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Chapter 21 

Oneida Nation Gaming Ordinance 

Thatiwi=>Stunya=tha Olihw@=ke 

Matters of interest to where they make the money 

21.1. Purpose and Policy

21.2. Adoption, Amendment, Repeal

21.3. Jurisdiction

21.4. Definitions

21.5. Oneida Business Committee: Powers and Duties

21.6. Oneida Gaming Commission

21.7. Gaming Surveillance: Powers, Duties and Limitations

21.8. [Reserved for future use.]

21.9. Gaming Security Department

21.10. Background Investigations

21.11. Licenses, Generally

21.12. Gaming Employee License

21.13. Gaming Services Licensing and Non-Gaming Services 

Permitting

21.14. Gaming Facility License

21.15. Gaming Operator License

21.16. Games

21.17. Allocation of Gaming Funds

21.18. Audits

21.19. Enforcement and Penalties

21.1. Purpose and Policy 

21.1-1. Purpose. The purpose of this Ordinance is to set forth the laws of the Oneida Tribe of 

Indians of Wisconsin 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. 

21.1-2. Policy. It is the policy of this Ordinance to ensure that the Oneida Tribe is the primary 

beneficiary of its Gaming Operations and has the sole proprietary interest, and 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 Oneida Tribe work 

cooperatively to advance the best interests of the Oneida Tribe to protect the Tribe’s gaming 

resources, 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 Tribe’s gaming patrons. 

21.2. Adoption, Amendment, Repeal 

21.2-1. Adoption. This Ordinance was adopted by the Oneida General Tribal Council by 

resolution GTC-07-05-04-A and amended by resolutions BC-10-06-04-D, BC-3-23-05-C, BC-9-

23-09-D, BC-06-25-14-B and BC-09-09-15-A. 

21.2-2. Amendment. This Ordinance may be amended or repealed by the Oneida Business 

Committee or the Oneida General Tribal Council pursuant to the procedures set out in the 

Legislative Procedures Act. 

21.2-3 Severability. 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. 

21.2-4. 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); 
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(c) GTC-07-06-92-A (Amendments to Gaming SOP Manual); 

(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). 

21.2-5. This Ordinance is adopted under authority of the Constitution of the Oneida Tribe of 

Indians of Wisconsin. 

21.2-6. Name. This Ordinance is to be known as the Oneida Nation Gaming Ordinance or 

ONGO. 

21.2-7. Preemptive Authority. The Gaming Commission shall be the original hearing body 

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

21.3. Jurisdiction 

21.3-1. Territorial Jurisdiction. This Ordinance extends to all land within the exterior 

boundaries of the Reservation of the Tribe, as established pursuant to the 1838 Treaty with the 

Oneida, 7 Stat. 566, and any lands added thereto pursuant to federal law. 

21.3-2. Subject Matter Jurisdiction. This Ordinance applies to all Gaming conducted within the 

territorial jurisdiction of the Oneida Tribe as set forth in section 21.3-1. 

21.3-3. Personal Jurisdiction. This Ordinance governs:

(a) the Tribe; 

(b) tribal members; and 

(c) individuals and businesses leasing, occupying, or otherwise using Tribal Fee Land on 

the Reservation and all Tribal Trust Land. 

21.4. Definitions 

21.4-1. 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 Oneida Tribe 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. 

(c) Class I Gaming means social games solely for prizes of minimal value or traditional 

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. 

(C) The game is won by the first person covering a previously designated 
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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. 

(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 Tribe and the 

State of Wisconsin as amended and any future amendments or successor compact entered 

into by the Tribe and State 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 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 Tribe, an enterprise owned by the Tribe, or such other 

entity of the Tribe as the Tribe may from time to time designate as the wholly-owned 

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 
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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 judicial system that was established by Oneida General Tribal 

Council resolution GTC #1-07-13-B to administer the judicial authorities and 

responsibilities of the Tribe. 

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

revocable authorization to conduct the licensed activity. A License must 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) NIGC means the National Indian Gaming Commission. 

(w) Oneida Business Committee means the elected governing body of the Tribe 

exercising authority delegated from the Oneida General Tribal Council of the Oneida 

Tribe of Indians of Wisconsin under Article IV of the Constitution and By-laws for the 

Oneida Tribe of Indians of Wisconsin, approved December 21, 1936, as thereafter 

amended. 

(x) Oneida General Tribal Council means the governing body of the Oneida Tribe of 

Indians of Wisconsin as determined by the Tribe’s Constitution. 

(y) Ordinance or ONGO means the Oneida Nation Gaming Ordinance as it may from 

time to time be amended. 

(z) 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. 

(aa) Remediation means efforts taken to reduce the source and migration of 

environmental contaminants at a site. 

(bb) Reservation means all lands within the exterior boundaries of the Reservation of the 

Oneida Tribe of Indians of Wisconsin, as created pursuant to the 1838 Treaty with the 

Oneida, 7 Stat. 566, and any lands added thereto pursuant to federal law.

(cc) Senior Gaming Management means the gaming general manager, assistant gaming 

general managers, gaming directors and assistant gaming directors. 

(dd) State means the State of Wisconsin, its authorized officials, agents and 

representatives.

(ee) Tribe means the Oneida Tribe of Indians of Wisconsin. 

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

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

benefit of the Tribe pursuant to federal law. 

21.5. Oneida Business Committee: Powers and Duties 

21.5-1. The Oneida Business Committee retains the power and duty to enter into agreements or 

compacts with the State under the Indian Gaming Regulatory Act. 

21.5-2. 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. 

21.5-3. The Oneida Business Committee has the exclusive power and duty to enter into 

contracts and agreements affecting the assets of the Tribe, except for those assets that were 
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placed under the responsibility of the Oneida Land Commission under Chapter 67, Real Property 

Law.

21.5-4. The Oneida Business Committee delegates to the Commission, as set out in section 21.6-

14, certain authorities and responsibilities for the regulation of Gaming Activities, Gaming 

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

enforcement of laws and regulations, as identified in this Ordinance. 

21.5-5. 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. 

21.5-6. The Chairperson of the Tribe must 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. 

21.6. Oneida Gaming Commission 

21.6-1. 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. 

21.6-2. Location and Place of Business. The Commission shall maintain its offices and 

principal place of business within the Reservation. 

21.6-3. Duration and Attributes. The Commission will have perpetual existence and succession 

in its own name, unless dissolved by Tribal law. Operations of the Commission must be 

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

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

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

protect the sovereignty, rights, and interests of the Tribe or the Commission. 

21.6-4. Sovereign Immunity of the Tribe.

(a) All inherent sovereign rights of the Tribe with regard to the existence and activities of 

the Commission are hereby expressly reserved. 

(b) The Tribe confers upon the Commission sovereign immunity from suit as set forth in 

the Tribe’s Sovereign Immunity Ordinance. 

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

a waiver of its sovereign immunity or that of the Tribe, or consent by the Commission or 

the Tribe to the jurisdiction of the Judiciary, the United States, any state, or any other 

tribe, or consent by the Tribe 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 Tribe. 

21.6-5. Requirements of Commission Membership.

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

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

appointment. In addition, candidates for election to the Commission shall 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 21.6-13: 

(1) Be an enrolled member of the Tribe; 
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(2) Have a minimum of three (3) years of education experience, 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 

(3) Meet all other qualifications set forth in this Ordinance. 

(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 by the 

Oneida Conflict of Interest Policy. 

(c) Background Investigation. No person may be considered for election or appointment 

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

the person has been found to meet all qualifications. 

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

qualifications set forth in sections 21.6-5 and 21.6-6 upon being elected or appointed to 

office. 

21.6-6. Unless pardoned for activities under subsection (a) and/or (d) by the Tribe, or pardoned 

for an activity under subsection (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 subsection (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 chs. 562 or 565, Wis. 

Stats., 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 Tribal law regulating 

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

thereto.

(b) Has been determined by the Tribe 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; 

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

Activity or Gaming Services vendor; 

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

Tribe;

 

1

 This section taken substantially from Section IX of the Tribe-State Gaming Compact. 
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(e) Has been removed from any office pursuant to the Oneida Removal Law within the 

past five (5) years; or 

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

appointment action. 

21.6-7. Term of Office. Commissioners shall serve five (5) year terms and shall serve until a 

successor takes the oath of office. Terms of office must be staggered. 

21.6-8. Official Oath. Each Commissioner shall take the official oath at a regular or special 

Oneida Business Committee meeting prior to assuming office. Upon being administered the oath 

of office, a Commissioner shall assume the duties of office and must be issued a security card 

setting forth his or her title and term of office. 

21.6-9. Full-time Status. The Commission shall identify the appropriate work schedule for its 

members. 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, and may not, during his or her tenure in office, be engaged in any other 

profession or business activity that may impede the Commissioner’s ability to perform duties on 

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

21.6-10. Bylaws. The Commission shall adopt bylaws subject to review and approval by the 

Oneida Business Committee. 

21.6-11. Budget and Compensation. The Commission shall function pursuant to an annual 

budget. The Oneida Business Committee shall submit the operating budget of the Commission 

for approval in the same fashion as all other Tribal budgets. Compensation of Commissioners is 

not subject to the Tribe’s Comprehensive Policy Governing Boards, Committees, and 

Commissions, but must be established by the Commission in a manner consistent with the 

Commission's internal rules and bylaws. The Commission shall adopt internal rules consistent 

with the existing Tribal accounting practices to verify its budgetary expenditures. 

21.6-12. Removal. Removal of Commissioners must be pursuant to the Oneida Removal Law. 

21.6-13. Vacancies. Any vacancy in an unexpired term of office, however caused, must be 

filled by appointment by the Oneida Business Committee of a person qualified pursuant to 

sections 21.6-5 and 21.6-6 pursuant to the Comprehensive Policy Governing Boards, 

Committees and Commissions. 

21.6-14. 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. Unless otherwise indicated in this Ordinance or 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. 

(c) To draft, and approve, subject to review and adoption by the Oneida Business 

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

Activity, including processes for enforcement of such regulations consistent with Tribal 

law.

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

Controls; provided that, Rules of Play and Oneida Gaming Minimum Internal Controls 
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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 must 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. 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. 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. 

(A) 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. 

(i) 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. 

(C) Should the Oneida Business Committee pursue amendments to the 

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

adopted by the Commission, the amendments must 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: 

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

an agreement as to the content of the amendments, the 

Commission must 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 
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(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 Tribe 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 must 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 Tribal law 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 

21.5-6.

(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 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 
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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. 

21.6-15. Reporting Requirements. The Commission shall adhere to the following reporting 

requirements: 

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

kept and maintained; 

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

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

the Commission; 

(c) Quarterly, or as may be directed by the Oneida Business Committee, reports of the 

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

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

Business Committee. 

21.6-16. Oneida Gaming Commission Personnel. The Commission shall hire an Executive 

Director who is responsible for hiring and managing the personnel of the Commission. The 

Executive Director shall hire such personnel as is necessary to assist the Commission to fulfill its 

responsibilities under this Ordinance, the IGRA, and the Compact, and all regulations including 

the Oneida Gaming Minimum Internal Controls. The Executive Director and personnel of the 

Commission must be hired through the Tribe’s regular personnel procedure and are subject to its 

personnel policies and salary schedules. The Executive Director and personnel shall meet the 

requirements set forth in section 21.12-3 at hiring and during employment. 

21.7. Gaming Surveillance: Powers, Duties and Limitations 

21.7-1. 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. Gaming Surveillance is a 

department within the Commission’s administrative structure and supervision must be identified 

within the organizational chart adopted by the Commission, provided that 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 21.7-3. 

21.7-2. 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 vendors. 

21.7-3. 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. 

21.7-4. Gaming Surveillance shall: 

(a) Develop, implement and maintain written policies and procedures for the conduct and 
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integrity of the Surveillance Department. 

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

release of the surveillance recordings or reports. 

(c) Work cooperatively with the Gaming Security Department to carry out its official 

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. 

21.8. [Reserved for future use.] 

21.9. Gaming Security Department 

21.9-1. Purpose. The Gaming Security Department is a department within the Oneida Police 

Department. 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 and report these

activities to the Oneida Police Department for further review and/or investigation. Provided that, 

all reports of the Gaming Security Department must be copied to the Commission. 

21.9-2. Reporting. The Oneida Police Department, Gaming General Manager and the 

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

Committee, which describes their responsibilities and reporting requirements under this 

Ordinance.

21.9-3. 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. 

(c) Work cooperatively with Gaming Surveillance to carry out its official duties and to 

coordinate activities between the departments. 

21.9-4. Investigations. This section is intended to authorize report gathering, information 

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

21.10. Background Investigations

21.10-1. 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. 

21.10-2. Background Investigations must be conducted on all persons or entities as specified 

under this Ordinance. All Background Investigations must be conducted to ensure that the Tribe 

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. The identity of any person interviewed in order to 

conduct a Background Investigation must be confidential. 
21-12

21.11. Licenses, Generally 

21.11-1. The Commission shall adopt procedures that ensure the efficient and orderly processing 

of all applications for a License. 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. All Gaming Facilities must be licensed by the Oneida Business 

Committee. 

21.11-2. 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. Such temporary license, as 

defined in this section, permits the Licensee to engage in such activities and pursuant to any 

terms and conditions imposed and specified by the Commission. The 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. 

21.11-3. Revocable. A License is revocable only in accordance with the procedures set forth in 

this Ordinance. A Licensee has only those rights and protections regarding a License granted in 

this Ordinance. 

21.11-4. 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 Tribe and are subject to all applicable Tribal, 

Federal, and State laws, regulations, and policies. 

21.11-5. All Licensees are subject to ongoing review at least every two (2) years by the 

Commission. 

21.11-6. 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. 

21.11-7. 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. Authority to place conditions on a License may be exercised only upon 

promulgation of regulations.

21.11-8. 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. Such 

regulations must include procedures for appeal of such notices. Regulations may include the 

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

Services vendors and permittees. 

21.12. Gaming Employee License 

21.12-1. Scope of Section. This section applies only to Gaming Employee Licenses and 

licensing actions. 

21.12-2. 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 

must 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 
21-13

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). 

(c) The names and current addresses, of at least three (3) personal references, including 

one (1) personal reference, who were 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). 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 NIGC 

requirements relating to: 

(1) The Privacy Act of 1974; 

(2) Fraud and False Statements Act; and 

(3) Fair Credit Reporting Act. 

21.12-3. 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 Tribe, 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: 
21-14

(1) Any gambling-related offense; 

(2) Any offense involving Fraud or misrepresentation; 

(3) Any offense involving a violation of any provision of chs. 562 or 565, Wis. 

Stats., 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 Tribal law regulating 

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

thereto.

(c) Is determined to be a person whose prior activities, criminal record, reputation, 

habits, 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 Conflict of Interest Policy. 

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

of the Gaming Employee’s License. 

21.12-4. 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. The Commission shall set forth regulations for 

an Applicant to review any information discovered during the preliminary Background 

Investigation prior to scheduling a hearing under section 21.12-10. The suspension or 

revocation hearing provisions set forth at section 21.12-9 do not apply to Initial 

Eligibility Determinations. 

21.12-5. 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 21.12-2; 

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

(c) Create an investigative report based on each Background Investigation performed. 

The investigative report must 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. The notice of results must include the following, provided that any 

additional or alternate information must be forwarded as directed in regulations or rules 

adopted by NIGC: 

(1) The Gaming Employee’s name, date of birth and social security number. 

(2) The date on which the Gaming Employee began employment. 

(3) A summary of the information presented in the investigative report, 

including:

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

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

reinstated; 

(C) Every known criminal charge brought against the Gaming Employee 

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

(D) Every felony of which the Gaming Employee has been convicted or 

any ongoing prosecution. 

(4) a copy of the eligibility determination made under section 21.12-5(b). 

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

determinations, findings and decisions of the Commission must 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. 

21.12-6. License Issuance. The Commission may issue a License to a Gaming Employee at any 

time after providing NIGC with a notice of results as required under section 21.12-5(d); 

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

employment must have his or her employment terminated. 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. 

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

issuance and must contain the Gaming Employee’s photograph, the Gaming Employee’s 

name, and the date that the License became effective. 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. The Commission retains the right to grant, deny, revoke, condition, 

suspend, or reinstate Licenses subject to the right to appeal the decision under the 

processes set forth in this Ordinance. 

21.12-7. 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. 

21.12-8. NIGC Review.

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

submitted pursuant to section 21.12-5(d) above, the Chairman of the NIGC may request 
21-16

additional information from the Commission concerning the Gaming Employee. 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 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. 

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

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. 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 21.12-9. 

(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 21.12-9. 

21.12-9. Suspension or Revocation of Licenses. Except as provided in section 21.12-8(d) or 

21.12-9(c), 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 21.12-3 or such information would justify the 

denial of the renewal of any License, the Commission shall issue a written notice 

of suspension; 

(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, Tribal or federal law, and 

this Ordinance; 

(C) Has bribed or attempted to bribe, or has received a bribe from, a 

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 Gaming Activity; 

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

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 must be in writing and 

must, at a minimum, notify the Licensee of the following: 
21-17

(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 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, any 

applicable Regulations and/or the Compact; and 

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

(c) Immediate Suspension. If, in the judgment of the Commission, the public interest, 

and 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. 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 must 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. If the License was 

suspended, conditioned or revoked based on information from the NIGC or other source 

under section 21.12-8(d) or 21.12-9(a)(1), the Commission shall forward a copy of its 

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

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

(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 Tribe’s administrative procedures law apply. 

21.12-10. 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. 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. The Commission 

shall certify the record, developed in section 21.12-4 or 21.12-9(a), within thirty (30) days of the 

date of the filing of the request for an original hearing. The Commissioners serving on the 

original hearing body may not include the Commissioners who participated in the licensing 

decision from which the original hearing is scheduled. The Commission may determine to 

review the decision solely on the licensing decision record and briefs filed regarding the request 

for reconsideration. The Commission may also, in its sole discretion, grant oral argument. 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. 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. 

21.12-11. 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 
21-18

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

21.12-12. Record of Proceedings. The Commission shall maintain a complete and accurate 

record of all licensure proceedings. 

21.12-13. 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 Tribe and are not licensing matters governed by this Ordinance. 

21.13. Gaming Services Licensing and Non-Gaming Services Permitting 

21.13-1. Scope of Section. This section applies to all individuals and entities providing Gaming 

Services. The requirements of this Section are in addition to, and do not alter or amend any 

requirements imposed by the Oneida Vendor Licensing Law.2

21.13-2. 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 

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

(c) Determinations regarding the issuance of a License or permit under this section must 

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. 

21.13-3. 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. 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. 

21.13-4. 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 must provide and certify the following. Provided that, NonGaming 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; 

(c) A copy of the Applicant’s articles of incorporation and by-laws, or if not a 

corporation, 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 

 

2

 See also Appendix 1. Vendor Licensing/Permit. 
21-19

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

relationship with any of the Tribe’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 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. 

21.13-5. Signature on Application. Applications for Licenses or permits must 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 another person to whom the authority to execute the 

Application has been properly delegated. 

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

(c) For a partnership, all partners. 

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

21.13-6. Incomplete Applications. Applications that do not contain all information requested, 

including proper signatures, will be considered incomplete. Incomplete applications will not be 

considered by the Commission. The Commission shall notify an Applicant if an application is 
21-20

incomplete and what additional information is necessary to complete the application. 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. 

21.13-7. Supplemental Information. The Commission may, in its discretion, request 

supplemental information from the Applicant. Supplemental information requested by the 

Commission must be promptly submitted by the Applicant. An Applicant’s failure or refusal to 

submit supplemental information requested by the Commission may constitute grounds for the 

denial of the application. 

21.13-8. 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. 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 the Applicant may constitute grounds to deny, suspend or revoke a License or permit. 

21.13-9. Background Investigations. Background Investigations for Gaming Services vendors 

must 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. 

(c) Other Non-Gaming Related Goods and/or Services Gaming Services Vendors. The 

Commission shall conduct Background Investigations on a sufficient number of 

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

random selection process must be identified by regulation of the Commission. 

21.13-10. Licensing Action in a Foreign Jurisdiction. If the states of Wisconsin, New Jersey, 

Nevada or any other gaming jurisdiction refuses 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. 

21.13-11. Claim of Privilege. At any time during the licensing or permitting process, the 

Applicant may claim any privilege afforded by law. 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. 

21.13-12. Withdrawal of an Application. An Applicant may request to withdraw an application 

by submitting a written request to the Commission. The Commission retains the right, in its 

exclusive discretion, to grant or deny a request for withdrawal. An Applicant who withdraws an 

application is precluded from reapplying for a Gaming Services License or Non-Gaming 

Services permit for a period of one (1) year from the date the application was withdrawn. 
21-21

21.13-13. Suspension or Revocation of Gaming Services Licenses or Permits. Except as 

provided in section 21.13-13(c), 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; 

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

operated in violation of the Compact, or any Tribal 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 Gaming Activity; 

(5) Refused to comply with a lawful directive of the Tribe, 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 must, 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. 

(c) Immediate Suspension. If, in the judgment of the Commission, the public interest, 

and 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. 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 must 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. 
21-22

(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 Oneida Administrative Procedures Act apply. 

21.13-14. 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. 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. The Commission shall certify the record, developed in section 21.13-9 or 21. 13 -

13(a), within thirty (30) days of the date of the filing on the request for an original hearing. The 

Commissioners participating in the initial licensing or permitting decision may not participate in 

the original hearing. The Commission may determine to review the decision solely on the 

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

The Commission may also, in its sole discretion, grant oral argument. The Commission shall 

issue a written decision within one hundred twenty (120) days from receipt of the request for the 

original hearing. 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. 

21.14. Gaming Facility License 

21.14-1. The construction and maintenance of any Gaming Facility, and the operation of 

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

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

other applicable health, safety, and environmental standards. 

21.14-2. The Oneida Business Committee must 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 Federal and Tribal health and safety 

standards. 

(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 must 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 federal and Tribal environmental standards. 

(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 must 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. 

21.14-3. 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 
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health and safety of patrons, public and employees of a Gaming Facility License to the 

Applicant. The Oneida Business Committee shall submit to the NIGC a copy of each Gaming 

Facility License issued. 

21.14-4. 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 

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

suspend the License of the Gaming Facility. The Oneida Business Committee shall re-License 

the Gaming Facility after receiving the information required in section 21.14-2. 

21.15. Gaming Operator License 

21.15-1. Consent to Jurisdiction. The application for License and the conduct of Gaming within 

the jurisdiction of the Tribe is considered consent to the jurisdiction of the Tribe in all matters 

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

Ordinance or other Tribal laws. 

21.15-2. License Required. No Gaming Operator may conduct Gaming Activity unless such 

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

21.15-3. 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 for all 

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

Gaming Activities. 

21.15-4. 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 

(c) The proposed Gaming Operation is authorized by a resolution of the Oneida Business 

Committee. 

21.15-5. 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. 

(c) Regulations Posted or Available. Each Gaming Operator must have a copy of this 

Ordinance and any regulations promulgated thereunder available for inspection by any 

person at each Gaming Facility. 

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

each Gaming Facility. 

21.15-6. Grandfathered Gaming Facilities. All Gaming Operators operating on the effective 

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

21.15-7. License Application Fees and License Taxes. No application fees or License taxes may 
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be required by the Tribe for a Gaming Operator License. 

21.15-8. 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. The Oneida Business 

Committee may close any Gaming Operation temporarily or permanently at any time with or 

without cause, at its sole discretion. 

21.16. Games 

21.16-1. Class II and Class III Games are hereby authorized by this Ordinance. 

21.16-2. Gaming Procedures. Games operated under this Ordinance must be consistent with the 

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

the Gaming Operation. 

21.16-3. Who May Not Play. It is the policy of the Tribe 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. 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. 

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

restrictions on Gaming Activity conducted at Gaming Facilities. Such resolution must be 

on file with the Commission. 

(b) The Commission and Senior Gaming Management shall each develop and maintain 

their own standard operating procedure identifying other positions and any applicable 

restrictions on Gaming Activity conducted at Gaming Facilities. The standard operating 

procedure and the list of positions must be on file with the Commission. 

21.17. Allocation of Gaming Funds 

21.17-1. Net Gaming revenues may only be used for the following purposes:

(a) To fund Tribal government operations, programs, or services. 

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

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

(c) To promote Tribal economic development. 

(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. 

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

Oneida Business Committee which is not inconsistent with the Constitution of the Tribe 

and IGRA. 

21.18. Audits 

21.18-1. Annual Audit. An annual audit of each Gaming Operation must be conducted by an 

independent, certified public accounting firm according to generally accepted accounting 

principles. Copies of the annual audit must be provided to the Oneida Business Committee, the 

Oneida Audit Committee, the Commission, and the NIGC by said certified public accounting 
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firm. 

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

requirement. 

21.18-2. Other Audits. All audits, other than the annual audit under section 21.18-1, must be 

conducted pursuant to the Oneida Audit Law or any other applicable law of the Tribe, and other 

audits authorized under the Compact. 

21.18-3. Request for Audits. Any audit, except the annual audit which is mandated by IGRA, 

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

Committee or the Oneida Audit Committee. 

21.19. Enforcement and Penalties 

21.19-1. No individual or entity may own or operate a Gaming Facility unless specifically 

authorized to do so pursuant to this Ordinance. 

21.19-2. Violations/Prosecutions. Violators of this Ordinance may be subject to disciplinary 

action and civil and/or criminal prosecutions. 

21.19-3. 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 GTC-7-05-04-A 

Emergency Amended BC-7-14-04-A 

Amendment BC-10-06-04-D 

Emergency Amended BC-11-03-04-A 

Permanent Adoption BC-3-23-05-C 

Amended BC-9-23-09-D 

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

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

Amended BC-09-09-15-A (effective 09 09 2015)
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Appendix 1. Vendor License/Permit