NATION-STATE COMPACT BETWEEN THE ONEIDA INDIAN NATION OF NEW YORK AND THE STATE OF NEW YORK TABLE OF CONTENTS Page Section 1 . Definitions ................ 2 Section 2 . Authorized Class I11 Gaming ......... 7 Section 3 . The Oneida Indian Nation Gaming Commission . 7 Section 4 . New York State Racing and Wagering Board ... 9 Section 5 . Law Enforcement Matters ....11 Section 6 . Licensing of Gaming Employees ....13 Section 7 . Registration of Gaming Service Enterprises . 23 Section 8 . Investigation of Non-Gaming Enterprises and Other Persons ............... 30 Section 9 . Standards of Operation .......... 31 Section 10 . Financial Procedures ............ 31 Section 11 . Miscellaneous Prohibitions .......... 31 Section 12 . Health and Safety Standards ......32 Section 13 . Tort Remedies for Patrons .......... 33 Section 14 . Dispute Resolution ............. 33 Section 15 . Amendment and Modification .......35 Section 16 . Termination ............. 39 Section 17 . Subsequent Negotiations ........39 Section 18 . Provisions of Compacts to the Nation ..39 Section 19 . Sovereign Immunity .............. 39 Section 20 . Calculation of Time ........... 39 Section 21 . Counterparts ................ 40 Section 22 . Severability ............... 40 Section 23 . Notices ................ 40 Section 24. Execution . dl Section 25. Approved . 4 1 Appendix A: Approved Games and Activities Appendix B: Standards of Operation and Management for Class I11 Games of Chance Appendix C: Chart of Accounts Appendix D: State Assessment for Costs of Oversight NATION-STATE COMPACT Between the ONEIDA INDIAN NATION OF NEW YOM and the STATE OF NEW YORK THIS COMPACT is made and entered into on March -, 1993, by and between the ONEIDA INDIAN NATION OF NEW YORK and the STATE OF NEW YORK . RECITALS WITNESSETH: WHEREAS, the Oneida Indian Nation of New York (hereinafter "the Nation") is an Indian Nation recognized by the United States of America, with all sovereign powers and rights therets pertaining; and WHEREAS, the State of New York (hereinafter IttheState1') is a state of the United States of America, with all sovereign rights and powers thereto pertaining; and WHEREAS, the Nation and the State each have the authority to govern within their respective jurisdictions; and WHEREAS, the Congress of the United States has enacted into law the Indian Gaming Regulatory Act (hereafter Ifthe Act" or "IGRA") which provides in part that a Compact be negotiated between an Indian Nation and a State to govern the conduct of activities which constitute Class I11 gaming as defined by the Act; and WHEREAS, the Nation and the State have mutually agreed, pursuant to the Indian Gaming Regulatory Act, to the following provisions governing the conduct of Class I11 gaming activities on the lands of the Nation in order to: (a) promote tribal economic development, self-sufficiency, and strong tribal government; (b) protect the health, welfare and safety of the citizens of the Nation and the State; (c) develop and implement a means of regulation for the conduct of Class I11 gaming on Nation lands to insure the fair and honest operation of such gaming activities; and (d) maintain the integrity of all activities conducted in regard to Class I11 gaming; and WHEREAS, nothing in this Compact is intended to affect the operation by the Nation of any Class I or Class I1 gaming as defined in the Act; and NOW, THEREFORE, the ONEIDA INDIAN NATION OF NEW YORK and THE STATE OF NEW YORK, in consideration of the mutual undertakings and agreements hereinafter set forth, do enter into a Compact as provided for herein. SECTION 1. XlEEULCTIONS. For purposes of this Cornsact: (a) "ActH or 'IGRA" means the Indian Gaming Regulatory Act, Pub.L. 100-497, 102 Stat. 2467, codified at 25 U.S.C. §§ 2701-21 and 18 U.S.C. §§ 1166-68 (1988 & Supp. 11). (b) "Board" means the New York State Racing and Wagering Board, its authorized officials, agents, and representatives acting in their official capacities or other such agency of the State as the State may from time to time designate by written notice to the Nation as the State agency responsible for the regulation of Class I11 gaming jointly with the Oneida Indian Nation of New York Gaming Commission. (c) "Class I11 Gamingttmeans those forms of gaming that are not Class I,orClass I1 gaming, as defined in subsections (6) and (7) of Section 4 of the Act, 25 U.S.C. B 2703. (d) uCompactltmeans this agreement between the Oneida Indian Nation of New York and the State of New York. (e) tlCommissionltor "Nation gaming agency" means the Oneida Indian Nation of New York Gaming Commission, its authorized officers, agents and representatives acting in their official capacities or such other agency of the Nation as the Nation may from time to time designate by written notice to the State as the Nation agency responsible for the regulation of Class I11 gaming jointly with the Board. (f) "DivisionI1 shall mean the New York State Division of Criminal Justice Services, its authorized officials, agents, and representatives acting in their official capacities. (g) "Enterprise" means any individual, trust, corporation, partnership, or other legal entity of any kind other than a business or entity wholly owned and operated by the Oneida Indian Nation of New York; provided, however, that with respect to any corporation, the term "enterprisen shall include each other corporation or other legal entity which directly or indirectly controls a majority of the voting interests in such corporation; and further provided, that with respect to any partnership, trust, or other form of unincorporated business organization, the term "enterpriseu shall include each corporation or other legal entity which controls a majority of the voting interests in such organization. (h) "Gaming employeettmeans any natural person employed in he operation or management of Class I11 gaming authorized by che provisions of this Compact, whether employed by the Nation o- by any enterprise or management contractor providing on-site services to the Nation within a Class I11 gaming facility, including, but not limited to, Class I11 gaming facility managers and assistznt managers; accounting personnel assignedto Class 111 casino-relezed transactions; Class I11 gaming facility security personnel; Class 111 gaming facility surveillance personnel; credit executives; Class I11 gaming facility cashier supervisors; Class I11 gaming facility cashiers; dealers or croupiers; box men; floormen; sit bosses; shift bosses; cage personnel; collection personnel; computer operators and technicians; food and beverage personnel and any other natural person whose employment duties require or authorize access to restricted areas of the gaming facilities rot otherwise opened to the public. (i) "Gaming equipmentt1means any machine or device which is specially designed or manufactured for use in the operation of zny Class I11 game or activity. (j) "Gaming facilityu means any building in which Class I11 gaming, as authorized by this Compact, is conducted on Nation ltnds and shall include all public and non-public areas of any such building. (k) "Gaming operation" means any enterprise, business or activity operated or authorized to operate by the Nation on its lands for the purpose of conducting any form of Class I11 gaming. (1) "Gaming servicesH means those services provided to ihe Nation gaming operation in connection with the operation of Clzss I11 gaming, including maintenance or security services for the Class I11 gaming facility, gaming schools or training activities, promotional services, printing or manufacture of betting tickecs, and manufacture, distribution, maintenance, testing or repair of gaming equipment. I (m) "Gaming suppliesll mean those goods or supplies which are specially designed for use in the operation of any Class I11 game or activity. (n) "Nation1Imeans the Oneida Indian Nation of New York, its authorized officials, agents and representatives acting in t5sir official capacities. (0) "Nation landsu means the reservation lands of the Nation or lands within the State over which the Nation exercises governmental power and that are either (i) held by the Nation or an individual member of the Nation subject to restriction by ihe United States against alienation; or (ii) held in trust by che United States for the benefit of the Nation or an individual member of the Nation. (p) "Nation law enforcement agency" means the police force or agency established and maintained by the Nation. (q) "Principal" means with respect to any enterprise: (i) each of its officers and directors; (ii) each of its princizzl management employees, including any chief executive officer, ckief financial officer, chief operating officer, or general manager; (iii) each of its owners or partners if an unincorporated business; (iv) each of its shareholders who owns more than ten percent (10%) of the shares of the corporation if a corporation; and (v) each person other than a banking institution who has provided financing for the enterprise constituting more than ten percent of the total financing of the enterprise. (r) l1State" means the State of New York, its authorized officials, agents, representatives or agencies acting in their official capacities. (s) "State law enforcement agencyn means the New York Stzte Police or such other law enforcement agency of the State as i3e State may from time to time designate by written notice to =he Commission as the law enforcement agency of the State which wFll have responsibility for law enforcement with respect to