F. Any gaming which occurs within the State of New Mexico
pursuant to Section 30-19-1, et seg., N.M.S.A.
1978,including but not limited to, those activities occurring
in events called “Las Vegas” nights and “Casino” nights, for
any purpose by any person, organization or entity (and
such gaming is not otherwise prohibited on Indian lands by
a Federal statute dealing with a specific gaming activity);
and

G. Gaming permitted by the State of New Mexico, for any
purpose by any ‘person, organization or entity, not
otherwise prohibited on Indian lands by a Federal statute
dealing with a specific gamirig activity, which are played by
utilizing video facsimiles. A video facsimile is any
electronic or electromechanical facsimile of any game of
chance, and may be freestanding and played by one person
at a given time.

H. Notwithstanding the generality of the foregoing, Class III
gaming shall be subject to and delimited by the terms and
conditions of any Compact (including in futuro compacts),
as that term is used in the Indian Gaming Regulatory Act,
between the State of New Mexico and the Tribe, or, in the
absence of such Compact, by procedures prescribed by the
Secretary pursuant to the Indian Gaming Regulatory Act.

SECTION 2, OWNERSHIP OF GAMING.

| “The Tribe shall have the éole proprietary interest in and responsibility for the

conduct of any gaming operation authorized by this Ordinance. i
PEPE Py ae CAREER?

SECTION 3. USE OF GAMING REVENUE.

A, Net revenue from gaming shall be used only for the following purposes:
to fund tribal government operations and programs; provide for the general welfare of
the Tribe and its members; promote tribal economic development; donate to
charitable organizations; or help fund operations of local government agencies.

B. If the Tribe elects to make per capita payments to tribal members, it
shall authorize such payments only upon approval of a plan submitted to the
Secretary of the Interior under 25 U.S.C. §2710(b)(8).


n. Fingerprints consistent with the procedures adopted by the
Tribe according to 25 C.F.R. §522.2(h).

2. The Tribe shall conduct an investigation sufficient to make a
determination under subsection D below. In conducting a background investigation,
the Tribe or its agency shall promise to keep confidential the identity of each person
interviewed in the course of the investigation.

D. Eligibility Determination.

The Tribe shall review a person’s prior activities, criminal record, if any,
and reputation, habits and associations to make a finding concerning the eligibility of
a key employee or primary management official for employment in the gaming
operation. If the Tribe determines that employment of the person 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, a tribal gaming operation shall not employ that person in a key
employee or primary management official position.

}
E. cedures for Forwardin: lications and Reports for Key Employee:

and Primary Management Officials to the National Indian Gaming Commission.

* When a key employee or primary management official begins
work at a gaming operation authorized by this ordinance, the Tribe shall forward to
the National Indian Gaming Commission a completed application for employment
and conduct the background investigation and make the determination referred to in
subsection D of this section. ~~ aT a

ii - j

2: The Tribe shall forward the report referred to in subsection F of
this section to the National Indian Gaming Commission within 60 days after an
employee bégins work’ or within 60 days of the approval of this ordinance by the
Chairman of the National Indian Gaming Commission...» ; / ‘

+f j
Peure tee be |

} 3. The gaming operation shall not employ as a key employee or
primary management official a person who does not have a license after 90 days.

Fr Report to National Indian Gaming Commission.

1. Pursuant to the procedures set out; in subsection E of this
section, the Tribe shall prepare and forward to the National Indian Gaming
Commission an investigative report on each background investigation. An
investigative report shall include all of the following:

a. Steps taken in conducting a background investigation;

b. Results obtained;

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b. If not otherwise included, any other 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 in the gaming operation.

2. “Primary management official” means

a. The person having management responsibility for a
management contract;

b. Any person who ‘has authority:

(1) _ To hire and fire employees; or
(2) To set up working policy for the gaming operation; or

C. The chief financial officer or other person who has financial
management responsibility.

B. Application Forms.

1. The following notice shall be placed on the application form for a
key employee or a primary management official before that form is filled out by an

applicant.

In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on

Ahis form is: authorized by 25 U.S.C. 2701, et seq. The
/ purpose of the requested information is to determine the
i eligibility; ofindividuals to be employed ;in a gaming
operation. ' 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
regulatory agencies when relevant to civil, criminal, or
regulatory investigations or prosecutions or when pursuant
to a requirement b a tribe or the National Indian Gaming
Commission in connection wit the hiring or firing of an
employee, the issuance or revocation of a gaming 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 a tribe’s
being unable to hire you in a primary management official
or key employee position.

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SECTION 4. AUDIT.

A. The Tribe shall cause to be conducted annually an independent audit of
gaming operations and shall submit the resulting audit reports to the National Indian
Gaming Commission.

B. All gaming related contracts that result in the purchase of supplies,
services, or concessions in excess of $25,000.00 annually, except contracts for
professional legal and accounting services, shall be specifically included within the
scope of the audit that is described in subsection A. above.

SECTION 5. PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH
AND SAFETY.

Class III gaming facilities shall be constructed, maintained, and operated in a
manner that adequately protects the environment and the public health and safety.

SECTION 6. _~ LICENSES FOR KEY EMPLOYEES AND PRIMARY
MANAGEMENT OFFICIALS. z* :

‘

The Tribe shall ensure that the policies and procedures set out in this section
are implemented with respect to key employees and primary management officials
employed at any class III gaming enterprise operated on Indian lands:

Pe ' .
A. Definitions..-~* Se erat é

For the purposes of this section, the following definitions apply:

Pye AST OS Pee, CSS aS \
{ /1—~ “Key employee” fndanis : N
| TEEPE PSE GS RPP EE

a, | A person who performs one or more of the following
functions:

\ (1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8)  Croupier;

(9) | Approver of credit; or

(10) Custodian of gambling devices including persons
with access to cash and accounting records within
such devices.

-3-


The names and current addresses of at least three
personal references, including one personal reference who
was acquainted with the applicant during each period of
residence listed under paragraph (1)(b) of this section;

Current business and residence telephone numbers;

A description of any existing and previous business
relationships with Indian tribes, including ownership
interests in those businesses;

A description of any existing and previous business
* relationships with the gaming industry generally,including

ownership interests in those businesses;

i

The name and address of any licensing or regulatory
~ agency with which the person has filed an application for a

license or permit related to gaming, whether or not such

license or permit was granted;’

For each felony for which there is an ongoing prosecution or
a conviction, the charge, the name and address of the court
involved, and the date and disposition, if any;

For each misdemeanor conviction of ongoing misdemeanor
prosecution (excluding minor traffic violations), within 10
years of the date of the application, the name and address
of thé court involved and the date and disposition;

Be each criminal charge. (excluding minor. traffic
charges), whether or not there is a conviction, if such
, oriminal..charge is within 10,years of the date of the
application and .is ‘not’ otherwise listed pursuant to
paragraph (1)(h) or (1)(i) of this section, the crimina
charge, the name and address of the court involved, and the
date and disposition; i

The name and address of any licensing or regulatory
agency with which the person has filed an application for
an occupational license or permit, whether or not such
license or permit was granted;

A current photograph;

Any other information the Tribe deems relevant; and


| NATIONAL

_ INDIAN

__ GAMING

_ COMMISSION SER 1 5 1QQ8

Joe M. Lujan, Governor
Pueblo of Sandia

Box 6008

Bernalillo, New Mexico 87004

Dear Governor Lujan:

This letter responds to your request to review and approve the
tribal gaming ordinance submitted on December 12, 1994, for the
Pueblo of Sandia (the Pueblo). This letter constitutes such
approval under the Indian Gaming Regulatory Act (IGRA).

Under the IGRA and the regulations of the National Indian Gaming
Commission (NIGC), the Chairman is directed to review ordinance:
with respect to the requirements of the IGRA and the implementi
regulations. Thus, the scope of the Chairman’s review and
approval is limited to the requirements of the IGRA and the NIG
regulations. Provisions other than those required under the IG
or the NIGC regulations that may be included in a tribal
ordinance are not subject to review and approval. Also, such
approval does not constitute approval of specific games.

—$5

With the Chairman’s approval of the Pueblo’s gaming ordinance,
the Pueblo is now required to conduct background investigations
on its key employees and primary management officials. The NIGC
expects to receive a completed application for each key employee
and primary management official pursuant to 25 C.F.R. § 556.5(a)
and an investigative report on each background investigation
before issuing a license to a key employee or primary management
official pursuant to 25 C.F.R. § 556.5(b).

Thank you for submitting the ordinance of the Pueblo of Sandia
for review and approval. The NIGC staff and I look forward to
working with you and the Pueblo in implementing the IGRA.

Sincerely yours,

Haro A. Monteau
Chairman

Wa50 M STREET NW_SUITE 250 WASHINGTON. D0 20036 TEL _202°632:7003 FAX 202'632°7066



H. License Suspension.

1. If, after the issuance of a gaming license, the Tribe receives from
the National Indian Gaming Commission reliable information indicating that a key
employee or a primary management official is not eligible for employment under
subsection D. above, the Tribe shall suspend such license and shall notify in writing
the licensee of the suspension and the proposed revocation.

2. The Tribe shall notify the licensee of a time and place for a
hearing on the proposed revocation of a license.

3. After a revocation hearing, the Tribe shall decide to revoke or to
reinstate a gaming license. The Tribe shall notify the National Indian Gaming

Commission of its decision. :

SECTION 7. LICENSE LOCATIONS

‘The Tribe shall ‘issue a separate license to each place, facility, or location on
Indian lands where class III gaming is conducted under this ordinance.

SECTION 8. REPEAL,

Only to the extent that they are inconsistent with this ordinance, all prior
gaming ordinances, or parts thereof, are hereby repealed.

| ‘a AN OT a a
SECTION 9. SAVING.’ “Nothing in this Ordinance, nor any section or provision
hereof, or amendment hereto, is intended to,\nor shall it-either by.construction or
application; invalidate’ or in any other way adversely affect, any other ordinance,
resolution, law or regulation:of the Pueblo of Sandia, including without limitation, the
Bingo Ordinance or the Pueblo of Sandia Class II Gaming Ordinance.

SECTION 10. SEVERABILITY. In the event that any section or provision of this
Ordinance, or any amendment to this Ordinance, is not approved or is made invalid, it

is the intent of the Pueblo of Sandia that the remaining sections and provisions of this
Ordinance shall continue in full force and effect.



c. Conclusions reached; and
d The bases for those conclusions.

2. The Tribe shall submit, with the report, a copy of the eligibility
determination made under subsection D of this section.

3. If a license is not issued to an applicant, the Tribe:
a. Shall notify the National Indian Gaming Commission; and

b. May forward copies of its eligibility determination and

~ investigative report (if any) to the National Indian Gaming

Commission for inclusion in the Indian Gaming Individuals
Records System.

4, With respect to key employees and primary management
officials, the Tribe shall retain applications for employment and reports (if any) of the
background investigations for inspection by the Chairman of the National Indian
Gaming Commission or his or her designee for no less than three (3) years from the
date of termination of employment.

a / Granting a Gaming License

1. If, within a thirty (30) day period after the National Indian
Gaming Commission receives a report, the National Indian Gaming Commission
notifies the tribe 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 for
whom the tribe has provided an application and investigative report to the National
Indian Gaming Commission, the, Tribe may issue a license to euch applicant.
va al
i 2. The Tribe-shall respond_to a request ; for additional infdrmation
from the Chairman of the National Indian. Gaming Commission concerning a key
employee or a primary management official who is the subject of a report. Such a
request shall suspend the 30-day period under paragraph G.1. of this section until the
Chairman of the National Indian Gaming Commission receives the adcitipaal

information.

3. If, within the thirty (30) day period described above, the National
Indian Gaming Commission provides the Tribe with a statement itemizing objections
to the issuance of a license to a key employee or to a primary management official for
whom the Tribe has provided an application and investigative report to the National
Indian Gaming Commission, the Tribe shall reconsider the application, taking into
account the objections itemized by the National Indian Gaming Commission. The
Tribe shall make the final decision whether to issue a license to such applicant.


The disclosure of your Social Security Number (SSN) is
voluntary. However, failure to supply a SSN may result in
errors in processing your application.

2 Existing key employees and primary management officials shall
be notified in writing that they shall either:

a. Complete a new application form at contains a Privacy
Act notice; or

b. Sign a statement that contains the Privacy Act notice and
consent to the routine uses described in that notice.

3. The following notice shall be placed on the application form fora
key employee or a primary management official before that form is filled out by an
applicant:

A false statement on any part of your application may be
grounds for not hiring you, or for firing you after you begin
work. Also, you may be punished by fine or imprisonment.

(U.S.,Code, Title 18, section 1001)

4. The Tribe shall notify in writing existing key employees and
primary a ee officials that ghey shall either:

pie Complete a new application form that contains a notice
regarding false statements; or . \

“Sign a statement that contains the notice regarding false
statements. guy py |

beh) OF ox
Cc. Background Investigations

\oL The Tribe shall request from each primary management official
and from each key employee all of the following information:

a. Full name, other names used (oral or written), social
security number(s), birth date, place of birth, citizenship,
gender, all languages (spoken or written);

b. Currently and for the previous 5 years: business and
employment positions held, ownership interests in those
businesses, business and residence addresses, and drivers
license numbers;

-Be


Joe M. Lujan
Governor

Frank M. Paisano
Lt. Governor

Lucia T. Benalli
Treasurer

Box 6008
Bernalillo, New Mexico 87004
(505) 867-3317

PUEBLO or SANDIA

PUEBLO OF SANDIA
ORDINANCE: PERMITTED GAMING

RESOLUTION NO.: 94-37

At a duly called meeting of the Tribal Council of the Pueblo of Sandia, the
following Ordinance was passed:

BE IT ORDAINED AND ENACTED as follows:

PURPOSE. The Tribal Council of the Pueblo of Sandia, hereinafter “Tribe,”
empowered to enact ordinances, hereby enacts this ordinance in order to set the
terms for class III gaming operations and other operations on tribal lands.

SECTION I: PERMITTED ACTIVITIES: SCOPE OF GAMING. The below-
described commercial gaming activities are permitted:

A All gaming authorized and permitted by the Ordinance
entitled PUEBLO OF SANDIA CLASS II GAMING
ORDINANCE, adopted and ordained on January 26, 1994;
and

B. Any gaming permitted by the State of New Mexico for any
purpose, by any person, organization or entity (and such
gaming activity not otherwise being prohibited on Indian
lands by a Federal statute dealing with a specific gaming

activity); and

Cc. Gaming not in violation of the express provisions of the
Indian Gaming Regulatory Act, 25 U.S.C. § 2701., et seq.;
and

D Class III gaming, as described and defined in 25 CFR 502.4
(25 CFR Ch. III (4-1-94 edition), as that section may be
amended from time to time; and

E. Any enterprise wherein, for a consideration, the
participants are given an opportunity to win a prize, the
award of which is determined by chance, even though
accompanied by some skill; and


Resolution
Page 2

WHEREAS, for the foregoing reasons, the Tribal Council of the Pueblo of
Sandia considers it appropriate to pass, ordain, and enact an Ordinance specifically
addressing permitted gaming activities by the Pueblo, which Ordinance shall be
referred to as the PUEBLO OF SANDIA ORDINANCE: PERMITTED GAMING.

NOW, THEREFORE, BE IT RESOLVED by the Tribal Council of the Pueblo
of Sandia that the PUEBLO OF SANDIA ORDINAN CE: PERMITTED GAMING, a
copy of which is attached hereto, be, and it hereby i is adopted, passed, enacted, and
ordained by the Poel ofSandia. |

BE IT FURTHER RESOLVED that the Grinds be, and he hereby is,
authorized and directed to.stibmit the same.to the proper authority or. authorities for
review and approval, as S may be appropriate, F

a : x

CERTIFICATION
2 The forbeting resolution was considered by the Tribal Council of the Pueblo of
Sandia at a duly called meeting and was adopted by the Council with a quorum seine

present at a meeting on the _23rd_ day | of _November 1, 1994.
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Tribal Councilinan Tribal Councilman



Joe M. Lujan
Governor

Frank M. Paisano
Lt. Governor

lucia T. Benalli
Treasurer PUEBLO of SANDIA

Box 6008
Bernalillo, New Mexico 87004
(505) 867-3317

RESOLUTION NO. 94-_38
ENACTING PUEBLO OF SANDIA ORDINANCE:
PERMITTED GAMING

At a duly called meeting of the Tribal Council of the Pueblo of Sandia, the
following Resolution was passed:

WHEREAS the Pueblo of Sandia (hereinafter sometimes called “the Pueblo”)
desires to facilitate its on-going gaming operation to provide much needed resources to
fund tribal operations and programs for the benefit of the people of the Pueblo of
Sandia and to continue the same in accordance with the Indian Gaming Regulatory
Act, 25 U.S.C. 2701, et seg. (“IGRA”), and

WHEREAS the IGRA at Section 2710 permits gaming by a tribe so long as
that tribes is“... located within a state that permits such gaming for any purpose by
any person, organization or entity (and such gaming is not otherwise specifically
prohibited on Indian lands by Federal law),” and

WHEREAS, the Pueblo is located within the State of New Mexico, which
permits virtually limitless types of gaming for some purposes by some persons,
organizations and entities, and

WHEREAS the Tribal Council of the Pueblo of Sandia has taken actions and
enacted certain ordinances, including the Pueblo of Sandia Class II Gaming Ordinance
on January 26, 1994, which authorize the conduct of Class II gaming and which also
authorize and establish procedures governing certain elements of the gaming
operation of the Pueblo, to-wit, background investigations or primary management
officials and key employees, licensing, and other regulatory matters, and

WHEREAS in order to supplement that Ordinance, the Tribal Council now
desires to declaim and reaffirm the types of gaming which are permitted under the
auspices of the Pueblo and within the boundaries of Pueblo lands, it being recognized
that the characterization primarily of Class III gaming, being necessarily broad, may
encompass Class II gaming, although it is not the Council’s intent, nor should this
Resolution be construed, to derogate the scope of Class II gaming as set out in the
Pueblo of Sandia Class II Gaming Ordinance of January 26, 1994,


CERTIFICATION

The foregoing ordinance was considered by the Tribal Council of the Pueblo of
Sandia at a duly called meeting and was adopted and enacted by the Tribal Council
with a quorum being present at such meeting on the _23"4 day of November, 1994.

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-10-