P.O. BOX 1099

SAN JUAN PUEBLO, NEW MEXICO 87566

PHONE (505) 852-4400

PUEBLO OF SAN JUAN

CLASS II GAMING ORDINANCE

BE IT ORDAINED AND ENACTED by the Tribal Council of the Pueblo of

San Juan, as follows:

PURPOSE

The Tribal Council of the Pueblo of San Juan, hereinafter Tribe, empowered

to enact ordinances, hereby enacts this ordinance in order to set the terms for class II

gaming operations on tribal lands.

GAMING AUTHORIZED

Class II gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447,

25 U.S.C. Section 2703(7)(A), IGRA) and by the regulations promulgated by the

National Indian Gaming Commission at 25 C.F.R. §502.3 (as published in the Federal

Register at 57 FR 12382-12393, April 9, 1992) is hereby authorized.

OWNERSHIP OF GAMING

The Tribe shall have the sole proprietary interest in and responsibility for the

conduct of any gaming operation authorized by this Ordinance.

USE OF GAMING REVENUE

A. Net revenue from class II gaming shall be used only for the following

purposes: to fund tribal goverument 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)(3).
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.

PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND

SAFETY

Class II gaming facilities shall be constructed, maintained, and operated in a

manner that adequately protects the environment and the public health and safety.

LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS

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 II gaming enterprise operated on Indian lands:

A. Definitions

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

1. Key employee means

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.

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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

this form is authorized by 25 U.S.C. 2701, et seq. The

purpose of the requested information is to determine the

eligibility of individuals 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 tribes

being unable to hire you in a primary management official

or key employee position.

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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 for a

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 management officials that they shall either:

a. Complete a new application form that contains a notice

regarding false statements; or

b. Sign a statement that contains the notice regarding false

statements.

C. Background Investigations

1. 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;

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c. 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;

d. Current business and residence telephone numbers;

ci. 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 an application for a

license or permit related to gaming, whether or not such

license or permit was granted;

h. 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;

i 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 the court involved and the date and disposition;

j. For each criminal charge (excluding minor traffic

charges),whether or not there is a conviction, if such

criminal 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;

k 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;

L A current photograph;

m. Any other information the Tribe deems relevant; and

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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 persons prior activities, criminal record, if any,

and reputation, habits and associations to make a fmding 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. Procedures for Forwarding Applications and Reports for Key Employees

and Primary Management Officials to the National Indian Gaming Commission

1. When a key employee or primary management official begins

wdrk 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.

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 begins work or within 60 days of the approval of this ordinance by the

Chairman of the National Indian Gaming Commission.

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.

F. 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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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 noti& 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.

G. 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 such applicant.

2. The Tribe shall respond to a request for additional information

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 additional

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.

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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 notifSr 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.

LICENSE LOCATIONS

The Tribe shall issue a separate license to each place, facility, or location on

Indian lands where class II gaming is conducted under this ordinance.

REPEAL

Only to the extent that they are inconsistent with this ordinance, all prior

gaming ordinances, or parts thereof, are hereby repealed.

CERTIFICATION

The foregoing Ordinance was considered by the San Juan Pueblo Tribal Council

at a duly called meeting and was adopted by the Council with a quorum being present

at a meeting held on the /day of June, 1994.

Si Cata, Governor

Attest:

Secretary /

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P.O. BOX 1099

SAN JUAN PUEBLO, NEW MEXICO 87566

PHONE (505) 852-4400

RESOLUTION NO. 94- 27

ADOPTING PUEBLO OF SAN JUAN

CLASS II GAMING ORDINANCE

At a duly called meeting of the Tribal Council of the Pueblo of San Juan, the

following resolution was passed:

WHEREAS the National Indian Gaming Commission has promulgated a

model ordinance for class II gaming, which it urges should serve as a model for a class

II gaming ordinance for the Pueblo of San Juan, and

WHEREAS the Tribal Council has reviewed the Pueblo of San Juan Class II

Gaming Ordinance, which is based on the model ordinance with only minimal changes,

and, after deliberation, has concluded that the Pueblo of San Juan Class II Gaming

Ordinance should be adopted by the Tribal Council,

NOW, THEREFORE, BE IT RESOLVED by the Tribal Council of the Pueblo

of San Juan that the Pueblo of San Juan Class II Gaming Ordinance, a copy of which

is attached hereto and made a part hereof, be, and hereby is, adopted by the Pueblo of

San Juan and that the same be, and hereby is, ordained and enacted by the Pueblo of

San Juan.

BE IT FURTHER RESOLVED that the Governor of the Pueblo of San Juan

be, and he hereby is, authorized and directed to forward this present resolution,

together with other papers and documents deemed appropriate, to the National

Indian Gaming Commission.
Resolution 94-27

PaQe2 of 2

CERTIFICATION

Gov~rnor, Simon Cata

4~~4L~

~n~1t. Governor, Eddie Fyj~ftinez

451 Co~~n /

CoUJ~

,1~

Cótincilman

Councilman

ATTEST:

Secretary, ~~nc

The foregoing resolution was duly adopted by the Pueblo of San Juan

meeting held on the / day of _______________, 1994,

___________

members voting for, and 0 6 members against,

/ members present and ~- members absent.

at a

with

with

1st Lt. Gov., Peter Ga~ia, Jr.

Tribal Sheriff, Ram9sAbeyta