# Mille Lacs Band Statutes Annotated

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## Record

- **Collection:** Tribal code
- **Document type:** Tribal code

## Text

Mille Lacs Band Statutes Annotated
Amendments received through: February 11, 2026
______________________________________________________________________________

TITLE 15 – INDEPENDENT AGENCIES
Chapter
1. Gaming Regulatory Act
2. Department of Athletic Regulation
3. Band Member Legal Services
4. Tribal Employment Rights Office
5. Department of Cannabis Regulation

Section
1
801
901
1001
1201

CHAPTER 1
GAMING REGULATORY ACT
Subchapter
1. General Provisions
2. Gaming Activity
3. Ownership and Revenue
4. Gaming Regulatory Authority
5. Office of Gaming Regulation and Compliance; Director of
Gaming Regulation and Compliance
6. Appeals
7. Data Privacy
8. Compulsive Gambling

SUBCHAPTER 1
GENERAL PROVISIONS
Section
1. Findings.
2. Declaration of Purpose.
3. Definitions.
4. Severability.

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Section
1
101
201
301
401
501
601
701

§ 1. Findings.
The Mille Lacs Band of Ojibwe finds that:
(a)

the Band has a long history of conducting different forms of gaming within our
sovereign territory. Prior to entering into treaties with the United States, the Band
allowed many traditional forms of gaming;

(b)

gaming on Band lands is a valuable means of generating revenues needed by the
Band to enhance economic development and self-sufficiency, promote and strengthen
self-governance, increase Band member employment, and fund essential Band social
programs and services; and

(c)

Band regulation and control of gaming on Band lands is necessary in order to ensure
the welfare and best interests of the Band, its members, and patrons of the Band’s
gaming enterprises; prevent any proliferation of organized crime and other corrupting
influences on Band lands; protect the fairness of gaming conducted on Band lands;
and preserve the political integrity of the Band.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 2.
Band Act 80-23.

§ 2. Declaration of Purpose.
The express purposes of this chapter are:
(a)

to provide a statutory basis for the regulation of gaming on Band lands to ensure that
gaming is shielded from organized crime and other corrupting influences, to ensure
that the Band is the primary beneficiary of the gaming operation, and to ensure that
gaming is conducted fairly and honestly by both the operator and the player;

(b)

to regulate and control gaming on Band lands for the protection of gaming as a means
of promoting economic development, self-sufficiency, and strong tribal government;

(c)

to foster a spirit of cooperation with federal officials in the regulation of gaming;

(d)

to foster a spirit of cooperation with Minnesota officials in the conduct of class III
gaming pursuant to any tribal-state gaming compacts;

(e)

to ensure that gaming on Band lands is conducted in conformity with Band law, the
IGRA, (25 U.S.C. § 2701 et seq.) and regulations promulgated pursuant thereto,
applicable state law, and any tribal-state compacts;

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(f)

to ensure that the construction and maintenance of gaming facilities and the operation
of all gaming conducted at such facilities is conducted in a manner which adequately
protects the environment, public health, and safety; and

(g)

to establish an independent regulatory authority charged with oversight and
enforcement of gaming regulatory matters under Band law, with the goal of becoming
self-regulating under the IGRA and regulations promulgated thereto.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 3.
Band Act 80-23.

§ 3. Definitions.
For the purposes of this chapter, the following definitions shall apply:
(a)

“Authority” means the Mille Lacs Band Gaming Regulatory Authority established
by this chapter, which may also be known as the Tribal Gaming Commission.

(b)

“Authority data” means all information, files, reports, records, correspondence, and
other data collected, created, received, maintained, or disseminated by the Authority,
regardless of its physical form, storage method, or conditions of use.

(c)

“Applicant” means an individual or entity that applies for a Band gaming license or
certification.

(d)

“Background investigation” has the meaning given in 25 C.F.R. § 556.4.

(e)

“Band” or “Mille Lacs Band” means the Mille Lacs Band of Ojibwe.

(f)

“Band gaming laws” means this chapter and all subsequent amendments thereto, and
all Detailed Gaming Regulations promulgated thereunder.

(g)

“Band lands” means any land within the jurisdiction of the Band upon which gaming
activities pursuant to the IGRA may be conducted.

(h)

“Board” means the Board of Directors of the Gaming Regulatory Authority.

(i)

“Closely associated independent contractor” means any contractor that shares
common ownership, officers, or directors with any management principal or person
related thereto.

(j)

“Chairperson” means the chairperson of the Board.

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(k)

“Charitable gaming” means any gaming carried out by an Indian charitable
organization on Band lands.

(l)

“Class I gaming” means:

(m)

(n)

(1)

social games played solely for prizes of minimal value; or

(2)

traditional forms of Indian gaming when played by individuals in connection
with tribal ceremonies or celebrations.

“Class II gaming” means:
(1)

bingo or lotto (whether or not electronic, computer, or other technologic aids
are used) when players (A) play for prizes with cards bearing numbers or
other designations; (B) cover numbers or designations when objects, similarly
numbered or designated, are drawn or electronically determined; and (C) win
the game by being the first person to cover a designated pattern on such cards;

(2)

pull-tabs, punch boards, tip jars, instant bingo, and other games similar to
bingo, if played in the same location as bingo or lotto; or

(3)

non-banking card games that (A) state law explicitly authorizes, or does not
explicitly prohibit, and are played legally anywhere in the state; and (B)
players play in conformity with state laws and regulations concerning hours,
periods of operation, and limitations on wagers and pot sizes.

“Class III gaming” means all forms of gaming that are not class I or class II gaming,
including but not limited to:
(1)

any house banking game, including but not limited to card games such as
baccarat, chemin de fer, blackjack (21), and pai gow (if played as housebanking games), and casino games such as roulette, craps, and keno;

(2)

any slot machines, as defined in 15 U.S.C. § 1171(a)(1), and electronic or
electromechanical facsimiles of any game of chance;

(3)

any sports betting and pari-mutuel wagering, including but not limited to
wagering on horse racing, dog racing, or jai alai; and

(4)

lotteries.

(o)

“Compliance” means that any gaming and gaming-related activity regulated by this
chapter is conducted in accordance with applicable laws.

(p)

“Compliance determination” has the meaning given in § 309 of this chapter.

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(q)

“Confidential data” means authority data on a person that by Band statute,
regulation or order, or by applicable federal law, is not made available to the public.
The term includes Confidential Limited Availability Data and Confidential Restricted
Availability Data.

(r)

“Confidential financial information” means any financial accounting records,
ledgers, reports, and audits; and any profit and loss statements, cash flow projections,
tax returns, invoices, checks, bank records, or other data on the revenues,
expenditures, or financial obligations of a person, other than a gaming enterprise or
gaming operation.

(s)

“Confidential limited availability data” means confidential data that by Band
statute, regulation or order, or by applicable federal law is made accessible to the
subject of the data, if any.

(t)

“Confidential restricted availability data” means confidential data that is not
available to the subject of the data.

(u)

“Corporate Ventures” means Mille Lacs Corporate Ventures (formerly known as
the Corporate Commission of the Mille Lacs Band of Ojibwe) as established by 16
MLBS § 101 et seq.

(v)

“Corporate Commissioner” means the Mille Lacs Band Commissioner for
Corporate Affairs.

(w)

“District Court” means the District Court of the Mille Lacs Band of Ojibwe
established by 5 MLBS § 2.

(x)

“Detailed Gaming Regulations” or “DGR” means a full and complete set of
gambling regulations promulgated by the Authority pursuant to § 306 of this chapter
to:
(1)

ensure effective, independent oversight and regulation of all gaming
conducted on Band lands;

(2)

ensure that persons who hold key positions in the Band’s gaming enterprises
and gaming operations are honest, trustworthy, and of good moral character;

(3)

protect Band assets through implementation of strong, effective financial
accounting and internal cash controls;

(4)

comply with all applicable law, including Band law, federal law, and tribalstate compacts; and

(5)

clearly define and distinguish the respective duties and powers of casino
management and gaming regulation so that they complement one another in

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such a manner as to maximize the benefits of gaming to the Band and the
surrounding non-Indian community.
(y)

“Director” means the director of the Office of Gaming Regulation and Compliance
as described § 401 of this chapter.

(z)

“Exclusion list” means a list prepared pursuant to § 313 of this chapter that contains
the names of persons who shall not be permitted in any gaming enterprise and gaming
operation.

(aa)

“Financial information on a gaming enterprise and gaming operation” includes,
but is not limited to, any financial accounting records, ledgers, reports, and audits;
and any profit and loss statements, cash flow projections, tax returns, invoices,
checks, bank records, or other data on the revenues, expenditures, or financial
obligations of a gaming enterprise or gaming operation.

(bb)

“Gaming” means an activity in which a person stakes or risks something of value on
the outcome of a contest of chance or a future contingent event, not under her or his
control or influence, upon an agreement or understanding that the person, or someone
else, will receive something of value in the event of a certain outcome, but shall not
include a bona fide business transaction.

(cc)

“Gaming activity” or “Gaming activities” means any class I, class II, or class III
gaming activity as defined by the IGRA and conducted by or under the jurisdiction of
the Band.

(dd)

“Gaming Compliance Officer” means the officer described in § 402(a)(4) of this
chapter.

(ee)

“Gaming contractor” means any person or entity that supplies gaming devices or
other gaming equipment, personnel, or services, including gaming management or
consulting services, to any gaming activity or gaming enterprise or gaming operation.

(ff)

“Gaming enterprise(s)” means the gaming entities through which the Band
conducts, regulates, and secures gaming on Indian lands within the Band’s
jurisdiction pursuant to the Indian Gaming Regulatory Act.

(gg)

“Gaming operation” means the Grand Casino Mille Lacs, the Grand Casino
Hinckley, and any other commercial facility or business operated, in whole or in part,
for the conduct of gaming or related to gaming activities within the jurisdiction of the
Band.

(hh)

“Gaming Regulatory Authority” means the independent agency established herein
and designated with responsibility for performing the Band’s regulatory
responsibilities and duties under the IGRA, this chapter, and any tribal-state

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compacts. The Gaming Regulatory Authority is comprised of both the Board and the
Office of Gaming Regulation & Compliance.
(ii)

“Gaming supplier” means any contractor or other supplier of gaming goods,
supplies, materials, equipment, or services to any gaming enterprise or gaming
operation, the aggregate annual cost of which to the Band’s gaming enterprises or
gaming operation is at least $25,000.00. The term “gaming supplier” shall be more
particularly defined in Detailed Gaming Regulations promulgated by the Authority.

(jj)

“Hearing examiner” means an individual employed or contracted with by the
Authority for the purpose of conducting a hearing pursuant to this chapter. Such
person shall: (1) be independent of any claimant, Corporate Ventures, any gaming
enterprise or gaming operation, and any affiliates of the foregoing; (2) be an attorney
in good standing licensed by the Band and any state; and (3) have relevant legal
experience.

(kk)

“Immediate family” or “related to” refers to persons who are the subject
individual’s spouse, parents, siblings, and children, either adopted or biological.

(ll)

“Indian charitable organization” means any non-profit association or corporation,
or unincorporated community group, with a primary purpose of engaging in social,
educational, cultural, religious or charitable activities, or a combination thereof within
the tribal community.

(mm) “Indian Gaming Regulatory Act” or “IGRA” means the Act of October 17, 1988,
Public Law 100-497, 25 U.S.C. § 2701 et seq. as amended, and all regulations
promulgated pursuant thereto.
(nn)

“Information on a pending compliance recommendation” means (1) any data
gathered by the Director in connection with an ongoing investigation for which a
Compliance Recommendation is required pursuant to § 402(b) of this chapter or (2)
any compliance recommendation that has been completed by the Director but not yet
finally acted upon by the Authority.

(oo)

“Information on a pending license application” means any data submitted by the
applicant or gathered by the Director or the Authority in connection with a pending
application for a license required by this chapter.

(pp)

“Key employee” means:
(1)

any person who performs one (1) or more of the following functions for a
gaming enterprise or gaming operation: (A) bingo caller; (B) counting room
supervisor; (C) chief of security; (D) floor manager; (E) pit boss; (F) dealer;
(G) croupier; (H) approver of credit; (I) custodian of gaming systems as
defined in 25 C.F.R. § 547.2 and similar class III systems, gaming cash or

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gaming cash equivalents, or gaming system records; or (J) custodian of
surveillance systems or surveillance system records;
(2)

any gaming operation or gaming enterprise employee authorized by the
gaming operation or gaming enterprise for unescorted access to secured
gaming areas designated as secured gaming areas by the Authority;

(3)

if not otherwise licensed as a key employee or primary management official,
the four (4) persons most highly compensated by a gaming enterprise or
gaming operation; and

(4)

any other employee of the gaming enterprise or gaming operation as
documented by the tribe as a key employee; or

(5)

any other person as defined in 25 C.F.R. Part 502.14.

(qq)

“Management principal” means any person who is an officer or member of the
Board or other person defined as a primary management official as defined in 25
C.F.R. § 502.19.

(rr)

“Member” means a member of the Gaming Regulatory Authority Board of
Directors.

(ss)

“National Indian Gaming Commission” or “NIGC” means the commission
established within the U.S. Department of the Interior under 25 U.S.C. § 2704.

(tt)

“Net revenues” means gross gaming revenues of an Indian gaming operation or
gaming enterprise less: (1) amounts paid out as, or paid for, prizes; and (2) total
gaming-related operating expenses, including all those expenses of the gaming
operation or gaming enterprise commonly known as operating expenses and nonoperating expenses consistent with professional accounting pronouncements,
excluding management fees.

(uu)

“Non-key employee” means any person employed by a gaming enterprise or
Corporate Ventures, who is not otherwise defined as a key employee or primary
management official.

(vv)

“Office of Gaming Regulation and Compliance” or “OGR&C” means the office
charged with the responsibility of, inter alia, regulating gaming activity within the
jurisdiction of the Band.

(ww) “Person” means any individual, partnership, corporation, association, business trust,
joint stock company, unincorporated association or society, any other business or
non-business entity, or the legal representative of such entity.

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(xx)

“Personnel data” means data on individuals collected because the individual is or
was an associate of, or an applicant for employment with, the Authority or acts as an
independent contractor therefor.

(yy)

“Primary management official” means:
(1)

the Corporate Commissioner;

(2)

any person having management responsibility for a management contract;

(3)

any person who has authority to (i) hire and fire employees of a gaming
operation or gaming enterprise; or (ii) establish policy for a gaming operation
or gaming enterprise;

(4)

the chief financial officer or a position with duties similar to a chief financial
officer;

(5)

the general manager or a position with duties similar to a general manager; or

(6)

any other person as defined by 25 C.F.R. Part 502.19.

(zz)

“Security information” means authority data the disclosure of which would be
likely to substantially jeopardize the security of gaming enterprise or gaming
operation information, possessions, associates, guests, or property against theft,
tampering, improper use, illegal disclosure, trespass, or physical injury.

(aaa)

“Trade secret information” means Authority data, including formula, pattern,
compilation, program, device, method, technique, or process that was (1) supplied by
the affected person; (2) is the subject of efforts by the affected person to maintain its
secrecy; and (3) derives independent economic value, actual or potential, from not
being generally known to, and not being readily ascertainable by proper means by,
other persons who can obtain economic benefit from its disclosure or use.

(bbb) “Tribal-state compact” means an agreement between the Band and the state of
Minnesota about class III gaming under 25 U.S.C. § 2710(d).
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 4.
Band Act 80-23.

§ 4. Severability.

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If any provision or application of this chapter is determined by judicial review to be invalid, such
determination shall not be held to render such provision inapplicable to other persons or
circumstances, nor shall such determination render invalid any other provisions of this chapter.
Historical and Statutory Notes
Source:
Band Act 80-23.

SUBCHAPTER 2
GAMING ACTIVITY
Section
101. General Prohibition on Gaming Activities; Violations Punishable.
102. Unauthorized Gaming Prohibited.
103. Permitted Gaming.
104. Tribal-State Compacts for Class III Gaming Authorized.
105. Use of Band Lands for Gaming Purposes.
106. Health, Safety, and Environmental Protections.
107. Prohibited Activities.
§ 101. General Prohibitions on Gaming Activities; Violations Punishable.
All gaming activity on Band lands shall be conducted in compliance with this chapter and any
Gaming Activities not authorized by this chapter or by Detailed Gaming Regulations
promulgated pursuant to this chapter by the Authority is prohibited. Any violations of this
chapter shall be punishable through means adopted by this chapter, the Authority, and as
otherwise provided by Band law.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 5.
Band Act 80-23.

§ 102. Unauthorized Gaming Prohibited.
All gaming activities on Band lands, whether class I, II, or III, are prohibited and unlawful,
except as expressly authorized by this chapter.
Historical and Statutory Notes
Source:

26

Band Ordinance 44-03, § 6(a).
Band Act 80-23.

§ 103. Permitted Gaming.
(a)

Class I gaming. Class I traditional games are permitted to the extent consistent with
tribal custom and practice. The Authority may prohibit and prevent any conduct
which is claimed to be class I gaming if it finds that such conduct is not in accordance
with tribal customs or practices or violates the IGRA or other applicable law. The
Authority shall consult with a committee of Band Elders to determine which games
are consistent with Band custom and practice. These games shall be listed and defined
in the Detailed Gaming Regulations

(b)

Class II and class III gaming. Class II and class III gaming on Band lands is hereby
authorized. The Band has the sole proprietary interest in and responsibility for the
conduct of any gaming enterprise or gaming operation.
(1)

(2)

(3)

Permitted class II games. The following class II games are permitted:
(i)

any game of chance which the Authority or the NIGC has determined
to be class II in accordance with this chapter; and

(ii)

any game of chance for which the Authority has promulgated rules and
Detailed Gaming Regulations so that such games are conducted in
accordance with this chapter.

Permitted class III games. The following class III games are permitted:
(i)

video games of chance licensed and conducted pursuant to any tribalstate compact between Corporate Ventures and the State of Minnesota;

(ii)

blackjack games licensed and conducted under the terms of any tribalstate compact between Corporate Ventures and the State of Minnesota;
and

(iii)

any other game of chance which is licensed and conducted pursuant to
any tribal-state compact and for which the Authority has promulgated
rules and Detailed Gaming Regulations in accordance with this
chapter.

Game classification decisions. A gaming enterprise or gaming operation may
submit to the Authority a request for a determination of whether a particular
game qualifies as a class II game or class III game under the IGRA. The
Authority must issue a game classification decision with respect to the game
promptly after the request.

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(c)

(i)

In arriving at any gaming classification decision, the Authority may
employ the services of a hearing examiner to either make a
recommendation for a game classification decision or issue a game
classification decision on behalf of the Authority.

(ii)

The gaming enterprise or gaming operation must reimburse the
Authority for any costs incurred in producing the game classification
decision, regardless of the outcome.

(iii)

The gaming enterprise or gaming operation may appeal the
Authority’s game classification decision to the District Court, which
may hire a special magistrate to provide assistance.

Community charitable gaming.
(1)

Policy. It is the policy of the Band to foster and assist Indian charitable
organizations and the good works they perform for the community. To this
end, the Band will allow Indian charitable organizations to use certain forms
of gaming to raise money for their charitable purposes and to provide a
healthy social outlet for members of such groups and their friends. The
Authority shall regulate charitable gaming carried out by an Indian charitable
organization in order to promote the general health and safety of the Band and
to ensure that such gaming is operated honestly, with high integrity, and in
accordance with the highest standards.

(2)

Allowable games. Indian charitable organizations may operate the games of
pull-tabs and bingo for the purposes set forth in paragraph (1) above.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 6(b).
Band Act 80-23.

§ 104. Tribal-State Compacts for Class III Gaming Authorized.
(a)

Corporate Ventures authorized. Corporate Ventures is hereby authorized to
negotiate and enter into tribal-state compacts with the State of Minnesota to govern
the conduct of class III gaming on Band lands. Such tribal-state compacts and
amendments thereto, other than technical amendments as provided in subsection (b)
below, shall not be valid until ratified by the Band Assembly pursuant to Titles 3 of
Mille Lacs Band Statutes.

(b)

Technical amendments. Corporate Ventures may enter into technical amendments
pursuant to section 6.12 of the Video Game of Chance Compact or section 7 of the
Blackjack Compact or similar section of any subsequent tribal-state compact and such
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technical amendment shall not require Band Assembly approval as provided in
section subsection(a) above. Shareholders shall be delivered copies of any technical
amendments at the shareholders’ meetings.
(c)

Regulations to be in compliance with tribal-state compacts. The Authority shall
adopt Detailed Gaming Regulations to provide that such class III gaming is conducted
in compliance with the terms and conditions of such tribal-state compact or
amendments thereto.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 6(c).
Band Act 80-23.

§ 105. Use of Band Lands for Gaming Purposes.
(a)

Leases. Leases for all Band lands for gaming activities, or related to gaming activity
purposes, shall be in full compliance with all applicable laws of the United States and
the Band.

(b)

Anishinaabeg celebrations. The use of Band lands for Anishinaabeg celebrations or
other social events, which includes traditional gaming as part of the celebration or
other social event, shall not be subject to federal, state, or local government approval.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 7.
Band Act 80-23.

§ 106. Health, Safety, and Environmental Protection.
The construction and maintenance of any facility wherein gaming activities are conducted and
the operation of gaming activities authorized by this chapter, or any other Band law, shall be
conducted in a manner which adequately protects the environment and the public health and
safety, and shall comply with all applicable Band and federal law.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 8.
Band Act 80-23.

§ 107. Prohibited Activities.
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(a)

Minors prohibited. It shall be unlawful for any adult to allow a person under the age
of 18 years to participate in gaming activities at a gaming enterprise or gaming
operation, or for such minor to participate in gaming activities at a gaming enterprise
or gaming operation.

(b)

Cheating prohibited. It shall be unlawful to conduct or participate in any gaming in
a manner which results in cheating, misrepresentation, or other disreputable tactics
which distract from a fair and equal chance for all participants, or otherwise affects
the outcome of the game.

(c)

Sale and consumption of alcoholic beverages. The sale of alcoholic beverages shall
be permitted at any gaming enterprise or gaming operation, if properly licensed
pursuant to 18 MLBS § 208 and applicable federal and state law. The sale of
alcoholic beverages under this section is subject to special surcharge taxes established
by 22 MLBS § 509.

(d)

Extension of credit prohibited. Extension of credit in any form shall not be allowed
at any gaming enterprise or gaming operation, unless specifically authorized by Mille
Lacs Band Statutes and properly licensed pursuant to applicable Band, federal, and
state law.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 16.
Band Act 80-23.

SUBCHAPTER 3
OWNERSHIP AND REVENUES
Section
201. Ownership of Gaming.
202. Ownership and Use of Class II and Class III Gaming Revenues.
§ 201. Ownership of Gaming.
The Band shall have the sole proprietary interest in and responsibility for conducting any class II
and class III gaming activities authorized by this chapter, except to the extent the Band may
contract with and license a person or entity to own, operate, o\r manage a gaming enterprise or
gaming operation pursuant to provisions of the IGRA, any tribal-state compacts, or as otherwise
permitted by applicable law.
Historical and Statutory Notes

30

Source:
Band Ordinance 44-03, § 9.
Band Act 80-23.

§ 202. Ownership and Use of Class II and Class III Gaming Revenues.
(a)

(b)

(c)

Band property.
(1)

All revenues generated from any class II or class III gaming activities
conducted by any gaming enterprise or gaming operation are the sole property
of the Band, except as provided for under the terms of any agreement made
pursuant to the provisions of the IGRA, or as otherwise permitted by Band
law.

(2)

Any profits or net revenues from any class II or class III gaming activities
conducted by any gaming enterprise or gaming operation shall be deposited
into the Band’s general treasury. Upon becoming part of the general treasury,
such funds shall lose any identity as gaming revenues, except to the extent
necessary to identify them as such in order to comply with applicable law.

(3)

No individual Band member shall be deemed to have any interest in such
profits or net revenues from any class II or class III gaming activities
conducted by any gaming enterprise or gaming operation, provided that the
Band may adopt rules for distributing gaming proceeds to Band members on a
per capita basis; provided further that such plan must meet the requirements of
25 U.S.C. § 2710 (b)(3). Payments from the general treasury funds to Band
members under other Band programs, including those related to health,
welfare, education, elderly care, and housing, shall not be deemed “per capita”
payments.

Use of net gaming revenues. Net revenues derived from any class II or class III
gaming activities conducted by any gaming enterprise or gaming operation shall be
used only for the following purposes:
(1)

to fund Band government operations or programs;

(2)

to provide for the general welfare of the Band and its members;

(3)

to promote Band economic development;

(4)

to donate to charitable organizations recognized by the Band; or

(5)

to help fund operations of local government agencies.

Distribution plan. There shall be no per capita payments made from any net
revenues derived from any class II or class III gaming activities conducted by any
31

gaming enterprise or gaming operation, unless the distribution plan is approved by the
U.S. Secretary of the Interior pursuant to 25 U.S.C. § 2701 et seq. and the payments
are made in accordance with such approved plan.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 10.
Band Act 80-23.

SUBCHAPTER 4
GAMING REGULATORY AUTHORITY
Section
301. Establishment.
302. Board of Directors.
303. Organization.
304. General Powers and Duties of the Authority.
305. Staff and Administrative Support; Office Space; Equipment; Information
Technology.
306. Detailed Gaming Regulations.
307. Monitoring and Investigation.
308. Licensing.
309. Compliance Determinations.
310. Independent Audits.
311. Enforcement.
312. Limitations on Actions.
313. Excluded Persons.
314. Regulatory Role.
315. Patron Dispute Resolution.
316. Budget.
317. Legal Counsel.
§ 301. Establishment.
There is hereby established as an agency of the Band the “Gaming Regulatory Authority,”,
which has the power and duty to regulate gaming matters for the Band as authorized by Band
law.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 11(a).
Band Act 80-23.

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§ 302. Board of Directors.
(a)

The Authority shall be managed by a Board of Directors to be known as the
Authority’s “Board.” At all times there shall be at least one (1) Board Member, to be
known as “Member(s),” on the Board from each Band district. The Board shall
consist of five (5) Members appointed in the manner and have the terms provided in
subsection (b).

(b)

Appointments process, terms, and oath of office. Each Member shall be appointed
using the following process.
(1)

The Chief Executive shall nominate two (2) individuals and submit their
names to the Secretary-Treasurer. Within ten (10) calendar days after receipt
of the nominations by the Secretary-Treasurer, the Secretary-Treasurer shall
ratify one (1) of the two (2) nominees to be a Member of the Board. Such
Member shall serve until September 1, 2024. Any subsequent appointment,
other than to fill a vacancy that occurs prior to the end of a term, shall be for
four (4) years.

(2)

Each District Representative shall nominate two (2) individuals and submit
their names to the Chief Executive. Within ten (10) calendar days after receipt
of the nominations by the Chief Executive, the Chief Executive shall ratify
one (1) of the two (2) nominees to be a Member of the Board. Such Members
shall serve until September 1, 2026. Any subsequent appointment, other than
to fill a vacancy that occurs prior to the end of a term, shall be for four (4)
years.

(3)

The Secretary-Treasurer shall nominate two (2) individuals and submit their
names to the Chief Executive. Within ten (10) calendar days after receipt of
the nominations by the Chief Executive, the Chief Executive shall ratify one
(1) of the two (2) nominees to be a Member of the Board. Such Member shall
serve until September 1, 2024. Any subsequent appointment, other than to fill
a vacancy that occurs prior to the end of a term, shall be for four (4) years.

(4)

If the Chief Executive or the Secretary-Treasurer do not ratify one from any of
the nominations sent to them within the time prescribed, then the Band
Assembly shall select such Member by majority vote.

(5)

If any elected official does not submit a nomination within 30 days after a
vacancy has occurred, then the Band Assembly shall nominate two (2)
individuals by majority vote and submit their names to the Chief Executive for
ratification to the Board. The timing and process for such ratification are as
stated in sections 11(b)(1)(A) and (D).

33

(6)
(c)

(d)

No member shall take office until swearing to the oath of office pursuant to
2 MLBS § 8.

Qualifications.
(1)

Members shall be adults who are of high moral character and integrity; who
have a reputation for being honest, fair, and objective; and who are recognized
as possessing sound judgment.

(2)

Members may not have been convicted of a felony or any gambling-related
offense. All requisite background investigations shall be performed under the
direction of the Authority’s licensing office.

(3)

No fewer than three (3) Members shall be enrolled members of the Band.
There shall be at least one (1) Board Member from each of the Band’s three
(3) Districts.

(4)

Members may not be employed by any gaming enterprise or gaming
operation, nor may they gamble at any gaming enterprise or gaming operation.

(5)

Members shall be subject to the background investigations and standards for
primary management officials.

Board Officers.
(1)

Officers. The Board shall have a Chairperson, Vice-Chairperson, and
Secretary.

(2)

Selection.

(3)

(i)

Chairperson. The Members shall select from among themselves, by
majority vote, a Chairperson. The Chairperson shall serve for a period
of no longer than two (2) years, unless re-appointed by the Board.

(ii)

Vice-Chairperson. The Members shall select from among themselves,
by majority vote, a Vice-Chairperson. The Vice-Chairperson shall
serve for a period of no longer than two (2) years, unless re-appointed
by the Board.

(iii)

Secretary. The Board may select a Member or an employee of the
Authority to act as Secretary of the Board. The Secretary shall serve
for a period of no longer than two (2) years, unless re-appointed by the
Board. An employee acting as Secretary at the request of the Board is
not a Board Member and has no powers of a Member.

Board duties.

34

(4)

(i)

The Chairperson shall preside over meetings of the Board and the
Vice-Chairperson shall preside over meetings of the Board in the
absence of the Chairperson. The Secretary shall record in writing the
minutes of all Board meetings and all official actions taken by the
Authority, and shall notify all persons who, under this chapter, require
notification of such official actions.

(ii)

In carrying out any function under the provisions of this chapter, all
Members shall be governed by the laws of the Band, general policies
of the Authority, and such regulatory decisions, findings, and
determinations as the Authority may by law be authorized to make.

(iii)

Requests or estimates for regular, supplemental, or deficiency
appropriations on behalf of the Authority may be submitted to the
Band Assembly by the Chairperson with the prior approval of the
Board.

(iv)

The Chairperson shall delegate authority and assign duties to the
Director of the Office of Gaming Regulation and Compliance
sufficient to aid the Authority in fulfilling its regulatory
responsibilities. Such assignment and delegation shall comply with
this chapter.

(v)

Members shall serve part-time; however, the Board shall meet a
minimum of once per month or more if necessary to fulfill its duties.

(vi)

Members shall attend one (1) or more training seminars or courses
related to gaming regulation per year during their terms of
membership. Such seminars shall be paid by the Authority. Per diem
and other travel expenses shall be paid at the rate of a Senior
Executive Staff Band employee pursuant to 6 MLBS § 1001 et seq.

Vacancies in memberships.
(i)

The Chairperson shall notify the Band Assembly and the Chief
Executive of any vacancy on the Board of Directors at least 30 days
prior to the end of a term, or, in circumstances other than the end of a
term, immediately upon the knowledge that a vacancy will occur.

(ii)

If there is a vacancy on the Board, then the vacancy shall be filled in
accordance with subsection (b).

(iii)

Any Member, including the Chairperson, appointed to fill a vacancy
shall serve for the remainder of the term left vacant; however, any

35

Member may be re-appointed during this time period pursuant to
subsection(b).
(5)

Disqualifications from Board membership. The following persons are not
eligible to serve as Board Members:
(i)

Band elected officials and commissioners, while serving as such;

(ii)

current employees of any Band gaming enterprise or gaming
operation;

(iii)

any employee of Corporate Ventures working closely with a Band
gaming enterprise or gaming operation in a manner that gives rise to a
conflict of interest, as determined by the Board;

(iv)

gaming contractors, including any principal of a management or other
contracting company;

(v)

persons ineligible to be key employees or primary management
officials, as determined by the Authority via regulation; and

(vi)

persons who are immediate family members of, or who share a
residence with, any of the above ineligible persons.

(6)

Embezzlement, theft, and money-related or honesty-related offenses.
Persons who have been previously convicted of any felony or misdemeanor
offense of embezzlement, theft, or any other money-related or honesty-related
misdemeanor offense, such as fraud, cannot serve as a Board member.

(7)

Removal from Board membership. Members may be removed by a supermajority vote of four (4) out of five (5) members of the Joint Session of the
Band Assembly. The determination of the Joint Session is final and
unappealable to the District Court.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(b).
Band Act 80-23.

§ 303. Organization.
(a)

Meetings.

36

(1)

Regular meetings. Regular meetings of the Board shall be held at least
monthly and upon written notice. The dates and forms of regular meetings
shall be set by official action of the Board.

(2)

Special meetings. Special meetings of the Board may be called by the
Chairperson with a minimum of 48 hours written notice to the Board
Members, by the Director with a minimum of 48 hours written notice to the
Chairperson, or by a majority vote of the Board with 48 hours written notice
to the Chairperson.

(3)

Other. Either regular or special meetings may be called by petition of a
majority of a quorum of the Board Members other than the Chairperson upon
48 hours written notice to the Chairperson.

(4)

Alternative meeting arrangements. Regular or special meetings may be
conducted by telephone, video or web conference, or similar means. The
Chairperson must provide the Board Members with 48 hours written notice
prior to convening any meeting under this subsection.

(5)

Consent presumed. A Member’s participation in a meeting described herein
without explicit objection will constitute consent to the manner in which such
a meeting is conducted.

(b)

Quorum. Three (3) Board Members shall constitute a quorum.

(c)

Voting.

(d)

(1)

All actions of the Board shall be taken by majority vote.

(2)

The Chairperson shall vote only in the following circumstances:
(i)

to break a tie; or

(ii)

if necessary, to constitute a quorum in the absence of other Members.

Compensation.
(1)

Board meetings. Members, including the Chairperson, shall be compensated
with $400.00 per meeting, not to exceed $800.00 in one (1) month, except that
in the case of a demonstrated emergency, the Chairperson may petition the
Secretary-Treasurer for compensation for additional meetings. Mileage and
other travel expenses will be compensated on the same terms and conditions
as apply to Senior Executive Staff appointees as provided by Band law.

(2)

Training. If Members are not Band government employees and are required
to be absent from their employment to attend mandatory training pursuant to

37

subsection (d)(3)(vi), then Members shall be compensated at their previously
documented hourly rates of pay for each hour that they are in attendance at
such training plus mileage and other travel expenses as stated in paragraph (1)
above. If Members are Band government employees, then absence from
employment will not be deducted from their accrued annual leave and they
will be paid as if they were at work plus expenses as stated in paragraph (1)
above.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 11(c).
Band Act 80-23.

§ 304. Powers and Duties of the Authority.
The Authority shall be responsible for ensuring that all gaming activities on Band lands are
carried out in compliance with the IGRA, Band gaming laws, any tribal-state compacts, and
other applicable law. To this end, the Authority shall exercise regulatory, not operational,
authority over any gaming enterprise or gaming operation and charitable gaming. All
management and operational authority over any gaming enterprise or gaming operation shall
remain with Corporate Ventures separate and distinct from the Authority. The Authority may
retain such consultants and enter into such contracts as it may deem necessary to carry out its
duties as specified in this chapter; however, it shall not hire employees of the Office of Gaming
Regulation and Compliance. In addition, as an agency of Band government, the Authority shall
comply with all Band laws, including Title 7, for all contracts, including professional services
contracts. The Authority may bring such actions as may be necessary to carry out its duties,
including but not limited to the enforcement of this chapter and other Band gaming laws.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 11(c).
Band Act 80-23.

§ 305. Staff and Administrative Support; Office Space; Equipment; Information
Technology.
The OGR&C shall provide staff and administrative support, office space, equipment, and
information technology support to the Authority. Any office space, equipment, or information
technology support provided by the OGR&C shall be separate and not under the authority of
Corporate Ventures, except that OGR&C may enter into contractual arrangements with
Corporate Ventures for the provision of any such office space, equipment, or information
technology. Any contracts entered into under this section shall be nominal value and shall not
frustrate the Authority’s ability to carry out its regulatory functions under this chapter.

38

Historical and Statutory Notes
Source:
Band Act 80-23.

§ 306. Detailed Gaming Regulations.
(a)

Power and duty. The Authority shall have the power and duty to develop, adopt, and
promulgate Detailed Gaming Regulations regarding:
(1)

licensing of gaming enterprises or gaming operation;

(2)

licensing and background investigations of key employees and primary
management officials;

(3)

licensing and background investigations of gaming suppliers;

(4)

conducting annual independent audits of all gaming operations or gaming
enterprise of the Band;

(5)

permitted games and the conduct thereof;

(6)

standards and criteria for gaming machines and for testing machines;

(7)

audio and video surveillance standards;

(8)

minimum internal cash, playing card, chip, and token control standards, and
procedures for gaming operations or gaming enterprise;

(9)

procedures for compliance with the Bank Secrecy Act and applicable
provisions of the Internal Revenue Code;

(10)

resolving gaming-related disputes involving patrons and vendors of any
gaming enterprise or gaming operation, after exhausting all remedies available
at the gaming enterprise or gaming operation;

(11)

charitable gaming as provided in § 103(c) of this chapter;

(12)

the prevention and cure of compulsive gambling as provided in subchapter 8
of this chapter;

(13)

the development and maintenance of a list of excluded persons as provided in
§ 313 of this chapter;

39

(b)

(14)

related reporting, record-keeping, auditing, investigation, and enforcement
procedures;

(15)

dispute resolution procedures, including OGR&C employee appeals;

(16)

reasonable fines and other penalties for violations of this chapter, Band
gaming laws, the IGRA, any tribal-state compacts, and other applicable law;
and

(17)

other activities as required by law.

Rulemaking process. The Authority shall promulgate Detailed Gaming Regulations
authorized by this chapter with or without hearing according to the notice and
comment process specified herein.
(1)

(2)

Notice of intent to adopt. The Authority shall give notice of its intent to
adopt a Detailed Gaming Regulation by posting a copy of the notice on the
Authority’s website; by posting a copy of the notice in the Band Government
Center and the Community Centers in Districts I, II, and III; and by delivering
a copy of the notice by U.S. mail or other appropriate means to the Chief
Executive, the Speaker of the Band Assembly, the Solicitor General, the
Corporate Commissioner, and the manager of any gaming enterprise or
gaming operation. The notice shall include a copy of the proposed regulation
and a description of the nature and effect of the proposed regulation. In
addition, the notice shall include the following statements:
(i)

comments may be submitted on the proposed regulation no later than
30 days from the date of the notice; and

(ii)

the proposed regulation may be modified if supported by the data and
views submitted.

Review; adoption; notice of adoption. The Authority shall review all
comments received during the comment period, shall make such changes to
the proposed Detailed Gaming Regulation as it deems reasonable and
appropriate, and shall approve the regulation by resolution. The regulation
shall not become effective until after the 30-day comment period has
concluded. The Authority shall, by official action, set the effective date of the
regulation and publish and post copies of a notice of adoption of the
regulation in the same manner as for the notice of intent to adopt the
regulation. The notice of adoption shall summarize the final regulation and the
changes to the proposed regulation, state the effective date, and announce that
free copies of the regulation are available from the Authority. In addition,
copies of the notice and the final regulation shall be delivered by U.S. mail or
other appropriate means to all persons who were sent a copy of the notice of
intent.

40

(3)

Adoption is a compliance determination. Approval of any Detailed Gaming
Regulation by the Authority shall be considered a compliance determination
for purposes of effecting an appeal pursuant to subchapter 6 of this chapter.

(4)

Detailed Gaming Regulations. The Authority shall adopt a set of Detailed
Gaming Regulations. Any such gaming regulation may be annulled by statute.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(2).
Band Act 80-23.

§ 307. Monitoring and Investigation.
(a)

(b)

General. The Authority shall have the power and duty
(1)

to monitor and investigate all gaming enterprises or gaming operations for
compliance with the IGRA, Band gaming laws, any tribal-state compacts, and
other applicable law and to undertake such related investigations and
enforcement actions as it deems necessary, including but not limited to
investigating and evaluating the effectiveness of the Band’s gaming regulatory
system;

(2)

to help resolve all gaming-related patron and vendor complaints that have not
been resolved by agreement of a complainant and the gaming enterprise or
gaming operation;

(3)

to grant, deny, or suspend licenses, prior to levying fines;

(4)

to assure compliance with the rules concerning charitable gaming;

(5)

to assure compliance with compulsive gambling cure and prevention
requirements;

(6)

to develop, maintain, and enforce a list of persons to be excluded from gaming
enterprises or gaming operations; and

(7)

to take any and all other similar action it deems to be necessary or desirable to
carry out the powers and duties granted by this section.

Scope of investigations and related activities. Any investigations and related
activities, including but not limited to electronic and non-electronic searches of credit
histories, arrests, and judgements, and electronic surveillance shall be strictly limited
to official Authority duties under law. All such investigations and related activities
41

may be undertaken only after review by legal counsel that the scope and subject of
any such activities complies with this chapter and other applicable law. Individuals
who perform investigations and related activities outside the scope of this chapter and
other applicable law are subject to immediate dismissal and reasonable fines.
(c)

Access. The Authority shall have access to all books, files, records, reports, and other
data regarding the operation of all gaming enterprises or gaming operations, whether
in written or electronic form, as it deems necessary or desirable to carry out its
legitimate regulatory duties as determined by the Authority.

(d)

Surveillance. The surveillance department shall be under the control and supervision
of the Authority; however, a gaming enterprise or gaming operation shall have access
to electronic surveillance output as further defined in the Detailed Gaming
Regulations.

(e)

Cooperation of the gaming enterprises or gaming operations with the Authority.
The Authority may:

(f)

(1)

require associates of any gaming enterprise or gaming operation to compile
and provide such data and to testify as to matters within their knowledge
concerning the operation of the gaming enterprise or gaming operation; and

(2)

require the associates of any company that is managing a gaming enterprise or
gaming operation on behalf of Corporate Ventures, or any other person within
the jurisdiction of the Band, to comply and provide such data and to testify as
to matters within their knowledge concerning the operation of the gaming
enterprise or gaming operation. The Authority may utilize licensing actions,
reasonable fines, and any other enforcement powers vested to the Authority
within this section to ensure cooperation.

Due process protections. Nothing in this chapter waives or diminishes any gaming
enterprise’s or gaming operation’s or individual’s right to due process and equal
protection of the laws.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(3).
Band Act 80-23.

§ 308. Licensing.
(a)

General. The Authority shall promulgate Detailed Gaming Regulations for granting,
suspending, and revoking licenses, which are consistent with Band law, the IGRA,
and any tribal-state compacts regarding matters of licensure.

42

(b)

Minimum licensing requirements. It is the policy of the Band that all gaming
activities and enterprises or operations be licensed and controlled so as to protect the
morals, good order, and welfare of Band members and other persons on Band lands
and to preserve the honesty, fairness, and integrity of such gaming activities.
Accordingly, no person shall engage in any class II or class III gaming activities on
Band lands without an appropriate and valid independent class II or class III license
issued by the Authority. In addition, the Authority shall issue a separate license to
each place, facility, or location on Band lands where the Band elects to allow class II
or class III gaming. The Authority shall perform background investigations and issue
licenses for key employees and management officials according to requirements that
are at least as stringent as those in 25 C.F.R. §§ 556 and 558 which are hereby
incorporated into this chapter, unless otherwise superseded pursuant to an agreement
with the NIGC. No license shall be issued that would place the Band in violation of
applicable law or any tribal-state compacts.

(c)

Mandatory licensing application provisions and procedures.
(1)

Notices to applicants.
(i)

Privacy notice. The Authority shall place the following notice 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 granted a gaming
license. The information will be used by the Mille Lacs Band Gaming
Regulatory Authority and by the National Indian Gaming Commission
members and staff who have need for the information in the
performance of their official duties. The information may be disclosed
by the Mille Lacs Band or NIGC to appropriate federal, tribal, state,
local, or foreign law enforcement and regulatory agencies when
relevant to civil, criminal, or regulatory investigations or prosecutions
or when pursuant to a requirement by a tribe or the National Indian
Gaming Commission in connection with the issuance, denial, or
revocation of a gaming license, or investigations of activities while
associated with a tribe or a gaming operation or gaming enterprise.
Failure to consent to the disclosures indicated in this notice will result
in the Mille Lacs Band being unable to license you for a primary
management official or key employee position.
The disclosure of your Social Security Number is voluntary. However,
failure to provide a Social Security Number may result in errors in
processing your application.

43

(ii)

The Authority shall place the following notice on the application form
for a key employee or a primary management official before that form
is completed by any applicant.
A false statement on any part of your license application may be
grounds for denying a license or the suspension or revocation of a
license. Also, you may be punished by fine or imprisonment (18 U.S.C.
§ 1001).

(iii)

(iv)

(2)

Upon enactment of this chapter, the Authority shall notify in writing
existing key employees and primary management officials that they
shall either:
(A)

complete a new application form that contains the notice stated
in § 308(c)(ii) above; or

(B)

sign a statement that contains the notice stated in § 308(c)(ii)
above and consent to the routine uses described in that notice.

If there exist any key employees or primary management officials who
have completed forms which did not contain the notice stated in clause
(ii) above, then the Authority shall notify in writing such employees
and 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.

Information required from an applicant. Each application for key
employees and primary management officials shall request from each
applicant the following information set forth at 25 C.F.R. § 556.4(a)(1) – (14):
(i)

full name, other names used (oral or written), Social Security
Number(s), birth date, place of birth, citizenship, gender, and all
languages (spoken or written);

(ii)

current and the previous five (5) years of business and employment
positions held, ownership interests in those businesses, business and
residence addresses, and driver’s license numbers;

(iii)

the names and current addresses of at least three (3) personal
references, including one (1) personal reference who was acquainted
with the applicant during each period of residence listed under clause
(ii) above;

44

(iv)

current business, residence, and all mobile phone numbers;

(v)

a description of any existing and previous business relationships with
Indian tribes, including ownership interests in those businesses;

(vi)

a description of any existing and previous business relationships with
the gaming industry generally, including ownership interests in those
businesses;

(vii)

the name and address of any licensing or regulatory agency with which
the person has filed an application for a license or permit related to
gaming, whether or not such license or permit was granted;

(viii) for each felony for which there is an ongoing prosecution or a
conviction, the charge, the name, and address of the court involved,
and the date and disposition, if any;
(ix)

for each misdemeanor conviction or ongoing misdemeanor
prosecution (excluding minor traffic violations) within ten (10) years
of the date of the application, the name and address of the court
involved, and the date of disposition, if any;

(x)

for each criminal charge (excluding minor traffic charges) whether or
not there is a conviction, if such criminal charge is within ten (10)
years of the date of the application and is not otherwise listed pursuant
to clauses (viii) or (ix) above, the criminal charge, the name address of
the court involved, and the date of disposition, if any;

(xi)

the name and address of any licensing or regulatory agency with which
the person has filed an application for an occupational license or
permit, whether or not such license or permit was granted;

(xii)

a current photograph;

(xiii) any other information the Authority deems relevant; and
(xiv)
(3)

fingerprints consistent with procedures adopted by the Band according
to 25 C.F.R. § 522.2(g).

Background investigations. The Authority shall perform a background
investigation for each primary management official and key employee in the
gaming operation or gaming enterprise. The investigation must be sufficient to
allow the Authority to make an eligibility determination under this section.
The Authority is responsible for conducting the background investigations of
primary management officials and key employees. The background

45

information shall include a review of criminal history records information
maintained by the Federal Bureau of Investigations.
(4)

Mandatory licensing procedures.
(i)

Fingerprints. Fingerprints of each applicant for the position of key
employee or primary management official will be taken by the
OGR&C and sent to either Minnesota Alcohol and Gambling
Enforcement or the NIGC for a check of criminal history records
maintained by the Federal Bureau of Investigations.

(ii)

File retention. When the Authority licenses a primary management
official or key employee, the Authority shall maintain the information
listed in § 308(c)(2) of this chapter.

(iii)

Confidentiality of interviewees. The Authority and its investigators
shall keep confidential the identity of each person interviewed in the
course of conducting a background investigation.

(iv)

Investigative reports.

(v)

(A)

The Authority shall create and maintain an investigative report
for each background investigation of a primary management
official or key employee.

(B)

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

Steps taken in conducting the background investigation;

(II)

results obtained;

(III)

conclusions reached; and

(IV)

the bases for those conclusions.

Eligibility determinations.
(A)

Before a license is issued to a primary management official or
key employee, the Authority shall make a finding concerning
the eligibility of that person for receiving a gaming license by
reviewing the applicant’s prior activities; criminal record, if
any; and reputation, habits, and associations.

(B)

If the Authority, in applying the standards adopted herein,
determines that licensure of the person poses a threat to the

46

public interest or to the effective regulation of gaming, or
creates or enhances the dangers of unsuitable, unfair, or illegal
practices, methods, or activities in the conduct of gaming, he or
she shall not license that person in a key employee or primary
management official position.
(C)

(vi)

(vii)

Copies of the eligibility determination shall be included with
the notice of results that must be submitted to the NIGC before
the licensing of a primary management official or key
employee.

Notice of results of background investigations.
(A)

Before issuing a license to a primary management official or
key employee, the Authority shall prepare a notice of results of
the applicant’s background investigation to submit to the
NIGC.

(B)

The notice of results must be submitted to the NIGC no later
than 60 days after the applicant begins working for any gaming
enterprise or gaming operation.

(C)

The notice of results shall include the following information:
(I)

the applicant’s name, date of birth, and Social Security
Number;

(II)

the date on which the applicant began, or will begin,
working as a primary management official or key
employee;

(III)

a summary of the information presented in the
investigative report, including licenses that have
previously been denied, gaming licenses that have been
revoked, even if subsequently reinstated, every known
criminal charge bought against the applicant within the
preceding ten (10) years of the date of the application,
and every felony offense of which the applicant has
been convicted or any ongoing prosecution; and

(IV)

a copy of the eligibility determination made in
accordance with § 308(c)(4)(v) of this chapter.

Granting a gaming license.

47

(A)

All primary management officials and key employees of the
gaming operation or gaming enterprise must have a gaming
license issued by the Band.

(B)

The Authority is responsible for granting and issuing gaming
licenses to primary management officials and key employees.

(C)

The Authority may license a primary management official or
key employee applicant after submitting a notice of results of
the applicant’s background investigation to the NIGC, as
required by § 308(c)(4)(vi) of this chapter.

(D)

The Authority shall notify the NIGC of the issuance of a
license to a primary management official or key employee
within 30 days of issuance.

(E)

The Band shall not employ an individual in a primary
management official or key employee position who does not
have a license after 90 days of beginning work at the gaming
operation or gaming enterprise.

(F)

The Authority must reconsider a license application for a
primary management official or key employee if it receives a
statement of itemized objections to issuance of such a license
from the NIGC and those objections are received within 30
calendar days of the NIGC receiving a notice of results of the
applicant’s background investigation.

(G)

The Authority shall take the NIGC’s objections into account
when reconsidering a license application.

(H)

The Authority will make the final decision whether to issue a
license to an applicant for a primary management official or
key employee position.

(I)

If the Authority has issued a license to a primary management
official or key employee before receiving the NIGC’s
statement of objections, notice and a hearing shall be provided
to the licensee, as required by § 308(c)(4)(ix) of this chapter.

(viii) Denial of gaming licenses.
(A)

The Authority shall not license a primary management official
or key employee if the Authority determines, in applying the
standards in this section for making a license eligibility
determination, that licensing the person:

48

(B)

(ix)

poses a threat to the public interest;

(II)

poses a threat to the effective regulation of gaming; or

(III)

creates or enhances the dangers of unsuitable, unfair, or
illegal practices, methods, or activities in the conduct of
gaming.

When the Authority does not issue a license to an applicant for
a primary management official or key employee position, or
revokes a previously issued license after reconsideration, it
shall:
(I)

notify the NIGC; and

(II)

forward copies of its eligibility determination and
notice of results of the applicant’s background
investigation to the NIGC for inclusion in the Indian
Gaming Individuals Record System.

Gaming license suspensions and revocations.
(A)

(x)

(I)

If, after a license is issued to a primary management official or
a key employee, the Authority receives notice from the NIGC
that the primary management official or key employee is not
eligible for employment, the Authority shall do the following:
(I)

immediately suspend the license;

(II)

provide the licensee with written notice of the
suspension and proposed revocation; and

(III)

provide the licensee with notice of a time and place for
a hearing on the proposed revocation of the license.

(B)

Following a revocation hearing, the Authority shall decide
whether to revoke or reinstate the license at issue.

(C)

The Authority shall notify the NIGC of its decision to revoke
or reinstate a license within 45 days of receiving notification
from the NIGC that a primary management official or key
employee is not eligible for employment.

Standard for license denial. If the Authority, in applying the
standards of this chapter, determines that employment of a person

49

poses a threat to the public interest or to the effective regulation of
gaming, or creates or enhances the dangers of unsuitable, unfair, or
illegal practices and methods and activities in the conduct of gaming,
the Authority shall not employ that person as a key employee or
primary management official.
(d)

Licensing a privilege. Any gaming license, or finding of suitability or approval,
which is issued by the Authority, shall be deemed a privilege subject to suspension or
revocation.

(e)

Burden on applicant. The burden of proving an applicant's qualification to receive
any license hereunder is at all times on the applicant. Applicants must accept any risk
of adverse public notice, embarrassment, or other action which may result from the
application process and expressly waive any claim for damages as a result thereof.

(f)

Applicant claim of privilege. An applicant may claim any privilege afforded by law
in connection with a gaming license application or investigation, but a claim of
privilege with respect to any testimony or evidence pertaining thereto may constitute
sufficient grounds for denial, suspension, or revocation.

(g)

Release of information. All persons applying for a license shall agree to release all
information necessary in order for the Authority to achieve its goals under this
chapter, and to furnish such information to the Bureau of Indian Affairs, the NIGC, or
such other governmental agency as may be required by law or any tribal-state
compacts.

(h)

License investigations. The Authority may employ all reasonable means, including
engaging outside services and investigators and convening hearings, to acquire the
information necessary to determine whether or not a license should be issued,
suspended, or revoked. Applicants and licensees shall also agree to release all
information necessary in order for the Authority to achieve its goals under this section
and to furnish such information to the Authority, the NIGC, or other agency as may
be required by law or any tribal-state compacts. In conducting a background
investigation, the Authority and its agents shall promise to keep confidential the
identity of each person interviewed in the course of the investigation.

(i)

License fees. All gaming enterprises or gaming operations or persons applying for a
license, or the gaming enterprise or gaming operation associated with the license
applicant, shall be required to pay all applicable license fees and costs when due,
including a reasonable deposit for costs incurred in obtaining information in
connection with the license application, unless specifically waived in advance by the
Authority. Estimates of licensing costs shall be provided to applicants within a
reasonable period of time after a request is made. The Authority, prior to issuance of
the license, must receive all fees and costs, unless otherwise provided for in advance.
Such fees shall be included in the Detailed Gaming Regulations.

50

(j)

Appeals. All customers, vendors, licensees, and persons who have been denied a
license, or had their license suspended or revoked, may appeal pursuant to the
procedures detailed in this chapter and the Detailed Gaming Regulations.

(k)

Records retention of terminations. The Authority shall retain, for no less than three
(3) years from the termination date of any employee requiring a gaming license, the
following documentation:
(1)

application for licensing;

(2)

investigative reports;

(3)

eligibility determinations; and

(4)

any appeal records.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(4).
Band Ordinance 25-13, § I.
Band Act 80-23.

§ 309. Compliance Determinations.
The Authority shall convene to consider a compliance recommendation within ten (10) days of
its receipt from the Director as required by § 402(b) of this chapter, unless, only for issues of
licensing, the Authority has received notice of intent to appeal directly to the District Court from
the person who has received notice of an adverse licensing recommendation. In addition to the
compliance recommendation, the Authority may consider any oral or written comments offered
by the parties that the Authority deems to be relevant. The Authority may consider any additional
information it determines to be necessary and appropriate to reach a determination. All
information considered by the Authority shall become part of the official record of the
proceedings. Based on substantial evidence contained in the official record, the Authority shall
make a compliance determination by accepting, rejecting, or modifying the compliance
recommendation. The Authority shall clearly state on the record its decision and the reasons
therefor. Compliance determinations shall be effective on the date made, unless the Authority
establishes a different effective date. In arriving at any compliance determination, the Authority
may employ the services of a hearing examiner to either make a recommendation for a
compliance determination or to issue a compliance determination on behalf of the Authority.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 11(d)(5).
Band Act 80-23.

51

§ 310. Independent Audits.
(a)

General. The Authority may cause to be conducted independent auditing by a
recognized independent accounting firm of each gaming enterprise or gaming
operation for compliance with Band gaming laws, the IGRA, and any tribal-state
compacts. The results of the audit shall be reported to the Band Assembly, the Chief
Executive, and, to the extent required by law, the NIGC or other governmental entity
possessing lawful oversight.

(b)

Annual Audits. The Authority shall cause to be conducted independent audits of
gaming operations or gaming enterprises annually in a manner that conforms to
generally accepted auditing standards. Copies of the annual audit of each licensed
gaming operation or gaming enterprise, and each audit for supplies, services, or
concessions of each gaming operation or gaming enterprise, shall be furnished to the
NIGC, the Band Assembly, and the Chief Executive within 120 days after the end of
each fiscal year of the gaming operation or gaming enterprise.

(c)

Contracts. Contracts related to class II or class III gaming that result in the purchase
of supplies, services, or concessions for more than $25,000.00 in any year, except
contracts for professional legal and accounting services, shall be specifically included
within the scope of any audit conducted under this section. The Authority may
include any other contract of a lesser amount within the audit if the contract is related
to class II or class III gaming.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(6).
Band Act 80-23.

§ 311. Enforcement.
Any enforcement action taken shall be fair and reasonable under the circumstances, shall be
proportionate to the violation, and shall be designed to promote the goals of correction and
improvement, unless the violation is such that correction and improvement is not possible. Any
enforcement action taken by the Authority must be related to its gaming regulatory function. Any
such enforcement action shall be considered to be a compliance determination and, as such, is
appealable pursuant to subchapter 6 of this chapter. In a manner provided by a Detailed Gaming
Regulation, the Authority may hold such hearings, make such findings, and issue such orders as
may be necessary to enforce Band gaming laws, the IGRA, any tribal-state compacts, and other
applicable law, including but not limited to:
(a)

revoking or suspending any license issued to an individual, gaming supplier, or
gaming enterprise or gaming operation as allowed by this chapter;
52

(b)

imposing civil fines reasonably proportionate to the activity being punished. Such
monies shall be deposited in the Band’s general fund. A fine schedule, including
minimum and maximum fine amounts, shall be included in the Detailed Gaming
Regulations; and

(c)

adding a person to a list of persons excluded from gaming enterprises or gaming
operation.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(7).
Band Act 80-23.

§ 312. Limitations on Actions.
Any enforcement action of the Authority or order of the District Court pursuant to any appeal
shall be limited as follows:
(a)

The Authority is not authorized to order the cessation of operations of a gaming
enterprise or gaming operation. Such an order for cessation of operations of a gaming
enterprise or gaming operation may only occur upon:
(1)

recommendation by majority vote of the Authority to the Joint Session of the
Band Assembly that a gaming enterprise or gaming operation be closed, citing
the specific cause for which closure is being recommended and the conditions
under which the cause of closure shall be determined remedied, thereby
allowing the reopening of the gaming enterprise or gaming operation; and

(2)

a super-majority vote of four (4) out of five (5) members of the Joint Session
of the Band Assembly ordering closure of a gaming enterprise or gaming
operation citing the specific cause for which closure is being recommended
and the conditions under which the cause of closure shall be determined
remedied, thereby allowing the reopening of the gaming enterprise or gaming
operation.

(b)

All claims by patrons against a gaming enterprise or gaming operation shall be
limited to a maximum recovery of $10,000.00 per claim and a cumulative limit of
$20,000.00 per patron per year, regardless of the number of claims.

(c)

All claims by vendors or gaming suppliers against a gaming enterprise or gaming
operation shall be limited to the amount of the contract between the vendor or gaming
supplier and the gaming enterprise or gaming operation that is the subject matter of
the claim. However, this provision is subject to the existence of an effective waiver of

53

sovereign immunity pursuant to Mille Lacs Band Statutes. Under no circumstances
shall punitive or other damages, costs, and fees be ordered.
(d)

All claims involving denial, suspension, or revocation of a gaming license shall be
limited to an award of specific performance of granting or reinstating such license.
No monetary award shall be awarded on a license claim.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(8).
Band Act 80-23.

§ 313. Excluded Persons.
(a)

Exclusion list; creation; effect. Subject to the criteria and procedures of this section,
the Authority shall establish and maintain an exclusion list. Individuals whose names
appear on the exclusion list shall not be allowed to enter any gaming enterprise or
gaming operation or participate in any class II or class III gaming operated by any
gaming enterprise or gaming operation, whether on behalf of the Band or an Indian
charitable organization.

(b)

Duty to exclude. It shall be the duty of the Corporate Commissioner and the manager
of each gaming enterprise or gaming operation to exclude or eject from a gaming
enterprise any person whose name appears on the exclusion list. Any associate of a
gaming enterprise or gaming operation who knows or has reason to know that an
excluded person has entered or is attempting to enter a gaming enterprise or gaming
operation shall be responsible for notifying appropriate staff and taking such other
action as is within the scope of the associate’s authority and responsibility to exclude
or eject such person.

(c)

Distribution and availability of exclusion lists. The Authority shall maintain a list
of persons to be ejected or excluded from gaming enterprises or gaming operations. It
shall be the duty of the manager of each gaming enterprise or gaming operation to
inform the Corporate Commissioner in writing of the name of each person who the
manager reasonably believes meets the criteria for placement on the exclusion list as
established by subsection(d) below. The Corporate Commissioner, in turn, will
provide such names to the Director. The list shall be distributed to each gaming
enterprise or gaming operation. The list shall be made available to law enforcement
agencies if properly subpoenaed or upon request based upon a documented law
enforcement need for the list. The following information, to the extent known, shall
be provided for each excluded person:
(1)

the full name, date of birth, and all aliases;

(2)

a physical description;
54

(d)

(e)

(3)

the effective date the person's name was placed on the list;

(4)

a photograph, if available;

(5)

the person's occupation and current home and business address;

(6)

the specific reason for exclusion;

(7)

the date, if any, exclusion will expire; and

(8)

such other information as may be deemed necessary by the Director or the
Authority.

Criteria for exclusion or ejection and placement on an exclusion list. The
Authority may, based upon the recommendation of the Director, or the Director by
emergency enforcement order subject to the provisions of § 402(c) of this chapter,
place a person on the exclusion list pending a hearing by the Authority if:
(1)

such person has been convicted, in any jurisdiction, of any felony crime that
brings into question the person’s honesty and integrity, including but not
limited to shoplifting, theft, robbery, burglary, embezzlement, conspiracy to
commit a crime, or of a gambling-related crime;

(2)

such person has violated or conspired to violate any provisions of the IGRA,
Band gaming laws, any tribal-state compacts, and other applicable law;

(3)

such person has a notorious or unsavory reputation which would adversely
affect public confidence and trust in gaming. The list of which acts constitute
such reputation shall be included in the Detailed Gaming Regulations;

(4)

her or his name appears on any valid and current exclusion list from another
jurisdiction and the reason for exclusion from such other jurisdiction would
also be likely to cause exclusion from Band gaming enterprises or gaming
operation;

(5)

pursuant to § 706 of this chapter, the person requests to be excluded, by means
which allows the Authority to positively identify the person, due to a
demonstrable gambling problem.

Procedure for entry of names.
(1)

The Director of the Office of Gaming Regulation and Compliance shall
investigate all matters concerning whether or not a person should be placed on
the exclusion list. Upon a determination that a person satisfies any of the
criteria listed in § 313(d) of this chapter, the person shall be deemed a

55

candidate for exclusion and the Director shall prepare and submit a
compliance recommendation as to whether the person's name should be added
to the exclusion list and forwarded to the Authority for action. Such
recommendation shall include the identity of the candidate and the nature and
scope of the circumstances or reasons that such person should be placed on
the exclusion list. Pursuant to § 402(b)(2) of this chapter, notice of the
recommendation must be given to the person who is the subject of the
recommendation and that person must be informed of the opportunity to offer
oral or written testimony to the Authority concerning the recommendation. All
testimony to the Authority shall be provided under oath or sworn affidavit and
shall be subject to Band criminal prohibitions against perjury under 24 MLBS
§ 1204.
(2)

If the Authority or subsequent review by District Court finds in favor of the
candidate or excluded person, then her or his name shall be removed from the
excluded list and her or his exclusion shall be terminated as of the date of the
action by the Authority or the District Court. If the finding is against the
candidate or excluded person, then her or his name shall be placed on the
exclusion list. If no hearing is requested, then the person's name may be
placed on the exclusion list. The Authority may place a person on the
exclusion list either permanently or temporarily. If a person is placed on the
exclusion list temporarily, then the Authority shall clearly state the period of
time that the person will be on the exclusion list.

(f)

Removal from the exclusion list. Any person who has been placed on the exclusion
list may petition the Authority in writing, not more frequently than once every six (6)
months, that her or his name be removed from the list.

(g)

Confidential data. The exclusion list shall be classified as confidential limited
availability data.

(h)

Immediate removal of disorderly persons. A gaming enterprise or gaming
operation may immediately remove and bar re-entry of any person who engages in, or
is reasonably believed likely to engage in, disruptive or unruly behavior, or any other
behavior which presents a danger to the health, welfare, morals, or the public peace.
The manager of the gaming enterprise or gaming operation may seek to have such a
removed and barred individual placed on the exclusion list.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 11(d)(9).
Band Act 80-23.

§ 314. Regulatory Role.

56

The Authority is to serve in a regulatory role, not in an operations role, in connection with
gaming activities conducted by any gaming enterprise or gaming operation. The scope of the
Authority's authority is limited strictly to the powers and duties specifically enumerated in
§§ 304 through 313 of this chapter.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 11(d)(10).
Band Act 80-23.

§ 315. Patron Dispute Resolution.
The Authority is authorized to promulgate Detailed Gaming Regulations governing patron
dispute resolutions.
Historical and Statutory Notes
Source:
Band Act 80-23.

§ 316. Budget.
The Authority shall have budget and expenditure authority independent of gaming operations or
gaming enterprise. Funding for the Authority shall be adequate to allow the Authority to perform
the task of gaming regulation. Such funding for the Authority shall conform to Band
appropriation laws and shall not be reliant on the discretion of any management official of a
gaming enterprise or gaming operation who is subject to regulation of the Authority.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 11(e).
Band Act 80-23.

§ 317. Legal Counsel.
The Authority is permitted to hire its own legal counsel independent of the Solicitor General.
Any legal counsel hired under this provision may advise both the Board and OGR&C.
Historical and Statutory Notes
Source:
Band Act 80-23.

57

SUBCHAPTER 5
OFFICE OF GAMING REGULATION AND COMPLIANCE; DIRECTOR
OF GAMING REGULATION AND COMPLIANCE
Section
401. Establishment; Appointment; Qualifications; Removal and Suspension.
402. Powers and Duties.
403. Regulatory Role.
§ 401. Establishment; Appointment; Qualifications; Removal and Suspension.
(a)

Establishment. There is hereby established the OGR&C, which shall be under the
management and supervision of the Director, but subject to the ultimate control of the
Board.

(b)

Appointment of the Director. The Director shall be appointed by the Board by
majority vote and shall report to the Board as the Board requires.

(c)

Qualifications. The Director shall possess the following qualifications:
(1)

experience and training in management and regulatory enforcement of
sufficient scope, depth, and relevancy to enable her or him to direct the work
of the OGR&C;

(2)

high moral character with no conviction for a felony or any gambling-related
offense;

(3)

freedom from any conflict of interest created by outside business interest or
occupation; and

(4)

licensure as a primary management official.

(d)

Removal; suspension. The Director may be removed for cause as manifest by a
super-majority vote of four (4) out of five (5) of the Board Members, including the
Chairperson. In addition, if the Director is charged in any competent jurisdiction with
a felony or any gambling-related crime, the Chairperson shall immediately suspend
the Director with or without pay until the charges have been resolved.

(e)

Vacancy. If there is a vacancy for any reason, then the Chairperson shall immediately
appoint an Interim Director, until the Board convenes to appoint a Director.
Historical and Statutory Notes

58

Source:
Band Ordinance 44-03, § 12(a).
Band Act 80-23.

§ 402. Powers and Duties.
(a)

Director.
(1)

Staff. The OGR&C shall provide staff, administrative, and office support to
the Authority. The Director shall appoint one (1) or more gaming compliance
officers, to whom he or she may delegate certain duties of the Director, and
hire such other employees or consultants as may be necessary to perform the
duties as set forth herein. All employee suspensions and terminations are
appealable to the Board.

(2)

Day-to-day operations. The Director shall be responsible for the day-to-day
operations of the OGR&C, subject to the authority of the Board, including:
(i)

enforcement of all applicable gaming laws and regulations at all
gaming enterprises or gaming operations;

(ii)

investigations of any matter within the scope of authority of the
Authority as described in subchapter 4 of this chapter, including but
not limited to performing or causing to be performed background
investigations necessary to determine if any applicant for a primary
management official, key employee or gaming supplier license
required by this chapter, or the Detailed Gaming Regulations adopted
by the Authority, meets the applicable licensure criteria;

(iii)

assisting the Authority in defending all decisions where an adversely
impacted license applicant files an appeal to such adverse decision;

(iv)

investigating and evaluating the effectiveness and efficiency of the
Band’s gaming regulatory system and recommending changes;

(v)

investigating and monitoring all gaming enterprises or gaming
operations for compliance with the IGRA, Band gaming laws, any
tribal-state compacts, and other applicable law upon receiving any
credible report of a violation of gaming statutes or regulations, or at
random or periodic intervals, with or without prior notification to the
management or associates of the subject gaming enterprise or gaming
operation;

(vi)

investigating all gaming-related patron and vendor complaints
concerning a gaming enterprise or gaming operation that have not been
resolved between the complainant and the gaming enterprise or
59

gaming operation after full exhaustion of attempts to amicably settle
the matter and make a compliance recommendation to the Authority
concerning the matter;
(vii)

investigating and monitoring all gaming enterprises or gaming
operations for compliance with compulsive gambling cure and
prevention requirements;

(viii) investigating and monitoring for compliance with all rules concerning
charitable gaming;
(ix)

investigating, monitoring, and assisting in all matters concerning the
maintenance and enforcement of a list of persons to be excluded from
gaming enterprises or gaming operations;

(x)

at the request of the Authority, assisting the Authority in:

(xi)

(A)

the execution of any authorized enforcement actions;

(B)

the preparation and defense of any appeal taken from any
compliance determination; and

(C)

the preparation of the annual budget which is to be submitted
to the Band Assembly for direct appropriation for Authority
activities; and

hiring and supervising the gaming compliance officers and other
personnel of the OGR&C.

(3)

Access to data and files of any gaming enterprise or gaming operation.
The Director shall have access to all areas, records, files, and data of any
gaming enterprise or gaming operation, and may interview any associate of
any gaming enterprise or gaming operation with respect to matters relating to
the operation of any gaming enterprise or gaming operation without first
notifying the associate’s supervisor or any other employee of any gaming
enterprise or gaming operation, and shall have access to the results of
background investigations carried out pursuant to subchapter 4 of this chapter
or the Detailed Gaming Regulations adopted by the Authority.

(4)

Gaming compliance officers. Gaming compliance officers shall be
considered key employees for purposes of background investigations and
licensing. Gaming compliance officers shall be responsible for performing
investigations and otherwise assisting the Director in carrying out the duties
specified herein. The Director may delegate to gaming compliance officers
any of the Director’s powers and duties, except the power to appoint gaming
compliance officers.

60

(b)

(c)

(5)

Security of records and access to offices. The OGR&C shall take all
measures necessary to safeguard and track records. In addition, access to the
offices of the OGR&C shall be strictly controlled to assure security and
maintain adequate separation of gaming regulation and gaming operations or
gaming enterprises.

(6)

Agent for service of process. The Director shall be the designated agent for
service of any official determination, order, or notice of violation.

Compliance recommendations; notice; time; content.
(1)

Compliance recommendation. The Director shall submit a compliance
recommendation to the Board Members and the persons stated in paragraph
(2) below, which shall summarize the facts and state whether or not the
license should be granted, suspended, or revoked; whether or not the
documented practices and procedures satisfy the relevant statutes and
regulations; and recommend appropriate corrective, enforcement, or other
responsive action.

(2)

Notice; time; content. The Director shall submit the written compliance
recommendation within five (5) days to each Board Member, the Corporate
Commissioner, the licensee or license applicant if the compliance
recommendation involves a license denial, suspension, or revocation, and any
vendor or patron who is the subject of a compliance recommendation for each
investigation carried out pursuant to § 308(h) of this chapter. The notice shall
state that the compliance recommendation will be heard by the Board prior to
issuance of a compliance determination pursuant to § 309 of this chapter and
contain a copy of the Authority’s procedures for issuing of a compliance
determination. In addition, the notice shall state that all parties have the right
to legal counsel at the party’s own expense, the right to appear before the
Authority, the right to review the record upon which the initial compliance
recommendation was made, and may supplement the record with additional
information if deemed relevant by the Board.

Emergency enforcement orders. If the Director finds that there is an immediate
threat to Band assets, or that probable cause exists to believe that a crime has been or
is about to be committed, the Director may, by emergency order, immediately impose
any legitimate regulatory enforcement or corrective action within the scope of the
Authority’s authority which is proportional to the harm such emergency order seeks
to remedy. Emergency orders shall be in writing, and the Director shall immediately
forward any such order, along with a supporting compliance recommendation, to the
Authority and the Corporate Commissioner in the manner provided by § 313(d) of
this chapter. The Authority shall act on any such order and compliance
recommendation in the same manner provided by § 313(e) of this chapter, except that
it shall convene to consider the order and compliance recommendation within three

61

(3) days of having received the emergency order and supporting compliance
recommendation. In any such proceeding, the compliance determination of the
Authority shall supersede the Director’s emergency order.
(d)

Due process protections. Nothing in this chapter waives or diminishes any gaming
enterprise’s or gaming operation’s or individual’s rights to due process and equal
protection of the laws.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 12(b).
Band Act 80-23.

§ 403. Regulatory Role.
The OGR&C is to serve in a regulatory role, not in an operations role. As such, the scope of the
Director's authority is limited strictly to the powers and duties specifically enumerated in
subchapter 5 of this chapter and to those powers and duties specifically granted to the Authority
in subchapter 4 of this chapter, which have been specifically delegated to the Director by the
Authority, including those limitations of actions described in § 312 of this chapter.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 12(c).
Band Act 80-23.

SUBCHAPTER 6
APPEALS
Section
501. Who May Appeal.
502. Effecting an Appeal.
503. Procedure on Appeal; Standard of Review.
§ 501. Who May Appeal.
(a)

A Person who has been denied reversal of an adverse compliance recommendation or
denied any other relief requested from the Authority may appeal such compliance
determination or final enforcement order to the District Court.

62

(b)

A person who has received a compliance recommendation that recommends a license
denial, suspension, or revocation may directly appeal to the District Court. If a person
takes such action, then he or she waives any right to receive a compliance
determination from the Authority.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 13(a).
Band Act 80-23.

§ 502. Effecting an Appeal.
Any appeal shall be filed with the District Court and must be filed within 20 days after the date
of the issuance of a compliance determination, final order, or a compliance recommendation that
denies, suspends, or revokes a license.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 13(b).
Band Act 80-23.

§ 503. Procedure on Appeal; Standard of Review.
(a)

The District Court shall sit without a jury, confine its review to the Authority record,
and apply an abuse of discretion standard. The filing of briefs and oral argument must
be made in accordance with the Band rules governing civil cases.

(b)

The District Court may affirm the compliance determination or order of the
Authority, remand the case for further proceedings, or reverse the compliance
determination or order if the substantial rights of the petitioner have been prejudiced
because the decision is:
(1)

in excess of the statutory authority or jurisdiction of the Authority;

(2)

made upon unlawful procedure;

(3)

unsupported by any evidence; or

(4)

plainly in error.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 13(c).

63

Band Act 80-23.

SUBCHAPTER 7
DATA PRIVACY
Section
601. General Rule.
602. Confidential Data.
603. Temporary Classification.
604. Information Sharing.
§ 601. General Rule.
All Authority data shall be public unless classified by a Band statute, regulation, or order, or by
federal law, as confidential data. The Authority shall adopt and promulgate detailed and thorough
rules pursuant to data privacy in its Detailed Gaming Regulations.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 14(a).
Band Act 80-23.

§ 602. Confidential Data.
(a)

Confidential limited availability data. Confidential limited availability data shall
consist of background investigations information, confidential financial information,
compliance recommendations information, personnel data, and whether or not a
person is on the exclusion list.
(1)

Background investigation information shall be available only in a case where
information revealed through a background investigation is, in whole or in
part, the basis for an adverse decision regarding a license applicant or license
renewal. The information contained in such background investigation shall be
made available to the license applicant or the person seeking license renewal
if so requested.

(2)

Compliance recommendations information shall be available only to the
extent that the Authority adopts a compliance recommendation or accepts the
record developed by the Director supporting a compliance recommendation.
All information accepted or relied upon in such a manner shall be public.

64

(3)

(b)

The availability of information regarding whether a person is on the exclusion
list is limited to the receipt of such information by the person who is on the
exclusion list or her or his agent pursuant to 25 C.F.R. § 515.8.

Confidential restricted availability data. Confidential restricted availability data
shall consist of financial information on a gaming enterprise or gaming operation,
information on a pending compliance recommendation, information on a pending
license application, security information, and trade secret information.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 14(b).
Band Act 80-23.

§ 603. Temporary Classification.
(a)

(b)

Authority. The Authority may, on its own motion or at the request of the Director,
temporarily classify Authority data as confidential data if it determines that:
(1)

the data for which the temporary classification is sought has been treated as
private or confidential by Corporate Ventures or other agencies of the Band or
by the federal government; or

(2)

a compelling need exists for immediate temporary classification, which, if not
granted, could adversely affect the public interest or the health, safety, or
well-being of the subject of the data.

Ratification. No later than July 1 of each year, the Authority shall submit all
temporary classifications then in effect to the Corporate Commissioner for review.
The Corporate Commissioner may comment on the classification and the Authority
shall consider the comments of the Corporate Commissioner in reaching its decision.
If the Corporate Commissioner fails to act by July 1 of the year following the
submission of a temporary classification hereunder, then the classification shall
thereupon expire.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 14(c).
Band Act 80-23.

§ 604. Information Sharing.

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The Authority may, on its own motion or at the request of the Director, share information with
any regulatory agency of another gaming jurisdiction or any law enforcement agency where it is
determined that sharing such information is in the best interest of the Band, where the agency
with whom the information is to be shared assures that the shared information will remain
confidential, if the other gaming jurisdiction agrees to share such information with the Band, and
if sharing the information is not contrary to any applicable law.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 14(d).
Band Act 80-23.

SUBCHAPTER 8
COMPULSIVE GAMBLING
Section
701. Policy.
702. Program Content and Responsibility.
703. Counseling Resources; Referrals.
704. Associate Training.
705. Patron Information and Education.
706. Exclusion.
§ 701. Policy.
Although gambling is an enjoyable form of entertainment for most people, the Band recognizes
that some people may have difficulty keeping their gambling within reasonable limits. The Band
is committed to helping these people to deal constructively with their actual or potential
gambling problems, and in furtherance of this goal it has established the Mille Lacs Problem
Gambling Prevention Program described in this section.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 15(a).
Band Act 80-23.

§ 702. Program Content and Responsibility.
(a)

The Problem Gambling Prevention Program shall consist of the following elements:
(1)

a referral system;
66

(b)

(2)

associate training;

(3)

patron information and education; and

(4)

exclusion.

The Director, in consultation with the Corporate Commissioner subject to the review
and approval of the Authority, shall develop and update as necessary a Problem
Gambling Prevention Program. The Corporate Commissioner, subject to the oversight
of the Director, shall implement the program in all gaming enterprises or gaming
operations.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 15(b).
Band Act 80-23.

§ 703. Counseling Resources; Referrals.
The referral system of the Problem Gambling Prevention Program shall be based on a current,
computerized directory of organizations and individuals that have a reputation for providing
effective assistance for individuals with gambling problems. The system shall include a process
for referring patrons who seek help with such problems to resources listed in the directory and
for encouraging them to take advantage of such resources.
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 15(c).
Band Act 80-23.

§ 704. Associate Training.
Problem Gambling Prevention Training shall be provided to all casino associates who have
regular contact with patrons. This training program, which shall be provided as part of the
associate orientation program and require subsequent periodic in-service refreshers, shall include
but not be limited to the following:
(a)

a description of the Problem Gambling Prevention Program;

(b)

the nature, extent, and effects of compulsive gambling;

(c)

how to recognize the warning signs of potential and actual gambling problems; and

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(d)

techniques for intervening constructively with problem gamblers.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 15(d).
Band Act 80-23.

§ 705. Patron Information and Education.
(a)

Generally. Patrons shall be provided information on the Problem Gambling
Prevention Program by signs and in promotional materials as provided in this section.

(b)

Signs. Signs that clearly and in plain language inform patrons about how to obtain
assistance in dealing with gambling problems shall be prominently posted at the
following locations in each gaming enterprise or gaming operation:

(c)

(1)

at each entrance and exit;

(2)

at any check cashing facility within the gaming enterprise or gaming
operation;

(3)

near any ATM cash machines at the gaming enterprise or gaming operation;
and

(4)

any other locations as determined by the Corporate Commissioner.

Promotional material. The Problem Gambling Prevention Program shall contain
guidelines and suggestions for including messages about responsible gambling, the
need for assistance to address problem gambling behavior, and the sources of such
assistance. The Director shall monitor the promotional materials and campaigns of
each gaming enterprise or gaming operation to ensure that such messages are being
included to the extent appropriate and, in cooperation with the Corporate
Commissioner, take such action as may be necessary to correct any deficiencies in
this regard.
Historical and Statutory Notes

Source:
Band Ordinance 44-03, § 15(e).
Band Act 80-23.

§ 706. Exclusion.

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At the request of a patron who states that he or she may have a gambling problem, or at the
request of an immediate family member of a patron who alleges that the patron has a gambling
problem, the patron's name may be added to the exclusion list established pursuant to § 313(e).
Historical and Statutory Notes
Source:
Band Ordinance 44-03, § 15(f).
Band Act 80-23.

CHAPTER 2
DEPARTMENT OF ATHLETIC REGULATION
Subchapter
1. Athletic Regulation

Section
801

SUBCHAPTER 1
ATHLETIC REGULATION
Section
801. Professional Boxing and Mixed Martial Arts.
802. Purpose of the Department of Athletic Regulation.
803. Jurisdiction of the Department of Athletic Regulation Commission.
804. Department of Athletic Regulation Commission.
805. No Right of Action.
806. Medical Standards.
§ 801. Professional Boxing and Mixed Martial Arts.
(a)

This subchapter and the Rules and Regulations shall constitute the entire professional
athletic activity laws, including amateur mixed martial arts (“MMA”), and regulations
of the Band. No professional boxing, sparring, amateur mixed martial arts, or other
professional athletic exhibitions shall be conducted, held, or given on the Mille Lacs
Band of Ojibwe Reservation, except in accordance with the provisions of this
subchapter and the Department’s Rules and Regulations adopted by the Department
of Athletic Regulation (“DAR”).

(b)

The DAR, through its Executive Director and Athletic Regulation Commission, shall
have the right to amend the Rules and Regulations as the need arises. The Band
69

Assembly reserves the right to approve or revoke any changes to the DAR Rules and
Regulations prior to implementation within 90 calendar days of receipt from the
DAR. If no formal action is taken within the 90 calendar days, the change is
automatically adopted.
Historical and Statutory Notes
Source:
Band Ordinance 45-06, § 1.
Band Ordinance 05-11, § I(2), Exh. A, § 801.
Band Ordinance 31-21.

§ 802. Purpose of the Department of Athletic Regulation.
(a)

With the exception of subsection (b), below, the purpose of the Department of
Athletic Regulation is to regulate, administer, and oversee the conduct of all
professional athletic, including professional boxing and amateur mixed martial arts,
events held on the Mille Lacs Band of Ojibwe Reservation for the purpose of
promoting the health, safety, and welfare of all persons engaged in such activities,
and that of Band Members and the public. The Department of Athletic Regulation
shall regulate such events through its Executive Director and Athletic
Commissioners.

(b)

The Department of Athletic Regulation (“DAR”) may, upon invitation from another
tribe or tribal entity, regulate a boxing or MMA event on behalf of such tribal entity
for the purpose of promoting professionalism and safety in the sport. All such
regulatory activities conducted on behalf of another tribe or tribal entity must be
compensated by that tribe or tribal entity that extended the invitation to the DAR in
an amount that is fair and reasonable, but no less than $2,000.00 per event. Any
monies earned in this manner by the DAR shall be deposited in the Band’s general
fund within five (5) calendar days of the event.

(c)

The DAR Executive Director and at least two (2) Commission members shall be
present at each place where amateur MMA or professional boxing, MMA or other
professional athletic activities are to be held pursuant to the provisions of this
subchapter. If the Executive Director is unable to attend such event due to illness or
for any other reason, the Athletic Regulation Commission members shall oversee the
regulation of such event.
Historical and Statutory Notes

Source:
Band Ordinance 45-06, § 2.
Band Ordinance 23-07, § I.
Band Ordinance 16-13, § 1.
Band Ordinance 31-21.

70

§ 803. Jurisdiction of the Department of Athletic Regulation Commission.
The Department of Athletic Regulation Commission shall have and is hereby vested with the
sole discretion, management, control, and jurisdiction over all amateur and professional boxing,
sparring, mixed martial arts, and other professional athletic exhibitions to be conducted, held, or
given on the Mille Lacs Band of Ojibwe Reservation, and other Band Lands, and over all
licensing of any and all persons who participate in such activities. All gyms, clubs, training
camps, and other organizations that provide training facilities for persons preparing for
participation in professional boxing, sparring, or mixed martial arts on Band lands are also
included.
Historical and Statutory Notes
Source:
Band Ordinance 45-06, § 3.
Band Ordinance 05-11, § I(2), Exh. A, § 803.
Band Ordinance 31-21.

§ 804. Department of Athletic Regulation Commission.
(a)

General. The Department of Athletic Regulation shall be managed by an Executive
Director and a five-member Board, referred to as the Athletic Regulation Commission
(“Commission”). At all times, there shall be at least one (1) Commissioner from each
District serving on the Athletic Regulation Commission. The Commission shall
consist of five (5) members appointed in the following manner and have staggered
terms as provided in subsection (b), below. The Commission shall have oversight of
the Executive Director.

(b)

Appointments process, terms, oath of office. Each Commissioner shall be
appointed using the following process:
(1)

The Chief Executive shall nominate two (2) individuals and submit their
names to the Secretary-Treasurer. Within ten (10) calendar days after receipt
of the nominations by the Secretary-Treasurer, the Secretary-Treasurer shall
ratify one (1) of the two (2) nominees to be a Commissioner on the Athletic
Regulation Commission. Such Commissioner shall serve until September 30,
2008. Any subsequent appointment, other than to fill a vacancy that occurs
prior to the end of a term, shall be for four (4) years.

(2)

The Secretary-Treasurer shall nominate two (2) individuals and submit their
names to the Chief Executive. Within ten (10) calendar days after receipt of
the nominations by the Chief Executive, the Chief Executive shall ratify one
(1) of the two (2) nominees to be a Commissioner of the Athletic Regulation
Commission. Such Commissioner shall serve until September 30, 2008. Any

71

subsequent appointment, other than to fill a vacancy that occurs prior to the
end of a term, shall be for four (4) years.

(c)

(3)

Each District Representative shall nominate two (2) individuals and submit
their names to the Chief Executive. Within ten (10) calendar days after receipt
of the nominations by the Chief Executive, the Chief Executive shall ratify
one (1) of the two (2) nominees to be a Commissioner of the Athletic
Regulation Commission. Such Commissioner shall serve until September 30,
2009. Any subsequent appointment, other than to fill a vacancy that occurs
prior to the end of a term, shall be for four (4) years.

(4)

If the Chief Executive or Secretary-Treasurer does not ratify one (1)
individual from any of the nominations sent to them within the time
prescribed, then the Band Assembly shall select a Commissioner by majority
vote.

(5)

If any person does not submit a nomination within 30 calendar days after a
vacancy has occurred, then the Band Assembly shall nominate two (2)
individuals by majority vote and submit their names to the Chief Executive for
ratification to the Athletic Regulation Commission. The timing and process
for ratification are as stated in clauses (1) and (4) above.

(6)

No person shall take office until swearing to the oath of office pursuant to
2 MLBS § 8.

Qualifications of Commissioners are as follows:
(1)

Commissioners shall be individuals who are of high moral character and
integrity, who have a reputation for being honest, fair, objective, and who are
recognized as possessing sound judgment.

(2)

It is preferred that Commissioners be individuals with an interest in boxing or
mixed martial arts or be individuals that have a background in amateur
boxing, wrestling, or mixed martial arts.

(3)

Commissioners may not have been convicted of a felony within ten (10) years
of the date of their appointment. Any Commissioner convicted of a felony
during their term shall be automatically removed for such cause.

(4)

No fewer than three (3) Commissioners shall be Band members. There shall
be at least one (1) Commissioner from each of the Band’s three (3) districts.

(5)

If the Corporate Commission or a Mille Lacs Band of Ojibwe gaming
enterprise acts as a promoter in any type of amateur or professional athletic
event to be regulated by the DAR, any Commissioner employed by the

72

Corporate Commission or Band gaming enterprise, will not participate in the
regulation of such event.
(6)

(d)

(e)

Commissioners shall be subject to criminal background investigations. The
Office of Solicitor General shall conduct the criminal background
investigation for the Athletic Regulation Commission and shall return the
results of an investigation to the Band Assembly within ten (10) business days
of notice of ratification.

Commission officers.
(1)

The Commission shall have a Chairperson, Vice-Chairperson, and a Secretary.

(2)

The Chairperson of the Commission shall be determined by a majority vote of
the elected officials and selected from one (1) of the current Commissioners
or, if there is a vacancy, the individual who is appointed to fill such vacancy.

(3)

The Vice-Chairperson shall be selected by the Commission by majority vote.

(4)

The Secretary shall be selected by the Commission by majority vote.

Board duties and responsibilities.
(1)

The Chairperson shall preside over meetings of the Commission and the ViceChairperson shall preside over meetings of the Commission in the absence of
the Chairperson. The Secretary shall record, in writing, the minutes of all
Board meetings and all official actions taken by the Commission. A copy of
the minutes may be provided to the Band Assembly and Chief Executive upon
request.

(2)

Commissioners shall serve part-time. The Commission shall meet a minimum
of once per month, but no more than twice per month.

(3)

Each Commissioner is responsible for reading and reviewing the DAR Rules
and Regulations, as well as this subchapter within 30 calendar days of her or
his appointment to the Commission.

(4)

As part of each Commissioner’s training, he or she shall, on a staggered basis,
assist in pre-bout and post-bout duties and responsibilities, including weighins, licensing, and payouts. Commissioners shall also work to ensure that all
rules and regulations are followed during each athletic event.

(5)

As part of each Commissioner’s training, he or she shall attend boxing
inspection training at their earliest opportunity after appointment.
Commissioners are also expected to take advantage of other types of trainings

73

that may be offered locally to enhance their knowledge of the unarmed
combat that they are appointed to regulate.
(f)

Vacancies.
(1)

The DAR or Chairperson shall notify the Band Assembly and Chief Executive
of any vacancy on the Commission at least 30 days prior to the end of term or,
in circumstances other than the end of a term, immediately upon the
knowledge that a vacancy will occur.

(2)

If there is a vacancy on the Commission, then the vacancy shall be filled in the
same manner as the vacating Commissioner who was originally appointed.

(3)

Any Commissioner, including the Chairperson, appointed to fill a vacancy
shall serve for the remainder of the vacant term. Any Commissioner may be
re-appointed during this time period pursuant to subsection (c).

(g)

Elected official. No elected official shall serve as a Commissioner during her or his
term of office.

(h)

Removal. A Commissioner may be removed by a super-majority vote of four (4) out
of five (5) members of the elected officials. The determination of the elected officials
is final and unappealable to the Court of Central Jurisdiction.

(i)

Compensation. Commissioners shall be paid $250.00 per attendance at official
Department of Athletic Regulation meetings or events, not to exceed $1,000.00 in one
(1) month. Mileage and other travel expenses will be compensated on the same terms
and conditions as applicable to Senior Executive Staff appointees as provided by
Band law. Commissioner stipends are restricted to her or his attendance at official
Department of Athletic Regulation meetings or events. For this subsection, “events”
shall mean a pre-planned professional or amateur combative sport match including,
but not limited to, boxing, mixed martial arts, and wrestling matches regulated by the
Department of Athletic Regulation within the jurisdiction of the Non-Removable
Mille Lacs Band of Ojibwe or as contracted with another federally recognized tribe.

(j)

Training.
(1)

Commissioners may attend one (1) or more training seminars per year during
their terms of membership. These seminars shall be sanctioned by the
Association of Boxing Commissioners (“ABC) or other professional boxing
or martial arts organization.

(2)

Commissioners attending mandatory training seminars, who are also
employees of the Band government, shall be compensated at their documented
rate of pay for each hour they are in attendance at such training, plus mileage,
and other travel expenses as stated in subsection (i) above. Commissioners,

74

who are also employees of the Band government, shall not be required to use
her or his accrued annual leave, but will be paid as if they were at work.
(3)

(k)

Commissioners who are not Band government employees and are required to
be absent from their employment to attend training pursuant to subsection
(j)(1) above, shall be compensated at their previously documented hourly rate
of pay, but not to exceed $15.00 per hour, for each hour that they are in
attendance at such training, plus mileage, and other travel expenses as stated
in paragraph (2) above.

Funding and Collection of Fees. The DAR shall be funded as follows:
(1)

From ticket sales of unarmed combat events, there shall be a 10/90 split
between the DAR and the appropriate Grand Casino budget. Ten percent shall
be assigned to the DAR budget through the Office of Management and
Budget.

(2)

The remaining budget requirements will be funded from Taxation Revenue to
be appropriated each and every year by Band government budget process.

(3)

If an unarmed combat promoter chooses to negotiate a “4-wall” deal with
Grand Casino, he or she shall be responsible for marketing and sale of tickets
for such unarmed combat event. The promoter shall negotiate with Grand
Casino as to all other matters except regulation. For regulation of a “4-wall”
event, the promoter shall pay 10% of the gross ticket sales to the DAR, but not
to exceed $2,500.00. If any comp has the potential to impact the regulation
fee, the promoter shall be restricted to “comp” no more than 10% of the gross
ticket sales. Within ten (10) calendar days of the event, the promoter shall file
a written report with the DAR listing all ticket sales and comps of the “4-wall”
event.

(4)

The minimum payment to the DAR from a promoter for the regulation of any
unarmed combat “4-wall” event shall be $1,000.00. Such amount shall be paid
according to the timeline established under the DAR Rules and Regulations.
Historical and Statutory Notes

Source:
Band Ordinance 45-06, § 4.
Band Ordinance 05-07.
Band Ordinance 23-07, § II.
Band Ordinance 05-11, § I(2), Exh. A, § 804.
Band Ordinance 31-21.
Band Ordinance 34-21.

§ 805. No Right of Action.

75

This subchapter does not create any right, cause of action, or benefit enforceable at law or in
equity by any individual, entity, or party against the Non-Removable Mille La

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Aminn_chippewa_mille_lacs%3A4f4108b5050b84b4. Public record. Not legal advice.