By First Class Mail 

Earl Salazar, Governor 

Ohkay Owingeh Governor's Office 

P.O. Box 1099 

Ohkay Owingeh, NM 87566 

August 4, 2016 

Re: Ohkay Owingeh Gaming 01·dinance 2016, 

Resolution No. 2016-27 

Dear Governor Salazar: 

This letter responds to your request on behalf of the Pueblo of Ohkay Owingeh for 

the National Indian Gaming Commission to review and approve the Pueblo's 

amendments to its gaming ordinance. The amendments were adopted by the Ohkay 

Owingeh Tribal Council in Resolution No. 2016-27. The amendments update the 

licensing and background investigation provisions to comply with relatively recent NJGC 

regulatory revisions. 

Thank you for bringing these amendments to our attention and for providing us with 

a copy. The Ohkay Owingeh Gaming Ordinance is approved as it is consistent with the 

requirements of the Indian Gaming Regulatory Act and the NIGC's regulations. If you 

have any questions or require anything further, please contact Staff Attorney Rea 

Cisneros at 202-632-7024. 

Sincerely, 

J 1odev Osceola 

tl~ Chaudhuri 

IGC Chairman 

cc: Joe M. Tenorio, Chestnut Law Offices (via e-mail: jmt@chestnutlaw.com) 

NEW MAILING ADDRESS: NIGC/DePARTMENT OF THE INTERIOR 1849 C Street NW, Moil Stor #1621 Wmliington, DC 20240 Tel: 202.632.7003 fox: 202.63?..7066 

REGIONAL OFFICES Portlcond, OR; Sacromento, CA; Phoenix. AZ; St. Pavl, MN; Tulsa, OK; Oklahoma City, OK 

WWW.NIGC.GOV 
RESOLUTION OF THE OHKA Y OWINGEH TRIBAL 

COUNCIL 

Resolution No. 2016- 2. 1 

Resolution authorizing and approving the 2016 amendments to the 

Ohkay Owingeh Gaming Ordinance 

WHEREAS, Ohkay Owingeh is a sovereign Indian nation, recognized as such by the 

United States Government and in the exercise of its tribal sovereignty 

remains organized in accordance with Pueblo tradition; and 

WHEREAS, Ohkay Owingeh accepted the terms of the Indian Reorganization Act 

(Congressional Act of June 18, 1934, Chapter 576, Codified at 25 United 

States Code§ 461-479 ("IRA")). However, Ohk.ay Owingeh is not organized 

under the IRA and has no written Constitution; and 

WHEREAS, the Tribal Council is the governing body of Ohkay Owingeh; and 

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

§§ 2701-2721and18 U.S.C. §§ 1166-1168 ("IGRA") to regulate Class I and 

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

Gaming Commission ("NIGC") and to authorize Class III Gaming on Indian 

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

WHEREAS, the Tribal Council, pursuant to. Resolution No. 2008-43 approved 

amendments to the Ohkay Owingeh Gaming Ordinance ("Gaming 

Ordinance"), which became effective on March 17, 2009 after review and 

final approval of the NIGC; and 

WHEREAS, t.he Tribal Council, pursuant to Resolution No. 2015-20 approved the 2015 

tribal-state compact which require certain changes to be made to the Gaming 

Ordinance in order to conform with the new 2015 compact; and 

WHEREAS, the Tribal Council, pursuant to Resolution No. 2015-40 approved the 2015 

amendments to the Gaming Ordinance and was submitted to the NIGC for its 

review and approval; and 

WHEREAS, an attorney within the NIGC suggested that the 2015 amendments to the 

Gaming Ordinance be withdrawn from NIGC's consideration and provide the 

Ohkay Owingeh Gaming Commission an opportunity to further revise the 

Gaming Ordinance in conformance with recent changes to the federal 

regulations concerning the background and licensing procedures of key 

employees and primary management officials; and 
WHEREAS, the Ohkay Owingeh Gaming Commission has addressed the concerns raised 

by the attorney for NIGC in the attached 2016 amendments to the Gaming 

Ordinance, re-incorporates the 2015 amendments that were not problematic 

to NIGC, and adds a few other minor conf01ming changes, and now 

recommends the amendments for approval by the Tribal Council. 

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

the 2016 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 

directed to forward this present resolution, together with other papers and 

documents deemed appropriate, to the National Indian Gaming Commission, 

for review and approval. 

CERTIFICA TTON 

The foregoing resolution was duly adopted by the Ohkay Owingeh Tribal Council at a duly 

called meeting held on the I -sf" day of Ju 11 e,.... , 2016, at which a quorum was established, 

by a vote of Jf2_in favor, _Q_opposed, and _l_absent. 

Ga.J A. s. ~ .,?0--

oovernor, Earl N. Salaza) 1st Lt. Governor, Ben Lujan 

J;z: ~ .. ;> 

Tribal Sherif , < I;ic Aguino 

71/::L~ Councilman 

Councilman Councilman 

Councilman Councilman 
Councilman 

Head Fiscale 
\ 

I 

OHKA Y OWINGEH 

GAMING ORDINANCE 

2016 

APPROVED ON 

June 1, 2016 
OHKAY OWINGEH 

GAMING ORDINANCE 

Table of Contents 

PART 1- Ohk:ay Owingeh Gaming Ordinance ............................... .................................... 5 

1-1 PURPOSE AND INTENT ........................................................................... 5 

1-1-1 Short Title ..................................................................................................... 5 

1-1-2 Purpose and Interpretation ............................................................................ 5 

1-2 DEFINITIONS ............................................................................................. 5 

1-2-1 Act ................................................................................................................ 5 

1-2-2 Adjusted Net Win ......................................................................................... 5 

1-2-3 Bingo Game .................................................................................................. 5 

1-2-4 Class l Gaming ............................................................................................. 5 

1-2-5 Class TI Gaming ............................................................................................ 5 

1-2-6 Class III Gaming .......................................................................................... 6 

1-2-7 Commission .................................................................................................. 6 

1-2-8 Compact. .............................................................................. ......................... 6 

1-2-9 Council ..................................................................................................... .... 6 

i-2-i 0 Engage in Business ....................................................................................... 6 

1-2-11 Gaming Activity ........................................................................................... 6 

1-2-12 Gaining Device ............................................................................................. 6 

1-2-13 Gaming Employee ........................................................................................ 6 

1-2-14 Gaming Enterprise ........................................................................................ 6 

1-2-15 Gaming Equipment. ...................................................................................... 6 

1-2-16 Gaming Facility ......................................................................... ................... 6 

1-2-17 Gaining Machine .......................................................................................... 7 

1-2-18 Gaming-Related Contract. ............................................................................ 7 

1-2-19 Gross Receipts .............................................................................................. 7 

1-2-20 Key Employee .............................................................................................. 7 

1-2-21 Man.age1nent Contract .................................................................................. 8 

1-2-22 Management Contractor ............................................................................... 8 

1-2-23 Net Revenues ................................................................................................ 8 

1-2-24 N.I.G.C ......................................................................................................... 8 

1-2-25 Non-Gaming Employee ................................. ............................................... 8 

1-2-26 Non-Gaming Vendor ..................................... ......................... ...................... 8 

1-2-27 Non-Profit Organization ............................................................................... 8 

1-2-28 Occasion .................................................................................. ..................... 8 

l-2-29 Ordinance ..................................................................................................... 8 

1-2-30 Premises ........................................................................................................ 8 

1-2-31 Person ........................................................................................................... 9 

1-2-32 Primary Management Official ...................................................................... 9 

1-2-33 Pueblo ........................................................................................................... 9 

1-2-34 Pueblo Lands .... ............................................................................................ 9 
1-2-35 

1-2-36 

1-2-37 

1-3 

1-3-1 

1-3-2 

1-3-3 

1-3-4 

1-3-5 

1-3-6 

1-3-7 

1-4 

1-4-1 

1-4-2 

1-4-3 

1-4-4 

1-4-5 

1-5 

1-6 

1-6-1 

1-6-2 

1-6-3 

1-6-4 

1-6-5 

1-6-6 

1-6-7 

1-6-8 

1-6-9 

1-6-10 

1-6-11 

1-6-12 

1-6-13 

1-7 

1-8 

1-8-1 

1-8-2 

1-9 

1-9-1 

1-9-2 

1-9-3 

1-10 

1-10-1 

1-10-2 

1-10-3 

Secretary ....................................................................................................... 9 

State .............................................................................................................. 9 

Tribal Bingo Game ....................................................................................... 9 

NATURE AND SCOPE OF GAMING ....................................................... 9 

Authorized Gaming ...................................................................................... 9 

Forms of Payment. ..................................................................................... 10 

Prohibition on Certain Financial Transactions with Patrons ...................... 10 

Wagering Limitations ................................................................................. 10 

Hours of Operation ..................................................................................... 10 

Prohibition of Minors ................................................................................. 10 

Operation of Games ....................................... ............................................. 10 

COMPLIANCE WITH THE ACT ............................................................. 11 

Ordinance Consistent with Act.. ................................................................. 11 

Proprietary Interest ..................................................................................... 11 

Use of Net Revenues .................................................................................. 11 

Annual Audit .............................................................................................. 11 

Public Safety Standards .............................................................................. 12 

COMPLIANCE WITH THE COMPACT ................................................. 12 

LICENSING ............................................................................................... 1.5 

Class II and Class III License Requirement. .............................................. 15 

Class II and Class III Licensing Classification .......................................... I 5 

Effective Date, Conditions, Fees, and Status ............................................. 16 

Applications for Licenses ........................................................................... 18 

Background Investigations ......................................................................... 23 

Procedures for Conducting Background Investigations ............................. 23 

Procedure for Fingerprint Submissions ...................................................... 25 

Procedure for Processing Fingerprint Submissions .................................... 25 

Criminal History Record Information ........................................................ 26 

Suitability Determination ........................................................................... 26 

Post Licensing Procedures: Forwarding Certain Information to the 

National Indian Gaming Commission ........................................................ 27 

Additional License Requirements .............................................................. 30 

License Suspension and Revocation .......................................................... 30 

[RESERVED] ............................................................................................. 32 

MANAGEMENT CONTRACTS .............................................................. 32 

Requirement for Review and Approval... ................................................... 32 

Required Provisions ................................................................................... 32 

DISPUTE RESOLUTION ......................................................................... 34 

Notice to Patrons ........................................................................................ 34 

Patron Dispute Resolution Procedures Regarding Payouts ........................ 34 

Other Patron Disputes ................................................................................ 36 

GAMING COMMISSION ......................................................................... 36 

Establishment of the Commission, Appointment, Term ............................ 36 

Compensation ............................................................................................. 36 

Removal ...................................................................................................... 36 

11 
1-10-4 Vacancies .................................................................................................... 36 

1-10-5 Designation as Agent and Tribal Ga ming Agency ..................................... 3 6 

1-10-6 Powers and Duties ...................................................................................... 36 

1-10~7 Assuring Compliance with Compact .......................................................... 37 

1- l 0-8 Executive Director ...................................................................................... 3 7 

1-10-9 Certificate of Self-Regulation .................................................................... 38 

1-10-10 Procedures of the Conunission .................................................................. 38 

1-11 PROHIBITED AC1'S ................................................................................. 38 

1-12 PENAL TIES ............................................................................................... 40 

1-13 SEVERABILITY ....................................................................................... 40 

1-14 SOVEREIGN IMMUNITY ........................ ............................................... 40 

1-15 PROTECTION OF COMMISSION .......................................................... 40 

1-16 REPEAL .......................................... ........................................................... 40 

1-17 AMRNOMRNTS ........................................................................................ 41 

PART IT - Indian Gaming Compact .................................................................................. 42 

2-1 INTRODUCTION .............................................. ........................................ 42 

2-2 TERNfS AND CONDITIONS SECTION .................................................. 43 

2-2-1 

2-3 

2-4 

2-4-i 

2-4-2. 

2-4-3. 

2-5 

2-5-1. 

2-5-2. 

2-5-3. 

2-5-4 

2-5-5 

2-5-6 

2-6 

2-6-1 

2-6-2 

2-6-3 

2-6-4 

2-7 

2-8 

2-9 

2-9-1 

2-9-2 

2-9-3 

2-9-4 

2-9-5 

2-9-6 

Purpose and Objectives .............................................................................. 43 

DEFINITIONS .......................................................................................... . 43 

AUTHORIZED CLASS lll GAMING ...................................................... 46 

Permine<l Ci ass iii Gaming ........................................................................ 46 

Limitations .................................................................................................. 46 

Number of Facilities ................................................................................... 46 

CONDUCT OF CLASS l1l GAMING ....................................................... 47 

Tribal Gaming Agency .............................................................................. 47 

Regulations ................................................................................................. 48 

Audit and Financial Statements .................................................................. 52 

Violations ................................................................................................... 53 

State Gaming Representative ..................................................................... 53 

Problem Gambling ..................................................................................... 59 

LICENSING REQUIREMENTS ............................................................... 61 

License Required ........................................................................................ 61 

License Application .................................................................................... 62 

Background Investigations ......................................................................... 62 

Provision of Information to State Gaming Representative ........................ 62 

PROVIDERS OF CLASS 111 GAMING EQUIPMENT OR DEVICES OR 

SUPPLIES ................................................... ............... ........................... ..... 62 

DISPUTE RESOLUTION ......................................................................... 62 

PROTECTION OF VISITORS .................................................................. 64 

Policy Concerning Protection of Visitors ................................................... 64 

Insurance Coverage for Claims Required .................................................. 64 

Limitation on Time to Bring Claim ............................................................ 65 

Specific Waiver oflmmunity and Choice of Law ..................................... 65 

Election by Visitor. ..................................................................................... 65 

Tribal Court ................................................................................................ 65 

lll 
2-9-7 

2-9-8 

2-9-9 

2-10 

Arbitration .................................................................................................. 65 

Increase in Liability Limits ........................................................................ 66 

Public Health and Safety ............................................................................ 66 

EXECUTION; EFFECTIVE DATE; CLAIMS UNDER PREDECESSOR 

AGREEMENT ........................................................................................... 66 

2-11 CRIMINAL JURlSDICTJON .................................................................... 66 

2-12 REVENUE SHARING ............................................................................... 68 

2-12-1 Consideration .............................................................................................. 68 

2-12-2 Revenue to State ......................................................................................... 68 

2-12-3 Calculation of Payment Amounts ............................................................ ... 68 

2-12-4 Limitations .................................................................................................. 69 

2-12-5 Third-Party Beneficiaries ........................................................................... 71 

2-13 DURATION; TERMINATION FOR NON-PAYMENT .......................... 71 

2-14 NOTICE TO PARTIES .............................................................................. 71 

2-15 ENTIRE AGREEMENT ............................................................................ 72 

2-16 FILING OF COMPACT WITH STATE RECORDS CENTER ................ 72 

2-17 COUNT ERP ARTS ..................................................................................... 72 

2-18 INTERNET GAMrnG ............................................................................... 72 

2-19 APPLICABILITY ...................................................................................... 73 

2-20 SEVERABILITY ....................................................................................... 73 

PART III - Appendix ........................................................................................................ 7 4 

FORM A ........................................................................................................................... 85 

lV 
OHKAYOWINGEH 

GAMING ORDINANCE 

PART I- Ohkay Owingeh Gaming 01·dinance 

1-1 PURPOSE AND INTENT. 

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

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

police 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; 

r" T .... ~ ........ ..J __ - - ------·---- L- £':. ___ J .... !1. _1 - ---- ···- ·- - ..... _I - - - - ... ~. . 1 '-'· 1V }-/IUUU\.;t: lt:VCllUC IV lUUU UIUi:U gvvc111111c11li:1.1 U}JCH:lllUU:S l::lllU p1ugnu11:s; 

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 otherwise requires: 

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

§§ 2701-2721 and 18 U.S.C. §§ 1166-1168, as amended, and all regulations promulgated 

thereunder. · 

1-2-2 Adjusted Net Win means Class III Gaming "Adjusted Net Win" as that term is defined 

in the Compact set out in Part II of this Ordinance. 

1-2-3 Bingo 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 armounced. The players cover or mark those 

numbers on the cards which they have pmchased until a player receives a given order of numbers 

in sequence that has been pre-annow1ced for that parlicular game. The first player to call out 

"bingo" and be declared the winner will receive a predetermined prize. 

1-2·4 Class I Gaming means Class I gaming as defined in the Act and as regulated by the 

customary law of Ohkay Owingeh. 

l-2-5 Class II Gaming means Class IT gaming as defined in the Act. 

5 
1-2-6 Class III Gaming means Class III gaming as defined in the Act and 25 C.F.R. §502.4. 

1-2-7 Commission means the Ohkay Owingeh Gaming Commission and its staff. The 

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

1-2-8 Compact means the Tribal-State Compact set out in Pa11 II of this Ordinance, and 

entered into pursuant to the Act. 

1-2-9 Council means the Tribal Council of the Pueblo. 

1-2-10 Engage in Business means any of the following events occutTing 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 possession 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. 

1-2-11 Gaming Activity means all forms of Class II Gaming and Class III Gaming conducted 

by a Gaming Enterprise on Pueblo lands. 

1-2-12 Gaming Device means any gambling device as defined in 15 U .S.C.A. § l 171 (a). 

1-2-13 Gaming Employee means a person who (a) is connected directly with the conduct of 

Class II 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 Officials. 

1-2-14 Gaming Enterprise means the department, division, or section of any tribal entity 

created and designated by the Pueblo as having authority to operate Class II Gaming or Class III 

Gaming, receive the revenues therefrom, issue the prizes, and pay the expenses. 

1-2-15 Gaming Equipment means any equipment, device, or contrivance used to conduct 

ganung. 

1-2-16 Gaming Facility means all buildings or structures in which Class II or III Gaming is 

conducted on Pueblo Lands, subject to the limitations set forth in Section 2-4-3 of this 

Ordinance. For purposes of the Compact, Gaming Facility means each separate, physical 

huilding or structure in which Class III Gaming is conducted on the Pueblo's lands. With respect 

to Class III Gaming, the term Gaming Facility only applies to spaces in which Class III gaming 

actually takes place, to spaces in which Class III gaming-related funds or devices are kept, and to 

spaces in which other activities directly related to Class Ill gaming occur, and to spaces occupied 

or frequented by gaming employees who work within the confines of the Gaming Enterprise; 

Gaming Facility does not apply to businesses or amenities that are ancillary to gaming activities, 

such as conference centers, restaurants, spas, golf courses, recreational vehicle parks, water 

6 
parks, and marinas, even if they are overseen by the Gaming Enterprise or are located near or 

adjacent to a Gaming Facility. 

1-2-17 Gaming Machine means a mechanical, clcctromcchanical 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 automatically from the Gaming Machine or in any 

other manner; but Gaming Machine does not include a Card Minder or a Table Game or any 

devices utilized in Table Games. Additional clarification of the definitions of a Gaming 

Machines and a Table Game is set forth in an appendix to the Compact. 

1-2-18 Gaming-Related Contract means a contract or agreement providing for any goods, 

services or concessions to the Pueblo, a Gaming Enterprise, or Management Contractor in 

connection with the conduct of Class 11 or Class III Gaming in a Gaming Facility in an amount in 

excess of $25,000 annually, except for professional, legal or accollllting services. No GamingRelated Contract may be broken up into parts for the purpose of avoiding this definition and any 

requirement of licensure or certification. 

1-2-19 Gross Receipts means, in relation to Class 11 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 from any other Class II Gaming source. 

1-2-20 Key Employee means that term as defined in 25 C.F.R. §502.14, 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: 

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. Custodian of gambling devices, including Persons with access to cash and 

accounting records within such devices; 

R. 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. 

7 
D. Any other person designated by the Pueblo, or its Commission, as a key 

employee. 

1-2-21 Management Contract means a contract as defined in 25 U.S.C. § 2710(d) (9) and 2711. 

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 all or part of a Gaming Enterprise. 

1-2-22 Management Contractor means any Person who enters into a Management Contract 

with the Pueblo. 

1-2-23 Net Revenues means gross revenues of any Gaming Activity less amounts paid out as, or 

paid for prizes and total gaming-related operating expenses, including all those expenses of the 

gaming operation commonly known as operating expenses and non-operating expenses 

consistent with professional accounting pronotmcements, but excluding management fees paid to 

a Management Contractor. 

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

1-2-25 Non-Gaming Employee means any natural person who: (1) 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 Gaming Activity are handled. NonGaming Employee includes baitenders, cocktail servers or other persons engaged solely in 

prepming or serving food or beverages; secretarial 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 annually provided to 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 01·ganization means an organization not for profit, and operated for 

charitable, religious, 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 game. 

1-2-28 Occasion means a gathering at which Class II games, including, but not limited to bingo, 

are played. 

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

1-2-30 Premises means any room, hall, building, enclosure or outdoor area used for the purpose 

of playing a game of bingo. 

8 
1-2-31 Person means a natural person, firm association, corporation or other legal entity, except 

the Pueblo. 

1-2-32 Primary Management Official means that term as defined in 25 C.F.R. §502.19, or, if 

more comprehensive: 

A. Any person having management responsibility for a Management Contract; or 

B. Any person who has authority to: 

l. Hire and fire Gaming Employees; 

2. Set up working policy for a Gaming Enterprise; or 

C. The chief financial officer or other person who exercise financial management 

responsibility for a Gaming Enterprise. 

D. Any other person designated by the Pueblo, or its Commission, as a primary 

management official. 

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

otlicials, agents and representatives. 

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

reservation and its confirmed grants from prior sovereigns, or (b) land over which the Pueblo 

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

benefit of the Pueblo or its members, or (ii) held by the Pueblo or its members subject to 

restrictions by the United States against alienation. but does not include any land within a 

municipality outside the boundaries of the Pueblo's reservation or confirmed Spanish Grant 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 otlicials, agents and representatives. 

1-2-37 Tribal Bingo Game means a Bingo Game or other Class II Gaming conducted or 

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

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. 

9 
1-3-2 Forms of Payment. All payment for wagers made in any Class II or III Gaming 

conducted by a Gaming Enterprise shall be made by cash, chips or tokens. A Gaming Enterprise 

shall not extend credit including, but not limited to, the acceptance of IOUs or markers from 

patrons, except as otherwise provided under the Compact. Unless otherwise prohibited by 

applicable law or the Compact, chips or tokens may be purchased using cash, checks or credit 

card. 

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

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

T ANF, pension and other similar checks for any patron. 

1-3-4 Wagering Limitations. The Conunission may set by regulation the maximum wager for 

Class II or Class III Gaming on Pueblo lands. 

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

operation for any Class IT or Class TIT Gaming on the Pueblo. 

1-3-6 Prohibition of Minors. No person under the age of 18 shall participate in any Class II 

Gaming. No person under the age of 21 shall participate in any Class III Gaming. However, a 

person under the age of 21 may be employed by a Gaming Enterprise or Management Contractor 

for positions excepted from the definition of Gaming Employee in this Ordinance. 

1-3-7 Operntion of Games. 

A. Inspections. 

l . 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 

Conunission and its agents, Pueblo administration, Council, and upon 

authorization by the Pueblo 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 III Gaming, including Gaming Machines and all records 

relating to Class III Gaming, as provided by the Compact. lf there is any 

conflict between the State Gaming Representative's rights under Part T of 

this Ordinance and those provided tmder the Compact, the Compact terms 

shall prevail. 

10 
B. Value of Prizes. When any merchandise prize is awarded, its value shall be its 

current retail price. 

1-4 COMPLIANCE WITH THE ACT. 

1-4-l Ordinance Consistent with Act. This Ordinance shall be constrncd in a manner that 

conforms to the Act in all respects, and, if the Ordinance is inconsistent with the Act in any 

manner, the provisions of the Act shall govern. 

1-4-2 Prnp1·ietary Interest. The Pueblo shall have the sole proprieta1y interest in and 

responsibility for the conduct of any Class III or Class 11 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 Gaming. Any revenues derived from Class I Gaming, after payment 

of operating expenses, if any, and after provisions for reserves, investment in and 

improvement of Class I Gaming in accordance with the yearly gaming business 

plan and budget has been made, shall be used in accordance with Council 

directives. The business plan and budget shall be reviewed by the Commission 1 • • .1 ,.., t ,1 ,...,, •1 r r- 1 t 

Cl.llU :S~ll~ lU Ul~ \JUVt:lllUl" emu Ult: \. ... ,UWl~ll lUf umu applUVCll. 

B. From Any Class ll and Ill Gaming. Net Revenues from any Class II and III 

Gaming shall be used for the following purposes: 

1. To fund the Pueblo's government operations or programs; 

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

3. To promote the Pueblo's economic development; 

4. To donate to charitable organizations; 

5. To help fund operations oflocal government agencies; or 

6. Any other purposes pennitted 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 Independent Audit Reports. Copies of the independent audit reports for 

each year will be provided to the governor of the Pueblo, the Commission, the 

state treasurer, and the Ciaming Representative as required by the Compact within 

120 days of the close of the Pueblo's fiscal year. A copy of each annual audit 

report of gaming activities shall be provided to the Council and then to the 

N.l.G.C. 

B. Scope of Audit. The scope of each audit shall include but not be limited to all 

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

in this Ordinance. 

11 
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 as 

described in the Compact. 

1-5 COMPLIANCE "WITH THE COMPACT. 

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

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

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. 

1-5-3 The Pueblo, the Gaming Enterprise and any Management Contractor are prohibited from 

discriminating in the employment of persons to work for the Gaming Enterprise 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 interpreted to prevent the Pueblo from 

granting preference in employment actions to Pueblo members or other Indians in accordance 

with established tribal laws and policies. 

1-5-4 All employees of a Gaming Enterprise must be provided with employment benefits 

including, at a minimum, sick leave, life insmance, paid annual leave or paid time off and 

medical and dental insurance as well as providing unemployment insmance and workers' 

compensation insurance tluough 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 manner and in an administrative or judicial 

proceeding and as to which no defense of sovereign immunity would be available; and provided 

that to fulfill this requirement, the Pueblo may elect to participate in the State's programs upon 

execution of an appropriate agreement with the State. 

1-5-5 In cases of disciplinary or punitive action taken by the Gaming Enterprise or 

Management Contractor against an employee, the gaming employee must be permitted (1) 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 Contractor, or other employer of 

employees in a gaming establislunent shall provide a copy of their grievance process to the 

Commission for approval. 

1-5-6 No Gaming Facility shall prohibit or otherwise take action to prevent inspectors from the 

Indian Health Services, a federal agency within the Department of Health and Human Services, 

to inspect the Gaming Facility's food service operations during normal Gaming Facility business 

12 
hours to assure that standards and requirements equivalent to the State's Food Service Sanitation 

Act [Chapter ?.5, Article 1 NMSA 1978] are maintained. If the Indian Health Service does not 

conduct such inspections, the Gaming Enterprise shall pennit the State Department of 

Environment to conduct such inspections. 

1-5-7 Each electronic or electromechanical 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 (80%), an<l th~ Gaming Enterprise shall pruminenlly 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. 

1-5-8 To the extent technically feasible, any automatic teller machines on Gaming Facility 

premises shall be programmed so that the machines will not accept cards issued by the State to 

TANF recipients for access to T ANF benefits. 

1-5-9 All Gaming Machines on the premises of the Gaming Facility shall be co1U1ected to a 

central computerized monitoring and control 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 central computer, may be accessed and downloaded electronically by 

the State Gaming representative by a dedicated teiecommunications co1U1ection, on a "read-oniy" 

basis, upon entry of appropriate security codes; but provided that in no event shall the State 

Gaming Representative be able to alter or aflect the operations 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 and payout data collected 

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

cost, and shall be designed in conjunction with Gaming Enterprise technical staff so as to 

preserve the inkgrity of the syslem aml the data contain~d therein, tu minimize any access by the 

State Ganiing Representative to information other than machine wager and payout data residing 

in the central monitoring and control system. 

1-5-10 An employee of the Gaming Enterprise is prohibited from selling, serving, g1vmg 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. 

1-5-11 All Gaming Enterprise employees that dispense, sell, serve or deliver alcoholic beverages 

must first attend Alcohol Server Education Classes similar to those classes provided for in the 

New Mexico Liquor Control Act. 

1-5-12 Any Gaming Enterprise that dispenses, sells, 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 million dollars ($1,000,000) per incident and two million dollars 

($2,000,000) aggregate per policy year. 

1-5-13 No Alcoholic Beverages shall be sold, served, delivered or consumed in that part of a 

Gaming Facility where Class III gaming is allowed. 

13 
1-5-14 Each Gaming enterprise shall spend an amount that is no less than one-quarter of one 

percent (.25%) of its Adjusted Net Win 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 compulsive gambling in New Mexico. A substantial portion 

of such funds shall be distributed to an organization that has expertise in and provides 

counseling, intervention or other services for compulsive gamblers in New Mexico and whose 

services are available to all persons without regard to race or tribal membership. The Gaming 

Enterprise shall submit a report accounting for the use of these funds as described in the 

Compact's Appendix, and that this report and any other information existing as a result of this 

section, not including information that may identify or contain information referring to any 

gaming patron, shall not be subject to the confidentiality provisions of section 2-5-6(0) of this 

Ordinance shall be made available for inspection and publication without restriction or 

limitation. 

1-5-15 Neither the Gaming Enterprise nor the Pueblo shall provide, allow, 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 reduced prices, at a Gaming Facility or lodging 

facility as an incentive or enticement for patrons to game, except as provided under the Compact. 

1-5-16 The Pueblo, either through the Gaming Enterprise, the Management Contractor or the 

Commission shall maintain the following 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 III 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 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 Pueblo; 

G. Records documenting compliance with the terms of the Compact; and 

14 
H. Personnel information on all Class TT and Class JJI Gaming employees or agents, 

including rotation sheets, hours worked, employee profiles and hackground 

checks. 

1-6 LICENSING. 

1-6-1 Class U and Class III License Requirement. 

A. Condition of Employment. The Gaming Enterprise shall not employ any person 

in any Gaming or Non Gaming Employee position on Pueblo Lands, unless that 

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

rejected by the Commission. 

B. Condition of Doing Business With a Vendor. The Gaming Enterprise is 

prohibited from purchasing, leasing, or otherwise 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 

comm1ss10n. 

1-6-2 Class II and Class III Licensing Classification. 

A. Gaming Employees. 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. 

Contractor and any Person 

Management Contract. 

The Commission shall license a Management 

having a direct or indirect financial interest in a 

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

shall license each Class II or Class III Gaming Device, Gaming Machine, or other 

Gaming Equipment, or gaming supplies. 

D. Providers of Gan1ing Devices, Gaming Machines, and Gaming Equipment. The 

Commission shall license each provider of Class II or Class Ill 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 facility. 

G. Non-Gaming Emplovees Employed bv lhe Gaming Enlerprise ur Ma11ag1;:1111;:11t 

Contractor. All Non-Gaming Employees employed by the Gaming Enterprise or 

Management Contractor and working within a Gaming Facility require licensure 

15 
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 NonGaming Vendor to the Gaming Facility, as it deems necessary to carry out the 

purposes of this Ordinance, unless the Commission detennines that the NonGaming Vendor qualifies for an exemption. 

l. Exemptions. The following Persons are exempt from the requirements that apply 

to a Non-Gaming Vendor: 

1. Pueblo government, business, and tribal members; 

2. Automobile, truck, and motorcycle dealerships, 

3. Utility companies; 

4. Federal, state and local govenunents; 

5. Non-Profit Organizations; 

6. Courier and shipping services; 

7. Law and accounting firms; 

8. Travel agencies, training, seminars and travel-related services; 

9. Insmance companies; 

10. Non-gaming publicly traded companies; 

11. National or local entertairunent acts; 

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

companies; 

13. Television and radio companies; 

14. Petty cash fund purchases; 

15. Banks, 

16. 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. 

C. Tenn. A license issued to a Gaming Employee shall be valid for two (2) years. 

A license issue to a Non-Gaming Employee shall be valid for two (2) years. Any 

employee license will be automatically revoked upon termination of employment. 

16 
A license issued to a gaming vendor shall be valid for one (1) year, and a license 

issued to a Non-Gaming Vendor shall be valid for two (2) years. A license issued 

to a Gaming facility shall be valid for three (3) years. Any license 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. /\ny other licensee who 

has submitted the required application for renewal and any other inf01mation 

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 C01runission or, if required by 

the Act, the N.I.G.C. Such licensee shall provide updated material and 

information as requested on the appropriate renewal application, but shall not be 

required to resubmit historical data already provided or otherwise available to the 

Commission. 

D. Fotm. Each license issued by the Commission 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 OllKA Y OWTNGEI-1 GAMING 

COMMISSION LICENSE clearly shown, and date of expiration. 

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

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

vendors, including officers, agents, and employees, must present proper 

identification upon request by the Commission. 

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

actual costs incuITed by the Commission for a background investigation exceed 

the amount deposited by the applicant, those costs 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 revocable privilege and no person holding a license or 

approval shall be deemed to have acquired any vested rights or interests 

therein. 

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

burden of proving qualification to receive any license is at all times on the 

applicant. An applicant accepts any and all risk of adverse public notice, 

embarrassment, criticism, or other action or financial loss that may result 

from the application process and the applicant expressly waives any and 

all claim(s) for damages against the Commission, its owner, officers, 

agents and employees as a result thereof. 

17 
3. An application for a license shall 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 applicant. 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. Gaming Employee or Non-Gaming Employee Applicants. 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 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.J.G.C. 

1. Required Information. Each person applying for a license as a Gaming 

Employee or Non-Gaming Employee shall provide to the Commission the 

following information on an application form for that purpose: 

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 five (5) years: business and 

employment positions held, ownership interests in those 

businesses, business and residence addresses, and drivers license 

numbers; 

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

references, including one personal ref ere nee 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 an application for a license or permit 

18 
related to gammg, whether or not such license or pennit 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; 

1. For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), within ten (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 ten (10) years of the date of the application and is not 

otherwise listed pursuant to paragraph h or i of this subsection, the 

criminal 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 fiie<l an appiication for an occupationai 

license or permit, whether or not such license or pennit was 

granted; 

I. current photograph; 

m. Any other information the Commission deems relevant; and 

n. Fingerprints consistent with procedmes set out in this Ordinance. 

o. Consent to Ohkay Owingeh Tribal ColU1 jurisdiction and 

compliance wilh applicable law, including Ohkay Owingeh laws 

without regard to principles of conflict of laws. By submitting the 

application, the applicant agrees to comply with all of the laws, 

rules and regulations of Ohkay Owingeh and expressly consents to 

the jurisdiction of the Ohkay Owingeh Tribal Court for any action 

that may arise while on Pueblo Lands. Ohkay Owingeh and the 

Commission reserve unto themselves the right to seek any 

available remedy whether provided in this Ordinance or not. 

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

Gaming Device, Gaming Machine, Gaming Equipment, to enter a GamingRelated Contract, or to become as a Non-Gaming Vendor (collectively reforred to 

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

section of the Ordinance and the Act. At a minimum, the following inf 01mation 

must be included on an application form adopted by the Commission for that 

19 
pmpose. The applicant shall pay any fees required by the Commission or the 

N.l.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 sole proprietorship), main office address if 

different from business address, any other names the applicant has 

done business under, type of service or goods applicant will 

provide. 

b. Whether the applicant is a partnership, corporation, limited liability 

company, sole proprietorship, or other entity; 

c. 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; 

d. Trade name, other names ever used, names of any wholly owned 

subsidiaries or other businesses owned by the vendor or its 

principals; 

e. General description of the business and its activities; 

f. Whether the applicant will be investing in or loaning money to the 

gaming operation and, if so, how much; 

g. A description of any existing and previous business relationships 

with the gaming industry generally, including ownership interests 

in those businesses; 

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

previous business relationship, including ownership, financial, or 

management interests in non-gaming activities (list of up to 10 

tribes with the ten biggest contracts); 

L Name, addresses, and phone numbers of three business references 

with whom the company had regularly done business for the last 

five years; 

J. The name and address of any licensing or regulatory agency with 

which the business has filed an application for a license or permit 

20 
related to gaming, whether or not such license or permit was 

granted; 

k. If the business has ever had a license revoked for any reason, the 

circumstances involved; 

l. 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; 

m. 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 nwnbers, title, and percentage of 

ownership in the company; 

o. Consent to Ohkay Owingeh Tribal Court jurisdiction and 

compliance with applicable law, including Ohkay Owingeh laws 

without regard to principles of conflict of laws. By submitting the 

application, the applicant agrees to comply with all of the laws, 

rules and regulations of Ohkay Owingeh and expressly consents to 

the jurisdiction of the Ohkay Owingeh Tribal Court for any action 

that may arise while on Pueblo Lands. Ohkay Owingeh and the 

Commission reserve unto themselves the right to seek any 

available remedy whether provided in this Ordinance or not; 

p. Agree, that as a condition of its employment, the applicant shall 

require all of its employees, subcontractors, or agents, who will be 

working on Pueblo Lands on the applicant's behalf, to consent to 

the jurisdiction of Ohkay Owingeh Tribal Court and to the laws, 

rules and regulations of the Ohk.ay Owingeh. Before any such 

employee, subcontractor or agent is permitted to enter Pueblo 

Lands, each such person shall separately sign an acknowledgement 

and consent with the Commission agreeing to comply with all of 

the laws, rules and regulations of Ohkay Owingeh, and expressly 

consenting to the jurisdiction of the Ohkay Owingeh Tribal Court 

for any action that may arise while on Pueblo Lands. Ohk.ay 

Owingeh and the Commission reserve w1to themselves the right to 

seek any available remedy whether provided in this Ordinance or 

not; and 

q. Any further information the Commission deems relevant. 

C. Gaming Facility Applicants. A person applying for a Gaming Facility license 

shall provide all the information required by this section of the Ordinance and the 

21 
Act. At a mm1mum, the following 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.l.G.C. 

1. Required information. Each applicant for a Gaming Facility license shall 

provide to the Commission the following information 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 nwnber for the property as assigned by the Bureau of 

Indian Affairs, Land Title and Records Offices, 

d. Tf 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 enviromnent and the 

public health and safety, and 

f. Any fu11her information the Commission deems relevant, including 

but not limited to that needed to show compliance with applicable 

environmental, public health and safety laws and regulations. 

D. Privacy Act Notice. The Commission shall require each applicant seeking a 

license pursuant to this law to sign and submit a Privacy Act notice on an 

application form as required by the Act that consists of: 

[n compliance with the Privacy Acl of 1974, the following information is provided: Solicitation of the 

information on this form is authorized by 25 U.S.C.A. 2701 ct seq. The purpose of the requested 

information is to determine either the eligibility of individuals to be granted a gaming license. The 

information will be used hy the Tribal gaming regulatory aulhurilies and by the National Indian Gaming 

Commission (NIGC) members and staff who have need for the information in the performance of their 

official duties. The information may be disclosed by the Tribe or the NJGC lo appropriate Federal, 

Tribal, Stale, local, or foreign law enforcement and regulatory agencies when relevant lo civil, criminal 

or regulatory investigations or prosecutions or when pursuant to a requirement by a tribe or the NJGC in 

connection with the issuance, denial, 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 a tribe's being unable to license yuu for a pri111ary 111a11ageme11l orlidal or key 

employee position. 

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

may result in errors in processing your application. 

E. False Statement Notice - General. The Commission shall require each applicant 

seeking a license to sign and submit a notice regarding false statements on an 

application form as required by the Act. 

A false statement on any part of your license application may be grounds for denying a license or the suspension or 

revocation of a license. Also, you may be punished by fine or imprisonment. (U.S. Code, title 18, section I 00 l .) 

22 
F. False Statement Notice - Vendors. The Commission shall require each applicant 

for a vendor license to sign and submit a notice regarding false statements on an 

application form as required by the Act: 

I11clusion of falst: or misleading information in tht: vendor application may be grounds for dt:nying a license or the 

suspension or rcvm:alion of the vendm license. Also, you may he punished by line or imprisonment. (lJ.t.. Code, Lille I fl, 

section I 001.) 

G. Compliance with Privacy Act and False Statements Notice. The Commission 

shall notify in writing each Person who is required to be licensed pursuant 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 form that contains the Privacy Act 

Notice and the False Statements Notice; or sign a statement that contains the 

Privacy Act Notice and the False Statements Notice. 

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

Enterprise or Management Contractor, or any person seeking a vendor license, 

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

determination, order, subpoena or notice of violation that may be served by the 

r"'""' ......... "";"" A•• l\T Tr. r "''' ... "''•hnof· i" +t.-o A,, ... '---'VAA.l.AL.L&...,..>.LVJ..1 V.I. .L .. •.&.•'--'•'---"• pu.L...,YUJ.&\. \.V '-•&."" .. S.V\.• 

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

signed by the applicant authorizing the Commission and N.I.G.C. to obtain any 

information related to the applicant's activities, including schools, property 

interests (real and personal), employment, criminal 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 

backgrotmd investigation on each Person required to be licensed pursuant to Section 1-6-2 of this 

Ordinance. 

l-6-6 Pl'Ocedures for Conducting Background Investig;diuns. 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 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-Uaming Employees and Principals of a Gaming 

Vendor. 

1. The Commission or its designee, shall obtain copies of the applicant's 

birth ce11ificate, 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 applicant. 

23 
2. The Commission, or its designee, shall confirm, verify, and 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 interviewed 

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 Commission. The investigative 

report shall include, at a minimwn, all of the following: a) steps taken in 

conducting a background investigation, b) results obtained, c) conclusions 

reached, and d) the basis 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 circwnstances warrant. 

B. Gaming Device, Machine and Equipment Vendors, and Gaming-Related 

Contractors and Non-Gaming Vendors. 

1. The Commission or its designee shall 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 shall conduct a check of the business' 

credit history; 

4. The Commission 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 criminal history check, a credit 

report, and interviews with the personal 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 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 basis for those conclusions. 

The Commission shall analyze such information to make the Suitability 

24 
Detennination. 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 laws, regulations, polices, and procedures 

applicable to the gaming facility license. 

2. The Commission, or its designee, shall verify whether the applicant is in 

compliance 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 release 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 basis for those conclusions. 

The Commission shall analyze such information to make the Suitability 

Uetermmation. · 1 ·he Commission may conduct, or cause to be conducted, 

any fmther background investigation should the circumstances wan-ant. 

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 criminal history record information 

("CHRI") 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, including 

principals of vendor applicants. lbe Commission is also authorized to negotiate 

and enter into an agreement with a tribal, State or federal law enforcement agency 

to take such fingerprints. Such law enforcement agency shall designate an 

individual for the purpose of communicating with the Commission and the 

N.l.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 Procedm·c for Processing Fingerprint Submissions. 

25 
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 live scan fingerprint 

processing machine. After obtaining the applicant's fingerprints, the 

Commission, or other designated entity, shall electronically submit the scans 

directly to the N.LG.C. via VPN for an FBI fingerprint check. 

B. The Commission, or other designated entity, shall also send to the N.T.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 Information. The Commission may use the CHRI for the 

purpose of making a Suitability Detennination and any other lawful purpose pennitted by an 

agreement with the N.LG.C. or a State or federal law enforcement agency. The Commission 

shall abide by all conditions or limitations imposed by such agreement on the release, 

dissemination or use of the CHRl. The Commission shall further ensure that the CHRJ 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 furnish 

such records to the N.LG.C. upon request. 

1-6-10 Suitability Determination. 

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

Commission shall apply the Licensing Standards, as defined under Section 1-6-3(B) 

of this Ordinance and as interpreted by the Regulations, to each application. In 

general, the Commission shall review a person's prior activities, criminal 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 

primary management official for employment in a gaming operation. 

B. Denial of License. If the Commission determines that the licensure of 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 Gaming Enterprise 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 application, 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 status, 

and advising the applicant of the right to a hearing before the Commission. 

C. Grant of License. 

1. Generally except for Key Employees and Primary Management Officials, if 

the Commission determines that the Ii censure of the applicant does not pose a 

26 
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 license to the 

applicant within 5 business days after approval by the Conunission, at which 

time the tempora1y license status (if any) shall expire. 

2. Grant of Temporary License Statt1s. For Key Employees and Primary 

Management Officials only, if the Commission determines that the licensure 

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 illegal practices and methods and activities in the conduct of 

gaming, the Gaming Enterprise may employ that person, after the 

Conunission grants a temporary license status. The Commission may grant 

or maintain a temporary license status 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. /\. Gaming Enterprise shall not employ as a 

key employee or prima1y management official a person who does not have a 

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

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 after receiving the notice of denial of 

application. The commission shall 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 promulgale<l by lhe commission. 

1-6-11 Post Licensing Procedures: Fonvarding Certain Information to the National Indian 

Gaming Commission. 

A. If Key Employee and Primary Management Official's License is Granted. 

1. The grant of a temporary license status signals the key employee's or 

primary management official's permission to begin work for the Gaming 

Enterprise. When a key employee or primary management official begins 

work at a Gaming Enterprise as authorized by this Ordinance, the Gaming 

Conunission shall maintain a complete application file containing the 

information listed under Section 1-6-4(A)(l) of this Ordinance; 

2. The Commission shall submit a notice of results of the applicant's 

background investigation to the NIGC no later than sixty (60) days after 

the applicant begins work. As noted elsewhere herein, the grant of a 

temporary license status signals the key employee's or primary 

27 
management official's pe1m1ss1on to begin work for the Gaming 

Enterprise. The notice of results shall contain: 

a. Applicant's name, date of birth, and social security number; 

b. Date on which applicant began or will begin work as key employee 

or primary management official; 

c. A summary of the information presented in the background 

investigative report, which shall at a minimum include a listing of: 

1. Licenses that have previously been denied; 

n. Gaming licenses that have been revoked, even if 

subsequently reinstated; 

111. Every known criminal charge brought against the applicant 

within the last I 0 years of the date of application; and 

1v. Every felony of which the applicant has been convicted or 

any ongoing prosecution. 

d. A copy of the Suitability Determination, also referred to as an 

eligibility determination under 25 CFR § 556.5, made under 

Section 1-6-10( A) of this Ordinance. 

3. After the Conunission has provided a notice of results of the background 

check to NJGC, the Commission may issue a license to the key employee 

or primary management official. 

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

results, the NJ.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 

license to such applicant, at which time the temporary license status shall 

expire. 

5. It~ within the thirty (30) day period described above, the NIGC Chairman 

requests additional information concerning a key employee or primary 

management official who is the subject of the notice of results, the 

Commission shall respond to such request for additional info1mation. 

Such a request shall suspend the thirty (30) day period under paragraph (4) 

of this section until the Chahman of the N .I. G. C. receives the additional 

information. 

6. If, \vithin the thirty (30) day period described above, the N.l.G.C. provides 

the Commission with a statement itemizing objections to the issuance of a 

license to a key employee or to a primary management official, the 

Commission shall reconsider the application, taking into account the 

objections itemized by the N.I.G.C. If the Commission has not issued a 

license, the Commission shall make the final decision whether to issue a 

license to the applicant. If the Commission has already issued a license 

before receiving NIGC's statement of objections, then the Commission 

28 
shall provide a notice and hearing to the licensee as provided under 

Sections J-6-13(A)(J) and (B) of this Ordinance. 7. Within 30 days after 

the issuance of a license to a key employee or primary management 

official, the Commission shall notify the NIGC of its issuance. 

R. Tf Key F.mrlnyee ;ind rim~11y M;in;igement OfficiHl's Lieense is Oenie<l. 

1. If a license is not issued to an applicant, the Commission: 

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

b. Shall forward copies of its suitability determination, also referred 

to as an eligibility determination under 25 CFR § 556.5, and notice 

of results to the N.l.G.C. for inclusion in the Indian Gaming 

Individuals Records System. 

2. With respect to key employees and primary management officials, the 

Cumrnissiun shall rdain apptil.:atiuns fur t:rnployrnt:nl an<l rt:purts (if any) 

of background investigations and eligibility determinations for inspection 

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

years, from the date of termination of employment. 

C. If Gaming Facility License is Approved. 

l. If a gaming facility license is issued to an applicant, the Conunission 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 envirorunental and public 

health and safety laws applicable to its gru:ning operation, 

n. The Pueblo is in compliance with those laws, 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 envirorunent and the public health 

and safety. 

c. Except as provided in paragraph (d) below, A docwnent listing all 

laws, resolution, codes, policies or procedures identified by the 

Pueblo as applicable to its gaming operations, other than Federal 

laws, in the following areas: 

L Emergency preparedness, including but not limited to fire 

suppression, law enforcement, and security, 

29 
11. Food and potable water, 

m. Construction and maintenance, 

1v. 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 place, facility, or location, 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. 

1. The Commission shall notify the Chairman of NIGC within 30 days if a 

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

or location closes or reopens. 

1-6-12 Additional License Requfrements. 

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

applicable laws, regulations, and policies of the Commission and the Pueblo, and 

that failure to comply with such laws, regulations, 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 licensure 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 bh1h, 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 

immediately inform he Commission of any such employee'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 to a key employee or pnmary 

management official, the NIGC informs the Commission, pursuant to 

30 
Section 1-6-11 of this Ordinance, that a key employee or a primary 

management official is not eligible for a license, the Commission shall 

immediately suspend the license and shall provide the licensee with 

written notice of suspension and proposed revocation. The Commission 

shall notify the licensee of a time and a place for a hearing on the 

proposed revocation of a license pursuant to Subsection B below. 

2. lf, after the issuance of a license, the Commission obtains reliable 

information from any source other than the NJGC indicating that a 

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

1-6-3(B) of this Ordinance or otherwise 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 regulations for reopening background investigations. If 

after the investigation, the Commission finds sufficient evidence that a 

licensee is no longer suitable for 1icensure based on the licensing standards 

and conditions imposed on the iicense, the Commission shaii suspend such 

license and shall notify the licensee in writing of the suspension and the 

proposed revocation. 

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

information received or basis for suspension and explain why the 

Conunission believes that the licensee is no longer suitable for licensure 

based on the license standards and/or conditions imposed on licensing. 

B. Notice of Proposed Revocation Hearing: Administrative Hearing Procedures: 

The Conunission shall notify the licensee of a time and a place for a hearing on 

the proposed revocation of a license. The Conunission shall adopt procedural 

regulations to govern the procedures to be followed in administrative hearings 

pursuant to this section. At a minimwn, the regulations shall provide: 

1. for the hearings to be public; 

2. Procedures for discovery; 

3. Assurance that procedural due process requirements are satisfied; 

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

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 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. 

31 
C. Written Decision of the Commission. After a revocation hearing, the 

Commission shall 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 hearing 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 NJ.G.C. of its 

decision to either revoke or reinstate a gaming license concerning each key 

employee or primary management official within 45 days of receiving notification 

from the NIGC pursuant to paragraph A(l) of this Section. 

D. Suspension or Revocation for Cause Only. 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. Appeal of Gaming Commission's Licensing Decisions to Tribal Court. A final 

decision of the Commission is subject to judicial review by the Tribal Court, if the 

aggrieved party files a petition for review with the Tribal Court within ten (10) 

calendar days of the effective date. The Oh.kay Owingeh Administrative Appeals 

Ordinance, as amended from time to time, shall apply. 

1-7 [RESERVED]. 

1-8 MANAGEMENT CONTRACTS. 

1-8-1 Re<1uirement for Review and Approval The Pueblo may enter into a Management 

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

1-8-2 Required Provisions. 

A. Governmental Authority. The Pueblo shall not enter into a Management Contract 

unless it provides that all 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 Responsibilities. A Management Contract shall identify the 

responsibilities of each party for each identifiable function set f011h in the Act, 

and Parts I and II of this Ordinance. 

C. Accounting and Record Keeping. A Management Contract shall provide for the 

establislunent 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 generally accepted 

accounting principles. The Management Contractor shall maintain adequate 

32 
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 shall be 

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

1. Gross Receipts. 

2. Records of prizes, maintain pmsuant to paragraph E above. 

3. Any and all expenses. 

4. Capital expenditures 

5. Contract. 

6. Net profits. 

7. Payments to Pueblo's general fund. 

8. Documents and calculations required to be maintained to satisfy terms of 

the Compact. 

D. Reports. 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.l.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. 

1. 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 otlicials deem 

appropriate. 

2. A Management Contract shall provide that the State Gaming 

Representative shall have access to inspect all aspects of the gaming 

operations as provided by the Compact. 

F. Guaranteed Payment. A Management Contract shall provide for a minimum 

guaranteed monthly payment in a sum certain to the Gaming Enterprise that has 

preforence over the retirement of any development and construction 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. 

I-I. Term. Pmsuant to the Act, a Management Contract shall not be for a term 

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

authorizes a longer contract term not to exceed seven (7) years. 

33 
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. 

J. Termination; Disputes. A Management Contract shall provide the grounds and 

mechanisms for modifying or terminating such contract and include a mechanism 

to resolve disputes between a Gaming Enterprise or Facility and Management 

Contractor, Management Contractor and patrons, and Management Contract 

and/or its employees. Such grounds and mechanisms must comply with 

applicable provisions of the Compact and this Ordinance. r n the event of any 

conflict, the provisions of the Compact shall prevail. 

K. Assignments and Subcontracting. A Management Contract shall provide to what 

extent contract assignments and subcontracting are permissible. A Management 

Contract shall also provide that any assignment or subcontract, assignee or 

subcontractor, must agree to comply with all provisions of the Act, applicable 

federal regulations, this Ordinance and the Compact. 

L. Ownership Interest. A Management Contract shall provide that changes in the 

ownership interest in such contract shall require the advance approval of the 

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

M. Prohibited provisions. A Management Contract shall not transfer 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 regulations. 

1-9 DISPUTE RESOLUTION. 

1-9-1 Notice to Patmos,, 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 applicable. 

1-9-2 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 Contractor is unable to resolve the dispute after 

exhausting its internal process for resolving the dispute as described in the regulations , the 

following procedures shall be used: 

A. Record Retention. The Gaming Enterprise shall preserve all documents, 

including surveillance images, pertaining to each dispute until it is resolved. 

34 
B. Notice of Dispute. If the dispute involves at least $1,200, the Gaming Enterprise 

or Manag~menl 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 ("Notice of Dispute"), 

and shall provide a copy of this Section 1-9 of this Ordinance to the patron. 

C. Request for Investigation. Any patron has the right, within five (5) days of 

exhausting the Gaming 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 five-day period shall bar the claim to any money in dispute. 

D. Investigation and Hearing. Upon receipt of Notice of Dispute, Request for 

Investigation or written notice of a patron dispute submitted by a patron to the 

Commission, the Conm1ission shall conduct whakv~r investigation it deems 

necessary to resolve the dispute. The Commission shall hold a hearing on the 

matter within a reasonable period of time following the conclusion of the 

investigation. The Commission may promulgate regulations concerning 

Adjudicative Hearings procedures consistent with th.is Ordinance. At a mini!!lu!!l, 

the regulations shall provide: 

1. For the hearings to be public; 

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 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. 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 patrun aml lhe 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 return receipt ("Effective 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 

35 
files a petition for review with the Tribal Court within 30 days of the Effoctive 

Date. The decision of the Tribal Court shall be final, and non-appealable. 

1-9-3 Other Patron Disputes. All 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 GAMING COMMISSION. 

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 tenns of three (3) years commencing on 

the date of their appointment. 

1-10-2 Compensation. The Council shall 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 service of any official 

determination, order, notice of violation that may be served by the N.l.G.C. pursuant to the Act. 

The Commission is also designated as the Tribal Gaming Agency for 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 any Gaming Activity except as provided by applicable 

law or the Compact; 

B. To inspect and examine all Gaming Enterprises, Facilities or Premises on Pueblo 

lands 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 Gaming 

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 Gaming Activity and any matters 

necessary to carry out its duties pursuant to this Ordinance, the Compact, and 

applicable law. 

36 
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 law. 

The Commission is authorized to issue procedures for seeking puhlic comment on 

proposed regulations. 

G. To issue, deny, suspend and revoke licenses in accordance with this 

Ordinance and regulations, and to issue permits in accordance with this Ordinance 

and regulations. 

ll. To enforce the health and safety standards applicable to any Gaming Faciljty. 

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 to the approval of the Council, and, 

in accordance with such hudClet_ to emnlov ~ ~t~ff ~s ii deems necessarvJ to fu!fi!l - "' " J 

its responsibilities under this Ordinance, and to retain legal counsel, consultants 

and other professional services, including investigative servil:t::S, lo assist it in 

carrying out its powers. 

K. To 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. 

l-10-7 Assuring Compliance with Compact. Tn addition lo lht! powers and duties set out in 

Section 1-10-6, the Commission will assme that the Pueblo will comply with all of the 

provisions set out in the Compact, and that the Pueblo shall adopt laws as set forth in the 

Compact. 

1-10-8 Executive Director. The Commission may appoint and reti:iin an individual to serve as 

executive director of the Commission to administer aod execute its duties and responsibilities 

hereunder and other staff as the Commission may deem necessary to carry out such duties and 

37 
responsibilities. The Executive Director shall be responsible for coordination of the functions 

with the N.LG.C. and other federal, state, and local agencies as 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. Regular Meetings. Regular meetings of the Conunission 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 shall be necessary. 

B. Special 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 purposes of, any regular 

or special meeting of the Conunission need to be specified in the notice of the 

meeting. 

C. Quorum. At any meeting of the Commission, a majority of the Commission 

members shall constitute a quorum 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 Conunission 

designates another member to preside in his absence. Approval of action 

telephonically or by polling is also authorized. 

D. Notice of Commission Action: Hearings. No action of the Commission taken 

pursuant to this Ordinance shall be valid unless 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 Procedures. The Commission may adopt such additional regulations or 

Bylaws, including a conflict of interest policy, as it deems necessary or 

convenient to govern its affairs consistent with applicable law. 

1-t I PROHIBITED ACTS. It shall be a violation of this Ordinance for any Person to: 

1-11-1 Conduct or paiticipate in any Gaming Activity on Pueblo Lands other than at a licensed 

Gaming Facility. 

38 
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 Device, 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 Gaming 

Operation. 

1-11-4 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 and 

approved rules of a Gaming Facility or Gaming Enterprise. 

1-11-5 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 dete1mine the course of play after acquiring 

knowledge, 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: nnrno<:P. of nhr.ino- inr.t'P.:l<:ino Ar tiP.r.rP.A<:inu H hP.t nr tiPtPrminino thP rA11n:P. nf nbv • - .1.· ··-.t· --- -- r-··----i;i.' ------------0 -- ------------0 -- --- --·- ·-----------........ 0 ........ _ ............ ~ .. -- --- r'"'-.1 

contingent upon that event or outcome. 

l-11-7 Claim, collect or take, or attempt to claim, collect or take, money or anything 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. 

1-11-8 Place or increase a wager or bet after acquiring knowledge of the outcome of the game or 

other event which is the subject of the bet, including post-posting and pressing bets. 

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 bets. 

1-11-10 Manipulate, with the intent to cheat, any Gaming Device, Gaming Machine or Gaming 

Equipment, including but not limited to manipulating a Gaming Device, Gaming Machine or 

Gaming Equipment with knowledge that the manipulation affects the outcome of such device, 

machine or equipment. 

1-11-11 Knowingly use other than 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. 

1-11-12 Possess, with the intent to use, any device to <lssi st in projecting the outcome of the 

game, in keeping track of the cards played, in analyzing the probability of the occurrence of an 

event relating to Gaming Activity or in analyzing the strategy for playing or betting to be used in 

the Gaming Activity. 

39 
1-11-13 Use any device or means to cheat, or to possess any such device or means while at a 

Gaming facility. 

1-11-14 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, the Compact, or 

other applicable law with the intent that the other person play or participate in that Gaming 

Activity. 

J -12 PENAL TIES. 

1-12-1 Any Person who violates any prov1s1on 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 SEVERABILITY. 

1-J 3-1 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 from 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 shall be reversed unless 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 awarded against the 

Commission for any action taken or decision made by the Commission. 

1-15 PROTECTION OF COMMISSION. 

1-15-1 The Pueblo's sovereign immunity protects the Commission, and its members, employees, 

and agents against any suit arising from their official actions or employment. The Pueblo will 

defend, protect, and indemnify the Commission, and its members, employees, and agents in any 

legal action arising from official actions set out in this Ordinance while serving the Commission. 

1-16 REPEAL. 

40 
1-16-1 To the extent inconsistent with this Ordinance, all prior ordinances or parts thereof 

adopted by the Council are hereby repealed. Nothing in this section is intended to repeal 

regulations adopted by the Commission Wlless inconsistent with the provisions of this 

Ordinance. 

1-17 AMENDMENTS. 

1-17-1. Part I of this Ordinance may be amended by the Council. 

41 
PART II - Indian Gaming Compact 

2-1 INTRODUCTION. 

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, 3 6 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 Ohkay Owingeh ("Tribe") is a sovereign federally recognized Indian tribe and its 

governing body has authorized the officials of the Tribe to enter into contracts and agreements of 

every description, including this Compact, with the State; 

2-1-3. The Congress of the United States has enacted the Indian Gaming Regulatory Act of 

1988, 25 U.S.C. § 2701 et. seq. (hereinafter "IGRA"), which permits Indian tribes to conduct 

Class III Gaming on Indian Lands pursuant to tribal-state compacts entered into for that purpose; 

2-1-4. The 1999 State Legislature has enacted SB 737, as 1999 N.M. Laws, Ch. 252, known as 

the "Compact Negotiation Act," creating a process whereby the State and the Tribe have engaged 

in negotiations leading to this Compact, with review by a joint legislative committee, and with 

final approval by a majority vote in each house of the Legislature; 

2-1-5. The Tribe owns or controls Indian Lands and by Ordinance has adopted, or will adopt, 

rules and regulations governing Class III games played and related activities at any Gaming 

Facility; the State and the Tribe, in recognition of the sovereign rights of each party and in 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, government-to-government negotiations recognizing and 

respecting the interests of each party and have agreed to this Compact, and following those 

individual negotiations, have combined multiple tribal-state negotiations to develop this single 

Compact. 

2-1-6. The Tribe has informed the State that it does not intend to conduct Class III Gaming on 

Indian Lands that are eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), (b)(l)(A), 

(b)(l)(B)(ii) or (b)(l)(B)(iii). If, in the future, the Tribe desires to conduct Class ill Gaming on 

Indian Lands eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), (b)(l)(A), 

(b )( 1 )(B)(ii) or (b )( 1 )(B)(iii), the Tribe intends to negotiate a separate compact with the State to 

address the unique circumstances and conditions associated with such lands. The Tribe 

acknowledges and agrees that it has not addressed those circumstances and conditions in the 

negotiations leading up to this Compact and that there are federal authorizations required to 

determine eligibility to game on those lands. For those reasons, the Tribe agrees that the 

execution of this Compact is not evidence of and cannot be used to support a determination that 

any land located in the State is eligible for gaming pursuant to the 25 U.S.C. §§ 2719 (a)(2)(B), 

(b)(l)(A), (b)(l)(B)(ii) or (b)(l)(BXiii). 

42 
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 Ill Gaming on Indian Lands within the 

State of New Mexico as required by the IGRA; 

D. To fulfill the purpose and intent of the IGRA by providing for tribal gaming as a 

means of generating tribal re.venues, thereby promoting tribal econotnlc 

develonment_ trih::i 1 self-s11fficiP.ncv :mo ~trona tri h~ 1 onvP.rnmP.nt· .L , • • • J,, · ··-·· - ·- ... --o ---- -·- o- -----------,. 

E. To provide revenues to fund tribal goverrunent operations or programs, lo provide 

for the general welfare of the tribal members and for other purposes allowed 

under the IGRA; 

F. To provide for the effective regulation of Class III 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 III Gaming is conducted fairly and honestly by 

the owners, operators, employees and patrons of any Class Ill Gaming enterprise 

on Indian Lands. 

2-3 DEFINITIONS. For purposes of this Compact, the following definitions pertain: 

2-3-1. "Adjusted Net Win" is Net Win with certain deductions for purposes of calculating 

revenue sharing as set fo11h in Section [2-12-3] of this Compacl. 

2-3-2. "Card Minder" means a technological aid for a bingo game that serves as an electronic 

substitute for bingo cards and is used by a player to monitor bingo cards and called bingo 

numhers. A Card Minder does not include a device which permits a player to cover or daub a 

bingo card other than through overt action after numhers are relel'l~ert. 

2-3-3. "Class III Gaming" means all forms of gaming as defined in 25 U.S.C. § 2703(8), and 25 

C.F.R. § 502.4. 

43 
2-3-4. "Compact" means this compact between the State and the Tribe, and including the 

Appendix attached hereto. 

2-3-5. "Compliance Report" is the report submitted annually to the State Gaming 

Representative by the Tribal Gaming Agency according to the requirements set forth in the 

Appendix attached to this Compact. 

2-3-6. "Effective Date" has the meaning set forth in Section 9(A) of this Compact. 

2-3-7. "Free Play" means play on a Class Ill Gaming Machine initiated by points or credits 

provided to patrons without monetary consideration, and which have no cash redemption value. 

2-3-8. Gaming Employee" means a person connected directly with the conduct of Class Ill 

Gaming, or handling the proceeds thereof or handling any Gaming Machine; but "Gaming 

Employee" does 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 teclmicians; or 

D. Other nongaming personnel. 

2-3-9. "Gaming Enterprise" means the tribal entity created and designated by the Tribe as 

having authority to conduct Class lll Gaming pursuant to this Compact. 

2-3-10. "Gaming Facility" means each separate physical building or structure in which Class 111 

Gaming is conducted on the Tribe's Indian Lands. 

2~3-11. "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, notwithstanding that some skill 

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 Card Minder or a Table Game or any 

devices utilized in Table Games. Additional clarification of the definitions of a Gaming 

Machine and a Table Game is set forth in the attached Appendix. 

44 
2-3-12. "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 land within a municipality that is outside of the 

boundaries of the tribe's reservation or confirmed Spanish grant, as those 

boundaries existed on October 17, 1988. 

2-3-13. "Key Employee" means that term as defined in 25 C.F.R. §502. 14. 

2-3-14. "Management Contract" means a contract within the meaning of 25 l J.8.C. §§ 2710(d)(9) 

and 2711. 

2-3-15. "Management Con.tractor" means any person or entity that has entered into a 

Management Contract with the Trihe or the Gamine Fnterpri~~ 

2-3-16. "Net Win" means the win from gaming activities, which is the di1Ierem.:e between 

gaming wins and losses before deducting costs and expenses or deducting incentives or adjusting 

for changes in progressive jackpot liability accruals. Generally, Net Win is the difference 

between patron wagers and payouts made on winning wagers. Additional clarification of the 

accounting for Free Play, Point Play, Participation Fees, and amounts paid with respect to wide 

area progressive Class III Gaming Machines is set forth in the attached Appendix. 

2-3-17. ''Ordinance" means the gaming ordinance and any amendments thereto adopted by the 

Tribal Council of the Tribe. 

2-3-18. "Point Play" means play on a Class 111 Gaming Machine initiated by points earned or 

accrued by a player truough previous Gaming Mftchine play, players' clubs, or any other method, 

and which have no cash redemption value. 

2-3-19."Predecessor Agreement" means the last tribal-state Class 111 Gaming compact, if any, 

entered into between the Tribe and the State preceding the execution of this Compact. 

2-3-20."Primary Management Official" means that term as defined in 25 C.F.R. §502.19. 

2-3-21."State" means the State of New Mexico. 

2-3-22."State Gaming Representative" means that person designated by the Gaming Control 

Board pursuant to the Gaming Control Act [NMSA 1978, §§ 60-2E-1to62 (1997, as amended 

through 2014)] 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. 

45 
2-3-23. "Table Games" means a Class III 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 

played using a wheel, cards or dice, and that requires an attendant to initiate the game or to 

collect wagers or pay prizes. Additional clarification of this definition is set forth in the attached 

Appendix. 

2-3-24. "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. 

2-3-25."Tribe" means any Indian Tribe, Nation or Pueblo located within the State of New 

Mexico entering into this Compact as provided for herein. 

2-4 AUTHORIZED CLASS III GAMING. 

2-4-1 Permitted Class III Gaming,_ The Tribe may conduct, only on Indian Lands, subject to 

all of the terms and conditions of this Compact, any or all forms of Class HI Gaming. 

2-4-2. Limitations. Subject to the foregoing, and subject to all of the terms and conditions of 

this Compact, the Tribe shall establish, at its discretion, by tribal law, such limitations as it 

deems appropriate on the amount and type of Class III Gaming conducted, the location of Class 

III Gaming on Indian Lands, the hours and days of operation, and betting and pot limits, 

applicable to such gaming. 

2-4-3. Number of Facilities!. 

A. The Tribe may operate: 

1. Two (2) Gaming Facilities; or 

2. Three (3) Gaming .Facilities if the Tribe has at least seventy five thousand 

(75,000) tribal members residing in the State. The Tribal membership 

shall be based on official figures from the Tribe's tribal enrollment office. 

Prior to the opening of a third Gaming Facility, the Tribe shall provide the 

State Gaming Representative with documentation to show that its Tribal 

membership numbers meet the requirements set forth herein. 

B. In addition to the number of Gaming Facilities permitted under Section [2-4-

3(A)], the Tribe may operate one (1) Legacy Gaming Facility if it meets the 

requirements in Section [2-4-3(E)] below. 

C. If the Tribe is eligible for a third Gaming Facility pursuant to Section [2-4-

3 (A)(2)] above, it shall not open such Gaming Facility to the public earlier than 

the date that is six (6) years from the Effective Date of the Compact. 

46 
D. ln no event shall the Tribe be permitted to operate more than the number of 

Gaming Facilities authorized under Section [2-4-3(A)] and one (1) Legacy 

Gaming Facility. 

E. If, as of June 30, 2015, the Tribe is already operating more than two Gaming 

Facilities and those Gaming .Facilities are permitted under the terms of its 

Predecessor Agreement, it may designate one (1) Gaming Facility as a "Legacy 

Gaming Facility" and the following shall apply: 

l . The Legacy Gaming Facility shall be that Gaming Facility with the fewest 

Class III Gaming Machines in operation as of June 30, 2015 (the "Legacy 

Gaming Facility Deadline Date"), or in the event that a Tribe has more 

than one (1) Gaming Facility that operates less than one hundred and thirty 

(130) Class III Gaming Machines, the Tribe may designate one of those 

Gaming Facilities as its Legacy Gaming Facility by the Legacy Gaming 

Facility Deadline Date. 

2. Within ten (10) days of the Legacy Gaming Facility Deadline Date, the 

Tribe shall have an authorized representative sign a sworn affidavit that 

designates the Legacy Gaming Facility, provides the location of the 

Legacy Gaming Facility, and a detai led description of its gaming 

operations at the Legacy Gaming Facility as of that date, including the 

specific number of Gaming Machines and any other gaming activities and 

shall submit said affidavit to the State Gaming Representative. 

3. The Legacy Gaming Facility shall be permitted to move one (1) time from 

its location as of June 30, 2015 (the "Existing Location"), subject to the 

following restrictions: 

a. the Legacy Gaming Facility shall not be moved more than 

seventeen (t 7) miles from its Existing Location; and 

b. the Legacy Gaming facility shall not be permitted to move if its 

Exisling Lu~Liun is located within fifty (50) miles from another 

Tribe's Gaming Facility located within the State. 

c. The Gaming Enterprise shall not operate in excess of one hundred 

thirty (130) Class Ill Gaming Machines at the Legacy Gaming 

Facility. 

2-5 CONDUCT OF CLASS III GAMING. 

2-5-1. Tribal Gaming Agency. The Tribal Gaming Agency will assure that the Trihe will: 

A. Operate all Class TIT Gaming pursuant to this Compact, tribal law, the IGRA and 

other applicable federal law; 

47 
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 prope1ty of the patrons and the Gaming 

Enterprise from illegal activity; 

F. Participate in licensing of Primary Management Officials and Key Employees of 

a Class Ill Gaming Enterprise; 

G. Detain persons who may be involved in illegal acts for the purpose of notifying 

law enforcement authorities; 

H. Record and investigate any and all unusual occurrences related to Class III 

Gaming within the Gaming Facility; and 

I. Comply with all applicable provisions of the Bank Secrecy Act, 31 U.S.C. §§ 

5311-5314, and all reporting requirements of the Department of the Treasury, the 

Internal Revenue Service, the Financial Crimes Enforcement Network, and any 

other related divisions thereof, as applicable, and make all such documentation 

available to the State Gaming Representative for inspection, scanning, or copying 

upon request 

2-5-2. Regulations. Without affecting the generality of the foregoing, the Tribe shall adopt 

laws: 

A. Prohibiting participation in any Class Ill Gaming by any person under the age of 

twenty-one (21 ); 

B. Prohibiting the employment of any 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 

standards 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; 

D. Requiring that on any constrnction project involving any Gaming Facility or 

related structure that is funded in whole or in part by federal funds, all workers 

48 
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 the 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 established tribal 

laws and policies; 

F. Requiring the Tribe, through its Gaming Enterprise or through a third-party entity, 

to provide to all employees of the Gaming Enterprise employment benefits, 

including, at a minimum, sick leave, life insurance, paid annual leave or paid time 

off and medical and dental insurance as well as providing unemployment 

insunmce 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 rlP.tP.1,,,in~tirm hv thP in<mrPr tA !'In ;mn,,.rti,,.I fAn1m ~11rh !'!<:! fh11t 1v\t lhnit,,.~ tA'I th,. ---·-···········--· -.; ···- ···--··-· -- -·· ····.--··-· ·-·-···· ---·· -- ,--· ··-· ·······-- ·-1 -··-

Tribe's Tribal Court, which appeal shall 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 of the Gaming Enterprise 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 inspectors from the Indian Health Service, a federal agency within the 

Department of Health and Human Services, 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 Service Sanitation Act 

fNMSA 1978. § 25-1-1 (1977, as amended through 2014)] are maintained and if 

such inspections have occurred, the Tribe shall provide docwnentation of the 

inspections to the State Gaming Representative with the Compliance Report 

referenced in Section [2-5-5(B)] of this Compact, or if the Indian Health Service 

does not conduct such inspections, permitting the State Department of 

Environment to conduct such inspections; 

I. Prohibiting the Gaming Enterprise, and the Tribe in connection with gaming, 

from cashing any paycheck or any type of government assistance check, including 

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

49 
J. Prohibiting the Gaming Enterprise, and the Tribe in connection with gaming, 

from extending credit by accepting IOUs or markers from its patrons, except that 

short-term credit may be extended to certain qualified patrons with sufficient 

demonstrated available cash balances to cover the amount of the credit extended 

(not less than ten thousand dollars ($10,000) to be repaid within thirty (30) days); 

provided that the Tribe complies with all applicable federal law and all provisions 

of the Appendix related to credit (including the State reporting requirements), and 

provides a copy of the regulations referenced in the Appendix to the State for 

review and comment prior to implementation; 

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 

T ANF recipients for access to T ANF benefits; 

L. Providing that each electronic or electromechanical gaming device in use at the 

Gaming Facility must pay out a mathematically demonstrable percentage of all 

amounts wagered, which must not be less than eighty percent (80% ), 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 Class III Gaming Machines on the premises of the Gaming 

Facility will be connected to a central computerized monitoring and control 

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 central computer, may be accessed and downloaded 

electronically by the State Gaming Representative by a dedicated 

telecommW1ications 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 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's cost, and shall be 

designed in conjunction with Gaming Enterprise technical staff so ~s 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 monitoring and 

control system; 

50 
N. Enacting provisions that: 

1. Prohibit an employee of the Gaming Enterprise from selling, 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 

alcoholic beverages to attend Alcohol Server Education Classes similar to 

those classes provided for in the New Mexico Liquor Control Act; and 

3. Require the Gaming Enterprise to purchase and maintain a liquor liability 

insurance policy that will provide, at a minimum, personal injury coverage 

of one million dollars ($1,000,000) per incident and two million 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, annually. an amount that is no less 

than one-quarter of one percent (.25%) of its Adjusted Net Win as that term is 

defined in Section [2-12-3(A)] to fund or suppo1t programs that the Tribe selects 

for the treatment and assistance of compulsive gamblers in New Mexico or who 

patronize New Mexico gaming facilities, and for the prevention of compulsive 

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, 

intervention or other services for compulsive gamblers in New Mexico, and 

whose services are available to all persons without regard to race or tribal 

membership; and requiring that the Tribe submit a report accounting for the use of 

these funds as described in the attached Appendix, and that this report and any 

other information existing as a result of this paragraph, not including information 

that may identify or contain information reforring to any gaming patrons, shall not 

be subject to the confidentiality provisions of Section [2-5-S(D)] of this Compact 

and shall be made available for inspection and publication without restriction or 

limitation; 

Q. Governing any Management Contract regarding its Class 111 Gaming activity so 

that it conforms to the requirements of tribal law and the IGRA and the 

regulations issued thereunder; 

R. Prohibiting the Gaming Enterprise and the Tribe from providing, allowing, 

contracting to provide or arranging to provide alcoholic beverages fur nu 1;hargc: 

or at reduced prices within a Gaming Facility; and 

S. Prohibiting the Gaming Enterprise and the Tribe from ·providing, allowing, 

contracting to provide or arranging to provide food or lodging for no charge or at 

51 
reduced prices, at a Gaming Facility or lodging facility as an incentive or 

enticement for patrons to game ("Complimentaries"), except that (i) 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 (ii) the Gaming 

Enterprise or Tribe may provide discretionary Complimeutaries provided that the 

cumulative market value of all discretionary Complimentaries, on an annual basis, 

does not exceed tluee percent (3%) of the Tribe's annual Adjusted Net Win for 

the same year. The Tribe shall, on a quarterly basis, report to the State the total 

amount of the discretionary Complimentaries during the previous quarter in 

dollars and as a percentage of Adjusted Net Win for such quarter. The Tribe shall 

adopt and follow the minimum internal control standard and policies and 

procedures set forth in the Appendix, shall comply with all applicable federal law 

and all provisions of the Appendix related to Complimentaries (including the 

State reporting requirements), and shall provide a copy of the regulations 

referenced in the Appendix to the State for review and comment prior to 

implementation. 

2-5-3. Audit and Financial Statements. 

A. Annual Audit. Not less than annually at the Gaming Enterprise's fiscal year end, 

the Tribal Gaming Agency shall require, at the expense of the Gaming Enterprise, 

an audit and audit repo1t of the financial statements covering all financial 

activities of the Gaming Enterprise in the State of New Mexico. The audit and 

audit report shaJJ be prepared by an independent certified public accountant 

licensed by the New Mexico Public Accountancy Board. The audit report shall 

include written verification by the independent certified public accountant of the 

accuracy of the quarterly Adjusted Net Win calculation as required by Section 

11 (C) and shall specify the total amount of patron wagers and total amount of 

payouts made on winning wagers in Class III Gaming on all Gaming Machines at 

the Tribe's Gaming Facilities for purposes of calculating Adjusted Net Win. The 

financial statements shall be prepared in accordance with generally accepted 

accounting principles (GAAP). All books and records relating to Class III 

Gaming shall be retained for a period of at least five (5) years from the date of 

creation, as required by 25 C.F.R. § 571.7(c). The independent certified public 

accountant shall issue a report on audited financial statements of the Tribe's 

Gaming Enterprise in the State of New Mexico. The independent certified public 

accoui1tant shall perform the audit in accordance with generally accepted auditing 

standards published by the American Institute of Certified Public Accountants, 

and submit the audited financial statements, along with any reports or 

management letter(s) the accountant has prepared, to the Tribal Gaming Agency 

within one hundred twenty (120) days after the Gaming Enterprise's fiscal year 

end. Promptly upon receipt of the audited financial statements, and in no event 

later than one hundred twenty (120) days after the fiscal year end, the Tribal 

Gaming Agency shall provide copies of the financial statement and audit report to 

the State Gaming Representative, along with copies of any and all documents the 

independent certified public accountant has provided to the Tribe or the Tribal 

52 
Gaming Agency concerning the audit, including but not limited to copies of any 

and all reports and management letter(s). If the Gaming Enterprise changes its 

fiscal year end, it may elect either to prepare financial statements for a short fiscal 

year or for an extended fiscal year, but in no event shall an extended fiscal year 

extend more than fifteen ( 15) months. 

B. Maintenance of Records. The Tribe will maintain the following records for not 

less than five (5) years: 

1. Revenues, expenses, assets, liabilities and equity for the Gaming 

Enterprise; 

2. Daily cash transactions for each Class Ill Gaming activity at each Gaming 

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

table bank, game dropbox and gaming room bank; 

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

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

teclmologically assisted games, analytic reports which show the total 

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

4. Contracts, correspondence and other transaction documents relating to all 

vendors and contractors; 

5. Records of all tribal gaming enforcement activities; 

6. Audits prepared by or on behalf of the Tribe; 

7. Records documenting compliance with the terms of this Compact; 

8. Personnel information on all Class 111 Gaming employees or agents, 

including rotation sheets, hours worked, employee profiles and 

background checks. 

2-5-4 Violations. The agents of the Tribal Gaming Agency shall have unrestricted access to the 

Gaming Facility during all hours of Class III Gaming activity, and shall have inunediate 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 

immediately 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 

Contractor, or any person, whether or not associated with Class Ill Gaming. 

2-5-5 State Gaming Representative. The State Gaming Representative may utilize staff from 

the Gaming Control Board or contract with private persons, firms, or other entities for the 

purpose of assisting in performing his functions set forth in this Compact, but the State Gaming 

53 
Representative will be the single contact with the Tribe and may be relied upon as such by the 

Tribe. 

A. Background investigations. Upon written request by the State to the Tribe, the 

Tribal Gaming Agency will provide information on Primary Management 

Officials, 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 fo11h in Section [2-6] of this Compact. The Tribe 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 entity. 

B. Compliance Reports. 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 A set fo11h in the attached Appendix. 

The Tribal Gaming Agency shall allow the State Gaming Representative to 

inspect and verify, and obtain copies (either scanned electronically or in paper 

form), upon request, of any and all documents related to any item in the 

Compliance Report, including all source documents and data. 

C. 1nspections. The State Gaming Representative shall have the right to inspect a 

Gaming Facility and any Class III Gaming activity, including all Gaming 

Machines and to inspect, verify, and obtain copies (either scanned electronically 

or in paper form), upon request, of any and all records relating to any Class III 

Gaming of the Tribe, including all source documents and data, subject to the 

following conditions: 

l. 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 a 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 non-public 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; 

54 
3. With respect to inspection and copying of all management records relating 

to Class III Gaming, at any time without prior notice between the homs of 

9:00 a.m. and 4:00 p.m. Monday through Friday, excluding official 

holidays. The reasonable costs of copying will be borne by the State, 

although the State may, at its option, choose to scan documents 

electronically at no charge; and 

4. Whenever the State Gaming Representative, or his designee, enters the 

premises of the Gaming Facility for any such inspection, such 

Representative, or 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. 

D. ConfiJenlialiLy. 

1. Any information, documents or conununications provided to the State 

Gaming Representative, his agents or contractors, or to any other onicial, 

~gency or entity of the Stak (a!! of hi~h are rol!ertive!y herei!!after 

referred to as "the State entities") by the Tribe, the Tribal Gaming Agency 

or the Gaming Enterprise, or prepared frum infurrnalion obtained from the 

Tribe, the Tribal Gaming Agency or the Gaming Enterprise, or any 

information, documents or communications provided to the Tribe, the 

Tribal Gaming Agency, or the Gaming Enterprise by any State entity, or 

prepared from information obtained from any State entity, under the 

provisions of this Compact or under the provisions of any Predecessor 

Agreement, are confidential. Any State entity that has received any 

information, 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 pmsuant to a 

lawful court order after timely notice of the proceeding has been given to 

the Tribe; ii) shall maintain ull such information, documents and 

conununications 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 confidentiality of the 

information, documents and communications provided by the Tribe, 

Tribal Gaming Agency or Gaming Enterprise. 

2. These prohibitions shall not be construed to prohibit: 

a. The furnishing of any information to a law enforcement or 

reguli:itory i:igency of the Fe<lernl Government; 

b. The State from making known the names of persons, firms, or 

corporations conducting Class Ill Gaming pursuant to the tenns of 

55 
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; 

e. Disclosures to other State agencies as required by State law, 

provided that the confidentiality provisions of this Section shall 

apply to the agencies receiving such information; and 

f. 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 gaming ordinance and regulations of 

the Tribe or 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 and Adjusted Net Win 

figures used as the basis for computation of the Tribe's revenue 

sharing payment under the provisions of Section [2-12] of this 

Compact; infonnation that exists as a result of the requirements in 

Section [2-5-2(P)]; and correspondence between the Tribe or a 

tribal entity and a State entity, unless such correspondence is 

specifically labeled "Confidential;" 

b. A State entity may release to the public 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 annual 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. 

56 
E. Records and Annual Meeting. 

1. Information to be Provided by Tribe. 

a. The Tribal Gaming Agency will provide true copies of all tribal 

laws and regulalions affecting Class Ill Gaming wnducle<l un<ler 

the provisions of this Compact to the State Gaming Representative 

within the earlier of: (i) thirty (30) days after the Effective Date of 

this Compact, or (ii) thirty (30) days after the Tribe's first day of 

operation of a Gaming Facility, 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 

any. 

b. Regardless of whether the State exercises the option set forth in 

Section 4(B)(l 3), the Tribe shall make wager and payout data 

available to the State Gaming Representative on a monthly basis, 

by secure transmission through encrypted email communications, 

file transfer protocol, or other secure means provided for by the 

State Gaming Representative. The method of secure transmission 

must meet industry standards for security sufficient to minimize 

the possibility of any third party intercepting data transmitted to 

the State Gaming Representative. Such reports shall be generated 

to reflect monthly, quarterly, and annual activity, and shall 

identify, at a minimum: 

1. com-m; 

11. coin-out; 

ui. Free Play and Point Play; 

iv. Net Win; 

v. theoretical net win (including Free Play and Point Play); 

vi. actual floor hold percentage; and 

vn. theoretical tloor hold percentage. 

Within ninety (90) days of the Effective Date of this Compact, the State Gaming Representative, 

the Tribal Gaming Agency, and the Gaming Enterprise shall meet and in good faith coordinate 

and determine the contents of such reports and method of secure transmission to comply with 

this Section. For a Tribe that does not have any Gaming l•'acility in operation ("Non-Operational 

Tribe"), the State Gaming Representative, the Tribal Gaming Agency, and the Gaming 

Enterprise shall meet and in good faith coordinate and determine the contents of such reports and 

method of secure transmission to comply with this Section within fifteen (15) days before the 

Tribe's first day of operation of its Gaming Facility. 

57 
2. Access to State Records. To the fullest extent allowed by State law, the 

Tribe shall have the right to inspect and copy State records concerning all 

Class HI Gaming conducted by the Tribe, with the Tribe bearing the 

reasonable cost of copying. 

3. Annual Meeting. At least annually, appropriate representatives of the 

Tribe shall 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 Mexico. Such meeting shall be coordinated so as 

to involve the representatives of as many New Mexico gaming tribes as 

possible, and shall be conducted in the context of the govenunent-togovernment relationship between the State and the Tribe. 

F. Reimbmsement for Regulatory Costs. The Tribe shall reimburse the State 

for the costs the State incms in carrying out any fllllctions 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 the amounts set forth in this Section represent a fair 

estimate of the State's cost of such activity. The Tribe and the State further agree 

that there is an increase in costs associated with the State's regulatory 

responsibilities based upon the number and size of the Tribe's Gaming Facilities 

and that the levels of regulatory cost reimbmsement based upon the Adjusted Net 

Win of the Tribe as set forth in this Section represents a fair estimate the State's 

costs of regulation. In addition, Section 4(8)(10) and Section 4(B)( 19) will 

increase the State's regulatory burden and the associated costs. The Tribe and 

State further agree that the State's cost of carrying out the terms of this Compact 

will increase over time. The Tribe therefore agrees to reimburse the State as set 

forth in the chart and provision below: 

The Tribe shall reimburse the State based Annual Amount of Regulatory Payment to 

on the amount of its annual Adjusted Net the State: 

Win as follows: 

Under $40 million $75,000.00 

$40 million - under $80 million $150,000.00 

$80 million and over $182,500.00 

58 
The above amounts shall increase by five percent (5%) as of July 1 of 2017, and 

as of July 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, in advance. For a Non-Operational Tribe, quarterly payments shall 

be due at the next quarter following the Tribe's first day of operation of the 

Gaming Facility and shall be prorated during that first quarter based on the 

number of days the Gaming Facility was open to the public. 

G. Regulatory Requirements. 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 [2-8] of this Compact. Failme to abide 

by the procedures set forth in Section [2-8] or failure to comply with an 

arbitrator's final decision with respect to the pa11ies' obligations constitutes a 

breach of this Compact. 

2-5-6 Pt·oblem Gambling. 

A. Signage. The Gaming Enterprise shall post at all public entrances and exits of 

each Gaming Facility, signs in both English and Spanish, stating that help is 

available if a person has a problem with gambling and, at a minimum, provide an 

appropriate toll-free crisis hotline telephone number and information on the 

availability of a statewide self-exclusion program with the State Gaming 

Representative. 

B. Self-Exclusion Program. Within six (6) months of the Effective Date of this 

Compact or for a Non-Operational Tribe, within thirty (30) days after the date of 

the Tribe's first day of operation of its Gaming Facility, the State Gaming 

Representative and the Tribal Gaming Agency shall comply with the following 

procedures to allow problem gamblers to voluntarily exclude themselves from 

Gaming Facilities statewide; however, nothing in this Section shall preclude the 

Tribal Gaming Agency from operating its own self~exclusion program in addition 

to these procedures: 

1. The State Gaming Representative shall: 

a. establish a list of persons who voluntarily seek to exclude 

themselves from Gaming Facilities statewide; 

b. create an application Lo compile identifying infotmation 

concerning the self-excluded person; 

c. establish procedures for placement on and removal from the list; 

and 

d. provide the compiled information to the Tribal Gaming Agency on 

a monthly basis. 

59 
2. The Tribal Gaming Agency shall: 

a. require the Gaming Enterprise to train appropriate gaming 

personnel for the identification of self-excluded persons who enter 

or attempt to enter the Gaming Facility and take reasonable steps 

to identify the self-excluded person and to promptly escort the selfexcluded person from the Gaming Facility; 

b. require the Gaming Enterprise to remove self-excluded persons 

from mailing lists for adve1tisements or promotions and any 

players' club or other similar membership-type promotions, and 

return the cashable value, if any, of the self-excluded person's 

membership in the players' club or other similar membership-type 

promotions; 

c. require that the self-excluded person forfeit all winnings (whether 

cash, property, or in any other form), credits, tokens or vouchers 

received from the Gaming Facility while excluded, and that all 

money or other property forfeited shall be used by the Gaming 

Enterprise to fund or suppot1 programs for the treatment and 

assistance of compulsive gamblers pursuant to Section 4(B)( 16) of 

this Compact (this amount is in addition to the percentage of 

Adjusted Net Win already required under Section 4(B)(16) of this 

Compact); and 

d. require that, for jackpots requiring the patron to complete, prior to 

the pay-out of the jackpot, paperwork required by the Internal 

Revenue Service, the Gaming Enterprise shall verify that the 

patron is not on the self-exclusion list and such certification shall 

be recorded in the appropriate documentation. In the event the 

patron is listed on the self-exclusion list, the Gaming Enterprise 

shall comply with Section 4(F)(2)(b)(iii) abov~ regarding forfoilure 

of all wi1U1ings. 

3. If a self-excluded person is removed from a Gaming Facility, the Tribal 

Gaming Agency shall report to the State Gaming Representative, at a 

minimum, the name of the self-excluded person, security staff involved, 

date of removal, amount of money forfeited, if any, and any other action 

taken. This written repo1t shall be provided to the State Gaming 

Representative. 

4. Removal From Self-Exclusion List. If a self-excluded person is removed 

from the self-exclusion list by the State Gaming Representative, the State 

Gaming Representative shall provide written notice to the Tribal Gaming 

Agency of the self-excluded person's removal from the self-exclusion list. 

60 
5. The self-exclusion list is not open to public inspection, and the Tribal 

Gaming Agency and State Gaming Representative shall ensure that it 

remains confidential except for use by: 

a. appropriate law enforcement agencies, if needed in the conduct of 

an otlicial investigation or ordered by a court of competent 

jurisdiction; or 

b. persons designated by either the Tribal Gaming Agency or the 

State Gaming Representative for the purposes of administrating 

and implementing the self-exclusion program. 

6. Notwithstanding Section 8(0) of this Compact, the Tribe, the Gaming 

Enterprise, or the Tribal Gaming Agency shall not be deemed to have 

waived its sovereign immunity and will not be liable with respect to any 

self-excluded person for harm, monetary or otherwise, which may f!rise as 

a result of: 

a. its efforts to exclude a person identified on the self-exclusion list; 

b. the faiiure of the Gaming Emerprise or the Tribai Gaming Agency 

to withhold or restore gaming privileges from or to a self-excluded 

person; 

c. the permitting of a self-excluded person to engage m gaming 

activities or enter into a Gaming Facility; or 

d. the disclosure or publication in any manner, other than a willful 

an<l unauthorized disclosure or publication, of the identity of any 

self-excluded person or persons. 

2-6 LICENSING REQUIREMENTS. 

2-6-1 License Required. The Gaming Facility operator (but not including the Tribe) including 

its principals, Primary Management Officials, and Key Employees, the Management 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, the Gaming Enterprise or the Manag~menl Conlractor; 

and any person, corporation or other entity providing gaming services within or without a 

Gaming Facility, shall apply for and receive a license from the Tribal Gaming Agency before 

participating in any way in the operation or conduct of any Class III Gaming on Indian Lands. 

The Tribal Gaming Agency shall comply fully with the requirements of this Section and of the 

IGRA, especially at 25 U.S.C. §§ 2710-271 l, 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 or any regulations promulgated by the Tribal Gaming Agency, in processing 

license applications and issuing licenses. 

61 
2-6-2 License Application. Each applicant for a license shall file with the Tribal Gaming 

Agency a written application in the form prescribed by the Tribal Gaming Agency, along with 

the applicant's fingerprints, 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, at its own 

expense, a background investigation to ensure that the applicant is qualified for licensing. 

2-6-4 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 Conunission any information, document or notice relating to the licensing of any 

Key Employee or Primary Management Official of the Gaming Enterprise, such information, 

document or notice shall be made available for inspection by the State Gaming Representative. 

The State Gaming Representative shall 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 inf01mation 

concerning any applicant licensee, as is enjoyed by the Commission. 

2-7 PROVIDERS OF CLASS III 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 all Class 111 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 III 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 future lease or purchase agreement for Class III Gaming 

equipment, devices or supplies, the Tribe shall obtain sufficient 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 license those persons in 

accordance with applicable foderal and tribal law. 

2-7-3 The seller, lessor, manufacturer or distributor shall provide, assemble and install all Class 

III 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 

otherwise breached any provision of this Compact, such party may invoke the following 

procedure within two (2) years from the date any alleged violation of this Compact is discovered 

or reasonably should have been discovered; or, if the State believes that, prior to the Effective 

Date of this Compact, the Tribe has failed to comply with or has otherwise breached any 

provision of a Predecessor Agreement affecting payment, the State may invoke the following 

62 
procedure within two (2) years of the Effective Date of this Compact, as permitted in Section [2-

1 0-2 J of this Compact: 

A. The party asserting noncompliance shall 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. 'l'he 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 paity within twenty (20) days after service of the notice set 

forth in Paragraph [A] 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 patty to be in noncompliance. Upon receipt of such notice, the 

responding party may elect to stop the game(s) or activities specified in the notice 

or invoke arbitration and conlinuc lhc game(s) or aclivilies pending Lhe results of 

arbitration. The responding party shall act upon one of the foregoing options 

within ten (10) days of receipt of notice from the complaining party, unless the 

State and the Tribe (hereinafter the "parties") agree to a longer period, but if the 

r~snonclim1 nartv tah'!s nf'!ithP.r ar.tinn within snr.h nPrinrl thP. r.nmnhinina nar1v ·a·· ·· <=' .1.· •• ·,,1 ···---- ----·---- ··- ----- · -·----- --·--- r---- -· ---- - ----r--·------o r-·-·o1 

may invoke arbitration by written notice to the responding party within ten ( 10) 

days of the end of such period. 

C. Unless the parties agree in writing to the appointment of a single at·bitrator, or as 

otherwise provided below, the arbitration shall be conducted before a panel of 

three (3) arbitrators. 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 will select a second arbitrator, and 

the two so chosen shall select a third arbitrator. The party that served the written 

notice of noncompliance shall select its arbitrator within thirty (30) days after the 

party has invoked arbitration and the responding party shall select its arbitrator 

within thirty (30) days of the selection of the first arbitrator. If the responding 

party fails to select an arbitrator within the thitty (30) days provided, the parties 

shall proceed to arbitration with the single at·bitrator selected by the party that 

served the written notice of noncompliance. If the responding party selects an 

arbitrator within the specified time period, the two arbitrators shall select a third 

arbitrator within thirty (30) days of the responding patty's selection. If the third 

arbitrator is not chos~n within thirty (30) <lays aflt:r lh~ s~l:uml arbilralor 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 full, fair and 

expeditious hearing on the matters at issue. The arbitrators shall determine, after 

hearing from each party, whet.her the arhitrntion proceerline; 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 pruties, but the arbitrators shall have no authority 

63 
to determine any question as to the validity or effectiveness of this Compact or of 

any provision hereof. All parties shall bear their own costs of arbitration and 

attorneys' fees. 

D. The results of arbitration shall be final 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 acknowledge 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 arbitration 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 2-8-1 lSubsection 7(A)] shall be construed to waive, limit or restrict 

any remedy that is otherwise available to either party to enforce or resolve disputes concerning 

the provisions 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 Policy Concerning Protection of Visitors. The safety and protection of visitors to a 

Gaming Facility 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 Tribal, State, or other 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 Section, 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 comt that the IGRA does not pemrit the shifting of 

jurisdiction over visitors' personal injury suits to state court. 

2-9-2 Insurance Coverage for Claims Required. The Gaming Enterprise shall maintain in 

effect policies of liability insurance insming the Tribe, Gaming Enterprise, its agents and 

employees against claims, demands or liability for bodily injury and property damages by a 

visitor arising from an occurrence described in Section [2-9-1]. The policies shall provide bodily 

injury and property damage coverage in an amount of at least ten million dollars ($10,000,000) 

per occurrence and ten million dollars ($10,000,000) annual aggregate. The Tribe shall provide 

the Stale Gaming Representative annually a certificate of insurance showing that the Tribe, its 

agents and employees are insmed to the required extent and in the circumstances described in 

this Section. 

64 
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 Tribal, State, or other court of competent 

jurisdiction or a demand for arbitration within three (3) 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 to 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 {$I 0,000,000) 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. The 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 sovereign immunity on behalf of the insured, up to the limits of 

liability set forth in this Paragraph. The Tribe and the State agree that in any claim brought 

under the provisions of this Section, New Mexico law shall govern if the claimant pursues the 

claim in State Court, and the tribal law of the forum shall apply if the claim is brought in Tribal 

Com1. 

2·9-5 Election by Visitor. A visitor having a claim described in this Section may pursue that 

claim in binding arbitration, or Tribal, State, or other court of competent jurisdiction. The visitor 

shall make a written election th::it is fin::il ano hinciinP 11non thP. visitor. '-' . 

2-9-6 T1·ibal <...:ourt. The Tribe shaJJ establish written procedures and substantive law for the 

disposition of tort claims arising from bodily injury or property damage alleged to have been 

suffered by visitors and shall enact such tribal law as is necessary to implement these procedures. 

The procedures shall include all time limits applicable to the disposition of the tort claim and a 

provision that, upon request, the visitor, or the visitor's designated representative, shall be 

provided with a copy of the procedures as well as the name, address and telephone number of the 

Gaming Enterprise and the mailing address and telephone number of the clerk of the tribal court. 

2-9-7 Arbitration. Arbitration pursuant to an election by a visitor as provided in Subsection [2-

9·5] 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. Unless the parties agree, in writing, to the appointment of a single arbitrator, the 

visitor and the Gaming Enterprise shall each designate an arbitrator within thirty 

(30) days of receipt of the demand, and the two arbitrators shall select a third 

arbilralor, but in the event that either party fails to designate an arbitrator within 

thirty (30) days, or the two arbitrators designated by the parties cannot agree on 

the selection of the third arbitrator within thirty (30) days of their appointment, 

the existing arbitrator(s) shall apply to the American Arbitration Association to 

appoint the remaining arbitrators; 

65 
C. The arbitration panel shall permit the parties to engage in reasonable discovery, 

and shall establish other procedures to ensure a full, fair and expeditious hearing 

on the claim; and 

D. The award of the arbitration panel shall be final and binding, and may be enforced 

in a court of competent jurisdiction. 

2-9-8 Increase in Liability Limits. As of the fifth anniversary of this Compact, and at fiveyear intervals thereafter, the liability insmance coverage requirements set forth in Section [2~9~ 

2], and the limit on the Tribe's waiver of sovereign immunity set forth in Section [2-9-4], shall be 

increased by a percentage equal to the percentage increase in the CPI-U published by the Bureau 

of Labor Statistics of the United States Department of Labor, for the same period, rounded to the 

nearest one hundred thousand dollars ($100,000). 

2-9-9 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 cmrent editions of the National 

Electrical Code, the Uniform Building Code, the Uniform Mechanical Code, the Uniform Fire 

Code and the Uniform Plumbing Code, and any and all construction 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. 

2-10 EXECUTION; EFFECTIVE DATE; CLAIMS UNDER PREDECESSOR 

AGREEMENT. 

2-10-1 This Compact shall take effect upon publication of notice in the Federal Register of its 

approval by the Secretary of the Interior, or of the Secretary's failure to act on it within forty-five 

( 45) days from the date on which it was submitted to him ("Effective Date"). l Jpon such 

publication, the terms and provisions of this Compact shall go into full force and effect, fully 

supplanting and replacing any Predecessor Agreement. 

2-10-2 Notwithstanding [Section 2-10-1 ], the terms of any Predecessor Agreement (including, 

without limitation, any limited waiver of sovereign immunity and jmisdictional waivers and 

consents set forth therein) shall survive to permit the resolution of payment disputes. Such 

disputes shall be resolved through the procedures set forth in Section [2-8] of this Compact. 

Failure to abide by the procedures set forth in Section [2-8] or failure to comply with an 

arbitrator's final decision with respect to the parties' obligations under a Predecessor Agreement 

constitutes a breach of this Compact. This survival provision is intended to provide for the 

reasonable resolution of past disputes without hindering a Tribe's ability to obtain a new 

compact. 

2-11 CRlMINAL JURISDICTION. 

66 
2-11-1 The Tribe and the State acknowledge that under the provisions of§ 23 of Pub. L. No. 

IOOA97, 102 Stat. 2467 (1988), which enacted the IGRA, especially that portion codified at 18 

U.S.C. § 1166( d), 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 consistent with the Indian Civil Rights Act, 25 

U.S.C. § 1301 (2), in the event of any violation of any State gambling law on Indian Lands or any 

other crime against the Gaming Enterprise or any employee thereof that occurs on the premises 

of the Gaming Facility that is committed by any non-Indian, 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. For purposes of clarity, if the Tribe qualifies for jruisdiction under the 

Violence Against Women Act Reauthorization of 2013 (which expanded tribal authority over 

domestic violence committed by non-Indians against Indian women in Indian countryO, Pub. L. 

No. 113-4, 127 Stat. 54 (2013) ('1VAWA"), then, for crimes committed in the Gaming Facility, 

the Tribe shall have and may exercise jurisdiction over such persons, under its laws and in its 

com1s to the extent authorized by VA WA. 

Gaming Enterprise or the Tribal Gaming Agency shall notify the State attorney general and the 

district attorney for the district in which the alleged crime occurred, supplying all particulars 

available 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 reasonably request, and 

otherwise cooperate fully 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 shall have the discretion to act as they see fit, and to call upon such other 

agencies or entities as they deem reasonable or necessary, in order to protect against any 

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 repo11 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 III 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 office of the district attorney to which 

memorandum of understanding the United States Attorney for the District of New Mexico may 

67 
also be a party. The memorandum of understanding may address 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. 

2-12 REVENUE SHARING. 

2-12-1 Consideration. The Tribe shall pay to the State a portion of its Class III 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 Machines, which the 

State may pennit on a limited basis for racetracks and for veterans' and fraternal organizations as 

such organizations are described in NMSA 1978, § 60-2E-3(GG), as amended through 2014. 

The Tribe agrees to pay this portion of its revenue in acknowledgment of the fact that the State is 

forgoing significant revenue that it would otherwise receive from non-tribal gaming enterprises. 

The Tribe acknowledges that it has received meaningful concessions and significant benefits for 

the limitations set forth in Section [2-12-4]. 

2-12-2 Revenue to State. The parties agree that, after the Effective Date hereof or after July 1, 

2015, whichever is later, the Tribe shall make the quarterly payments provided for in Paragraph 

C of this Section. For a Non-Operational Tribe, quarterly payments shall be due at the next 

quarter following the Tribe's first day of operation of the Gaming Facility. Each payment shall 

be made to the State Treasurer for deposit into the General Fund of the State. 

2-12-3 Calculation of Payment Amounts. 

A "Adjusted Net Win" means the combined Net Win from aH Class III Gaming 

Machines in the Gaming Facilities on the Tribe's Indian Lands, with the following 

adjustments: 

1 . Subtract the amount paid to the State by the Tribe under the provisions of 

Section [2-5-S(F)] of this Compact; and 

2. Subtract the sum of four hundred sixteen thousand dollars ($416,000) per 

year as the amount representing tribal regulatory costs, which amount 

shall increase by five percent (5%) as of July 1 of every fifth year 

thereafter as long as this Compact remains in effect; and 

3. Account for the amounts paid for wide-area progressive Class III Gaming 

Machines as set forth in the attached Appendix 

B. The Tribe shall pay the State a percentage of its Adjusted Net Win determined in 

accordance with this cha11: 

Annual Adjusted July I, 2015 - June July 1, 2018- June July 1, 2030 - June 

Net Win 30,2018 30,2030 30, 2037 

68 
2% of the first $6 2% of the first $6 2% of the first $6 

Under $20 Million: million, and 8.5% million, and 8.75% million, and 9.5% 

on the rest on the rest on the rest 

$20 - $40 million: 8.5% 8.75% 9.5% 

$40-$80 million: 9.00% 9.5% 10.25% 

More than $80 

million: 9.00% 10.00% 10.75% 

C. Payments due pmsuant to Section [2-12-3] shall be paid quarterly, no later than 

twenty-five (25) days ailer the last day of each calendar quarter, and shall be 

based upon the Adjusted Net Win during the preceding quarter; provided, 

however, that for any Tribe for whom this Compact becomes effective prior to 

July 1, 2015, the applicbale revenue sharing rate from any Predecessor Agreement 

shall apply until the quarter beginning on July 1, 2015. The Tribe shall ascertain 

the applicable revenue sharing percentage in Section [2-12-3(8)] above and shall 

base its quarterly payments on the following factors: (1) the prior year's total 

"Adjusted Net Win" amount and the applicable revenue sharing percentage; and 

(2) its best good faith estimate of its annual "Adjusted Net Win'' for the July 1 -

f,._ __ "l" -..-.. .... : ...... ...:1 T- 4-L,.... ,.,. ......... _.._ ~ ...... + ...... +~1 "A ..l! ...... + ..... ...I ~T ..... , 117;_,, ./:',,....,_ .... _ .... ............. L -.-.... ! ..... ..J .., \.U..L'-' ...J v •"··'.1.1\JU. .l.iJ I.Ii" ""v \,.1.H u.:> '-V'-Q.J rlr.UJ U\>L\.IU 1 'l\.rl. \'\' 1.11 .lVl auy .'.)U\.rll l''-'1 IVU 

varies from such estimate, such that the amount due the State for the first three 

quarters as set forth in Section [2-12-3(H)j, above, is different from the amount 

paid, the payment due for the fourth quarter 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 shal I accrue interest at the rate of ten percent ( 1 0%) per arumm, 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, and shall provide a copy of such documentation 

to the State Gaming Representative. 

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 obligation shall terminate altogether in the event the 

State: 

1. Passes, amends, or repeals any law, or takes any other action, that would 

directly or indirectly attempt to restrict, or has the eftect of restricting, the 

scope or extent of Indian gaming; 

2. Licenses, pennits or otherwise allows any person or entity other than six 

licensed horse racetracks and veterans and fraternal organizations as 

described in NMSA 1978, §60-2E-3(G)(G) to operate Gaming Machines; 

69 
3. Permits any licensed horse racetrack to operate a larger number of Gaming 

Machines, or to operate any Gaming Machines for longer hours, than is set 

forth in Subsection (2-12-4(B)(5)], below, or to operate any Gaming 

Machines outside of its licensed premises, or to operate any Table Game; 

4. Licenses, permits or otherwise allows any non-Indian person or entity to 

engage in any other form of Class III gaming other than a state-sponsored 

lottery, pari-mutuel betting on horse racing and bicycle racing, operation 

of Gaming Machines, and limited fundraising by non-profit organizations, 

as set forth in Subsection (2-12-4(8)], below. 

B. The parties agree that the State's allowance of the following forms of Class III 

Gaming, subject to the limitations expressly set forth herein, shall not be 

considered an expansion of non-tribal Class III 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: 

1. The operation of a State lottery; 

2. The operation of Gaming Machines by any fraternal or veterans 

organization as described in NMSA 1978, § 60-2E-3(G)(G) but only for 

the benefit of such organization's members; 

3. Limited fundraising activities conducted by nonprofit tax exempt 

organizations; 

4. The conduct by licensed horse racetracks and bicycle tracks of parimutuel betting on races at such tracks, and on simulcast races 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 (11 2) hours in any 

calendar week, and provided further that no licensed horse racetrack shall 

have more 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 racing license for a horse 

racetrack other than the five horse racetracks holding such licenses as of January 

70 
I, 2015 or the approval of an application by a licensed horse racetrack or move its 

racing and gaming facilities to a new location afler January 1, 2015, 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 application. 

2-12-S Third-Party Beneficiaries. 

The provisions of this Section are not intended to create any third-party beneficiaries and are 

entered into solely for the benefit of the Tribe and the State. 

2-13 DURATION; TERMINATION FOR NON-PAYMENT. 

2-13-l This Compact shall have a term commencing on the date on which it goes into full force 

and effect as provided in Section [2-10], and ending at midnight on June 30, 2037. 

2-13-2. Notwithstanding the provisions of Section [2-13-1], if the Tribe fails to comply with any 

of its payment obligations to the State under Sections f2-5-5(F), 2-10-2 or 2-12 of this Compact, 

and persists in such failure for a period of thirty (30) days after receipt, by certified mail, of a 

"Notit'P nf Nnnf"'nmn11!0\nf"'P !O\n~ TPrn'lin<>t;An frw 1'.Tnn_P.,.umPnt" ""'"t hu th<> ~t<>t." r..,.,....;,.....,. - ..... _..., __ "''" "~ ....... _.....,..,_...,l:"'_..__ .. .., __ -... ... - ..,_.a..a.aaa.a.&_..,..,..._...,.., ...__.., "~-•• "-.1•••V••"' VV&a.• -; ........ t..J,_.__ ...... _Aa..a.a.•a.f:> 

Representative to the Tribal Gaming Agency, 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 Ill Gaming by the Tribe hereunder, shall terminate automatically as of the end of the 

thirty (30)-day period, unless within such thirty (30)-day period the Tribe shall have either cured 

the non-payment to the satisfaction of the State Gaming Representative or invoked arbitration on 

a matter of fact as provided in Section [2~8-1 (B)] of this Compact, and simultaneously shall have 

placed into escrow, in an institution that is unaffiliated with either the Tribe or the State, a sum of 

money equal to the amount claimed due hy the State with instructions to the escrow i:ieent 

specifying that such sum shall not be released except by direction of the arbitrator or arbitration 

panel or pmsuant to a settlement agreement of the parties. The Tribe shall give written notice to 

the State of the deposit of the amount in di~pute 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 Ill gaming shall terminate automatically at the end of the thirtieth (301h) day after 

the entry of a final, non~appealable decision by the arbitrators or by a court having jwisdiction of 

the dispute, unless the full amount determined by the arbitrators 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 patties under this Compact solely by virtue of 

the termination of the Compact. 

2-14 NOTICE TO PARTIES. 

2-14-1 Within (10) days of the Etlective Date of this Compact, or for a Non-Operational Tribe, 

prior to the Tribe's first day of operation of its Gaming Facility, the State Gaming Representative 

71 
and the Tribal Gaming Agency shall provide to the other the address at which notices under this 

Section may be received. Any change in address by the Tribe or the State shall be 

communicated in writing to the other party. 

2-14-2 Unless otherwise indicated, all notices, payments, requests, repo1ts, information or 

demand 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, sent by first-class mail or another reliable 

courier service, or sent by electronic mail (with confirmation of receipt of transmission) 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 party to 

whom said notice is addressed. 

2-15 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 orally, but 

only by an instrument, in writing, signed by the Tribe and the State and approved by the 

Secretary of the Interior. This Compact shall 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 FILING OF COMPACT WITH STATE RECORDS 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. 

2-17 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. All such counterparts 

shall together constitute one and the same document. 

2-18 INTERNET GAMING. 

2-18-1 Tn the event that internet gaming is authorized within the State, the State and the Tribe 

agree that they will reopen good faith negotiations to evaluate the impact, if any, of internet 

gaming and consider adjustments to the Compact. The parties understand and agree that it is not 

possible to detennine at this time what, if any, adjustments to the Compact would be necessary. 

72 
2-19 APPLICABILITY. 

2-19-1 The Tribe has informed the State that it does not intend to conduct Class Ill Gaming on 

Indian Lands which are eligible for gaming pmsuant to 25 U.S.C. §§ 2719 (a)(2)(8), (b)(l)(A), 

(b)(l)(B)(ii) or (b)(l)(B)(iii). The Tribe aclmowledges and agrees that there are unique 

circumstances and conditions that are often implicated by such lands and that it has not asked the 

State to consider those issues during these negotiations. With that understanding~ the Tribe has 

agreed that it will not conduct Class III Gaming on such lands pursuant to 25 U.S.C. §§ 2719 

(a)(2)(B), (b)(l)(A), (b)(l)(B)(ii) or (b)(l)(B)(iii) under the terms of this Compact and will 

negotiate a separate Compact in the future if it desires to conduct Class JJT Gaming on Indian 

Lands that are eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), (b )(1 )(A), 

(b)(l)(B)(ii) or (b)(l)(B)(iii). 

2-20 SEVERABILITY. 

2-20-1 Should any provision of this Compact be found to be invalid or unenforceable by any 

court, such determination shall 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, 2-7, 2-10, 2-12 and 2-13 hereof, or to 

any portions thereof, which the parties agree are non-severable. 

73 
PART III - Appendix 

APPENDIX to the 2015 Compact Amendments 

WHEREAS: the Ohkay Owingeh ("Tribe"), a federally recognized Indian tribe, operates a 

Gaming Enterprise on its land located within the exterior boundaries of the Tribe's Indian Lands; 

WHEREAS, the Tribe conducts gaming activities on its Indian Lands pursuant to a compact 

entered into between the Tribe and the State and approved by the United States Department of 

Interior; 

WHEREAS, the Ohkay Owingeh Gaming Commission is the Tribal Gaming Agency ("TGA") 

identified to the State Gaming Representative ("SGR") as the agency responsible for actions of 

the Tribe set out in the Compact and is the single contact with the State and may be relied upon 

as such by the State; 

WHEREAS, the SGR is the person designated by the New Mexico Gaming Control Board 

("NMGCB") pursuant to the Gaming Control Act [NMSA 1978, § 60-2E-1 to -62 (1997, as 

amended through 2014)] who shall be responsible for the actions of the State set out in the 

Compact; 

WHEREAS, the Tribe and the State have engaged in negotiations leading to this Compact to be 

submitted for approval by the 2015 Legislature; and 

WHEREAS, the Tribe and the State wish to submit for approval certain details concerning 

aspects of their agreement to be made an integral part of the 20 l 5 Compact, but to be designated 

as the Appendix to the Compact; 

NOW, THEREFORE, the State and the Tribe agree to the following additional terms and 

conditions: 

I. Gaming Machines and Table Games 

Section [2·3-11] and Section [2-3-23] of the Compact provide definitions for Class III 

Gaming Machines and Table Games. The definition of a Class III Gaming Machine is intended 

to encompass the traditional slot machine. The definition of a Table Game is intended to 

encompass traditional games that use cards such as Pai-gow and blackjack, wheel games such as 

roulette and the Big Wheel, and dice games such as craps. 

However, technology is constantly changing in the area of casino gaming and the once 

clear line between slot machines and Table Games is becoming less clear. Jt is the intention of 

the parties to accommodate and clarify revenue sharing requirements of new games that blur the 

line between traditional games. Generally, games that are predominantly mechanical, 

electromechanical or electronic are subject to revenue sharing and games that rely significantly 

on a casino attendant (a live person) to play the game are not subject to that obligation. Casino 

attendant involvement ranges from minimal interaction such as initiating the game and taking 

74 
bets and/or making payout to substantial interaction such as participating in the game as a player 

(~.g. blackjack) or being involved in nearly every aspect of the game (e.g. craps). The greater the 

involvement of the casino attendant, the more likely the game is a Table Game. For example, a 

casino attendant may have some minimal involvement in an electromechanical slot machine 

game, such as making a pay-out, but that is not a significant enough involvement to exclude it 

from revenue sharing obligations. Likewise, although roulette has a mechanical aspect, it is not 

significant enough to make it subject to revenue sharing obligations. 

Recognizing the dynamic nature of gaming technology, the parties shall attempt to agree 

on whether new mechanical, electromechanical or electronic games that utilize traditional 

components of Table Games, e.g. cards, wheels or dice, are subject to revenue sharing on a case 

by case basis. In the event the parties are unable to agree, the matter shall be submitted to 

arbitration pmsuant to Section [2-8]. 

State Monitoring and Control System. Section [2-5-2(M)] of the Compact provides that 

the Tribe shall make available to the SGR, unaltered data from all Gaming Machines. The 

information shall be downloadable from the Tribe's monitoring and control system. The patties 

agree that access to such data shall be made available as follows: 

A. The SGR or <lesiimee shall have access to the Gaminv Machin~ ar.r.rnmtino - u .. ········-·---(;::> 

data from the production side of the Tribe's monitoring and control system. The Gaming 

Machine accounting data consists of the raw, unaltered, data used by the Tribe to 

calculate Net Win. This information shall not be in an altered, processed or manipulated 

format. This information shall be accessible by the SGR, as the SGR shall from time to 

time determine is required, on a per machine and/or aggregate basis based on a full game 

day cycle. The purpose of this information is to allow the SOR to verify the Tribe's Net 

Win calculation. A system for electronic access to the Tribe's Gaming Machine 

accounting data shall be constructed and installed at the State's cost. 

B. The security codes for log-in by the SGR or designee shall be defined 

collectively by the TGA, the manufacturer of the monitoring and control system, and the 

SGR. 

C. Access to the Gaming Machine accounting data shall be limited to the 

SGR or designee solely for purposes authorized in the Compact. 

D. Any part of the Gaming Machine accounting data obtained herein is 

designated as confidential under the Compact and shall not be made available for public 

inspection hy the SGR. 

E. The information referred to herein shall be transferred over secure 

telecommunications lines. 

F. The TOA shall ensme that the systems and connections necessary to 

provide access to the Gaming Machine accounting data are in place and operating as 

required under the Compact. 

75 
G. The TGA shall ensure that the SGR or designee is notified promptly either 

by electronic mail or telephone of any technical problems related to the generation, 

transfer or access of the Gaming Machine accounting data. 

H. The TGA shall ensure that the SGR has access to the Gaming Machine 

accounting data on a periodic basis as detennined from time to time by the SGR. but in 

no event shall access be more often than once in a 24 hour period and the SGR shall 

strive to access such information in a reasonable manner and only to the extent necessary 

to meet his obligations under the Compact. 

I. The TGA shall at all times designate a person and an alternate as the daily 

contact person of the SGR or designee. 

IL Audits and Compliance 

A. Section [2-5-5(B)] provides that the TGA will ce1tify annually to the SGR that 

the TGA has met its obligations under this Compact. 

1. The TGA shall annually certify to the SGR that the Tribe is in compliance 

with the provisions of the Compact by completing and submitting a 

Compliance Report. 

2. The Compliance Report contains a checklist of the applicable sections of 

the Compact substantially similar to the form outlined as "Form A" 

provided at the end of this Appendix. The Compliance Report shall serve 

as an annual attestation to ce11ify that the Tribe, TGA and the Tribal 

Gaming Enterprise have met the obligations under the Compact. 

3. The TGA shall complete and submit to the SGR its Compliance Report 

within thirty (30) days of the end of the Tribe's fiscal year. 

4. The TGA shall rely upon its records in preparing the Compliance Report. 

As evidence that the elements or requirements of the Compact have been 

met, the TGA shall conduct a comprehensive review of their gaming 

operations, which may include sample testing. The TGA shall determine 

the sample size to be used and will provide the methodology of the chosen 

sample size to the SGR. The TGA shall maintain all records relied upon 

in preparing the Compliance Report. The records shall be made available 

for review by the SGR or agent as requested. 

5. The TOA shall attach a written explanation of the course of action taken to 

remedy or explain any portions of the audit checklist that are listed as noncompliant or partially compliant. The SGR reserves the right to review 

the audit checklist and request additional documentation if necessary, 

including all source documents and data. 

76 
6. lbe SOR reserves the right to inspect and verify pursuant to Section [2-5-

5(C)] of the 2015 Compact. 

7. In addition to the Compliance Report, and within thirty (30) days of the 

end of the Tribe's fiscal year, the TOA shall provide the SOR an annual 

report accounting for the Tribe's use of the funds identified in Section [2-

5-2(P)] and Section [2-5-6(B)(2)(c)] of the Compact, including the 

organizations or programs funded, the amount of funding provided to 

each, and demonstrating that the funds were used for the purposes 

described in Section [2-5-2(P)] of the Compact. 

B. Section [2-5-5(C)] of the Compact provides authorization for the SGR to inspect a 

Gaming Facility, Class lll gaming activity, individual Gaming Machines and all 

records relating to Class lil Gaming of the Tribe. The parties agree that the 

protocol for inspection of Gaming Machines shall include the following: 

1. The SGR shall have access to inspect individual Gaming Machines upon 

the terms and conditions set forth in Section [2-5-5(C)] of the 2015 

Comp::ict. 

2. The SGR recognizes that the Tribal Gaming Enterprise is a business and 

will take reasonable steps to not interfere with the normal conduct of the 

gaming business. 

3. The SGR recognizes that the TGA has primary responsibility to administer 

and enforce the regulatory requirements of the Compact and does so 

tlu·ough internal controls, direct control of the gaming media and the 

security and access of the gaming media in a Gaming Machine. 

4. The TOA shall be present at any inspection, upon having been given 

notice as set out in Section [2-5-S(C)], and testing of the gaming media 

shall be conducted by the TGA representative and verified by the SGR. 

5. The SGWs inspection of individual Gaming Machines shall be limited to 

purposes authorized by this Compact. 

III. Progressive Games, Participation Fees, Free Play and Point Play, and Players' Clubs and 

Complimentaries 

A. Pro-rata Portion of Wide-Area Progressive System Fees 

Similar to the proprietary (in-house) progressive gaming devices, the top jackpots for 

wide-area progressive gaming devices increment with the level of play. However, in the case of 

wide-area progressive gaming devices, a third-party vendor operates the system. The system 

spans multiple casinos. The top jackpots increment as each of the Gaming Machines in the 

77 
system is played, regardless of the casino in which the gaming machine is located. The thirdparty vendor administers the system. In return, the casinos make periodic payments to the thirdparty vendor. The vendor payments provide for the progressive jackpot and a fee to the thirdparty vendor. The casinos collect the cash or cash equivalents from these Gaming Machines as 

drop. When a progressive jackpot is won, the third-party vendor pays the jackpot from funds 

collected from the casinos. 

If in calculating Net Win, fees to the third-party vendor in excess of those amounts 

necessary to fund the progressive jackpots have been applied to reduce Net Win, then for 

purposes of calculating Adjusted Net Win, the Tribe shall add back those amounts that did not 

fund the progressive jackpots. The third-party vendor will need to inform the Gaming Enterprise 

in writing as to the specific amount of the vendor payments that are contributed to the 

progressive system payouts (jackpots). 

B. Participation Fees 

Broadly, participation fees are any contractual payments made by casinos that are set at a 

minimum or maximum amount per day or are tied to the total coin-in, or drop generated by the 

gaming devices being operated, or other financial measures related to the operation of the 

gaming devices. An example of participation fees is the periodic payments casinos make to the 

third-party vendor for the use of a Gaming Machine. Participation fees can also be royalty 

payments, lease payments, or payments for other contractual arrangements. 

The participation fee is an expense and is not deductible for the purposes of revenue 

sharing and should be treated accordingly. 

C. Free Play and Point Play 

Under the terms of this Compact, Free Play and Point Play do not increase Net Win, and 

amounts paid as a result of Free Play or Point Play reduce Net Win for purposes of the revenue 

sharing calculation in Section [2-12-3]. However, any form of credits with any cash redemption 

value increase Net Win when wagered on Gaming Machines and amounts paid as a result of such 

wagers reduce Net Win for purposes of calculating revenue sharing. 

D. Promotions, Players' Clubs, Non-Cash Prizes and Complirnentaries 

Any rewards, awards or prizes, in any form, received by or awarded to a patron under any 

form of a players' club program (however denominated), or promotion, or as a result of patronrelated activities, are not deductible from Net Win. The value of any complimentaries given to 

patrons in any form, including but not limited to food and lodging as addressed in Section [2-5-

2( (S) ], is not deductible from Net Win. 

If the Tribe chooses to use non-cash prizes in connection with play on a Gaming 

Machine, Net Win is reduced by the amount of the Gaming Enterprise's actual cost of a non-cash 

prize awarded as a direct result of a win on a Class TH Gaming Machine. 

78 
IV. Extension of Credit ptrrsuant to Section [2-5-2(.l)] 

A Intent. The State and Tribe acknowledge that when credit is provided to patrons 

that do not have sufficient assets or resources to repay the debt, there are negative 

impacts to the patron, the Gaming Enterprise and the State; however, the credit 

that is contemplated herein is designed to attract only ce11ain qualified patrons 

that meet certain criteria and have demonstrated sutticient available fonds and 

assets to repay the debt. Specifically, the extension of credit is designed to allow 

high income, high volume players more convenient access to their own available 

funds. In recognition of the fact that granting credit is an important marketing 

tool for Tribes and may be helpful in attracting certain patrons to the State, the 

State and Tribe have agreed to allow for short term credit but have agreed to 

careful regulation and incorporated several safeguards to protect from any 

unintended consequences. 

B. State Requirt:mt:nts. In addition lo lht: provisions sel forth herein, the State has 

requested, and the Tribe has agreed, to comply with the following requirements: 

1. Credit extensions shall be no less than ten thousand dollars ($10,000.00). 

2. Credit extensions shall be required to be repaid by the patron within thirty 

(30) days. 

3. The Tribe may only extend credit to patrons that have an annual income of 

at least $200,000 for a single person or $300,000 for a couple and 

available cash balances that exceed the amount of credit extended to the 

patron. 

4. Approvals of any credit extension shall require that the Gaming Enterprise 

perform the following verifications: 

i. Any patron requesting credit shall be required to verify that the 

patron has an annual income of at least $200,000 for a single 

person or $300,000 for a couple. Verification of the patron's 

annual income shall be satisfied by the patron signing a statement, 

signed under penalty of perjwy, confirming the amount of the 

patron's annual income; and 

IL Any patron requesting credit shall be required to verify that the 

patron has available cash balances that exceed the amount of the 

credit to be extended. Verification of the patron's available cash 

balances shall be satisfied by the patron signing a statement, 

signed under penalty of perjury, confinning that the patron has 

available cash balances that exceed the amount of the credit lo be 

extended. As an additional safeguard, verification of the patron's 

personal checking account information shall be performed by the 

79 
Gaming Enterprise directly with the patron's bank or a bank 

verification service before extending credit to the patron. The 

verification shall include verifying that: (1) the patron has an 

existing and active checking account, (2) the checking account is 

in the patron's name; and (3) the total amount in all of the 

patron's accounts with that bank is in excess of the amount of 

credit requested. A bank verification service utilized by a 

Gaming Enterprise may make use of another bank verification 

service to make direct communication with the patron's bank. 

The Gaming Enterprise shall record the source of verification and 

the method by which each verification was performed in the 

patron's credit file. The verification may be performed 

telephonically prior to the credit approval provided the Gaming 

Enterprise or bank verification service requests written 

documentation of all information obtained as soon as possible and 

such written documentation is included in the patron's credit file. 

All requests for written information shall be maintained in the 

patron's credit file until such documentation is obtained. 

5. Approvals to increase the amount of credit granted shall require a 24-hour 

"cooling off' period between the time a request for an increase in the 

credit is received and when the additional credit amount will be made 

available to the patron. 

C. Tribal Minimum Internal Control. The Tribe or TGA shall adopt the minimum 

internal control standard set forth in 25 C.F.R. § 542.15, as may be amended from 

time to time (the "Tribal Credit MICS") and shall comply with any and all other 

applicable federal law. The Tribe or TGA may amend the Tribal Credit MICS 

and/or may enter into additional minimum internal control standards in order to 

continue efficient regulation and address future circumstances; provided that: (i) 

any amendments or additional standards shall be at least as stringent as 25 C.F .R. 

§ 542.15 in its current form as of the Effective Date of the Compact; and (ii) the 

Tribe provides a copy of the amendments and/or additional standards to the State 

for review and comment prior to implementation. The Gaming Enterprise shall 

offer Credit pursuant to written internal policies and procedures. The internal 

policies and procedures shall implement the minimum internal control standard. 

D. Certification. The following shall occur on an annual basis: 

1. The TGA shall certify that the Tribal Credit MICS meet or exceed the 

standards set forth in 25 C.F.R. § 542.15 (as in effect on the Effective Date of this 

Compact or as it may be amended, provided that any later amendments are at least as 

stringent as the version in effect on the Effective Date of this Compact). 

2. The TGA shall certify that the Gaming Enterprise's written system of 

internal controls comply with the Tribal Credit MICS. 

80 
3. The TOA shall cause internal audits to be comlucte<l in conformance with 

the Tribal Credit MICS to test the Gaming Enterprise's compliance with the written 

system of internal controls and require that an Internal Audit Report be prepared, 

consistent with applicable provisions of the Tribal Credit MICS, a copy of which 

Internal Audit Report shall be provided to the SGR. 

4. The TGA shall investigate any exceptions identified in the (nternal Audit 

Report and require the Gaming Enterprise to correct any substantiated exceptions. 

5. The TOA or the Tribe shall engage an independent certified public 

accountant to conduct agreed-upon procedures consistent with applicable provisions 

of the Tribal Credit MICS and prepare a report documenting the results of those 

procedures ("Agreed-Upon Procedures Repott"), a copy of which report shall be 

provided to the SGR. The independent certified public accountant shall be licensed in 

the State to practice as an independent certified accotmtant. 

6. The TGA shall send a report to the SOR which describes the status of 

compliance of the Gaming Enterprise with the Tribal Credit MTCS. The TGA's 

annual report to the SGR, shall certify if material compliance with the Tribal Credit 

MICS has been achieved and shall enclose: (i) the TOA Internal Audit Report; (ii) 

the Agreed-Upon Procedures Report; and, (iii) any written communications of the 

independent certified public accotmtant including management letters regarding 

weaknesses or deficiencies in internal controls issued in connection with the Agreed· 

Upon-Procedures Report, including but not limited to documentation related to any 

financial review/audit of gaming revenue. 

7. lf, upon review, the SGR reasonably determines that there is substantial 

evidence of material noncompliance with the requirements of the Tribal Credit MICS, 

the SOR may request a meeting to consult with the TGA regarding the method and 

means by which the Tribe determines that the Tribal Credit MICS are properly being 

enforced. The TGA and SOR shall meet within thirty (30) days of a written meeting 

request from the SGR. The SGR meeting request shall identify its basis for a 

determination that there is substantial evidence of material noncompliance with the 

requirements of the Tribal Credit MJCS. During this meeting, the SGR and TOA shall 

make good faith efforts to address the issues identified in the SOR meeting request. 

8. A violation of the Tribal Credit MICS or any other applicable federal law 

or regulation or any other applicable law shall be considered a breach of the Compact. 

E. Compliance and Reporting. The TGA shall audit compliance annually of policies 

and procedw-es fur cre<lil consistent with the MICS Audit Checklist - Credit 

promulgated by the National Indian Gaming Commission, 1 a copy of which shall 

1

http://www.nigc.gov/Laws _Regulations/Commission_ Regulations/Minimum_ lnternal_ Control_ Standards/25 _CPR 

_Part_ 542c.aspx 

81 
be provided to the SGR. In addition, on a qua1terly basis, the Tribe or TOA shall 

report the following to the SGR for the previous quarter: 

1. the total amount of the credit extended; 

2. the number of credit extensions granted; 

3. the number of patrons receiving credit and the number of extensions per 

patron; 

4. the amount of each individual credit extension; 

5. the city and state of residence for each patron granted credit; 

6. the aging report of the Gaming Enterprise reflecting the amounts owed; 

and 

7. the amount of any vvrite-offs and any collection eff01ts by collection 

agencies. 

f. Consumer Protection. The Gaming Enterprise is obligated to observe the 

following terms and conditions associated with granting credit: 

1. The Gaming Enterprise is prohibited from allowing a patron to directly 

purchase gaming chips, checks or credits with a credit card. However, 

nothing herein prevents a patron from making A TM withdrawals using a 

debit or a credit card. 

2. The Gaming Enterprise is prohibited from charging interest or fees for 

credit extended to patrons. 

3. Outstanding balances are payable within thirty (30) days. 

4. The Gaming Enterprise reserves the right to require the payoff of 

outstanding balances from table games winnings or slot jackpots. 

5. The Gaming Enterprise is prohibited from selling delinquent account 

balances to collection specialists for purposes of collecting outstanding 

amounts owed. 

6. The Gaming Enterprise is prohibited from awarding, granting or paying 

incentives of any kind to Gaming Enterprise employees based on the 

granting of credit or the amount of credit extended. 

7. The Gaming Enterprise is prohibited from awarding, granting or paying 

incentives of any kind to induce any Gaming Enterprise patron to obtain 

credit. 

8. The Gaming Enterprise shall designate certain employees as credit 

department representatives or executives with the authority to approve 

credit for gaming activities. A credit department representative shall not 

perform any duties incompatible with the assessment of a patron's credit 

82 
worthiness such as recruitment of or marketing to patrons or prospective 

patrons. 

9. Any patron that applies for a credit shall be provided written notice of the 

terms and conditions of the credit including the consequences for failure to 

repay the debt. 

10. In assessing whether to increase the credit limit to a patron, the Gaming 

Enterprise shall consider the patron's player rating based on a continuing 

evaluation of the amount and frequency of play subsequent to the patron's 

initial receipt of credit. The patron's player rating shall be readily available 

to representatives of the Gaming Enterprise's credit department prior to 

their approving a patron's request for a credit limit increase. Significant 

deviations in the patron's player rating shall be viewed negatively in 

determining whether to grant or deny credit to a patron. 

11. Judicial collection of debts shall only be pursued in the state court where 

the patron resides and the law of the state in which the patron resides shall 

apply. 

G. No Reduction in Revenue Sharing. There is no reduction in revenue sharing 

payments owed by the Gaming Enterprise for uncollectible debt related to credit 

extensions. 

H. Applicability. The requirements of Section IV of this Appendix shall only apply 

in the event that the Tribe offers credit as permitted in Section [2-5-2(J)]. ln the 

event that a Tribe does not offer credit as pennitted in Section [2-5-2(J)], the 

requirements of Section TV shall not apply. 

V. Discretionary Complimentaries pursuant to Section [2-5-2(S)J 

A. Tribal Minimwn Internal Control Standard. The Tribe or TGA shall adopt the 

minimum internal control standard set forth in 25 C.F.R. § 542.17, as may be 

amended from time to time ("Tribal Complimentaries MICS") and shall comply 

with any and all other applicable federal law. The Tribe or TGA may amend the 

Tribal Complimentaries MICS and/or may enter into additional minimum internal 

control standards in order to continue efficient regulation and address future 

circumstances; provided that: (i) any amendments or additional standards shall be 

at least as stringent as the 25 C.F.R. § 542.17 in its cun-ent form as of the 

Effective Date of the Compact; and (ii) the Tribe provides a copy of the 

amendments and/or additional standards to the State for review and comment 

prior to implementation. The Gaming Enterprise shall offer discretionary 

Complimentaries pursuant to written internal policies and procedures. The 

internal policies and procedures shall implement the minimum internal control 

standard. 

83 
B. Calculation of Complimentaries. The "cwnulative market value" shall be 

calculated based on the average daily rate (ADR) for lodging and the menu 

pricing for food. 

C. Compliance and Reporting. The TGA shall audit compliance annually of policies 

and procedures for discretionary Complimentaries consistent with the Ml CS 

Audit Checklist - Complimentary Services and Items promulgated by the 

National Indian Gaming Commission,

2 a copy of which shall be provided to the 

SOR. In addition, on a quarterly basis, the Tribe or TOA shall report the 

following to the SGR for the previous quarter: the total amount of the 

discretionary Complimentaries during the previous quarter (and a cumulative total 

of the previous quarters for the year) in dollars and as a percentage of Adjusted 

Net Win for such quruter. 

D. Applicability. The requirements of Section V of this Appendix shall only apply in 

the event that the Tribe offers discretionary Complimentaries as permitted in 

Section [2-5-2(S)]. Jn the event that a Tribe does not offer discretionary 

Complimentaries as permitted in Section [2-5-2(S)J, the requirements of Section 

V shall not apply. 

2http://www.nigc.gov/Laws _ Regulations/Commission_Regulations/Minimum_Intemal_ Control_ Standards/25 _ CFR 

_Part_ 542c.aspx 

84 
FORM A 

New Mexico Gaming Control Board 

COMP ACT COMPLIANCE CHECKLIST 

Compliance Report 

Fiscal Year 20 

Key: X - Compliance 

I - Pa11iaJ Compliance 

(Blank) - Non-Compliance 

NA - Not Applicable 

Complia nce Triba l-State Compact 

with Section 

Compliance 

with Section 

Tribal-StateConrnact Compliance 

with Section 

D 

D 

D 

n 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

~ction 3. A:uthQrized 

Class Jll Gaming. 

Section 1. Conduct of 

Class III Gaming. 

Section 1.A.(l l 

S~~tiQD 4 A (2) 

S~ction 4.A.(3) 

SeQtiQn 1.A.( 4) 

SeQtiQn 1.A.W. 

Se~ajoa !l.A.(6) 

S~QliQD 1.A.(8) 

~~Qtion 1.A..{2) 

SectiQn 4.B.(I) 

S~ctiQa B.~). 

Sectign 4.B.(3) 

Section 1.B.(1) 

SeQtion 4.B.(5) 

S~Qtioo 1.B.(fil 

S~QtiQn 1.B.Ql 

SeQtion 1.B.(8) 

SeQtiQn 1.B.(2) 

Section 1.B.(l Q'} 

S~ctiQu 1.B.( 11) 

s~ctioD !l.B.c 121 S~QtiQn l.B.( 13) 

s~ctiQu 1.B.( I 1l 

S~ctiou 1.B.( 15) 

S~QtiQD 4.B.(16) 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

0 

0 

Sectim11.B (12) 

S.ectiQ11 4.B.(18) D 

Section !l.B.(12) D 

Section 1.C. D 

Section 4.D. D 

Section 1.E.(l) D 

~~QtiQo 1.E.(2) D 

S~QtiQn 1.E.(3) n 

SeQtion 1.E.(1) D 

SeQtiQ~1 1.E,(5) D 

S~Qtion 1.E.(6) D 

Section 1.E.(l l 

Section 4.E.(2) 0 

S~QtiQn 5. LiQ1msiag D 

B.~11 ir~meots. 

SectiQn 5.A. D 

Section 5.B. D 

Section 5,C. D 

Section 5.D. D 

S~QtiQD 6. £rnyid~rs Qf D 

0 Class JU Gaming D 

Eguipment or Devices D 

or Supplies. 

~tfon 6.A, 0 

SectjQn 6,B. D 

SectiQD 6.C. 

85 

Tribal-State 

SeQtion 8. £roreQtio11 Qf 

Visitors. 

Section 8.A. 

Section 8.B. 

Section 8.C. 

Section 8. D. 

Section 8.E. 

Section R,F, 

SeQtion 8.G, 

Section 8.H, 

Section 8.L 

S~Qtfon JO. Criminal 

Jurisdiction. 

Sg!.:tign 1 !l.C. 

Se~tfon 11. R~venue 

Section I l .A. 

S~QtillD 11.B. 

Section ] I ,C. 

Appendix 

Section Tl.A. Aud it 

~~Qt QD [l.B. ID~Q~Q!iQD 

SectiQn III Erng[~ss ive 

Games 

S~QtiQD lY (;[~dit 

::iectiQD Y.. {;QIDR§ 
INDIAN GAMING COMPACT 

BETWEEN 

THE STATE OF NEW MEXICO 

AND 

OHKAY OWINGEH 

EXHIBIT4 
SECTION 1. 

SECTION 2. 

SECTION 3. 

SECTION 4. 

SECTION 5. 

SECTION 6. 

SECTION?. 

SECTIONS. 

SECTION9. 

SECTION 10. 

SECTION 11. 

SECTION 12. 

SECTION 13. 

SECTION 14. 

SECTION 15. 

SECTION 16. 

SECTION 17. 

SECTION 18. 

SECTION 19. 

TABLE OF CONTENTS 

Purpose and Objectives ..................................................................................... 2 

Definitions ........................................................................................................ 2 

Authorized Class III Gaming ............................................................................ 5 

Conduct of Class III Gaming ............................................................................ 6 

Licensing Requireinents . ................................................................................ 18 

Providers of CJ ass III Gaming Equipment or Devices or Supplies ................ 19 

Dispute Resolution .......................................................................................... 19 

Protection of Visitors ...................................................................................... 21 

Execution; Effective Date; Claims under Predecessor Agreement. ............... 23 

Criminal Jurisdiction ....................................................................................... 23 

Revenue Sharing ............................................................................................. 24 

Duration; Termination for Non-Payment. ...................................................... 27 

Notice to Parties .............................................................................................. 28 

Entire Agreement. ........................................................................................... 28 

Filing of Compact with State Records Center ................................................ 28 

Counterparts .................................................................................................... 28 

Internet Gaming .............................................................................................. 28 

Applicability ................................................................................................... 29 

Severability "'':"'''" .............................................................................................. 29 
INDIAN GAMING COMPACT BETWEEN THE STATE OF NEW MEXICO 

AND OHKA Y OWING EH 

FEBRUARY 2015 

INTRODUCTION 

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; 

Ohkay Owingeh ("Tribe") is a sovereign federally recognized Indian tribe and its 

governing body has authorized the officials of the Tribe to enter into contracts and agreements of 

every description, including this Compact, with the State; 

The Congress of the United States has enacted the Indian Gaming Regulatory Act of 

1988, 25 U.S.C. § 2701 et. seq. (hereinafter "IGRA"), which permits Indian tribes to conduct 

Class III Gaming on Indian Lands pursuant to tribal-state compacts entered into for that purpose; 

The 1999 State Legislature has enacted SB 737, as 1999 N.M. Laws, ch. 252, known as 

the "Compact Negotiation Act," creating a process whereby the State and the Tribe have 

engaged in negotiations leading to this Compact, with review by a joint legislative committee, 

and with final approval by a majority vote in each house of the Legislature; 

The Tribe owns or controls Indian Lands and by Ordinance has adopted, or will adopt, 

rules and regulations governing Class Ill games played and related activities at any Gaming 

Facility; 

The State and the Tribe, in recognition of the sovereign rights of each party and in 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, government-to-government negotiations recognizing and 

respecting the interests of each party and have agreed to this Compact, and following those 

individual negotiations, have combined multiple tribal-state negotiations to develop this single 

Compact; 

The Tribe has informed the State that it does not intend to conduct Class III Gaming on 

Indian Lands that are eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), (b)(l)(A), 

(b)(l)(B)(ii) or {b)(I)(B)(iii). If, in the future, the Tribe desires to conduct Class Ill Gaming on 

Indian Lands eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), {b)(l)(A), 

{b)(l)(B)(ii) or {b)(I)(B)(iii), the Tribe intends to negotiate a separate compact with the State to 

address the unique circumstances and conditions associated with such lands. The Tribe 

acknowledges and agrees that it has not addressed those circumstances and conditions in the 

negotiations leading up to this Compact and that there are federal authorizations required to 

determine eligibility to game on those lands. For those reasons, the Tribe agrees that the 

execution of this Compact is not evidence of and cannot be used to support a determination that 
any land located in the State is eligible for gaming pursuant to the 25 U.S.C. §§ 2719 (a)(2)(B), 

(b)(l)(A), (b)(l)(B)(ii) or (b)(l)(B)(iii). 

NOW, THEREFORE, the State and the Tribe agree as follows: 

SECTION 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 III Gaming on Indian Lands within the 

State of New Mexico as required by the IGRA; 

D. To fulfill the purpose and intent of the IGRA by providing for tribal gaming as a 

means of generating tribal revenues, thereby promoting tribal economic development, tribal selfsufficiency, and strong tribal government; 

E. To provide revenues to fund tribal government operations or programs, to provide 

for the general welfare of the tribal members and for other purposes allowed under the IORA; 

F. To provide for the effective regulation of Class III 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 III Gaming is conducted fairly and honestly by the owners, 

operators, employees and patrons of any Class III Gaming Enterprise on Indian Lands. 

SECTION 2. Definitions. 

For purposes of this Compact, the following definitions pertain: 

A. "Adjusted Net Win" is Net Win with certain deductions for purposes of 

calculating revenue sharing as set forth in Section 1 J(C) of this Compact. 

B. "Card Minder'' means a technological aid for a bingo game that serves as an 

electronic substitute for bingo cards and is used by a player to monitor bingo cards and called 

bingo numbers. A Card Minder does not include a device which permits a player to cover or 

daub a bingo card other than through overt action after numbers are released. 

C. "Class III Gaming" means all forms of gaming as defined in 25 U.S.C. § 2703(8), 

and 25 C.F.R. § 502.4. 

D. "Compact" means this compact between the State and the Tribe, and including the 

Appendix attached hereto. 

2 
E. "Compliance Report" is the report submitted annually to the State Gaming 

Representative by the Tribal Gaming Agency according to the requirements set forth in the 

Appendix attached to this Compact. 

F. "Effective Date" has the meaning set forth in Section 9(A) of this Compact. 

G. "Free Play'' means play on a Class III Gaming Machine initiated by points or 

credits provided to patrons without monetary consideration, and which have no cash redemption 

value. 

H. "Gaming Employee" means a person connected directly with the conduct of Class 

III Gaming, handling the proceeds thereof, or handling any Gaming Machine; but "Gaming 

Employee" does not include: 

1. Bartenders, cocktail servers or other persons engaged solely in preparing 

or serving food or beverages; 

2. Secretarial or janitorial personnel; 

3. Stage, sound and light teclmicians; or 

4. Other nongaming personnel. 

I. "Gaming Enterprise" means the tribal entity created and designated by the Tribe 

as having authority to conduct Class III Gaming pursuant to this Compact. 

J. "Gaming Facility" means each separate physical building or structure in which 

Class III Gaming is conducted on the Tribe's Indian Lands. 

K. "Gaming Machine0 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, notwithstanding that some skill 

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 Card Minder or a Table Game or any 

devices utilized in Table Games. Additional clarification of the definitions of a Gaming 

Machine and a Table Game is set forth in the attached Appendix. 

L. "Indian Lands" means: 

1. all lands within the exterior boundaries of the Tribe's reservation and its 

confirmed grants from prior sovereigns; or 

2. any other lands title to which is either he1d in trust by the United States for 

the exc1usive 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 Jand within a 

3 
municipality that is outside of the boundaries of the Tribe's reservation or confirmed Spanish 

grant as those boundaries existed on October l 7, 1988. 

M. "Key Employee" means that term as defined in 25 C.F.R. § 502.14. 

N. "Management Contract" means a contract within the meaning of 25 U.S.C. §§ 

2710(d)(9) and 2711. 

0. "Management Contractor" means any person or entity that has entered into a 

Management Contract with the Tribe or the Gaming Enterprise. 

P. "Net Win•' means the win from gaming activities, which is the difference between 

gaming wins and losses before deducting costs and expenses or deducting incentives or adjusting 

for changes in progressive jackpot liability accruals. Generally, Net Win is the difference 

between patron wagers and payouts made on winning wagers. Additional clarification of the 

accounting for Free Play, Point Play, Participation Fees, and amounts paid with respect to wide 

area progressive Class III Gaming Machines is set forth in the attached Appendix. 

Q. "Ordinance" means the gaming ordinance, any amendments thereto adopted by 

the Tribal Council of the Tribe, and any regulations which are promulgated pursuant to the 

gaming ordinance. 

R. "Point Play" means play on a Class III Gaming Machine initiated by points 

earned or accrued by a player through previous Gaming Machine play, players' clubs, or any 

other method, and which have no cash redemption value. 

S. "Predecessor Agreement" means the last tribal-state Class HI Gaming compact, if 

any, entered into between the Tribe and the State preceding the execution of this Compact. 

T. "Primary Management Official" means that term as defined in 25 C.F.R. §502.19. 

U. "State" means the State of New Mexico. 

V. "State Gaming Representative" means that person designated by the Gaming 

Control Board pursuant to the Gaming Control Act [NMSA 1978, §§ 60-2E-1 to -62 (1997, as 

amended through 2014)] 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. 

W. "Table Game" means a Class III 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 played using a wheel, cards or dice, and that requires an attendant to initiate the game or 

to collect wagers or pay prizes. Additional clarification of this definition is set forth in the 

attached Appendix. 

X. "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 

4 
set out in the Compact. It will be the single contact with the State and may be relied upon as 

such by the State. 

Y. "Tribe" means the federally recognized Indian Tribe, Nation, or Pueblo located 

within the State of New Mexico entering into this Compact. 

SECTION 3. Authorized Class III Gaming. 

A. Pennitted Class III Gaming. The Tribe may conduct, only on Indian Lands, 

subject to all of the tenns and conditions of this Compact, any or all forms of Class Ill Gaming. 

B. Limitations. Subject to the foregoing, and subject to all of the tenns and 

conditions of this Compact, the Tribe shall establish, at its discretion, by tribal law, such 

limitations as it deems appropriate on the amount and type of Class III Gaming conducted, the 

location of Class III Gaming on Indian Lands, the hours and days of operation, and betting and 

pot limits, applicable to such gaming. 

C. Number of Facilities. 

l . The Tribe may operate: 

(a) Two (2) Gaming Facilities~ or 

(b) Three (3) Gaming Facilities if the Tribe has at least seventy five 

thousand (75,000) tribal members residing in the State. The Tribal membership shall be based 

on official figures from the Tribe's tribal enrollment office. Prior to the opening of a third 

Gaming Facility, the Tribe shall provide the State Gaming Representative with documentation to 

show that its Tribal membership numbers meet the requirements set forth herein. 

2. In addition to the number of Gaming Facilities permitted under Section 

3(C)(l), the Tribe may operate one (1) Legacy Gaming Facility if it meets the requirements in 

Section (C)(5) below. 

3. If the Tribe is eligible for a third Gaming Facility pursuant to Section 

(C)(l)(b) above, it shall not open such Gaming Facility to the public earlier than the date that is 

six (6) years from the Effective Date of the Compact. 

4. In no event shall the Tribe be permitted to operate more than the number 

of Gaming Facilities authorized under Section (C)(J) and one (1) Legacy Gaming Facility. 

5. If, as of June 30, 2015, the Tribe is already operating more than two 

Gaming Facilities and those Gaming Facilities are pennitted under the terms of its Predecessor 

Agreement, it may designate one (1) Gaming Facility as a "Legacy Gaming Facility'' and the 

following shall apply: 

(a) The Legacy Gaming Facility shall be that Gaming Facility with the 

fewest Class Ill Gaming Machines in operation as of June 30. 2015 (the "Legacy Gaming 

Facility Deadline Date,.), or in the event that a Tribe has more than one (1) Gaming Facility that 

s 
operates less than one hundred and thirty (130) Class Ill Gaming Machines, the Tnoe may 

designate one of those Gaming Facilities as its Legacy Gaming Facility by the Legacy Gaming 

Facility Deadline Date. 

(b) Within ten (10) days of the Legacy Gaming Facility Deadline 

Date, the Tribe shall have an authorized representative sign a sworn affidavit that designates the 

Legacy Gaming Facility, provides the location of the Legacy Gaming Facility, and a detailed 

description of its gaming operations at the Legacy Gaming Facility as of that date, including the 

specific number of Gaming Machines and any other gaming activities and shall submit said 

affidavit to the State Gaming Representative. 

(c) The Legacy Gaming Facility shall be permitted to move one (1) 

time from its location as of June 30, 2015 (the ''Existing Location"), subject to the following 

restrictions: 

i) the Legacy Gaming Facility shall not be moved more than 

seventeen (17) miles from its Existing Location; and 

ii) the Legacy Gaming Facility shall not be pennitted to move 

if its Existing Location is located within fifty (50) miles from another Tribe's Gaming Facility 

located within the State. 

(d) The Gaming Enterprise shall not operate in excess of one hundred 

thirty (130) Class III Gaming Machines at the Legacy Gaming Facility. 

SECTION 4. Conduct of Class Ill Gaming. 

A. Tribal Gaming Agency. The Tribal Gaming Agency will assure that the Tribe 

will: 

l . operate all Class III Gaming pursuant to this Compact, tribal law, the 

IGRA and other applicable federal law; 

2. provide for the physical safety of patrons in any Gaming Facility; 

3. provide for the physical safety of personnel employed by the Gaming 

Enterprise; 

4. provide for the physical safeguarding of assets transported to and from the 

Gaming Facility and cashier's cage department; 

5. provide for the protection of the property of the patrons and the Gaming 

Enterprise from illegal activity; 

6. participate in licensing of Primary Management Officials and Key 

Employees of a Class Ill Gaming Enterprise; 

6 
7. detain persons who may be involved in illegal acts for the purpose of 

notifying law enforcement authorities; 

8. record and investigate any and all unusual occurrences related to Class III 

Gaming within the Gaming Facility; and 

9. comply with all applicable provisions of the Bank Secrecy Act, 31 U.S.C. 

§ § 5311-5314, and all reporting requirements of the Department of the Treasury, the Internal 

Revenue Service, the Financial Crimes Enforcement Network, and any other related divisions 

thereof, as applicable, and make all such documentation available to the State Gaming 

Representative for inspection, scanning, or copying upon request. 

B. Regulations. Without affecting the generality of the foregoing, the Tribe shall 

adopt laws: 

1. prohibiting participation in any Class III Gaming by any person under the 

age of twenty-one (21 ); 

2. prohibiting the employment of any 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; 

3. requiring the Tribe to take all necessary action to impose on its gaming 

operation standards 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; 

4. requiring that, on any construction project involving any Gaming Facility 

or related structure that is funded in whole or in part by federal funds, all workers will be paid 

wages meeting or exceeding the standards established for New Mexico under the federal DavisBacon Act; 

5. 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 the 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 established tribal laws and policies; 

6. requiring the Tribe, through its Gaming Enterprise or through a third-party 

entity, to provide to all employees of the Gaming Enterprise employment benefits, including, at a 

minimum, sick leave, life insurance, paid annual leave or paid time off 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 

insurer to an impartial forum, such as (but not limited to) the Tribe's Tribal Court, which appeal 

7 
shall be decided in a timely manner and in an administrative or judicial proceeding and as to 

which no defense of tribal sovereign immunity would be available; 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; 

7. providing a grievance process for an employee of the Gaming Enterprise 

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; 

8. permitting inspectors from the Indian Health Service, a federal agency 

within the Department of Health and Human Services, to inspect the Gaming Facility's food 

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

requirements equivalent to the State's Food Service Sanitation Act [NMSA 1978, § 25-1-1 

(1977, as amended through 2014)] are maintained and if such inspections have occurred, the 

Tribe shall provide documentation of the inspections to the State Gaming Representative with 

the Compliance Report referenced in Section 4(E)(2) of this Compact, or if the Indian Health 

Service does not conduct such inspections, permitting the State Department of Environment to 

conduct such inspections; 

9. prohibiting the Gaming Enterprise, and the Tribe in connection with 

gaming, from cashing any paycheck or any type of government assistance check, including 

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

10. prohibiting the Gaming Enterprise, and the Tribe in connection with 

gaming, from extending credit by accepting IO Us or markers from its patrons, except that sborttenn credit may be extended to certain qualified patrons with sufficient demonstrated available 

cash balances to cover the amount of the credit extended (not less than ten thousand dollars 

($10,000) to be repaid within thirty {30) days); provided that the Tribe complies with all 

applicable federal law and all provisions of the Appendix related to credit (including the State 

reporting requirements), and provides a copy of the regulations referenced in the Appendix to the 

State for review and comment prior to implementation; 

11. requiring that automatic teller machines on Gaming Facility premises be 

programmed so that the machines will not accept cards issued by the State to T ANF recipients 

for access to T ANF benefits; 

12. providing that each electronic or electromechanical gaming device in use 

at the Gaming Facility must pay out a mathematically demonstrable percentage of all amounts 

wagered, which must not be less than eighty percent (80%), 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; 

13. providing that all Class III Gaming Machines on the premises of the 

Gaming Facility will be connected to a central computerized monitoring and control 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 

8 
machine, electronically captured by the Gaming Enterprise's central computer, may be accessed 

and downloaded electronically by the State Gaming Representative by a dedicated 

telecommunications connection, on a "read-only'' basis, upon entry of appropriate security 

codes; but provided that in no event shaII 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's 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 monitoring and 

control system; 

14. enacting provisions that: 

(a) prohibit an employee of the Gaming Enterprise from selling, 

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; 

(b) require Gaming Enterprise employees that dispense, sell, serve or 

deliver alcoholic beverages to attend Alcohol Server Education Classes similar to those classes 

provided for in the New Mexico Liquor Control Act; and 

(c) require the Gaming Enterprise to purchase and maintain a liquor 

liability insurance policy that will provide, at a minimum, personal injury coverage of one 

million dollars ($1,000,000) per incident and two million dollars ($2,000,000) aggregate per 

policy year; 

15. prohibiting alcoholic beverages from being sold, served, delivered, or 

consumed in that part of a Gaming Facility where gaming is allowed; 

16. requiring the Gaming Enterprise to spend. armually, an amount that is no 

less than one-quarter of one percent (.25%) of its Adjusted Net Win as that term is defined in 

Section ll(C)(l), to fund or support programs that the Tribe selects for the treatment and 

assistance of compulsive gamblers in New Mexico or who patronize New Mexico gaming 

facilities, and for the prevention of compulsive 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, intervention or other services for compulsive gamblers in New Mexico, and 

whose services are available to all persons without regard to race or tribal membership; and 

requiring that the Tribe submit a report accounting for the use of these funds as described in the 

attached Appendix, and that this report and any other information existing as a result of this 

paragraph, not including information that may identify or contain information referring to any 

gaming patron, 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 restriction or 

limitation; 

9 
17. governing any Management Contract regarding its Class III Gaming 

activity so that it confonns to the requirements of tribal law and the IGRA and the regulations 

issued thereunder; 

18. prohibiting the Gaming Enterprise and the Tribe from providing> allowing, 

contracting to provide or arranging to provide alcoholic beverages for no charge or at reduced 

prices within a Gaming Facility; and 

19. prohibiting the Gaming Enterprise and the Tribe from providing, allowing, 

contracting to provide or arranging to provide food or lodging for no charge or at reduced prices, 

at a Gaming Facility or lodging facility as an incentive or enticement for patrons to game 

("Complimentaries"), except that (i) this provision shall not apply to rewards received by 

patrons in exchange for points or credits accrued under any fonn of a players' club program; and 

(ii) the Gaming Enterprise or Tribe may provide discretionary Complimentaries provided that the 

cumulative market value of all discretionary Complimentaries, on an annual basis, does not 

exceed three percent (3%) of the Tribe's annual Adjusted Net Win for the same year. The Tribe 

shall, on a quarterly basis, report to the State the total amount of the discretionary 

Complimentaries during the previous quarter in dollars and as a percentage of Adjusted Net Win 

for such quarter. The Tribe shall adopt and follow the minimum internal control standard and 

policies and procedures set forth in the Appendix, shall comply with all applicable federal law 

and all provisions of the Aooendix related to Comnlimentaries (includine the State reoortinS! - -- .... ' - .. - requirements), and shall provide a copy of the regulations referenced in the Appendix to the State 

for review and comment prior to implementation. 

C. Audit and Financial Statements. 

1. Annual Audit. Not less than annually at the Gaming Enterprise's fiscal 

year end, the Tn'bal Gaming Agency shall require, at the expense of the Gaming Enterprise, an 

audit and audit report of the financial statements covering all financial activities of the Gaming 

Enterprise in the State of New Mexico. The audit and audit report shall be prepared by an 

independent certified public accountant licensed by the New Mexico Public Accountancy Board. 

The audit report shall include written verification by the independent certified public accountant 

of the accuracy of the quarterly Adjusted Net Win calculation as required by Section 11 (C) and 

shall specify the total amount of patron wagers and total amount of payouts made on winning 

wagers in Class III Gaming on all Gaming Machines at the Tribe's Gaming Facilities for 

purposes of calculating Adjusted Net Win. The financial statements shall be prepared in 

accordance with generally accepted accounting principles (GAAP). A11 books and records 

relating to Class III Gaming shall be retained for a period of at least five (5) years from the date 

of creation, as required by 25 C.F.R. § 571.7(c). The independent certified public accountant 

shall issue a report on audited financial statements of the Tribe,s Gaming Enterprise in the State 

of New Mexico. The independent certified public accountant shall perform the audit in 

accordance with generally accepted auditing standards published by the American Institute of 

Certified Public Accountants, and submit the audited financial statements, along with any reports 

or management letter(s) the accountant has prepared, to the Tribal Gaming Agency within one 

hundred twenty (120) days after the Gaming Enterprise's fiscal year end. Promptly upon receipt 

of the audited financial statements, and in no event later than one hundred twenty (120) days 

after the fiscal year end, the Tribal Gaming Agency shaJJ provide copies of the financial 

10 
statement and audit report to the State Gaming Representative, along with copies of any and all 

documents the independent certified public accountant has provided to the Tribe or the Tribal 

Gaming Agency concerning the audit, including but not limited to copies of any and all reports 

and management Ietter(s). If the Gaming Enterprise changes its fiscal year end, it may elect 

either to prepare financial statements for a short fiscal year or for an extended fiscal year, but in 

no event shall an extended fiscal year extend more than fifteen (15) months. 

2. Maintenance of Records. The Tribe will maintain the following records 

for not less than five (5) years: 

(a) revenues, expenses, assets, liabilities and equity for the Gaming 

Enterprise; 

(b) daily cash transactions for each Class III 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 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; 

( t) audits prepared by or on behalf of the Tribe; 

(g) records docwnenting compliance with the terms of this Compact; 

and 

(h) personnel information on all Class III Gaming employees or 

agents, including rotation sheets, hours worked, employee profiles and background checks. 

D. Violations. The agents of the Tribal Gaming Agency shall have unrestricted 

access to the Gaming Facility during all hours of Class Ill Gaming activity, and shall 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 immediately 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 

Contractor, or any person, whether or not associated with Class III Gaming. · 

11 
E. State Gaming Representative. The State Gaming Representative may utilize staff 

from the Gaming Control Board or contract with private persons, firms, or other entities for the 

purpose of assisting in performing his functions set forth in this Compact, but the State Gaming 

Representative will be the single contact with the Tribe and may be relied upon as such by the 

Tribe. 

1. Background Investigations. Upon written request by the State to the 

Tribe, the Tribal Gaming Agency wiIJ provide infonnation on Primary Management Officials, 

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 detennination as to 

the suitability of such individuals, consistent with the standards set forth in Section 5 of this 

Compact. The Tribal Gaming Agency shall consider any information or recommendations 

provided to it by the State as to any such person or entity, but the Gaming Enterprise or the 

Tribal Gaming Agency shall have the final say with respect to the hiring or licensing of any such 

person or entity. 

2. Compliance Reports. 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 Tnoe has met 

its obligations under this Compact in accordance with the instructions and Form A set forth in 

the attached Appendix. The Tribal Gaming Agency shall allow the State Gaming Representative 

to inspect and verify, and obtain copies (either scanned electronically or in paper form), upon 

request, of any and all documents related to any item in the Compliance Report, including all 

source documents and data. 

3. Inspections. The State Gaming Representative shall have the right to 

inspect a Gaming Facility and any Class Ill Gaming activity, including all Gaming Machines, 

and to inspect, verify, and obtain copies (either scanned electronically or in paper fonn), upon 

request, of any and all records relating to any Class III Gaming of the Tribe, including all source 

documents and data, subject to the following conditions: 

(a) with respect to public areas of a Gaming Facility, at any time 

without prior notice during nonnal Gaming Facility business hours; 

(b) with respect to private areas of a 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 non-public 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; 

(c) with respect to inspection and copying of all management records 

relating to Class III Gaming, at any time without prior notice between the hours of9:00 a.m. and 

4:00 p.m. Monday through Friday, excluding official holidays. The reasonable costs of copying 

12 
will be borne by the State. although the State may. at its option, choose to scan documents 

electronically at no charge; 

(d) whenever the State Gaming Representative. or his designee, enters 

the premises of tb.e Gaming Facility for any such inspection, such Representative, or designee, 

shall identify himself to security or supervisory personnel of the Gaming Enterprise; and 

(e) in accordance with the additional requirements set forth in the 

attached Appendix. 

4. Confidentiality. 

(a) 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 collectively hereinafter refeITed 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 communications provided to the Tribe, the Tribal Gaming Agency, or 

the Gaming Enterprise by any State entity, or prepared from information obtained from any State 

entity, under the provisions of this Compact or under the provisions of any Predecessor 

Agreement, are confidential. Any State entity that has received any information, 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 

lawful 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 confidentiality of the information, documents and 

communications provided by the Tribe, Tribal Gaming Agency or Gaming Enterprise. 

(b) These prohibitions shall not be construed to prohibit: 

i) the furnishing of any infonnation to a law enforcement or 

regulatory agency of the Federal Government; 

ii) the State from making known the names of persons~ finns, 

or corporations conducting Class lll Gaming pursuant to the terms of this Compact, locations at 

which such activities are conducted, or the dates on which such activities are conducted; 

iii) publishing the terms of this Compact; 

iv) 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; 

v) disclosures to other State agencies as required by State law, 

provided that the confidentiality provisions of this Section shall apply to the agencies receiving 

such information; and 

t3 
vi) complying with subpoenas or court orders issued by courts 

of competent jurisdiction. 

(c) Notwithstanding the foregoing, the Tribe agrees that: 

i) the following documents and information may be released 

by a State entity to the public: the gaming ordinance and regulations of the Tribe or 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 

and Adjusted Net Win figures used as the basis for computation of the Tribe's revenue sharing 

payment under the provisions of Section 11 of this Compact; information that exists as a result of 

the requirements in Section 4(B)(l 6); and correspondence between the Tribe or a tribal entity 

and a State entityt unless such correspondence is specifically labeled "Confidential;" 

ii) a State entity may release to the public aggregate figures 

compiled by totaling comparable figures from the annual financial statements of all of the New 

Mexico gaming tribes; and 

iii) the report of the annual 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 simiiar infonnation 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. 

5. Records and Annual Meeting. 

(a) Infotmation to be Provided by Tribe. 

i) The Tribal Gaming Agency will provide true copies of all 

tribal laws and regulations affecting Class III Gaming conducted under the provisions of this 

Compact to the State Gaming Representative within the earlier of: (i) thirty (30) days after the 

Effective Date of this Compact, or (ii) thirty (30) days after the Tribe's first day of operation of a 

Gaming Facility, 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 any. 

ii) Regardless of whether the State exercises the option set 

forth in Section 4(B)(13), the Tribe shall make wager and payout data available to the State 

Gaming Representative on a monthly basis, by secure transmission through encrypted email 

communications, file transfer protocolt or other secure means provided for by the State Gaming 

Representative. The method of secure transmission must meet industry standards for security 

sufficient to minimize the possibility of any third party intercepting data transmitted to the State 

Gaming Representative. Such reports shall be gcmerated to reflect monthly, quarterly, and 

annual activity, and shall identify~ at a minimum: 

. . . 

i. com-m; 

14 
ii. coin~out; 

iii. Free Play and Point Play; 

iv. Net Win; 

v. theoretical net win (including Free Play and Point Play); 

VI. actual floor hold percentage; and 

vii. theoretical floor hold percentage. 

Within ninety (90) days of the Effective Date of this Compact, the State Gaming Representative, 

the Tribal Gaming Agency, and the Gaming Enterprise shall meet and in good faith coordinate 

and determine the contents of such reports and method of secure transmission to comply with 

this Section. For a Tribe that does not have any Gaming Facility in operation ("Non-Operational 

Tribe"), the State Gaming Representative, the Tribal Gaming Agency, and the Gaming 

Enterprise shall meet and in good faith coordinate and determine the contents of such reports and 

method of secure transmission to comply with this Section within fifteen (15} days before the 

Tribe's first day of operation of its Gaming Facility. 

(b) Access to State Records. To the fullest extent allowed by State 

law, the Tribe shall have the right to inspect and copy State records concerning all Class III 

Gaming conducted by the Tribe with the Tribe bearing the reasonable cost of copying. 

(c) Annual Meeting. At least annually, appropriate representatives of 

the Tribe and 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, shall meet to discuss matters of mutual 

interest arising under the terms of this Compact and concerning Indian gaming in New Mexico. 

Such meeting shall be coordinated so as to involve the representatives of as many New Mexico 

gaming tribes as possible, and shall be conducted in the context of the govemment-togovemment relationship between the State and the Tribe. 

6. Reimbursement for Regulatory Costs. 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 the amounts set forth in 

this Section represent a fair estimate of the State's cost of such activity. The Tribe and the State 

further agree that there is an increase in costs associated with the State's regulatory 

responsibilities based upon the number and size of the Tribe's Gaming Facilities and that the 

levels of regulatory cost reimbursement based upon the Adjusted Net Win of the Tribe as set 

forth in this Section represents a fair estimate the State's costs of regulation. In addition, Section 

4(B)(l 0) and Section 4(8)(19) will increase the State's regulatory burden and the associated 

costs. The Tribe and State further agree that the State's cost of carrying out the tenns of this 

Compact will increase over time. The Tribe therefore agrees to reimburse the State as set forth 

in the chart and provision below: 

15 
The Tribe shall reimburse the State based Annual Amount of Regulatory Payment to 

on the amount of its annual Adjusted Net the State: 

Win as follows: 

Under $40 million $75,000.00 

$40 million - under $80 million $150,000.00 

$80 million and over $182,500. 00 

The above amounts shall increase by five percent (5%) as of July 1 of 2017, and as of July 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, in advance. For a Non~Operational 

Tribe, quarterly payments shall be due at the next quarter following the Tribe's first day of 

operation of the Gaming Facility and shall be prorated during that first quarter based on the 

number of days the Gaming Facility was open to the public. 

7. Regulatory Requirements. 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. F aiiure to abide by the procedures set forth in 

Section 7 or failure to comply with an arbitrator's final decision with respect to the parties' 

obligations constitutes a breach of this Compact. 

F. Problem Gambling. 

1. Signage. The Gaming Enterprise shall post at all public entrances and 

exits of each Gaming Facility, signs in both English and Spanish, stating that help is available if 

a person has a problem with gambling and, at a minimum, provide an appropriate toll-free crisis 

hotline telephone number and information on the availability of a statewide self-exclusion 

program with the State Gaming Representative. 

2. Self-Exclusion Program. Within six (6) months of the Effective Date of 

this Compact or for a Non-Operational Tribe, within thirty (30) days after the date of the Tribe's 

first day of operation of its Gaming Facility, the State Gaming Representative and the Tribal 

Gaming Agency shall comply with the following procedures to allow problem gamblers to 

voluntarily exclude themselves from Gaming Facilities statewide; however, nothing in this 

Section shall preclude the Tribal Gaming Agency from operating its own self-exclusion program 

in addition to these procedures: 

(a) The State Gaming Representative shall: 

i) establish a list of persons who voluntarily seek to exclude 

themselves from Gaming Facilities statewide; 

ii) create an application to compile identifying information 

concerning the self-excluded person; 

16 
iii) establish procedures for placement on and removal from 

the list; and 

iv) provide the compiled information to the Tribal Gaming 

Agency on a monthly basis. 

(b) The Tribal Gaming Agency shall: 

i) require the Gaming Enterprise to train appropriate gaming 

personnel for the identification of self-excluded persons who enter or attempt to enter the 

Gaming Facility and take reasonable steps to identify the self-excluded person and to promptly 

escort the self-excluded person from the Gaming Facility; 

ii) require the Gaming Enterprise to remove self-excluded 

persons from mailing lists for advertisements or promotions and any players• club or other 

similar membership-type promotions, and return the cashable value, if any, of the self-excluded 

person's membershlp in the players' club or other similar membership-type promotions; 

iii) require that the self-excluded person forfeit all winnings 

(whether cash, property, or in any other fonn), credits, tokens or vouchers received from the 

Gaming Facility while excluded, and that all money or other property forfeited shall be used by 

the Gaming Enterprise to fund or support programs for the treatment and assistance of 

compulsive gamblers pursuant to Section 4(B)(l6) of this Compact (this amount is in addition to 

the percentage of Adjusted Net Win already required under Section 4(B)(16) of this Compact); 

and 

iv) require that, for jackpots requiring the patron to complete, 

prior to the pay-out of the jackpot, paperwork required by the Internal Revenue Service, the 

Gaming Enterprise shall verify that the patron is not on the self-exclusion list and such 

certification shall be recorded in the appropriate documentation. In the event the patron is listed 

on the self-exclusion list, the Gaming Enterprise shall comply with Section 4(F)(2)(b)(iii) above 

regarding forfeiture of all winnings. 

(c) If a self-ex.eluded person is removed from a Gaming Facility, the 

Tribal Gaming Agency shall report to the State Gaming Representative, at a minimum, the name 

of the self-excluded person, security staff involved, date of removal, amount of money forfeited, 

if any, and any other action taken. This written report shall be provided to the State Gaming 

Representative. 

(d) Removal From Self-Exclusion Li$t. If a self~excluded person is 

removed from the self-exclusion list by the State Gaming Representative, the State Gaming 

Representative shall provide written notice to the Tribal Gaming Agency of the self-excluded 

person's removal from the self-exclusion list. 

(e) The self-exclusion list is not open to public inspection, and the 

Tribal Gaming Agency and State Gaming Representative shall ensure that it remains confidential 

except for use by: 

17 
i) appropriate law enforcement agencies, if needed in the 

conduct of an official investigation or ordered by a court of competent jurisdiction; or 

ii) persons designated by either the Tribal Gaming Agency or 

the State Gaming Representative for the purposes of administrating and implementing the selfexclusion program. 

(f) Notwithstanding Section 8(D) of this Compact, the Tribe, the 

Gaming Enterprise, or the Tribal Gaming Agency shall not be deemed to have waived its 

sovereign immunity and will not be liable with respect to any self-excluded person for harm, 

monetary or otherwise, which may arise as a result of: 

i) its efforts to exclude a person identified on the selfexclusion list; 

ii) the failure of the Gaming Enterprise or the Tribal Gaming 

Agency to withhold or restore gaming privileges from or to a self-excluded person; 

iii) the permitting of a self-excluded person to engage in 

gaming activities or enter into a Gaming Facility; or 

.;:.,\ .._L.,.. ..J:,,.,,...1 --11·-- -- _,.,1..1;-,...._!-- .!.- __ ... ------- _.._L-- .i.1 .. -- - 1 ") uu.- Uli>v.lv;:iu.t"" V.l P"vu-.cn1vu 1u w1y .lua1u1..,1, uu1w1 uuu1 i:l 

willful and unauthorized disclosure or publication, of the identity of any self-excluded person or 

persons. 

SECTION 5. Licensing Requirements. 

A. License Required. The Gaming Facility operator (but not including the Tribe) 

including its principals, Primary Management Officials, and Key Employees; the Management 

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, the Gaming Enterprise or the Management 

Contractor; and any person, corporation or other entity providing gaming services within or 

without a Gaming Facility, shall apply for and receive a license from the Tribal Gaming Agency 

before participating in any way in the operation or conduct of any Class III Gaming on Indian 

Lands. The Tribal Gaming Agency shall comply fully with the requirements of this Section and 

of the IGRA, especially at 25 U.S.C. §§ 2710-2711, 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 or any regulations promulgated by the Tribal Gaming Agency, in 

processing license applications and issuing licenses. 

B. License Application. Each applicant for a license shall file with the Tribal 

Gaming Agency a written application in the form prescribed by the Tribal Gaming Agency, 

along with the applicant's fingerprints, current photograph and the fee required by the Tribal 

Gaming Agency. 

18 
C. Background Investigations. Upon receipt of a completed application and required 

fee for licensing, the Tribal Gaming Agency shall conduct or cause to be conducted, at its own 

expense, a background investigation to ensure that the applicant is qualified for licensing. 

D. 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 (''the Commission") any infonnation, docwnent or notice relating to 

the licensing of any Key Employee or Primary Management Official of the Gaming Enterprise, 

such infonnation, document or notice shall be made available for inspection by the State Gaming 

Representative. The State Gaming Representative shall 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. 

SECTION 6. Providers of Class III Gaming Equipment or Devices or Supplies. 

A. 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 all Class III 

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 Ill Gaming equipment, 

devices or supplies within the State of Nevada. Any and all Class Ill Gaming equipment, 

devices or supplies used by the Tribe shall meet or exceed the standards thereby adopted. 

B. Prior to entering into any future lease or purchase agreement for Class III Gaming 

equipment, devices or supplies, the Tribe shall obtain sufficient 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 license those persons in 

accordance with applicable federal and tribal law. 

C. The seller, lessor, manufacturer or distributor shall provide, assemble and install 

all Class III Gaming equipment, devices or supplies in a manner approved and licensed by the 

Tribe. 

SECTION 7. Dispute Resolution. 

A. In the event either party believes that the other party has failed to comply with or 

has otherwise breached any provision of this Compact, such party may invoke the following 

procedure within two (2) years from the date any alleged violation of this Compact is discovered 

or reasonably should have been discovered; or, if the State believes that, prior to the Effective 

Date of this Compact, the Tribe has failed to comply with or has otherwise breached any 

provision of a Predecessor Agreement affecting payment, the State may invoke the following 

procedure within two (2) years of the Effective Date of this Compact, as pennitted in Section 

9(B) of this Compact: 

l. The party asserting noncompliance shall 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. 

19 
2. In the event an allegation by the complaining party is not resolved to the 

satisfaction of such party within twenty (20) days after service of the notice set forth in 

Paragraph A(l) 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 ten (10) days ofreceipt of notice from the complaining party, unless the State and 

the Tribe (hereinafter 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 ( 10) days of the end of such period. 

3. Unless the parties agree in writing to the appointment of a single 

arbitrator, or as otherwise provided below, the arbitration shall be conducted before a panel of 

three (3) arbitrators. 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 will select a second arbitrator, and the two so chosen shall select a third 

arbitrator. The party that served the written notice of noncompliance shall select its arbitrator 

within thirty (30) days after the party has invoked arbitration and the responding party shall 

select its arbitrator within thirty (30) days of the selection of the first arbitrator. If the responding 

party fails to select an arbitrator within the thirty (30) days provided; the parties i::hRll prl'..l(!~~d to 

arbitration with the single arbitrator selected by the party that served the written notice of 

noncompliance. If the responding party selects an arbitrator within the specified time period, the 

two arbitrators shall select a third arbitrator within thirty (30) days of the responding party's 

selection. If the third arbitrator is not chosen within thirty (30) days after the second arbitrator is 

selected, the third arbitrator will be chosen by the American Arbitration Association. The 

arbitrators thereby selected shall pennit the parties to engage in reasonable discovery, and shall 

establish other procedures to ensure a full, fair and expeditious hearing on the matters at issue. 

The arbitrators shall detennine, after hearing from 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. All 

parties shall bear their own costs of arbitration and attorneys' f ecs. 

4. The results of arbitration shall be final 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 acknowledge 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 arbitration 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. 

B. Nothing in Subsection 7(A) shall be construed to waive, limit or restrict any 

remedy that is otheiwise available to either party to enforce or resolve disputes concerning the 

provisions of this Compact. Nothing in this Section shall be deemed a waiver of the Tribe's 

20 
sovereign immunity. Nothing in this Section shall be deemed a waiver of the State's sovereign 

immunity. 

SECTION 8. Protection of Visitors. 

A. Policy Concerning Protection of Visitors. The safety and protection of visitors to 

a Gaming Facility 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 Enteiprise 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 Tribal, State, or other 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 Section, 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 the IGRA does not pennit the shifting of 

jurisdiction over visitors' personal injury suits to state court. 

B. Insurance Coverage for Claims Required. The Gaming Enterprise shall maintain 

in effect policies of liability insurance insuring the Tribe, Gaming Enterprise, 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 an amount of at least ten million dollars 

($10,000,000) per occurrence and ten million dollars ($10,000,000) annual aggregate. The Tribe 

shall provide the State Gaming Representative annually a certificate of insurance showing that 

the Tribe, its agents and employees are insured to the required extent and in the circumstances 

described in this Section. 

C. Limitation on Time to Bring Claim. Claims brought pursuant to the provisions of 

this Section must be commenced by filing an action in Tribal, State, or other court of competent 

jurisdiction or a demand for arbitration within three (3) years of the date the claim accrues. 

D. Specific Waiver of Immunity and Choice of Law. The Tribe, by entering into this 

Compact and agreeing to 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. The 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 sovereign immunity on behalf of the insured, up to the limits of 

liability set forth in this Paragraph. The Tribe and the State agree that in any claim brought 

under the provisions of this Section, New Mexico law shall govern if the claimant pursues the 

claim in State Court, and the tribal law of the forum shall apply if the claim is brought in Tribal 

Court. 

21 
E. Election by Visitor. A visitor having a claim described in this Section may pursue 

that claim in binding arbitration, or Tribal, State, or other court of competent jurisdiction. The 

visitor shall make a written election that is final and binding upon the visitor. 

F. Tribal Court. The Tribe shall establish written procedures and substantive law for 

the disposition of tort claims arising from bodily injury or property damage alleged to have been 

suftered by visitors and shall enact such tribal law as is necessary to implement these procedures. 

The procedures shall include all time limits applicable to the disposition of the tort claim and a 

provision that, upon request, the visitor, or the visitor's designated representative, shall be 

provided with a copy of the procedures as well as the name, address and telephone number of the 

Gaming Enterprise and the mailing address and telephone number of the clerk of the tribal court. 

G. Arbitration. Arbitration pursuant to an election by a visitor as provided in 

Subsection E of this Section shall be conducted as follows: 

1. The visitor shall submit a written demand for arbitration to the Gaming 

Enterprise, by certified mail, return receipt requested; 

2. Unless the parties agree, in writing, to the appoinbnent of a single 

arbitrator, the visitor and the Gaming Enterprise shall each designate an arbitrator within thirty 

(30) days of receipt of the demand, and the two arbitrators shall select a third arbitrator, but in 

the event that either party faiis to designate an arbitrator within thirty (30) days, or the two 

arbitrators designated by the parties cannot agree on the selection of the third arbitrator within 

thirty (30) days of their appointment, the existing arbitrator(s) shall apply to the American 

Arbitration Association to appoint the remaining arbitrator(s}; 

3. The arbitration panel shall permit the parties to engage in reasonable 

discovery, and shall establish other procedures to ensure a full, fair and expeditious hearing on 

the claim; and 

4. The award of the arbitration panel shall be final and binding, and may be 

enforced in a court of competent jurisdiction. 

H. Increase in 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 forth in 

Paragraph D of this Section, shall be increased by a percentage equal to the percentage increase 

in the CPI-U published by the Bureau of Labor Statistics of the United States Department of 

Labor, for the same period, rounded to the nearest one hundred thousand dollars ($100,000). 

I. 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 Electrical Code, the Uniform Building Code, the Unifonn Mechanical Code, the 

Uniform Fire Code and the Unifonn Plwnbing Code, and any and all construction 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 

22 
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. 

SECTION 9. Execution; Effective Date; Claims under Predecessor Agreement. 

A. This Compact shall take effect upon publication of notice in the Federal Register 

of its approval by the Secretary of the Interior, or of the Secretary's failure to act on it within 

forty-five (45) days from the date on which it was submitted to him (the 04Effective Date''). 

Upon such publication, the terms and provisions of this Compact shall go into full force and 

effect, fully supplanting and replacing any Predecessor Agreement. 

B. Notwithstanding Paragraph A, the terms of any Predecessor Agreement 

(including, without limitation, any limited waiver of sovereign immunity and jurisdictional 

waivers and consents set forth therein) shall survive to permit the resolution of payment disputes. 

Such disputes shall be resolved through the procedures set forth in Section 7 of this Compact. 

Failure to abide by the procedures set forth in Section 7 or failure to comply with an arbitrator's 

final decision with respect to the parties' obligations under a Predecessor Agreement constitutes 

a breach of this Compact. This survival provision is intended to provide for the reasonable 

resolution of past disputes without hindering a Tribe's ability to obtain a new compact. 

SECTION I 0. Criminal Jurisdiction. 

A. The Tribe and the State acknowledge that under the provisions of§ 23 of Pub. L. 

No. 100-497, 102 Stat. 2467 (1988), which enacted the IGRA, especially that portion codified at 

18 U.S. C. § 1166( d), 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. 

B. The Tribe and the State hereby agree that consistent with the Indian Civil Rights 

Act, 25 U.S.C. § 1301 (2), in the event of any violation of any State gambling law on Indian 

Lands or any other crime against the Gaming Enterprise or any employee thereof that occurs on 

the premises of the Gaming Facility that is committed by any non-Indian, 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. For purposes of clarity, if the Tribe qualifies for 

jurisdiction under the Violence Against Women Act Reauthorization of 2013 (which expanded 

tribal authority over domestic violence committed by non-Indians against Indian women in 

Indian country), Pub. L. No. 113-4, 127 Stat. 54 (2013) ("VAWA"), then, for crimes committed 

in the Gaming Facility, the Tribe shall have and may exercise jurisdiction over such persons, 

under its laws and in its courts to the extent authorized by VA WA. 

C. Immediately upon becoming aware of any such suspected crime by a non-Indian, 

the Gaming Enterprise or the Tribal Gaming Agency shall notify the State attorney general and 

the district attorney for the district in which the alleged crime occurred, supplying all particulars 

available to the tribal entity at the time. The Tribe agrees that its law enforcement and gaming 

agencies shall perfonn such additional investigation or take such other steps in furtherance of the 

23 
investigation and prosecution of the violation as the district attorney may reasonably request, and 

otherwise cooperate fully 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 Tn0e and its 

constituent agencies shall have the discretion to act as they see fit, and to call upon such other 

agencies or entities as they deem reasonable or necessary, in order to protect against any 

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. 

D. 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. 

E. The district attorney for a district in which the Tribe conducts Class III 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 office of the district attorney~ to 

which memorandum of understanding the United States Attorney for the District of New Mexico 

may also be a party. The memorandum of understanding may address 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~ and 

related matters. 

SECTION 11. Revenue Sharing. 

A. Consideration. The Tribe shaH pay to the State a portion of its Class III 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 III Gaming 

described in this Compact, with the sole exception of the use of Gaming Machines, which the 

State may penni t on a limited basis for racetracks and for veterans• and fraternal organizations as 

such organizations are described in NMSA 1978, § 60-2E-3(GG), as amended through 2014. 

The Tribe agrees to pay this portion of its revenue in acknowledgment of the fact that the State is 

forgoing significant revenue that it would otherwise receive from non-tribal gaming enterprises. 

The Tribe acknowledges that it has received meaningful concessions and significant benefits for 

the limitations set forth in Section l l(D). 

B. Revenue to State. The parties agree that, after the Effective Date hereof or after 

July 1, 2015, whichever is later, the Tribe shall make the quarterly payments provided for in 

Paragraph C of this Section. For a Non-Operational Tribe, quarterly payments shall be due at the 

next quarter following the Tribe's first day of operation of the Gaming Facility. Each payment 

shall be made to the State Treasurer for deposit into the General Fund of the State. 

C. Calculation of Payment Amounts. 

24 
1. "Adjusted Net Win" means the combined Net Win from a11 Class III 

Gaming Machines in the Gaming Facilities on the Tribe's Indian Lands, with the fo11owing 

adjustments: 

(a) Subtract the amount paid to the State by the Tribe under the 

provisions of Section 4(E)(6) of this Compact; 

(b) Subtract the sum of four hundred sixteen thousand dollars 

($416,000) per year as the amount representing tribal regulatory costs, which amount shall 

increase by five percent (5%) as of July I of 2017, and as of July 1 of every fifth year thereafter 

as long as this Compact remains in effect; and 

( c) Account for the amounts paid for wide-area progressive Class III 

Gaming Machines as set forth in the attached Appendix. 

2. The Tribe shall pay the State a percentage of its Adjusted Net Win, 

determined in accordance with this chart: 

Annual Adjusted July 1, 2015- July 1, 2018 - July 1, 2030 -

Net Win June 30, 2018 June 30, 2030 June 30, 2037 

Under $20 million: 2% of the first 2% of the first 2% of the first 

$6 million, and $6 million, and $6 million, and 

8.50% on the rest 8.75% on the rest 9.50% on the rest 

$20-$40 million: 8.50% 8.75% 9.50% 

$40-$80 million: 9.00% 9.50% 10.25% 

More than $80 million: 9.00% 10.00% 10.75% 

3. Payments due pursuant to Section ll(C) shall be paid quarterly, no later 

than twenty-five (25) days after the last day of each calendar quarter, and shall be based upon the 

Adjusted Net Win during the preceding quarter; provided, however, that for any Tribe for whom 

this Compact becomes effective prior to July 1, 2015, the applicable revenue sharing rate from 

any Predecessor Agreement shall apply until the quarter beginning on July 1, 2015. The Tribe 

shall ascertain the applicable revenue sharing percentage in Section 11 (C)(2) above and shall 

base its quarterly payments on the following factors: (1) the prior year's total Adjusted Net Win 

amount and the applicable revenue sharing percentage; and (2) its best good faith estimate of its 

annual Adjusted Net Win for the July 1 - June 30 period. In the event its total Adjusted Net Win 

for any such period varies from such estimate, such that the amount due the State for the first 

three quarters as set forth in Section 11 (C)(2), above, is different from the amount paid, the 

payment due for the fourth quarter 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 (I 0) days of the due date shall accrue interest at the rate of ten percent 

( l 0%) per annum, 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, and shall provide a copy of such documentation to the State Gaming 

Representative. 

25 
0. Limitatjons. 

1. 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 that obligation shall tenninate altogether in the event the State: 

(a) 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; 

(b) licenses, permits or otherwise allows any person or entity other 

than six licensed horse racetracks and veterans and fraternal organizations as described in NMSA 

1978, § 60-2E-3(GG) to operate Gaming Machines; 

(c) permits any licensed horse racetrack to operate a larger 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; or 

(d) licenses, permits or otherwise allows any non-Indian person or 

entity to engage in any other form of Class III gaming other than a state-sponsored lottery, parimutue1 betting on horse racing wi.d bicycle racing, upt:n1iion of Gaming Machines, and iimited 

fundraising by non-profit organizations, as set forth in Subsection (0)(2), below. 

2. The parties agree that the State's allowance of the following forms of 

Class III Gaming, subject to the limitations expressly set forth herein, shall not be considered an 

expansion of non-tribal Class III gaming for purposes of this agreement, and shall have no effect 

on the Tnoe's obligation to make the payments provided for in Paragraphs B and C of this 

Section: 

(a) the operation of a State lottery; 

(b) the operation of Gaming Machines by any fraternal or veterans 

organization as described in NMSA 1978, § 60-2E-3(GG), but only for the benefit of such 

organization's members; 

(c) limited fundraising activities conducted by nonprofit tax·exempt 

organizations; 

(d) the conduct by licensed horse racetracks and bicycle tracks of parimutuel betting on races at such tracks, and on simulcast races at other tracks elsewhere in the 

country; and 

(e) 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 

26 
have more than six. hundred (600) licensed Gaming Machines, nor be authorized to operate more 

than seven hundred and fifty (750) Gaming Machines. 

3. 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. 

4. Prior to granting the approval of an application for a racing license for a 

horse racetrack other than the five horse racetracks holding such licenses as of January 1, 2015, 

or the approval of an application by a licensed horse racetrack to move its racing and gaming 

facilities to a new location after January 1, 2015, 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 application. 

E. Third-Party Beneficiaries. The provisions of this Section are not intended to 

create any third-party beneficiaries and are entered into solely for the benefit of the Tribe and the 

State. 

SECTION 12. Duration; Termination for Non-Payment. 

A. 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. 

B. 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)(6), 9(8) or l l of this 

Compact, and persists in such failure for a period of thirty (30) days after receipt, by certified 

mail, of a ''Notice of Noncompliance and Termination for Non-Payment" sent by the State 

Gaming Representative to the Tribal Gaming Agency, 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 all Class III Gaming by the Tribe hereunder, shall terminate automatically as of the 

end of the thirty (30)-day period, unless within such thirty (30)-day period the Tribe shall have 

either cured the non-payment to the satisfaction of the State Gaming Representative or 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 with either the 

Tribe or the State, a sum of money equal to the amount claimed due by the State, with 

instructions to the escrow agent specifying that such sum shall not be released except by 

direction of the arbitrator or arbitration panel or pursuant to a settlement agreement of the parties. 

The Tribe shall 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 (301h) day after the entry of a final, non-appealable decision by the arbitrators 

or by a court having jurisdiction of the dispute, unless the full amount determined by the 

arbitrators or by such court to be due the State, if any, has been paid by such date. The Tribe 

27 
shall not be entitled to avoid any pre-existing contractual obligations accruing to third parties 

under this Compact solely by virtue of the termination of the Compact. 

SECTION 13. Notice to Parties. 

A. Within (10) days of the Effective Date of this Compact, or for a Non-Operational 

Tribe, prior to the Tribe's first day of operation of its Gaming Facility, the State Gaming 

Representative and the Tribal Gaming Agency shall provide to the other the address at which 

notices under this Section may be received. Any change in address by the Tribe or the State 

shall be communicated in writing to the other party. 

B. Unless otherwise indicated, all notices, payments, requests, reports, infonnation 

or demand that any party hereto may desire or may be required to give to the other party hereto, 

shalJ be in writing and shall be personally delivered, sent by first-class mail or another reliable 

courier service, or sent by electronic mail (with confinnation of receipt of transmission) at the 

address provided in writing by the other party. Every notice, payment, request, report, 

infonnation 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 party to 

whom said notice is addressed. 

SECTION i 4. Entire Agreement. 

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 orally, but 

only by an instrument, in writing, signed by the Tribe and the State and approved by the 

Secretary of the Interior. This Compact shall 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. 

SECTION 15. Filing of Compact with State Records Center. 

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. 

SECTION 16. Counterparts. 

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. All such counterparts 

shall together constitute one and the same document. 

SECTION 17. Internet Gaming. 

In the event that internet gaming is authorized within the State, the State and the Tribe 

agree that they will reopen good faith negotiations to evaluate the impact, if any, of internet 

28 
gaming and consider adjustments to the Compact. The parties understand and agree that it is not 

possible to determine at this time what, if any, adjustments to the Compact would be necessary. 

SECTION 18. Applicability. 

The Tribe has informed the State that it does not intend to conduct Class III Gaming on 

Indian Lands which are eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), (b)(l)(A), 

(b)(l)(B)(ii) or (b)(I)(B)(iii). The Tribe acknowledges and agrees that there are unique 

circumstances and conditions that are often implicated by such lands and that it has not asked the 

State to consider those issues during these negotiations. With that understanding, the Tribe has 

agreed that it will not conduct Class III Gaming on such lands pursuant to 25 U.S.C. §§ 2719 

(a)(2)(B), (b)(l)(A), (b)(l)(B)(ii) or (b)(l)(B)(iii) under the terms of this Compact and will 

negotiate a separate Compact in the future if it desires to conduct Class III Gaming on Indian 

Lands that are eligible for gaming pursuant to 25 U.S.C. §§ 2719 (a)(2)(B), (b)(l)(A), 

(b)(l)(B)(ii) or (b)(l)(B)(iii). 

SECTION 19. Severability. 

Should any provision of this Compact be found to be invalid or unenforceable by any 

court, such determination shall 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 3, 4, 5, 6, 9, 11, and 12 hereof, or to any portions 

thereof, which the parties agree are non-severable. 

Executed thisdJ day of ~ , 2015. 

OHKA Y OWING EH 

By:_~-~-----"f\.-~-~-· a.fbii _~---· ~- EARL N. SALAZAR, 

GOVERNOR 

STATE OF NEW MEXICO 

By ~ SUSANA MARTINEZ, 

GOVERNOR 

29 
APPENDIX to the 2015 Compact Amendments 

WHEREAS, Ohkay Owingeh ("Tribe"), a federally recognized Indian tribe, operates a Gaming 

Enterprise on its land located within the exterior boundaries of the Tribe's Indian Lands; 

WHEREAS, the Tribe conducts gaming activities on its Indian Lands pursuant to a compact 

entered into between the Tribe and the State and approved by the United States Department of 

Interior; 

WHEREAS, the Ohkay Owingeh Gaming Corrunission is the Tribal Gaming Agency ("TOA") 

identified to the State Gaming Representative ("SGR,,} as the agency responsible for actions of 

the Tribe set out in the Compact and is the single contact with the State and may be relied upon 

as such by the State; 

WHEREAS, the SGR is the person designated by the New Mexico Gaming Control Board 

("NMGCB") pursuant to the Gaming Control Act [NMSA 1978, § 60-2EA1 to -62 (1997, as 

amended through 2014)] who shall be responsible for the actions of the State set out in the 

Compact; 

WHEREAS, the Tribe and the State have engaged in negotiations leading to this Compact to be 

submitted for approval by the 2015 Legislature; and 

WHEREAS, the Tribe and the State wish to submit for approval certain details concerning 

aspects of their agreement to be made an integral part of the 2015 Compact, but to be designated 

as the Appendix to the Compact; 

NOW, THEREFORE, the State and the Tribe agree to the following additional tenns and 

conditions: 

I. Gaming Machines and Table Games 

Section 2(K) and Section 2(W) of the Compact provide definitions for Class III Gaming 

Machines and Table Games. The definition of a Class III Gaming Machine is intended to 

encompass the traditional slot machine. The definition of a Table Game is intended to 

encompass traditional games that use cards such as Pai-gow and blackjack, wheel games such as 

roulette and the Big Wheel, and dice games such as craps. 

However, technology is constantly changing in the area of casino gaming and the once 

clear line between slot machines and Table Games is becoming less clear. It is the intention of 

the parties to accommodate and clarify revenue sharing requirements of new games that blur the 

line between traditional games. Generally, games that are predominantly mechanical, 

electromechanical or electronic are subject to revenue sharing and games that rely significantly 

on a casino attendant (a live person) to play the game are not subject to that obligation. Casino 

attendant involvement ranges from minimal interaction such as initiating the game and taking 

bets and/or making payout to substantial interaction such as participating in the game as a player 

(e.g. blackjack) or being involved in nearly every aspect of the game (e.g. craps). The greater the 

.... ~. ' 
involvement of the casino attendant, the more likely the game is a Table Game. For example, a 

casino attendant may have some minimal involvement in an electromechanical slot machine 

game, such as making a pay-out, but that is not a significant enough involvement to exclude it 

from revenue sharing obligations. Likewise, although roulette has a mechanical aspect, it is not 

significant enough to make it subject to revenue sharing obligations. 

Recognizing the dynamic nature of gaming technology, the parties shall attempt to agree 

on whether new mechanical, electromechanical or electronic games that utilize traditional 

components of Table Games, e.g. cards, wheels or dice, are subject to revenue sharing on a case 

by case basis. In the event the parties are unable to agree, the matter shall be submitted to 

arbitration pursuant to Section 7. 

State Monitoring and Control System. Section 4(B)(l 3) of the Compact provides that the 

Tribe shall make available to the SGR, unaltered data from all Gaming Machines. The 

information shall be downloadable from the Tribe's monitoring and control system. The parties 

agree that access to such data shall be made available as follows: 

A. The SOR or designee shall have access to the Gaming Machine accounting 

data from the production side of the Tribe's monitoring and control system. The Gaming 

Machine accounting data consists of the raw, unaltered, data used by the Tribe to 

calculate Net Win. This information shall not be in an altered, processed or manipulated 

format. This information shall be accessible by the SGR, as the SGR shall from time to 

time determine is required, on a per machine and/or aggregate basis based on a full game 

day cycle. The purpose of this infonnation is to allow the SGR to verify the Tribe's Net 

Win calculation. A system for electronic access to the Tribe's Gaming Machine 

accounting data shall be constructed and installed at the State's cost. 

B. The security codes for log-in by the SGR or designee shall be defined 

collectively by the TGA, the manufacturer of the monitoring and control system, and the 

SGR. 

C. Access to the Gaming Machine accounting data shall be limited to the 

SGR or designee solely for purposes authorized in the Compact. 

D. Any part of the Gaming Machine accounting data obtained herein is 

designated as confidential under the Compact and shall not be made available for public 

inspection by the SGR. 

E. The infonnation referred to herein sha11 be transferred over secure 

telecommunications lines. 

F. The TOA shall ensure that the systems and connections necessary to 

provide access to the Gaming Machine accounting data are in place and operating as 

required under the Compact. 

2 
G. The TGA shall ensure that the SGR or designee is notified promptly either 

by electronic mail or telephone of any technical problems related to the generation, 

transfer or access of the Gaming Machine accounting data. 

H. The TGA shall ensure that the SOR has access to the Gaming Machine 

accounting data on a periodic basis as determined from time to time by the SGR~ but in 

no event shall access be more often than once in a 24 hour period and the SGR shall 

strive to access such information in a reasonable manner and only to the extent necessary 

to meet his obligations under the Compact. 

I. The TGA shall at all times designate a person and an alternate as the daily 

contact person of the SGR or designee. 

II. Audits and Compliance 

A. Section 4(E)(2) provides that the TGA will certify annually to the SGR that the 

TGA has met its obligations under this Compact. 

1. The TOA shall aMually certify to the SOR that the Tribe is in compliance 

with the provisions of the Compact by completing and submitting a 

Comnliance Renort. .. .. 

2. The Compliance Report contains a checklist of the applicable sections of 

the Compact substantially similar to the form outlined as "Fonn A" 

provided at the end of this Appendix. The Compliance Report shall serve 

as an annual attestation to certify that the Tribe, TGA and the Tribal 

Gaming Enterprise have met the obligations under the Compact. 

3. The TGA shall complete and submit to the SGR its Compliance Report 

within thirty (30) days of the end of the Tribe's fiscal year. 

4. The TGA shall rely upon its records in preparing the Compliance Report. 

As evidence that the elements or requirements of the Compact have been 

met, the TGA shall conduct a comprehensive review of their gaming 

operations, which may include sample testing. The TOA shalt detennine 

the sample size to be used and will provide the methodology of the chosen 

sample size to the SGR. The TOA shall maintain all records relied upon 

in preparing the Compliance Report. The records shall be made available 

for review by the SGR or agent as requested. 

5. The TGA shall attach a written explanation of the course of action taken to 

remedy or explain any portions of the audit checklist that are listed as noncompliant or partially compliant. The SGR reserves the right to review 

the audit checklist and request additional documentation if necessary, 

including all source documents and data. 

3 
6. The SGR reserves the right to inspect and verify pursuant to Section 

4(E){3) of the 2015 Compact. 

7. In addition to the Compliance Report> and within thirty (30) days of the 

end of the Tribe's fiscal year, the TGA shall provide the SOR an annual 

report accounting for the Tribe's use of the funds identified in Section 

4(B)(l 6) and Section 4(F)(2){b)(iii) of the Compact, including the 

organizations or programs funded, the amount of funding provided to 

each, and demonstrating that the funds were used for the purposes 

described in Section 4(B)( 16) of the Compact. 

B. Section 4(E)(3) of the Compact provides authorization for the SOR to inspect a 

Gaming Facility, Class III gaming activity, individual Gaming Machines and all 

records relating to Class III Gaming of the Tribe. The parties agree that the 

protocol for inspection of Gaming Machines shall include the following: 

1. The SOR shall have access to inspect individual Gaming Machines upon 

the terms and conditions set forth in Section 4(E)(3) of the 2015 Compact. 

2. The SGR recognizes that the Tribal Gaming Enterprise is a business and 

will take reasonable steps to not interfere with the normal conduct of the 

gaming business. 

3. The SGR recognizes that the TGA has primary responsibility to administer 

and enforce the regulatory requirements of the Compact and does so 

through internal controls, direct control of the gaming media and the 

security and access of the gaming media in a Gaming Machine. 

4. The TGA shall be present at any inspection, upon having been given 

notice as set out in Section 4(E)(3). and testing of the gaming media shall 

be conducted by the TGA representative and verified by the SGR. 

5. The SGR's inspection of individual Gaming Machines shall be limited to 

purposes authorized by this Compact. 

III. Progressive Games, Participation Fees, Free Play and Point Play, and Players' Clubs and 

Complimentaries 

A. Pro-rata Portion of Wide-Area Progressive System Fees 

Similar to the proprietary (in-house) progressive gaming devices, the top jackpots for 

wide-area progressive gaming devices increment with the level of play. However, in the case of 

wide~area progressive gaming devices, a third-party vendor operates the system. The system 

spans mu1tiple casinos. The top jackpots increment as each of the Gaming Machines in the 

system is played, regardless of the casino in which the gaming machine is located. The thirdparty vendor administers the system. In return, the casinos make periodic payments to the third4 
party vendor. The vendor payments provide for the progressive jackpot and a fee to the thirdparty vendor. The casinos collect the cash or cash equivalents from these Gaming Machines as 

drop. When a progressive jackpot is won, the third-party vendor pays the jackpot from funds 

collected from the casinos. 

If in calculating Net Win, fees to the third-party vendor in excess of those amounts 

necessary to fund the progressive jackpots have been applied to reduce Net Win, then for 

purposes of calculating Adjusted Net Win, the Tribe shall add back those amounts that did not 

fund the progressive jackpots. The third-party vendor will need to inform the Gaming Enterprise 

in writing as to the specific amount of the vendor payments that are contributed to the 

progressive system payouts (jackpots}. 

B. Participation Fees 

Broadly, participation fees are any contractual payments made by casinos that are set at a 

minimum or maximum amount per day or are tied to the total coin-in, or drop generated by the 

gaming devices being operated, or other financial measures related to the operation of the 

gaming devices. An example of participation fees is the periodic payments casinos make to the 

third-party vendor for the use of a Gaming Machine. Participation fees can also be royalty 

payments, lease payments, or payments for other contractual arrangements. 

The participation fee is an expense and is not deductible for the purposes of revenue 

sharing and should be treated accordingly. 

C. Free Play and Point Play 

Under the terms of this Compact, Free Play and Point Play do not increase Net Win, and 

amounts paid as a result of Free Play or Point Play reduce Net Win for purposes of the revenue 

sharing calculation in Section 11 (C). However, any fonn of credits with any cash redemption 

value increase Net Win when wagered on Gaming Machines and amounts paid as a result of such 

wagers reduce Net Win for purposes of calculating revenue sharing. 

D. Promotions, Players' Clubs, Non-Cash Prizes and Complimentaries 

Any rewards, awards or prizes, in any fonn, received by or awarded to a patron under any 

form of a players' club program (however denominated), or promotion, or as a result of patronrelated activities, are not deductible from Net Win. The value of any complimentaries given to 

patrons in any fonn, including but not limited to food and lodging as addressed in Section 

4(8)(19), is not deductible from Net Win. 

If the Tribe chooses to use non-cash prizes in connection with play on a Gaming 

Machine, Net Win is reduced by the amount of the Gaming Enterprise's actual cost of a non-cash 

prize awarded as a direct result of a win on a Class III Gaming Machine. 

N. Extension of Credit pursuant to Section 4(B)(10) 

5 
A. Intent. The State and Tribe acknowledge that when credit is provided to patrons 

that do not have sufficient assets or resources to repay the debt, there are negative 

impacts to the patron. the Gaming Enterprise and the State; however, the credit 

that is contemplated herein is designed to attract only certain quaHfied patrons 

that meet certain criteria and have demonstrated sufficient available funds and 

assets to repay the debt. Specifically, the extension of credit is designed to allow 

high income, high volume players more convenient access to their own available 

funds. In recognition of the fact that granting credit is an important marketing 

tool for Tribes and may be helpful in attracting certain patrons to the State, the 

State and Tribe have agreed to allow for short tenn credit but have agreed to 

careful regulation and incorporated several safeguards to protect from any 

unintended consequences. 

B. State Requirements. In addition to the provisions set forth herein, the State has 

requested, and the Tribe has agreed, to comply with the following requirements: 

l. Credit extensions shall be no less than ten thousand dollars ($10,000.00). 

2. Credit extensions shall be required to be repaid by the patron within thirty 

(30) days. 

3. The Tribe may only extend credit to patrons that have an annual income of 

at least $200,000 for a single person or $300,000 for a couple and 

available cash balances that exceed the amount of credit extended to the 

patron. 

4. Approvals of any credit extension shall require that the Gaming Enterprise 

perform the following verifications: 

1. Any patron requesting credit shall be required to verify that the 

patron has an annual income of at least $200,000 for a single 

person or $300,000 for a couple. Verification of the patron's 

arutual income shall be satisfied by the patron signing a statement, 

signed under penalty of perjury, confirming the amount of the 

patron's aruiual income; and 

11. Any patron requesting credit shall be required to verify that the 

patron has available cash balances that exceed the amount of the 

credit to be extended. Verification of the patron's available cash 

balances shall be satisfied by the patron signing a statement, 

signed under penalty of perjury, confirming that the patron has 

available cash balances that exceed the amount of the credit to be 

extended. As an additional safeguard, verification of the patron's 

personal checking account infonnation shall be performed by the 

Gaming Enterprise directly with the patron's bank or a bank 

verification service before extending credit to the patron. The 

6 
verification shall include verifying that: (1) the patron has an 

existing and active checking account, (2) the checking account is 

in the patron's name; and (3) the total amount in all of the 

patron's accounts with that bank is in excess of the amount of 

credit requested. A bank verification service utilized by a 

Gaming Enterprise may make use of another bank verification 

service to make direct conununication with the patron's bank. 

The Gaming Enterprise shall record the source of verification and 

the method by which each verification was perl'ormed in the 

patron)s credit file. The verification may be performed 

telephonically prior to the credit approval provided the Gaming 

Enterprise or bank verification service requests written 

documentation of all information obtained as soon as possible and 

such written documentation is included in the patron's credit file. 

All requests for written information shall be maintained in the 

patron's credit file until such documentation is obtained. 

5. Approvats10 increase the amount of credit granted shall require a 24-hour 

"cooling off' period between the time a request for an increase in the 

credit is received and when the additional credit amount will be made 

available to the patron. 

C. Tribal Minimum Internal Control. The Tribe or TGA shall adopt the minimum 

internal control standard set forth in 25 C.F.R. § 542.15, as may be amended from 

time to time (the "Tribal Credit MICS") and shall comply with any and all other 

applicable federal law. The Tribe or TGA may amend the Tribal Credit MICS 

and/or may enter into additional minimum internal control standards in order to 

continue efficient regulation and address future circumstances; provided that: (i) 

any amendments or additional standards shall be at least as stringent as 25 C.F.R. 

§ 542.15 in its current form as of the Effective Date of the Compact; and (ii) the 

Tribe provides a copy of the amendments and/or additional standards to the State 

for review and comment prior to implementation. The Gaming Enterprise shall 

offer Credit pursuant to written internal policies and procedures. The internal 

policies and procedures shall implement the minimum internal control standard. 

D. Certification. The following shall occur on an armual basis: 

I. The TGA shall certify that the Tribal Credit MICS meet or exceed the 

standards set forth in 25 C.F.R. § 542.15 (as in effect on the Effective Date of this 

Compact or as it may be amended, provided that any later amendments are at least as 

stringent as the version in effect on the Effective Date of this Compact). 

2. The TOA shall certify that lhe Gaming Enterprise's written system of 

internal controls comply with the Tribal Credit MICS. 

7 
'N r,, 

3. The TGA shall cause internal audits to be conducted in conformance with 

the Tribal Credit MICS to test the Gaming Enterprise's compliance with the written 

system of internal controls and require that an Internal Audit Report be prepared, 

consistent with applicable provisions of the Tribal Credit MICS, a copy of which 

Internal Audit Report shall be provided to the SGR. 

4. The TGA shall investigate any exceptions identified in the Internal Audit 

Report and require the Gaming Enterprise to correct any substantiated exceptions. 

5. The TGA or the Tribe shall engage an independent certified public 

accountant to conduct agreed-upon procedures consistent with applicable provisions 

of the Tribal Credit MICS and prepare a report documenting the results of those 

procedures ("Agreed-Upon Procedures Report11), a copy of which report shall be 

provided to the SOR. The independent certified public accountant shall be licensed in 

the State to practice as an independent certified accountant. 

6. The TGA shall send a report to the SOR which describes the status of 

compliance of the Gaming Enterprise with the Tribal Credit MICS. The TGA's 

annual report to the SGR, shall certify if material compliance with the Tribal Credit 

MICS has been achieved and shall enclose: (i) the TGA Internal Audit Report; (ii) 

the Agreed-Upon Procedures Report; and, (iii) any written communications of the 

independent certified public accountant including management letters regarding 

weaknesses or deficiencies in internal controls issued in connection with the AgreedUpon-Procedures Report, including but not limited to documentation related to any 

financial review/audit of gaming revenue. 

7. If, upon review, the SOR reasonably determines that there is substantial 

evidence of material noncompliance with the requirements of the Tribal Credit MICS, 

the SGR may request a meeting to consult with the TOA regarding the method and 

means by which the Tribe determines that the Tribal Credit MICS are properly being 

enforced. The TGA and SGR shall meet within thirty (30) days of a written meeting 

request from the SGR. The SGR meeting request shall identify its basis for a 

determination that there is substantial evidence of material noncompliance with the 

requirements of the Tribal Credit MICS. During this meeting, the SGR and TOA shall 

make good faith efforts to address the issues identified in the SOR meeting request. 

8. A violation of the Tribal Credit MICS or any other applicable federal law 

or regulation or any other applicable law shall be considered a breach of the Compact. 

E. Compliance and Reporting. The TGA shall audit compliance annually of policies 

and procedures for credit consistent with the MICS Audit Checklist - Credit 

promulgated by the National Indian Gaming Commission, 1 a copy of which shall 

be provided to the SOR. In addition, on a quarterly basis, the Tribe or TGA shall 

report the following to the SGR for the previous quarter: 

1

http://www.nigc.gov/Laws _Regulations/Commission_ Regulations/Minimum_Internal_ Control_Standards/25 _ CFR 

_Part_542c.aspx 

8 
1. the total amount of the credit extended; 

2. the number of credit extensions granted; 

3. the number of patrons receiving credit and the number of extensions per 

patron; 

4. the amount of each individual credit extension; 

5. the city and state ofresidence for each patron granted credit; 

6. the aging report of the Gaming Enterprise reflecting the amounts owed; 

and 

7. the amount of any write-offs and any collection efforts by collection 

agencies. 

F. Consumer Protection. The Gaming Enterprise is obligated to observe the 

following terms and conditions associated with granting credit: 

1. 

3. 

4. 

5. 

6. 

7. 

8. 

The Gaming Enterprise is prohibited from allowing a patron to directly 

purchase gaming chips, checks or credits with a credit card. However, 

nothing herein prevents a patron from making ATM withdrawals using a 

debit or a credit card. 

ThP. C";:.mino F.ntP.mri~P. i~ nrnhihitP.~ 1Tnm r.hl'raino intArP~t nr f.,.Ac fnr - --- - --------g ------r---- -- r· --------- ------ -----o···c:o ····-· --· -- ·--- ·-· 

credit extended to patrons. 

Outstanding balances are payable within thirty (30) days. 

The Gaming Enterprise reserves the right to require the payoff of 

outstanding balances from table games winnings or slot jackpots. 

The Gaming Enterprise is prohibited from selling delinquent account 

balances to collection specialists for purposes of collecting outstanding 

amounts owed. 

The Gaming Enterprise is prohibited from awarding> granting or paying 

incentives of any kind to Gaming Enterprise employees based on the 

granting of credit or the amount of credit extended. 

The Gaming Enterprise is prohibited from awarding, granting or paying 

incentives of any kind to induce any Gaming Enterprise patron to obtain 

credit. 

The Gaming Enterprise shall designate certain employees as credit 

department representatives or executives with the authority to approve 

credit for gaming activities. A credit department representative shall not 

perform any duties incompatible with the assessment of a patron's credit 

worthiness such as recruitment of or marketing to patrons or prospective 

patrons. 

9 
9. Any patron that applies for a credit shall be provided written notice of the 

terms and conditions of the credit including the consequences for failure to 

repay the debt. 

10. In assessing whether to increase the credit limit to a patron, the Gaming 

Enterprise shall consider the patron's player rating based on a continuing 

evaluation of the amount and frequency of play subsequent to the patron's 

initial receipt of credit. The patron's player rating shall be readily available 

to representatives of the Gaming Enterprise's credit department prior to 

their approving a patron's request for a credit limit increase. Significant 

deviations in the patron's player rating shall be viewed negatively in 

determining whether to grant or deny credit to a patron. 

11. Judicial collection of debts shall only be pursued in the state court where 

the patron resides and the law of the state iri which the patron resides shall 

apply. 

G. No Reduction in Revenue Sharing. There is no reduction in revenue sharing 

payments owed by the Gaming Enterprise for uncollectible debt related to credit 

extensions. 

H. Applicability. The requirements of Section IV of this Appendix shall only apply 

in the event that the Tribe offers credit as pennitted in Section 4(B)(10). In the 

event that a Tribe does not offer credit as permitted in Section 4(B)( 10), the 

requirements of Section IV shall not apply. 

V . Discretionary Complimentaries pursuant to Section 4 (B)(l9) 

A. Tribal Minimum Internal Control Standard. The Tribe or TGA shall adopt the 

minimum internal control standard set forth in 25 C.F.R. § 542.17, as may be 

amended from time to time ("Tribal Complirnentaries MICS") and shall comply 

with any and all other applicable federal law. The Tribe or TOA may amend the 

Tribal Complimentaries MlCS and/or may enter into additional minimum internal 

control standards in order to continue efficient regulation and address future 

circumstances; provided that: (i) any amendments or additional standards shall be 

at least as stringent as the 25 C.F .R. § 542.17 in its current form as of the 

Effective Date of the Compact; and (ii) the Tribe provides a copy of the 

amendments and/or additional standards to the State for review and comment 

prior to implementation. The Gaming Enterprise shall offer discretionary 

Complimentaries pursuant to written internal policies and procedures. The 

internal policies and procedures shall implement the minimum internal control 

standard. 

10 
B. Calculation of Complimentaries. The "cwnulative market value" shall be 

calculated based on the average daily rate (ADR) for lodging and the menu 

pricing for food. 

C. Compliance and Reporting. The TOA shall audit compliance annually of policies 

and procedures for discretionary Complimentaries consistent with the MICS 

Audit Checklist - Complimentary Services and Items promulgated by the 

National Indian Gaming Commission,2 a copy of which shall be provided to the 

SGR. In addition, on a quarterly basis, the Tribe or TOA shall report the 

following to the SGR for the previous quarter: the total amount of the 

discretionary Complimentaries during the previous quarter (and a cumulative total 

of the previous quarters for the year) in dollars and as a percentage of Adjusted 

Net Win for such quarter. 

D. Applicability. The requirements of Section V of this Appendix shall only apply in 

the event that the Tribe offers discretionary Complimentaries as permitted in 

Section 4(B)(19). In the event that a Tribe does not offer discretionary 

Complimentaries as permitted in Section 4(B)(19), the requirements of Section V 

shall not apply. 

2

http://www.nigc.gov/Laws_Regulations/Commission Regulations/Minimum Internal Control Standards/25 CFR 

_Part_542c.aspx - - - - -

11 
FORM A 

New Mexico Gaming Control Board 

COlvlP ACT COMPLIANCE CHECKLIST 

Compliance Report 

Fiscal Year 20 

4900 Alameda Blvd. NE 

Albuquerque, NM 87113 

(Rev. 02115) 

Key: X - Compliance 

/ - Partial Compliance 

(Blank) - Non-Compliance 

NA - Not Applicable 

Compliance Tribal-State Comoact 

with Section 

0 ~~~1i!;2n J, ®UlS2Ci~~ 

Glass Ill Gaming. 

0 S~~lion ~. ~QllQYSa Qf ~lass m Qamiru?1 

0 ~A.(ll 

0 s~tio.n...4..~.c~ 

0 §~lioo..4.~.(J) 

0 S~ion.A.A1(!ll 

0 ~ection-4,.~.(~) 

0 Section 4.~.(Q) 

0 ~tion-4.AJ,8) 

0 Sectign ~.~ (2) 

D ~lion ~.B.(ll 

0 ~.tion...4~ 

D ~~~tign ~J;M~..l 

0 ~tign..4.J1.(~) 

D ~~~Hon ~,B..£5.) 

D ~~~tion ~.~.(~) 

D Section ~.a.en 

D Se~ion 4.j1,(B) 

D Ss;ction 4.H.(2) 

D ~~~tion ~.J.l,( LID 

D ~'£tiQJl ~.B.( 11) 

0 Section 4.B.(12} 

D ~s;~lign_4.!l (! 3) 

D ~cclion ~1B.U~l 

D Sectign ~.ll.( 1 i) 

0 ~~lion ~.B,( I ~l 

Compliance 

with Section 

12 

0 

0 

0 

·o 

0 

0 

0 

0 

0 

0 

D 

0 

0 

0 

0 

0 

D 

0 

D 

0 

D 

0 

Tribal-State 

S~ti2nA11Ml Zl S~tion 8. f'g~t gn gf ~Sj,(i,gn !l.Il.(l~l 0 Yi§itora. 

~.c.tiQD ~.H.(12) D S~i,Qn ,~, 

Section 4.C. D S~tion8.B. 

Section 4,D, 0 S~tion 8.C. 

~SQ;tism !11~.(l.l D S~tion 8.0. 

~~tism ~.(2) D S~tiS1n 8.~! 

S~li,mJ .. J;;.DJ D ~ection..8..E. 

s~tio!l ~1f;1@ D ~~lirui BJ.l 

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.s.e~jgg ~.E.(Q) D S~tiQn ~.11 

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§~tign ~"" Li~ensing D S~h!2D 12.~. 

Recoyic~msmt~. 

Se&\io

~cti on 

n 5.8

s.A,. 

1 

0 

0 

~ 

S~tion l l .61 

Section 5,C. D SectionJ.L.a 

Section 5,D. D Section 11.c, 

§~'ion 6. fro~iders gf D u~~ndi~ 

D ~~1iggll.~ &!mt Class m Gaming D Sectign IUl. w~g~~tiog 

EmiiDnlSIDl g1; 12~~i~ D ~~1ism m et~Ye .o.r.Su®

Section 

li

6

es

.A. 

. 

0 ~ 

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Section (i,C.