Title 5. Business - Chapter 501

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ONEIDA NATION GAMING ORDINANCE

501.1. Purpose and Policy

501.2. Adoption, Amendment, Repeal

501.3. Definitions

501.4. Jurisdiction

501.5. Oneida Business Committee: Powers and Duties

501.6. Oneida Gaming Commission

501.7. Gaming Surveillance: Powers, Duties and Limitations

501.8. [Reserved for future use.]

501.9. Gaming Security Department

501.10. Background Investigations

501.11. Licenses, Generally

501.12. Gaming Employee License

501.13. Gaming Services Licensing and Non-Gaming Services

Permitting

501.14. Gaming Facility License

501.15. Gaming Operator License

501.16. Games

501.17. Allocation of Gaming Funds

501.18. Audits

501.19. Enforcement and Penalties

501.1. Purpose and Policy

501.1-1. Purpose. The purpose of this Ordinance is to set forth the laws of the Oneida Nation

regarding all Gaming Activities conducted within the jurisdiction set forth in this Ordinance. It is

intended to govern the Gaming Activities of all persons, Gaming Employees, consultants, business

entities, vendors, boards, committees, commissions and hearing bodies. This Ordinance does not

authorize the operation of Gaming by a private person or private entity for gain. This Ordinance

shall govern all Gaming Activities occurring on lands under the jurisdiction set forth in this

Ordinance and all individuals or entities engaged in Gaming Activities, including those providing

goods or services to any person or entity engaged in Gaming Activities.

501.1-2. Policy. It is the policy of this Ordinance to ensure that the Oneida Nation is the primary

beneficiary of its Gaming Operations and has the sole proprietary interest; that Gaming Activities

within the jurisdiction set forth in this Ordinance are conducted fairly and honestly; and that all

internal departments, enterprises, officials and employees of the Nation work cooperatively to

advance the best interests of the Nation, to protect its gaming resources, to protect the integrity of

all Gaming Activities operated under the jurisdiction set forth in this Ordinance, and to ensure

fairness of all games offered to the Nation’s gaming patrons.

501.2. Adoption, Amendment, Repeal

501.2-1. This Ordinance was adopted by the Oneida General Tribal Council by resolution GTC07-05-04-A and amended by resolutions BC-10-06-04-D, BC-3-23-05-C, BC-9-23-09-D, BC-0625-14-B, BC-09-09-15-A and BC-05-11-22-C.

501.2-2. This Ordinance may be amended or repealed by the Oneida Business Committee and/or

Oneida General Tribal Council pursuant to the procedures set out in the Legislative Procedures

Act.

501.2-3. Should a provision of this Ordinance or the application thereof to any person or

circumstances be held as invalid, such invalidity shall not affect other provisions of this Ordinance

which are considered to have legal force without the invalid portions.

501.2-4. In the event of a conflict between a provision of this Ordinance and a provision of

another law, the provisions of this Ordinance shall control; provided, that this Ordinance repeals

the following:

(a) BC-04-21-89-D (Adoption of the Oneida Gaming Control Ordinance);

(b) GTC-03-04-91-A (Establishing 7 elected Gaming Commissioners and Bingo

standards);

5 O.C. 501 – Page 1

(d) GTC-07-06-92-B (Adoption of the Comprehensive Gaming Ordinance);

(e) BC-03-16-94-A (Comprehensive Gaming Ordinance Interpretation); and

(f) BC-04-5-95-D (Amendments to the Comprehensive Gaming Ordinance).

501.2-5. This Ordinance is adopted under authority of the Constitution of the Oneida Nation.

501.2-6. Preemptive Authority. The Oneida Gaming Commission shall be the original hearing

body authorized to hear licensing decisions as set forth in this Ordinance.

501.3. Definitions

501.3-1. This section shall govern the definitions of words and phrases used within this

Ordinance. Words and phrases capitalized throughout this document refer to the defined words

and phrases in this section. All words or phrases not defined herein shall be used in their ordinary

and everyday sense.

(a) “Applicant” means any person or entity who has applied for a License from the

Oneida Gaming Commission or the Oneida Business Committee.

(b) “Background Investigation” means a standard and thorough investigation conducted

by the Nation in compliance with this Ordinance, Commission regulations, Oneida Gaming

Minimum Internal Controls, the IGRA and the Compact. Such investigations may be in

cooperation with federal, state, or Tribal law enforcement agencies.

forms of Indian gaming engaged in by individuals as a part of, or in connection with, Tribal

ceremonies or celebrations.

(d) “Class II Gaming” means:

(1) The game of chance commonly known as bingo (whether or not electronic,

computer or other technologic aids are used in connection therewith) in which:

(A) The game is played for prizes, including monetary prizes, with cards

bearing numbers or other designations.

(B) The holder of the card covers such numbers or designations when

objects, similarly numbered or designated, are drawn or electronically

determined.

arrangement of numbers or designation on such cards, including (if played

in the same location) pull-tabs, lotto, punch boards, tip jars, instant bingo

and other games similar to bingo.

(2) Card games that:

(A) Are explicitly authorized by the laws of the State; or

(B) Are not explicitly prohibited by the laws of the State and are played at

any location in the State, but only if such card games are played in

conformity with laws and regulations (if any) of the State regarding hours

or periods of operation of such card games or limitations on wagers or pot

sizes in such card games. Class II Gaming does not include any banking

card games, including baccarat, chemin de fer, or blackjack (twenty-one),

or electronic or electro-mechanical facsimiles of any game of chance or slot

machines of any kind.

(e) “Class III Gaming” means all forms of Gaming that are not Class I or Class II

Gaming.

5 O.C. 501 – Page 2

(f) “Commission” means the Oneida Gaming Commission as established by this

Ordinance.

(g) “Commissioner” means a duly elected member of the Oneida Gaming Commission.

(h) “Compact” means the 1991 Tribe-State Gaming Compact between the Nation and

the State of Wisconsin, as amended and including any future amendments or successor

compact entered into by the Nation and the State of Wisconsin and approved by the

Secretary of the United States Department of Interior.

(i) “Compliance Certificate” means a certificate issued by an agency with the authority

and responsibility to enforce applicable environmental, health or safety standards, which

states that a Gaming Facility complies with these standards.

(j) “Environmental Assessment” means a document prepared and issued in compliance

with the National Environmental Policy Act of 1969, 42 U.S.C. sec. 4321 et seq., and all

related federal regulations.

(k) “Fraud” means any act of trickery or deceit used to or intended to gain control or

possession of the property of another.

(l) “Games, Gaming or Gaming Activity” means all forms of any activity, operation, or

game of chance that is considered Class II or Class III Gaming, provided that this definition

does not include Class I Gaming.

(m) “Gaming Employee” means any person employed by a Gaming Operation.

(n) “Gaming Facility or Gaming Facilities” means any location or structure, stationary

or movable, wherein Gaming is permitted, performed, conducted or operated. Gaming

Facility or Gaming Facilities does not include the site of a fair, carnival, exposition or

similar occasion.

(o) “Gaming Operation” means the conduct of Gaming Activities and related business

activities in Gaming Facilities and areas where Gaming Employees are employed or

assigned.

(p) “Gaming Operator” means the Nation, an enterprise owned by the Nation, or such

other entity of the Nation as the Nation may from time-to-time designate as the whollyowned entity having full authority and responsibility for the operation and management of

Gaming Operations.

(q) “Gaming Services” means the provision of any goods and services, except legal

services and accounting services, to a Gaming Operation, including, but not limited to,

equipment, transportation, food, linens, janitorial supplies, maintenance, or security

services.

(r) “Indian Gaming Regulatory Act or IGRA” means Public Law 100-497, 102 Stat.

2426, 25 U.S.C. sec. 2701, et seq., as amended.

(s) “Judiciary” means the Oneida Nation Judiciary, which is the judicial system that was

established by Oneida General Tribal Council resolution GTC-01-07-13-B to administer

the judicial authorities and responsibilities of the Nation.

(t) “License” means a certificate or other document that represents the grant of a

revocable authorization to conduct the licensed activity. A License shall be supported by a

physical document, badge, certification or other physical manifestation of the issuance of

the revocable authorization to conduct the licensed activity.

(u) “Licensee” means a person or entity issued a valid License.

(v) “Nation” means the Oneida Nation.

(w) “NIGC” means the National Indian Gaming Commission.

5 O.C. 501 – Page 3

(x) “Oneida Business Committee” means the elected governing body of the Nation that

exercises the authority delegated it by the Oneida General Tribal Council under Article IV

of the Constitution and By-laws of the Oneida Nation, as may be amended from time-totime hereafter.

(y) “Oneida General Tribal Council” means the Nation’s governing body, as established

by the Constitution and By-laws of the Oneida Nation and as may be amended from timeto-time hereafter.

(z) “Ordinance or ONGO” means the Oneida Nation Gaming Ordinance, as may be

amended from time-to-time hereafter.

(aa) “Regulatory Incident” means the occurrence of any event giving rise to a potential or

alleged non-compliance with a gaming regulation, ordinance, law or policy involving any

person or Licensee on the premises of a Gaming Facility.

(bb) “Remediation” means efforts taken to reduce the source and migration of

environmental contaminants at a site.

(cc) “Reservation” means all lands within the exterior boundaries of the Reservation of

the Oneida Nation, as created pursuant to the 1838 Treaty with the Oneida 7 Stat. 566, and

any lands added thereto pursuant to federal law.

(dd) “Senior Gaming Management” means the gaming general manager, assistant gaming

general managers, gaming directors and assistant gaming directors.

(ee) “State” means the State of Wisconsin, along with its authorized officials, agents and

representatives.

(ff) “Tribal Fee Land” means all land to which the Nation holds title in fee simple.

(gg) “Tribal Trust Land” means all land to which the United States holds title for the

benefit of the Nation pursuant to federal law.

501.4. Jurisdiction

501.4-1. Territorial Jurisdiction. This Ordinance extends to all land within the exterior

boundaries of the Reservation.

501.4-2. Subject Matter Jurisdiction. This Ordinance applies to all Gaming conducted within

the territorial jurisdiction of the Nation as set forth in section 501.4-1.

501.4-3. Personal Jurisdiction. This Ordinance governs:

(a) The Nation;

(b) Members of the Nation; and

on the Reservation and all Tribal Trust Land.

501.5. Oneida Business Committee: Powers and Duties

501.5-1. The Oneida Business Committee retains the power and duty to enter into agreements

or compacts with the State under the Indian Gaming Regulatory Act.

501.5-2. The Oneida Business Committee retains the power and duty to enter into agreements

with local governments and other Tribal governments for services or cooperative ventures for the

Gaming Operations.

501.5-3. The Oneida Business Committee has the exclusive power and duty to enter into

contracts and agreements affecting the assets of the Nation, except for those assets that were placed

under the responsibility of the Oneida Land Commission under Chapter 67 of the Real Property

law.

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501.5-4. The Oneida Business Committee delegates to the Commission, in section 501.6-14 of

this Ordinance, certain authorities and responsibilities for the regulation of Gaming Activities,

Gaming Operations, Gaming Operators, Gaming Employees, Gaming Facilities, Gaming Services,

and the enforcement of laws and regulations.

501.5-5. The Oneida Business Committee retains the duty and responsibility to safeguard all

funds generated by the Gaming Operations and all other authorities and responsibilities not

delegated by a specific provision of this Ordinance.

501.5-6. The Chairperson of the Nation shall be the designated and registered agent to receive

notice of violations, orders, or determinations which are issued pursuant to the Indian Gaming

Regulatory Act and the Compact.

501.6. Oneida Gaming Commission

501.6-1. Establishment and Purpose. The Oneida Business Committee has established the

Oneida Gaming Commission for the purpose of regulating all Gaming Activities. The Commission

is an elected body comprised of four (4) members, provided that, the Oneida Business Committee

may, upon request of the Commission, increase the number of Commissioners by resolution without requiring amendment of this Ordinance.

501.6-2. Location and Place of Business. The Commission shall maintain its offices and

principal place of business within the Reservation.

501.6-3. Duration and Attributes. The Commission will have perpetual existence and succession

in its own name, unless dissolved by a law of the Nation. Operations of the Commission shall be

conducted on behalf of the Nation for the sole benefit of the Nation and its members. The Nation

reserves unto itself the right to bring suit against any person or entity in its own right, on behalf of

the Nation, or on behalf of the Commission, whenever the Nation considers it necessary to protect

the sovereignty, rights, and interests of the Nation or the Commission.

501.6-4. Sovereign Immunity of the Nation. All inherent sovereign rights of the Nation with

respect to the existence and activities of the Commission are hereby expressly reserved.

(a) The Nation confers upon the Commission sovereign immunity from suit as set forth

in the Nation’s Sovereign Immunity law.

(b) Nothing in this Ordinance nor any action of the Commission may be construed to be:

(1) A waiver of the sovereign immunity of the Commission or the Nation;

(2) Consent by the Commission or the Nation to the jurisdiction of the Judiciary,

the United States, a state or any other tribe; or

(3) Consent by the Nation to any suit, cause of action, case or controversy; or the

levy of any judgment, lien, or attachment upon any property of the Commission or

the Nation.

501.6-5. Requirements of Commission Membership.

(a) Qualifications. Candidates for election or appointment to the Commission shall be at

least twenty-one (21) years of age on the day of the election or on the day of appointment.

(1) Candidates for election to the Commission shall further meet the following

qualifications within five (5) business days after a caucus for elected positions on

the Commission. Candidates for appointment to the Commission shall meet the

following qualifications on the day of appointment to a vacancy on the Commission

under section 501.6-13 of this Ordinance:

(A) Be an enrolled member of the Nation;

(B) Have a minimum of three (3) years of education experience,

5 O.C. 501 – Page 5

employment experience and/or regulatory experience in Gaming

Operations related to Gaming Activity, Gaming law, Gaming control or

regulation, or Gaming accounting or of any combination of the foregoing;

and

(b) Conflict of Interest. No person may be considered for election or appointment as a

Commissioner until the candidate has disclosed all conflicts of interest as defined in the

Nation’s Conflict of Interest law.

as a Commissioner until a preliminary Background Investigation has been completed and

the person has been found to meet all qualifications.

(1) Swearing into office is subject to a Background Investigation regarding the

qualifications set forth in sections 501.6-5 and 501.6-6 upon being elected or

appointed to office.

501.6-6. Unless pardoned for activities under subsections (a) and/or (d) by the Nation, or

pardoned for an activity under subsections (a) and/or (d) by another Federally-recognized Indian

Tribe for an action occurring within the jurisdiction of the Federally-recognized Indian Tribe, or

pardoned for an activity under subsections (a) and/or (d) by the State or Federal government, no

individual may be eligible for election or appointment to, or to continue to serve on, the

Commission, who:

(a) Has been convicted of, or entered a plea of guilty or no contest to, any of the

following: 1

(1) Any gambling-related offense;

(2) Any offense involving Fraud or misrepresentation;

(3) Any offense involving a violation of any provision of Chapters 562 or 565 of

the Wisconsin Statutes, any rule promulgated by the State of Wisconsin Department

of Administration, Division of Gaming or any rule promulgated by the Wisconsin

Racing Board;

(4) A felony not addressed in paragraphs 1, 2 or 3 during the immediately

preceding ten (10) years; or

(5) Any offense involving the violation of any provision of the Nation’s law

regulating the conduct of Gaming Activities, or any rule or regulation promulgated

pursuant thereto.

(b) Has been determined by the Nation to be a person whose prior activities, criminal

record, if any, or reputation, habits, and associations pose a threat to the public interest or

to the effective regulation and control of Gaming, or create or enhance the dangers of

unsuitable, unfair, or illegal practices, methods, or activities in the operation of Gaming or

the carrying on of the business and financial arrangements incidental thereto;

Activity or Gaming Services vendor;

(d) Has been convicted of a crime involving theft, Fraud, or conversion against the

Nation;

(e) Has been removed from any office pursuant to the Nation’s Removal Law within the

This section taken substantially from Section IX of the Tribe-State Gaming Compact.

5 O.C. 501 – Page 6

past five (5) years; or

(f) Is a sitting Commissioner whose term is not concluded at the time of that election or

appointment action.

501.6-7. Term of Office. Commissioners shall serve five (5) year terms and shall serve until a

successor takes the oath of office.

(a) Terms of office shall be staggered.

501.6-8. Official Oath. Each Commissioner shall take the official oath at a regular or special

Oneida Business Committee meeting prior to assuming office.

(a) Upon being administered the oath of office, a Commissioner shall assume the duties

of office and shall be issued a security card setting forth his or her title and term of office.

501.6-9. Full-Time Status. Each Commissioner shall perform his or her duties and

responsibilities on a full-time basis and shall devote his or her entire work and professional time,

attention and energies to Commission business.

(a) No Commissioner shall, during his or her tenure in office, be engaged in any other

profession or business activity that may impede his or her ability to perform duties on

behalf of the Commission or that competes with the Nation’s interests.

(b) The Commission shall identify the appropriate work schedule for its members.

501.6-10. Bylaws. The Commission shall adopt bylaws subject to review and approval by the

Oneida Business Committee.

501.6-11. Budget and Compensation. The Commission shall function pursuant to an annual

budget.

(a) The Oneida Business Committee shall submit the operating budget of the

Commission for approval in the same fashion as all other budgets of the Nation.

(b) Compensation of Commissioners is not subject to the Nation’s Boards, Committees

and Commissions law, but shall be established by the Commission in a manner consistent

with the Commission’s internal rules and bylaws.

(1) The Commission shall adopt internal rules consistent with the Nation’s

existing accounting practices to verify its budgetary expenditures.

501.6-12. Removal. Removal of Commissioners shall be pursuant to the Nation’s Removal Law.

501.6-13. Vacancies. Any vacancy in an unexpired term of office, however caused, shall be filled

by appointment by the Oneida Business Committee, of a person qualified under sections 501.6-5

and 501.6-6 of this Ordinance, in accordance with the Nation’s Boards, Committees and

Commissions law.

501.6-14. Authority and Responsibilities. Subject to any restrictions contained in this Ordinance

or other applicable law, the Commission is vested with powers including, but not limited to, the

following:

(a) To exercise all power and authority necessary to effectuate the gaming regulatory

purposes of this Ordinance, IGRA, Oneida Gaming Minimum Internal Controls, and the

Compact.

(1) Unless otherwise indicated in this Ordinance, Commission regulation, or

authorized by majority vote of the Commission, no Commissioner may act

independently of the Commission. Any such action may constitute grounds for

removal.

(b) To promote and ensure the integrity, security, honesty and fairness of the regulation

and administration of Gaming.

5 O.C. 501 – Page 7

approve regulations pursuant to this Ordinance for the regulation of all Gaming Activity,

including processes for the enforcement of such regulations consistent with the laws of the

Nation.

(d) To draft and approve the Rules of Play and Oneida Gaming Minimum Internal

Controls; provided, the Rules of Play and Oneida Gaming Minimum Internal Controls

require review and comment by Senior Gaming Management prior to approval by the

Commission and are subject to review by the Oneida Business Committee.

(1) Rules of Play and Oneida Gaming Minimum Internal Controls are minimum

standards with which the Gaming Operations are required to comply and are

audited against.

(2) Comments received from Senior Gaming Management shall be included in

any submission to the Oneida Business Committee.

(3) Rules of Play and Oneida Gaming Minimum Internal Controls are effective

upon adoption by the Commission.

(4) The Commission shall provide notice of adoption of the Rules of Play and/or

Oneida Gaming Minimum Internal Controls to the Oneida Business Committee at

the next available regularly scheduled Oneida Business Committee meeting

following such adoption.

(A) If the Oneida Business Committee has any concerns and/or requested

revisions upon review of the Rules of Play and Oneida Gaming Minimum

Internal Controls, the Commission shall work with the Oneida Business

Committee to address such concerns and/or requested revisions.

(i) Unless the Oneida Business Committee repeals the Rules of

Play and/or the Oneida Gaming Minimum Internal Controls adopted

by the Commission, they will remain in effect while the

Commission and the Oneida Business Committee jointly work to

amend the Rules of Play and/or the Oneida Gaming Minimum

Internal Controls adopted by the Commission.

(ii) Should the Oneida Business Committee repeal the Rules of

Play and/or the Oneida Gaming Minimum Internal Controls adopted

by the Commission, the Rules of Play and/or the Oneida Gaming

Minimum Internal Controls that were in effect immediately previous

to those repealed will be automatically reinstated and effective

immediately upon the repeal of the Rules of Play and/or the Oneida

Gaming Minimum Internal Controls adopted by the Commission.

(B) If the Commission does not receive written notice from the Oneida

Business Committee of intent to repeal or amend the Rules of Play and/or

the Oneida Gaming Minimum Internal Controls within thirty (30) days of

the date the Oneida Business Committee is provided notice of the Rules of

Play and/or the Oneida Gaming Minimum Internal Controls adopted by the

Commission, they will remain in effect as adopted by the Commission.

Rules of Play and/or the Oneida Gaming Minimum Internal Controls

adopted by the Commission, the amendments shall be completed through

one (1) of the following actions within six (6) months from the date the

amendments are initiated by the Oneida Business Committee:

5 O.C. 501 – Page 8

(i) if the Commission and the Oneida Business Committee reach an

agreement as to the content of the amendments, the Commission

shall adopt revised Rules of Play and/or the Oneida Gaming

Minimum Internal Controls that have been discussed with and

agreed upon by the Oneida Business Committee; or

(ii) if the Commission and the Oneida Business Committee do not

reach an agreement as to the content of the amendments, the Oneida

Business Committee may adopt revised Rules of Play and/or the

Oneida Gaming Minimum Internal Controls that incorporate the

amendments it deems necessary.

(D) If revised Rules of Play and/or Oneida Gaming Minimum Internal

Controls are not adopted by either the Commission or the Oneida Business

Committee within six (6) months from the date the amendments are initiated

by the Oneida Business Committee, the Rules of Play and/or the Oneida

Gaming Minimum Internal Controls originally adopted by the Commission

will remain in effect.

(e) To prepare proposals, including budgetary and monetary proposals, which might

enable the Nation to carry out the purpose and intent of this Ordinance, and to submit the

same for consideration by the Oneida Business Committee; provided, however, that no

such proposal shall have any force or effect unless it is approved by the Oneida Business

Committee.

(f) To monitor and enforce all laws and regulations governing the operation and conduct

of all Gaming Activities, including the ongoing monitoring of Licenses, subject to this

Ordinance and/or regulations setting forth hearing or enforcement processes.

(g) To monitor and investigate all Gaming Operators for compliance with internal audits,

and external audits.

(h) To inspect, examine, and photocopy all papers, books, and records of Gaming

Activities and any other matters necessary to carry out the duties pursuant hereto; provided,

that all photocopies of documents shall be maintained in a confidential manner or in the

same manner as the original.

(i) To grant, deny, revoke, condition, suspend or reinstate the Licenses of Gaming

Employees, Gaming Services vendors, and Gaming Operators.

(j) To conduct hearings relating to Licenses issued under this Ordinance by the

Commission.

(k) To review all vendors doing business with the Gaming Operator to verify that such

persons or entities hold a valid License, where required, to do business with a Gaming

Operator.

(l) To retain professional advisors such as attorneys, law enforcement specialists, and

Gaming professionals consistent with the Nation’s laws and practices.

(m) To arbitrate, negotiate, or settle any dispute to which it is a party, and which relates

to its authorized activities.

(n) To act as the designated agent to receive all regulatory notices not included in section

501.5-6 of this Ordinance.

(o) To investigate all Regulatory Incidents.

(p) To issue warnings or notices of violation, in accordance with regulations, to Gaming

Operators and Licensees for non-compliance with the Compact, Oneida Gaming Minimum

5 O.C. 501 – Page 9

Internal Controls, Rules of Play, IGRA, or this Ordinance.

(q) To make determinations regarding suitability for licensing.

(r) To establish an administrative structure by regulation to carry out its authority and

responsibilities.

(s) To establish, where needed, additional processes for conducting licensing hearings

by regulation.

(t) To establish and collect fees for processing License applications by regulation.

(u) To establish and impose a point system for findings of regulatory violations by any

Gaming Employee by regulation.

(v) To establish and impose a fine system for findings of regulatory violations by any

Gaming Services vendor or permittee by regulation.

(w) To approve procedures that provide for the fair and impartial resolution of patron

complaints.

501.6-15. Reporting Requirements. The Commission shall adhere to the following reporting

requirements:

(a) A true, complete and accurate record of all proceedings of the Commission shall be

kept and maintained;

(b) Complete and accurate minutes of all Commission meetings shall be filed with the

Secretary of the Oneida Business Committee within thirty (30) days of their approval by

the Commission;

Commission’s activities, including information regarding funding, income and expenses

and any other matters to which the parties may agree, shall be submitted to the Oneida

Business Committee.

501.6-16. Oneida Gaming Commission Personnel. The Commission, or designee, shall be

responsible for the hiring and managing of any personnel of the Commission.

(a) The Commission, or designee, shall hire such personnel as is necessary to assist in

fulfilling its responsibilities under this Ordinance, the IGRA, the Compact and all

governing regulations, including the Oneida Gaming Minimum Internal Controls.

(b) All personnel of the Commission shall be hired through the Nation’s regular

personnel procedures and are subject to its personnel policies and salary schedules.

(1) All personnel of the Commission shall meet the requirements set forth in

section 501.12-3 of this Ordinance at hiring and during employment.

501.7. Gaming Surveillance: Powers, Duties and Limitations

501.7-1. Purpose. The purpose of Gaming Surveillance is to observe and report Regulatory

Incidents to the Commission and Gaming General Manager to provide for the regulation,

operation, and compliance of Gaming Activities under this Ordinance.

(a) Gaming Surveillance is a department within the Commission’s administrative

structure and supervision shall be identified within the organizational chart adopted by the

Commission; provided, nothing in the designation of supervisory responsibility may be

deemed to prohibit the responsibility of Gaming Surveillance to provide information and/or

video and/or audio records to the parties identified in section 501.7-3 of this Ordinance.

501.7-2. Gaming Surveillance shall be responsible for all Gaming surveillance activities

including, but not limited to, equipment and maintenance of equipment, observation and reporting

of all persons to include Gaming Employees, customers, consultants, and Gaming Services

5 O.C. 501 – Page 10

vendors.

501.7-3. Surveillance personnel shall provide to Senior Gaming Management, the Commission,

or Gaming Security a copy of any time-recorded video and accompanying audio (if available)

within twenty-four (24) hours of request.

501.7-4. Gaming Surveillance shall:

(a) Develop, implement and maintain written policies and procedures for the conduct

and integrity of the Surveillance Department.

(b) Develop, implement and maintain additional procedures governing the use and

release of the surveillance recordings or reports.

duties and to coordinate its activities in order to effectuate the protection of patrons and the

assets of the Gaming Operation.

(d) Develop, implement and maintain written policies and procedures for

implementation of duties and responsibilities identified with the Oneida Gaming Minimum

Internal Controls, subject to approval by the Commission.

501.8. [Reserved for future use.]

501.9. Gaming Security Department

501.9-1. Purpose. The purpose of the Gaming Security Department is to protect Gaming assets,

patrons and Gaming Employees from an activity, repeat activity, or ongoing activities which could

injure or jeopardize Gaming assets, patrons and Gaming Employees.

501.9-2. Reporting. The Internal Security Director, Gaming General Manager and Commission

shall enter into an agreement, subject to ratification by the Oneida Business Committee, describing

their responsibilities and reporting requirements under this Ordinance.

(a) When investigations involve or uncover a possible criminal or quasi-criminal

activity, the Gaming Security Department shall report the activity to the Oneida Police

Department for further review and investigation by the Oneida Police Department under

its separate departmental authority.

501.9-3. The Gaming Security Department shall:

(a) Develop, implement and maintain written policies and procedures for the conduct

and integrity of Gaming Security, as identified in the Oneida Gaming Minimum Internal

Controls and subject to approval by the Commission.

(b) Develop, implement and maintain additional procedures governing the use and

release of the investigation reports.

coordinate activities between the departments.

501.9-4. Investigations. This section is intended to authorize report gathering, information

gathering, and preliminary review, to be conducted by the Gaming Security Department.

501.10. Background Investigations

501.10-1. The Human Resources Department and the Commission shall enter into an agreement,

subject to ratification by the Oneida Business Committee, for carrying out Background

Investigations for employees as required under this Ordinance.

501.10-2. Background Investigations shall be conducted on all persons or entities as specified

under this Ordinance.

5 O.C. 501 – Page 11

(a) All Background Investigations shall be conducted to ensure that the Nation in its

Gaming Operations may not employ or contract with persons whose prior activities, or

reputation, habits and associations pose a threat to the public interest or to the effective

regulation of Gaming, or create or enhance the dangers of unsuitable, unfair or illegal

practices and methods in the conduct of such Gaming.

(1) The identity of any person interviewed in order to conduct a Background

Investigation shall be confidential.

501.11. Licenses, Generally

501.11-1. The Commission shall adopt procedures that ensure the efficient and orderly processing

of all applications for a License.

(a) All Gaming Employees, Gaming Services vendors and Gaming Operators shall apply

for a License from the Commission prior to their participation in any Gaming Activity.

(b) All Gaming Facilities shall be licensed by the Oneida Business Committee.

501.11-2. Temporary License. All Applicants, upon receipt by the Commission of a completed

application for a License and completion of a preliminary Background Investigation, may receive

a temporary license for a ninety (90) day period, unless a Background Investigation of the

application demonstrates grounds to disqualify the Applicant.

(a) A temporary license permits the Licensee to engage in such activities pursuant to any

terms and conditions imposed and specified by the Commission.

(b) A temporary license is valid until either replaced by a License, the ninety (90) day

temporary license period has concluded, or the temporary license is cancelled by the

Commission, whichever occurs first.

501.11-3. Revocable. A License is revocable only in accordance with the procedures set forth in

this Ordinance.

(a) A Licensee has only those rights and protections regarding a License granted in this

Ordinance.

501.11-4. All Applicants:

(a) Consent to the release of any information relevant to the Applicant’s Background

Investigation by any person or entity in possession of such information.

(b) Consent to the jurisdiction of the Nation and are subject to all applicable Oneida,

Federal, and State laws, regulations and/or policies.

501.11-5. All Licensees are subject to ongoing review at least every two (2) years by the

Commission.

501.11-6. Status of Licenses. The Commission shall notify the Gaming Operation of the status of

all Licenses, whether temporary or permanent, including all Commission action to revoke, suspend

or condition a License.

501.11-7. Commission Licensing Actions. The Commission may grant, deny, revoke, condition,

suspend or reinstate all Licenses, except for Gaming Facilities Licenses, in accordance with this

Ordinance.

(a) Authority to place conditions on a License may be exercised only upon promulgation

of regulations.

501.11-8. Noncompliance. The Commission may issue a notice of noncompliance when the

Commission has developed regulations that identify procedures that notices of noncompliance may

be issued to Licensees and permittees which provide an opportunity to correct actions.

(a) Such regulations shall include procedures for appeal of such notices and may include

5 O.C. 501 – Page 12

the ability to issue fines not to exceed one thousand dollars ($1000.00) per violation for

Gaming Services vendors and permittees.

501.12. Gaming Employee License

501.12-1. Scope of Section. This section applies only to Gaming Employee Licenses and licensing

actions.

501.12-2. License Application. Every Applicant for a License shall file with the Commission a

written application in the form prescribed by the Commission, duly executed and verified, which

shall certify:

(a) Applicant’s full name and all other names used (oral or written), Social Security

Number(s), place of birth, date of birth, citizenship, gender, and all languages (spoken or

written).

(b) Currently, and for the previous five (5) years: business and employment positions

held, ownership interests in those businesses, business and residence addresses, and

driver’s license number(s).

one (1) personal reference who was acquainted with the Applicant during each period of

residence listed in subsection (b) above.

(d) Current business and residence telephone numbers.

(e) A description of any existing and previous business relationships with Indian Tribes,

including ownership interest in those businesses.

(f) A description of any existing and previous business relationship with the Gaming

industry generally, including ownership interest in those businesses.

(g) The name and address of any licensing or regulatory agency with which the Applicant

has filed an application for a license or permit related to Gaming, whether or not such

license or permit was granted.

(h) The name and address of any licensing or regulatory agency with which the Applicant

has filed an application for an occupational license or permit, whether or not such license

or permit was granted.

(i) For each felony conviction or ongoing prosecution or conviction, the charge, the

name and address of the court involved, and the date and disposition, if any.

(j) For each misdemeanor or ongoing misdemeanor prosecution (excluding violations

for which jail time is not part of the potential sentence) within ten (10) years of the date of

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

(k) For each criminal charge (excluding charges for which jail time is not part of the

potential sentence) 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 subsections (i) or (j) of this section, the criminal charge, the name and address of the court

involved and the date and disposition.

(l) A photograph.

(m) Fingerprints consistent with procedures adopted by the Commission which meet the

criteria set forth in 25 C.F.R. section 522.2(h).

(1) The Commission is the agency that takes the fingerprints.

(n) Any other information the Commission deems relevant for a Gaming Employee

License.

(o) A statement that each Applicant has read and understands notices and the NIGC

5 O.C. 501 – Page 13

requirements relating to:

(1) The Privacy Act of 1974;

(2) Fraud and False Statements Act; and

(3) Fair Credit Reporting Act.

501.12-3. License Qualifications. No License may be granted if the Applicant:

(a) Is under the age of eighteen (18).

(b) Unless pardoned for activities under this subsection by the Nation, or pardoned for

activities under this subsection by another Federally-recognized Indian Tribe for an action

occurring within the jurisdiction of the Federally-recognized Indian Tribe, or pardoned for

activities under this subsection by the state or Federal government, has been convicted of,

or entered a plea of guilty or no contest to, any of the following:

(1) Any gambling-related offense;

(2) Any offense involving Fraud or misrepresentation;

(3) Any offense involving a violation of any provision of Chapters 562 or 565 of

the Wisconsin Statutes, any rule promulgated by the State of Wisconsin Department

of Administration, Division of Gaming, or any rule promulgated by the Wisconsin

Racing Board;

(4) A felony not addressed in paragraphs (1), (2), or (3), during the immediately

preceding ten (10) years; or

(5) Any offense involving the violation of any provision of the Nation’s law that

regulates the conduct of Gaming Activities, or any rule or regulation promulgated

pursuant thereto.

or associations pose a threat to the public interest or to the effective regulation and control

of Gaming or create or enhance the dangers of unsuitable, unfair or illegal practices,

methods or activities in the operation of Gaming Activities or the carrying on of the

business and financial arrangements incidental thereto.

(d) Possesses a financial interest in or management responsibility for any Gaming

Activity or Gaming Services vendor, or he or she has any personal, business, or legal

relationship which places him or her in a conflict of interest as defined in this Ordinance

or the Nation’s Conflict of Interest law.

(e) Each person licensed as a Gaming Employee has a continuing obligation to inform

the Commission immediately upon the existence of any circumstance or the occurrence of

any event which may disqualify him or her from being licensed as a Gaming Employee.

(1) Failure to report any such occurrence may result in suspension or revocation

of the Gaming Employee’s License.

501.12-4. Initial Eligibility Determination.

(a) Based on the results of the preliminary Background Investigation, the Commission

shall make an initial determination regarding an Applicant’s eligibility and either:

(1) Grant a temporary license, with or without conditions, to the Applicant; or

(2) Deny the License application and provide notice to the Applicant that he or

she may request a hearing regarding the decision consistent with subsection (b)

below.

(b) If the Commission determines that an Applicant is ineligible for a License, the

Commission shall notify the Applicant.

(1) The Commission shall set forth regulations for an Applicant to review any

5 O.C. 501 – Page 14

information discovered during the preliminary Background Investigation prior to

scheduling a hearing under section 501.12-10 of this Ordinance.

(2) The suspension or revocation hearing provisions set forth at section 501.12-9

of this Ordinance do not apply to Initial Eligibility Determinations.

501.12-5. Eligibility Determination and Notification to NIGC. When a Gaming Employee begins

employment at a Gaming Operation, the Commission shall:

(a) Require the Gaming Employee to submit a completed application for employment

that contains the notices and information listed in section 501.12-2 of this Ordinance;

(b) Review the Background Investigation of the Gaming Employee;

(1) Within sixty (60) days after a Gaming Employee begins employment at a

Gaming Facility under a temporary license, the Commission shall make an

eligibility determination regarding whether the Gaming Employee may receive a

License based upon the results of the Background Investigation.

(1) The investigative report shall include the steps in conducting the Background

Investigation, results obtained, conclusions reached and the basis for those

conclusions.

(d) Prior to issuing a License to a Gaming Employee and within sixty (60) days after the

Gaming Employee begins employment at a Gaming Facility, submit a notice of results of

the Background Investigation to the NIGC for inclusion in the Indian Gaming Individual

Record System; and

(1) The notice of results shall include the following, provided that any additional

or alternate information shall be forwarded as directed in regulations or rules

adopted by the NIGC:

(A) The Gaming Employee’s name, date of birth, and Social Security

Number;

(B) The date on which the Gaming Employee began employment;

including:

(i) License(s) that have previously been denied;

(ii) Gaming licenses that have been revoked, even if subsequently

reinstated;

(iii) Every known criminal charge brought against the Gaming

Employee within the last ten (10) years of the date of the application;

and

(iv) Every felony of which the Gaming Employee has been

convicted or any ongoing prosecution.

(D) A copy of the eligibility determination made under section 501.12-5

(b) of this Ordinance.

(e) All applications, Background Investigations, investigative reports, suitability

determinations, findings and decisions of the Commission shall be retained in the

Commission’s files for a period of at least three (3) years from the date the Gaming

Employee’s employment is terminated.

501.12-6. License Issuance. The Commission may issue a License to a Gaming Employee at any

time after providing the NIGC with a notice of results as required under section 501.12-5(d) of this

Ordinance; however, a Gaming Employee who does not have a License ninety (90) days after the

5 O.C. 501 – Page 15

start of employment shall have his or her employment terminated.

(a) The Commission shall notify the NIGC of the issuance or denial of a License to a

Gaming Employee within thirty (30) days after the License is issued or denied.

(b) Any Gaming Employee License issued under this section is effective from the date

of issuance and shall contain the Gaming Employee’s photograph, the Gaming Employee’s

name, and the date that the License became effective.

(1) If a Gaming Employee is promoted, transferred, reassigned, or the position is

reclassified, the Gaming Employee shall notify in writing the Commission, and the

Commission shall review the Gaming Employee’s License.

reinstate Licenses subject to the right to appeal the decision under the processes set forth

in this Ordinance.

501.12-7. Requirement to Wear License. During working hours, all Licensees shall wear their

License in a conspicuous place that is plainly visible by all employees, the Nation’s Gaming

patrons and surveillance.

501.12-8. NIGC Review.

(a) During a thirty (30) day period, beginning when the NIGC receives a notice of results

submitted pursuant to section 501.12-5(d) above, the Chairman of the NIGC may request

additional information from the Commission concerning the Gaming Employee.

(1) Such a request suspends the thirty (30) day period until the Chairman receives

the additional information.

(b) If, within the thirty (30) day period after the NIGC receives the notice of results, the

NIGC notifies the Commission that it has no objection to the issuance of a License, and

the Commission has not yet issued a License to the Gaming Employee, the Commission

may grant the License to the Gaming Employee.

NIGC provides the Commission with a statement itemizing objections to the issuance of a

License, the Commission shall reconsider the application, taking into account the

objections itemized by the NIGC.

(1) The Commission shall make the final decision whether to issue a License to

the Gaming Employee, or if the Gaming Employee has already been licensed,

whether to suspend or revoke the License in accordance with section 501.12-9 of

this Ordinance.

(d) Upon receipt of notification from the NIGC that a Gaming Employee who has already

been licensed is not eligible for employment, the Commission shall immediately suspend

the License in accordance with section 501.12-9 of this Ordinance.

501.12-9. Suspension or Revocation of Licenses. Except as provided in section 501.12-8(d) or

501.12-9(c) of this Ordinance, no License may be suspended or revoked except after notice and

opportunity for hearing.

(a) Basis for Licensing Action. The Commission may suspend, condition, or revoke any

License issued under this Ordinance if:

(1) After the issuance of a License, the Commission receives from the NIGC or

other source reliable information indicating that a Gaming Employee is not eligible

for a License under section 501.12-3 of this Ordinance; or such information would

justify the denial of the renewal of any License, the Commission shall issue a

written notice of suspension.

5 O.C. 501 – Page 16

(2) The Commission issues a written notice of suspension demonstrating that the

Licensee:

(A) Has knowingly made a materially false or misleading statement in any

application for a License, in any amendment thereto, or in response to a

request by the Commission for supplemental information or in connection

with any investigation of the Commission;

(B) Has knowingly promoted, played, or participated in any Gaming

Activity operated in violation of the Compact, Oneida or federal law, and

this Ordinance;

Commissioner or any other person in an attempt to avoid or circumvent any

applicable law;

(D) Has falsified any books or records relating to any transaction

connected with the operation of a Gaming Activity;

(E) Has refused to comply with any lawful directive of the Nation, Federal

government, or any court of competent jurisdiction; or

(F) Has been convicted of, or entered a plea of guilty or no contest to, a

crime involving the sale of illegal narcotics or controlled substances.

(b) Suspension Notice. The Commission’s notice of suspension shall be in writing and

shall, at a minimum, notify the Licensee of the following:

(1) The Licensee’s right to review a file prior to any hearing regarding the notice

of suspension, and to make copies of any documents contained in that file;

(2) The Licensee’s right to request a hearing on the proposed licensing action, to

present documents and witness testimony at that hearing, and to be represented by

counsel;

(3) The specific grounds upon which the proposed licensing action is based,

including citations to relevant sections of this Ordinance, the IGRA and any

applicable regulations and/or the Compact; and

(4) The time and place set by the Commission for the Licensee’s hearing.

effective regulation and control of Gaming Activities requires the immediate exclusion of

a Licensee, the Commission may immediately suspend a License prior to the conduct of a

hearing on the matter.

(1) Such an immediate suspension may take effect upon service of the notice of

immediate suspension.

(d) Any notice of suspension or notice of immediate suspension shall set forth the times

and dates for when the Licensee may review his or her file and the date for a hearing on

any proposed licensing action.

(e) Within fifteen (15) business days after a hearing, the Commission shall issue a final

written licensing decision and decide whether to suspend, uphold an immediate suspension,

revoke, or take other action concerning a License.

(1) If the License was suspended, conditioned or revoked based on information

from the NIGC or other source under section 501.12-8(d) or 501.12-9(a)(1) of this

Ordinance, the Commission shall forward a copy of its decision to the NIGC within

forty-five (45) days of receiving the NIGC’s or the other source’s notification

indicating that a Gaming Employee is not eligible for a License.

5 O.C. 501 – Page 17

(f) If a Licensee fails to appear for his or her hearing before the Commission, that right

is deemed to have been waived and the Commission will proceed on the proposed licensing

action by default.

(g) Unless identified in this Ordinance or regulations of the Commission, the hearing

processes set forth in the Nation’s Administrative Procedures Act shall apply.

501.12-10. Original Hearing Body. Any person aggrieved by a licensing decision of the

Commission may appeal the decision by filing a request for an original hearing before the

Commission.

(a) The Licensee may file any such request with the Commission in writing on or before

the fifteenth (15th) day following receipt of the Commission’s decision.

(b) The Commission shall certify the record, developed in accordance with section

501.12-4 or 501.12-9(a) of this Ordinance, within thirty (30) days of the date of the filing

of the request for an original hearing.

Commissioners who participated in the licensing decision from which the original hearing

is scheduled.

(d) The Commission may decide to review the decision solely on the licensing decision

record and briefs filed regarding the request for reconsideration.

(1) The Commission may also, in its sole discretion, grant oral arguments.

(e) The Commission shall issue a written decision determining whether to uphold the

Commission’s licensing decision, including whether to revoke or reinstate a License,

within one hundred twenty (120) days from receipt of the request for the original hearing.

(1) The Commission’s decision is considered an original hearing decision and an

appeal may be made to the Judiciary as an appeal of an original hearing body.

501.12-11. Notice to Oneida Business Committee. Prior to any suspension or revocation of a

License of the Gaming General Manager, the Commission shall provide notice to the Oneida

Business Committee twenty-four (24) hours prior to the issuance of the suspension or revocation.

501.12-12. Record of Proceedings. The Commission shall maintain a complete and accurate

record of all licensure proceedings.

501.12-13. Revocation of a License is solely limited to the licensing matter. Employment related

processes resulting from revocation of a License are determined solely through the personnel

processes and procedures of the Nation and are not licensing matters governed by this Ordinance.

501.13. Gaming Services Licensing and Non-Gaming Services Permitting

501.13-1. Scope of Section. This section applies to all individuals and entities providing Gaming

Services.

(a) The requirements of this Section are in addition to, and do not alter or amend any

requirements imposed by the Nation’s Vendor Licensing law. 2

501.13-2. Gaming Services License or Non-Gaming Services Permit Required.

(a) Gaming Services License. Any Gaming Services vendor providing Gaming related

contract goods or services as defined under Article VII(A) of the Compact to the Gaming

Operation shall possess a valid Gaming Services License.

(b) Non-Gaming Services Permit. Any vendor providing non-gaming related goods or

See also Appendix 1. Vendor Licensing/Permit.

5 O.C. 501 – Page 18

services to the Gaming Operation shall possess a valid Non-Gaming Services permit.

be made by the Commission which may be subject to requests for reconsideration by the

Gaming Services vendor within fourteen (14) business days of receipt by the Gaming

Services vendor of the notice of License or permit determination.

501.13-3. Approved Gaming Services Vendor List. The Commission shall maintain an updated

and complete list of all Gaming Services vendors that possess current and valid Gaming Services

Licenses or Non-Gaming Services permits from the Commission, which is known as the Approved

License and Permit List.

(a) Gaming Operations may only do business with vendors that possess valid and current

Gaming Services Licenses or Non-Gaming Services permits and who appear on the

Approved License and Permit List.

501.13-4. Gaming Services License/Permit Application. Every Applicant for a License or

permit shall file with the Commission a written application in the form prescribed by the

Commission, duly executed and verified, which shall provide and certify the following; provided,

Non-Gaming Services vendors with less than two thousand five hundred dollars ($2,500.00) in

services for the prior fiscal year are only required to file a notice of doing business with the

Commission:

(a) The Applicant’s name and mailing address;

(b) The names and addresses of each officer or management official of the Applicant;

the Applicant’s organizational documents;

(d) Identification of an agent of service for the Applicant;

(e) The name and address of each person having a direct or indirect financial interest in

the Applicant;

(f) The nature of the License or permit applied for, describing the activity to be engaged

in under the License or permit;

(g) Explicit and detailed disclosure of any criminal record, including any delinquent

taxes owed to the United States, or any state, of the Applicant, any person involved in the

organization, and any person of interest whose name appears or is required to appear on

the application;

(h) Whether the Applicant is or has been licensed by the State of Wisconsin Office of

Indian Gaming Regulation and Compliance and, if applicable, proof of current licensure;

(i) Whether the Applicant has been licensed in the State of New Jersey, Nevada or by

any other gaming jurisdiction, including any Indian Tribe or Tribal governmental

organization and, if so, proof of such licensure and the status of any such License;

(j) Whether the Applicant has been denied a License by any gaming jurisdiction and, if

so, the identity of the jurisdiction, the date of such decision and the circumstances

surrounding that decision;

(k) Whether any License held by the Applicant has been refused renewal, conditioned,

suspended or revoked by an issuing authority and, if so, the circumstances surrounding that

action;

(l) A statement of waiver allowing the Nation to conduct a Background Investigation of

the Applicant and any person whose name appears or is required to appear on the

application;

(m) Whether the Applicant or any person whose name appears or is required to appear on

5 O.C. 501 – Page 19

the application has or has had any business with the Nation or any business or personal

relationship with any of the Nation’s officers or employees;

(n) The name and contact information for all Tribes or Tribal organizations with whom

the Applicant or any person whose name appears or is required to appear on the application

has done business;

(o) Whether the Applicant or any person whose name appears or is required to appear on

the application maintains any involvement in the business of wholesale distribution of

alcoholic beverages;

(p) A statement that the Applicant has read and understands notices and the NIGC

requirements relating to:

(1) The Privacy Act of 1974;

(2) False statements; and

(3) The Fair Credit Reporting Act.

(q) All additional information necessary to allow the Commission to investigate the

Applicant and any person whose name appears or is required to appear on the application.

501.13-5. Signature on Application. Applications for Licenses or permits shall be signed by the

following person:

(a) For companies and corporations (both for profit and non-profit), the highest ranking

official of the corporation or other person to whom the authority to execute the application

has been properly delegated.

(b) For a sole proprietorship, the principal owner.

(d) For a limited partnership, the general partner or partners.

501.13-6. Incomplete Applications. Applications that do not contain all information requested,

including proper signatures, will be considered incomplete.

(a) Incomplete applications will not be considered by the Commission.

(b) The Commission shall notify an Applicant if an application is incomplete and what

additional information is necessary to complete the application.

(1) If an Applicant who has submitted an incomplete application, and been

notified of the deficiency in that application, fails to provide the information

requested by the Commission, the application will be returned to the Applicant and

the file closed.

501.13-7. Supplemental Information. The Commission may, in its discretion, request

supplemental information from the Applicant.

(a) Supplemental information requested by the Commission shall be promptly submitted

by the Applicant.

(1) An Applicant’s failure or refusal to submit supplemental information

requested by the Commission may constitute grounds for the denial of the

application.

501.13-8. Continuing Duty to Provide Information. Applicants, permittees, and Licensees owe

a continuing duty to provide the Commission with information and materials relevant to the

Applicant’s, permittee’s, or Licensee’s character or fitness to be licensed, including but not limited

to any change in the licensing or permitting status of the Applicant, permittee, or Licensee in any

foreign jurisdiction.

(a) An Applicant’s, permittee’s, or Licensee’s failure to notify the Commission promptly

of inaccuracies on an application or new information or materials relevant to him or her

5 O.C. 501 – Page 20

may constitute grounds to deny, suspend or revoke a License or permit.

501.13-9. Background Investigations. Background Investigations for Gaming Services vendors

shall be conducted as follows:

(a) Gaming Related Equipment Gaming Services Vendors under Fifty Thousand Dollars

($50,000.00) in Goods and/or Services Annually. The Commission shall conduct the

Background Investigations that are sufficient to determine the eligibility for licensing of

all Gaming Services vendors that provide or anticipate providing under fifty thousand

dollars ($50,000.00) in goods and services annually.

(b) Gaming Related Equipment Gaming Services Vendors over Fifty Thousand Dollars

($50,000.00) in Goods and/or Services Annually. The Commission shall review the

background investigation conducted by the Wisconsin Office of Indian Gaming Regulation

and shall conduct any necessary additional Background Investigation to ensure that the

State background investigation is complete and current.

Commission shall conduct Background Investigations on a sufficient number of randomly

selected applications in order to verify the accuracy of all applications.

(1) The random selection process shall be identified by regulation of the

Commission.

501.13-10. Licensing Action in a Foreign Jurisdiction. If the States of Wisconsin, New Jersey,

Nevada or any other gaming jurisdiction refuse to renew a License or permit, or conditions,

suspends or revokes the License or permit of an Applicant, permittee or Licensee, such action may

constitute grounds for similar action by the Commission.

501.13-11. Claim of Privilege. At any time during the licensing or permitting process, the

Applicant may claim any privilege afforded by law.

(a) An Applicant’s claim of privilege with respect to the production of requested

information or documents or the provision of required testimony or evidence may

constitute grounds for the denial, suspension or revocation of a License or permit.

501.13-12. Withdrawal of an Application. An Applicant may request to withdraw an application

by submitting a written request to the Commission.

(a) The Commission retains the right, in its exclusive discretion, to grant or deny a

request for withdrawal.

(b) An Applicant who withdraws an application is precluded from re-applying for a

Gaming Services License or Non-Gaming Services permit for a period of one (1) year from

the date the application was withdrawn.

501.13-13. Suspension or Revocation of Gaming Services Licenses or Permits. Except as

provided in section 501.13-13(c) of this Ordinance, no License or permit may be suspended or

revoked except after notice and opportunity for hearing.

(a) Basis for Licensing or Permitting Action. The Commission may suspend, modify, or

revoke any Gaming Services License or Non-Gaming Services permit issued under this

Ordinance if, after issuance of the License or permit, the Commission receives reliable

information that would justify denial of the issuance or renewal of a License or permit, or

if the Commission determines that the Licensee or permittee has:

(1) Knowingly made a materially false or misleading statement in any application

for a License or permit, in any amendment thereto, or in response to a request by

the Commission for supplemental information or in connection with any

investigation of the Commission;

5 O.C. 501 – Page 21

(2) Knowingly promoted, played or participated in any Gaming Activity operated

in violation of the Compact, any law of the Nation, or other applicable law;

(3) Bribed or attempted to bribe a Commissioner or any other person in an

attempt to avoid or circumvent any applicable law;

(4) Falsified any books or records relating to any transaction connected with

operation of a Gaming Activity;

(5) Refused to comply with a lawful directive of the Nation, the federal

government, or any court of competent jurisdiction; or

(6) Been convicted of or entered a plea of guilty or no contest to a crime involving

the sale of illegal narcotics or controlled substances.

(b) Suspension Notice. The Commission shall provide a Licensee or permittee with

written notice of suspension, which shall, at a minimum, notify the Licensee or permittee

of the following:

(1) The Licensee’s or permittee’s right to conduct a file review prior to any

hearing regarding the notice of suspension, and to make copies of any documents

in that file;

(2) The Licensee’s or permittee’s right to present documents and witness

testimony at the hearing and to be represented by counsel;

(3) The specific grounds upon which the suspension is based, including citations

to relevant sections of this Ordinance, the IGRA, any applicable regulations and/or

the Compact; and

(4) The time and place set by the Commission for the Licensee’s or permittee’s

file review and hearing.

effective regulation and control of others require the immediate exclusion of a Licensee or

permittee, the Commission may immediately suspend a License or permit prior to a hearing

on the matter.

(1) Such an immediate suspension takes effect upon service of the notice of

immediate suspension.

(d) File Review and Hearing. Any notice of suspension or notice of immediate

suspension shall set forth the time and date for the Licensee or permittee to conduct a file

review and for a hearing.

(e) Final Written Decision. Within fifteen (15) business days after a hearing, the

Commission shall issue a final written decision and decide whether to suspend, uphold an

immediate suspension, revoke, or take other action concerning a License or permit.

(f) Default. If a Licensee or permittee fails to appear for his or her hearing before the

Commission, that right is deemed to have been waived and the Commission will proceed

on the proposed licensing action by default.

(g) Unless identified in this Ordinance or regulations of the Commission, the hearing

processes set forth in the Nation’s Administrative Procedures Act shall apply.

501.13-14. Original Hearing Body. Any person aggrieved by a licensing or permitting decision

of the Commission may appeal the decision by filing a request for an original hearing before the

Commission.

(a) The Applicant, Licensee or permittee may file such request with the Commission in

writing on or before the fifteenth (15th) day following the receipt of the Commission’s

decision.

5 O.C. 501 – Page 22

(b) The Commission shall certify the record, developed in accordance with section

501.13-9 or 501. 13 -13(a) of this Ordinance, within thirty (30) days of the date of the filing

of the request for an original hearing.

(1) Those Commissioners participating in the initial licensing or permitting

decision may not participate in the original hearing.

permitting decision record and briefs filed regarding the request for reconsideration.

(1) The Commission may also, in its sole discretion, grant oral arguments.

(d) The Commission shall issue a written decision within one hundred twenty (120) days

from receipt of the request for the original hearing.

(1) The Commission’s decision is considered an original hearing decision and an

appeal may be made to the Judiciary as an appeal of an original hearing body.

501.14. Gaming Facility License

501.14-1. The construction and maintenance of any Gaming Facility, and the operation of

Gaming Activities, shall be conducted in a manner which adequately protects the environment and

the public health and safety, and shall comply with requirements of the Compact and all other

applicable health, safety, and environmental standards.

501.14-2. The Oneida Business Committee shall receive, review and grant or deny any

application for licensing any Gaming Facilities located within the Reservation. Applicants shall

provide the Oneida Business Committee sufficient information to show the following:

(a) The Gaming Facility meets all applicable health and safety standards of the Nation

and Federal government.

(1) To show compliance with applicable health and safety standards, Gaming

Operator shall submit certified copies of Compliance Certificates issued by the

agencies responsible for the enforcement of the health and safety standards.

(2) If health and safety standards are not met, proof shall be submitted by Gaming

Operator that the Gaming Facility is in the process of improvements which will

place the Gaming Facility in compliance with the applicable standards.

(b) The Gaming Facility meets applicable environmental standards of the Nation and

Federal government.

(1) To show compliance with applicable environmental standards, Gaming

Operator shall submit certified copies of an Environmental Assessment of the

Gaming Facility which were prepared by the agency responsible for the

enforcement of applicable environmental standards.

(2) If the applicable environmental standards are not met, proof shall be

submitted by Gaming Operator that Remediation of the Gaming Facility is being

actively sought which will place the Gaming Facility in compliance with the

applicable standards.

501.14-3. Upon receipt and review of the above information, the Oneida Business Committee

shall deliberate and either grant or deny for failure to meet the requirements of protecting the health

and safety of patrons, public and employees of a Gaming Facility License to the Applicant.

(a) The Oneida Business Committee shall submit to the NIGC a copy of each Gaming

Facility License issued.

501.14-4. If the Oneida Environmental, Health and Safety Department notifies the Oneida

Business Committee that a Gaming Facility will be closed by a governmental agency with proper

5 O.C. 501 – Page 23

authority due to environmental, health or safety concerns, the Oneida Business Committee shall

suspend the License of the Gaming Facility.

(a) The Oneida Business Committee shall re-License the Gaming Facility after receiving

the information required in section 501.14-2 of this Ordinance.

501.15. Gaming Operator License

501.15-1. Consent to Jurisdiction. The application for License and the conduct of Gaming

within the jurisdiction of the Nation is considered consent to the jurisdiction of the Nation in all

matters arising from the conduct of Gaming, and all matters arising under any of the provisions of

this Ordinance or other laws of the Nation.

501.15-2. License Required. No Gaming Operator may conduct Gaming Activity unless such

entity holds a valid and current Gaming Operator License issued by the Commission.

501.15-3. Types of Licenses. The Commission may issue each of the following types of Gaming

Operator Licenses:

(a) Tribally-Owned or Tribally-Operated Class II. This License is required of all

Tribally-owned or Tribally-operated Gaming Operations operating one or more Class II

Gaming Activities.

(b) Tribally-Owned or Tribally-Operated Class III. This License is required of all

Tribally-owned or Tribally-operated Gaming Operations operating one or more Class III

Gaming Activities.

501.15-4. Gaming Operator License Qualifications. The Commission shall issue a Gaming

Operator License to any Gaming Operation if:

(a) The Gaming Operation is to be located within the Reservation, or land taken into trust

after October 17, 1988, for Gaming purposes;

(b) The Gaming Activity proposed to be played at the Gaming Operation is Class II or

Class III Gaming as defined by this Ordinance and IGRA; and

Committee.

501.15-5. Provisions of General Applicability to All Gaming Operators.

(a) Site and Gaming Operator Specified. Each Gaming Operator License may be

applicable only to one (1) Gaming Operation and the Gaming Facility named on the

License.

(b) License Not Assignable. No Gaming Operator License may be sold, lent, assigned or

otherwise transferred.

Ordinance and any regulations promulgated thereunder available for inspection by any

person at each Gaming Facility.

(d) Display of License. Each Gaming Operator shall prominently display its License at

each Gaming Facility.

501.15-6. Grandfathered Gaming Facilities. All Gaming Operators operating on the effective

date of July 5, 2007, are hereby granted a License under this section.

501.15-7. License Application Fees and License Taxes. No application fees or License taxes

may be required by the Nation for a Gaming Operator License.

501.15-8. Closure of a Gaming Operation. If the Commission finds that any Gaming Operation

is operating in violation of this Ordinance, or otherwise presents a threat to the public, the

Commission shall immediately notify the Oneida Business Committee.

5 O.C. 501 – Page 24

(a) The Oneida Business Committee may close any Gaming Operation temporarily or

permanently at any time with or without cause, at its sole discretion.

501.16. Games

501.16-1. Class II and Class III Games are hereby authorized by this Ordinance.

501.16-2. Gaming Procedures. Games operated under this Ordinance shall be consistent with

the Compact and any amendments thereto and the Internal Control Standards and Rules of Play of

the Gaming Operation.

501.16-3. Who May Not Play. It is the policy of the Nation that particular Gaming Employees,

employees of the Commission, particular governmental officials, and consultants who directly

advise the Commission or employees at Gaming Facilities regarding gaming related activities may

not participate in Gaming Activities conducted at Gaming Operations.

(a) At a minimum, members of the Oneida Business Committee, the Commission, the

Gaming General Manager, assistant gaming general managers, directors of individual

Games and assistant directors of individual Games may not participate in any Gaming

Activity within the Reservation.

(b) The Oneida Business Committee may identify by resolution additional positions

restrictions on Gaming Activity conducted at Gaming Facilities.

(1) Such resolution shall be on file with the Commission.

their own standard operating procedure identifying other positions and any applicable

restrictions on Gaming Activity conducted at Gaming Facilities.

(1) The standard operating procedure and the list of positions shall be on file with

the Commission.

501.17. Allocation of Gaming Funds

501.17-1. Net Gaming revenues may only be used for the following purposes:

(a) To fund government operations, programs, or services of the Nation;

(b) To provide for the general welfare of the Nation and its members; provided, that per

capita payments may only be made pursuant to an approved revenue allocation plan;

(d) To contribute to charitable organizations;

(e) To assist in funding operations of other local governments;

(f) To fund programs designed to provide education, referrals, and treatment of Gaming

addiction disorders; and

(g) For any other purpose as determined by the Oneida General Tribal Council or the

Oneida Business Committee which is not inconsistent with the Oneida Nation Constitution

and IGRA.

501.18. Audits

501.18-1. Annual Audit. An annual audit of each Gaming Operation shall be conducted by an

independent, certified public accounting firm according to generally accepted accounting

principles.

(a) Copies of the annual audit shall be provided to the Oneida Business Committee, the

Nation’s Audit Committee, the Commission, and the NIGC by said certified public

accounting firm.

5 O.C. 501 – Page 25

(b) All contracts for supplies, services, or concessions for the Gaming Operations in

excess of twenty-five thousand dollars ($25,000.00) are subject to audit as prescribed in

this section of the Ordinance.

(1) Contracts for legal services and accounting services are exempt from this

requirement.

501.18-2. Other Audits. All audits, other than the annual audit under section 501.18-1 of this

Ordinance, shall be conducted pursuant to the Nation’s Internal Audit law or any other applicable

law of the Nation, and other audits authorized under the Compact.

501.18-3. Request for Audits. Any audit, except the annual audit that is mandated by IGRA,

may be authorized at any time by the Oneida General Tribal Council, the Oneida Business

Committee or the Nation’s Audit Committee.

501.19. Enforcement and Penalties

501.19-1. No individual or entity may own or operate a Gaming Facility unless specifically

authorized to do so pursuant to this Ordinance.

501.19-2. Violations/Prosecutions. Violators of this Ordinance may be subject to disciplinary

action, as well as civil and/or criminal prosecutions.

501.19-3. Remedies. The Oneida Business Committee may authorize commencement of an

action in any court of competent jurisdiction to recover losses, restitution, and forfeitures resulting

from violations of this Ordinance.

End.

Adopted

Emergency Amended

Amendment

Emergency Amended

Permanent Adoption

Amended

Emergency Amended

Amended

Emergency Amended

Emergency Extended

Amended

GTC-7-05-04-A

BC-7-14-04-A

BC-10-06-04-D

BC-11-03-04-A

BC-3-23-05-C

BC-9-23-09-D

BC-06-25-14-C (effective 11 01 2014)

BC-10-08-14-C (effective 11 01 2014)

BC-09-09-15-A (effective 09 09 2015)

BC-05-12-21-D

BC-11-10-21-A

BC-05-11-22-C

5 O.C. 501 – Page 26

Appendix 1. Vendor License/Permit

5 O.C. 501 – Page 27

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.