunity on its part and

that of: its agencies, employees, and/or agents from any

action dr damages that may occur as a result of reliance

upon and conformance with this Code.

81110 savings Clause

If any section of this Title is invalidated by a

court of competent jurisdiction, the remaining sections

shall not be affected thereby.

3
CHAPTER II

DEFINITIONS

82101 Definitions

Except where otherwise specifically provided or the

context otherwise requires, the following terms and

expressions shall have the following meanings:

(1.) Act shall mean the Indian Gaming

Regulatory Act, P.L. 100497, 25 U.S.C. sec. 2701, et

seq

(2.) Bingo means the game of chance commonly

known as bingo whether or not electronic, computer, or

other technologic aids are used in connection therewith,

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 including instant bingo and

other gaines similar to bingo.

(3.) Class I Gaming means:

a. Social games played solely for prizes of

minimal value;

b. Traditional forms of Indian gaming

engaged in as a part of, or for the

promotion of tribal ceremonies,

celebrations, or powwows, provided that

total gross receipts from such gaming,

including bingo, do not exceed fifty

thousand dollars ($50,000.00) in any year

for any single ceremony, celebration or

powwow.

(4.) Class II Gaining 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 designed, are drawn or

4
electronically determined, and in which

the game is won by the first person

Electronic, computer or technological

aidssuch as computergenerated 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 sequences.

b. Other games of chance Games similar to

bingo, including, if played at the same

location as bingo, pulltabs, lotto,

punch boards, tip jars, and instant

bingo, in which prizes are awarded on

the basis of a designated winning number

or number, color or colors, symbol or

symbols determined by chance.

(5.) Class III Gaming means all forms of

gaming that are not Class I or Class II gaming.

(6.) Commissioner means the Tribal Gaming

Commissioner appointed pursuant to this Title.

(7.) Compact means the Class III Gaming

Compact between Tribe and the State of North Dakota

executed October 7, 1992 together with all amendments and

codicils, thereto and any subsequent gaming compacts

between the parties.

(8.) Council or Tribal Council means the

Tribal Council or Governing Body of the Devils Lake Sioux

Tribe.

(9.) Credit means the smallest unit of value

that may be used to play a game on a video game of chance

or that may be redeemed in currency.

(10.) Distributor means a person who obtains

an electronic game of chance from a manufacturer and who

intends to furnish it to the Tribe.

(11.) Electronic Game of Chance means a

microprocessorcontrolled electronic device which allows

a player to play games of chance, some of which are

affected by skill, which device is activated by the

insertion of a coin or currency, or by the use of a

credit, and which awards game credits, cash, tokens, or

replays, or a written statement of the players

accumulated credits, which written statements are

redeemable for cash. The term electronic game of

5
chance does not include the operation and play of

devices which utilize mechanical or optical sensors to

evaluate reel positions when they come to rest after

being spun for game play.

(12.) Enterprise is a coinmercial enterprise of

the Tribe authorized to engage in:

(a) gaming of every variety defined as Class

II Gaming by the IGRA; (b) gaining defined as

Class III Gaining pursuant to the Compact and

any other lawful commercial activity related

to Gaming and permitted by the Tribe on the

Property.

(13.) Facility shall mean the buildings,

including related or connected modular, tentlike or

other structures, and associated and adjacent real

property, within which the Enterprise will be housed, and

the parking areas serving the Facility, all as located on

the Property.

(14.) Gaming shall mean activities defined as

Class I Gaming, Class II Gaming and Class III Gaming

under the IGRA and the Compact.

(15.) Gaming Establishment means any site

within the territorial jurisdiction of the Tribe at which

any gaming activity or operation is conducted, whether by

a licensee or not.

(16.) General Manager shall mean the person or

entity selected by the Tribal Council to be responsible

for and possessing the necessary authority for general

operations of the Tribe, subject to Tribal Supervisor of

the General Gaming Operations, subject to Tribal

Oversight.

(17.) IGRA means Indian Gaming Regulatory Act,

Public Law 100497, 102 Stat. 2426, 25 U.S.C. §~27O1 et

seq. (1988), as amended.

(18.) Immediate Family means, with respect to

the person under consideration, a husband, wife, father,

mother, son, daughter, brother, sister, fatherinlaw,

motherinlaw, soninlaw, daughterinlaw, brotherin

law, sisterinlaw, stepfather, stepmother, stepson,

stepdaughter, stepbrother, stepsister, half brother or

half sister.

(19.) Key Employee means:

6
(a) A person who performs one or more of the

following functions:

(1) 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

(10) Custodian of gambling devices

including person 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.

(20.) Licensee means a person licensed by the

Council as a consultant, primary management official or

key employee under the provisions of this Title.

(21.) Management Contract means an agreement

covering the overall management and operation of a Tribal

game or gaming facility by an entity other than the Tribe

or its employees, including all collateral agreements to

such agreement that relate to gaming activity.

(22.) Manufacturer means a person who

manufactures, produces, or assembles an electronic game

of chance, and who intends to furnish it to a distributor

or the Tribe.

(23.) National Indian Gaming Commission means

the National Indian Gaining Commission established by the

IGRA.

(24.) Participate or Participation or

Participating in any gaming activity or operation means

operating, directing, financing or in any way assisting

in the establishment of or operation of any class of

gaming or any site at which such gaming is being

conducted, directly or indirectly, whether at the site in

person or off the Reservation.

7
(25.) Person means any individual,

partnership, joint venture, corporation, joint stock

company, company, firm, association, trust, estate, club,

business trust, municipal corporation, society, receiver,

assignee, trustee in bankruptcy; political entity, and

any owner, director, officer or employee of any such

entity, or any group of individuals acting as a unit,

whether mutual, cooperative, fraternal, nonprofit, or

otherwise, any governmental entity of the Tribe, or any

of the above listed forms of business entities that are

wholly owned or operated by the Tribe; provided, however,

that the term does not include the federal government and

any agency thereof.

(26.) Primary Management Official means:

(a) The person having management

responsibility for a management contract;

(b) Any person who has authority:

(1) to hire and fire employees; or

(2) To set up working policy for the

gaining operation; or

(C) The chief financial officer or other

person who has financial management

responsibility.

(27.) PullTab means any disposable card,

board, or ticket which accords the player an opportunity to win something of value by opening, pulling, detaching,

or otherwise removing tabs from the card, board or ticket

to reveal a set of numbers, letters, symbols,

configurations, or combinations thereof which have been

previously specified as a winning combination.

(28.) State means the State of North Dakota,

its authorized officials, agents and representatives.

(29.) Tribal Gaining Conunission means the

Corporate Tribal entity established by the Tribal Council

to address issues and operations, on behalf of the Tribe,

associated with gaming and related activities. When the

Tribal Council sits on matters relating to consideration

and/or determination of existing, previous or proposed

gaining activity of the Tribe, it shall be regarded as

sitting as the General Membership of the Tribal Gaining

Commission.

8
(30.) Tribal Police Department means the

Agency, Bureau of Indian Affairs Police Department or

police officers serving as part of it, each with a tribal

commission.

(31.) Tribe means the Devils Lake Sioux

Tribe.

(32.) Wager means an initial bet made in any

game.

9
CHAPTER III

GENERAL PROVISIONS

83101 Sovereign Immunity and Waiver

(1.) sovereign Immunity The Tribe expressly

reserves all its inherent sovereign rights as a

federallyrecognized Indian Tribe with respect to the

administration of this Title, including sovereign

immunity from suit in any state or federal court.

Nothing in this Chapter shall be deemed or

construed to be a waiver of sovereign immunity of the

Tribe from suit or to be a consent of the Tribe to any

such waiver of sovereign immunity, which may only be

waived pursuant to Subsection (2). Except as provided in

Subsection (2), nothing in this Chapter shall be deemed

or construed to be a consent of the Tribe, to the

jurisdiction of the United States or of any state with

regard to the business or affairs of the Tribe or to any

cause of action, case or controversy.

(2.) Waiver of Sovereign Immunity Sovereign

immunity of the Tribe may be waived only by express

resolution of the Tribal Council after consultation with

Legal Counsel. All waivers of sovereign immunity shall

be preserved with the resolutions of the Council.

Waivers of sovereign immunity are disfavored and shall be

granted only when necessary to secure a substantial

advantage or benefit to the Tribe. Waivers of sovereign

immunity shall not be general but shall be specific and

limited as to duration, grantee, transaction, property or

funds, if any, of the Tribe subject thereto, court having

jurisdiction pursuant thereto and law applicable

thereunder.

Neither the power to sue and be sued specified

within this Title, nor any activity of the Council, nor

any express waiver of sovereign immunity by resolution of

the Council, shall be deemed a consent to the levy of any

judgement, lien or attachment upon property of the Tribe

other than property specifically pledged or assigned, or

to be a consent to suit in respect of any land within the

exterior boundaries of the Reservation or a consent to

the alienation, attachment or encumbrance of any such

land.

(3.) Credit of the Tribe Nothing in this

Chapter, nor any activity of the Council, nor any

indebtedness incurred by it, shall implicate or in any

10
way involve the credit of the Tribe, except as provided

herein.

(4.) Asse~ of the Tribe Nothing in the

administration of this Title, nor any indebtedness

incurred thereby, shall implicate or in any way involve

any assets of the Tribe other than property specifically

pledged or assigned, or shall implicate or in any way

involve any assets of tribal members not assigned in

writing to the Tribe.

83102 Tribal Gaming Account Established

(1.) There is hereby authorized and directed to

be established one or more accounts in federallyinsured

financial institutions to be known as Tribal Gaming Accounts.

(2.) Tribal Gaining Accounts shall be an

interestbearing account and the funds therein may be

invested and reinvested by the Council.

(3.) No monies shall be released or expended

from the Tribal Gaming Account except pursuant to

established policy enacted by Council, upon written

resolution of the Council or Tribal Gaming Commission

appropriating a specific amount of the monies contained

therein for the use of a particular department, agency,

or program of the Tribe. Such appropriated amount shall

be directly transferred to the account of the receiving

department, agency, or program named in the appropriation

resolution.

(4.) All income, fees, penalties, interest,

charges, or other monies collected by the Council in the

administration and enforcement of this Tribe shall be

deposited in the Tribal Gaming Commission Account.

83103 Use of Gaming Revenue

Revenue from tribal gaming shall be used only for

the following purposes:

(1.) To promote tribal economic development;

(2.) To provide for social welfare of Tribal

Members;

(3.) To fund tribal government operations or

programs;

11
(4.) To provide for the general welfare of the

Tribe and its members;

(5.,) To provide donations for charitable

organizations;

(6.) To help fund operations of local

government agencies.

(7.) To promote the growth and development of

the Tribes Gaming and related activities and enterprises.

83104 Specified Usage of Gaming Revenue

The Council has determined that it is in the

interest of the Tribe that designated portions of revenue

derived from gaming operations be guaranteed for usage

within Tribal programs for economic development, other

than gaming, and social welfare. In accordance

therewith, at least twentyfive (25%) percent of Adjusted

Gross Revenues from Class III gaming operations, not

including monies paid out as prizes or winnings, shall be

directed to, and utilized within, economic development

and social welfare programs of the Tribe. Adjusted Gross

Revenues shall be considered all revenue from Class III

gaming operations, except those specifically excluded

above, and shall be inclusive of monies directed to any

Management Agent engaged by the Tribe.

83105 Regulations of the Council

(1.) The Council shall prepare and adopt such

regulations as are necessary and/or appropriate to carry

out the orderly performance of duties and powers under

this Title, including but not limited to regulations

relating to:

a. Internal operational procedures of the

Council and its staff;

b. Interpretation and application of this

Title as may be necessary to carry out its

duties and exercise its powers;

C. A regulatory system for all gaming

activities and operations, including

accounting, contracting, management and

supervision.

12
d. The findings of any reports or other

information required by or necessary to

implement this Title; and

e. The conduct of inspections,

investigations, hearings, enforcement actions

and other powers of the Council authorized by

this Title.

(2.) No gaining regulation of the Council shall

be of any force or effect unless it is adopted by the

Council by written resolution and copies of the

regulation and resolution have been filed for record in

the office of the Secretary of the Tribe.

(3.) The Tribal Court and any other court of

competent jurisdiction shall take judicial notice of all

Council regulations adopted pursuant to this Title.

(4.) The Council may delegate as it finds

appropriate the development of procedures and policies.

83106 Gaming Location

Gaming activities and operations shall be conducted

only as designated by the Council, through Council

resolution, or sitting as the Tribal Gaining Commission,

and only upon trust lands of the Devils Lake Sioux and

waters adjacent thereto, together with such lands, and

waters adjacent thereto, as may be acknowledged by the

parties to be lands of the Devils Lake Sioux, or may be

transferred to the Devils Lake Sioux as a result of any

Court determination or agreement between the parties in

Devils Lake Sioux v. State of North Dakota pending at

the time of enactment of this Code in United States

District Court, District of North Dakota, File No. A286

87.

83107 Construction, Maintenance and Operation Standards

The construction and maintenance of every gaining

establishment and the conducting of any gaming activity

or operation therein shall be done in a manner which

adequately protects the environment and the public health

and safety.

13
CHAPTER IV

GENERAL REGULATION OF GAMING

84101 Gaming Regulated

All Class I, II and III gaming activities or

operations are subject to the provisions of this Title.

84102 Tribal Ownership of Class II and Glass III Gaming

The Tribe shall have the sole proprietary interest

in all Class II and Class III gaming activities and

operations authorized under this title subject to such

contractual obligations as the Tribe may enter into.

84103 Council to Regulate Gaming

The Council, pursuant to this Title, acting on its

own behalf and, as authorized, acting as or through the

Tribal Gaming Commission, shall have exclusive authority

to regulate all tribal gaming.

84104 Annual Budget

The Council shall approve an annual operating budget

for all tribal licensed gaming activities pursuant to

this Title.

84105 Tribal Gaming Commission

(1.) The Tribal Council at all times that it

sits on matters relating to consideration and/or

determination of existing, previous, or proposed gaming

activities of the Tribe, shall be considered to be

sitting both as the Tribal Council and the General

Membership of the Tribal Gaming Commission.

(2.) It shall be unnecessary to convene,

adjourn, reconvene, or take separate quorum counts,

associated with portions of Tribal Council meetings

wherein gaming matters are considered with the Tribal

Council sitting as the General Membership of the Tribal

Gaming Commission.

(3.) References to the Council or to the Tribal

Council herein, unless specified otherwise, refer to the

14
Devils Lake Tribal Council also sitting as the General

Membership of the Tribal Gaming Commission.

(4.) The Tribal Gaining Commission shall be

constituted as a Tribal Corporation pursuant to Title 10,

Chapter 4 of the Devils Lake Sioux Law and Order Code -

Corporations and Tribal Entities, and shall address

issues and operations, on behalf of the Tribe associated

with gaming and related activities.

84106 Powers of the Council and Tribal Gaming Commission

In addition to its other powers and duties, the

Council, sitting as the Tribal Council and/or the General

Membership of the Tribal Gaming Commission, shall have

the following general powers and duties in the

administration of this Title:

(1.) To exercise all powers delegated to or

which are authorized to be exercised by the Tribe under

IGRA.

(2.) To exercise all powers delegated to or

which are authorized to be exercised by the Tribe under

the Compact.

(3.) To exercise the sovereign powers of the

Devils Lake Sioux Tribe in all matters impacting upon

gaming.

(4.) To supervise, inspect and regulate any

phase of any gaming activity or operations.

(5.) To investigate the operation and premises

of any person who is subject to the provisions of this

Title.

(6.) To examine the financial books and other

records of any person or entity participating in gaming.

(7.) To require by regulation the filing of any

records, forms, reports and all other information desired

by the Council for implementation of this Title relating to any gaming activity or operation, or any investigation

as required by tribal law and the IGRA.

(8.) To adopt a schedule of fees to be charged

for gaming licenses pursuant to the IGRA.

(9.) To adopt a schedule of fees and charges

for services rendered relating to transcripts and the

15
furnishing or certifying of copies of proceedings, files,

and records.

(10.) To issue tribal gaming licenses to

consultants, primary management officials and key

employees pursuant to the IGR~.

(11.) To adopt an annual operating budget and

such operational budgets as it finds appropriate.

(12.) To establish by regulation tribal gaining

licensing criteria.

(13.) To employ and fix the compensation of such

advisors, gaming experts, management agents, and other

expert help and assistance for carrying out its duties

and developing business operations relating to gaming

activities as it deems appropriate.

(14.) To delegate to an individual Council

member, or to the Commissioner or other members of the

Council staff or to Tribal staff such of its functions as

may be necessary to administer this Title efficiently,

subject to limitations set forth within this Title.

(15.) To cooperate with and receive technical

and financial assistance from the United States or the

State for any purposes relating to gaming laws that deal

with matters subject to the jurisdiction of the Council,

and to file reports and hold any hearing for any such

purposes.

(16.) To adopt regulations.

(17.) To conduct background investigations of

all persons who propose to participate in any gaming

activity or operation.

(18.) To provide to the Indian Gaming Commission

and to the State the results of background checks upon

proposed management entities, all owners, directors,

primary management officials and key employees thereof,

and all persons proposed for employment as tribal

employees in any Class III gaming activity or operation

before any such entity or person is employed either by

the Tribe or any licensee.

(19.) To hold hearing as appropriate on issues.

associated with this Title.

(20.) To examine under oath either orally or in

writing any person, agent, officer, or employee of any

16
person subject to the provisions of this Title, or any

other witness with respect to any enforcement action

authorized by this Title.

(21.) To discipline any licensee or other person

participating in any gaming activity or operation by

ordering immediate compliance with this Title or Council

regulations and taking such other action as may be

appropriate including the issuance of an order for

temporary suspension of any license issued under this

Title, whenever Council is notified of circumstances

indicating disqualification.

(22.) To issue an order of temporary closure of

any gaming activity or operation in the event the Council

determines that immediate closure is necessary to protect

assets or activities of the Tribe, pursuant to Council

regulations, or whenever the Council shall receive

information from the Indian Gaming Commission that a

management official or employee of such licensee does not

meet the standards for being licensed provided in the

IGRA.

(23.) To compel obedience to its lawful orders

by proceedings of mandamus or injunction or other proper

proceedings, in the name of the Tribe in the Tribal Court

or any other court having jurisdiction of the parties or

of the subject matter.

(24.) To name an arbitrator in connection with

any arbitration proceeding instituted pursuant to the

Compact.

(25.) To sue and be sued in any court of

competent jurisdiction, subject, however, to the

provisions of this Title including 83101(2).

(26.) To exercise all other authority delegated

to it by law or inherent within the sovereignty of the

Devils Lake Sioux Tribe for the implementation of any

provisions of this Title.

(27.) To effectuate policy associated with

tribal gaming.

(28.) To delegate authority as appropriate to

tribal officers and other instrumentalities of tribal

government.

(29.) To promulgate rules relating to the

issuance, renewal, amendment, suspension and revocation

of gaming licenses and the conduct of such activity upon

17
Devils Lake Sioux lands.

(3O~.) To approve, license, and suspend tribal

licensees as to gaming activities.

(31.) To establish terms and conditions as to

the distribution of lottery tickets associated with the

tribal lottery.

(32.) To appoint key personnel, including Tribal

Games Manager, and Gaining Enforcement Officer.

(33.) To determine appeals from actions of

tribal officers associated with gaming.

(34.) To determine the powers and duties of the

Board in addition to those set forth under this Code.

(35.) To designate areas on the reservation on

which the selling of gaming supplies and equipment may be

purchased and sold by approved suppliers to licensees.

(36.) To investigate and approve suppliers of

gaming supplies and equipment.

84107 General Procedures

The Council, sitting as the Tribal Council, and/or

the General Membership of the Tribal Gaining Commission,

shall, in all cases conduct its proceedings in the

administration of this Title in the manner most conducive

to the proper dispatch of business and to the ends of

justice pursuant to such general rules as it deems

necessary for the orderly regulation of proceedings

before it, including forms of notice and the service

thereof, which as to hearings, shall conform as nearly as

possible to those in use in the Tribal Court.

84108 License Requirements

(l.~) Class I A tribal license shall not be

required for any Class I gaming activity or operation,

provided, however, that each Class I gaining activity or

operation must have written permission of the Tribal

Community in which it is conducted, and such permission

must be on file with the Tribal Secretary before any such

Class I gaining is conducted.

(2.) Class II A separate tribal license shall

be required by organizations conducting Class II Gaming

18
and by every consultant, primary management official and

key employee associated with any ongoing Class II gaming

activity or operation.

(3.) Class III A separate tribal license

shall be required for every consultant, primary

management official and key employee associated with any

Class III gaining activity or operation.

84109 Investigations

The Tribal Gaming Commission, upon complaint or upon

its own initiative and whenever it may deem it necessary

in the performance of its duties or the exercise of its

powers, may investigate and examine the operation and

premises of any person or entity who is subject to the

provisions of this Title. In conducting such

investigation, the Tribal Gaming Commission, or such

officer as may be appointed pursuant to this code, may

proceed either with or without a hearing as it may deem

appropriate, but it shall make no order revoking any

existing license or permit without affording the affected

parties notice and an opportunity for a hearing pursuant

to Council regulations.

84110 Hearings; Examiner

Pursuant to regulations, the Tribal Gaming

Commission or such officers as may be appointed pursuant

to this code may hold such hearings and may be deemed to

be reasonably required in administration of powers and

duties under this Title.

84111 Appointment of Examiner; Power of Examiner

The Council, Tribal Gaming Commission, or the Gaming

Commissioner may appoint any person qualified in the law

or possessing knowledge or expertise in the subject

matter of the hearing to act as examiner for the purpose

of holding any hearing which the Council, the Tribal

Gaming Commission, or any member thereof, or the Gaming

Commissioner, has power or authority to hold. Any such

appointment shall constitute a delegation to such

examiner of powers under this Title with respect to any

such hearing.

84112 Appointment of Agent for Service of Process

The Council appoints the Gaming Commissioner as the

19
official designated as Agent for Service of any official

determination, order, or notice of violation. Service of

such notice should be made upon:

Gaming Commissioner

Devils Lake Sioux Tribal Council

Devils Lake Sioux Tribe

Fort Totten, North Dakota 58335

20
CHAPTER V

AUTHORIZED TRIBAL GAMES AND LIMITS

85101 Authorized Games

The Council may, in its discretion, and subject to

the limitations set forth within the Compact, IGRA and

those contained within this Code, offer to the public

opportunities to participate in the following games of

chance:

(1.) All Class I traditional games;

(2.) Bingo, including traditional bingo, and

video bingo;

(3.) All other Class II gaining;

(4.) Electronic games of chance with video

facsimile displays. Machines featuring coin drop and

payout, and machines featuring printed tabulations shall

both be permitted;

(5.) 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;

(6.) Blackjack;

(7.) Poker; including Pai Gai Poker and

Caribbean Stud Poker;

(8.) Pariniutuel and simulcast betting pursuant

to a separate agreement between the Tribe and the State

of North Dakota as an addendum to the Compact;

(9.) Sports and Calcutta pools on professional

sporting events as defined by North Dakota law, except as

to bet: limits and except that play may be conducted

utilizing electronic projections or reproductions of a

sports pool board;

(10.) Pulltabs or breakopen tickets, subject

to the limitations set forth at Section 3.4 of the Gaming

Compact;

(11.) Raffles;

21
(12.) Keno;

(13.) Punchboards, and jars;

(14.) Paddlewheels;

(15.) Craps;

(16.) Indian dice;

(17.) All games which any other Indian Tribe may

legally conduct, or utilize, on trust lands located

within North Dakota, whether by compact with the State,

or through action by the United States Secretary of

Interior, or determination of any court maintaining

jurisdiction, subject to the requirements of Section 3.3

of the Compact;

(18.) All games of chance and/or skill,

authorized to be conducted by any group or individual

under any circumstances within the State of North Dakota,

subject to good faith negotiation with the State of North

Dakota as to rules of play.

85102 Limits on Wagers

(1.) The Council may establish, and from time

to time alter and/or revise, limits upon wagers by customers within Tribal gaming, or may provide that

betting may proceed with no limits, except that no

monetary limits may be established in excess of those

contained within this Section.

(2.) Maximum wager limits shall not, as to

games specified below, exceed the amounts specified

below:

a. Wagers on blackjack shall not exceed

fifty and no/bC ($50.00) dollars per

individual hand.

b. Wagers on poker shall not exceed ten and

no/100 ($10.00) dollars per individual bet per

round, with a three raise maximum per round

being applicable.

c. Individual bets on paddlewheels shall not

exceed twentyfive and no/bOO ($25.00) dollars

for either a single bet or overall multiple

bets by an individual player per spin of the

wheel.

22
d. Individual bets placed during the play of

craps and Indian dice shall not exceed

twentyfive and no/l00 ($25.00) dollars per

bet.

e. Electronic gaines of chance shall not

process individual bets in excess of five and

no/100 ($5.00) dollars per bet. However, play

may be conducted upon individual machines

which process simultaneously, up to three (3)

bets, each not exceeding five and no/l00

($5.00) Dollars.

(3.) Unless the Council shall set other limits,

gaines may be presented with wagers permitted up to the

maximum amount specified above.

23
CHAPTER VI

GAMING OFFICIALS

86101 Appointment

In order to carry out the purposes of this Code and

to assure the proper operation of gaining by the Devils

Lake Sioux Tribe, the Council shall appoint or arrange

for the appointment by the Tribal Gaming Council or

through a Management Agreement, such gaining officers to

direct the Tribes Gaining operations as are deemed

appropriate.

86102 Gaming Officers to be Appointed

Among the officers to be appointed shall be:

a. Gaming Commissioner

b. General Manager

c. Chief Financial Officer

d. Tribal Inspector

e. Training Manager

f. Chief Legal Officer

g. Promotion Manager

h. Personnel Manager

i. Security Manager

i Chief Engineer

86103 Gaming Commissioner

The Gaining Commissioner shall perform the following

duties:

a. Direct planning and development for the

Tribe of gaming and gaming related activities

and facilities.

b. Oversee implementation of all aspects of

Tribal gaming pursuant to plans approved by

24
Tribal Council.

c. Conduct or supervise the conduct of

negotiations on behalf of the Tribe with

government entities and existing or proposed

significant contractors of the Tribe.

d. Perform the duties of the other officers

listed above, or arrange for the performance

of such duties, prior to the appointment of

such officers, or at such time as a specified

position is vacant.

e. Coordination of all aspects of gaming

with the Tribal Council.

86104 General Manager

The General Manager shall perform the following

duties:

a. General responsibility for overall

operations of the Tribes gaming operations.

b. Oversee operations of gaines offered by

the Tribe.

c. Insure the integrity of all gaining

operations under his or her supervision.

d. Insure that all aspects of operations are

satisfactorily presented in accordance the

Compact, all applicable law, and agreements.

e. Provide for adequate staffing.

f. Provide for adequate promotion and

advertising.

g. Insure adequate planning and development.

h. Supervise purchasing and allocation of

resources.

86105 Chief Financial Officer

The Chief Financial Officer shall perform the

following duties:

a. General responsibility for the accounting

25
and auditing of all receipts, disbursements,

and cash management of the Tribes gaming

operations and associated Enterprises.

b. Provide for proper and adequate financial

records of gaining operations, including

submitting periodic reports to the Board and

appropriate outside audits of gaming

operations to the Board and to the Commission.

86106 Tribal Inspection

The Tribal Inspector shall periodically inspect and

review on behalf of the Tribe all aspects of the Tribes

gaming operations and related Enterprises and advise the

Tribal Gaming Commission and Tribal officials as to

pertinent information. He or she shall work with the

GeneralManager and other gaming officials in addressing

Tribal concerns.

86107 Training Manager

The Training Manager shall implement and carry out

a program of instruction for employees and for job

applicants accepted for employment and to supervise and

instruct such individuals in job related skills and shall

provide opportunity for upward mobility in employment.

86108 Chief Legal Officer

The Chief Legal Officer shall be in charge of and

responsible for addressing legal issues relating to

gaining operations of the Tribe and associated

enterprises.

86109 Promotion Manager

The Promotion Manager shall oversee and direct all

promotion, advertising, marketing, and public relations

activities associated with the Gaming and related

activities of the Tribe.

86110 Personnel Manager

The Personal Manager shall supervise the selection

of gaming and related personnel, other than officers;

shall oversee personnel; develop appropriate personal

26
rules and procedures consistent with personal policies

adopted by the Tribal Council; and maintain an efficient

and satisfied work force.

86111 Security Manager

The Security Manager shall oversee all aspects of

gaming security, building security, and security of

monies and records associated with gaining and related

activities. He or she shall cause to have put in place

such equipment, personnel, and procedures as to

efficiently and effectively promote the security of all

operations subject to this Title.

86112 Chief Engineer

The Chief Engineer shall oversee all aspects of

maintenance and repair, as may be necessary and/or

advisable, of all facilities, equipment and machines

utilized in connection with gaming operations of the

Tribe.

86113 Other Officers

Other gaming officers shall be appointed as

appropriate with duties to be defined. Such appointments

may be as appropriate be made by the Tribal Council; a

Management Agent, should one be engaged; or by an

appropriate gaming officer, including those specified

within this Section.

86114 Gaming Commissioner may be Member of Tribal Council

The Gaming Commissioner may be a member of Tribal

Council. Other gaming officers shall not be a member of

Tribal Council, unless Tribal Council, without dissenting

vote, waives such disqualification.

27
CHAPTER VII

GENERAI~ REGULATIONS -

APPLICABLE TO GAMING

87-101 Odds and Prize Structure

The odds and prize structure of each Class 111 game

shall be prominently displayed throughout every gaming

facility maintained by the Tribe.

87102 No Credit Extended

All gaining shall be conducted on a cash basis.

Except as herein provided, no person shall be extended

credit for gaming by any gaining facility operated within

the Reservation, and no operation shall permit any person

or organization to offer such credit for a fee. This

restriction shall not restrict the right of the Tribe, or

any other person or entity authorized by the Tribe, to

offer check cashing, or to install or accept bank card,

or credit card or automatic teller machine transactions,

in the same manner as would be normally permitted at any

retail business within the State.

87103 Age Restrictions

(1.) No person under the age of 18 may purchase

a ticket, make a wager, or otherwise participate in any

Class III game; provided that this prohibition shall not

prohibit a person 18 years old or older from giving a

ticket or share to a person under the age of 18 as a

gift.

(2.) No person under the age of 18 shall be

permitted on the premises where any component of Class

III gaming is conducted unless accompanied by a parent,

guardian, spouse, grandparent, or greatgrandparent over

the age of 18, sibling over the age of 18, or other

person over the age of 18 with the permission of the

minorfs parent or guardian; provided that this subsection

shall not apply to locations at which sale of tickets is

the only component of Class III gaming.

(3.) No person under the age of 16 shall

participate in Bingo or other Class II games; provided

that this prohibition shall not prohibit a person 16

years old or older from giving a ticket or share to a

person under the age of 16 as a gift.

28
87104 Player Disputes

The Tribal Gaming Commission shall prepare and

publish procedures for impartial resolution of a player

dispute concerning the conduct of a game which shall be

made available to customers upon request.

87105 Prohibition Against Intoxication

No person shall be permitted to enter the premises

where gaming activities or operations are being

conducted, or participate in any gaming activity or

operation, while such person is, or reasonably appears to

be, under the influence of any intoxicating liquor or

drugs.

87106 Regulations to be Posted

The Tribal Gaming Commission shall post rules and

regulations relating to the conduct of gaming activities

as it deems necessary, in conspicuous locations

associated with gaming activity.

87107 Exclusion

The Tribal Gaming Commission, and/or such Agents as

it invests authority hereunder, may exclude from

participation in any gaming activities of the Tribe, such

individuals as may be found to have engaged in or

attempted to engage in cheating, or found to have

violated Tribal gaming rules and regulations associated

with the Tribes gaming activities. Exclusion shall be

for such period as is deemed appropriate. Exclusion may

be indefinite or for a stated period of time conditioned

upon future activity by the excluded individual to have

such exclusion terminated. The Tribal Gaming Commission

shall provide an opportunity for an impartial decision

maker to determine the propriety of, and revoke, modify

or reaffirm, any exclusion, should an individual

administratively excluded choose to challenge such

action.

87108 Equal Opportunity to Win by Each Player

Each gaming activity or operation must be conducted

so that each of multiple players has an equal opportunity

to win.

29
87109 Determination of Winners

All, winners shall be determined and all prizes

awarded within such reasonable time as may be provided by

the Tribal Gaining Commission.

30
CHAPTER VIII

ACCOUNTING, AUDIT AND RECORD KEEPING

88101 Accounting and Audit Procedures

(1.) Accounting Standards The Council shall

cause to be implemented, accounting standards which meet

or exceed those standards established in the IGRA.

(2.) Systems All accounting records shall be

kept in a manner consistent with accepted accounting

standards utilizing a double entry system of accounting,

maintaining detailed, supporting, subsidiary records.

(3.) Audits The Council shall conduct or

cause to be conducted independent audits of every Class

II and Class III gaming activity or operation. Audits

will be conducted at least annually with copies of all

Class II and III annual audits being furnished by the

Tribe to the National Indian Gaming Commission, and

copies of all Class III annual audits being furnished to

the State of North Dakota at no charge.

(4.) Supplies, Services and Concessions Audits

Every contract for supplies, services or concessions in

excess of twentyfive thousand and no/100 ($25,000.00)

dollars annually (except contracts for professional legal

or accounting services) relating to any tribally licensed

gaming activity or operations shall be subject to an

annual audit.

(5.) Accounting Records and Audits Concerning

Class III Gaming by Tribe The Council shall provide a

copy to the State and/or the National Indian Gaming

Commission of any independent audit report upon written

request of the State. Any costs incidental to providing

copies to the State will be borne by the Tribe.

88102 Tribal Record Keeping

(1.) Record Maintenance The following

records related to Tribal gaining operations shall be

maintained for at least three (3) years.

a. Revenues, expenses, assets, liabilities

and equity for each location at which any

component of Class II and/or Class III gaining

is conducted.

31
b. Daily cash transactions for each game at

each location at which Class II and/or Class

III gaming is conducted including but not

limited to transactions relating to each

gaming table bank, game drop box and gaming

room bank.

c. Individual and statistical game records

to reflect statistical drop, statistical win,

the statistical drop by table for each game,

and the individual and statistical game

records reflecting similar information for all

other games.

d. Records of all tribal enforcement

activities.

e. All audits prepared by or on behalf of

the Tribe.

f. All returned checks which remain

uncollected, hold checks or other similar

credit instruments.

g. Personnel information on all gaming

employees or agents, including rotation

sheets, hours worked, employee profiles and

background checks.

88103 Access to Records

(1.) National Indian Gaming Commission T h e

Tribe shall permit reasonable access to review by the

National Indian Gaming Commission of Tribal accounting

and audit records associated with Class II and Class III

gaming conducted by the Tribe.

(2.) State of North Dakota The Tribe shall

permit reasonable access to and review by the State of

Tribal account and audit records associated with Class

III gaming under the Compact. The State may copy such

documents as it desires subject to the confidentiality

provisions set forth herein below. Any costs incidental

to such an inspection by the State shall be covered from

the Escrow Account for State Expenses.

(3.) Confidentiality The Tribe requires

that its gaming records be confidential. Any Tribal

records or documents submitted to the State, or of which

the State has retained copies in the course of its gaming

oversight and enforcement, will not be disclosed to any

32
member of the public except as needed in a judicial

proceeding to interpret or enforce the terms of this

Compact, or except as may be required for law enforcement

or tax assessment purposes. Such disclosure, however,

shall be conditional upon the recipient making no further

disclosure absent authorization by the Tribe or under

Court Order. This Compact is provided for by Federal law

and therefore supersedes State records law to the

contrary.

88104 Tax Reporting Matters

(1.) United States Internal Revenue Service

Form The Tribal Gaming Commission, on behalf of the

Tribe, shall, pursuant to federal law, issue Internal

Revenue Service Form W2G to the United States Internal

Revenue Service, when required. The Tribe shall

simultaneously therewith provide a copy of the same to

the State.

(2.) Employee Income Withholding The Tribal

Gaming Commission, on behalf of the Tribe, shall comply

with employee income withholding requirements for all

nonIndian employees and all Indian employees not living

on the Devils Lake Sioux Reservation.

33
CHAPTER IX

BINGO

89101 Sale of Bingo Cards

(1.) Bingo cards shall be sold or rented

without disclosing the face of the card to either the

purchaser or seller. Bingo cards shall be printed only

on one side.

(2.) An accurate, separate count of the number

of regular bingo cards, extra regular bingo cards,

special bingo cards and video bingo games, which are

sold, rented or used. Such information shall be

available for inspection at the close of the bingo

occasion.

(3.) Regular bingo cards, extra regular cards

and special bingo cards and video bingo cards shall each

be assigned a specific price, and the price shall remain

the same during a bingo occasion. At any time during a

bingo occasion, a card may be changed between gaines at no

additional cost. Cards shall be sold or rented only on

the premises at which bingo is being conducted. A price

list shall be posted where the regular bingo cards are

distributed, setting for the price of each type of card.

Only the posted price may be charged. The regular bingo

cards and the extra regular cards shall be readily

distinguishable from each other.

89102 Method of Play

(1.) The method of play in any bingo game and

the utilization of bingo equipment and supplies shall be

such that each player is afforded an equal opportunity to

win.

(2.) The object to be drawn shall be

essentially the same in all characteristics, so that at

all times during the conduct of bingo, each object

possesses the capacity for equal agitation with any other

object within the receptacle.

(3.) The announcement of all numbers drawn

shall be clearly audible to the players present and a

visible display of all numbers called shall be presented.

(4.) When more than one room is used for any

one bingo game, the receptacle and the caller and any

34
assistant shall be in the room where the greater number

of players are present; and all numbers shall be

announced in a manner clearly audible to the players in

each room.

(5.) Once removed, no object shall be returned

to the receptacle until after the conclusion of the game.

(6.) The particular arrangement of numbers

required to be covered in order to win and the amount of

the prize for each game shall be clearly described and

audibly announced to the players immediately before each

game. The amount of the prize for each bingo game also

shall be posted where the regular bingo cards are

distributed.

89103 Verification of Winners

(1.) The numbers appearing on the winning card

at the time a winner is determined shall be verified in

the immediate presence of at least one disinterested

player.

(2.) At the time a winner is determined, any

player may call for a verification of all numbers and of

the objects remaining in the receptacle and not yet

drawn. This verification shall be made in the immediate

presence of the supervising members and at least one

disinterested player.

89104 Award of Prizes

(1.) Each Bingo winner shall be determined and

every prize awarded after each game.

(2.) When more than one winner is found to be

a winner on the call of the same number in the same bingo

game, a cash prize shall be divided equally, to the

nearest nickel, among the winners, except that any

licensed organization may elect to set a minimum prize of

not exceeding $5.00 for each winner. When equal division

of a merchandise prize is not possible, identical

substitute prizes whose aggregate retail value is

approximately equal to that of the designated prize may

be awarded or a cash prize equal to the retail value may

be divided to the nearest nickel.

35
89105 Personnel

(1.) No person who is conducting or assisting

in the conduct of bingo on a bingo occasion shall

participate as a player in any game within said bingo

occasion.

(2.) All persons conducting or assisting in the

conduct of bingo shall conform to such policies and

procedures as ~nay be adopted by the Board.

89106 Operation as Part of Network

Bingo may be conducted as part of a network

consisting of other sites and operators and common prizes

only upon approval of the Tribal Gaming Commission or

pursuant to a Management Agreement entered into by the

Tribe.

89107 Participation in Tribal Bingo Events

The Tribal Gaining Commission shall pursuant to

such criteria as it establishes, provide opportunities

for Tribal and/or charitable organizations to participate

in the conduct and presentation of Tribal Bingo during

selected Bingo events and to share in the distribution of

Net Proceeds of Bingo.

36
CHAPTER X

PULLTABS

810101 Conduct and Licensing

The Tribal Gaming Commission may conduct or license

the conduct of pulltabs or breakopen tickets subject to

the limitations set forth below.

810102 Standards and Limitations

Pulltabs and/or breakopen tickets shall be

conducted in accordance with standards and limitations

then currently established under North Dakota State Law

for the conduct of similar gaines, within the State of

North Dakota.

810103 To be Dispensed by Machine

Pulltabs shall be dispensed only by machines which

incorporate devices to tabulate machine activity.

810104 Participation by Tribal and Charitable Organizations

The Tribal Gaming Commission may, pursuant to such

criteria as it establishes, provide opportunities for

Tribal and/or charitable organizations to participate in

the sale and distribution of pulltabs in association

with Bingo events and to share in the distribution of Net

Proceeds.

37
CHAPTER XI

ELECTRONIC GAMES OF CHANCE

REGULATORY AND TECHNICAL STANDARDS

811101 Hardware Requirements for Electronic Games of Chance

(1.) Physical Hazard Electrical and

mechaniâal parts and design principles of the electronic

games of chance may not suI~ject a player to physical

hazards.

(2.) surge Protector A surge protector must

be installed on the line that feeds power to the

electronic game of chance.

(3.) Battery Backup A battery backup or an

equivalent shall be installed on the electronic game of

chance for the electronic meters and must be capable of

maintaining the accuracy of all information required by

the Compact for one hundred eighty (180) days after power

is discontinued from the machine. The backup device

shall be kept within the locked microprocessor

compartment.

(4.) On/Off Switch An on/off switch that

controls the electrical current used in the operation of

a electronic game of chance and any associated equipment

must be located in a place which is readily accessible

within the interior of the machine.

(5.) Static Discharge The operation of each

electronic game of chance must not be adversely affected

by static discharge or other electromagnetic

interference.

(6.) Approved Coin and Bill Acceptors At

least one electronic coin acceptor must be installed in

or on each electronic game of chance. The devices may

also contain bill acceptors for denominations determined

by the Tribe. Prior to operation, all models of coin and

bill acceptors installed must have been tested and

approved in writing by a Qualified Gaming Test

Laboratory.

(7.) Electronic Game Management/Reporting

System

a. The electronic game of chance shall have

an electronic computer system, approved by the

Qualified Gaming Test Laboratory, that shall

record and maintain essential information

38
associated with machine play and error

conditions. This information must be retained

for a minimum of thirty (30) days.

b. Electronic games of chance utilizing coin

drop hoppers are permitted, provided they are

monitored by an online electronic game

management/reporting system which has been

approved by the Qualified Gaining Test

Laboratory. However, should the Tribe

maintain individual machines or clusters of

machines apart from a major casino location,

all coin hoppers shall be computer monitored

with data from such machines being downloaded

into the central online electronic game

management/reporting system at least daily.

c. The term error conditions as used in

this subdivision includes:

(i) Cabinet door open and cash

compartment door open.

(ii) Coinin tilt and reverse coinin

tilt.

(iii) Hopper empty, hopper jam, or hopper

runaway/malfunction.

(8.) Cabinet Security The cabinet or interior

area of the electronic game of chance shall be locked and

not readily accessible.

(9.) Repairs and Service An authorized agent or

employee of the Tribe may open the gaming cabinet to effect

repairs and service, but shall do so only in the presence

of another Tribal agent or employee.

(10.) Microprocessor Compartment The compartment

containing the microprocessorcontrolled device within the

cabinet of the electronic game of chance must be locked and

sealed, and unlocked by a different key than the key which

unlocks the cabinet or cash compartment. The compartment

may only be opened in the presence of a tribal official or

a security officer appointed by the Tribe. The key to the

microprocessor compartment shall be kept by the Tribe in a

secure place.

(11.) Secure Electronic Components

a. Logic Boards and software Erasable

Programmable Read Only Memory (EPROM) chips and

other logic control components shall be located

in a separate compartment within the electronic

39
game of chance and that compartment shall be

sealed and locked with a different key or

combination than that used for the main cabinet

door, and cash compartment.

b. Upon installation, the Tribe shall affix or

cause to be affixed to the EPROM chip of each

electronic game of chance a strip of security

tape, capable of evidencing the removal of the

EPROM chip if the EPROM chip is removed from the

circuit board. The security tape shall be

secured and available only to the authorized

personnel of the Tribe. The Tribe shall

maintain accurate and complete records of the

identification number of each EPROM chip

installed in each electronic game of chance.

(12.) Secure Cash Compartment The coins and

currency compartment shall be locked separately from the

main cabinet area, and secured with a different key or

combination than used for the main cabinet door, except

that a separate cash compartment shall not be required for

coins necessary to pay prizes in a machine which pays

prizes through a drop hopper as permitted in this section.

Cash compartment keys must be kept in a secure location.

Except as provided in this section, the compartment in

which the inserted coins and bills are deposited shall be

locked at all times. An employee or official of the Tribe

may open the cash compartment in the gaming cabinet for the

purpose of collecting the accumulated cash. The person

collecting the accumulated cash shall record the amount

collected.

(13.) Hardware Switches Prohibited No hardware

switches may be installed on an electronic game of chance

or on any associated equipment which may alter the pay

tables or payout percentages in the operation of the gaming

device. Hardware switches may be installed to control the

machines sound.

(14.) Printing of Written Statement of Credits

Each electronic game of chance which awards credits or

replays but not coins or tokens shall allow the player to

request a written statement upon completing play. Upon

printing a written statement, the printer must retain an

exact, legible copy of the written statement within the

machine.

(15.) Operation of Part of a Network The

hardware requirements of this subsection shall not be

construed to prevent the operation of the electronic game

of chance as part of a network with an aggregate prize or

40
prizes; provided:

a. An electronic game of chance capable of bi

directional communication with external

associated equipment must utilize communication

protocol which insures that erroneous data or

signals will not adversely affect the operation

of the game. The operation of the local network

must be approved by the Qualified Gaming Test

Laboratory; and

b. Where the network links the Tribes

electronic games of chance to tribal games of

chance on other Indian reservations, each Tribe

participating in the network shall have in force

a Class III gaining compact authorizing such

gaining as part of a network and all segments of

the network shall utilize security standards

agreed between the Tribe and the Executive

Director of the State which are at least as

restrictive as those used by the State for its

online games.

811102 Software Requirements for Video Games of Chance

(1.) Randomness Testing Each electronic game of

chance must have a true random number generator that will

determine the occurrence of a specific card, symbol,

number, or stop opposition to be displayed on the

electronic screen or by the mechanical rotating reels. A

selection process will be considered random if it meets all

of the following requirements:

a. ChiSquare Analysis Each card, symbol,

number, or stop position which is wholly or

partially determinative satisfies the 99 percent

confidence limit using the standard chisquare

analysis.

b. Runs Test Each card, symbol, number, or

stop position does not as a significant

statistic produce predictable patterns of game

elements or occurrences. Each card, symbol,

number, or stop position will be considered

random if it meets the 99 percent confidence

level with regard to the runs test or any

generally accepted pattern testing statistic.

c. Correlation Analysis Each card, symbol,

number, or stop position is independently chosen

without regard to any other card, symbol, number

41
or stop position, drawn within that game play.

Each pair of card, symbol, number, or stop

position is considered random if they meet the

99 percent confidence level using standard

correlation analysis.

d. Serial Correlation Analysis Each card,

symbol, number, or stop position is

independently chosen without reference to the

same card, number, or stop position in the

previous game. Each card, number, or stop

position is considered random if it meets the 99

percent confidence level using standard serial

correlation analysis.

e. Live Game Correlation Video games of

chance that are representative of live gambling

games must fairly and accurately depict the play

of the live game.

(2.) Percentage Payout Each electronic game of

chance must meet the following maximum and minimum

theoretical percentage payout during the expected lifetime

of the game:

a. Video games that are not affected by player

skill shall pay out a minimum of eighty (80%)

percent and no more than one hundred (100%)

percent of the amount wagered. The theoretical

payout percentage will be determined using

standard methods of probability theory;

b. Video games that are affected by player

skill, such as electronic draw poker and

blackjack, shall pay out a minimum of eighty

three (83%) percent and no more than one hundred

(100%) percent of the amount wagered. This

standard is met when using a method of play that

will provide the greatest return to the player

over a period of continuous play.

(3.) Minimum Probability Standard for Maximum

Payout Each electronic game of chance must have a

probability of obtaining the maximum payout which is

greater than 1 in 17,000,000 for each play.

(4.,) Continuation of Game After Malfunction

Each game must be capable of continuing the current game

with all current game features after a game malfunction is

cleared. This provision does not apply if a game is

rendered totally inoperable; however, the current wager and

all player credits prior to the malfunction must be

42
returned to the player.

(5.) Play Transaction Records Each game must

maintain a electronic, electromechanical, or computer

system, approved by the Qualified Gaining Test Laboratory,

that shall record and maintain essential information

associated with machine play. This information must be for

a minimum of thirty (30) days, regardless of whether the

machine is being supplied with power.

(6.) No Automatic Clearing of Accounting Meters

No game may have a mechanism by which an error will cause

the electronic accounting meters to automatically clear.

All meter readings must be recorded and dated in the

presence of a tribal official both before and after the

electronic accounting meter is cleared.

(7.) Display of Information The display

information required shall be kept under glass or another

transparent substance and at no time may stickers or other

removable devices be placed on the machine face.

(8.) Rules Display The machine shall display:

a. The rules of the game prior to each game

being played;

b. The maximum and minimum wagers, the amount

of credits which may be won for each winning

hand or combination of numbers or symbols; and

c. The credits the player has accumulated.

Provided, however, in the case of an electronic

game of chance with a mechanical display, the

information required shall be permanently

affixed on the game in a location which is

conspicuous to the player during play.

811103 Transitional Provision

Electronic, electromechanical, and mechanical games

of chance in play prior to the execution of this Compact

must be tested and approved by a Qualified Gaming Test

Laboratory and reported to the Tribe and the State within

one hundred twenty (120) days of the approval of this

Compact by the United States Secretary of Interior.

Notwithstanding the foregoing, if these games cannot comply

with the technical standards of this Compact within the one

hundred twenty (120) day period due to circumstances beyond

the control of the Tribe, these games shall be brought into

compliance or replaced with complying equipment at the

43
earliest date possible, but in no instance later than two

hundred seventy (270) days after the Tribes execution of

the Compact. New complying machines introduced after one

hundred twenty (120) days of the approval of the compact by

the United States Secretary of Interior shall be regarded

as replacements for existing noncomplying machines, if

any, and the noncomplying machines shall be withdrawn from

play in equal number until all such noncomplying machines

are withdrawn.

811104 Amendments to Regulatory and Technical Standards for

Electronic Games of Chance

There is a likelihood that technological advances or

other changes will occur during the duration of the Compact

that may make it necessary or desirable that the regulatory

and technical standards set forth therein and within this

Code for electronic gaines of chance be modified to take

advantage of such advances or other changes in order to

maintain or improve game security and integrity.

Therefore, it was agreed that any of the regulatory or

technical standards set forth in Sections 20.6 and 20.7 of

the Gaming Compact may be modified for the purposes of

maintaining or improving game security and integrity by

mutual agreement of the North Dakota Attorney General and

the Devils Lake Tribal Council upon the written

recommendation and explanation of the need for such change

made by either party. Should such modification of the

Compact take place, this Code shall be regarded as being

similarly modified.

44
CHAPTER XII

ELECTRONIC GAMES OF CHANCE

REPORTING AND TESTING

812101 Machine Reporting and Display

(1.) Reporting System Electronic games of

chance, at all locations shall have an interconnected one

way reporting system applicable to data collection, and/or

provide for daily downloading of data from machines at

remote locations. The reporting system shall provide as to

each machine, periodic analytic reports, that record coins

in and coins out, calculate actual hold, and compare actual

hold to theoretical hold percentages.

(2.), Record Keeping The reporting system

reports shall be prepared at a minimum on a monthly basis,

and held by the Tribe for a minimum of three (3) years.

The reports shall be subject to inspection by an agent of

the State pursuant to Section 15.1 of the Compact and by

the National Indian Gaming Commission pursuant to IGRA.

(3.) Display Game play may be displayed by:

a. Video Facsimile; or

b. 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.

812102 Conformity to Technical Standards and Identification

(1.) Conformity to Technical Standards The

Tribe shall require the manufacturer or distributor to

certify, in writing, to the Tribe and the State that, upon

installation, each electronic game of chance placed in a

Tribal gaming facility:

a. Conforms precisely to the exact

specifications of the electronic game of chance

prototype tested and approved by the Qualified

Gaming Test Laboratory; and

b. Operates and plays in accordance with the

technical standards prescribed in this section.

(2.) Machine Identification A nonremovable

plate shall be affixed to each electronic game of chance.

45
This plate shall have written upon it the machines serial

number, manufacturer, and a unique identification number

assigned by the Tribe, and the date the unique

identification number was assigned.

812103 Testing

(1.) Testing and Approval of Electronic Gaines of

Chance No electronic gaines of chance may be operated by

the Tribe unless the electronic game of chance, or a

prototype thereof, has been tested, approved or certified

by a Qualified Gaming Test Laboratory as meeting the

requirements and standards of this Compact. For purposes

of this Compact, a Qualified Gaming Test Laboratory is a

laboratory:

a. Agreed to and designated in writing by the

State and the Tribe as competent and qualified to conduct scientific tests and evaluations of

electronic games of chance and related

equipment; or

b. A laboratory operated by or under contract

with any State of the United States to conduct

scientific tests and evaluations of electronic

games of chance and related equipment.

(2.) Application for Approval of Prototype Video

Games of Chance The Tribe shall provide or require that

the manufacturer provide to the Qualified Gaining Test

Laboratory two copies of electronic game of chance

illustrations, schematics, block diagrams, circuit

analyses, technical and operation manuals, program object

and source codes, hexadecimal dumps (the compiled computer

program represented in base16 format), and any other

information requested by the Qualified Gaming Test

Laboratory.

(3.) Testing of Video Games of Chance If

required by the Qualified Gaming Test Laboratory, the Tribe

shall require the manufacturer to transport not more than

two working models of the electronic games of chance and

related equipment to a location designated by the

laboratory for testing, examination, and analysis. The

Tribe shall require the manufacturer to pay for any and all

costs for the transportation, testing, examination, and

analysis. The testing, examination, and analysis may

include the entire dismantling of the electronic games of

chance and related equipment and some tests may result in

damage or destruction to one or more electronic components

of the devices. If required by the laboratory, the Tribe

46
shall require the manufacturer to provide specialized

equipment or the services of an independent technical

expert to assist the testing, examination, and analysis.

(4.) Report of Test Results At the conclusion

of each test, the Qualified Gaming Test Laboratory shall

provide to the State and the Tribe a report that contains

findings, conclusions, and a determination that the

electronic game of chance and related equipment conforms or

fails to conform to the hardware and software requirements

of the Compact. If modifications can be made which would

bring the electronic game of chance or related equipment

into compliance, the report may contain recommendations for

such modifications.

(5.) Modifications of Approved Electronic Games

of Chance No modification to the assembly or operational

functions of any electronic game of chance or related

equipment may be made after testing and installation,

unless a Qualified Gaming Test Laboratory certifies to the

Tribe that the modified electronic game of chance conforms

to the standards of the Compact.

812104 Tribal Reports to State

(1.) Installation and Operation At least forty

eight (48) hours prior to installation of an electronic

game of chance, the Tribe shall report to the State the

following information for each electronic game of chance,

including, but not limited to:

a. The type of electronic game of chance;

b. The games serial number;

c. The games manufacturer;

d. The person from whom the game was acquired;

the means by which the game was transported into

the State and the name and street address of any

common carrier or other person transporting the

game;

e. The certification required;

f. The unique identification number assigned

by the Tribe;

g. The EPROM chips identification number;

47
h. The location in which the game will be

placed; and

i. The date of installation.

(2.) Removal from Play Upon removal of an

electronic game of chance from a tribal gaining facility,

the Tribe shall provide to the State specification of:

a. The date on which it was removed;

b. The games destination; and

c. The name of the person to whom the

equipment is to be transferred, including the

persons street address, business and home

telephone numbers; the means by which the game

is to be transported and the name and street

address of any common carrier or other person

transporting the game.

(3.) Transitional Provision as to Existing Games

The Tribe shall provide, within thirty (30) days after the

Compact becomes binding on the Tribe and the State, a

listing of all electronic, electromechanical, and

mechanical games installed, in service, or operated by the

Tribe on or before the date of execution of the Compact

which are to remain in service following the execution of

this Compact. The listing shall include as to each

machine:

a. The type of electronic game of chance;

b. The games serial number;

c. The games manufacturer;

d. The person from whom the game was acquired;

e. The EPROM chips identification number; and

f. The games location.

48
CHAPTER XIII

OTHER GAMES

813101 Rules of Play

(1.) Blackjack, Poker, and Keno Blackjack,

poker, and keno, including variations thereof, shall be

played under procedures adopted by the Tribal Gaming

Commission in accordance with commonly recognized rules of

play for such gaines, including those applicable to

variations thereof.

(2.) Craps and Indian Dice Craps and Indian

dice, including variations thereof, shall be played under

procedures adopted by the Tribal Gaining Commission in

accordance with commonly recognized rules of play for such

gaines, including those applicable to variations thereof.

Each game shall be attended by at least a three person team

and overseen by at least one other nonparticipant

supervisor who may oversee more than one game.

(3.) Paddlewheels Paddlewheels shall be played

under procedures accepted by the Tribal Gaming Commission,

in accordance with Chapter 990115 of North Dakota Games

of Chance Administrative Rules, in effect as of the

effective date of the Compact and/or effective following

any amendments thereto. Bet limits, fees to the State, and

reports to the State set forth within North Dakota

Administrative Rules shall not be applicable.

(4.) Sports and Calcutta Pools Sports and

Calcutta Pools on professional sporting events shall be

conducted under procedures adopted by the Tribal Gaming

Commission in accordance with Chapter 10.04.109 of North

Dakota Games of Chance Administrative Rules, in effect as

of the effective date of the Compact, and/or effective

following any amendments thereto. Bet limits, fees to the

State, and reports to the State set forth within North

Dakota Administrative Rules shall not be applicable.

Further, play may be conducted utilizing electronic

projections or reproductions of a sports pool board.

(5.) Raffles Raffles shall be conducted under

procedures adopted by the Tribal Gaining Commission in

accordance with 10.04.107 of North Dakota Games of Chance

Administrative Rules, in effect as of the effective date of

the Compact and/or effective following any amendments

thereto. Prize limits, fees to the State, and reports to

the state, set forth within North Dakota Administrative

Rules, shall not be applicable.

49
(6.) Punchboards and Jars Punchboards and

jars shall be played under rules adopted by the Tribal

Gaming Commission in accordance with Chapter 10.04.1.08 of

North Dakota Games of Chance Administrative Rules in effect

as of the effective date of the Compact, and/or effective

following any amendments thereto. Prize limits, fees to

the State and reports to the State set forth within North

Dakota Administrative Rules, shall not be applicable.

(7.) Parimutuel and Simulcast Betting

Parimutuel and simulcast betting shall be conducted

pursuant to specifications set forth within such addendum

to the Compact as may be executed on behalf of the Tribe

and on behalf of the State of North Dakota.

813102 Regulations of Play

(1.) Gaming Table Bank A gaming table bank

shall be maintained at each table, or gaming location,

which shall be used exclusively for the making of change or

handling player buyins.

(2.) Drop Box A game drop box shall be

maintained at each table, or gaming location, , which shall

be used exclusively for rakeoffs or other compensation

received by the Tribe for maintaining the game. A separate

game drop box shall be used for each shift.

(3.) Gaming Room Bank A gaming room bank shall

be maintained at each gaming location, at which table games

are placed, which shall be used exclusively for the

maintenance of gaming table banks and the purchase and

redemption of chips by players.

(4.) Rules to be Posted The rules of each game

shall be posted and be clearly legible from each table, or

gaming location, and shall designate:

a. The maximum rakeoff percentage, time buy

in or other fee charged.

b. The number of raises allowed, if

applicable.

c. The monetary limit of each raise, if

applicable.

d. The range of any ante or fee.

e. Other rules as may be necessary.

50
CHAPTER XIV

PERSONNEL

814101 Prohibitions in Hiring Employment and Contracting

No person or entity shall be hired or employed, and no

contract relating to Class 111 gaining, shall be entered

into on behalf of the Tribe which includes the provision of

services by any person who:

a. Is under the age of 18.

b. Has, within the inunediate preceding ten

(10) years, been convicted of, entered a plea of

guilty or no contest to, or has been released

from parole, probation or incarceration,

whichever is later in time for any felony, any

gambling related offense, any fraud or

misrepresentation offense; unless:

(1) the person is a member of the Tribe

and the Tribal Gaining Commission has made a

determination that the person has been

sufficiently rehabilitated, or

(ii) the State, through determination by

the appropriate official or Agency, has

determined that the person has been

sufficiently rehabilitated, or

(iii) the Tribe disagrees with a

determination by the State that an

individual has been rehabilitated, and

prevails as to such upon dispute

resolution.

c. Is determined to have poor moral character

or to have participated in organized crime or

unlawful gambling, or whose prior activities,

criminal record, reputation, habits, and/or

associations pose a threat to the public

interest or to the effective regulation and

control of gaining, or create or enhance the

dangers of activities in the conduct of gaming

or as to the business and financial arrangements

incidental to the conduct of gaming; unless:

(i) the person is a member of the Tribe

and the Tribe has made a determination that

the person has been sufficiently

rehabilitated, or

51
(ii) the State, through determination by

the appropriate official or Agency, has

determined that the person has been

sufficiently rehabilitated, or

(iii) the Tribe disagrees with a

determination by the State that an

individual has been rehabilitated and

prevails as to such upon dispute

resolution.

814102 Conditions of Employment

(1.) Procedural Manual The Tribal Gaming

Commission shall publish and maintain a procedural manual

for all personnel, which includes disciplinary standards

for breach of the procedures.

(2.) Limitation of Participation in Games by

Employees The Tribe may not employ or pay any person to

participate in any game, (including, but not limited to,

any shill or proposition player); except that an employee

may participate, as necessary, to conduct a game as a

dealer or bank.

(3.) Employee Disgualifications No employee of

any gaming activity or operation of the Tribe shall be

permitted to participate in any game wherein the conduct of

such game has a direct relationship to the employment

duties of the employee. An employee may participate in

other gaming activities only upon payment of the normal fee

incident thereto and only when not on duty and only if not

in uniform or wearing a badge or any other distinctive

attire or markings identifying the individual as an

employee.

52
CHAPTER XV

TRIBAL LICENSING

815101 License Required

All personnel employed or contractors engaged by the

Tribe, and/or by any Management Agent under contract with

the Tribe, whose responsibilities include the operation or

management of Class III gains of chance, shall be licensed

by the Tribal Gaming Commission. All personnel employed or

contractors engaged by the Tribe and/or by any Management

Agent under contract with the Tribe, other and apart from

the Members of the Tribe, whose responsibilities include

the operation or management of Class II Class III games of

chance, shall conform to such requirements as are required

by Federal law and/or regulation. All personnel employed

or contractors engaged by the Tribe and/or by any

Management Agent under contract with the Tribe, other and

apart from the Members of the Tribe, whose responsibilities

include the operation or management of Class II Class III

games of chance, shall conform to such requirements as are

applied by the State of North Dakota for state licensure.

815102 Tribal License

The Tribal Gaming Commission shall ensure that the

policies and procedures set out in this section are

implemented with respect to key employees and primary

management officials employed at any Class II or Class III

gaming enterprise operated upon trust lands of Tribe.

1. Definitions

(a.) Key Employee means:

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

following functions:

(1) 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

(10) Custodian of gambling devices

including person with access to cash

53
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 gaining

operation.

(b.) Primary Management Official means:

(a) The person having management responsibility

for a management contract;

(b) Any person who has authority:

(1) to hire and fire employees; or

(2) to set up working policy for the

gaming operation; or

(C) The chief financial officer or other person

who has financial management responsibility.

815103 ~pp1ication for License

1. Every person seeking a license from the Council shall

file an application which shall contain:

a. The name of the applicant and all pertinent

information required by Council regulations.

b. A release authorizing the Council to

conduct a background investigation of the

applicant.

2. The following notice shall be placed on the

application form for a key employee or a primary management

official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation of

the information on this form is authorized by 25

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

information is to determine the eligibility of

individuals to be employed in a gaming operation. The

information will be used by National Indian Gaming

Commission members and staff who have need for the

information in the performance of their official

54
duties. The information may be disclosed to

appropriate Federal, Tribal, State, local, or foreign

law enforcement and regulatory agencies when relevant

to civil, criminal or regulatory investigations or

prosecutions or when pursuant to a requirement by the

Tribal Gaming Commission or the National Indian Gaming

Commission in connection with the hiring or firing of

an employee, the issuance or revocation of a gaining

license, or investigations of activities while

associated with a tribe or a gaming operation.

Failure to consent to the disclosures indicated mt

his 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.

3. Existing key employees and primary management

officials shall be notified in writing that they shall

either:

a. Complete a new application form that contains a

Privacy Act notice; or

b. Sign a statement that contains the Privacy Act

notice and consent to the routine uses described

in that notice.

4. The following notice shall be placed on the

application form for a key employee or a primary official

before that form is filled out by an applicant:

11A false statement on any part of your

application may be grounds for not hiring you, or for

firing you after you begin work. Also, you may be

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

18, section 1001.)

5. The Tribal Gaming Commission shall notify in writing

existing key employees and primary management officials

that they shall either:

a. Complete a new application form that contains a

notice regarding false statements; or

b. Sign a statement that contains the notice

regarding false statements.

815104 Form and Display of License

Every license issued by the Tribal Gaming Commission

shall contain the following data:

55
a. The name and address of the authorized

licensee.

b. A recital that the licensee is authorized

to be employed as a consultant, or as a primary

management official or key employee of any

gaming enterprise.

c. The signature of the Commissioner.

815105 Display of License

The license of each primary management official, or

key employee of any gaining enterprise operated under this

Code, shall be posted in at a location to which the public

has access on the premises of associated gaining activity.

815106 Background Investigations Generally

(1.) Information Gathering The Tribal Gaming

Commission, prior to hiring a prospective employee or

engaging a contractor whose responsibilities include the

operation or management of Class II or Class III gaming

activities, shall obtain sufficient information and

identification from the applicant to permit the conduct of

a background investigation.

(2.) Authorization of Background Investigation

Any person who applies for a tribal license shall first

submit an application to the Tribal Gaming Commission which

includes a written release by the applicant authorizing the

Tribal Gaming Commission to conduct a background

investigation of the applicant which shall be accompanied

by an appropriate fee for such investigation as determined

by the Tribal Gaming Commission.

(3.) Background Investigation by the Tribal

Gaming Commission Upon receipt of the application and

fee, an investigation shall be commenced under such

procedures as the Tribal Gaming Commission finds

appropriate to implement. The Tribal Gaming Commission

shall utilize the North Dakota Bureau of Criminal

Investigations (BCI) and/or the services of the Federal

Bureau of Investigation (FBI) through the National Indian

Gaming Commission to assist in background investigations as

to those seeking licensing in connection with Class II and

Class III gaming activity. The Tribal Gaming Commission

shall utilize any resource the Tribal Gaming Commission

determines appropriate as to Class II and Class III gaming

licensing.

56
(4.) Background Investigations of Employees

During Employment Each person whose responsibilities

include the operation or management of Class II or Class

III games shall be subject to periodic review by the Tribal

Gaming COmmission comparable to that required for initial

employment. This review shall take place at least

annually, commencing with the date of employment.

Employees found to have committed disqualifying violations

shall be dismissed.

(5.) Investigation Fees An applicant shall be

responsible for payment of and/or reimbursement of for any

and all reasonable expenses associated with background

investigations by the Trial Gaming Commission, the State of

North Dakota, and/or the National Indian Gaming Commission.

(6.) Background Investigation Procedures

(1) The Tribal Gaming Commission shall request

from each primary management official and

from each key employee all of the following

information:

(a) Full name;

(b) Other names used;

(C) Social Security Number(s);

(d) Date and place of birth;

(e) Citizenship;

(f) Currently and for the previous five

(5) years: Business and employment

positions held, Ownership interest in

those businesses, Business and

residence addresses, and Drivers

license numbers;

(g) The names and current addresses of at

least three personal references,

including one personal reference who

was acquainted with the applicant for

the previous five (5) years;

(h) Current business and residence

telephone numbers;

(1) A description of any existing and

previous business relationships with

Indian tribes, including ownership

interests in those businesses;

(j) A description of any existing and

previous business relationships with

the gaming industry generally,

including ownership interests in those

businesses;

(k) The name and address of any licensing

or regulatory agency with which the

person has filed an application for a

57
license or permit related to gaming,

whether or not such license or permit

was granted;

(1) For each felony conviction or no

contest plea for which there has been

a conviction at any time or for which

there is an ongoing prosecution, the

charge, the name and address of the

court involved, and the date and

disposition if any;

(m) For each misdemeanor conviction or

plea of no contest (excluding minor

traffic violations) where the

conviction or plea of release from

parole, probation, or incarceration

occurred within ten (10) years of the

date of the application, the name and

address of the court involved and the

date and disposition;

(n) 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, the

criminal charge, the name and address

of the court involved and the date and

disposition;

(0) A current photograph;

(p) Fingerprints consistent with

procedures adopted by the Tribe in

accordance with 25 C.F.R. § 522.2(h);

(q) All languages spoken or written; and

(r) Any other information the Tribal

Gaming Commission deems relevant.

(2) If items are incomplete or if directors

were not followed in the applicants

completion of the request for information,

the Personnel Director shall contact and

advise the applicant to properly complete

the request.

(3) The applicant shall complete an

authorization permitting the Tribe, the

State of North Dakota, the Federal Bureau

of Investigation, and the National Indian

Gaming Commission to seek background

information. If this is not signed, the

individual will not be considered for

employment.

58
(4) The Personnel Director may issue a

temporary license after making verbal

inquiries of selected past employers,

references, or other relevant included

information.

(5) Forms completed by the applicant, together

with the applicable fees paid by the

applicant, shall be sent to the North

Dakota Bureau of Criminal Investigation

and/or the Federal Bureau of Investigation

(FBI) through the National Indian Gaining

Commission for completion of its background

investigation.

(6) Forms completed by the applicant shall be

made available to the Tribal Gaining

Commission, the North Dakota Bureau of

Criminal Investigation, the Federal Bureau

of Investigation (FBI), and the National

Indian Gaming Commission.

815107 Eligibility Determination

The Tribal Gaming Commission shall review a persons

prior activities, criminal record, if any, and reputation,

habits and associations to make a finding concerning the

eligibility of a key employee or primary management

official for employment in a gaining operation. If the

Tribal Gaming Commission determines that employment of the

person poses a threat to the public interest or to the

effective regulation of gaining, or creates or enhances

dangers of unsuitable, unfair, or illegal practices and

methods and activities in the conduct of gaining, a tribal

gaming operation shall not employ that person in a key

employee or primary management official position.

815108 Procedures for Forwarding Applications and Reports for Key

Employees and Primary Management Officials to the National

Indian Gaming Commission

1. When a key employee or primary management official

begins work at a gamin operation authorized by this

Chapter, the Tribal Gaming Commission shall forward to the

National Indian Gaming Commission a completed application

for employment and conduct the background investigation and

make the eligibility determination according to Section 8

15107.

59
2. The Tribal Gaining Commission shall forward the report

as required by Section 815109 to the National Indian

Gaining Commission within sixty (60) days after an employee

begins work or within sixty (60) days of the approval of

this ordinance by the Chairman of the National Indian

Gaming Commission.

3. The gaming operation shall not employ as a key

employee or primary management official a person who does

not have a license after ninety (90) days.

815109 Report to the National Indian Gaming Commission

1. Pursuant to the background investigation procedures

adopted in this Chapter, the Tribal Gaming Commission shall

prepare and forward to the National Indian Gaming

Commission an investigative report on each background

investigation. An investigative report shall include all

of the following:

a. Steps taken in conducting a background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Tribal Gaming Commission shall submit, with the

report, a copy of the eligibility determination made

according to Section 815107.

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

a. Shall notify the national Indian Gaming

Commission; and

b. May forward copies of its eligibility

determination and investigative report (if any)

to the National Indian Gaming Commission for

inclusion in the Indian Gaming Individuals

Records System.

4. With respect to key employees and primary management

officials, the Tribal Gaming Commission shall retain

applications for employment and the Chairman of the

National Indian Gaming Commission or his or her designee

for no less than three (3) years from the date of

termination of employment.

815110 Background Investigations by State

The Tribal Gaming Commission shall obtain a release

and other information from each applicant whose

60
responsibilities include the operation or management of

Class II or Class III gaines of chance to permit the State

to conduôt a background check on the applicant. This

information, along with the standard fee, shall be provided

in writing to the state which shall report to the Tribe

regarding each applicant within thirty (30) days of receipt

of the request. The Tribal Gaming Commission may employ

any person who represents, in writing, that he or she meets

the standards set forth in this section, but must not

retain any person who is subsequently revealed to be

disqualified. Criminal history data compiled by the State

on prospective employees shall, subject to applicable state

to federal law, be released to the Tribe as part of the

reporting regarding each applicant. The background check

of employees and contractors to be conducted pursuant to

this paragraph shall be independent of any similar federal

requirements.

815111 Granting a Gaming License

1. If, within a thirty (30) day period after the National

Indian Gaming Commission receives a report, the National

Indian Gaming Commission notifies the tribe that it has no

objection to the issuance of a license pursuant to a

license application filed by a key employee or a primary

management official for whom the tribe has provided an

application and investigative report to the National Indian

Gaming Commission, the Tribal Gaming Commission may issue

a license to such applicant.

2. The Tribal Gaining Commission shall respond to a

request for additional information from the Chairman of the

National Indian Gaming Commission concerning a key employee

or a primary management official who is the subject of a

report. Such a request shall suspend the thirty day period

under subsection 1 of this section until the Chairman of

the National Indian Gaming Commission receives the

additional information.

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

the National Indian Gaming Commission provides the Tribe

with a statement itemizing objections to the issuance of a

license to a key employee or to a primary management

official for whom the Tribal Gaming Commission has provided

an application and investigative report to the National

Indian Gaining Commission, the Tribal Gaming Commission

shall reconsider the application ,k taking into account the

objections itemized by the National Indian Gaining

Commission. The Tribal Gaming Commission shall make the

final decision whether to issue a license to such

applicant.

61
815112 License Suspension

1. If, after the issuance of a gaining license, the Tribal

Gaining Conunission receives from the National Indian Gaining

Commission reliable information indicating that a key

employee or a primary management official is not eligible

for employment under subsection D. above, the Tribal

Commission shall suspend such license and shall notify in

writing the licensee of the suspension and the proposed

revocation.

2. The Tribal Gaming Commission shall notify the licensee

of a time and a place for a hearing on the proposed

revocation of a license.

3. After a revocation hearing, the Tribal Gaming

Commission shall decide to revoke or to reinstate a gaining

license. The Tribal Gaining Commission shall notify the

National Indian Gaining Commission of its decision.

62
CHAPTER XVI

MANAGEMENT AGREEMENTS

816101 Option for Tribe

The Tribal Gaming Council, in its discretion, may, but

in no manner shall be required to, enter into a Management

Agreement for the operation and management of selected

gaining and related activities or all gaming and related

activities of the Tribe.

816102 Receipt of Information by Tribe

Before approving any Management Agreement, the Tribal

Council shall receive and consider the following

information:

a. The name, address, and other additional

pertinent background information on each person

or entity (including individuals comprising such

entity) having a direct financial interest in,

or management responsibility for, such contract,

and, in the case of a corporation, those

individuals who serve on the board of directors

of such corporation and each of its stockholders

who hold (directly or indirectly) 5 percent or

more of its issued and outstanding stock;

b. A description of any previous experience

that each person listed has had with other

gaming contracts with Indian Tribes or with the

gaming industry generally, including

specifically the name and address of any

licensing or regulatory agency which has issued

the person a license or permit relating to

gaming or with which such person has had a

contract relating to gaming; and

c. A complete financial statement of each

person listed.

816103 Provisions of Management Agreement

The Tribal Council shall not enter a Management

Agreement unless the contract provides, at least, for the

following:

63
a. Adequate accounting procedures that are

maintained, and for verifiable financial reports

that are prepared, by or for the Tribe on a

monthly basis;

b. Access to the daily operations of the

gaining activities to appropriate officials of

the Tribe, who shall also have a right to verify

the daily gross revenues and income made from

any such Tribal gaming activity;

c. A minimum guaranteed payment to the Tribe,

that has preference over the retirement of

development and construction costs;

d. An agreed ceiling for the repayment of

development and construction costs;

e. A contract term not to exceed five (5)

years, except that the Tribe may approve a

contract term that exceeds five (5) years but

does not exceed seven (7) years if, the Council

is satisfied that the capital investment

required, and the income projections, for the

particular gaming activity require the

additional time;

f. A complete, detailed specification of all

compensation to the Contractor under the

contract;

g. Provisions for an early Tribal buy out of

the rights of the Management Agent; and

h. Grounds and mechanisms for terminating such

contract.

1. At least twentyfive (25%) percent of gross

revenues, from Class 111 gaming operations, not

including monies paid out as prizes or winnings,

shall be directed to, and utilized within,

economic development, other than gaming, and

social welfare programs of the Tribe. Gross

Revenues shall be considered all revenue from

Class III gaming operations, except those

specifically excluded above, and shall be

inclusive of monies directed to any Management

Agent engaged by the Tribe.

64
816104 Fee

The Tribal Council may approve a Management Agreement

providing for a fee based upon a percentage of the net

revenues~ of a Tribal gaming activity, which shall not

exceed thirty (30%) percent, unless the Tribe, determines

that the capital investment required, and income

projections, for such gaming activity, require an

additional fee, which in no event shall exceed forty (40%)

percent of net revenues of such gaming activity. A

contract providing for a fee based upon a percentage of net

revenues shall include a provision describing in detail how

net revenues will be determined.

816105 Background Check

(1.) Prior to hiring a Management Agent for

Tribal Class III gaines, the Tribal Council shall obtain

release and other information sufficient from the proposed

Management Agent and/or its principals to permit the State

to conduct a background check. All information requested

shall be provided in writing to the State which shall

conduct the background check and provide a written report

to the Tribe regarding each Manager applicant and/or its

principals within thirty (30) days of receipt of the

request. The background check to be conducted pursuant to

this paragraph shall be in addition to any similar federal

requirements.

(2.) The Tribe shall not employ a Management

Agent for Class III games if the State of North Dakota

determines that the Management Agent applicant and/or its

principals are in violation of the standards set forth in

Section X of the Compact, unless the Tribe prevails in

dispute resolution under the Compact as to such issue.

65
CHAPTER XVII

QUALIFICATIONS OF PROVIDERS OF CLASS III

GAMING EQUIPMENT OR SUPPLIES

817101 Purchase of Equipment and Supplies

(1.) No Class III games of chance, gaming

equipment or supplies may be purchased, leased or otherwise

acquired by the Tribe unless the Class III equipment or

supplies are purchased, leased or acquired from a

manufacturer or distributor licensed by the Tribal Gaming

Commission to sell, lease, or distribute Class III gaming

equipment or supplies, and further, unless the gaming

manufacturer is licensed to do business in one or more of

the following states: Nevada, New Jersey, South Dakota.

Should the Tribal Gaming Commission wish to purchase

equipment or supplies from a business not shown to be

licensed to do business in one or more of the above

mentioned States, it may petition the Office of the

Attorney General for the State of North Dakota for review

and approval of said manufacturer or supplier.

(2,.) Should the State of North Dakota commence a

comprehensive program of licensing the sale, lease and/or

distribution of games of chance, gaming equipment, or

supplies, no Class III games of chance, gaming equipment or

supplies: may be purchased, leased or otherwise acquired by

the Tribe, after one year subsequent to the date of such

enactment, except from a manufacturer or distributor

licensed both by the Tribal Gaming Commission and the State

of North Dakota to sell, lease or distribute Class III

gaming equipment or supplies, unless a manufacturer or

distributor was licensed to do business in one of the

States specified within Section 19.l.A., prior to the date

of commencement of such licensing by the State of North

Dakota.

817102 Required Information

Prior to entering into any lease or purchase

agreement, the Tribal Gaming Commission shall obtain

sufficient information and identification from the proposed

seller or lessor and all persons holding any direct or

indirect financial interest in the lessor or the

lease/purchase agreement to permit the Tribal Gaming

Commission to conduct a background check on those persons.

66
817103 No Business Dealings with Disqualified Parties

(1..) The Tribal Gaming Commission shall not enter

into any lease or purchase agreement for Class III gaming

equipment or supplies with any person or entity if the

Tribal Gaining Commission determines that the lessor or

seller, or any manager or person holding a direct or

indirect financial interest of 5 percent or more in the

lessor/seller or the proposed lease/purchase agreement, has

been convicted of a felony or any gambling related crime

within the previous five (5) years, or who is determined to

have participated in or have involvement with organized

crime or is determined to have poor moral character or to

have participated in unlawful gambling, or whose prior

activities, criminal record, reputation, habits, and/or

associations pose a threat to the public interest 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 as to the business and the financial arrangements

incidental to the conduct of gaming.

(2.) In the case of individuals who are members

of the Tribe, determinations specified above shall be

disqualifying as to contracting such agreements should such

be made by the Tribal Gaming Commission. In the case of

individuals who are not members of the Tribe,

determinations specified above shall be disqualifying as to

contracting such agreements should such be made by either

the Tribal Gaming Commission or by the State.

817104 Receipt of Gaming Equipment

All sellers, lessors, manufacturers and/or

distributors shall provide, assemble and install all Class

III games of chance, gaming equipment and supplies in a

manner approved and licensed by the Tribal Gaming

Commission.

67
CHAPTER XVIII

ESCROW ACCOUNT FOR STATE EXPENSES

818101 Escrow Fund

An escrow fund shall be established and maintained at

a bank selected by the Tribal Council with an initial

contribution of Fifteen thousand and no/lOO ($15,000.00)

dollars to reimburse the State for the expenses for which

reimbursement is provided in the Compact and for

participation in legal costs and fees incurred by the State

in defending, with the concurrence of the Tribe, third

party challenges to the Compact. The Tribal Gaming

Commission shall replenish the said escrow account as

necessary. Deposits shall be made by the Tribal Gaming

Coitunission with the intent that the balance in the said

escrow account will not drop below the sum of seven

thousand five hundred and no/l00 ($7,500.00) dollars.

818102 Procedure and Challenge

The Tribal Gaining Commission shall, as appropriate,

utilize the procedures for payment and challenge of

requested payment, as set forth at Title XXV of the

Compact.

68
CHAPTER XIX

INSPECTION AND COMPLIANCE

819101 Inspection

(1.) Periodic Inspection and Testing Tribal

officials, agents or employees shall be authorized to

periodically inspect and test any tribally licensed

electronic gaines of chance. Any such inspection and

testing shall be carried out in a manner and at a time

which will cause minimal disruption of gaming activities.

The Tribal Gaining Commission shall be notified immediately

of all such inspection and testing and the results thereof.

(2.) Receipt of Reports of Noncompliance The

Tribal Gaming Commission shall provide for the receipt of

information by the State as to machines believed to not be

in compliance with this Compact or not to be in proper

repair. Upon its receipt of such information the Tribe

shall reasonably inspect or arrange for the inspection of

any identified machine and shall thereafter undertake and

complete, or commission the undertaking and completion of

such corrective action as may be appropriate.

(3.) State Inspection of Operations Agents of the

State of North Dakota, or their designated representatives,

shall, upon the presentation of appropriate identification,

have the right to gain reasonable access, without notice

during normal hours of operation, to all premises used for

the operation of gaines of chance, or the storage of games

of chance or equipment related thereto, and may inspect all

premises, equipment, daily records, documents, or items

related to the operation of games of chance in order to

verify compliance with the Compact. Agents of the State

making inspection shall be granted access to nonpublic

areas for observations upon request. The Tribal Gaming

Commission reserves the right to accompany State inspectors

within nonpublic areas. The Tribe shall cooperate as to

such inspections. Inspections shall be conducted, to the

extent practicable, to avoid interrupting normal

operations. Any costs associated with such inspection

shall be covered from the Escrow Account for State

Expenses.

(4.) Inspection of Electronic Games of Chance

The State may cause any electronic game of chance in play

by the Tribe to be inspected by a Qualified Gaming Test

Laboratory or examiner. Inspections shall be conducted, to

the extent practicable, to avoid interrupting normal

operations. Any costs associated with inspection shall be

69
covered from the Escrow Account for State Expenses. The

Tribal Gaming Commission shall cooperate in such

inspection. Upon completion of such testing, test results

shall be provided to both the State and the Tribal Gaining

Commission.

(5.) Removal and Correction Any machine

confirmed to be in noncompliance with this Compact shall

be removed from play by the Tribal Gaming Commission and

brought into compliance before reintroduction.

819102 Compliance

(1.) Report of Suspected Violation by Parties

The parties hereto shall immediately report any suspected

violation of Tribal Law, the Compact, or the IGRA, to the

Tribal Gaming Commission, and to such State official as the

State may designate. If the Tribal Gaming Commission

concludes that a violation has occurred, the violation will

be addressed by the Commission within five (5) days after

receipt of such notice. The Tribal Gaming Commission shall

notify the State promptly as to such resolution.

(2.) Response to Complaints by Third Parties

The Tribal Gaming Commission shall arrange for reasonable

and accessible procedures to address consumer complaints.

The Council shall submit to such State official as the

State may designate, a summary of any written Complaint

received which addresses a suspected violation of Tribal

law, this Compact, or the IGRA, along with specification as

to any action or resolution deemed warranted and/or

undertaken.

(3.) NonComplying Class III Gaines The

following are declared to be noncomplying Class III Games:

a. All Class III games to which the agents of

the State have been denied access for inspection

purposes; and

b. All Class III games operated in violation

of this Compact.

(4.) Demand for Remedies for NonComplying Games

of Chance Class III games believed to be noncomplying

shall be so designated, in writing, by the agents of the

State. Within five (5) days of receipt of such written

designation, the Tribal Gaming Commission shall either:

a. Accept the finding of noncompliance,

remove the Class III games from play, and take

70
appropriate action to ensure that the

manufacturer, distributor, or other responsible

party cures the problem; or

b. Contest the finding of noncompliance by so

notifying the agents of the State, in writing,

and arrange for the inspection of the contested

game, by an independent gaming test laboratory

as provided within ten (10) days or the receipt

of the finding of noncompliance. If the

independent laboratory finds that the Class III

game or related equipment is noncomplying, the

noncomplying Class III game and related

equipment shall be permanently removed from play

unless modified to meet the requirements of the

Compact.

71
CHAPTER XX

LICENSING FOR GAMES CONDUCTED BY

ORGANIZATIONS OTHER THAN THE TRIBE

820101 Prohibition Against NonTribal Games

The conduct of any nonlicensed gaining shall be

prohibited within the exterior boundaries of Reservation of

the Devils Lake Sioux Tribe; except:

a. Games presented by the Tribe itself and/or

any instrument of tribal government including

tribally controlled nonprofit corporations.

b. Class I Games.

c. Single events involving no more than eight

(8) persons wherein there is no sponsor or odds

favoring only one particular player and

individual winnings do not exceed fifty dollars

($50.00).

820102 Tribally Licensed Games Generally

(1.) The Tribal Gaming Commission shall license

and supervise the conduct of Class II gaming operations

within the exterior boundaries of the Devils Lake Sioux

Reservation.

(2.) A separate license shall be required for

each place, facility or location on Devils Lake Sioux Lands

at which any Class II games are conducted.

(3.) Activities which may be conducted pursuant

to license include:

a. Bingo, if three hundred (300) seats or less

and a maximum prize payout of Three Thousand

Dollars ($3,000.00) per session; and

b. Pull tabs dispensed by machine.

(4.) The Tribal Gaming Commission shall establish

appropriate license fees and facilitate assessments as

provided herein which those granted licenses shall be

responsible for paying.

(5.) The Tribal Gaming Commission shall appoint

and supervise and/or authorize agents to appoint and

72
supervise such personnel as shall be appropriate to oversee

such gaming operations as may be licensed under the

authority of the Board and to implement the licensing

procedures and the collection of all license fees and

assessments.

(6.) The Tribal Gaming Commission shall, pursuant

to such criteria as it establishes, provide opportunities

for, and license Tribal and/or charitable organizations to,

participate in the conduct and presentation of Tribal Bingo

and PullTab sales during selected Bingo Events and to

share in the distribution of Net Proceeds.

820103 License Applications

(1.) An organization eligible for a gaming

license must:

a. 1.) Be a nonprofit organization upon or

engaged in activities within the Devils

Lake Sioux Reservation as a group

(including partnerships and corporations)

to operate the license in which at least

51% of the individuals in the group are

members of the Tribe and at least 51% of

the financial interest of the group is held

by members of the Tribe; or

(2.) applicable only to participation in a

Tribal Bingo Event cosponsored by the

Tribe or Tribal Gaming Commission; be a

nonprofit organization or public charity,

with funds to be gained from participation

in the Bingo Event being directed to a

purpose of general benefit of a needy cause

serving the Tribal interest, or serving the

public interest generally.

b. Have at least seven (7) members in good

standing.

c. Operate without profit to its members, and

no part of the net earnings of such organization

shall inure to the benefit of any private

shareholder or individual.

d. Have been in existence for one (1) year

immediately preceding its application for a

license, and shall have had during that one (1)

year period a bona fide membership actively

engaged in furthering a lawful purpose.

73
e. Have received and used and shall continue

to receive and use, for lawful purposes, funds

derived from sources other than from the conduct

of Class II games.

(2.) Individuals eligible for a gaining license

must:

a. Be a member of the Tribe; however, non

members may apply for a gaming license, the

issuance of which shall be determined on a case

bycase basis.

b. Be part of a group (including partnerships

and corporations) to operate the license in

which at least 51% of the individuals in the

group are members of the Tribe and at least 51%

of the financial interest of the group is held

by members of the Tribe.

(3.) Each applicant for a gaming license shall

file with the Tribal Gaming Commission an application on a

form prescribed by the Tribal Gaming Commission. The

application shall include:

a. The name and address of the applicant.

b. Sufficient facts relating to the

incorporation or organization of the applicant

to prove the applicant is eligible for a license

under this Code.

c. The name and address of each officer of the

applicant, if an organization.

d. The place and date of each gaming occasion

proposed to be conducted during the effective

period of the license.

e. The name and address of the owner of the

premises in which gaming will be conducted and

the approximate capacity of the premises.

f. The name, date of birth, and address of

each supervising member for each gaming occasion

who shall be of good moral character and one or

more of whom shall be present and in immediate

charge of and responsible for the conduct of

games at each occasion.

g. The name of any licensed organization or

individual cosponsoring any gaming occasion.

74
h. The specific purposes to which the profits

from the conduct of gaines are to be devoted.

i. Other information which the Board deems

necessary to administer this Code.

820104 Additional Application Documents

An application for a license to conduct gaining shall

be accompanied by:

a. A sworn statement of each designated

supervising member that he or she will be

responsible for compliance with this Code and

rules promulgated under it for each gaming

occasion which he or she supervises.

b. A specification of the period of time for

which a license is sought or the specific events

for which a license is requested.

c. Such license fee as may be required by the

Tribal Gaming Commission which shall be returned

should the license not be granted.

d. Such bond as may be required by the Tribal

Gaming Commission.

820105 Investigation

Upon receipt of an application for a license to

conduct gaming activities, the Tribal Gaming Commission

shall conduct such background investigation as to the

Applicant as he or she deems appropriate and shall

determine whether the interests of the Tribe will be met

through the issuance of such license and shall issue or

deny the license or make a recommendation thereupon to the

Tribal Gaming Commission.

820106 Selection of Licensees

(1.) The Tribal Gaming Commission shall not issue

a gaming license unless:

a. It is satisfied with the moral character,

financial responsibility and quality of

operations of the proposed licensee.

75
b. The proposed gaming operation will

complement rather than adversely affect games

offered by the Tribe.

c. The issuance of the license shall be in the

best interest of the Tribe.

d. The applicant is not deficient in the

payment of post gaming assessments.

e. The construction and maintenance of the

gaming facility, and the operation of that

gaming is conducted in a manner which adequately

protects the environment and the public health

and safety.

f. There is no manager or employee of the

applicant whose prior activities, criminal

record, reputation, habits and associations pose

a threat to the public interest or to the

effective regulation of gaming, or who creates

or enhances the dangers of unsuitable, unf air or

illegal practices and methods and activities in

the conduct of gaming.

(2.) The Gaming Commissioner shall promptly

notify the Tribal Gaming Commission of the issuance of any

license under this Chapter.

820107 Requirements of Licensees

In applying for and accepting a gaming license, the

applicant/licensee agrees:

a. To abide by the rules and regulations of

the Tribe and with all other applicable legal

authority as to all aspects associated with the

conduct of licensed games, including any rules,

regulations or assessments under the Act.

b. To pay all applicable license fees and

assessments.

c. To make all books and records of gaming

operations upon the Devils Lake Sioux

Reservation available for inspection by the

Council or its appointed agents during all hours

of operation and all normal business hours.

d. To provide preferential hiring to qualified

members of the Tribe as to all positions open

for employment.

76
e. To promptly pay to all winners such prizes as they might respectively be entitled to.

f. To provide annual outside audits of the

gaming and all contracts for supplies, services

or concessions in excess of twentyfive thousand

and no/100 ($25,000) dollars per year, to the

Council.

g. To conspicuously post any gaming license

granted.

h. To accept the Devils Lake Sioux Tribal

Court as the sole judicial forum for the

resolution of disputes associated with gaines

operations.

i. To hold the Tribe, the Tribal Gaming

Commission and tribal officers harmless as to

all claims associated with the conduct of the

licensed gaming operations and to indemnify each

as to all expenses including legal fees utilized

to defend against such claims.

820108 Reports and Finances of Licensees

(1.) Within three (3) days after the conclusion

of each gaming occasion, each licensee shall execute and

file a report of operations on a form prescribed by the

Tribal Gaming Commission. The licensee shall retain a copy

of the report for its permanent record. The report shall

include:

a. The name and address of each supervising

member and each member responsible for the

proper utilization of gross receipts.

b. The date, hour and address of the gaming

occasion.

c. The number of games played.

d. An itemized statement of the gross receipts

from the gaming occasion, including gross

receipts from sales of regular bingo cards,

extra regular cards, special game cards and sale

of supplies.

e. An itemized statement of expenditures,

including amounts paid for prizes, supplies and

equipment, license fees and other expenses.

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f. The name of the depository and the title

and number of the account.

g. The report shall be signed by an individual

responsible for the proper utilization of gross

receipts for the gaining occasion.

820109 Records Imprc~per1y Filed

(1.) If a licensee fails to file a financial

statement of gaming operations within five (5) days after

notification by the Tribal Gaming Commission of the

delinquency, the Tribal Gaming Commission may suspend the

license pending the filing of the financial statement.

(2.) If the financial statement filed by a

licensee~ is not fully, accurately, and truthfully

completed, the Tribal Gaming Commission may suspend a

license until such time as a statement in proper form has

been filed.

820110 Gaming Activities Assessed

There shall be an assessment upon all gaming activity

within the exterior boundaries of the Devils Lake Sioux

Reservation, except as hereafter specified. Said

assessment shall equal ten percent (10%) of the total

monies included within a prize, applicable to all prizes in

excess of twenty dollars ($20.00), and ten percent (10%) of

the total value of all noncash prizes when such value

exceeds twenty dollars ($20.00). The gaming assessment

shall be paid by the party presenting any form of gaming

permitted by this chapter.

820.111 Payment of Assessment

Assessments shall be payable within 72 hours of a

gaining occasion. Assessments shall be paid to the Tribal

Gaining Commission or to such other agent as shall be

identified by the Tribal Gaining Commission.

(1.) Assessments that are not timely paid shall,

after 72 hours, shall be increased to incorporate a penalty

of five percent (5%), and thereafter be increased an

additional five percent (5%) per week, to a maximum of

twentyfive percent (25%) inclusive of the original

assessment.

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820112 Exemption from Assessment

(1.) The following are exempt from assessment:

a. Games presented by the Tribe itself, and/or

presented by any instrument of tribal

government, including tribally controlled non

profit corporations.

b. Single events wherein proceeds are directed

to a previously announced charitable purpose and

wherein a waiver of assessments is applied for

in advance of the event and is granted by the

Tribal Gaming Commission.

c. Single events involving no more than eight

(8) persons wherein there is no sponsor nor odds

favoring only one particular player and

individual winnings do not exceed fifty dollars

($50.00).

d. Class I gaines.

820113 Right of Entrance; Inspection

Any member of the Tribal Gaming Commission and/or

their duly authorized officers and employees, during

regular business hours, may at all reasonable times enter

upon any premises of any licensee or gaming location of a

licensee for the purpose of making inspections and to

examine the accounts, books, papers, and documents, of any

such licensee or gaming establishment. Such licensee shall

facilitate such inspection or examinations by giving every

reasonable aid to the Council and to any officer or

employee.

820114 Investigations

The Tribal Gaming Commission, upon complaint, or upon

its own initiative and whenever it may deem it advisable in

the performance of its duties or the exercise of its

powers, may investigate and examine the operation and

premises of any person or entity who is subject to the

provisions of this Title. In conducting such

investigation, the Tribal Gaming Commission may proceed

either with or without a hearing as it may deem best, but

it shall make no order without affording the affected

parties notice and an opportunity for a hearing pursuant to

such rules as it may implement.

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820115 Hearings

The Tribal Gaining Commission may hold any hearing it

deems to~be reasonably required in administration of its

powers and duties under this Title. Whenever it shall

appear tO the satisfaction of the Tribal Gaining Commission

that all of the interested parties involved in any proposed

hearing have agreed concerning the matter at hand, the

Tribal Gaining Commission may issue its order without a

hearing.

The Tribal Gaining Commission shall provide reasonable

notice and the right to present oral or written testimony to all persons interested therein as determined by the

Tribal Gaming Commission.

820116 Appointment of Examiner; Power of Examiner

The Tribal Gaming Commission may appoint any person

qualified in the law or possessing knowledge or expertise

in the subject matter of the hearing to act as examiner for

the purpose of holding any hearing which the Tribal Gaining

Commission, or any member thereof, has power or authority

to hold. Any such appointment shall constitute a

delegation to such examiner of necessary powers with

respect to any such hearing.

820117 Gaming Account

Each licensee shall maintain an account at a financial

institution which shall be designated as the ttGaming

Account. All gross receipts derived from the conduct of

gaming operations shall be deposited into the gaming

account. No other receipts shall be deposited into the

gaming account. The Tribal Gaming Commission may provide

a waiver~ as to this requirement as to one time events

and/or small organizations.

820118 Bookkeeping and Accounting

(1.) Each licensee shall maintain a doubleentry

bookkeeping system for the purpose of recording all

receipts and expenditures in connection with the conduct of

gaming operations and the disbursement of profits derived

therefrom. Such bookkeeping system shall consist of a

columnar book maintained on a calendar of fiscal year

basis.

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(2.) The columnar book, deposit books, savings

account pass books, canceled checks, checkbooks, deposit

slips, and bank statements of gaining operations and all

other books and accounts shall be available at reasonable

times for examination by the Tribal Gaming Commission or

its authorized representative. All documents supporting

the entries made in the books of accounts shall be kept by

the licensee for a period of not less than three (3) years.

Such documents shall include, but are not limited to, bank

statements, canceled checks, deposit slips and invoices for

all expenditures.

820119 Suspension and Revocation of Licenses

(1.) A violation of any applicable ordinance, law

or code of the Tribe or rules promulgated thereunder shall

constitute grounds for suspension or revocation of a gaining

license.

(2.) Procedures for suspending or revoking a

gaming license shall be as follows:

a. Proceeding to suspend a license to conduct

games shall be initiated by the Tribal Gaming

Commission. The notice shall state the alleged

violations which constitute the grounds for the

proceedings. The Tribal Gaming Commission may

temporarily suspend such license for a period of

40 days while any such proceedings are pending,

and shall notify the licensee of the date of the

temporary suspension.

b. The Tribal Gaming Commission shall hold a

hearing on a proposed suspension or proposed

revocation as soon as practicable should such be

requested by the licensee. The Tribal Gaming

Commission shall issue, in writing, its findings

and decision on suspension or revocation within

20 days after the hearing. A copy of the

findings and decision shall be sent iimnediately

to the licensee. If the Tribal Gaming

Commission suspends or revokes the license, the

licensee shall be informed of the effective date

of such suspension or revocation. The Tribal

Gaming Commissions decision under this section

shall be final.

c. When a license is suspended or revoked by

the Tribal Gaming Commission, the licensee shall

immediately surrender the license to the Tribal

Gaming Commission. A licensee whose license has

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been revoked may reapply for a license one (1)

year after the effective date of the revocation.

If a license has been suspended, the Tribal

Gaming Commission shall reinstate the licensee

at the end of the period of suspension.

820120 NonApplicability

This Chapter XX shall not apply to gaming conducted

pursuant to a Management Contract entered into by the

Tribe.

820121 Monitoring

The Tribal Gaming Commission is hereby designated and

empowered to monitor the gaming activities of any licensee,

to investigate the backgrounds of management officials and

key employees, to enforce the provisions of this Code, and

to report criminal violations of state, federal or tribal

laws to the appropriate prosecutors or law enforcement

personnel.

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