ONEIDA INDIAN NATION OF NEW YORK

GAMING ORDINANCE

No. 09301

Pursuant to the authority vested in the Oneida Indian Nation

of New York (hereinafter referred to as the Nation), by virtue of

its inherent powers of self-government, the Nation hereby

authorizes the operation of a variety of games as a means to

promote the Nationts economic development, selfsufficiency, and

strong tribal government, and establishes a public body known as

the Oneida Indian Nation of New York Gaming Commission (hereinafter

referred to as the Gaming Commission or the Commission) to

regulate such gaming.

Ax~ticle I - Declaration of Need

It is hereby declared that

1. There is a high level of poverty and unemployment among

members of the Nation;

2. Economic development, selfsufficiency and strong tribal

government improve the health, safety and welfare of the Nation,

and serve to preserve its unique culture; and

3. The Nation is committed to economic development, selfsufficiency and strong tribal government.

Article II -

Purposes

1. Gaming is a means of generating Nation revenue and fullemployment.

2. The Federal courts and Congress have declared that Indian

gaming operations are a lawful and valid means of promoting

economic development, selfsufficiency, and for strengthening

tribal governments.

3. Congress has established Federal regulatory authority and

standards for gaming on Indian lands in order to protect such

gaming from organized crime and other corrupting influences and to

preserve such gaming as a means of generating Nation revenue.

4. The Nation enacts this Ordinance to provide appropriate

regulation of these essential tribal activities.

Article III - Definitions

The following terms, wherever used or referred to in this

Ordinance, shall have the following respective meanings, unless a

different meaning clearly appears from the context:
Act means the Indian Gaming Regulatory Act, Pub. L. 100-497,

102 Stat. 2467, codified at 25 U.S.C. SS 270121 and 18 U.S.C. §~

116668.

Class II gaming means Class II gaming as defined by the Act.

25 U.S.C. § 2703(7) (A).

Class III gaming means Class III gaming as defined by the

Act. 25 U.S.C. § 2703(8).

Commission or Gaming Commission means the Oneida Indian

Nation of New York Gaming Commission established by this Ordinance.

Compact means any compact that is entered into between the

Nation and the State of New York to govern Class III gaming

operated by or on behalf of the Nation and that is in effect.

Consensus is the basis for decisionmaking by the Oneida

Indian Nation of New York.

Gaming employee means any natural person employed in the

operation or management of Class III gaming authorized by this

Ordinance, whether employed by the Nation or by any enterprise or

management contractor providing onsite services to the Nation

within a Class III gaming facility.

Gaming facility means any place, facility or location in

which Class II or III gaming is conducted on Nation land.

Gaming operation means any business or activity operated by

or for the Nation on Nation lands for the purpose of conducting any

form of Class II or III gaming in any Class II or Class III gaming

facility.

Nation lands means the reservation lands of the Nation or

lands over which the Nation exercises governmental power and which

are either (i) held by the Nation or an individual member of the

Nation subject to restriction by the United States against

alienation; or (ii) held in trust by the United States for the

benefit of the Nation or an individual member of the Nation.

Nation Representative means the official governmental

representative of the Oneida Indian Nation of New York.

National Indian Gaming Commission means the National Indian

Gaming Commission established pursuant to the Act. 25 U.S.C.

§ 2704.

Net revenues means gross revenues of a Class II or Class III

gaming activity less amounts paid out as, or paid for, prizes and

total operating expenses, excluding management fees.

2
Ilordinancell means this Oneida Indian Nation of New York Gaming

Ordinance.

Article IV - Authorized Games

The followingforms of Class II and III gaming shall be lawful

if operated by the Nation as a tribal enterprise or by any other

person or entity authorized by the Nation:

1. Any Class Ilganie; and

2. Any Class III game authorized by a compact.

Article V - Nation Ownership

The Nation shall have the sole proprietary ownership of and

responsibility for the conduct of any gaming activity on Nation

land. This shall not preclude the Nation from entering into a

management or service agreement with persons or firms to provide

management or professional services to the gaming activity,

including the appointment or licensing of persons or firms to act

as the licensees or agents of the Nation in the conduct of a

specific gaming activity.

Article VI - Revenue from Gaming

The net revenue received by the Nation for any gaming activity

shall be used solely for the following purposes:

1. To fund Nation government operations or programs;

2. To provide for the general welfare of the Nation and its

members;

3. To promote Nation economic development; and

4. To help fund operations of local government agencies.

Article VII - Audits

1. The Nation shall require an annual audit by a certified

public accounting firm of all gaming activities, with results of

each such audit to be provided to the National Indian Gaming

Commission subject to terms that shall protect the confidentiality

of the results.

2. All contracts for supplies, services or concession for a

contract amount in excess of $25,000 annually (except contracts for

professional, legal, or accounting services) relating to such

gaming shall be subject to such independent audits.

3
Article VIII - Public Health and Safety

The construction and maintenance of all gaining facilities and

the operation of all gaining activities shall be conducted in a

manner which adequately protects the environment and the public

health and safety.

Article IX -

Background Investigations

The Nation shall ensure, that background investicjations are

conducted on primary management officials and key employees of the

gaming operation, and oversight of such officials and their

management shall be conducted on an ongoing basis. Background

investigations shall be conducted in accordance with the Act and,

if applicable, a compact. Any person whose prior activities,

criminal record, if any, or reputation, habits or 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 and activities in the conduct of

gaming shall not be eligible for employment. Nor shall any person

be eligible for einployntent who supplies materially false or

misleading information in connection with a background

investigation.

Article X -

Licensing

iThe Nation shall issue a separate license to each place,

(~ility, or location on Nation land where it elects to allow Class

or Class III gaming.

Article XI - Establishment of the Gaming Commission

1. The Gaming Commission shall be composed of three persons,

each of whom shall carry the title Gaming Commissioner.

2. The Gaming Commissioners shall be appointed, and may be

reappointed, by the Nation Representative. A certificate of the

Nation Representative as to the appointment or reappointment of any

Gaming Commissioner shall be conclusive evidence of the due and

proper appointment of the member.

3. A Gaming Commissioner may be a member or non-member of

the Nation. However, no Gaming Commissioner shall be a gaining

employee of any Nation gaming operation.

4. The term of office shall be four years and staggered.

When the Gaming Commission is first established, one Commissioners

term shall be designated to expire in two years, another to expire

in three years, and the third to expire in four years. Thereafter,

all appointments shall be for four years, except that in the case

of a prior vacancy, an appointment shall be only for the length of

4
the unexpired term. If physically able, each Commissioner shall

hold office until his/her successor has been appointed.

5. The Nation Representative shall name one of the Gaming

Commissioners as the First Gaming Representative of the Gaming

Commission. The Gaming Commission shall select from among its

Commissioners a Second Gaming Representative, a Secretary and a

Treasurer; any member may hold two of these positions, except that

no Gaming Commissioner may hold the positions of both First Gaming

Representative and-Second Gaming Representative. In absence of the

First Gaming Representative, the Second Gaming Representative shall

preside.

6. A Gaming Commissioner may be removed by the Nation

Representative at any time with or without cause.

7. No Gaming Commissioner or employee of the Commission

shall participate as a player in any gaming activity conducted by

the Nation.

8. The Gaming Commissioners may receive compensation for

their services and shall be entitled to compensation for their

expenses, including travel expenses, incurred in the discharge of

their duties. Such compensation shall be determined by the Nation

Representative.

9. A majority of the full Gaming Commission (i.e.,

notwithstanding the existence of any vacancies) shall constitute a

quorum for the transaction of business, but no Gaming Commission

action shall be taken unless there is agreement by consensus.

10. The Secretary shall keep complete and accurate records of

all meetings and actions taken by the Gaming Commission.

11. The Treasurer shall keep full and accurate financial

records, prepare the Gaming Commissions annual budget, make

periodic reports to the Nation Representative, and assist in the

preparation of the annual report to the Nation Representative as

required by Section 17 of Article XII of this Ordinance.

12. Meetings of the Gaming Commission shall be held at

regular intervals as provided in the by-laws. Emergency meetings

may be held upon 24 hours actual notice and business transacted,

provided that at least a quorum exists and that there is a

consensus of those Gaining Commissioners present with respect to the

proposed action.

13. Any action required or permitted to be taken at a meeting

of the Gaming Commission may be taken without a meeting if all of

the members sign written consents setting forth the action taken or

to be taken, at any time before or after the intended effective

date of such action. Such consents shall be filed with the minutes

5
of the Commission and shall have the same effect as consent

obtained at a meeting.

14. Gaming Commissioners may participate in a meeting of the

Commission by means of conference telephone or similar

communications equipment by means of which all persons

participating in the meetings can hear each other, and

participation in a meeting in such manner by any Gaming

Commissioner who does not object at the beginning of such meeting

to the holding thereof in such manner shall constitute presence in

person of that Gaming Commissioner at such meeting.

Article XII - Powers and Duties of the Gaming Commission

The Gaining Commission shall be responsible for the regulation

of any gaming authorized by this Ordinance, shall perform in place

of the Nation the duties of the Nation set forth in Articles IX and

X of the Ordinance, and shall have the following powers that it may

exercise consistent with the purpose for which it is established:

1. To adopt written standards of operation and management to

govern all authorized gaining which shall include

(a) the rules of each game of chance operated

by the Nation;

(b) permissible methods of payment;

(c) procedures to license gaming employees, to conduct

or cause to be conducted background investigations on

employees and management officials, and to train and

instruct gaming employees;

(d) internal organization and management of the gaming

operations;

(e) security and surveillance methods;

(f) accounting and cash control procedures; and

(g) other record keeping requirements.

Such standards shall protect the public interest in the integrity

of the gaining operations, and shall reduce the dangers of

unsuitable, unfair or illegal practices and methods in the conduct

of gaming.

2. To investigate any aspect of a gaming operationj and, in

doing so, to require and review any records of or concerning any

gaming operation and to compel any person employed by any such

operation, or doing business with such operations to appear before

6
it and to provide such information, records or other materials as

may be in their possession to assist in any investigation.

3. To license any gaming facility on Nation land where a

tribe elects to allow Class II or Class III gaming and to enter and

inspect at any time any such gaming facility in which games are

operated pursuant to this Ordinance. Such inspections may be

conducted by nonuniformed inspectors employed by and under the

direction of the Gaming Commission.

4. To require an annual audit by a certified public

accounting firm of all gaming activities and such other audits as

it deems necessary.

5. To license any gaming employee.

6. To acknowledge the registration of gaining service

enterprises by a state for purposes of contracting with the Nation

and to assist the State of New York in the registration of gaming

service enterprises that seek to do business with a Nation gaming

operation.

7. To ensure that background investigations are conducted on

primary management officials and key employees of the gaining

operations in accordance with the Act and a compact, and to oversee

such officials and their management on an ongoing basis.

8. To prohibit undesirable conduct from occurring in, and

undesirable persons from admission to, any gaining facility.

9. To coordinate and cooperate with any legitimate law

enforcement effort to protect the Nation and its gaming operations

from harm.

10. To provide information to the federal and state

governments in accordance with the Act and a compact.

11. To ensure that the construction and maintenance of all

gaming facilities and the operation of all gaming activities is

conducted in a manner that adequately protects the environment and

the public health and safety.

12. To carry out each responsibility and duty of a Nation

gaining agency set forth in the Act or a compact not otherwise set

forth in this Ordinance.

13. To receive any complaint from an employee of any gaming

operation or any member of the public who is or claims to be

adversely affected by an act or omission of a gaming operation that

is asserted to violate this Ordinance, the Act, a compact, or the

standards of management and operation adopted pursuant to this

Ordinance, and may upon consideration of such complaint recommend

7
to the Nation Representative such remedial action as it deems

appropriate to bring the gaming operation into compliance with such

provisions. The Commission may for this purpose, in its sole

discretion, conduct a hearing and receive evidence with regard to

such complaint if it deems an evidentiary proceeding useful in the

resolution of such complaint. In addition, the Commission may

receive any suggestions from any employee of any gaming operation

or any member of the public regarding ways in which a gaming

operation may be improved.

14. The Commission may adopt an annual operating budget which

shall be subject to the approval of the Nation Representative and

may in accordance with that budget employ such staff from time to

time as it deems necessary to fulfill its responsibilities under

this Ordinance. The Nation Representative shall appoint an

individual to serve as a fulltime Executive Director of the

Commission to administer its responsibilities on a day to day basis

and to oversee inspectors appointed by the Commission as well as

such other staff as the Commission may from time to time employ.

The Commission may delegate to the Executive Director those powers

not expressly limited to the Commission. The Commission may also

enlist with the approval of the Nation Representative the legal

counsel and other professional services, including investigative

services, available to the Nation, to assist the Commission with

respect to any of the issues over which the Commission exercises

jurisdiction.

15. To undertake and carry out studies and analyses of Nation

gaming operations.

16. To adopt such bylaws as the Commission deems necessary

and appropriate.

17. The Commission shall submit an annual report, in written

form, signed by the First Gaming Representative of the Gaming

Commission, to the Nation Representative showing (a) a summary of

the years activities, (b) the financial condition of the gaming

operations, (c) any significant problems and accomplishments, (d)

plans for the future, and (e) such other information as the

Commission or the Nation Representative shall deem pertinent.

18. To take such further actions as are commonly engaged in

by public bodies of this character as the Commission may deem

necessary and desirable to effectuate its purposes.

Article XIII -Prior Ordinance Repealed

Upon execution of this Ordinance, the gaming ordinance

executed on December 4, 1992 shall be repealed. Upon approval of

this Ordinance by the National Indian Gaming Commission, the gaming

ordinance executed on June 16, 1989 shall be repealed.

8
Article XIV Interpretation

The provisions of this Ordinance, being necessary for the

benefit of the NatiOn and its n~enthers, shall be liberally construed

to effect the purposes and objectives thereof.

Article XV - Effective Date

This Ordinance is effective upon enactment.

Article XVI - Enforcement

This Ordinance shall be enforced by the Nation.

ENACTED THIS i9 DAY OF _______________

l99Z~ ,~

Y ~ALBRITTER

Nation Representative

9