March 17,2009 

Via U.S. Mail and Facsimile 

Honorable MarceIino Aguino 

Governor, Ohkay Owingeh Tribal Council 

P.O. Box 1099 

San Juan. NM 87566 

RE: Ohkay Owingeh Tribal Gaming Ordinance Amendment 

Dear Governor Aguino: 

On December 1 1,2008, your predecessor, Ed Salazar, on behalf of the Ohkay 

Owingeh (Tribe) requested that the National Indian Gaming Commission (MGC) review 

and approve the Tribe's amended gaming ordinance approved by the rkbal council on 

December 2 7,2008, in Resolution 008-430. 

The new gaming ordinance makes changes in compliance with the 2007 

amendments to the gaming compact between the State of New Mexico and the Ohkay 

Owingeh Pueblo. The amended gaming ordinance also makes changes to the licensing 

and patron dispute resolution procedures and reflects the Pueblo's name change 

Zhroughout. 

This letter constitutes approval, of the amended ordinance because nothing therein 

conflicts with IGRA's requirements and the NTGC's reguIations. 

is submission. Tf you have any questions, please contact Staff 

Attorney Heather at (202) 632-7003. 

NATIOHAL HEADQUARTfRS 14.11 L st. NW, Surte 91N. Warhinfqon. DC 2mS TPI 202 632 7m3 Fax 202 632 7b% WWW.NlGC.GOV 

REGIONAL OFWCES Portland. OR. 5arramentc. a. P!w+nln. AZ. 51 Paul. MN: Tulra. OK 
RESOLUTION OF THE TRIBAL COUNCIL OF OHKAY OWINGEH 

AMENDrNG GAMING ORDrnANCE 

RESOLUTION 2008- 43 

The following Resolution was considered and adopted by the Tribal Council of 

Ohkay Ouingeh at a meeting held on the 11" day of December, 2008, at which a 

quo- was present. 

MEREAS, the Tribal Council of the Ohkay Owingeh is the governing body of the 

Pueblo; and 

WHEREAS, Congress has enacted the Indian Gaming Regulatory Act of 1988, 25 U.S.C. 

55 2701-2721 and 18 U.S.C. 55 1166-1168 ("IGRA'') to regulate Class I and 

Class I1 Gaming on Indian Lands subject to oversight by the National Indian 

Gaming Commission ("NIGC") and to authorize Class Ill Gaming on Mian 

Lands by Indian Tribes and states pursuant to tribal-state compacts; and 

WHEREAS, the Tribal Council, pwsuant to Tribal Council Resolution No. 2007-13 

approved the 2007 compact amendments to the tribal-state compact that 

required certain changes to the Gaming Ordinance; and 

WREREAS, the Ohkay Owingeh Gaming Commission recommends additional changes to 

the Gaming Ordinance generally concerning the licensing and patron dispute 

resolution procedures as particularly described in the attached amended 

Gaming Ordinance. 

NOW, THEREFORE, BE IT RESOLVED by the Tribal Council of Ohkay Owingeh that 

the 2008-02 Gaming Ordinance, a copy of which is attached hereto and made 

a part hereof, is adopted by Ohkay Owingeh and that the same be enacted by 

Ohkay Owingeh. 
BE IT FURTHER RESOLVED that the Governor of Ohkay Owingeh is authorized and 

dircctcd to forwnrd this present resolution. together with other papers and 

documents deemed appropriate. to the National Indian Gaming Commission. r\ I 

F 

The foregoing resolution was duly adopted by Ohkay Owingeh at a meeting held on the 

/pday of dc~k2008, at which a quorum was established. by a vote of /3in favor. 

Lopposed. and Labsent. 

ouncilman 

ATTEST: 

Id Head Fjs 

Secretary, ?4dcy Ortiz I/ 'I, I 
I 

OHKAY OWINGEH 

GAMING ORDINANCE 

2008-02 

Effective On 

December 11,2008 
OHKAY OWINGEH 

GAMING ORDINANCE 

Table of Contents 

PART I . Ohkay Owingeh Gaming Ordinance .............................................................. 1 

1-1 PURPOSE AND INTENT ....................... ........*........ ........................................ 1 

1 ShortTitle .............................................. ... 1 

1 . 1 -2 Purpose and Interpretation ........ ............................................................... 1 

1-2 DEEDJETIONS ............................................................... ....., 1 

Act ........................... .. ............................................................................ 1 

Bingo Game ................... .. ......................................................................... 1 

Class I Gaming ................................ ...... ...... 1 

Class I1 Gaming ............................................................................................ 2 

Class TI1 Gaming ......................................................................................... 2 . . Comrmssion ................................................................................................. 2 

Compact ............. .. .... ..................................................................... 2 

Council ........................................................................................................ 2 

Engage in Business ................................................................................... 2 

Gaming Activity .......................................................................................... 2 

Gaming Device .............................. ... ..................................................... 2 

Gaming Employee ......................................... ... .................................. 2 

Gaming Enterprise ....................................................................................... 2 

Gaming Equipment ....................................................................................... 2 

Gaming Facility .................... ............................................................... 2 

1-2-16 Gaming Machine .......................................................................................... 2 

1 -2- 1 7 Gaming-Related Contract ............................................................................. 3 

1-2-1 8 Gross Receipts ..................... .................................................................. 3 

1-2- 1 9 Key Employee ......................... ............................................................... 3 

1-2-20 Management Contract ................................................................................. 3 

1-2-2 1 Management Contractor ........................................................................... 4 

1-2-22 Net Revenues ...................... .................................................................... 4 

1-2-23 Net Win .................... ............................................................................... 4 

1-2-24 N.1.G.C ..................... .. .............................................................................. 4 

1-2-26 Non-Gaming Vendor ................................................................................ 4 

1-2-27 Non-Prof t Organization ............................................................................... 4 

1 -2-2 8 Occasion .............................. .. ............................................................... 4 

1-2-29 Ordinance .................................................................................................... 4 

1-2-30 Premises ........................................................................................................ 4 

1-2-3 1 Person ....................................................................................................... 4 

1 -2-3 2 Primary Management Official" ......................................................... 5 

1 -2-3 3 Pueblo ........................................................................................................... 5 

1-2-34 Pueblo Lands ............................................................................................... 5 

1-2-35 Secretary ..................................................................................................... 5 
1-2-36 State .......................................................................................................... 5 

1-2-37 Tribal Bingo Game .............................. ....... ......................................... 5 

1-3 NATURE AND SCOPE OF GAMING ......................................................... 5 

1 -3 . 1 Authorized Gaming .................................... ... ................................... 5 

1-3-2 FormsofPayment ..................................................................................... 5 

1 -3 -3 Prohibition on Certain Financial Transactions with Patrons ........................ 6 ... 1-34 Wagering Llrnitatlons ................................................................................... 6 

1-3-5 Hours of Operation ....................... .. ....,........... ................................ 6 

1-3-6 Prohibition of Minors ............................................................................... 6 

1-3-7 Operation of Games ............................... .,.. ................................................... 6 

1 -4 COMPLIANCE WITH TIE ACT [Indian Gaming Regulatory Act] ................. 7 

1-4- 1 Ordinance Consistent with Act ....................... .. ..................................... 7 

1-4-2 Proprietary Interest .................................................................................... 7 

1-4-3 Use of Net Revenues ................................................................................ 7 

1 -4-4 AnnuaI Audit ................................................................................................ 7 

1-4-5 Public Safety Standards ................................................................................ 8 

1-5 COMPLIANCE WITH THE COMPACT [2007 Compact Amendment] ........... 8 

1-6 LICENSING ...................................................................................................... 1 1 

1-6- 1 Class I1 and Class IT1 License Requirement .................... .. .................... 1 1 

1-6-2 Class I1 and Class I11 Licensing Classification ....................................... 12 

1-6-3 Effective Date, Conditions, Fees, and Status ............................. ...... ..... 13 

1-6-4 Applications for Licenses ........................................................................... 15 

1-6-5 Background Investigations .................................................................. 20 

1-6-6 Procedures for Conducting Background Investigations ............................. 20 

1-6-7 Procedure for Fingerprint Submissions .................... ........................... 22 

1-6-8 Procedure for Processing Fingerprint Submissions .................................... 22 

1-6-9 Criminal History Record Information ................................................... 23 

1-6- 10 Suitability Determination .................................... ... .................................... 23 

1 -6- 1 1 Post Licensing Procedures: Forwarding Certain Information to NIGC ..... 24 

1-6- 12 Additional License Requirements ............................................................ 27 

1 -6- 1 3 License Suspension and Revocation .................................................. 27 

1-7 [RESERVED] ........................... ... ................................................................ 29 

1-8 MANAGEMENT CONTRACTS ...................... ...........*....................,.......... 29 

1 . 8- 1 Requirement for Review and Approval ................................................. 29 

1-8-2 Required Provisions ................................................................................... 29 

1-9 DISPUTE RESOLUTION ................................................................................. 3 1 

1-9- 1 Notice to Patrons ........................................................................................ 3 1 

1-9-2 Patron Dispute Resolution Procedures 'Regarding Payouts ........................ 3 1 

1-9-3 Other Patron Disputes ................................................................................ 32 

1-1 0 GAMING COMMISSION ........................................................................ 32 

1-1 0-1 Establishment of the Commission. Appointment, Term ................... ,........ 33 

1 - 1 0-2 Compensation ............................................................................................. 3 3 

1-10-3 Removal .................................................................................................. 33 

I . 1 0-4 Vacancies .................................................................................................... 3 3 

I . 1 0-5 Designation as Agent and Tribd Gaming Agency ......................... .. ..... 3 3 
1-1 0-6 Powers and Duties ....................... .......................................................... 33 

1 . 1 0-7 Assuring Compliance with Compact .........................~~~.~........................... 34 

1-1 0-8 Executive Director ........................ ... ................................................ 34 

1-1 0-9 Certificate of SeIf-Regulation ...................... .. .......................... ......... 34 

1-1 0- 1 0 Procedures of the Commission ............. ...........*................................... 35 

1-11 PROHIBITED ACTS ............................... .. .......................................... 35 

1-12 PENALTIES ................................................................................................... 37 

1-13 SEVERABILITY ........ ............ ................................................................... 37 

-14 SOVEREIGN IMMUNITY .... .. .........................................*.................-.... 37 

1-1 5 PROTECTION OF COMMISSION ......... .................................................- 37 

1-16 REPEAL . ............................................. ......................................... 38 

1-1 7 AMENDMENTS .............................................. ........ 38 

PART I1 . Indian Gaming Compact ............................ .. .......................................... 39 

2- 1 rNTRODUCTION.. ............................................................................................ 39 

2-2 TERMS AND CONDITIONS SECTION .......................................................... 39 

2-2-1 Purpose and Objectives .............................................................................. 39 

2-3 DEFINITIONS ................................................................................................... 40 

2-3-1 Class 111 Gaming .......................... ... 40 

2-3-2 Compact .............. ... ............................................................................... 40 

2-3-3 Gaming Employee .......................... ... ............................................. 40 

2-3 -4 Gaming Enterprise ........... .... ............................................................... 41 

2-3-5 Gaming Facility ........................................ ... ..*..*.............................. 41 

2-3-6 Gaming Machine ....................................................................................... 41 

2-3-7 Indian Lands ..................... .. .................................................................... 41 

2-3-8 Key Employee ......................... ... ......................................................... 41 

2-3-9 Management Contract ...................... .............................................. 41 

2-3-10 ManagernentCon.tractor ................................................................... 41 

2-3-1 1 Ordinance ......................................................................................... 41 

2-3 . 1 2 Predecessor Agreements ................. 41 

2-3-1 3 Primary Management Official .................... ...... ............................... 42 

2-3-14 State .......................................................................................................... 42 

2-3 - 1 5 State Gaming Representative ....................... ... ................................ 42 

2-3 - 1 6 Tri baI Gaming Agency .................... .. ... ............................................. 42 

2-3-1 7 Tribe ....................................................................................................... 42 

2-3-18 TableGames ............................................................................................. 42 

2-4 AUTHOMZED CLASS nl GAMING ........................... ........................ 42 

2-5 CONDUCT OF CLASS TI1 GAMING .......................................................... 43 

2-5- 1 Tribal Gaming Agency ................ .................................................. 43 

2-5-2 Regulations ................................................................................................. 43 

2-5-3 Copies of Tribal Laws to State Gaming Representative ......................... 47 

2-5-4 Audit and Financial Statements .................................................................. 47 

2-5-5 Violations ............................................................................................. 48 

2-5-6 State Gaming Representative ................................................................. 48 

2-5-7 Compliance with Bank Secrecy Act ........................... ......................... 52 
2-5-8 Annual Meeting Requirement ................................................................... 52 

2-6 LICENSING REQUEMENTS ................................................................. 52 

2-6- 1 License Required .......................... 52 . . 2-6-2 License Application .............. ... ............................................................ 52 

2-6-3 Background Investigations ................................................................ 53 

2-6-4 Provision of Information to State Gaming Representative ........................ 53 

2-7 PROVIDERS OF CLASS 111 GAMING EQUIPMENT OR DEVICES OR 

SUPPLIES .................. ........................................................................ 53 

2-8 DISPUTE RESOLUTION ............................. ... ....................................... 53 

2-9 PROTECTION OF VISITORS .......................................................................... 55 

2-9-1 Policy Concerning Protection of Visitors .................... ................... 55 

2-9-2 Insurance Coverage for Claims Required ...................., ........................ 55 

2-9-3 Limitation on Time to Bring Claim .................... ............... ......................... 55 

2-9-4 Specific Waiver of Immunity and Choice of Law ...................., ............. 55 

2-9-5 EIection by Visitor .................................................................................... 56 

2-9-6 Arbitration ................... .. ......................................................................... 6 

2-9-7 Increase in Liability Limits .......................... .............. ................................ 56 

2-9-8 Public Health and Safety ............................................................................ 56 

2- 1 0 CONDITIONS FOR EXECUTION; EFFECTIVE DATE ....................... .... . 57 

2-1 1 CRIMMAL JURISDICTION ........................................................................ 58 

2-12 REVENUE SHARING .................. ...................... ........................................... 59 

2-12-1 Consideration .............................................................................................. 59 

2- 1 2-2 Revenue to State ....................................................................................... 59 

2-12-3 CalculationofPayment Amounts ............................ .............................. 59 

2-12-4 Limitations ........ ....., ......................................................................... 61 

2-1 2-5 Third-Party Beneficiaries ......................... .. .......................................... 62 

2-13 DURATION; TERMINATION FOR NON-PAYMENT ............................ 62 

2-14 NOTICE TO PARTIES ....................... ............................................. 63 

2-15 ENTIREAGREEMENT .......................................................................... 63 

2-16 FILING OF COMPACT WITH STATE RECORDS CENTER ............. . 63 

2-17 COUNTETLPARTS ....................................................................................... 64 

2-18 SEVERABILITY ......................................................................................... 64 

OHKAY OWGEH 

GAMING ORDINANCE 

PART 1 - Ohkay Owingeh Gaming Ordinance 

1-1-1 Short Title. This ordinance may be cited as the "Ohkay Owingeh Gaming 

Ordinance.'" 

2-1-2 Purpose and Interpretation. This ordinance shall be deemed as an exercise of 

the poIice power of the Pueblo for the protection of the public welfare, health. peace and 

morals of the people of the Pueblo and all provisions of this ordinance shall be liberally 

construed to accomplish the following purposes: 

A. To legalize and regulate the conduct of Gaming on Pueblo Lands; 

B. To maintain the highest standards of integrity in the conduct of Gaming on 

Pueblo Lands; 

C. To produce revenue to fund tribal governmental operations and programs; 

D. To promote the health education and welfare of the Pueblo and its 

members; and 

E. To promote tribal economic development. 

1-2 DEFINITIONS. In this ordinance, unless the context othenvEse requires: 

3-2-1 Act means the Indian Gaming Regulatory Act of 1988, Pub. L. No. 100-497, 25 

1J.S.C. §g 2701-2721 and 18 U.S.C. $8 1166-1168, as amended, and all regulations 

promulgated thereunder. 

1-2-2 Ringo Game means the Class II gaming activity commonly known as "bingo" 

wherein participants pay a sum of money for the use of one or more cards. When the 

games commence, numbers are drawn by chance, one by one, and mounced. The 

players cover or mark those numbers on the cards which they have purchased until a 

playa receives a given order of numbers in sequence that has been pre-announced for 

that particular game. The first player to call out "bingo" and be declared the winner wiI1 

~eceive a predetermined prize. 

1-23 Class I Gaming means Class 1 gaming as defined in the Act and as regulated by 

the customary law of the Ohkay Owingeh. 
1-2-4 Class IX Gaming means Class I1 gaming as defined in the Act. 

1-2-5 Class JlI Gaming means Class 111 gaming as defined in the Act and 25 C.F.R. 

$502.4. 

1-24 Commission means the Ohkay Owingeh Gaming Commission and its staff. The 

Commission is also known as the "Tribal Gaming Agency" under the Compact. 

1-2-7 Compact means the Tribal-State Compact set out in Part I1 of this Ordinance, and 

1:ntered into pursuant to the Act. 

2-24 Council means the Tribal Council of the Pueblo. 

1-2-9 Engage in Business means any of the following events occurring within the 

Pueblo: 1) a purchase order is issued for goods, services, or concessions by the Gaming 

enterprise, Management Contractor, or their respective agents, 2) a vendor begins 

performance of an agreement to provide goods or services, 3) the Gaming Enterprise or 

Management Contractor, or their respective agents, is in possessien of goods or 

concessions intended to be or already purchased from a vendor, 4) money is exchanged 

for goods, services, or concessions, or 5) any other action that would reasonably indicate 

engaging in business with a vendor. 

1-2-10 Gaming Activity means all forms of CIass I1 Gaming and Class TIl Gaming 

conducted by a Gaming Enterprise on Pueblo lands. 

1-2-1 1 Gaming Device means any gambling device as defined in 15 U.S.C.A. $1 171 (a). 

1-2-12 Gaming Employee means a person who (a) is connected directly with the 

conduct of Class I1 or Class III Gaming, (b) handles the receipts or expenditures of 

proceeds thereof, or (c) handles any Gaming Machine. Gaming Employee includes. 

without limitation, Key Employees and Primary Management Oficids. 

2-2-13 Gaming Enterprise means the department, division, or section of any tribal 

entity created and designated by the Pueblo as having authority to operate CIass I1 

Gaming or Class III Gaming, receive the revenues therefrom, issue the prizes, and pay 

the expenses. 

1-2-14 Gaming Equipment means any equipment, device, or contrivance used to 

conduct gaming. 

'L-2-15 Gaming Facility means aII buildings or structures in which Class TI or HI 

Gaming is conducted on Pueblo Lands, subject to the limitations set forth in Section 2-4- 

3 of this Ordinance. 

1-2-16 Gaming Machine means a mechanical, electromechanical or electronic 

contrivance or machine that, upon insertion of a coin, token or similar object, or upon 
payment of any consideration, in any manner, is available to play or operate a game of 

chance in which the outcome depends to a material degree on an element of chance, 

c~otwithstanding that some skiIl may be a factor, whether the payoff is made 

automatically from the Gaming Machine or in any other manner; but Gaming Machine 

does not include a Table Game or any device utilized in Table Games. Additional 

~Iarification of this definition is set forth in an appendix to the Compact. 

1-2-17 Gaming-Related Contract means a contract or agreement providing for any 

goods, services or concessions to the PuebIo, a Gaming Enterprise, or Management 

(:ontractor in connection with the conduct of Class I1 or Class I11 Gaming in a Gaming 

Facility in an amount in excess of $25,000 annually, except for professional, legal or 

accounting services. No Gaming-Related Contract may be broken up into parts for the 

purpose of avoiding this definition and any requirement of licensure or certification. 

1-2-18 Gross Receipts means, in relation to Class II Gaming, receipts from the sale of 

shares, tickets or rights in any manner connected with participation in a Bingo Game or 

the right to participate therein, including any admission fee or charge, the sale of 

equipment or supplies and all other income fiom any other Class II Gaming source. 

1-2-19 Key Employee means that term as defmed in 25 C.F.R. 5502.14, or, if more 

comprehensive, a Person employed by a Gaming Enterprise or Management Contractor 

and 

A. Who performs one or more of the following functions: 

Bingo caller; 

Counting room supervisor; 

Chief of security; 

Custodian of gaming supplies or cash; 

Floor manager; 

Pit boss; 

Dealer; 

Croupier; 

Custodian of gambling devices, including Persons with access fa 

cash and accounting records within such devices; 

B, If not otherwise included, any Person whose total cash compensation is in 

excess of $50,000 per year; or 

C. If not otherwise included, the four most highly compensated Persons 

employed by a Gaming Enterprise or Management Contractor. 

1-2-20 Management Contract means a contract as defined in 25 U.S.C. § 2710(d) (9) 

<and 271 1. It means any contract, subcontract, or collateral agreement between the Pueblo 
<and a Management Contractor or between a Management Contractor and a subcontractor - 

if such contract or agreement provides for the management of a11 or part of a Gaming 

Enterprise. 

1-2-21 Management Contmctar means any Person who enters into a Management 

Contract with the Pueblo. 

1-2-22 Net Revenues means gross revenues of any Gaming Activity less amounts paid 

out as. or paid for prizes and total operating expenses, but excluding management fees 

paid to a Management Contractor. 

1"-2-23 Net Win means Class Ill Gaming "net win" as that term is defined in the 

Compact set out in Part I1 of this Ordinance. 

1-2-24 N.T.G.C. means National Indian Gaming Commission. 

1.-2-25 Non-Gaming Employee means any natural person who: (I) is not a Gaming 

Employee, (2) is employed by either a Gaming Enterprise or a Management Contractor; 

and (3) works in areas in which either (i) Gaming Activity is conducted, or (ii) cash or 

other valuable items or information relating to Gaming Activity or revenues from 

(3aming Activity are handled. Non-Gaming Employee includes bartenders, cocktail 

servers or other persons engaged solely in preparing or serving food or beverages; 

~lecretarial or janitorial personnel; stage, sound and light technicians; or other non-gaming 

personnel. 

1-2-26 Non-Gaming Vendor means any person providing goods, services, or 

concessions, valued in excess of %100.000 mually provided te the Gaming Enterprise 

directly in connection with the operation of a Gaming Facility, but that do not directly 

involve the operation of a Gaming Activity. 

1-2-27 Non-Profit Organization means an organimtion not for profit, and operated for 

charitable, reIigious, educational or public purposes within Pueblo lands and which has 

been so engaged for two (2) years immediately prior to conducting or operating a bingo 

g-=. 

11-2-28 Occasion means n gathering at which Class I1 games, including, but not limited to 

bingo, are played. 

1-2-29 Ordinance means the Ohkay Owingeh Gaming Ordinance, as amended. 

11-2-30 Premises means any room, hd1, building, enclosure or outdoor area used for the 

purpose of playing a game of bingo. 

1-2-31 Person means a natural person, fim association, corporation or other legal entity, 

except the Pueblo. 
1-2-32 Primary Management OfXicfal" means that term as defined in 25 C.F.R. 

$502.19, or, if more comprehensive: 

A. Any person having management responsibilie for n Management 

Contract; or 

1. Hire and fire Gaming Employees; 

2. Set up working policy for a Gaming Enterprise; 

3. Exercise financial management responsibility for a Gaming 

Enterprise, including, but not limited to the chief fmancial officer. 

1-2-33 Pueblo means Ohlcny Owingeh, a federally recognized Indian Pueblo, its 

authorized official s, agents and representatives. 

1-2-34 Pueblo Lands means (a) all land within the exterior boundaries of the Pueblo's 

reservation and its ~o~rmed grants from prior sovereigns, or (b) land ever which the 

Pueblo exercises governmental power and that is either (i) held in trust by the United 

States for the benefit of the PuebIo or its members, or (ii) held by the Pueblo or its 

members subject to reslrictions by the United States against alienation, but does not 

include any land within the boundaries of a municipality outside the boundaries of the 

Pueblo's resetvation or confirmed grants from prior sovereigns as those boundaries 

existed on October 17,1988. 

1-2-35 Secretary means the Secretary of the Interior or his duly authorized 

representative, 

1-2-36 State means the State of New Mexico, its authorized officials, agents and 

representatives. 

2-2-37 Tribal Binge Game means a Bingo Game or other Class ll Gaming conducted or 

operated by the Pueblo or a Management Contractor in accordance with the provisions of 

Part 1 of the Ordinance applicable to Class II Gaming. 

1-3 NATURE AND SCOPE OF GAMING. 

1-3-1 Authorized Gaming. A Gaming Enterprise may conduct all forms of Class II or 

Class III Gaming in any Gaming Facility, subject to the provisions of the Compact and 

other applicable law. 

11-3-2 Forms of Payment. AII payment for wagers made in any Class II or 111 Gaming 

conducted by n Gaming Enterprise shaIl be made by cash. chips or tokens. A Gaming 
Enterprise shall not extend credit including, but not limited to, the acceptance of lOUs or 

markers from patrons. Unless otherwise prohibited by applicable Iaw or the Compact, 

chips or tokens may be purchased using cash, checks or credit card. 

1-3-3 Prohibition on Certain Financial Transactions with Patrons. No Gaming 

Enterprise shall cash any paycheck or any type of government assistance check, including 

Social Security TANF, pension and other similar checks for any patron. 

1-3-4 Wagering Limitations. The Commission may set by regulation the maximum 

wager for CIass I1 or Class Gaming on Pueblo lands. 

1-3-5 Hours of Operation. The Commission may set by redation the days and hours 

of operation for any Class ll or Class JII Gaming on the Pueblo. The operation of any 

Class 111 Gaming is prohibited for at Ieast four consecutive hours daily, Monday through 

Thursdays (except federal hoIidays). 

3-34 Prohibition of Minors. No person under the age of 18 shall participate in any 

Class ll Gaming. No person under the age of 21 shall participate in any CIass 111 

Gaming. However, a person under the age of 21 may be employed by a Gaming 

Enterprise or Management Contractor for positions excepted from the dehition of 

Gaming Employee in this Ordinance. 

1-3-7 Operation of Games. 

A. Inspections. 

1. The premises where any gaming is being held and any gaming 

facility, operated and conducted shall at all times be open to 

inspection by the Commission and its agents, Pueblo 

administration, Council, and upon authorization by the PuebIo 

governor or his designee, by the Pueblo's accounting manager, 

auditors, N.I.G.C. representatives, and Pueblo police chief. 

2. Inspection of cash and cash counting activities must take place in 

the presence of a member of the Commission, Pueblo 

administration or a person with written authorization of the Pueblo 

governor or the Commission. 

3. The State Gaming Representative shall have the right to inspect a 

Gaming Facility, Class 111 Gaming, including Gaming Machines 

and all records relating to Class III Gaming, as provided by the 

Compact. If there is any conflict between the State Gaming 

Representative's rights der Part I of this Ordinance and those 

provided under the Compact, the Compact terms shall prevail. 
B. Value of Prizes. When any merchandise prize is awarded, its vdue shall 

be its current retail price. 

1-4 COhWLIANCE WITH - ACT. 

1-4-1 Ordinance Consistent with Act. This Ordinance shall be construed in a manner 

that confams to the Act in a11 respects, and. if the Ordinance is inconsistent with the Act 

in any manner, the provisions of the Act shall govern. 

1-42 Proprietary Interest. The Pueblo shall have the sole proprietary interest in and 

responsibility for the conduct of any Class III or Class I1 Gaming on Pueblo Lands; 

however, nothing in this Ordinance shall prevent the Pueblo from entering into a 

:Management Contract. 

1-4-3 Use of Net Revenues. 

A. From Class I Gamine. Any revenues derived from Class I Ciaming, after 

payment of operating expenses, if any, and after provisions for reserves, 

investment in and improvement of Class I Gaming in accordance with the 

yearIy gaming business plan and budget has been made, shaII be used in 

accordance with Council directives. The business plan and budget shall be 

reviewed by the Commfssion and sent to the Governor md the Council for 

final approval. 

B. From Any Class 11 and III Gaming. Net Revenues from any Claqs LI and 

111 Gaming shall be used for the following purposes: 

I. To hd the Pueblo" government operations or programs; 

2. To provide for the general welfare of the Pueblo and its members; 

3. To promote the Pueblo's economic deveIoprnent; 

4. To donate to charitable organizations; 

5, To help fund operations of Iocal government agencies; or 

6. Any other purposes permitted under the Act. 

1-4-4 Annual Audit. Each Gaming Enterprise shall be audited at least annually by a 

certified public accountant (CPA) selected by the Gaming Enterprise and approved by the 

Commission. 

A. Copies of the independent audit reports for each year wiII be provided to 

the governor of the Pueblo, the Commission, the state treasurer, and the 

Gaming Representative as required by the Compact within 220 days of the 

close of the PuebIo's fiscal year, A copy of each annual audit report of 

gaming activities shaII be provided to the Council and then to the N.I.G.C. 
B. The scope of each audit shall include but not be limited to a11 Gaming 

Related Contracts and Non Gaming Vendors, as those terms are defined in 

this Ordinance. 

1-4-5 Public Safety Standards. Each Gaming Facility shall be constructed and 

maintained in a manner that adequately protects the environment and public health and 

safety. 

2-5 COMPLIANCE WITH THE COMPACT. 

'L-5-1 Any Gaming Enterprise and Management Contractor shall comply with standards 

and requirements equivalent to or more stsingent than those contained in the federal Fair 

Labor Standards Act of 1 938, the federal Occupational Safety and Health Act of 1970, 

and any other federal laws generally applicabIe to Indian tribes relating to wages, hours 

of work and conditions of work, and the regulations issued thereunder. 

1-5-2 Any construction project involving any Gaming Facility or related structure that is 

lhded in whole or in part by federal funds, shall pay all workers wages meeting or 

exceeding the standards established for New Mexico under the Davis-Bacon Act. 

1-53 The Pueblo, the Gaming Enterprise and any Management Contractor are 

prohibited from discriminating in the employment of persons to work for the Gaming 

13nteqrise or in the Gaming Facility on the grounds of race, color, national origin, 

gender, sexual orientation, age or handicap, provided however, that nothing herein shall 

be intespreted to prevent the Pueblo from granting preference in employment actions to 

Pueblo members or other Indians in accordance with established hbal laws and policies. 

1-54 All employees of a gaming establishment must be provided with employment 

benefits including, at a minimum, sick leave, Iife insurance, paid annual leave and 

medical and dental insurance as well as providing unemployment insurance and workers" 

compensation insurance through participation in programs offering benefits at least as 

favorable as those provided by comparable State programs, and which programs shall 

afford the employees due process of law and shall include an effective means for an 

employee to appeal an adverse determination by the issuer to an impartial forum, such as 

(but not limited to) the Pueblo's tribal court, which appeal shall be decided in a timely 

~nanner and in an administrative or judicial proceeding and as to which no defense of 

sovereign immunity would be available; and provided that to fulfil this requirement. the 

Pueblo may elect to participate in the State's programs upon execution of an appropriate 

agreement with the State. 

I-5-5 In eases of disciplinary or punitive action taken by the Gaming Enterprise or 

IManagement Contractor against an employee, the gaming employee must be permitted 

(11) a reasonable period of time to submit a grievance to the employee's immediate 

supervisor, and (2) a process for an appeal to persons of greater authority than the 

immediate supervisor of the employee. The Gaming Enterprise and any Management 
Contmctor, or other employer of employees in a gaming estabIishment shall provide a 

copy of their grievance process to the Commission for approval. 

1-5-6 No Gaming FaciIity shall prohibit or otherwise take action to prevent the state 

Department of Environment inspectors from inspecting the Gaming FaciIity's food 

service operations during normal Gaming Facility business hours to assure that standards 

and requirements equivalent to the State's Food Sewice Sanitation Act [Chapter 25, 

Article 1 NMSA 19781 are maintained. 

1-57 Each electronic or electromechanica1 gaming device in use at a Gaming Facility 

must pay out a mathematically demonstrable percentage of all amounts wagered which 

must not be less than eighty percent (go%), and the Gaming Enterprise shaII prominently 

post in visible locations within the Gaming Facility notices stating that the Gaming 

Enterprise is in compIiance with this requirement, and providing a cornlprehensibEe 

explanation of the meaning of this requirement. 

1-58 To the extent technically feasible, any automatic teller machines on Gaming 

Facility premises shall be programmed so that the machines will not accept cads issued 

by the State to TANF recipients for access to TANF benefits. 

1-5-9 All Gaming Machines on the premises of the Gaming Facility shall be connected 

ro a central computerized reporting and auditing system on the Gaming Facility premises, 

which shall coIlect on a continual basis the unaltered activity of each Gaming Machine in 

use at the Gaming Facility, and that the wager and payout data of each machine 

electranicaIly captured by the Gaming Enterprise's central computer, may be accessed 

and downloaded electronically by the State Gaming representative by n dedicated 

1:elecommunications connection, on a "read-only" basis, upon entry of appropriate 

!security codes; but provided that in no event shall the State Gaming Representative be 

able to alter or affect the operations of any Gaming Machine or other device on the 

premises of he Gaming Facility, or the data provided to the central computer, and 

provided further that the system for electronic access to the machine and payout data 

colIected by the Gaming Enterprise's central computer shall be constructed and installed 

at the State's cost, and shaIl be designed in conjunction with Gaming Enterprise technical 

staff so as to preserve the integrity of the system and the data contained therein, to 

minimize any access by the State Gaming Representative to information other than 

machine wager and payout data residing in the central reporting and auditing system. 

I-5-10 An employee of the Gaming Enterprise is prohibited from selling, serving? giving 

or delivering an aIcoholic beverage to an intoxicated person or brn procuring or aiding 

in the procurement of any alcoholic beverage for an intoxicated person at the Gaming 

Facility. 

14-11 All Gaming Enterprise employees that dispense, sell, sem or deliver alcoholic 

1)everages must first attend Alcohol Server Education Classes similar to those classes 

provided for in the New Mexico Liquor Control Act. 
11-5-12 Any Gaming Enterprise that dispenses, selIs, serves or delivers alcoholic 

beverages shall purchase and maintain a liquor liability insurance policy that will 

provide, at a minimum, personal injury coverage of one miIIion dollars ($I.000,000$ per 

incident and two million dollars ($2.000,000) aggregate per policy year. 

11-5-13 No Alcoholic Beverages shall be sold, served, delivered or consumed in that part 

of a Gaming Facility where Class 111 gaming is allowed. 

31-5-14 Each Gaming enterprise shall spend an mount that is no less than one-quarter of 

one percent ((.25%) of its Net Win annually to fund or support programs for the treatment 

~md assistance of cornpuIsive gamblers in New Mexico or who patronize New Mexico 

gaming facilities, and for the prevention of compulsive gambling in New Mexico. A 

5;ubstantial portion of such funds shall be distributed to an organization that has expertise 

in and provides counseIing, intervention or other sewices for compulsive gamblers in 

New Mexico and whose services are available to all persons without regard to race or 

tribal membership. Any infomation existing as a result of this section, not including 

information that may identie or contain information referring to any gaming patron. shall 

not be subject to the confidentiality provisions of section 2-5-6(D) of this Ordinance 

:;ha11 be made available for inspection and publication without restriction or limitation. 

11-5-15 Neither the Gaming Enterprise nor the Pueblo shall provide, aIlow, contract to 

provide nor arrange to provide alcoholic beverages for no charge or at reduced prices. 

Neither the Gaming Enterprise, nor the Pueblo shall provide or allow, contract to provide 

or arrange to provide food or lodging for no charge or at nominal prices, at a Gaming 

Facility or lodging facility as an incentive or enticement for patrons to game, except that 

this portion shall not apply to rewards received by patrons in exchange for points or 

credits accrued under any fom of player's cIub program. 

1-5-16 The Pueblo, the Gaming Enterprise and the Management Contractor shdl report 

to the Secretary of State, in the same manner and at the same times as are required of 

political committees under the provisions of the State's Campaign Reporting Act (NMSA 

I978 $8 1-19-25 through 1-19-36) any and all contributions, whether directly or through 

(m agent, representative or employee, of any moneys derived from revenue from the 

43aming Enterprise, or of anything of value acquired with that revenue, to a candidate, 

j)oIitical committee or person holding an ofice elected or to be elected at an eIection 

covered by the State's Campaign Reporting Act. In the event any report required to be 

made hereunder is not made within the time specified herein, or is false or incomplete in 

~iny respect, the Pueblo shall be liable to pay to the Secretary of State a penalty in the 

m~ount of fifty dollars ($50.00) for each working day after the day on which the report 

was due until the day on which the complete or true report is fled, up to a maximum of 

live thousand dollars ($5,000), except that with respect to the report due on the Friday 

before an election the penalty shall be five hundred doIlars ($500) for the first working 

day after the due date and fifty dollars ($50.00) per working day thereafter, up to a 

rnaximum of five thousand dolIars ($5,000). 
1-5-17 In the event that the Pueblo is held liable to pay the Secretary of State a penalty 

incurred as a result of the actions of the Gaming Enterprise or the Management 

Contractor, whether directky or tfirough an agent, representative or employee, upon 

written notice from the Pueblo, the Gaming Enterprise or the Management Contractor 

shall pay to the Pueblo an amount equaI to twice the penalty incurred by the Pueblo. 

1-5-18 The Pueblo, either through the Gaming Enterprise, the Management Contractor or 

the Commission shall maintain the follow+ng records for not less than five (5) years: 

A. Revenues, expenses, assets, liabilities and equity for each Gaming 

Enterprise; 

B. Daily cash transactions for each Class UI Gaming activity at each Gaming 

Facility, including but not limited to transactions relating to each gaming 

table bank, game dropbox and gaming room bank: 

C. Individual and statistical game records, except for card games, to reflect 

statistical drop and statistical win; for electronic, computer, or other 

techologicaIIy assisted games, analytic reports which show the total 

amount of cash wagered and the total amount of prizes won; 

D. Contracts. correspondence and other transaction documents relating to all 

vendors and contractors; 

E. Records of all tribal gaming enforcement activities; 

F. Audits prepared by or on behalf of the Pueblo; and 

G. Personnel information on dl Class II and Class 111 Gaming employees or 

agents, inchding rotation sheets, hours worked, employee profiles and 

background checks. 

1-6 LICENSING. 

1-6-1 Class TI: and Class III License Requirement. 

A. The Gaming Enterprise shall not employ any person in any Gaming or 

Non Gaming Employee position on PuebIo Lands, unless that person is 

licensed, or has applied for a license and has not had the application 

rejected by the Commission. 

B. The Gaming Enterprise is prohibited from purchasing, leasing* or 

athenvise engaging in business with any vendor required to be licensed 

herein, or from entering into any Management Contract with any 

Management Contractor, unless they are licensed by the commission. 
1-6-2 Class I1 and Class IIl Licensing Classification. 

A. Gaminn Emplovees. The Commission shall license each Gaming 

Employee, including, without limitation, Primary Management Official 

and Key Employee of a Gaming Enterprise and any Management 

Contractor. 

B. Management Contractor, The Commission shall license a Management 

Contractor and my Person having a direct or indirect financial interest in a 

Management Contract. 

C. Gaming Devices, Gaming Machines and Gaming Equipment. The 

Commission shall license each Class II or Class In Gaming Device, 

Gaming Machine, or other Gaming Equipment, or gaming supplies. 

D. Providers of Gaming Devices. gamin^ Machines, and Gaming 

Esuiprnent. The Commission shaII license each provider of CIass IT or 

Class III Gaming Device, Gaming Machine, or Gaming Equipment. 

E. Gaming-Related Contractors. The Commission shall license each Person 

proposing to enter into a Gaming-Related contract. 

F. Gaming Facilities. Any Gaming Facility must be licensed by the 

Commission to conduct gaming activity. A separate license is required for 

each gaming faciIity. 

G. Non-Gaming Em~lovees Emploved bv the Gaming Enternrise or 

Management Contractor. All Non-Gaming Employees empIoyed by the 

Gaming Enterprise or Management Contractor and working within a 

Gaming Facility require licensure from the Commission. Until such 

employee receives a license that individual shall be considered on 

probation subject to dismissal with or without cause. 

H. Non-Gaming Vendors. The Commission may require a license for each 

Non-Gaming Vendor to the Gaming Facility, as it deems necessary to 

carry out the purposes of this Ordinance, unless the Commission 

determines that the Non-Gaming Vendor qualifies for an exemption. 

1. Exemptions, The following Persons ~tre exempt from the requirements 

that apply to a Non-Gaming Vendor: 

1. Pueblo government, business, and tribal members; 

2. Automobile. truck, and motorcycle deaIerships, 

3. Utility companies; 
4. Federal, state and local governments; 

5, Nan-Profit Organizations; 

6. Courier and shipping services; 

7. Law and accounting fms; 

8. TrnveI agencies, training, seminars and traveI-related 

services; 

9. Insurance companies; 

10. Non-gaming publicly traded companies; 

1 1. National or local entertainment acts; 

12. Print media companies, including newspaper, magazine, and 

billboard companies; 

13. TeIevision and radio companies; 

14. Petty cash fund purchases; 

15. Banks, 

1 6. Financial Institutions, or 

15. Any other Person that is licensed by a federal or state entity. 

'1-6-3 Effective Date, Conditions, Fees, and Status, 

A. Effective Date. A license is valid after signature by the Commission. 

B. License Standards. The Commission may not issue a license to 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 on Pueblo Lands. No license shall be issued to any 

person who may create or enhance the dangers of unsuitable, unfair, or 

illegal practices and methods and activities in the conduct of gaming on 

Pueblo Lands. 

Term. A license issued to a Ghg Employee shall be valid for two (2) 

years. A Iicense issue to a Non-Gaming EmpIoyee shall be valid for two 

(2) years. Any employee Iicense will be automatically revoked upon 

termination of employment. An license issued to a gaming vendor shall 

be valid for one (1) year, and a license issued to a Non-Gaming Vendor 

shall be vdid for two (2) years. A license issued to a Gaming FaciIity 

shall be valid far three (3) years. Any Iicense for a Management 

Contractor shall be renewed automatically each year during the term of the 

Management Contract unless the Commission determines that the 

Management Contractor is in violation of applicable law. Any other 

licensee who has submitted the required application for renewal and any 

other information required by the Commission at least thirty (30) days 

before the expiration of his license may continue to be employed under the 

expired license or until final action is taken on the renewal application by 
the Commission or, if required by the Act, the N.I.G.C. Such Iicensee 

shall provide updated material and information as requested on the 

appropriate renewal application, but shall not be required to resubmit 

historical data aIready provided or otherwise available to the Commission. 

D. Form. Each licensed issued by the Conmission shall be in the form of an 

identification Card with a photograph, and the first and last name of the 

license holder, employee number, signature, the words OHKAY 

OWINGEH GAMING COMMISSION LICENSE clearly shown, and date 

of expiration. 

E. Must Be Worn. Every holder of a License must have their license dearly 

visible while they are working at any Gaming Facility. Representatives of 

licensed vendws, including officers, agents, and employees. must present 

proper identification upon request by the Commission. 

F. Fees for Licenses. The fees for licenses shall be set by the Commission. 

If the actual costs incutred by the Commission for a background 

investigation exceed the amount deposited by the applicant, those casts 

may be assessed to the applicant in the discretion of the Commission. In 

such cases, the Commission shall submit a detailed billing of the costs and 

an explanation as to why the excess costs were incurred. 

G. Revocable Privilege. 

1. Any license that is issued, or any approval given by the 

Commission, shall be deemed to be a revocabIe privilege and no 

person hoIding a Iicense or approval shall be deemed to have 

acquired any vested rights or interests therein. 

An applicant for a license is seeking the granting of a privilege, 

and the burden of proving qualification to receive any license is at 

a11 times on the applicant. An applicant accepts any and a11 risk of 

adverse public notice, embarrassment, criticism, or other action or 

fmancial loss that may result from the application process and the 

applicant expressly waives any and all clairn(s) for damages 

against the Commission, its owner, officers, agents and employees 

as a result thereof. 

3. An appIication for a license shaII constitute a request to the 

Commission for a decision upon the applicant's general suitability, 

integrity, and ability to participate or engage in, or be associated 

with Gaming Activity in the manner or position sought by the 

appIicant. By filing an application with the Commission and 

paying the required fee, the applicant specifically consents to the 

making of that decision by the Commission, 
1-6-4 Applications for Licenses. 

A. A Person applying for a Gaming Employee or Non-Gaming Employee 

license shall provide all the information required by this section of the 

Ordinance and the Act. At a minimum, the following infomation must be 

included on m application dorm adopted by the Commission for that 

purpose. The appIicant shall pay any fees required by the Commission or 

the N.I.G.C. 

I. Required Information. Each person appIying for a license as a 

Gaming Employee or Non-Gaming EmpIoyee shall provide to the 

Commission the foIIowing information on an application form for 

that purpose: 

a. Full name, other names used (oral or written), social 

security aumber(s), birth date, place of birth, citizenship, 

gender, all languages (spoken or written); 

b. Currently and for the previous ten (1 0) years: business and 

employment positions held, ownership interests in those 

businesses, business and residence addresses, and drivers 

Iicense numbers; 

c. The names and current addresses of at least three (3) 

personal references. including one personal reference who 

was acquainted with the applicant during each period of 

residence listed under paragraph B of this section; 

d. Current business and residence telephone numbers; 

e. A description of any existing and previous business 

relationships with Indian tribes, including ownership 

interests in those businesses; 

f. A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses; 

g. The name and address of any licensing or regulatory 

agency with which the person has filed m application for a 

license or permit related to gaming, whether or not such 

license or permit was granted; 
h. For each felony for which the= is an ongoing prosecution 

or a conviction, the charge, the name and address of the 

court involved, and the date and disposition if any; 

I. For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within ten 

(10) years of the date of the appIicatian, the name and 

address of the court involved and the date and disposition; 

3. For each crimhaI charge (excluding minor traffic charges), 

whether or not there is a conviction. if such criminal charge 

is within ten (10) years of the date ofthe application and is 

not otherwise listed pursuant to paragraph H or I of this 

subsection, the criminal charge, the name md address of 

the court involved and the date and disposition; 

k. The name and address of any licensing or regulatory 

agency with which the person has filed an appIication for 

an occupational license or permit, whether or not such 

license or permit was granted; 

1. current photograph 

m. Any other information the Commission deems relevant; 

and 

n. Fingerprints consistent wifh procedures set out in this 

Ordinance. 

B. A Person applying for a license as a vendor to sell or lease a Gaming 

Device, Gaming Machine, Gaming Equipment, to enter a Gaming-Related 

Contract, or to become as a Non-Gaming Vendor (colIectively referred to 

herein as "vendor license") shall provide aH the information required by 

this section of the Ordinance and the Act. At a minimum, the foIlowing 

information must be included on an application form adopted by the 

Commission for that purpose. The applicant shalI pay any fees required 

by the Commission or the N.I.G.C. 

1. Required Information. Each Person applying for a vendor license 

shall provide to the Commission the following information on an 

application form for that: purpose: 

a. Name of business, business address, business phone, 

federal tax ID number (or SSN if a soIe proprietorship). 

main office address if different fhm business address, any 
other names the applicant has done business under, type of 

senrice or goods applicant will provide. 

Whether the applicant is a partnership, corporation, limited 

liability company, sole proprietorship, or other entity; 

If the applicant is a corporation, the state of incorporation, 

and the qualification to do business in the State of New 

Mexico, if the gaming operation is in a different State than 

the State of incorporation; 

Trade name, other names ever used, names of any wholly 

owned subsidiaries or other businesses owned by the 

vendor or its principals; 

Generd description of the business and its activities; 

Whether the applicant will be investing in or loaning 

money to the gaming operation and, if so, how much; 

A description of any existing and previous business 

relationships with the gaming indusby generally, including 

ownership interests in those businesses; 

A list of Indian tribes with which the vendor has an existing 

or p~vious business relationship, including ownership, 

financial, or management interests in non-gaming activities 

(list of up to 10 tribes with the ten biggest contracts); 

Name, addresses, and phone numbers of three business 

references with whom the company had reguIarly done 

business for the last five years; 

The name and address of any licensing or regulatory 

agency with which the business has filed an application for 

a license or permit related to gaming, whether or not such 

license or permit was granted; 

If the business has ever had a license revoked for any 

reason, the circumstances involved; 

A list of lawsuits to which the business has been a 

defendant, including the name and address of the court 

involved, and the date and disposition, if any; 
rn. List the businesses' funding sources and any liabilities of 

$50,000 or more; 

n. A list of the principals of the business, their social security 

numbers, addresses and telephone numbers, title, and 

percentage of ownership in the company; and 

o. Any further information the Commission deems relevant. 

C. A person appIying for a Gaming Facility Iicense shall provide all the 

infomation required by this section of the Ordinance and the Act. At a 

minimum, the FoIlowing information must be included on an application 

form adopted by the Commission for that purpose. The applicant shall 

pay any fees required by the Commission or the N.I.G.C. 

1. Required information, Each applicant for a Gaming Facility 

license shall provide to the CoTllmission the following infomation 

on an application form approved for that purpose: 

a. The name and address of the property, 

b. A legal description of the property, 

c. The tract number for the property as assigned by the 

Bureau of Indian Affairs, Land Title and Records Offices, 

d. If not maintained by the Bureau of Indians Affairs, a copy 

of the trust or other deed(s) to the property or an 

explanation as to why such documentation does not exist 

and a documentation of the property's ownership, 

e. Statement explaining how the construction and 

maintenance of the gaming facility, and the operation of 

that gaming will be conducted in a manner which will 

adequately protect the environment and the public health 

and safety, and 

f. Any further information the Commission deems reIevant, 

including but not limited to that needed to show 

compliance with applicable environmental, pubIic health 

and safety laws and regulations. 

D. The Commission shall require each applicant seeking a license pursuant to 

this law to sign and submit a Privacy Act notice on an application fm as 

required by the Act that consists of: 
In compliance with the Privacy Act of 1974, the following infomation is provided: 

Solicitation of the information on this form is authorized by 25 U.S.C.A. 2701 et seq. The 

purpose of the requested information is to determine either the eligibility of individuals ta be 

employed in the Ohkay Owingeh gaming operation or the eligibility of the person to conduct 

business with the Gaming Enterprise. The information will be used by National Indian 

Gaming Commission members and staff who have need for the information in the 

performance of their official duties. The information may be disclosed to appropriate Federal, 

Tribal. State, local, or foreign law enforcement and regulatary agencies when relevant to civi t, 

criminal or regulatory investigations or prosecutions or when pursuant zo a requirement by 

Ohkay Owingeh or the National Indian Gaming Commission in connection with the hiring or 

firing of an employee, the issuance or revocation of a license, or investigations of activities 

while associated with a tribe or a gaming operation. Failure to consent to the disclosures 

indicated in this notice will result In the Gaming Enterprise or its management contractor 

being unable to hire you in a employment position or being unable to conduct in business with 

the vendor. 

The disclosure of your Social Security Number (SSN) is voluntary. However, failure to 

supply a SSN may result in errom in processing your application. 

E. The Commission shall require each applicant seeking employment with 

the Gaming Enterprise to sign and submit a notice regarding false 

statements on an application form as required by the Act. 

A false statement on any pan of your application may be grounds for fiM hiring p, m for firing yw dter you 

bcgin work. Also. you may be punished by fine or imprisonment. {US. Codc. title I&. section 1001 .) 

F. The Commission shall require each applicant for a vendor license to sign 

and submit a notice regarding fdse statements on an application form as 

required by the Act: 

Inclusion of false or misleading information in the vendor application may be pun& for denial or revocation 

of the vendor license. 

Com~liance with Privacy Act and False Statements Notice. The 

Commission shall notify in writing each Person who is required to be 

licensed pmuant to Section 1-6-2 of this Ordinance, but who has not 

signed and submitted an application form containing the Privacy Act 

Notice or the False Statements Notice, to either complete a new 

application fom that contains the Privacy Act Notice and the False 

Shtemats Notice; or sign a statement that contains the Privacy Act 

Notice md the False Statements Notice. 

H. Desimation of Agent for Service of Process. On its application, a Gaming 

Enterprise or Management Contractor, or any person seeking a vendor 

Iicense, shall designate an agent to accept service on its behalf of any 

official detesmination, order, subpoena or notice of vioIation that may be 

served by the Commission or N.I.G.C. pursuant to the Act. 

I. Release Form. The Commission shall obtain fiom each applicant a release 

form signed by the applicant authorizing the Cornmission and N.Z.G.C. to 

obtain any information related to the applicant's activities, including 
schools, property interests (real and personal), employment, criminaI 

justice agencies, regulatory agencies, businesses, financial institutions, 

lending institutions, medical institutions, hospitals, and health care 

professionals. 

1-6-5 Background Investigations. The Commission or its designee shall conduct a 

background investigation on each Person required to be licensed pursuant to Section 1-6- 

2 of this Ordinance. 

1-64 Proceda res for Conducting Background Investigations. ne Commission or 

its designee shall conduct a background investigation on each Person required to be 

licensed pursuant to Section 1-6-2 of this Ordinance sufficient to enable the Commission 

to make a determination of suitability pursuant to the requirements of this Ordinance. At 

a minimum, the following classes of applicants shall be subject to the procedures 

described below: 

A. Gaming Employees, Non-Gaming Employees and Principals of a king 

Vendor. 

1. The Commission or its designee, shaI1 obtain copies of the 

applicant's birth certificate, social security card, driver's license, 

passport and other documents deemed necessary by the 

Commission, or its designee, to conduct a background 

investigation of the appIicant. 

2. The Commission, or its designee, shall codm, verify, md 

investigate the information provided by the applicant and obtain 

any additional information pursuant to the signed release form. 'In 

conducting a background investigation, the Commission's , or its 

designee, or its agent shall promise to keep confidential the 

identity of each person intetvicwed in the course of the 

investigation. 

3. Once the Commission, or its designee, has satisfied itself of the 

accuracy of the information provided by the applicant and other 

information obtained pursuant to a signed release form, the 

Commission shall issue a background investigative report to the 

Cornmission. The investigative report shall include, at a minimum, 

a11 of the following: a) steps taken in conducting a background 

investigation, b) results obtained, c) conclusions reached, and dl 

the bases for those conclusions. The Commission shall analyze 

such information to make the Suitability Determination. The 

Commission may conduct or cause to be conducted any further 

background investigation should the circumstances warrant. 
B. Gaming Device, Machine and Equipment Vendors, and Gaming-Related 

Contractors and Non-Gaming Vendors. 

1. The Commission or its designee shalI verify the business' 

incorporation or organization status and qualification to do 

business in the State; 

2. The Commission or its designee shall obtain a business credit 

report, if available, and conduct a Better Business Bureau check on 

the vendor; 

3. The Commission or its designee shaIl conduct a check sf the 

business' credit history; 

4. The Cornmission or its designee shall call each of the references 

listed in the vendor application; and 

5. The Commission or its designee shall conduct an investigation of 

the principals of the business, including a crirninaI history check, a 

credit report, and interviews with the perstand references listed. 

6. Once the Commission , or its designee, has satisfied itself of the 

accuracy of the information provided by the applicant and other 

information obtained pursuant to a signed release form, the 

Commission, or its designee, shall issue a background investigative 

report to the Commission. The investigative repart shall include. 

at a minimum, all of the foIIowing: a) steps taken in conducting a 

background investigation, b) results obtained, c) ~oncIusions 

reached, and d) the bases for those conclusions. The Conunissiorr 

shall analyze such information to make the Suitability 

Determination. The Commission may conduct, or cause to be 

conducted, any further background investigation should the 

circumstances warrant. 

C. Gaming Facility License Applicants, 

1. The Commission, or its designee, shall identify the environmental 

and public health and safety Jaws, regulations, polices, and 

procedures applicable to the gaming facility license. 

2. The Cornmission, or its designee, shall verify whether the 

applicant is in compIiance with those laws, regulations, policies, 

and procedures. 

3. Once the Commission, or its designee, has satisfied itself of the 

accuracy of the information provided by the applicant and other 
information obtained pursuant to a signed reIease form, the 

Commission, or its designee, shall issue a background investigative 

report to the Commission. The investigative report shall include, 

at a minimum, all of the following: a) steps taken in conducting a 

background investigation, b) results obtained, c) conclusions 

reached, and d) the bases for those conclusions. The Commission 

shall analyze such information to make the Suitability 

Determination. The Commission may conduct, or cause to be 

conducted, any further background investigation should the 

circumstances warrant. 

1-6-7 Procedure for Fingerprint Submissions. 

A. The Commission is authorized to negotiate and enter into an agreement 

with the N.I.G.C. or a State or federal law enforcement agency for the 

purpose of processing fingerprint submissions to obtain crimind histmy 

record information ("CMU'') of Persons required to be licensed pursuant 

to Section 1-6-2 of this Ordinance and principals of vendor applicants 

required to be licensed under Section 1-6-2 of this Ordinance. 

B. The Commission, or other person designated by the Commission in 

writing, is responsible for obtaining fingerprints of applicants for licenses, 

inchding principals of vendor applicants. The Commission is aIso 

authorized to negotiate and enter into an agreement with n tribal, State or 

federal law enforcement agency to take such fingerprints. Such law 

enforcement agency shall designate an individual for the purpose of 

cormnunicating with the Commission and the N.I.G.C. regarding the 

taking of fingerprints. 

C. The Commission shall impose a fee sufficient to cover the cost of the 

processing of the fingerprint submissions. 

1-6-8 Procedure for Processing Fingerprint Submissions. 

A. Upon receipt of a completed application for a license and the payment 

arrangement of any required fees, the Commission or other designated 

entity, is authorized to obtain fingerprints. The Commission, or other 

designated entity, shall capture the applicant's fingerprints on an 

established Iive scan fingerprint processing machine. After obtaining the 

applicant's fmgerprinzs, the Commission, or other designated entity, shall 

electronically submit the scans directly to the N.I.G.C. via VPN fur an FBI 

fingerprint check. 
B. The Commission, or other designated entity, shall also send to the 

N.I.G.C. a check in an amount sufficient to cover the cost of processing 

each applicant's fingerprint submission. 

1-6-9 Criminal History Record Infomation. The Commission may use the CHRI for 

lhe purpose of making a Suitability Determination and any other lawful purpose 

permitted by an agreement with the N.I.G.C. or n State or federal law enforcement 

agency. The Commission shall abide by all conditions or himitations imposed by such 

agreement on the release, dissemination or use of the Cm. The Commission shnIl 

further ensure that the CHRI is restricted to the personnel directly involved in the 

licensing deliberations. The Commission shall maintain records of the identities of all 

personnel receiving access to the CHRI and shall fumish such records to the N.I.G.C. 

upon request. 

1-6-10 Suitability Determinathn. 

A. Upon receipt of the background investigative report and CW information, 

the Commission shall apply the Licensing Standards, as defined under Section 

1-6-3@) of this Ordinance and as interpreted by the ReguIations, to each 

appIication. In general, the Commission shall review a person's prior 

activities, Miminal record, if any, reputation, habits and associations to make a 

finding concerning the eligibility of a an applicant, including, but not limited 

to an applicant for a key employee or Mmaq management official for 

employment in a gaming operation. 

B. Denial of license. If the Commission determines that either the employment 

of the applicant or engaging in business with the applicant poses a threat to the 

public interest or to the effective regulation of gaming, or creates or enhances 

dangers of unsuitable, unfair, or illegal practices and methods and activities in 

the conduct of gaming, the Ganing Enterprises shall not employ that person, 

or if the Person is seeking a vendor license, the Gaming Enterprises shall not 

engage in business with the applicant, and the commission shall proceed with 

denying the application. If the Commission denies the appIication, the 

commission shall give written notice to the applicant and to the gaming 

enterprise informing them of the action, setting forth the grounds for the 

action, revoking any temporary license, and advising the applicant of the right 

to a hearing before the Commission, 

C. Gtant of License. 

1. Generally except for Key Employees and Primary Management 

Oficials, if the Commission determines that either the employment of 

the applicant or engaging in business with the applicant does not pose 

a threat to the public interest or to the effective regulation of gaming, 

or does not create or enhance the dangers of unsuitable, unfair, or 

illegal practices and methods and activities in the conduct of gaming, 
the Gaming Enterprise may employ that person, and if the Person is 

seeking a vendor license, the Gaming Enterprises may engage in 

business with the applicant, after the Commission issues a license. 

The commission shall issue a reguIar license to the applicant within 5 

business days after approval by the Gemmission, at which time the 

temporary license (if any) shall expire, and the licensee must 

immediately surrender the temporary license to the Cornmission. 

2. Grant of Temporaw License. For Key Employees and Primary 

Management Officials only, if the Commission determines tht the 

employment of the applicant does not pose a threat to the public 

interest or to the effective regulation of gaming, or does not create or 

enhance the dangers of unsuitable, unfair, or iIIegal practices and 

methods and activities in the conduct of gaming, the Gaming 

Enterprise may employ that person, after the commission issues a 

temporary license. The Commission may issue or maintain a 

temporary license for a stated period of time, not to exceed 90 days 

from the date of application, within 5 business days after approval by 

the commission. 

D. Right to Hearing. An applicant who is denied a license by the commission 

may request a hearing before the commission by filing a written request for 

hearing with the commission within 7 business days afier receiving the notice 

of denial of application. The commission shaII set a hearing date. which shall 

be no later than 30 days after receipt of the request for hearing, unless the 

applicant for good cause requests an extension. The applicant shall be held in 

accordance with any Adjudicative Hearings procedure promulgated by the 

commission. 

1-6-11 Post Licensing Procedures: Forwarding Certain Information ta the National 

Indian Gaming Commission. 

A. If Key Employee and Primary Management Official" Temporary License 

is Granted. 

I. Unless ohenvise directed by N.I.G.C., when a key employee or 

primary management official begins work at a Gaming Enterprise 

as authorized by this ordinance, the Commission shall forward to 

the W.I.G.C. a completed application for employment, an 

investigative report on the background investigation, and a 

suitability determination referred to in this Ordinance. 

2. The Commission shaII forward the background investigative report 

referred to in this Ordinance to the N.I.G.C. within sixty (60) days 

after a key employee or primary management official begins work 
or within sixty (60) days of the approval of this initial approval of 

the Ordinance by the chairman of the N.I.G.C., whichever is later. 

3. A Gaming Enterprise shall not empIoy as a key employee or 

primary management official a person who does not have a license 

within ninety (90) days after applying for a Gaming License. 

4. If, within a thirty (30) day period after the N.I.G.C. receives a 

background investigative report, the N.I.G.C. notifies the 

Commission that it has no objection to the issuance of a license 

pursuant to a license application filed by a key employee or a 

primary management official the Commission may issue a regular 

license to such applicant. 

5. The Cornmission shall respond to a request for additional 

information from the Chairman of the N.LG.C. concerning a key 

empIoyee or a primary management official who is the subject of a 

background investigative report. Such a request shill suspend the 

thirty (30) day period under paragraph (A) of this section until the 

Chairman of the N.I.G.C. receives the additional information. 

6. If, within the thirty (30) day period described above, the N.I.G.C. 

provides the Commission with a statement itemizing objections to 

the issuance of a Eicense to a key employee or to a primary 

management officiaI, the Commission shall reconsider the 

application, taking into account the objections itemized by the 

N.I.G.C. The Commission shall make the final decision whether to 

issue a regular license to such applicant, 

B. If Key Employee and Primary Management Official's Temporary License 

is Denied. 

1. If a temporary license is not issued to an appIicant, the 

Commission: 

a. Shall notify the N.I.G.C.; and 

b. May fonvard copies of its suitability determination and 

investigative report (if any) to the N.I.G.C. for inclusion in 

the Indian Gaming Individuals Records System. 

2. With respect to key employees and primary management oficials, 

the Commission shall retain applications for employment and 

reports (if any) of background investigations for inspection by the 

Chairman of the N.I.G.C. or his designee for no less than five (5) 

years, from the date af termination of employment. 

C. If Gaming Facility License is Approved 
1. If a gaming facility Iicense is issued to an appIicant, the 

Commission shall submit to the Chairman of NIGC the following: 

a. A copy of the gaming facility license, 

b. An attestation certifying that by issuing the facility license: 

1. The Pueblo has identified the environmental and 

public health and safety Iaws applicable to its 

. . gaming operation, 

11. The PuebIo is in cornpIiance with those Jaws, and 

iii. The Pueblo has ensured and is ensuring that the 

construction and maintenance of the gaming facility 

and the operation of that gaming is conducted in a 

manner which adequately protects the environment 

and the public health and safety. 

c. Except as provided in paragraph (d) below, A document 

listing all laws, resolution, codes, policies or procedures 

identified by the Pueblo as applicable to its gaming 

operations, other than Federal Iaws, in the following areas: 

1. Emergency preparedness, including but not limited 

to fire suppression, law enforcement, and security, .. 

11. Food and potable water, 

iii. Construction and maintenance, 

iv. Hazardous materials, 

v. Sanitation (both solid waste and wastewater), and 

vi. Other environmental or public health and safety 

standards adopted by the Pueblo in light of climate, 

geography, and other local conditions and 

applicable to its gaming facilities, places or 

locations, 

d. For renewal licenses, upon reissuing a license to an existing 

gaming pIace, facility, or Iocation, and in lieu of complying 

with the above paragraph, the Commission may certify to 

the Chairman of the NIGC that the Pueblo has not 

substantially modified its laws protecting the environment 

and public health and safety. 

D. If Gaming Facility License is Denied. 
4. The Commission shall notify the Chairman of NIGC within 30 days if 

a facility license is terminated or not renewed or if a gaming place, 

facility, or Iocation closes or reopens. 

1-6-12 Additional License Requirements. 

A. Generally the Commission shaII require each licensee to comply with all 

applicable laws, regdations, and policies of the Commission and the 

Pueblo, and that failure to comply with such laws, reguIations, and 

policies may be cause for suspension or revocation of the license. The 

Commission has the right to impose additional conditions of licensing. At 

a minimum, the Commission shall require the following conditions 

subsequent: 

B. Non-Gaming Vendors. The Commission may impose conditions of 

Iicensure on the Non-Gaming Vendor, including, without limitation, 

requiring Non-Gaming Vendor to identify each of its employees working 

within the Gaming Facility. Non-Gaming Vendor shall identify such 

employees by name, address, social security number, and date of birth, 

and forward that list to the Commission. The Non-Gaming Vendor shall 

periodically update the list at least quarterly, and forward the updated list 

to the Commission. The Non-Gaming Vendor shall irnmediatety inform 

he Commission of any such empIoyee's change of employment status, 

including termination, suspension, or leave. 

1-6-13 License Suspension and Revocation. 

A. Grounds for Suspension or Revocation. 

1. If, after the issuance of a license, the Commission obtains reliable 

infomation hrn the N.I.G.C. or other source indicating that a 

licensee is not eligible for a license under the standard set forth in 

Section I-6-3(B) of this Ordinance or othenvise fails to comply 

with any conditions imposed on licensing, the Commission shall 

reopen the background investigation and notify the licensee of the 

proposed suspension and provide an opportunity to address the 

information received or basis for suspension. The background 

investigation shall be limited to the information received or basis 

for suspension with the intent of verifying the truthfulness of the 

information received. The Commission may promulgate 

reguIations for reopening background investigations. If after the 

investigation, the Commission finds sufficient evidence that a 

Iicensee is no longer suitabie for licensure based on the licensing 

standards and conditions imposed on the Iicense, the Commission 

shall suspend such license and shaII notify the Iicensee h writing 

of the suspension and the proposed revocation. 
2. The notice of suspension and proposed revocation shall identify 

the information received or basis for suspension and explain why 

the Commission believes that the licensee is no longer suitable for 

Iicensure based on the license standards andlor conditions imposed 

on licensing. 

B. Notice of Proposed Revocation Hearing: Administrative Hearing 

Procedures: The Commission shall notify the licensee of a time and a 

place for a hearing on the proposed revocation of a license. The 

Commission shall adept procedural regulations to govern the procedures 

to be followed in administrative hearings pursuant to this section. At a 

minimum, the regulations shall provide: 

1. For the hearings to be pubtic; 

2. Procedures for discovery; 

3. Assurance that procedural due process requirements are satisfied; 

4. For the maintenance of a record of the hearing proceedings and 

assessment of costs of any transcription of testimony that is 

required for judicial review purposes; and 

5. ForthehearingtobeheldonPuebloLands. 

Such regulations may also govern notices, delegation of authority to hear a 

matter, hearing procedures, and any other conduct or activities reasonably 

related to meet the intent of the Ordinance. 

C. Written Decision of the Commission. After a revocation hearing, the 

Commission shalI issue a written decision on the proposed revocation 

supported with findings of fact and conclusions of law. The written 

decision shall be issued not more than thirty (30) days after the revocation 

henring and shall be mailed by certified mail, return receipt requested, to 

the licensee, Gaming Enterprise, and all persons who have made a written 

request for notification of the action taken. The effective date of the 

decision of the Commission made under this section is the date the 

decision is received by the aggrieved party as reflected on the return 

receipt ("Effective Date"). The Commission shall notify the N.I.G.C. of its 

decision concerning each key employee or primary management official. 

D. Suspension or Revocation for Cause Onlv. A license may be suspended or 

revoked for cause as described in the license standards and conditions 

imposed on licensing, and supported by substantial evidence in the whole 

record. 

E. AppeaIions to TribaI Court. A 

final decision of the Cammission is subject to judicial review by the Tribal 

Court. if the aggrieved party files a petition for review with the Tribal 
Court within ten (I 0) calendar days of the effective date. The Ohkay 

Owingeh Administrative Appeals Ordinance, as amended from time to 

time, shall apply. 

1-7 [RESERVED]. 

1-8 MANAGEMENT CONTRACTS. 

1-8-1 Requirement for Review and Approval. The Pueblo may enter into a 

Management Contract subject to approval of the Commission and the N.I.G.C. 

1-8-2 Required Provisions. 

A. Governmental Authoriq, The Pueblo shall not enter into a Management 

Contract unless it provides that dI Gaming Activity conducted by a 

Management Contractor be conducted in accordance with this Ordinance, 

as amended or restated, the Compact, the Act and all applicable federal 

regulations. 

B. Identification of Res~onsibilities. A Management Contract shall identify 

the responsibilities of each party for each identifiable function set forth in 

the Act, and Parts I and II of this Ordinance. 

account in^ and Record Keeping. A Management Contract shall provide 

for the estab1ishment and maintenance of satisfactory accounting systems 

and procedures that shall include an adequate system of internal 

accounting controls and permit the preparation of financial statements in 

accordance with genemlly accepted accounting principles. The 

Management Contractor shall maintain adequate written records of bingo, 

and other Class II gaming activities on the premises for a period of at least 

four (4) years. Records for Class III gaming activities shdl be maintained 

for a period of at least five (5) years. These records shaII include: 

Gross Receipts. 

Records of prizes, maintain pmuant to paragraph E above. 

Any and all expenses. 

Capital expenditures 

Contract. 

Net profits. 

Payments to PuebIo's general fund. 

Documents and calculations required to be maintained to satisfy 

terms of the Compact. 

D. The Management Contract shall require the Management Contractor, at its 

own cost and expense to provide monthly verifiable financial reports to 
the Pueblo, the Commission, and if required by the Act, the N.I.G.C., 

including any reports that the Compact requires the Management 

Contractor to make to the New Mexico Secretary of State or other State 

agencies or representatives. 

E. Access. 

I. A Management Contract shall require a Management Contractor to 

allow immediate access to a Gaming Facility or Enterprise, 

including its books and records, by authorized officials of the 

Pueblo, the Commission, or N.I.G.C. who shall have the right to 

verify the daily gross revenues and income from the Gaming 

Facility or Enterprise and agree to any other gaming-related 

information that such authorized officials deem appropriate. 

2. A Management Contract shall provide that the State Gaming 

Representative shall have access to inspect a11 aspects of the 

gaming operations as provided by the Compact. 

F. Guaranteed Pavrnent. A Management Contract shall provide for a 

minimum guaranteed monthly payment in a sum certain to the Gaming 

Enterprise that has preference over the retirement of any development and 

conmction costs. 

G. Development and Construction Costs. A Management Contract shall 

provide for an agreed upon maximum dollar amount per month of 

revenues for the recoupment of development and construction costs. 

W. Term. Pursuant to the Act, a Management Contmct shall not be for a term 

exceeding five (5) years unless, upon request of the Pueblo, the N.I.G.C. 

authorizes a longer contract term not to exceed seven (73 years. 

I. Compensation. Pursuant to the Act, a Management Contract shall not 

provide for more than thirty percent (30%) of the Net Revenues of a 

Gaming Enterprise to be paid to a Management Contractor unless, upon 

request of the Pueblo, the N.I.G.C. authorizes a higher percentage not to 

exceed forty percent (40%). The balance of any Net Revenues shall be 

paid to the Treasurer of the Pueblo or other Pueblo entity as set forth in a 

Management Contract. 

3. Termination: Disputes. A Management Contract shaIl provide the gromds 

and mechanisms for modifying or terminating such contract and include a 

mechanism to resolve disputes between a Gaming Enterprise or Facility 

and Management Conwactor, Management Contractor and patrons, and 

Management Contract dor its employees. Such grounds and 

mechanisms must compIy with applicable provisions of the Compact and 
this Ordinance. In the event of any conflict, the provisions of the Compact 

shall prevail. 

K. Assiments and Subcontracting. A Management Contract shall provide 

to what extent contract assignments and subcontracting are permissibIe. A 

Management Contract shall also provide that any assignment or 

subcontract, assignee or subcontractor, must agree to comply with aIE 

provisions of the Act, applicable federal regulations, this Ordinance and 

the Compact. 

L. Ownershiw Interest. A Management Contract shall provide that changes in 

the ownership interest in such contract shall require the advance approvaI 

of the Pueblo. the Commission, and if required by the Act, the N.I.G.C. 

M. Prohibited provisions. A Management Contract shall not wansfer or 

convey any interest in Pueblo Lands unless consistent with the Act and 

authorized by the Pueblo, federal law, including, but not limited to 

applicable federal reguIations. 

1-9 DISPUTE RESOLUTION. 

1-9-1 Notice to Patrons, The Commission shall promulgate regulations addressing the 

administrative handling of disputes between the patron and the Gaming Enterprise. Only 

when the administrative handling of dispute is exhausted will the dispute procedures 

provided herein become applicabIe. 

1-4-2 Patron Dispute Resolution Procedures Regarding Payouts. If a Gaming 

Enterprise or Management Contractor refuses to pay alleged winnings to a patron 

engaged in Gaming Activity and a Gaming Enterprise or Management Conwctor is 

unable to resolve the dispute after exhausting its internal process for resolving the dispute 

as described in the segIutions, the following procedures shall be used: 

A. The Gaming Enterprise shall presewe all documents, including 

surveillance images, pertaining to each dispute until it is resolved. 

B. If the dispute involves at ateast $1,200, the Gaming Enterprise or 

Management Contractor shall notify the Commission in writing of the 

dispute within five calendar days after exhausting the Gaming Enterprise 

process for handling the dispute as provided in the regulations, or the date 

of patron's written complaint to the Gaming Enterprise, whichever is 

earlier C'Notice of Dispute"), and shall provide a copy of this Section 1-9 

of this Ordinance to the patron. 

C. Any patron has the right, within five (5) days of exhausting the Gafning 

Enterprise's process for resolving the dispute to make a written request to 

the Commission to conduct an investigation ("Request for Investigation"). 
The failure of a patron to make a Request for Investigation within the fiveday period shall bar the cIaim to any money in dispute. 

D. Investigation and Hearing. Upon receipt of Notice of Dispute, Request for 

hvestigation or written notice of a patron dispute submitted by a patron to 

the Commission, the Commission shall conduct whatever investigation it 

deems necessary to resolve the dispute. The Commission shdl held a 

hearing on the matter within n reasonable period of time following the 

conclusion of the investigation. The Commission may promulgate 

regulations concerning Adjudicative Hearings procedures consistent with 

this Ordinance. At a minimum, the regulations shall provide: 

1. For the hearings to be pubIic; 

2. Procedures for discovery; 

3. Assurance that procedural due process requirements are satisfied; 

4. For the maintenance of a record of the hearing proceedings and 

assessment of costs of any transcription of testimony that is 

required for judicial review purposes; and 

5. For the hearing to be held on Pueblo Lands. 

Such xegdations may also govern notices, delegation of authority to hear a 

matter, hearing procedures, and any other conduct or activities reasonably 

related to meet the intent of the Ordinance. At the hearing, the Gaming 

Enterprise or Management Contractor and patron may submit any 

documentation or other evidence to the Commission to support: their 

respective positions. 

E. Decision. Within ten (10) calendar days after the hearing, the 

Commission shall issue a written decision and shall mail the written 

decision, by certified mail, return receipt requested, to the patron and the 

Gaming Enterprise or Management Contractor. The effective date of a 

decision of the Commission made under this Section is the date the 

decision is received by the aggrieved party as reflected on the retuhn 

receipt (Tffective Date"). 

F. Review of Decision. Any final decision of the Commission concerning 

this provision shall be subject to review by the Tribal Court, if the 

aggrieved party files a petition for review with the Tribal Court within 30 

days of the Effective Date. The decision of the Tribal Court shall be final, 

and non-appealable. 

1-9-3 Other Patron Disputes. AII other patron disputes that are recognized in the 

Compact shall be resolved pursuant to the dispute resolution procedures set forth in the 

Compact. 
1-10-1 Establishment of the Commission, Appointment, Term. There is hereby 

established a commission to be known as the Ohkay Owingeh Gaming Commission, 

consisting of three (3) members appointed by the Council to serve staggered terms of 

three (3) years commencing on the date of their appointment. 

1-10-2 Compensation. The Council shdl establish the compensation, if any, for the 

members of the Commission. 

1-10-3 Removal. The Council may remove any Commissioner for any reason at any 

time. 

1-10-4 Vacancies. The Council may fill any vacancies in the Commission. 

1-10-5 Designation as Agent and Tribal Gaming Agency. The Commission is hereby 

appointed as the agent for the Pueblo to accept on behalf of the Pueblo sewice of any 

official determination, order, notice of violation that may be sewed by the N.I.C.C. 

pursuant to the Act. The Commission is also designated as the Tribal Gaming Agency 

fbr purposes of the Compact. 

1-10-6 Powers and Duties. The Commission shall have the following powers, including 

the authority to promulgate regulations in furtherance of the powers: 

A. To monitor and regulate my Gaming Activity except as provided by 

applicable law or the Compact; 

B. To inspect and examine all Gaming Enterprises, Facilities or Premises on 

Pueblo Iands on which any Gaming Activity is conducted. 

C. To conduct background Investigations as may be necessary and to conduct 

such other investigations to protect the public interest in the integrity of 

any Garning Activity and to prevent improper or unlawful conduct in the 

course of any Gaming Activity. 

D. To demand access to, inspect, examine, photocopy, or audit or to cause an 

audit to be conducted on all papers, books, and records of any Gaming 

Enterprise or Management Contractor relating to any Garning Activity and 

any matters necessq to carry out its duties pmuant to this Ordinance, 

the Compact, and applicabIe law. 

E. To compel any Person to appear before it and provide such information, 

documents or other materials as may be in such person's possession and to 

administer oaths or affirmations to witnesses appearing before it. 

F. To promulgate such regulations and guidelines as it deems appropriate to 

implement the provisions of this Ordinance, the Compact or other 
applicable Iaw. The Commission is authorized to issue procedures for 

seeking public comment on proposed regulations. 

G. To issue, deny, suspend and revoke Iicenses in accordance with this 

Ordinance. 

H. To enforce the health and safety standards applicable to any Gaming 

Facility. 

I. To levy and collect fees and to impose any penalties and fines for 

violations of this Ordinance. 

J. To adopt an annual operating budget subject 10 the approval of the 

Council, and, in accordance with such budget, to employ a staff as it 

deems necessary to fulfill its responsibilities under this Ordinance, and to 

retain legal counsel, consultants and other professional sewices, including 

investigative services, to assist it in cnrrying out its powers. 

K. Ta issue any order or make any decision which the Commission has the 

power to issue or make pursuant to applicable law and to take any action 

as may be required to protect the public interest in any Gaming Activity. 

L. To conduct any hearing, take testimony, and receive any evidence and to 

compel the production of any information or documents. 

M. To enter into such contracts and agreements with State, federal and private 

entities for activities necessary to the discharge of its duties. 

N. To take any other action necessary and proper to carry out its powers set 

forth in this Ordinance. 

1-10-7 Assuring Compliance with Compact. In addition to she powers and duties set 

out in Section 1-10-6, the Commission will assure that the PuebIo wiEI comply with all of 

!he provisions set out in the Compact, and that the Pueblo shall adopt laws as set forth in 

l.he Compact. 

1-10-8 Executive Director. The Commission may appoint and retain an individual to 

serve as executive director of the Commission to administer and execute its duties and 

responsibilities hereunder and other staff as the Commission may deem necessary to 

carry out such duties and responsibilities. The Executive Director shall be responsible for 

coordination of the functions with the N.LG.C. and other federal, state, and locaI agencies 

4% necessary. 

1-10-9 Certificate of Self-Regulation. As provided in the Act, the Commission on 

behalf of the Pueblo may petition the N.I.G.C. for a certificate of self-regulation. 
1-10-10 Procedures of the Commission. 

A. Remlar Meetings. Regular meetings of the Commission may be held 

upon such notice, or without notice, and at such time and place as shall 

from time to time be fixed by the Commission. Unless otherwise 

specified by the Commission, no notice of such regular meetings shalI be 

necessary. 

B. Swcid Meetings. Special meetings of the Commission may be called by 

the Chairman of the Commission or may be held by teleconference of by 

polling. The chairman of the Commission shall fix the time and place of 

the special meeting. Neither the business to be transacted at, nor the 

pwposes of. any regular or special meeting of the Commission need to be 

specified in the notice of the meeting. 

Quorum. At any meeting of the Commission, n majority of the 

Commission members shall constitute a quom for the transaction of 

business. The vote of a majority of the members present at a meeting at 

which a quorum is present shall be the act of the Commission. -The 

chairman of the Commission shall preside at all meetings of the 

Commission unless the chairman of the Commission designates another 

member to preside in his absence. Approval of action telephonically or by 

polling is also authorized, 

D. Notice of Commission Action: Heasines. No action of the Commission 

taken pursuant to this Ordinance shall be valid unIess the Person affected 

is given notice of the proposed action and the opportunity to appear and to 

be heard before the Commission and to submit such evidence as the 

Commission deems relevant to the matter at issue. Any hearing conducted 

may, at the direction of the Commission be conducted by the Executive 

Director or by one or members of the Commission designated by the 

Commission for that purpose. 

E. Rules and Proced~. The Commission may adopt such additional 

regulations or Bylaws, including a codict of interest policy, as it deems 

necessary or convenient to govern its affairs consistent with applicable 

law. 

:[-I1 PROHIBITED ACTS. It shall be a violation of this Ordinance for my Person 

to: 

1-11-1 Conduct or participate in any Gaming Activity on Pueblo Lands other than at a 

licensed Gaming Facility. 
1-11-2 Receive, distribute, apply or divert any property, funds, proceeds, or other assets 

of a Gaming Facility or Enterprise to the benefit of any Person except as authorized by 

this Ordinance, the Compact or other applicable law. 

1-11-3 Tamper with any Gaming Dwice, Machine or other Gaming Equipment used in 

the conduct of any Gaming Activity with the intent to cause any Person to win or lose 

any wager other than in accordance with the publicly-announced and approved rules of a 

(3aming Operation. 

11-11-4 Do any act in connection with the conduct of any Gaming Activity with the intent 

to affect the outcome of any wager other than in accordance with the publicly-announced 

md approved rules of a Gaming Facility or Gaming Enterprise. 

11-11-5 Alter or misrepresent the outcome of any event on which wagers have been made 

<after the outcome is made sure but before it is revealed to the players. 

1-11-6 Place, increase or decrease a bet or to determine the course of play after acquiring 

Emowledge, not available to all players, of the outcome of the game or any event that 

affects the outcome of the game or which is subject of the bet or to aid anyone in 

acquiring such knowledge for the purpose of placing, increasing or decreasing a bet or 

determining the course of play contingent upon that event or outcome. 

1-11-7 Claim, coEtect or take, or attempt to claim, collect or take, money or anyhng of 

value in or from a Gaming Device, Gaming Machine or other Gaming Equipment, with 

intent to defraud, without having made a water thereon, or to claim, collect or take an 

amount greater than the amount won. 

11-11-8 Place or increase a wager or bet aRer acquiring knewIedge of the outcome of the 

game or other event which is the subject of the bet, including post-posting and pressing 

hets. 

1-11-9 Reduce the amount wagered or cancel the bet after acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet, including pinching 

llets, 

1-11-10 Manipulate, with the intent to cheat, any Gaming Device, Gaming Machine or 

Gaming Equipment, including but not limited to manipuIating a Gaming Device, Gaming 

I'viachine or Gaming Equipment with knowledge that the manipulation affects the 

outcome of such device, machine or equipment. 

1-11-11. Knowingly use other thart coins or tokens approved by the Commission or other 

lawful coin, legal tender of the United States of America, or to use a coin not of the same 

denomination as the coin intended to be used in the Gaming Device, Gaming Machine or 

Gaming Equipment. 
1-1 1-12 Possess, with the intent to use, any device to assist in projecting the outcome of 

the game, in keeping track of the cards played, in analyzing the probability of he 

occurrence of an event relating to Gaming Activity or in analyzing the strategy for 

playing or betting to be used in the Gaming Activity. 

1-11-13 Use any device or means to cheat, or to possess any such device or means whiIe 

at a Gaming Facility. 

1-1 1-14 Knowingly entice or induce another to go to any place where Gaming Activity 

is being conducted or operated in violation of the provisions of this Ordinance, the Act, 

1:he Compact, or other applicable law with the intent that the other person play or 

participate in that Gaming Activity. 

1-12-1 Any Person who violates any provision of this Ordinance shall be subject to civil 

penalties, termination of employment by, or contract with, the Gaming Facility, Gaming 

Enterprise or Management Contractor, denial, suspension or revocation of a license, 

exclusion from any Gaming Facility, or exclusion from Pueblo Lands. The Commission 

may impose a fine of not more than Five Thousand Dollars ($5,000) for each violation. 

The Commission shall have the jurisdiction to impose any penalties on any Person within 

the jurisdiction of the Pueblo. The Commission may promulgate regulations governing 

its enforcement of the Ordinance and application of fines and penalties. 

'1-13-1 In the event that any section or provision of Part I of this Ordinance or its 

application to any particular activity is held to be invalid, the remaining sections and 

provisions of Part I of this Ordinance and the remaining applications of such section or 

provision shall continue in full force and effect. 

1-14 SOVEREIGN IMMUNITY. 

1-14-1 Unless required under the Compact or the Act, the Pueblo does not in any way 

'waive its sovereign immunity kom suit in any court. However, final decisions of the 

Commission may be appealed to and shall be subject to final appellate review only in the 

Tribal Court. No final decision of the Commission sMl be reversed unIess the Tribal 

Court finds that the Commission's action was arbitrary, capricious or not in accordance 

with the law. No compensatory, punitive, monetary or exemplary damages may be 

nwarded against the Commission for any action taken or decision made by the 

1Zommission. 

1-15 PROTECTION OF COMMISSION. 

1-15-1 The Pueblo's sovereign immunity protects the Commission, and its members, 

i:mpIoyees, and agents against any suit wising from their officiaZ actions or employment. 
The PuebIo will defend, protect, and indemnify the Commission, and its members, 

t:mployees, and agents in any legal. action arising from offi~ial actions set out in this 

Ordinance while serving the Commission. 

1-16 REPEAL. 

1-16-1 To the extent inwnsistent with this Ordinance, dl prior ordinances, regulations or 

parts thereof adopted by the Council are hereby repealed. Nothing in this section is 

intended to repeal regulations adopted by the Commission unless inconsistent with the 

provisions of this Ordinance. 

1-17-1 Part I of this Ordinance may be amended by the Council. 
PART II - Indian Gaming Compact 

2-1-1. The State of New Mexico ("State") is a sovereign State of the United States of 

America, having been admitted to the Union pursuant to the Act of June 20, 1910. 36 

Statutes at Large 557, Chapter 310, and is authorized by its constitution to enter into 

contracts and agreements, including this Compact, with the Tribe; 

2-1-2. The OMay Owingeh ("Tribe") is a sovereign federally recognized Indian tribe 

,and its governing body has authorized the oficids of the Tribe to enter into contracts arid 

i3pements of every description, including this Compact, with the State; 

2-1-3. The Congress of the United States has enacted the lndian Gaming Regulatory Act 

of 1988, 25 U.S.C. $9 2701-2721 (hereinafter "IGRA"), which permits lndian tribes to 

conduct Class III Gaming on Indian Lands pursuant to a tribal-state compact entered into 

for that purpose; 

2-14 The 1999 State legislature has enacted SB 737, as 1999 N.M. Laws, Ch. 252, 

known as the "Compact fiegotiation Act.," creating a process whereby the State and the 

Tribe have engaged in negotiations leading to this Compact, with review by a joint 

1:egisIative committee, and with find approval by a majority vote in each house of the 

Tegislatlrre; 

2-1-5. The Tribe owns or controls Indian Lands and by Ordinance has adopted rules and 

governing Class 111 games played and related activities at any Gaming 

Facility; the State and the Tribe, in recognition of the sovereign rights of each party and 

i.n a spirit of cooperation to promote the best interests of the citizens of the State and the 

members of the Tribe, have engaged in good faith negotiations recognizing and 

respecting the interests of each party and have agreed to this Compact. 

NOW, THEREFORE, the State and the Tribe agree as follows: 

2-2 TERMS AND CONDITIONS SECTION. 

2-2-1 Purpose and Objectives. 

The purpose and objectives of the State and the Tribe in making this Compact are 

as follows: 

A. To evidence the good will and cooperative spirit between the State and the 

Tribe; 

B. To continue the development of an effective government-to-government 

relationship between the State and the Tribe; 
C. To provide for the regulation of Class TI1 Gaming on Indian Lands as 

required by the IGRA; 

D. To fulfil1 the purpose and intent of the TGRA by providing for tribal 

gaming as a means of generating tribal revenues, thereby promoting tribaI 

economic development, tribal self-sufficiency, and strong tribal 

government; 

E. To provide revenues to fund tribal government operations or programs, to 

provide for the generaI welfare of the tribal members and for other 

purposes allowed under the IGRA; 

F. To provide for the effective regulation of CIass 111 Gaming in which the 

Tribe shall have the sole proprietary interest and be the primary 

beneficiary; and 

G. To address the State's interest in the establishment. by the Tribe, of rules 

and procedures for ensuring that Class 111 Gaming is conducted fairly and 

honestly by the owners, operators, employees and patrons of any Class Ill 

Gaming enterprise on Indian Lands. 

H. To settle and resolve certain disputes that have arisen between the Tribe 

and the State under the provisions ofthe Predecessor Agreements. 

2-3 DEFINITIONS. For purposes of this Compact, the following definitions pertain: 

2-3-1. "Class 111 Gaming" means all foms of gaming as defined in 25 U.S.C. 5 2703(8), 

c~d 25 C.F.R. 8 502.4, 

2-3-2. "CompacP means this compact between he State and the Tribe, and including the 

Appendix attached hereto. 

2-3-3. Gaming Employee" means a person connected directly with the conduct of Class 

1111 Gaming, or handling the proceeds thereof or handling any Gaming Machine; but 

"Gaming Employee'Vdoes not include: 

A. Bartenders, cocktail servers or other persons engaged solely in preparing 

or serving food or beverages; 

B. Secretarial or janitorial personnel; 

C. Stage, sound and light technicians; or 

D. Other nongaming personnel. 
11-3-4. "Gaming Enterprise" means the tribal. entity created and desipated by the Tribe 

els having authority to conduct Class 111 Gaming pursuant to this Compact. 

11-3-5. "Gaming Facility1' means all buildings or structures in which Class III Gaming is 

conducted on the Tribe's Indian Lands, subject to the limitations set forth in Section 2-4- 

3 of the Compact. 

1!-3-6. "Gaming Machine" means a mechanical, eIectronechanica1 or electronic 

contrivance or machine that, upon insertion of a coin, token or similar object, or upon 

payment of any consideration, in any manner, is available to play or operate a game of 

chance in which the outcome depends to a material degree on an element of chance, 

notwithstanding that some skill may be a factor, whether the payoff is made 

autamatically ikom the Gaming Machine or in any other manner; but Gaming Machine 

does not include a Table Game or any device utilized in TabIe Games. Additional 

~Iarification of this definition is set forth in the attached Appendix. 

2!-3-7. "Indian Lands" means: 

A. All lands within the exterior boundaries of the Tribe's reservation and its 

confirmed grants from prior sovereigns; or 

B. Any other lands title to which is either held in trust by the United States 

for the exclusive benefit of the Tribe or a member thereof or is held by the 

Tribe or a member thereof subject to restrictions against alienation 

imposed by the United States, and over which the Tribe exercises 

jurisdiction and governmental authority, but not including any Iand within 

the boundaries of a municipality that is outside of the boundaries of the 

tribe's reservation or confinned Spanish grant, as those boundaries existed 

on October 17, 1988. 

2-3-8. "Key Employee" means that term as defmed in 25 C.F.R. Section 502.1 4. 

2-3-9. "Management Contract" means a contract within the meaning of 25 U.S.C. 88 

:?710(d)(9) and 271 1. 

2-3-IO."Management Conbactor" means any person or entity that has entered into a 

IbJanagement Contract with the Tribe or the Gaming Enterprise, 

2-3-1 1 ."Ordinance" means the gaming ordinance and any amendments thereto adopted by 

the Tribal Council of the Tribe. 

:!-3-12."'Predecessor Agreements" means the tribal-state class SII gaming compact and the 

~ccornpanying revenue sharing agreement entered into between the Tribe and the State 

~~ursuant to 1997 Laws, Ch. 190, §lj 1,2. 
2-3-13."Primary Management Official" means that term as defined in 25 C.F.R Section 

502.19, 

1-3-14."State" means the State of New Mexico. 

:!-3-15."State Gaming Representative" means that person designated by the gaming 

control board pursuant to the Gaming Control Act 160-2E-E to 60-2E-60 NMSA 19781 

who will be responsible for actions of the State set out in the Compact. The State 

Legislature may enact legislation to establish an agency of the State to perform the duties 

of the State Gaming Representative. 

2-3-16,"Tribal Gaming Agency" means the tribal governmental agency which will be 

identified to the State Gaming Representative as the agency responsible for actions of the 

Tribe set out in the Compact. It will be the single contact with the State and may be relied 

upon as such by the State. 

2-3-l7."TribeU means any Indian Tribe, Nation or Pueblo located within the State of New 

Iaexico entering into this Compact as provided for herein. 

2-3-18. "Table Games" means a Class game of chance, in which the outcome depends 

to a material degree on an element of chance, notwithstanding that some skill may be a 

factor, that is pIayed using a wheel, cards or dice, and that requires an attendant to initiate 

rhe game or to collect wagers or pay prizes. Additional clarification of this definition is 

set forth in the attached Appendix. 

2-4-1 The Tribe may conduct, only on Indian Lands, subject to all of the terms and 

conditions of this Compact, any or all foms of Class 111 Gaming. 

2-42, Subject to the foregoing, the Tribe shall establish, in its discretion, by tribal law, 

such limitations as it deems appropriate on the number and type of Class III Gaming 

conducted, the location of Class TI1 Gaming on Indian Lands, the hours and days of 

operation, and betting and pot limits, applicable to such gaming. 

2-4-3. In no event shall the Tribe's Gaming Facility consist of more than two separate 

physical buildings or structures on its Indian Lands; but provided that in addition to the 

lwo separate physical buildings or structures othennrise permitted by this Section 3(C}, 

lhe Pueblo of Laguna is authorized to conduct gaming operations at the Route 66 Casino 

Express, subject to the limitations that (1) the Route 66 Casino Express shall not be 

moved Erom its location as of December 1, 2006, except as may be made necessary by 

improvements to the highway interchange with 1-40; and (2) the gaming operations at the 

Route 66 Casino Express shall not be expanded beyond the level of gaming operations in 

existence on December 1, 2006, and the Pueblo of Laguna shall have an authorized 

representative sign a sworn affidavit that shall provide a detailed description of the 

gaming operations as of that date, including the hours and days of operation, the specific 
number of Gaming Machines, and any other gaming activities, and shall submit said 

zlfidavit to the State Gaming Representative. 

2-5 CONDUCT OF CLASS I11 GAMING. 

2-5-1. Tribal Gaming Agency. The Tribal Gaming Agency will assure that the Tribe 

will: 

A. Operate all Class 111 Gaming pursuant to this Compact, tribal law, the 

ERA and other applicable Federal law; 

B. Provide for the physical safety of patrons in any Gaming Facility; 

C. Provide for the physical safety of personnel employed by the Gaming 

Enterprise; 

D. Provide for the physical safeguarding of assets transported to and from the 

Gaming Facility and cashier's cage department; 

E. Provide for the protection of the property of the patrons and the Gaming 

Enterprise from illegal activity; 

F. Participate in licensing of primary management officials and key 

employees of a Class TIE Gaming Enterprise; 

G. Detain persons who may be involved in illegal acts for the pwpose of 

notifying law enforcement authorities; and 

H. Record and investigate any and all unusual occurrences related to Class 111 

Gaming within the Gaming Facility. 

;!-5-2. Regulations. Without affecting the generaIity of the foregoing, the Tribe shall 

adopt laws: 

A. Prohibiting participation in any Class Gaming by any person under the 

age of twenty-one (2 1 1; 

B. Prohibiting the employment of my person as a Gaming Employee who is 

under the age of twenty-one (21) or who has not been licensed in 

accordance with the applicable requirements of federal and tribal law; 

C. Requiring the Tribe to take all necessary action to impose on its gaming 

operation standads and requirements equivalent to or more stringent than 

those contained in the federal Fair Labor Standards Act of 1938, the 

federal Occupational Safety and Health Act of 1970, and any other federal 
laws generally applicable to Indian tribes relating to wages, hours of work 

and conditions of work, and the regulations issued thereunder; 

ID. Requiring that on any commction project involving any Gaming Facility 

or dated structure that is funded in whole or in part by federal fmds, all 

workers will be paid wages meeting or exceeding the standards established 

for New Mexico under the federal Davis-Bacon Act; 

E. Prohibiting the Tribe, the Gaming Enterprise and a Management 

Contractor from discriminating in the employment of persons to work for 

the gaming Enterprise or in the Gaming Facility on tlze grounds of race. 

color, national origin, gender. sexual orientation, age or handicap, 

provided, however, that nothing herein shall be interpreted to prevent the 

Tribe from granting preference in employment actions to tribal members 

or other Indians in accordance with estabIished tribal laws and policies; 

F. Providing to all employees of a gaming establishment employment 

benefits, including, at a minimum, sick leave, Iife insurance, paid annual 

leave and medical and dental insurance as we11 as providing 

unempIoyment insurance and workers' compensation insurance through 

participation in programs offering benefits at least as favorable as those 

provided by comparable state programs, and which programs shall afford 

the employees due process of law and shall include an effective means for 

an ernpIoyee to appeal an adverse determination by the insurer to an 

impartial fom such as (but not limited to) the Tribe's bibaI court, which 

appeal shalI be decided in a timely manner and in an administrative or 

judicial proceeding; and provided that to fulfill this requirement the Tribe 

may elect to participate in the State's program upon execution of an 

appropriate agreement with the State; 

G. Providing a grievance process for an employee in cases of disciplinary or 

punitive action taken against an employee that includes a process for 

appeals to persons of greater authority than the immediate supervisor of 

the employee; 

H. Permitting State Department of Environment inspectors to inspect the 

Gaming Facility' food service operations during normal Gaming Facility 

business hours to assure that standards and requirements equivalent to the 

State's Food Set-vice Sanitation Act [Chapter 25, Article 1 NMSA 19781 

are maintained; 

1. Prohibiting a gaming enterprise fiom cashing any paycheck or any type of 

government assistance check, incIuding Social Security, TANF, pension 

and other similar checks, for any patron; 
J. Prohibiting a gaming enterprise from extending credit by accepting IOUs 

or markers from its patrons; 

K. Requiring that automatic teller machines on Gaming Facility premises be 

programmed so that the machines will not accept cards issued by the State 

to TANF recipients for access to TA??F benefits; 

L. Providing that each electronic or eIectromechanica1 gaming device in use 

at the Gaming Facility must pay out a mathematically demonstrable 

percentage of dE amounts wagered, which must not be less than eighty 

percent (go%), and requiring the Gaming Enterprise to prominently post in 

visible locations within the Gaming Facility notices stating that the 

Gaming Enterprise is in compliance with this requirement, and providing a 

comprehensible explanation of the meaning of this requirement; 

M. Providing that all gaming machines on the premises of the Gaming 

Facility will be connected to a central computerized reporting and auditing 

system on the Gaming Facility premises, which shall collect on a continual 

basis the unaltered activity of each Gaming Machine In use at the Gaming 

Facility, and that the wager and payout data of each machine, 

electronically captured by the Gaming Enterprise's centraI computer, may 

be accessed and downloaded electronically by the State Gaming 

Representative by a dedicated telecommunications connection, on a "readonly" basis, upon entry of appropriate security codes; but provided that in 

no event shall the State Gaming Representative be able to alter or affect 

the operation of any Gaming Machine or other device on the premises of 

the Gaming Facility, or the data provided to the central computer, and 

provided further that the system for electronic access to the machine 

wager and payout data collected by the Gaming Enterprise's central 

computer shall be constructed and installed at the State" cost, and shall be 

designed in conjunction with Gaming Enterprise technical staff so as to 

preserve the integrity of the system and the data contained therein, to 

minimize any possibility of unauthorized access to the system or 

tampering with the data, and to minimize any access by the State Gaming 

Representative to information other than machine wager and payout data 

residing in the central reporting and auditing system; 

N. Enacting provisions that: 

1. Prohibit an employee of the Gaming Enterprise from selIing, 

serving, giving or delivering an alcoholic beverage to an 

intoxicated person or from procuring or aiding in the procurement 

of any alcoholic beverage for an intoxicated person at the Gaming 

Facility; 
2. Require Gaming Enterprise employees that dispense, sell, serve or 

deliver alcohoIic beverages to attend Alcohol Server Education 

Classes similar to those classes provided for in the New Mexico 

Liquor Control Act; and 

3. Requitle the Gaming Enterprise to purchase and maintain a Iiquor 

liability insurance policy that will provide, at a minimum, personal 

injwy coverage of one miIlion dollars ($1,000,000) per incident 

and two miIlion dollars ($2,000,000) aggregate per policy year; 

0. Prohibiting alcoholic beverages from being sold, served, delivered or 

consumed in that part of a Gaming Facility where gaming is allowed; 

P. Requiring the gaming enterprise to spend an amount that is no less than 

onequarter of one percent (.25%) of its net win as that term is defined 

herein annually to fund or support programs for the treatment and 

assistance of compulsive gamblers in New Mexico or who patronize New 

Mexico gaming facilities, and for the prevention of compuIsive gambling 

in New Mexico; and requiring that a substantial portion of such funds be 

distributed to an organization that has expertise in and provides 

counseling, intenention or other services for compuIsive gamblers in New 

Mexico, and whose services are available to a11 persons without regard to 

race or tribal membership; and provided that any information existing as a 

result of this Section, not including information that may identify or 

contain information referring to any gaming patrons, shall not be subject 

to the confidentiality provisions of Section 4(E)(4) of this Compact and 

shall be made available for inspection and publication without resfkction 

or limitation; 

Q. Governing my Management Contract regarding its CIass 111 Gaming 

activigf so that it conforms to the requirements of tribal law and the IGRA 

and the regulations issued thereunder; 

R. Prohibiting the operation of any Class Gaming for at Ieast four (4) 

consecutive hours daily, Mondays through Thursdays [except federal 

holidays); 

S. Prohibiting a Tribal Gaming Enterprise and the Tribe from providing, 

allowing, contracting to provide or arranging to provide alcoholic 

beverages for no charge or at reduced prices, or from providing, allowing, 

contracting to provide or arranging to provide food or lodging for no 

charge or at nominal prices, at a Gaming Facility or lodging facility as an 

incentive or enticement for patrons to game, except that this provision 

shall not apply to rewards received by patrons in exchange for points or 

credits accrued under any form of a players' club program; and 
T. Requiring the Tribe, the Tribal Gaming Enterprise or a Management 

Contractor to report to the secretary of state, in the same manner and at the 

same times as are required of poIitical committees under the provisions of 

the State's Campaign Reporting Act (NMSA 1978 8 8 1-19-25 through 1 - 

19-36) any and a11 contributions, whether directly or through an agenh 

representative or employee, of any moneys derived from revenue from the 

Gaming Enterprise, or of anything of value acquired with that revenue, to 

a candidate, political committee or person hoIding an ofice eIected or to 

be elected at an election covered by the State's Campaign Reporting Act 

and provided that in the event any report required to be made hereunder is 

not made within the time specified herein, or is fake or incomplete in any 

respect, the Tribe shall be liable to pay to the secretary of state a penalty in 

the amount of fifty doIlars ($50.00) for each working day after the day on 

which the report was due until the day on which the complete or true 

report is filed, up to a maximum of five thousand dollars ($5000). except 

that with respect to the report due on the Friday before an election the 

penalty shall be five hundred dollars ($500) for the first working day after 

the due date and fifty dollars ($50.00) per working day thereafter, up to a 

maximum of five thousand dollars ($5000). 

2-5-3 The Tribal Gaming Agency will provide me copies of all tribal laws and 

regulations affecting Class IT1 Gaming conducted under the provisions of this Compact to 

the State Gaming Representative within thirty (30) days after the effective date of this 

Compact, and will provide true copies of any amendments thereto or additional laws or 

regulations affecting gaming within thirty (30) days after their enactment or approval, if 

2-5-4 Audit and Financial Statements. The Tribal Gaming Agency shall require all 

€)oaks and records relating to Class III Gaming to be maintained in accordance with 

generally accepted accounting principles. All such books and records shall be retained 

fbr a period of at Ieast five (5) years from the date of creation, as required by 25 C.F.R. 8 

571.7(c). Not less than annually, the Tribal Gaming Agency shall require an audit and a 

certified fmancial statement covering dl financial activities of the gaming enterprise, 

including written verification of the accuracy of the quarterly Net Win caIculation, by an 

independent certified public accountant licensed by the State, The financial statement 

:;ha11 be prepared in accordance with generally accepted accounting principles and shall 

specify that total amount wagered in Class I11 Gaming on aII Gaming Machines at the 

Tribe's Gaming Facility for purposes of calculating "Net Win" under Section 1 I of this 

Compact using the format specified therein. The financial statement and audit report 

shall be submitted to the Tribal Gaming Agency, the State Gaming Representative, and 

the State Treasurer, within one hundred twenty (120) days of the close of the Tribe's 

jiscal year. Such documents shall be subject to the provisions of 8 4(EX4) of this 

Compact. The Tribe will maintain the following records for not less than five (5) years: 

A. Revenues, expenses, assets, 1iabiIities and equity for each Gaming 

Enterprise; 
B. Daily cash transactions for each Class ITI Gaming activity at each Gaming 

Facility, including but not limited to transactions relating to each gaming 

table bank, game dropbox and gaming room bank; 

C. Individual and statistical game records, except for card games, to reflect 

statistical drop and statistical win; for eIectronic, computer, or other 

technologically assisted games, analytic reports which show the total 

amount of cash wagered and the total amount of prizes won; 

D. Contracts, correspondence and other transaction documents relating to all 

vendors and contractors; 

E. Records of all tribal gaming enforcement activities; 

F. Audits prepared by or on behalf of the Tribe; and 

G. Personnel information on all Class TI1 Gaming employees or agents, 

including rotation sheets, hours worked, employee prtlfiIes and 

background checks. 

2,-5-5 Violations. The agents of the Tribal Gaming Agency shall have unrestricted 

access to the Gaming Facility during all hours of CIass III Gaming activity, and shdl 

have immediate and unrestricted access to any and all areas of the Gaming Facility for 

the purpose of ensuring compliance with the provisions of this Compact and the 

Ordinance. The agents shall report immediateIy to the Tribal Gaming Agency any 

suspected violation of this Compact, the Ordinance, or regulations of the Tribal Gaming 

Agency by the gaming enterprise, Management Conmctor, or any person, whether or not 

associated with CIass HI Gaming. 

2-5-6 State Gaming Representative. 

A. Upon written request by the State to the Tribe, the Tribe will provide 

information on primary management oEciaIs, key employees and 

suppliers, sufficient to allow the State to conduct its own background 

investigations, as it may deem necessary, so that it may make an 

independent determination as to the suitability of such individuals, 

consistent with the standards set forth in Section 5 of this Compact. The 

Trihe shall consider any information or recommendations provided to it by 

the State as to any such person or entity, but the Tribe shall have the final 

say with respect to the hiring or licensing of any such person or entie. 

B. Notwithstanding that the Tribe has the primary responsibility to administer 

and enforce the regulatory requirements of this Compact, the Tribal 

Gaming Agency will certify annually to the State Gaming Representative 
that the Tribe has met its obligations under this Compact in accordance 

with the instructions and form set forth in the attached Appendix. 

C. The State Gaming Representative shall have the right to inspect a Gaming 

Facility, Class III Gaming activity, including all Gaming Machines and all 

records relating to Class III Gaming of the Tribe, subject to the following 

conditions: 

1. With respect to public areas of a Gaming Facility, at any time 

without prior notice during normal Gaming Facility business 

hours; 

2. With respect to private areas of zt Gaming facility not accessible to 

the public, at any time during normal Gaming Enterprise business 

hours, immediately after notifying the Tribal Gaming Agency and 

Gaming Enterprise of his or her presence on the premises and 

presenting proper identification, and requesting access to the nonpublic areas of the Gaming Facility. The Tribe, in its sole 

discretion, may require an employee of the Gaming Enterprise or 

the Tribal Gaming Agency to accompany the State Gaming 

Representative at all times that the State Gaming Representative is 

on the premises of a Gaming Facility. but if the Tribe imposes such 

a requirement the Tribe shall require such an employee of the 

Gaming Enterprise or the Tribal Gaming Agency to be available at 

all times for such purpose; 

3. With respect to inspection and copying of dl management records 

relating to Class 111 Gaming, at any time without prior notice 

between the hours of 9:OO a.m. and 4100 p.m. Monday through 

Friday, excluding official hoIidays, The reasonable costs of 

copying will be borne by the State; and 

4. Whenever the State Gaming Representative, or his designee, enters 

the premises of the Gaming Facility for my such inspection, such 

Representative, ar designee, shall identify himself to security or 

supervisory personnel of the Gaming Enterprise. 

5. In accordance with the additional requirements set forth in the 

attached Appendix. 

The State Gaming Representative may contract with private persons, firms or 

other entities for the purpose of performing certain of his functions, but the State 

Gaming Representative will be the single contact with the Tribe and may be relied 

upon as such by the Tribe. 
D. Documents and Communications. 

Any information, documents or communications provided to the 

State Gaming Representative, his agents or contractors, or to any 

other official, agency or entity of the State (all of which are 

coI1ectively hereinafter referred to as "the State entities") by the 

Tribe, the Tribal Gaming Agency or the Gaming Enterprise, or 

prepared from information obtained from the Tribe, the Tribal 

Gaming Agency or the Gaming Enterprise, or any information. 

documents or cornmications provided to the Tribe, the Tribal 

Gaming Agency, or the Gaming Enterprise by any State entity, or 

prepared hrn information obtained from any State entity, under 

the provisions of this Compact or under the provisions of the 

Predecessor Agreements, are coddentia1. Any State entity that has 

received any infomation, documents or communications from the 

Tribe, the Tribal Gaming Agency or the Gaming Enterprise: i) may 

release or disclose the same only with the prior written consent of 

the Tribe or pursuant to a Iahl court order after timely notice of 

the proceeding has been given to the Tribe; ii) shall maintain all 

such information, documents and communications in a secure 

place accessible only to authorized officials and employees of the 

State entity that has received the same; and iii) shall adopt 

procedures and regulations to protect the confidentidity of the 

information, documents d communications provided by the 

Tribe, Tribal Gaming Agency or Gaming Enterprise. 

2. These prohibitions shall not be construed to prohibit: 

a. The Mshing of any information to a law enforcement or 

regulatory agency of the Feded Government; 

b. The State from making known the names of persons, firms, 

or corporations conducting Class III Gaming pursuant to 

the terms of this Compact, locations at which such 

activities are conducted, or the dates on which such 

activities are conducted; 

c. Publishing the terms of this Compact; 

d. Disclosing information as necessary to audit, investigate, 

prosecute or arbitrate violations of this Compact or other 

applicable laws or to defend suits against the State; and 

e. Complying with subpoenas or court orders issued by courts 

of competent jurisdiction. 
3. Notwithstanding the foregoing, the Tribe agrees that: 

a. The following documents and information may be released 

by a State entity to the public: the Tribe's gaming ordinance 

and regulations of the Tribal Gaming Agency; official 

rulings of the Tribal Gaming Agency in matters not subject 

to a confidentiality order imposed by the Agency; other 

information and documents of the Tribal Gaming Agency 

or the Gaming Enterprise ordinarily available to the public; 

quarterly Net Win figures used as the basis for computation 

of the Tribe" revenue sharing payment under the 

provisions of Section 11 of this Compact; and 

correspondence between the Tribe or a tribal entity and a 

State entity, unless such correspondence is specifically 

Iabeled "Confidential;" 

b. A State entity may reIease to the pubIic aggregate figures 

compiled by totaling comparable figures from the annual 

financial statements of all of the New Mexico gaming 

tribes; and 

c. The report of the muaE audit of the Gaming Enterprise 

that is provided by the Tribe to the State Gaming 

Representative shall be available to the public to the same 

extent that similar information that is required to be 

provided to the State by non-Indian gaming entities is 

available to the public, pursuant to the provisions of 

applicable law and the policies and regulations of the 

Gaming Control Board, at the time the request for the 

report of the annual audit is made. 

4. To the fullest extent allowed by Stare law, the Tribe shall have the 

right to inspect State records concerning dl Class a1 Gaming 

conducted by the Tribe; the Tribe sha1I have the right to copy such 

State records, with the Tribe bearing the reasonable cost of 

copying. 

5. The Tribe shall reimburse the State for the costs the State incurs in 

carrying out any functions authorized by the terms of this 

Compact. The Tribe and the State agree that to require the State to 

keep track of and account to the Tribe for all such costs would be 

unreasonably burdensome, and that a fair estimate of the State's 

costs of such activip as of January 1, 2007 is one hundred sixteen 

thousand dollars ($1 16,000) per year, and that those costs will 

increase over time. The Tribe therefore agrees to pay the State the 

sum of one hundred sixteen thousand dollars ($1 16,000) per year 
as reirnbussement of the State's costs of regulation, which amount 

shall increase by five percent (5%) as of January 1 oQ012 and as 

of January 1 of every fifth year thereafter as long as this Compact 

remains in effect, such sum to be paid in quarterly payments of 

one-fourth of the annual amount due each, in advance. The Tribe 

and the State further agree that such amount fairly reflects the 

State's costs of regulation. 

6. In the event the State believes that the Tribe is not administering 

and enforcing the regulatory requirements set forth herein, it may 

invoke the procedures set forth in Section 7 of this Compact. 

2-5-7 Compliance with Bank Secrecy Act, The Tribe shall comply with all applicable 

provisions of the Bank Secrecy Act, P.L. 9 1-508, October 26, 1970, 3 1 U.S.C. $8 53 1 t - 

53 14, and all reporting requirements of the IntemaI Revenue Service. 

2-5-8. At least annually, appropriate representatives of the Tribe shdl meet with one or 

more representatives of the Office of the Governor appointed by the Governor, one or 

more members of the House of Representatives appointed by the Speaker of the New 

Mexico House of Representatives, and one or more members of the Senate appointed by 

the President Pro Tempore of the New Mexico Senate, to discuss matters of mutual 

interest arising under the terms of this Compact and concerning Indian gaming in New 

Pvlexico. Such meeting shall be coordinated so as to involve the representatives of as 

rnany New Mexico gaming tribes as possible, and shaII be conducted in the context of the 

government-to-government relationship between the State and the Tribe. 

-6 LICENSING REQUIREMENTS. 

2-6-1 License Required. The Gaming Facility operator, but not incIuding the Tribe, 

including its principals, primary management oEFicials, and key employees, the 

lvianagernent Contractor and its principals, primary management officials, and key 

employees (if the Tribe hires a Management Contractor); any person, corporation, or 

other entity that has supplied or proposes to supply any gaming device to the Tribe or the 

Management Contractor; and any person, corporation or other entity providing gaming 

services within or without a Gaming Facility, shaI1 apply for and receive a license from 

the Tribal Gaming Agency before participating in any way in the operation or conduct of 

my Class 111 Gaming on Indian Lands. The TribaI Gaming Agency shall comply Mly 

with the requirements of this Section and of the Indian Gaming Regulatory Act, 

t:specially at 25 U.S.C. $5 27 10-27 1 1, and the regulations issued thereunder at 25 C.F.R. 

Parts 550-559, as well as the requirements of the Tribe's gaming ordinance and any 

regulations issued thereunder, in processing license applications and issuing licenses. 

2-6-2 License Application. Each applicant for a license shall file with the Tribal 

r3aming Agency a written application in the form prescribed by the TribaI Gaming 

Agency, along with the applicant's fingerprint card, current photograph and the fee 

required by the Tribal Gaming Agency. 
2-6-3 Background Investigations. Upon receipt of a completed application and 

required fee for licensing, the Tribal Gaming Agency shall conduct or cause to be 

conducted a background investigation to ensure that the applicant is qualified for 

licensing. 

2-64 Provision of Information to State Gaming Representative, Whenever the 

Tribal Gaming Agency is required by federal or tribal law or regulations to provide to the 

National Indian Gaming Commission any information, document or notice relating to the 

licensing of any key employee or primacy management offscial of the Gaming Enterprise, 

21 copy of such information, document or notice shall also be provided to the State 

Gaming Representative. The State Gaming Representative shaIl be entitled to the same 

right to request additional information concerning an applicant licensee, to comment on 

the proposed licensing of any applicant licensee, and to supply the Tribal Gaming 

Agency with additional information concerning any applicant licensee, as is; enjoyed by 

the Commission. 

2-7 PROVIDERS OF CLASS II1 GAMING EQUIPMENT OR DEVICES OR 

SUPPLIES. 

2-7-1 Within thirty (30) days after the effective date of this Compact, if it has not 

already done so, the Tribal Gaming Agency will adopt standards for any and dl Glass I11 

Gaming equipment, devices or supplies to be used in any Gaming Facility, which 

standards shall be at least as strict as the comparable standards applicable to Class III 

Gaming equipment, devices or supplies within the State of Nevada. Any and all Class 111 

Gaming equipment, devices or supplies used by the Tribe shall meet or exceed the 

standards thereby adopted. 

2-7-2 Prior to entering into any fratuce lease or purchase ageement for Class I11 Crzuning 

equipment, devices or supplies, the Tribe shall obtain suficient information and 

identification from the proposed seller or lessor and all persons holding any direct or 

indirect financial interest in the lessor or the lease/purchase agreement to permit the Tribe 

to Iicense those persons in accordance with applicable federal and tribal Iaw. 

2-7-3 The seIler, Iessor, manufacturer or distributor shall provide, assemble and install 

a11 Class Ill Gaming equipment, devices or supplies in a manner approved and licensed 

by the Tribe. 

2-8 DISPUTE RESOLUTION. 

2-8-1 In the event either party believes that the other party has failed to comply with or 

has othenvise breached any provision of this Compact, such party may invoke the 

fbllowing procedure: 
A. The party asserting noncompliance shalI serve written notice on the other 

party. The notice shall identify the specific Compact provision believed to 

have been violated and shall specify the factual and legal basis for the 

allegation of noncompliance. The notice shall specifically identify the 

date, time and nature of the alleged noncompliance. 

B. In the event an allegation by the complaining party is not resolved to the 

satisfaction of such party within twenty (20) days after senice of the 

notice set forth in Paragraph A(1) of this section, the complaining party 

may serve upon the other party a notice to cease conduct of the particular 

game(s) or activities alleged by the complaining party to be in 

noncompliance. Upon receipt of such notice, the responding party may 

elect to stop the garne(s) or activities specified in the notice or invoke 

arbitration and continue the game(s) or activities pending the results of 

arbitration. The responding party shall act upon one of the foregoing 

options within tea (10) days of receipt of notice from the complaining 

party, unless the parties agree to a longer period. but if the responding 

party takes neither action within such period the complaining party may 

invoke arbitration by written notice to the responding party within ten (1 0) 

days of the end of such period. 

The arbitrators shall be attorneys who are licensed members in good 

standing of the State Bar of New Mexico or of the bar of another state, 

The State will select one arbitrator, the Tribe a second arbitrator, and the 

two so chosen shall select a third arbitrator. Pf the third arbitrator is not 

chosen in this manner within ten (10) days after the second arbitrator is 

selected, the third arbitrator will be chosen by the American Arbitration 

Association. The arbitrators thereby selected shall permit the parties to 

engage in reasonable discovery, and shall establish other procedures to 

ensure a MI, fair and expeditious hearing on the matters at issue. The 

arbitrators shall determine, after hearing horn each party, whether the 

arbitration proceeding or any portions thereof shall be closed to the public, 

but in the absence of such determination the proceedings shall be open to 

the public. The arbitrators shall make determinations as to each issue 

presented by the parties, but the arbitrators shall have no authority to 

determine any question as to the validity or effectiveness of this Compact 

or of any provision hereof. 

D. All parties shall bear their own costs of arbitration and attorneys' fees. 

E. The results of arbitration shall be frnal and binding, and shall be 

enforceable by an action for injunctive or mandatory injunctive relief 

against the State and the Tribe in any court of competent jurisdiction. For 

purposes of any such action, the State and the Tribe acknowIedge that any 

action or failure to act on the part of any agent or employee of the State or 

the Tribe, contrary to a decision of the arbitrators in an arbitxation 
proceeding conducted under the provisions of this section, occurring after 

such decision, shall be wholly unauthorized and ultra vires acts, not 

protected by the sovereign immunity of the State or the Tribe. 

2-8-2 Nothing in Section 2-7-1 [Subsection 7(A)] shall be constnred to waive, limit or 

restrict any remedy that is otherwise available to either party to enforce or resolve 

clisputes concerning the pr~visions of this Compact. Nothing in this Section shall be 

deemed a waiver of the Tribe's sovereign immunity. Nothing in this Section shall be 

deemed a waiver of the State's sovereign immunity. 

2-9 PROTECTION OF VISITORS. 

2-9-1 Pelicy Concerning Protection of Visitors. The safety and protection of visitors 

to a Gaming FaciIity is a priority of the Tribe, and it is the purpose of this Section to 

assure that any such persons who suffer bodily injury or property damage proximately 

caused by the conduct of the Gaming Enterprise have an effective remedy for obtaining 

fair and just compensation, To that end. in this Section, and subject to its terms, the Tribe 

agrees to carry insurance that covers such injury or loss, agrees to a limited waiver of its 

immunity from suit, and agrees to proceed either in binding arbitration proceedings or in 

EL court of competent jurisdiction, at the visitor's election, with respect to claims for 

bodily injury or property damage proximately caused by the conduct of the Gaming 

Enterprise. For purposes of this Seetion, any such claim may be brought in state district 

court, including claims arising on tribal land, unless it is finally determined by a state or 

federal court that IGRA does not permit the shifting of jurisdiction over visitors' personal 

injury suits to state cow. 

2-9-2 Insurance Coverage for Claims Required. The Gaming Enterprise shall 

maintain in effect policies of 1iabiIity insurance insuring the Tribe, its agents and 

employees against claims, demands or liability for bodily injury and property damages by 

a visitor arising from an occurrence described in Paragraph A of this Section. The 

policies shall provide bodily injury and property damage coverage in nn amount of at 

least ten million doIIars (%10,000,000) per occurrence and ten million dollars 

($10,000,000) annual aggregate. The Tribe shall provide the State Gaming 

liepresentative annually a certificate of insurance showing that the Trjbe, its agents and 

employees are insured to the required extent and in the circumstances described in this 

Section. 

2-9-3 Limitation on Time to Bring Claim. Claims brought pursuant to the provisions 

of this section must be commenced by filing an action in court or a demnnd for arbitration 

within the years of the date the claim accrues. 

2-9-4 Specific Waiver of Immunity and Choice of Law. The Tribe, by entering into 

this Compact and agreeing ta the provisions of this section, waives its defense of 

sovereign immunity in connection with any claims for compensatory damages for bodily 

injury or property damage up to the amount of ten million dollars ($10,000,000) per 

occurrence asserted as provided in this section. This is a limited waiver and does not 
waive the Tribe's immunity from suit for any other purpose. Tbe Tribe shall ensure that a 

policy of insurance that it acquires to fulfill the requirements of this section shall include 

a provision under which the insurer agrees not to assert the defense of soverejgn 

immunity on behalf of the insured, up to the limits of liability set forth in this Paragraph. 

The Tribe agrees that in any claim brought under the provisions of this Section, New 

Rdexico law shall govern the substantive rights of the claimant, and shall be applied, as 

applicable, by the form in which the claim is heard, except that the tribal court may but 

shall not be required to apply New Mexico law to a claim brought by a member of the 

Tribe. 

2-9-5 Election by Visitor. A visitor having a claim described in this section may pursue 

that claim in my court of competent jurisdiction, or in binding atbitration. The visitor 

shall make a written eIection that is final and binding upon the visitor. 

2-9-6 Arbitration. Arbitration pursuant to an election by a visitor as provided in 

Subsection E of this section shall be conducted as follows: 

A. The visitor shall submit a written demand for arbitration to the Gaming 

Enterprise, by certified mail, return receipt requested; 

B. The visitor and the Gming Enterprise shall each designate an arbitrator 

wiihh thirty (30) days of receipt of the demand, and the two arbitrators 

shaII select a third arbitrator, but in the event the two arbitrators cannot 

agree on the selection of the third arbitrator within thirty (30) days of their 

appointment, they shall apply to the American Arbimtion Association to 

appoint the third arbitrator; 

C. The arbitration panel shall permit the parties to engage in reasonable 

discovery, and shall establish other procedures to ensure a fill, fair and 

expeditious heating on the claim; and 

D. The award of the arbitration pane1 shall be final and binding, and may be 

enforced in a court of competent jurisdiction. 

2-9-7 Increase ia Liability Limits. As of the fifth anniversary of this Compact, and at 

five-year intervals thereafter, the liability insurance coverage requirements set forth in 

Paragraph B of this Section, and the limit on the Tribe's waiver of sovereign immunity set 

f~rth, in Paragraph D of this Section, shall be increased by a percentage equd to the 

~~ercentage increase in the CPI-U published by the Bureau of Labor Statistics of the 

lJnited States Department of Labor, for the same period, rounded to the nearest one 

hundred thousand dollars (S 1 00,000). 

2-9-8 Public Health and Safety. The Tribe shall establish for its Gaming Facility 

health, safety and construction standards that are at least as stringent as the current 

editions of the National EIeGtrical Code, the Uniform Building Code, the Uniform 

RAechanical Code, the Uniform Fire Code and the Uniform Plumbing Code, and any and 
all1 comtnrction and maintenance of the Gaming Facility shall comply with such 

standards. Inspections shall be conducted with respect to these standards at least annually. 

If the State Gaming Representative requests sufficiently in advance of an annual 

inspection, the State Gaming Representative may be present during such inspection. The 

Tribe agrees to correct any deficiencies noted in such inspections within a time agreed 

upon between the State and Tribe. The Tribal Gaming Agency will provide copies of 

such inspection reports to the State Gaming Representative, if requested to do so in 

writing. 

1k10 CONDITIONS FOR EXJ3CZTTION; EFFECTIVE DATE. 

2:-10-1 The parties acknowledge that they have been engaged in litigation, captioned 

Stare of ,?Jew Mexico v. Jicarilla Apache Tribe, et al., No. 00-085 1 @.N.M.) (the 

"Lawsuit"), that was initiated by the State in United States District Court on June 13, 

2000, in which the State seeks an injunction against the Tribe's conduct of Class 111 

gaming under the Predecessor Agreements unless the Tribe pays the State the fuII amount 

that the State claims it is owed under the revenue sharing provision of the Predecessor 

Agreements. The Tribe disputes the validity of such provision of the Predecessor 

Agreements, but the parties have agreed to settle the dispute addressed in the Lawsuit. 

and have agreed to enter into this new Compact. 

2-10-2 This Compact may not be executed by the Governor ofthe State unIess and until 

it has been executed by the appropriate representative of the Tribe, and until the State 

Attorney General has certified to the Governor in writing that the Tribe and the State 

have negotiated a complete settIement of the issues in dispute in the Lawsuit (except that 

such settlement shall be contingent upon this Compact going into effect under the 

provisions of IGRA), and that the Tribe has either paid in full the amount agreed to by the 

terms of the settlement, into the registry of the federal court, or has entered into a 

binding and fully enforceable agreement for the payment of such amount that is 

acceptable to the Attorney General. Upon receiving such certification, the Governor shall 

execute the Compact and forward it to the Secretary of the Interior for approval. Upon 

the Secretary's affirmative approval of this Compact, as set forth in Paragraph C of this 

Section, such sum, plus interest, shall be immediately paid into the State General Fund. 

In the event the Secretary fails to firmatively approve this Compact, such sum, plus 

interest, shall be immediately repaid to the Tribe. 

2-10-3 This Compact shall take effect upon publication of notice in the Federal Register 

crf its approval by the Secretary of the Interior, or of the Secretary" failure to act on it 

within 45 days from the date on which it was submitted to him; provided, however, that 

notwithstanding its taking effect, the parties expressly agree that the provisions of this 

Compact shall remain suspended, and shall confer no rights or obligations on either party, 

and that the terns and provisions of the Predecessor Agreements shall remain fully in 

force and effect, subject to the Tribe's and the State's claims in the Lawsuit, unIess and 

until the Secretary shall have affirmatively approved this Compact, pursuant to 25 U.S.C. 

$i 271 O(d)(g)(A). 
2-10-4 Upon the publication of notice of the Secretary's &affirmative approval of this 

Compact in the Federal Register, the Predecessor Agreements shall be and become null 

and void, and of no hrther effect, and any and all actions as between the Tribe and the 

S'tate arising out of the Predecessor Agreements, including dispute resolution 

proceedings, shaIl thereafter be dismissed with prejudice with no relief to either party, 

and the terms and provisions of this Compact shalI go into full force and effect, fully 

supplanting and replacing the Predecessor Agreements. 

2-11 CRIMINAL JCTRISDICTION. 

2-11-1 The Tribe and the State acknowledge that under the provisions of 5 23 of the 

IORA, especially that portion codified at 18 U.S.C. 5 1 E 66($), jurisdiction to prosecute 

violations of State gambling laws made applicable by that section to Indian country is 

vested exclusively within the United States, unless the Tribe and the State agree in a 

compact entered into pursuant to the IGRA to transfer such jurisdiction to the State. 

2-11-2 The Tribe and the State hereby agree that, in the event of any violation of any 

Sitate gambling law on Indian Lands or any other crime against the Gaming Enterprise or 

any employee thereof or that occurs on the premises of the Tribe's Gaming Facility, that 

is committed by any person who is not a member of the Tribe, the State shall have and 

may exercise jurisdiction, concurrent with that of the United States, to prosecute such 

person, under its laws and in its courts. 

2:-11-3 Immediately upon becoming aware of any such suspected crime by a nonmember 

of the Tribe the Gaming Enterprise or the Tribal Gaming Agency shalI notify the state 

attorney general and the district attorney for the district in which the aIleged crime 

occurred, supplying all particulars availabIe to the tribal entity at the time. The Tribe 

agrees that its law enforcement and gaming agencies shall perform such additional 

investigation or take such other steps in furtherance of the investigation and prosecution 

of the violation as the district attorney may reasonabIy request, and otherwise cooperate 

firlly with the district attorney and any state law enforcement agencies with respect to the 

matter, but once notice of a suspected violation has been given to the district attorney, the 

matter shall be deemed to be under the jurisdiction of the State; provided, however, that 

in the event of emergency circumstances involving a possible violation, the Tribe and its 

constituent agencies shdl have the discretion to act as they see fit, and to call upon such 

other agencies or entities a they deem reasonable or necessary, in order to protect against 

srny immediate threat to lives or property. The State may, in its discretion, refer the 

matter to federal authorities, but it shall notify the Tribal Gaming Agency upon doing so. 

2-11-4 The State agrees that no less frequently than annually it will provide the Tribal 

Gaming Agency with a written report of the status and disposition of each matter referred 

to it under the provisions of this section since the last report or that was still pending at 

the time of the last report. In the event the district attorney to whom a matter is referred 

under the provisions of this section decides not to prosecute such matter, the district 

attorney shall promptly notify the Tribal Gaming Agency of such decision in writing. The 
Tribal Gaming Agency may in that event ask the attorney general of the state to pursue 

the matter. 

2:-11-5 The district attorney for a district in which the Tribe conducts Class JII Gaming 

may decline to accept referrals of cases under the provisions of this section unless and 

until the Tribe has entered into a Memorandum of Understanding with the ofice of the 

clistrict attorney to which Memorandum of Understanding the United States Attorney for 

the District of New Mexico may also be a party addressing such matters as the specific 

procedures by which cases are to be referred, participation of the Tribal Gaming Agency 

and tribal law enforcement personnel in the investigation and prosecution of any such 

case, payments by the Tribe to the office of the district attorney to defray the costs of 

handling cases referred under the provisions of this section, and dated matters. 

21-12 REVENUE SHARING. 

2:-12-1 Consideration. The Tribe shall pay to the State a portion of its Class TI1 Gaming 

revenues identified in and under procedures of this Section, in return for which the State 

agrees that the Tribe has the exclusive right within the State to conduct all types of Class 

111 Gaming described in this Compact, with the sole exception of the use of Gaming 

bdachines, which the State may permit on a limited basis for racetracks and for veterans' . - 

and fraternal organizations as such organizations are described in 1997 Laws ch. 190, 

{15(FF). 

2-12-2 Revenue to State. The parties agree that, after the effective date hereof, the Tribe 

shall make the quarterly payments provided for in Paragraph C of this Section, Each 

payment shall be made to the State Treasurer for deposit into the General Fund of the 

Wte. 

2!-12-3 Calculation of Payment Amounts. 

A. As used in this Compact, 'Wet Win'keans the total amount wagered in 

Class In Gaming at a Gaming Facility, on a11 Gaming Machines less: 

The amount paid out in prizes, including the cost to the Tribe of 

noncash prizes, won on Gaming Machines. The phrase "won an 

Gaming Machines" means the patron has made a monetary wager, 

and as a result of that wager, has won a prize of any value. Any 

rewards, awards or prizes, in any form, received by or awarded to a 

patron under any form of a player's club program (however 

denominated) or as a resuIt of patron-related activities, are not 

deductible. The value of any complimentaries given to patrons, in 

any form, are not deductible; 

2. The mount paid to the State by the Tribe under the provisions of 

Section 4@)(6) of this Compact; and 
* The sum of two hundred seventy-five thousand dollars ($275,000) 

per year as an amount representing tribal regulatory costs, which 

amount shall increase by three percent (3%) each year beginning 

on the first day of January occurring after the Compact has been in 

effect for at least tweIve months. 

B. The Tribe shall pay the State a percentage of its Net Win determined in 

accordance with this chart: 

Payments due pursuant to these terns shall be paid quarterly, no later than 

twenty-five (25) days after the Iast day af each calendar quarter, and shall 

be based upon the Net Win during the preceding quarter. The Tribe shaII 

ascertain the applicable revenue sharing percentage in Section ll(C)(2) 

above and shall base its quarterly payments on the following factors: (1) 

the prior year's total 'Wet Win" amount and the applicable revenue 

sharing percentage; and (2) its best good faith estimate of its annual 'Wet 

Win" for the July 1 - June 30 period. In the event its total 'Wet Win" for 

any wch period varies from such estimate, such that the amount due the 

State for the fmt three quarters as set forth in Section 11 (C)(2), above. is 

different from the amount paid, the payment due for the fourth quacter 

shall include any additional amounts due for the first three quarters, or 

shall reflect a credit for any overpayment. Any payment or any portion 

thereof that is not made within ten (10) days of the due date shall accrue 

interest at the rate of ten percent (10%) per mum, from the original due 

date until paid. The Tribe shall accompany any payment to the State with 

a detailed breakdown of the particular obligation to which such payment 

applies, and the basis for the calculation of such payment on a form 

provided by the State Gaming Representative. 

Annual Net Win 

(July 1 - June 30) 

Under $15 MiIIion 

$15 - $50 million 

More than $50 

million 

D. For purposes of calculating "Net Win" the Tribe shall combine the total 

amount wagered on all Class IJI Gaming Machines at all of its gaming 

locations on its Indian Lands, 

pppp 

2007 -2015 

3% of the first $5 

milIion, and 9.25% 

on the rest 

9.25% 

9.75% 

2015 - 2030 

3% of the first $5 

million, and 9.50% 

on the rest 

9.50% 

10.00% 

2030 - 2037 

3% of the fmt $5 

million, and 10.25% 

on the rest 

10.25% 

10.75% 
2:-12-4 Limitations. 

A. The Tribe's obligation to make the payments provided for in Paragraphs B 

and C of this Section shall apply and continue only so long as this 

Compact remains in effect; and provided that obIigation shall terminate 

altogether in the event the Stater 

1. Passes, amends, or repeals any law, or takes any other action, that 

would directly or indirectly attempt to restrict, or has the effect of 

restricting, the scope or extent of Indian gaming; 

2. Licenses, pernits or otherwise allows any person or entity other 

than six licensed horse racetracks and veterans and fraternal 

organizations as described in 1997 Laws, Ch. 190, #5(FF) to 

operate Gaming Machines; 

3. Permits any Iicensed horse racetrack to operate a lzrger number of 

Gaming Machines, or to operate any Gaming Machines for longer 

hours, than is set forth in subsection (D)(2)(e), below, or to operate 

any Gaming Machines outside of its licensed premises, or to 

operate any Table Game; 

4. Licenses, permits or otherwise allows my non-Indian person or 

entity to engage in any orher form of Class III gaming other than a 

state-sponsored tottery, pari-mutuel berting on horse racing and 

bicycle racing, operation of Gaming Machines, and limited 

hdraising by non-profit organizations. as set forth in subsection 

(DX2), below. 

B. The parties agree that the State's allowance of the following forms of 

CIass 111 Gaming. subject to the limitations expressly set forth herein, shall 

not be considered an expansion of nentribal Class IIl gaming for purposes 

of this agreement, and shall have no effect on the Tribe's obligation to 

make the payments provided for in Paragraphs B and C of this Section: 

I, The operation of a State lottery; 

2. The operation of Gaming Machines by any frnternd or veterans 

organization as described in 1997 Laws Ch. 190, 5 5(FF) but only 

far the benefit of such organization's members; 

3. Limited fundraising activities conducted by nonprofit tax exempt 

organizations; 
4. The conduct by Iicensed horse racetracks and bicycle tracks of 

pari-mutuel betting on races at such tracks, and on simuhcast Faces 

at other tracks elsewhere in the country; and 

5. The operation by a licensed horse racetrack of Gaming Machines 

on days on which live or simulcast horse racing occurs, provided 

that such operation is limited to no more than eighteen (18) hours 

in any one day, and to no more than a total of one hundred twelve 

(1 12) hours in any calendar week, and provided further that no 

licensed horse racetrack shall have most than six hundred (600) 

licensed Gaming Machines, nor be authorized to operate more than 

seven hundred and fifty (750) Gaming Machines. 

C. The limitations set forth in this Section shall not prohibit a horse racetrack 

from relocating, selling, transferring or assigning its operations in 

accordance with applicable procedures and authorizations set forth in New 

Mexico law. 

D. Prior to granting the approval of an application for a racins license for a 

horse racetrack other than the five horse racetracks holding such licenses 

as of January 1,2007 or the approval of an application by a licensed horse 

racetrack or move its racing and gaming facilities to a new location after 

January 1,2007, the State Racing Commission shall adopt, put into effect, 

and shall have substantially complied with regulations requiring the 

Commission to solicit and consider the Tribe's views on the appIication. 

1,-12-5 Third-Party Beneficiaries. 

The provisions of this Section are not intended to create any third-party beneficiaries and 

are entered into soIely for the benefit of the Tribe and the State. 

2-13 DURATION; TENMINATION FOR NON-PAYMENT. 

;!-13-1 This Compact shall have a term commencing on the date on which it goes into 

full force and effect as provided in Section 9, and ending at midnight on June 30,2037. 

2-13-2. Notwithstanding the provisions of Paragraph A of this Section, if the Tribe fails 

to comply with any of its payment obligations to the State under Sections 4(E)(5), 9(B) or 

1 E of this Compact, and persists in such failwe for a period of thirty (30) days after 

receipt, by certified mail, of a Notice of Noncompliance sent by the State Gaming 

Representative, which Notice shall specify the amount due and the provision of the 

Compact under which such payment is required, this Compact, and the conduct of Class 

111 Gaming by the Tribe hereunder, shall terminate automatically as of the end of the 

thirty (30)-day period, unless within such thrrty (30)-day period the Tribe shalI have 

invoked arbitration on a matter of fact as provided in Section 7(A)(2) of this Compact, 

and simultaneously shall have placed into escrow, in an institution that is unaffiliated 
vvith either the Tribe or the State, a sum of money equal to the amount claimed due by the 

State with insmctions to the escrow agent specifying that such sum shall not be released 

except by direction of the arbitration panel or pursuant to a settlement agreement of the 

rlarties. The Tribe shaIl give written notice to the State of the deposit of the amount in 

dispute into escrow, and of the escrow instructions. At the conclusion of the arbitration 

proceeding, or, in the event the parties reach a settlement, immediately after execution of 

the settlement agreement, the escrow agent shall disburse the sum deposited by the Tribe 

in accordance with the settlement agreement or arbitration award, as applicable. In the 

event the Tribe invokes arbitration, this Compact and the Tribe's right to conduct Class 

III gaming shall terminate automatically at the end of the thirtieth (30th) day after the 

entry of a final, nonappealable decision by the arbitrators or by a court having jutisdiction 

of the dispute, unless the full amount determined by the arbimtors or by such court to be 

due the State, if any, has been paid by such date. The Tribe shall not be entitled to avoid 

any preexisting contractual obligations accruing to third parties under this Compact 

soZeIy by virtue of the termination of the Compact. 

2-14 NOTICE TO PARTIES. 

2:-14-1 Unless othenvise indicated, all notices, payments, requests, reports, information or 

clernand that any party hereto may desire or may be required to give to the other party 

hereto, shall be in writing and shall be personally delivered or sent by first-class mail sent 

to the other party at the address provided in writing by the other party. Every notice. 

payment, request, report, information or demand so given shall be deemed effective upon 

receipt or, if mailed, upon receipt or the expiration of the third day following the day of 

mailing, whichever occurs first, except that any notice of change of address shall be 

effective only upon receipt by the pasty to whom said notice is addressed. 

21-15 ENTIRE AGREEMENT. 

2)-15-1 This Compact is the entire agreement between the parties and supersedes all prior 

agreements, whether written or oral, with respect to the subject matter hereof, Neither 

this Compact nor any provision herein may be changed, waived, discharged or terminated 

oraIIy, but only by an instrument, in writing, signed by the Tribe and the State and 

approved by the Secretary of the Interior. This Compact shaII not be amended without the 

express approval of the Tribe, the Governor of the State and the State Legislature, as 

provided in the Compact Negotiation Act. 

2-16 F'ILING OF COMPACT WITH STATE RJZCORDS CENTER 

2-16-1 Upon the effective date of this Compact, a copy shall be filed by the Governor 

with the New Mexico Records Center. Any subsequent amendment or modification of 

this Compact shall be filed with the New Mexico Records Center. 
2-1 7 COUNTERPARTS, 

2-17-1 This Compact may be executed by the parties in any number of separate 

counterparts with the same effect as if the signatures were upon the same instrument. A11 

such counterparts shall together constitute one and the same document. 

2-13 SEVERABILITY. 

2-18-1 Should any provision of this Compact be found to be invalid or unenforceable by 

any court, such determination shalI have no effect upon the validity or enforceability of 

any other portion of this Compact, and all such other portions shall continue in full force 

and effect, except that this provision shall not apply to Sections 2-4, 2-5, 2-6,2-9 and 2- 

I I hereof, or to any portions thereof, which the parties agree are nonseverable. 

E:\CLIENTS\Sm Juan Gaming Comm\Govcming document^ Review\lI-26-08-Ordinnnce-Clem.doc