@6/~9/94 ~8: 39 GOUER STETSON & t.J I I ~MS, PC 002

Jun 1 ~ 1S:44 Na.004 ~.O4

CPuth~o 01 CPo~oacpe

flOUTS Ii, POX ii

SANTA FR, NIW MIXICO 17801

GOVERNORS OFPICI

(tOt) 4*ttT$ or flit

ThI~La~nicALl~0u7rIct~NO. 199424

~J~tO OP 1~~E

%E1~4~$ the Pusblo of Fojoaqj~a adapted a Gaining Otdimr~e of the

Puob~Lo of Po~ja.q~a (Gazning Ozdinana&) cii or about Pobruery 6, 2.992 aid

~n~IId the m~~~ie cii z~az~- ~o, 1~4; aid

~at the rec&uest of the National Indian C3aining Qcnniaslon

(zaX~C) aid p~z~sua~it to the irwiiaii n~x~g Regulatory Act, 2~ U.S.C. ~$

2701 5~ sag (I~k~), the Pueb~o of Po~oaque uthaitt~ the revited Qaw.inrj

Ordinanoe to the NIOC for its review aid a~Iprgv~ and

on N~rcta 28, 1994, the $XQC notified General CC*lfllOl to the

P.~W4u of Pojoaqu. that NIGC had zuviowad the Gainhz~ Oxdunanos aid found

four dsfiomi~d.em iii the Gamin9 O~~1thanoe, aid that the NIGC will not

eçprove the Ga~.n~ Qi~dinanoe un3aa. the daficienoles ex~ corrected; and

1E~5 the £oUcwinj an~rx2me.nta to the Gaining Ordinanoc addzeea the

~erns raised by the NIOC, aid the NIQc will approve the Gaming ordinano

if t1~ Thflael O~nx~il adapts su~t ancbnonti~

~M, W~i4X ~ IT ~OUR~) that the Gaining 0tdthan~ i-a amended

as toUowet

3., saaticai 10-8-2 is dad to include a definition of Clams II

whidi BhSU 1* codIfied as pw Subsection 3.0-52 (B), aid ehall

read as folimirn

class XI gaming me~na all torns of gazuizq as defined in

section 4(7) of the ~I~ian Camin9 Ztagulatory Act, 25 U.S.?. t 2703(7) aid

25 CJ.R. ~ 502.3,

2. Am a reault łt th. addition of a n~ Subsection to Section 10-8-

2, all Subsection m*xt1z5 in section 2.0-8-2 ~al1 be ~difted a000rIlingly

(e.g. fOrmer l0-82 (B) shell be ~lange6 to 1082(C), for~r 1082 (C)

shall be c1~Anged to 2.0-8-2(D) and so cii).

3. V~La-Ia,r S&~tion 30-8-2(5) ia deleted in its entirety and the

following is z~ertad~ in its place as new subsection 10-8-2 (C);

t~la~ xxi: gaming means all fuzine of gaming as defined in

section 4(8) of the L~4ian Gaming I~giAatcr~ Act, 25 U.&.C. ~ 2703(8) aid

25 C.F.R. 5 502.4.
06/09/94 08:40 GOVER STETSON & WI MS, PC @03

I s-~u)4~)r1ikS 3un 94 13:43 No.004 P.02

4. Fo~r section 1O82(It) is deletod in its entirety aid the

foflow4sq La ipast-tsd in its place as nw subeeutlxsi 10-4-2 (Ta)

!~~My Swlcyee masts

(1) A person t parfa can or more or Us following

a, Bthvo caller;

1). C~1fltIfl9 scan supervisor;

c thief of security;

d. oast.cdien of qaa*Uq auwlies or oat;

Floor manager;

t Pit boss;

q. Dealer;

h~ aa)ier;

i.~ Approver of credit; or

j O.i.stodian Of qaitliwj devices 1m3.~dSrq persons with

noon to cab aid aOoountthg records within such devices;

(2) It~ not otherwise incltded, any other person Whose cat

oaut*zsaticn is in souse of flo,ooo per year; or

(3) It iiot othszwise inoliicJs~, tin faiv ~at highly ocmpsnsatM

persons in the yaSa operation.

5. section 10t81O(B) (2.) is Asiated in its ~tizaty aid the rollowing

is inserted thitepiace;

(2.) aSht to be CozflucflscLPureuant to corract My eM all

CLASS XXI aeming activit4us to be corductat on the Pseenatian uhafl be

conducted in a~zdarve with the irxlien Gaming Regulatory Act, a aMpeot

entered into between the Putlo aM the Stats Or NwJ Mexico 61i4/or

procedures a~çrova* bi the Secaotary of the Int*rior.

2
~6/@9/94 GOUER STETSON & WI MS. PC 004

I ~V~-4~(1~ JUn 4 j3:43 No.004 P.03

iT that Geflsral Council is direot~ tO Cause the

Ga]~ib~ Ox~anoe to be restate~ s a~d lar*ln ai~ to s~ t1~ uan~ to

the NI~C far ita r%v~t.w aid approval.

~1~TZ~

I 2iereby oartify that an this 26 day of ~ 1994, ~t a duly

ua2.1~~ estiug of the Tribal counail of the Pueblo o~ Pojoaqu~, 10 voted

,in favor of the forecJoin~ z~so1utiun, 9~ against, aid 0 abatain~d.

PU~IPOY PQ7I~QUE .~

vi~rrial, governor (

3
GOVERNOR SECRETARY

Jacob Viarrial Linda Sarrniento

LIEUTENANT GOVERNOR TREASURER

George Rivera Gloria Garcia

PUEBLO OF POJOAQUE

ROUTE 11, BOX 71

SANTA FE, NEW MEXICO 87501

ADMINISTRATIVE OFFICES: (505) 455-2278

TRIBAL COtJNCIL RESOLUTION NO. 1994-04

f&JEBLD OF POJOAQUE

WI-IEREAS the Pueblo of Pojoaque adopted a Gaming Ordinance of the

Pueblo of Pojoaque (Gaming Ordinancet1) on or about February 6, 1992;

WHEREAS the Tribal Council finds it necessary and in the best

interests of the Pueblo to amend the Gaming Ordinance;

II{ERKFORE BE rr RESOLVED that the Gaming Ordinance is amended as

follows:

1. Section 10-8-2 is amended to contain the following additional

definitions:

Gaming Device means

(1) any socalled slot machine or any other machine or

mechanical device an essential part of which is a

drum or reel with insignia thereon, and (A) which

when operated may deliver, as the result of the

application of an element of chance, any money or

property, or (B) by the operation of which a person

may become entitled to receive, as the result of the

application of an element of chance, any money or

property; or

(2) any other machine or mechanical device (including but

not limited to roulette wheels and similar devices)

designed and manufactured primarily for use in

connection with gambling, and (A) which when operated

may deliver, as the result of the application of an

element of chance, any money or property, or (B) by

the operation of which a person may become entitled

to receive, as the result of the application of an

element of chance, any money or property; or

(3) any subassembly or essential part intended to be

used in connection with any such machine or

mechanical device, but which is not attached to any

such machine or mechanical device as a constituent
part.

Gaming Facilities means the building or stnictures in which

Class II or Class III gaming is conducted;

Gaming Services means the providing of any goods or services,

except for legal services, to the Pueblo in connection with the operation

of Class II or Class III Gaming in a Gaming Facility, including but not

limited to equipment, transportation, food, linens, janitorial supplies,

maintenance, or security services for the Gaming Facility, in an amount in

excess of $10,000 in any single month;

Key employee means a person who performs one or more of the

following functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit Boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices including persons with

access to cash arid accounting records within such

devices.

Primary Management Official means

(a) The person having management responsibility for a

management contract;

(b) Any person who has authority

(1) To hire and fire employees; or

(2) To set up working policy for the gaming operation;

or

(c) The chief financial officer or other person who has

financial management responsibility.

2. Section 10-8-2(N) is deleted in its entirety and the following

is inserted in its place:

t~et revenues means the gross receipts less (a) amounts paid

out as, or paid for, prizes, and (b) total gaming related operating

expenses, excluding management fees.

3. Section 10-87 is deleted in its entirety and the following is

inserted in its place:

2
10-8-7. License For Operating And Conducting Gaming Activity.

A. License Required The Gaming Facility Operator, including its

principals; Primary Management Officials, and Key Employees; the Manager

and its principals; any person, corporation, or other entity that has

supplied or proposes to supply any Gaming Devices to Pojoaape Gaming, Inc.

or the Manager; and each Person providing Gaming Services within or without

a Gaming Facility shall apply for and receive a license from the Commission

before their pai–icipation in any way in the operation or conduct of any

Gaming Activities within the Reservation. A separate license shall be

required for each location of a Gaming Facility.

B. License Application Each applicant for a license shall file

with the Commission a written application in the form prescribed by the

Commission, along with the applicants fingerprint card, current

photograph, and the fee required by the Commission.

1. The following notice shall be placed on the application form

for a Key Employee or a Primary Management Official before that form is

filled out by an applicant:

In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation of

the information on this form is authorized by 25

U. S . C. § § 2701 et ~g. The purpose of the requested

information is to determine the eligibility of

individuals to be employed in a gaming operation.

The information will be used by members and staff of

the Pojoaque Gaming Commission and the National

Indian Gaming Commission who have need for the

information in the performance of their official

duties. The information may be disclosed to

appropriate federal, tribal, state, local, or

foreign law enforcement and regulatory agencies when

relevant to civil, criminal, or regulatory

investigations or prosecutions or when, pursuant to

a requirement by a tribe or the National Indian

Gaming Commission, the information is relevant to

the hiring or firing of an employee, the issuance or

revocation of a gaming license, or investigations of

activities while associated with a tribe or a Gaming

Operation. Failure to consent to the disclosures

indicated in this notice will result in a tribes

being unable to hire you in a Primary Management

Official or key employee position with a tribal

gaming enterprise.

The disclosure of your Social Security Number (SSN)

is voluntary. However, failure to supply a SSN may

result in errors in processing your application.

2. Existing Key Employees and Primary Management Officials

3
shall be notified in writing that they shall either:

(a) Coii~plete a new application form that contains a

Privacy Act notice; or

(b) Sign a statement that contains the Privacy Act notice

and consent to the routine uses described in that notice.

3. The following notice shall be placed on the application

form for a Key Employee or a Primary Management Official before that form

is filled out by an applicant:

A false statement on any part of your application may

be grounds for not hiring you, or for firing you

after you begin work. Also, you may be punished by

fine or iniprisonment. See 18 U.S.C. § 1001.

4. The Commission shall notify in writing existing Key

Employees and Primary Management Officials that they shall either:

(a) Complete a new application form that contains a

notice regarding false statements; or

(b) Sign a statement that contains the notice regarding

false statements.

C. Bac]cqround Investiqations

1. Upon receipt of a completed application and required fee for

licensing, the Commission shall conduct or cause to be conducted a

background investigation to ensure that the applicant is qualified for

licensing.

2. The Commission shall request from each applicant, and from

each Principal, Primary Management Official, and Key Employee of each

applicant, all of the following information:

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

social security number(s), birth date, place of birth, citizenship,

gender, and 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; provided that any applicant who is a Primary Management Official,

Key Employee, Management Contractor, Manufacturer and Supplier of Gaming

Devices, and/or a Person providing Gaming Services, must provide such

information currently and from the age of eighteen;

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

personal references, including one personal reference who was acquainted

with the applicant during each period of residence listed in paragraph

4
a.

(1) (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, and a description of any potential or actual conflict of

interest between such businesses and Indian tribes;;

(f) A description of any existing and previous business

relationships in the gaming industry, including but not limited to

ownership interests in those businesses;

(g) The name and address of any licensing or regulatory

agency with which in the Person has filed an application for a license or

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

granted;

(h) For each felony for which there is an ongoing

prosecution or a conviction, the charge, the date of the charge, the name

and address of the court involved, and the disposition, if any;

(i) For each misdemeanor for which there is an ongoing

prosecution or conviction (excluding minor traffic violations), the

charge, the date of the charge, the name and address of the court involved,

and the disposition, if any;

(j) For each criminal charge (excluding minor traffic

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

not otherwise listed pursuant to paragraph (2) (h) or (2) (i) of this

section, the criminal charge, the date of the charge, the name and address

of the court involved, and the disposition, if any;

(k) The name and address of any licensing or regulatory

agency with which the Person has filed an application for an occupational

license or permit, as an applicant, Primary Management Official, or Key

Employee, and whether or not such license or permit was granted;

(1) A current photograph;

(m) Fingerprints consistent with procedures adopted by

the Pueblo according to 25 C.F.R. § 522.2(h);

(n) The fee required by the Commission; and

(o) Any other information the Commission deems relevant.

3. In conducting a background investigation, the CommiSSiOfl

and its agents shall promise to keep confidential the identity of each

Person interviewed in the course of the investigation.

D. Teniporary License Within twenty (20) days of the receipt of a

5
completed application for licensing, and upon request of an applicant, the

Commission may issue a temporary license to the applicant unless the

background investigation undertaken discloses that the applicant has a

criminal history, or unless other grounds sufficient to disqualify the

applicant are apparent on the face of the application. The temporary

license shall become void and be of no effect upon either (1) the issuance

of the license; (2) the issuance of a notice of denial; or (3) ninety (90)

days after the licensee has begun working.

E. Eligibility Detennination The ConaTLission shall review a

persons prior activities, criminal record, if any, and reputation,

habits, and associations to make a finding concerning the eligibility of

an applicant or Key Employee or Primary Management Official of an

applicant, for employment or involvement in a gaming operation. Upon

completion of the investigation, the Commission shall either issue a

license or deny the application. If the Commission determines that

employment or involvement of the Person or applicant poses a threat to the

public interest or to the effective regulation of a Gaming Activity, or

creates or enhances dangers of unsuitable, unfair, or illegal practices,

methods, or activities in the conduct of Gaming Activities, the Commission

shall deny the application.

F. Ai1ditjon~a1 Backqrouncl Investiqations The Commission retains

the right to conduct additional background investigations of any Person

required to be licensed at any time while the license is valid.

G. Proc~iures for Forwanling Applications and Reports for Key

E~loyees and Primaty Management Officials to the National

Indian Gaming Commission

1. When a Key Employee or Primary Management Official begins

work at a Gaming Operation authorized by this Gaming Ordinance, the

Commission shall forward to the National Indian Gaming Commission a

completed application for employment and conduct the background

investigation and malce the determination referred to in Subsection (E) of

this Section.

2. The Commission shall forward the report referred to in

Subsection (H) of this Section to the National Indian Gaming Commission

within sixty (60) days after an employee begins work or within sixty (60)

days of the approval of this Gaming Ordinance by the Chairman of the

National Indian Gaming Conhinission.

3. The Gaming Operation shall not employ as a Key Employee or

Primary Management Official a Person who does not have a license after

ninety (90) days.

H. Report to the National Indian Gaming Cormaiss ion

1. Pursuant to the procedures set out in Subsection (C) of

this Section, the Commission shall prepare and forward to the National

Indian Gaming Commission an investigative report on each background

6
investigation. An investigative report shall include all of the

following:

(a) steps taken in conducting the background

investigation;

(b) results obtained;

(c) conclusions reached; and

(d) the bases for those conclusions.

2. The Commission shall submit with the report a copy of the

eligibility determination made under Subsection (E) of this Section.

3. If a license is not issued to an applicant, the

Commission:

(a) shall notify the National Indian Gaming Commission;

and

(b) may forward copies of its eligibility determination

and investigative report (if any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming Individuals Records System.

4. With respect to Key Employees and Primary Management

Officials, the Commission shall retain applications for

employment and reports (if any) of background

investigations for inspection, by the Chairman of the

National Indian Gaming Commission or his or her designee

for no less than three (3) years from the date of

termination of employment.

I. Granting a Gaming License

1. If, within a thirty (30) day period after the National

Indian Gaming Commission receives a report, the National Indian Gaming

Commission notifies the 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 for whom the Commission has provided an

application and investigative report to the National Indian Gaming

Commission, the Commission may issue a license to such applicant.

2. The Commission shall respond to a request for additional

information from the Chairman of the National Indian Gaming Commission

concerning a Key Employee or a Primary Management Official who is the

subject of a report. Such a request shall suspend the 30day period under

Paragraph (I) (1) of this section until the Chairman of the National Indian

Gaming Commission receives the additional information.

3. If, within the thirty (30) day period described above, the

National Indian Gaming Commission provides the Coniniission with a statement

7
iteniizing objections to the issuance of a license to a Key Employee or to

a Primary Management. Official for whom the Commission has provided an

application and investigative report to the National Indian Gaming

Commission, the Commission shall reconsider the application, taking into

account the objections itemized by the National Indian Gaming Commission,

and make a final decision whether to issue a license to such applicant.

4. Section 10-88(D) is amended to add the following language as

Subsection l0-88(D)(7): The Commission shall not approve a management

contract unless it contains all of the provisions required by 25 C.F.R. §

531.1.

5. Section 10810(B) is deleted in its entirety and the following

is inserted in its place:

B. Provisions 2‰~licable to Class III Gaminq Activities

(1) Gaming to be Conducted Pursuant to Compact; Interim

Provisions. Any and all Class III Gaming Activities to be conducted on the

Reservation shall be conducted in accordance with the Indian Gaming

Regulatory Act, a Compact entered into between the Pueblo and the State of

New Mexico, and/or procedures approved by the Secretary of Interior. Until

the State of New Mexico agrees to enter into a Class III Gaming Compact with

the Pueblo pursuant to the Indian Gaming R~ulatory Act, the Council may

authorize the Enterprise to engage in Class III Gaming Activities,

provided that such activities comply with all other provisions of this

Gaining Ordinance. This authority shall expire (A) upon the execution of a

Tribal/State Class III Gaming Compact between the Pueblo and the State of

New Mexico and its approval by the Secretary; (B) upon the issuance of an

order by a court having jurisdiction enjoining any gaming activity under

this provision or determining that the interim authority conferred under

this provision is invalid, provided that in the event of the issuance of

any such order, the authority conferred hereunder shall be suspended only

during the period that such order is in effect and is not stayed; or (C)

upon a determination by the Council that for other good cause such

authority should expire.

(2) Vendor Licensing. Any person, corporation, or other

entity that has supplied or proposes to supply any gaming equipment or

devices to any entity on the Reservation for use in conjunction with any

Class III gaming activity must be licensed by the Commission and shall be

subject to a full background investigation in accordance with the

provisions of Section 1087 of this Ordinance, and the Commission shall

prescribe appropriate forms, procedures, and standards for such licensing.

(3) Class III Gaming Rules. The Commission shall have the

authority to prescribe rules and procedures to govern any Class III gaming

authorized to be conducted pursuant to this Ordinance not inconsistent

with the provisions of the Compact or with this Ordinance, as the

Commission deems reasonable and appropriate.

6. Section 10811(A) is amended to delete the following phrase

8
I

jf the Commission receives reliable information from the National Indian

Gaming Commission or any other source that the licensee does not meet the

standard established in Subsection (C) (5) of Section 7 and to insert the

following phrase in its place: if the Commission receives reliable

information from the National Indian Gaming Commission or any other source

that the licensee does not meet the standards established in Subsection 10

87 (E) .

7. Section 10810 is amended to add the following as Subsection

10810(0)

0. Patron Disputes

1. Refusal to Pay Winninqs Whenever the Manager refuses

payment of alleged winnings to a patron, and the Manager and the patron are

unable to resolve the dispute to the satisfaction of the patron and the

dispute involves:

(a) At least five hundred dollars ($500), the Manager

shall inunediately notify the Commission. The Commission shall conduct

whatever investigation it deems necessary and shall determine whether

payment should be made; or

(b) Less than five hundred dollars ($500), the Manager

shall inform the patron of his or her right to request that the Commission

conduct an investigation. Upon request of the patron, the Commission shall

conduct whatever investigation it deems necessary and shall determine

whether payment should be made.

2. Notice to Patrons The Commission shall mail written

notice by certified mail, return receipt requested, to the Manager and the

patron of the decision resolving the dispute within thirty (30) days after

the date that the Commission first receives notification from the Manager

or a request to conduct an investigation from the patron.

3. Effective Dete of Decision The decision of the

Commission is effective on the date it is received by the aggrieved party

as reflected on the return receipt.

4. Review of Decision Within thirty (30) days after the

date of receipt of the written decision, the aggrieved party may file a

petition with the Commission requesting a review of the decision. The

Commission may set a hearing on the matter or may make a decision based

solely upon the prior decision and other documentation provided to it by

the patron and the Manager. The Commission shall then issue a written

decision and mail it to the parties. The decision of the Commission shall

be final and binding upon the patron and the Manager and shall not be

subject to judicial review, dispute resolution, or other legal action.

BE IT FURIHER RESOLVED, that the Governor shall cause the Ordinance

to be revised and restated as amended.

9
MAR-11-94 12~S3 FROM~ PUE8T OF POJOAQUE ID~ 5 552950 PAC~ 3/~

CERTIFICATION

I hereby certify that on this 20th day of January, 1994, at a duly

called meet irtg of the Tribal Council of the Pueblo of Poj oaque, ~ voted

in favor of the foregoing resolution, Q against~ and 0 abst,ainec~.

9~cob Viarrial, covernoI

ATFEST:

of Pojoaque

ecretary

10
QIAPPER 10

AND ~IAL LAW

VIII

Ffl~T AN~2il~ AND R~D

~M~DINAN~~E OF IIIE PJERIO OF ~OJOA(~JE

F~ruazy 6, 1992

An~n1ed ar~ Restated January 20, 1994 by Reso1utic~ No. 1994-04
TABlE OF CX~IT~i1S

1081. llama 1

1082. Definitions.

1

1083. Purposes.

6

1084. Interpretation. 6

1085. Gaming Policy. 6

A. Gamas of than~e Prdiibited 6

B. Ownership of Gaming Enterprise 6

C. Prut~tion of Envir~m~nt; Public Health aM Safety 7

1086. Pu~lo Of Pojoaque Gaming (Yrini~sia~ 7

A. Establishment of Qzinission 7

B. P~iers aM Duties 7

C. Q:iiçosition; Staggered Thrn~ 9

D. ~ialification of Or1nissi~rs 9

E. I~~va1 of Ccmrd.ssic~rs 10

F. Resigriati~ aM Vacaix~ies 11

G. Sel~tion of C~ai r~i~ 11

H. Motions aM Resoluti~ Meetings; Qtxrum 11

I. Qxiperatic~i With Law Enfon~nt ~gerx~ies 12

J. QiIç)ensation 12

10-8-7. License For C~erating AM Cculucting G~11I~ Of thaiEe 12

A. License Required 12

B. License A~lication 12

C. Bac]cgr&iM Inivestigaticz~ 14

D. T~orary License 15

E. Eligibility Determination 15

F. ~cUitionai ~ckgn*nxI Investigations 16

G. Procedures for Fon~arding A~ç1icaticx~ aM Reports for Key

F41)loyees aM Primary Manag~nt Officials to the National

Indian Gaming 0-ilini s~sion .16

H. Report to the National Indian Gaming (~sicfl 16

I. Granting a Gaming License 17

1088. Manag~nt ~itract 17

A. R~xmmieMation of Manager 17

B. Manag~nent ~tract 17

C. License Required for Arproval of Manag~nt ~itract 18

D. Standards for A~rwal 18

E. Manag~nt ~itract Fees 18

F. Standards for Disa~rcwa1 18

G. Action by c~Imni ssion 19

H. Modification and Revocation of Manag~nt QxItrdCt 19
I. No Transfer of Real Pr~erty 19

J. A~roval by Q~irx~il 19

K. Manag~nt Oc~itract Birithig Upon A~roval 19

10-8-9. Finaixial P tjces Ar~1 Reporting 19

A. !~1thly Reports 19

B. Xaintenarxe of Books arxl Rexrds; (sSjOfl ~ss 20

C. A11o~iable Operating Expenses 20

D. Deposit of Gross Receipts; PaynEnt of Operating

Expenses 20

E. AnriualAixlit 20

F. Audit of (~itracts 20

G. Disposition of Net Revenues 21

H. Qz~1iai~ with Internal iem~ Qxle 21

10-8-10. Bingo Aud Class III G~mw~s 21

A. Bingo 21

B. Provisions A~1icab1e to Class III Gaming k–ivities 21

C. ~tion by the Gocrerr~r 22

D. Designation of Officer In tharge 22

E. Pr~nises Open to (f~sion 22

F. Merthardise Prizes 22

G. Usual Prices 22

H. Limits cn~ Prizes 22

I. Rules of Play for Bingo G.~mI~ 23

J. ~i~loyees; Prthibition against Enployees Playing 23

K. Qualification for EuploynEnt; Testing 23

L. Preferezxe in FaiploynEnt 24

M. Personnel Policies 24

N. Hiring aid Training of F~p1oyees 24

0. Expenses of Training FAlployees 24

P. Patron Dispites 24

10-8-fl. Suspension or Revocation Of License 25

A. Grcxuds for pension aid Revocation 25

B. Notice; Tiiin~diate Suspension 26

C. Qnitenth of Qiiplaint; Service 26

D. Ar~r; Subpoenas 26

E. Hearing; Written Decision 27

F. Surrerder of License 27

G. ~klitional Sarx~tici~ 27

H. A~çeal to Tribal ~rt 27

10-8-12. Enforc~i~nt; Jurisdiction; Subpoenas 28

A. Civil R~ies 28

B. Tribal Q*jrt Jurisdiction 29

C. Enforc~nt of Criiini ssion Subpoenas 29

10813. Effective J~te 30
Gi~)4I1~ ~DINANC~ OF ¶~E i~JKHI( OF EOJOA~JE

OrdiiwKe No.

~ TP ~Acrw BY ThE CXIJNCIL OF ThE HJEBW OF IOJOA(~JE:

~n Ordinance to Govern, Regulate, and Control Gaining Activities on the

Poj oaque Indian Reservation.

1081. Name.

The name of this Ordinance shall be the Gaming Ordinance of the Pueblo

of Poj oaque.

10-82. L~finiti~.

The following words shall have the following meanings under this

Ordinance, unless the context otherwise requires:

A. tlBjngo game means the game of chance commonly known as bingo

(whether or not electronic, con~uter, or other technologic aids are used

in connection therewith) which is played for prizes, including monetary

prizes, with cards bearing numbers and other designations in which the

holder of the card covers such numbers or designations when objects,

similarly numbered or designated, are drawn or electronically determined,

and in which the game is won by the first person covering a previously

designated arrang~ent of numbers or designations on such cards, including

(if played in the same location) pull-tabs, lotto, punch boards, tip jars,

instant bingo, and other games similar to bingo;

B. Class III Gaming means all forms of gaining that may be

operated or conducted only in conformance with a Tribal-State Compact
negotiated and entered into pursuant to Section 11(d) of the Indian Gaming

Regulatory Act, 25 U.S.C. §~ 270121, 18 u.s.c. §~ 116668;

C. Commission means the Pueblo of Pojoaque Gaming Conunission

established by this Ordinance;

D. Equipment includes, with respect to bingo games, the

receptacle and numbered objects drawn from it; the master board upon which

such objects are placed as drawn; the cards or sheets bearing numbers or

other designations to be covered and the objects used to cover them; the

board or signs, h~ever operated, used to announce or display the numbers

or designations as they are drawn; the public address system; and all other

articles essential to the operation, conduct, and playing of bingo games;

E. Games of chance means bingo and Class III gaming, but does not

include social games played solely for prizes of minimal value, or

traditional forms of Indian gaming engaged in by individuals as a part of,

or in connection with, tribal ceremonies or celebrations;

F. Gaming Device means

(1) any so-called slot machine or any other machine or

mechanical device an essential part of which is a drum or

reel with insignia thereon, and (A) which when operated

may deliver, as the result of the application of an element

of chance, any money or property, or (B) by the operation

of which a person may become entitled to receive, as the

result of the application of an element of chance, any

money or property; or

(2) any other machine or mechanical device (including but not

limited to roulette wheels and similar devices) designed

2
and manufactured primarily for use in connection with

gambling, and (A) which when operated may deliver, as the

result of the application of an element of chance, any

money or property, or (B) by the operation of which a

person may became entitled to receive, as the result of the

application of an element of chance, any money or

property; or

(3) any subassembly or essential part intended to be used in

connection with any such machine or mechanical device, but

which is not attached to any such machine or mechanical

device as a constituent part.

F. Gaming Facilities means the building or structures in which

Class II or Class III gaming is conducted;

G. Gaming Ordinance means this Gaming Ordinance of the Pueblo of

Poj oaque and any rules or regulations promulgated hereurx~er;

H. Gaming Services means the providing of any goods or services,

except for legal services, to the Pueblo in connection with the operation

of Class II or Class III Gaming in a Gaming Facility, including but not

limited to equipment, transportation, food, linens, janitorial supplies,

maintenance, or security services for the Gaming Facility, in an amount in

excess of $10, 000 in any single month;

I. Governor means the Governor of the Pueblo of Poj oaque;

J. Gross receipts means receipts from the sale of shares,

tickets, or rights in any manner connected with participation or the right

to participate in any game of chance, including but not limited to any

admission fee or charge, the sale of merchandise, refreshments, souvenirs,

3
services, equipment, or supplies, interest earned on deposits, and all

other miscellaneous receipts;

K. Key employee means a person who performs one or more of the

following functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit Boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices including persons with

access to cash and accounting records within such devices.

L. License means a license duly issued to primary management

officials and key employees of any gaming enterprise conducted on the

Reservation by the Tribal Council pursuant to this Gaming Ordinance;

N. Licensee means any person who has been duly licensed by the

Tribal Council;

N. INanager~ means the Manager of Pojoaque Gaming, Inc., hired

pursuant to Section 8 of this Gaming Ordinance;

0. Member of the Pueblo means an enrolled member of the Pueblo of

Poj oaque;

4
P. National Indian Gaining Commission means the National Indian

Gaming Commission established by the Indian Gaming Regulatory Act, 25

U.S.C. §~ 270121, 18 U.S.C. §~ 116668;

Q. Net revenues means the gross receipts less (a) amounts paid

out as, or paid for, prizes, and (b) total gaming related operating

expenses, excluding management fees.

R. Occasjofl means a gathering at which a game of chance is

played;

S. Person means an individual, trust, fthii, association,

partnership, political subdivision, government agency, municipality,

industry, public or private corporation, or any other legal entity

whatsoever;

T. Premises means any roan, ball, building, enclosure, or

outdoor or other area used for the purpose of playing a game of chance;

U. Primary Management Official means

(1) The person having management responsibility for a

management contract;

(2) Any person who has authority:

a. To hire and fire employees; or

b. To set up working policy for the gaming operation;

or

(3) The chief financial officer or other person who has

financial management responsibility.

V. Pueblo means the Pueblo of Pojoaque;

W. Reservation means the Pojoaque Indian Reservation and any

lands title to which is held in trust by the United States for the benefit

5
of the Pueblo of Pojoaque or a member thereof or held by the Pueblo of

Pojoaque subject to a restriction by the United States against alienation,

and over which lands the Pueblo of Poj oaque exercises governmental power;

X. Tribal Council means the Tribal Council of the Pueblo of

Poj oaque, the governing body of the Pueblo; and

Y. Tribal Court means the Pueblo of Pojoaque Tribal Court.

1083. Purposes.

The purposes of this Gaming Ordinance are to make lawfu1 and to

regulate the operation, conduct, and playing of games of chance on the

Reservation so that revenue may be produced to fund tribal governmental

operations and programs which promote the health, education, and welfare

of the Pueblo and its members and which promote tribal economic

development.

1084. Interpretatic~i.

This Gaming Ordinance is an exercise of the sovereign power of the

Pueblo and shall be liberally construed for the accomplishment of its

purposes and to comply with the Indian Gaming Regulatory Act.

1085. Gaming Policy.

A. Games of thaix~ Prohibited No person may operate or conduct

any games of chance within the boundaries of the Reservation except in

accordance with the provisions of this Gaming Ordinance.

B. Ownership of Gamiri~ Enterprise The Pueblo of Pojoaque, acting

through the Tribal Council and Pojoaque GaIning, Inc., a corporation

chartered and wholly-owned by the Pueblo, shall have the sole proprietary

interest in and responsibility for the operation and conduct of any games

of chance operated or conducted on the Reservation.

6
C. Protectic~ of Envirctiment; Public Health and Safety The

construction and maintenance of any gaming facility, and the operation and

conduct of any and all games of chance, shall be done in a manner that

adequately protects the environment and the public health and safety.

1086. Pueblo Of Pojoaque Gaming O~iiini s~iai

A. Establishn~nt of (Yii1nisSj~ There hereby is established the

Pueblo of Pojoaque Gaming Conui~ission for the purposes of regulating all

games of chance within the Reservation and enforcing this Gaming Ordinance.

B. Pc~ers and Duties The Commission shall have the following

powers and duties:

(1) To recommend to the Tribal Council whether it should

permit or refuse to permit the operation or conduct of any gaines of chance

within the exterior boundaries of the Reservation, and to specify the

conditions for the operation or conduct of any games of chance within the

exterior boundaries of the Reservation.

(2) To grant, suspend, or revoke licenses to primary

management officials and key employees of Pojoaque Gaming, Inc., in

accordance with this Gaming Ordinance.

(3) To monitor and oversee the operation and conduct of all

games of chance within the exterior boundaries of the Reservation on a

continuing basis, including but not limited to ongoing monitoring and

oversight of licensees engaged in the operation and conduct of such gaines.

(4) To inspect and examine all premises within the Reservation

at which games of chance are played.

7
(5) To conduct or cause to be conducted background

investigations of persons involved, directly or indirectly, in the

operation or conduct of games of chance within the Reservation.

(6) To inspect, examine, p1~iotocopy, and audit all papers,

books, and records respecting gross receipts of gaming activities operated

or conducted within the Reservation and any other matters necessary to

carry out the duties of the Commission under this Gaming Ordinance.

(7) To bring suits in the Tribal Court seeking ten~orary and

permanent orders closing a game of chance in accordance with this Gaming

Ordinance.

(8) To enter into contracts with tribal, federal, state, and

private entities for activities necessary to the discharge of the duties

of the Commission and to contract with the National Indian Gaming

Commission for the enforcement of federal regulations governing gaining on

Indian reservations.

(9) Subject to the approval of the Tribal Council, to adopt the

budget of the Commission annually.

(10) Subject to the approval of the Tribal Council, to

establish fees for applications for licenses and fees for licensees based

on a percentage of the gross receipts of games of chance operated or

conducted by such licensees.

(11) To require by subpoena the attendance and testimony of

witnesses arid the production of all books, papers, and documents relating

to any matter under consideration or investigation by the Coitmiission, and

to bring actions in the Tribal Court for the enforcement of such subpoenas.

8
(12) To administer oaths and affirmations to witnesses

appearing before the Commission.

(13) Subject to the approval of the Tribal Counc , to approve

gaming management contracts in accordance with this Gaming Ordinance.

(14) To hear appeals in accordance with this Gaming Ordinance.

(15) To keep minutes, records, and books in which shall be kept

a true, faithful, and correct record of all proceedings of the Commission.

(16) To promulgate rules and regulations as it deems

appropriate to implement the provisions of this Gaming Ordinance.

(17) To recommend amendments to this Gaming Ordinance to the

Tribal Council.

(18) To submit an annual report to the Tribal Council on the

activities of the Commission, such report to include information on the

funding, income, and expenses of the Commission.

C. C~i~csitic~ Staggered ~ The Commission shall consist of

three (3) Cc*tnuissioners appointed by the Governor of the Pueblo, with the

consent of the Tribal Council. Each Commissioner shall serve for a term of

three (3) years; provided that in order to stagger the expiration of terms

of office, the first Commissioner appointed shall serve a three-year term,

the second Commissioner appointed shall serve a two-year term, and the

third Commissioner appointed shall serve a one-year term. A Commissioner

may serve after the expiration of his term of office until a successor has

been appointed, unless such Commissioner has been removed for cause under

Subsection E of this Section.

D. (of Ommiissic~ers At least one (1) Commissioner

must be an enrolled member of the Pueblo. No person shall be eligible or

9
qualified to serve or continue to serve as a Commissioner or as an appointee

or employee of the Commission, who:

(1) Has been convicted of a felony or gaming offense;

(2) Has any financial interest in, or management

responsibility for, any gaining activity; or

(3) Has a financial interest in, or management responsibility

for, any bingo management contract submitted to the Commission for review

or approval.

E. R~wal of (YI~ini~si~rs A Comrtissioner may be involuntarily

removed from office prior to the expiration of his term in accordance with

the following procedures:

(1) Removal of a Commissioner may be initiated by providing

the Secretary of the Tribal Council with a written request specifying the

cause for removal, signed by not less than one-half (1/2) of the members of

the Tribal Council.

(2) The cause for removal shall be limited to: (1) conviction

in any court of a felony or crime involving moral turpitude; (2) failure to

meet or maintain the qualifications for Commissioners set forth in

Subsection D of this Section; (3) gross neglect of duty; or (4) malfeasance

in office, or conduct which amounts to gross and intentional disregard of

the laws and procedures applicable to the affairs of the Commission.

(3) Not less than twenty (20) nor more than thirty (30) days

following receipt of the written request for removal, the Tribal Council

shall convene a special meeting for the sole purpose of voting on the

removal of the Commissioner. Before any vote is taken, the Commissioner

shall be given a full opportunity, either in person or through a

10
representative of his choice, to answer or otherwise respond to any and

all charges against him or her.

(4) To remove a Commissioner from office, the affirmative vote

of no less than two-thirds (2/3) of the members of the Tribal Council is

required.

F. Resiqnaticzis and Vacancies 1~ny Conmiissioner may resign at any

time by giving written notice of such to the Secretary of the Commission and

to the Secretary of the Tribal Council. The resignation shall become

effective at the time specified in such notice, and the acceptance of such

resignation shall not be necessary to make it effective. ~ny vacancy on the

Commission, howsoever caused, shall be filled for the unexpired portion of

the vacated Commissioners term by a qualified person appointed by the

Governor with the consent of the Tribal Council.

G. SelecticBi of thairman The Commission shall select annually by

majority vote one (1) of its members to serve as Chairman, one (1) of its

members to serve as Vice Chairman, and one (1) of its members to serve as

Secretary. The Vice Chairman shall serve as Chairman during meetings of

the Commission at which the Chairman is absent.

H. J~ti~ and Reso1uticz~s; Meetin~s; ~rum The powers of the

Commission are vested in the Commissioners. All official actions of the

Commission shall be taken by motion or resolution approved by the

affirmative vote of a majority of the Commission. The Commission shall

meet at the call of the Chairman or a majority of its members but shall meet

at least once every three (3) months. ~o (2) members of the Commission

shall con~rise a quorum.

11
I. x~eratic*i With law ~iforo~nt 2~qencies The Comimission may

cooperate with law enforcement officials of the State of New Mexico, the

Bureau of Indian Affairs, the Federal Bureau of Investigation, and other

law enforcement agencies, when such cooperation is in the best interests

of the Pueblo and will help to insure that fair, honest, and efficient games

of chance are operated and conducted within the Reservation.

J. Qz~ensation. Commissioners shall be compensated as detemined

by the Tribal Council and in accordance with the annual budget of the

Commission.

10-8-7. License Fbr (~erating And Q~1ucting C~iu~~ Of thanoe.

A. License Required The Gaining Facility Operator, including its

principals; Primary Management Officials, and Key fli~ployees; the Manager

and its principals; any person, corporation, or other entity that has

supplied or proposes to supply any Gaming Devices to Pojoaque Gaining, Inc.

or the Manager; and each Person providing Gaming Services within or without

a Gaming Facility shall apply for and receive a license from the Coimnission

before their participation in any way in the operation or conduct of any

Gaming Activities within the Reservation. A separate license shall be

required for each location of a Gaming Facility.

B. License Azv1icatic~ Each applicant for a license shall file

with the Commission a written application in the form prescribed by the

commission, along with the applicants fingerprint card, current

photograph, and the fee required by the Commission.

(1) The follo~.iirig notice shall be placed on the application

form for a Key fl~loyee or a Primary Management Official before that form

is filled out by an applicant:

12
In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation of

the information on this form is authorized by 25

U.S.C. §~ 2701 et ~g. The purpose of the requested

information is to determine the eligibility of

individuals to be employed in a gaming operation.

The information will be used by members and staff of

the Pojoaque Gaming Commission and the National

Indian Gaming Conunission who have need for the

information in the performance of their official

duties. The information may be disclosed to

appropriate federal, tribal, state, local, or

foreign law enforcement and regulatory agencies when

relevant to civil, criminal, or regulatory

investigations or prosecutions or when, pursuant to

a requirement by a tribe or the National Indian

Gaming Commission, the information is relevant to

the hiring or firing of an employee, the issuance or

revocation of a gaming license, or investigations of

activities while associated with a tribe or a Gaming

Operation. Failure to consent to the disclosures

indicated in this notice will result in a tribes

being unable to hire you in a Primary Management

Official or key employee position with a tribal

gaming enterprise.

The disclosure of your Social Security Number (SSN)

is voluntary. However, failure to supply a SSN may

result in errors in processing your application.

(2) Existing Key ~nployees and Primary Management Officials

shall be notified in writing that they shall either:

a. Complete a new application form that contains a

Privacy Act notice; or

b. Sign a statement that contains the Privacy Act notice

and consent to the routine uses described in that notice.

(3) The following notice shall be placed on the application

form for a Key Employee or a Primary Management Official before that form

is filled out by an applicant:

A false statement on any part of your application may

be grounds for not hiring you, or for firing you

after you begin work. Also, you may be punished by

fine or imprisonment. See 18 U.S.C. § 1001.

13
(4) The Commission shall notify in writing existing Key

Employees and Primary Management Officials that they shall either:

a. Complete a new application form that contains a notice

regarding false statements; or

b. Sign a statement that contains the notice regarding

false statements.

C. Baclr.qrwwl Investiqati~

(1) Upon receipt of a completed application and required fee

for licensing, the Commission shall conduct or cause to be conducted a

background investigation to ensure that the applicant is qualified for

licensing.

(2) The Commission shall request from each applicant, and from

each Principal, Primary Management Official, and Key Employee of each

applicant, all of the following information:

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

social security number(s), birth date, place of birth, citizenship,

gender, and 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 driver s license

numbers; provided that any applicant who is a Primary Management Official,

Key Employee, Management Contractor, Manufacturer and Supplier of Gaming

Devices, and/or a Person providing Gaming Services, must provide such

information currently and from the age of eighteen;

c. The names and current addresses of at least three

personal references, including one personal reference who was acquainted

14
with the applicant during each period of residence listed in paragraph

(1) (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, and a description of any potential or actual conflict of

interest between such businesses and Indian tribes;;

f. A description of any existing and previous business

relationships in the gaining industry, including but not limited to

ownership interests in those businesses;

g. The name and address of any licensing or regulatoiy

agency with which in the Person has filed an application for a license or

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

granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the date of the charge, the name

and address of the court involved, and the disposition, if any;

1. For each misdemeanor for which there is an ongoing

prosecution or conviction (excluding minor traffic violations), the

charge, the date of the charge, the name and address of the court involved,

and the disposition, if any;

j. For each criminal charge (excluding minor traffic

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

not otherwise listed pursuant to paragraph (2) (h) or (2) (i) of this

section, the criminal charge, the date of the charge, the name and address

of the court involved, and the disposition, if any;

15
k. The name and address of any licensing or regulatory

agency with which the Person has filed an application for an occupational

license or permit, as an applicant, Primary Management Official, or Key

Employee, and whether or not such license or permit was granted;

1. A current photograph;

m. Fingerprints consistent with procedures adopted by

the Pueblo according to 25 C.F.R. § 522.2(h);

n. The fee required by the Commission; and

o. Any other information the Omission deems relevant.

(3) In conducting a background investigation, the Commission

and its agents shall promise to keep confidential the identity of each

Person interviewed in the course of the investigation.

D. License Within twenty (20) days of the receipt of a

completed application for licensing, and upon request of an applicant, the

Commission may issue a temporary license to the applicant unless the

background investigation undertaken discloses that the applicant has a

criminal history, or unless other grounds sufficient to disqualify the

applicant axe apparent on the face of the application. The temporary

license shall become void and be of no effect upon either (1) the issuance

of the license; (2) the issuance of a notice of denial; or (3) ninety (90)

days after the licensee has begun working.

E. Eligibility Determinatia~i The Commission shall review a

persons prior activities, criminal record, if any, and reputation,

habits, and associations to make a finding concerning the eligibility of

an applicant or Key E~loyee or Primary Management Official of an

applicant, for employment or involvement in a gaming operation. Upon

16
completion of the investigation, the Commission shall either issue a

license or deny the application. If the Commission determines that

employment or involvement of the Person or applicant poses a threat to the

public interest or to the effective regulation of a Gaming Activity, or

creates or enhances dangers of unsuitable, unfair, or illegal practices,

methods, or activities in the conduct of Gaming Activities, the Commission

shall deny the application.

F. Ak]itic~a1 Back~wund Investigati~ The Commission retains

the right to conduct additional background investigations of any Person

required to be licensed at any time while the license is valid.

G. Pro ures for Forwardint~ Ai*licatic~ and R~orts for Key

Faivloyees and Pri1I~rv Manag~nt Officials to the National

Indian Gamirv~i Civ.ni~siai

(1) When a Key flnployee or Primary Management Official begins

work at a Gaming Operation authorized by this Gaming Ordinance, the

Commission shall foi:ward to the National Indian Gaining Commission a

completed application for employment and conduct the background

investigation and make the determination referred to in Subsection (E) of

this Section.

(2) The Commission shall forward the report referred to in

Subsection (H) of this Section to the National Indian Gaming Commission

within sixty (60) days after an employee begins work or within sixty (60)

days of the approval of this Gaining Ordinance by the thainnan of the

National Indian Gaming Commission.

(3) The Gaming Operation shall not employ as a Key E~loyee or

Primary Management Official a Person who does not have a license after

ninety (90) days.

17
H. R~ort to the NaticR~a1 Irdian GamirK~ (Yini~si~

(1) Pursuant to the procedures set out in Subsection (G) of

this Section, the Commission shall prepare and forward to the National

Indian Gaming Coimuission an investigative report on each background

investigation. 1~n investigative report shall include all of the

following:

a. steps taken in conducting the background

investigation;

b. results obtained;

c. conclusions reached; and

d. the bases for those conclusions.

(2) The Commission shall submit with the report a copy of the

eligibility determination made under Subsection (E) of this Section.

(3) If a license is not issued to an applicant, the

Commission:

a. shall notify the National Indian Gaming Commission;

and

b. may forward copies of its eligibility determination

and investigative report (if any) to the National Indian Gaming Commission

for inclusion in the Indian Gaming Individuals Records System.

(4) With respect to Key flnployees and Primary Management

Officials, the Commission shall retain applications for employment and

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

C2~airman of the National Indian Gaming Commission or his or her designee

for no less than three (3) years from the date of termination of

eiiployment.

18
I. Grantirx~ a Gamir~i License

(1) If, within a thirty (30) day period after the National

Indian Gaming Commission receives a report, the National Indian Gaming

Commission notifies the 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 for whom the Commission has provided an

application and investigative report to the National Indian Gaming

Commission, the Commission may issue a license to such applicant.

(2) The Coimnission shall respond to a request for additional

information from the Chairman of the National Indian Gaming Commission

concerning a Key Employee or a Primary Management Official who is the

subject of a report. Such a request shall suspend the 30-day period under

Paragraph (I) (1) of this section until the Chairman of the National Indian

Gaming Commission receives the additional information.

(3) If, within the thirty (30) day period described above, the

National Indian Gaming Commission provides the Commission with a statement

itemizing objections to the issuance of a license to a Key Employee or to

a Primary Management Official for whom the Commission has provided an

application and investigative report to the National Indian Gaming

Commission, the Commission shall reconsider the application, taking into

account the objections itemized by the National Indian Gaming Connnission,

and make a final decision whether to issue a license to such applicant.

1088. Manag~nt Ccgitract.

A. Recx~rx1atic~~ of Manager The Board of Directors of Pojoaque

Gaming, Inc. shall recommend to the Tribal Council a person to serve as

Manager of Pojoaque Gaining, Inc. Upon receiving a recn~mendation from the

19
Board of Directors, the Tribal Council shall either approve or disapprove

the person reconanended.

B. Manag~nt ~itract Upon approval by the Tribal Council of the

person recommended to serve as Manager, the Board of Directors of Pojoaque

Gaming, Inc. shall execute a management contract with the Manager, such

management contract to be subject to the approval of the Commission and the

Tribal Council in accordance with this Section. For purposes of this

Gaming Ordinance, any reference to the management contract shall be

considered to include all collateral agreements to such contract as relate

to the gaming activity.

C. License Required for Ar~rova1 of Manag~nt Qxitract Before

approving any management contract, the Conunission shall require that all

primary management officials and key employees of the Manager be licensed

by the Tribal Council.

D. StaNiards for A~*roval The Commission may approve a gaming

management contract only if the contract provides:

(1) For the adoption and maintenance of adequate accounting

procedures and for verifiable financial reports to be prepared and

submitted to the Tribal Council on a monthly basis;

(2) For access of Commission officials to the daily operations

of the gaming and for permission for such officials to verify the daily

gross revenues and income made from the licensed gaining activity;

(3) For a minimum guaranteed payment to the Pueblo, which

payment must be made prior to retirement of any development and

construction costs;

20
(4) For an agreed ceiling for the repayment of development and

construction costs, if any;

(5) For a contract term not to exceed three (3) years;

(6) For grounds and procedures for terminating such contract,

but actual contract termination shall not require the approval of the

Commission; and

(7) The Commission shall not approve a management contract

unless it contains all of the provisions required by 25 C. F. R. § 531.1.

E. Manag~nt Contract Fees The Coimuission may approve a

management contract providing for a fee based upon a percentage of the net

revenues. Such fee shall not exceed thirty percent (30%) of the net

revenues.

F. Standards for Disaivroval. The Commission shall not approve

any management contract if the Commission determines that:

(1) The Manager or any primary management official or key

employee of the Manager is not licensed or is ineligible to be licensed; or

(2) A trustee, exercising the skill and diligence that a

trustee is commonly held to, would not approve the contract.

G. Actic~ by C~1nissia~i The Commission shall approve or

disapprove a management contract within thirty (30) days after it is

submitted to the Commission for approval. The Commission may extend the

thirty (30) day period by not more than thirty (30) days if it notifies

Pojoaque Gaming, Inc. and the Tribal Council in writing of the reason for

the extension.

H. Modification and Revocation of Manaq~nt C~itE-dCt The

Commission, after notice and hearing, shall have the authority to require

21
appropriate contract modifications and may void any management contract if

it determines that this Gaming Ordinance or the management contract has

been violated.

I. No Transfer of Real Prqerty No management contract for the

operation arid management of a gaming activity regulated by this Gaming

Ordinance shall transfer or in any other manner convey any interest in land

or other real property, unless specific statutory authority exists

therefor and unless clearly specified in writing in said management

contract.

J. ~raval by Qxincil Upon the approval of a management contract

by the Commission, the management contract shall be submitted to the Tribal

Council for approval or disapproval. The Tribal Council shall approve or

disapprove the management contract within thirty (30) days of its

submission.

K. Manaq~nt Contract BiMin~ Upon Approval No management

contract, and no modification, revision, or amendment thereto, shall be

binding upon Pojoaque Gaming, Inc. unless and until approved by the

Commission and the Tribal Council.

1089 - Financial Practices Ar~ Reporting.

A. W~ithly Reports On or before the tenth day of each month,

Pojoaque Gaming, Inc. and the Manager shall file with the Conmiission and

the Tribal Council a certified financial report for the preceding calendar

month sho~..zirig the amount of gross receipts derived from games of chance,

the operating expenses incurred or paid, the specific classifications of

such expenses, the names and addresses of each person to whom has been paid

Six Hundred Dollars ($600.00) or more in the aggregate and the purposes of

22
such payments, and the net revenues derived from games of chance. It is the

duty of Pojoaque Gaming, Inc. and the Manager to maintain and keep such

books and records as may be necessary to substantiate the particulars of

each report. If Pojoaque Gaming, Inc. or the Manager fails to file a report

within the time allowed, or if a report is not properly certified or not

fully, accurately, and truthfully completed, the license of Pojoaque

Gaming, Inc. or the Manager may be suspended by the Commission until such

time as the deficiency has been corrected.

B. Maintenance of Books ar~ Recx)rds; Oiinic~sixi ~ess Full and

accurate books of account shall be kept at the places of business of

Pojoaque Gaming, Inc. and the Manager, showing the condition of the

business and all transactions relating to games of chance on the

Reservation. The Commission and the Governor of the Ekieblo shall have

access to such books of account and shall be entitled to examine them

without notice at any time during ordinary business hours or during games

of chance either in person or by an agent. All records of games of chance

in whatever medium shall be maintained for five (5) years.

C. Allowable C~eratim Exper~es No item of expense shall be

incurred or paid in connection with operating or conducting any game of

chance except a bona fide expense in a reasonable amount. Expenses may be

incurred only for the following purposes:

(1) For the purchase of goods, wares, and merchandise

furnished;

(2) For services rendered by the Manager (including repayment

of development fees and construction costs, if any) for maintenance or

23
repairs of gaming and related equipment, and for operating or conducting

a game of chance;

(3) For rent, janitorial, and security services;

(4) For legal and accounting fees;

(5) For taxes and license fees;

(6) For utilities;

(7) For insurance; and

(8) For prizes for winners of games of chance.

D. peposjt of Gross Rec?ipts; Payn~nt of (~erating Expenses. All

gross receipts shall be deposited in a special account of the Pueblo which

shall contain only gross receipts. All operating expenses shall be

withdrawn from such account by consecutively numbered checks duly signed

by the Manager or an official or officials thereof designated by the

Manager, and the Governor or an eit~loyee or employees thereof designated

by the Governor, payable to a specific person or organization. No check

shall be drawn to cash or a fictitious payee.

E. Annual Audit Pojoaque GaIning, Inc. and the Manager shall

cause to be produced an annual outside independent certified audit of all

gaming activities and shall deliver the same to the Tribal Council, the

Commission, and the National Indian Gaming Commission in accordance with

all applicable regulations.

F. Audit of Cx~tracts Any contract for supplies, services, or

merchandise in an amount greater than $25,000 annually, except contracts

for professional legal or accounting services, which contract relates to

gaining activities, shall be subject to annual outside independent

certified audits on the order of the Tribal Council or the Commission.

24
G. Disposition of Net Revenues The net revenues derived from

games of chance shall be deposited into the general fund of the Pueblo on

a quarterly basis and shall not be used for purposes other than:

(1) To fund Pueblo governmental operations and programs;

(2) To provide for the general welfare of the Pueblo and its

members; and

(3) To promote tribal economic development.

H. Q~ivliar~e with Internal Revenue (~de The Manager shall

maintain a permanent record containing the name and address of each player

who receives a prize if arid as required by and in accordance with the

Internal Revenue Code.

10-8-10. Bingo Arid Class III Ga~s

A. Bingo Upon the Tribal Councils approval of a management

contract, Pojoaque Gaming, Inc. shall have authority to establish, equip,

operate, and maintain a bingo operation on premises located at such places

on the Reservation as the Tribal Council may designate.

B. Procrisi~ Ajvlicable to Class III Gamirx~ Activities

(1) Gaming to be Corxlucted Pursuant to Cciipact; Interim

Provisi~. Any and all Class III Gaming Activities to be conducted on the

Reservation shall be conducted in accordance with the Indian Gaming

Regulatory Act, a Compact entered into between the Pueblo and the State of

New Mexico, and/or procedures approved by the Secretary of Interior. Until

the State of New Mexico agrees to enter into a Class III Gaming Compact with

the Pueblo pursuant to the Indian Gaining Regulatory Act, the Council may

authorize the Enterprise to engage in Class III Gaming Activities,

provided that such activities comply with all other provisions of this

25
Gaming Ordinance. This authority shall expire (A) upon the execution of a

Tribal/State Class III Gaming Con~act between the Pueblo and the State of

New Mexico and its approval by the Secretary; (B) upon the issuance of an

order by a court having jurisdiction enjoining any gaming activity under

this provision or determining that the interim authority conferred under

this provision is invalid, provided that in the event of the issuance of

any such order, the authority conferred hereunder shall be suspended only

during the period that such order is in effect and is not stayed; or (C)

upon a determination by the Council that for other good cause such

authority should expire.

(2) Ven~r Licensing. /~ny person, corporation, or other

entity that has supplied or proposes to supply any gaming equiç~ent or

devices to any entity on the Reservation for use in conjunction with any

Class III gaming activity must be licensed by the Commission and shall be

subject to a full background investigation in accordance with the

provisions of Section 10-8-7 of this Ordinance, and the Conunission shall

prescribe appropriate forms, procedures, and standards for such licensing.

(3) Class III Gaming Rules. The Commission shall have the

authority to prescribe rules and procedures to govern any Class III gaming

authorized to be conducted pursuant to this Ordinance not inconsistent

with the provisions of the Compact or with this Ordinance, as the

Commission deems reasonable and appropriate.

C. Action by the Goverr~r The Governor may, at his or her

discretion and on his or her ~.zn behalf, based on reasonable grounds or on

reliable complaint made, and after written notice giving Pojoaque Gaming,

Inc. and the Manager thirty (30) days to cure an alleged violation, seek

26
such relief front the Tribal Court as is authorized in this Gaming

Ordinance, against Pojoaque Gaming, Inc., the Manager or their primary

management officials, key employees, officers, directors, or employees

having duties to perform respecting the operation and conduct of bingo

and/or Class III gaming, as may be necessary in the judgment of the

Governor for the proper enforcement of this Gaming Ordinance or any

management contract.

D. Desiqnatic~ of Officer In than~e The Manager shall designate

a person to be the officer in charge for each occasion. The officer in

charge shall be primarily responsible for the operation and conduct of

bingo games or Class III Gaming on that occasion. The officer in charge

must have obtained a license from the Commission at least ten (10) days

prior to the occasion. The officer in charge shall supervise all

activities on the occasion and shall be present on the premises

continuously during the playing of bingo games or Class III Gaming and for

a period of at least one (1) hour after the last bingo game of the occasion

has been completed.

E. Premises C*en to ~iinissi~i Premises where any bingo game or

Class III Gaming is being operated or conducted, or where it is intended

that a bingo game or Class III Gaming will be operated or conducted, shall

at all times be open to inspection by the Commission and its agents and

employees.

F. ?Prizes When any merchandise is awarded as a prize

in a bingo game or Class III Gaming, the value of such merchandise shall be

its current retail price. Merchandise awarded as a prize shall not be

redeemable or convertible into cash, directly or indirectly.

27
G. Usual Prices Equipment, prizes, and supplies for games of

chance shall not be purchased or sold at prices in excess of the usual price

thereof.

H. Limits ~i Prizes The size of the prizes offered or given in any

bingo game or Class III Gaming or on any occasion shall be subject to such

limits as may be established by regulations duly promulgated by the

Conunission or a Tribal-State Con~act entered into pursuant to Section

11(d) of the Indian Gaming Regulatory Act.

I. Rules of Play for Birqo Ga~s

(1) The equipment used in playing bingo games and the method

of play shall be such that each card shall have an equal opportunity to win.

The objects or balls to be drawn shall be essentially the same as to size,

shape, weight, balance, and all other characteristics that may influehce

their selection. All objects or balls shall be present in the receptacle

before each game is begun. All numbers or designations drawn shall be

announced plainly and clearly, and shall be audible or visible to all the

players present including, where more than one room is used for any bingo

game, all players present in each roam. The receptacle, the caller, and

the person removing the objects or balls from the receptacle must be

visible to all the players at all times, except that where more than one

room is used for any bingo game, the receptacle and the caller must be

present in the room where the greatest number of players are present. The

cards or sheets of the players shall be part of a deck, group, or series of

cards, no two of which shall be alike, and which deck, group, or series

shall not be so prepared or arranged as to prefer any card. The particular

arrangement of numbers or designations required to be covered in order to

28
win the game and the amount of the prize shall be plainly and clearly

described, and audibly or visibly announced to the players immediately

before each game is begun.

(2) Players Entitled to Verificatici~i Any player shall be

entitled to call for a verification of all numbers or designations drawn

at the time a winner is determined, and for a verification of the objects

or balls remaining in the receptacle and not yet drawn. The verification

shall be made in the immediate presence of the officer in charge on the

occasion.

(3) Players Required I~ Be Present Only persons physically

present on the premises where a bingo game is actually operated and

conducted may participate as players in the game.

J. Enplovees; Prd~iibitic~i kiainst Faivloyees Playiz~ All persons

who operate or conduct, or assist in operating or conducting, a bingo game

or Class 111 gaming shall be employees of Pojoaque Gaming, Inc. or the

Manager and shall wear legible tags evidencing their names and the legend

of the Pueblo. No employee of Pojoaque Gaining, Inc. or the Manager may play

any bingo game or Class III Gaming or win any prize or thing of value during

his or her employment and for ninety (90) days after termination of such

employment.

K. Qualificatic~i for Fiiplovment; Testin~ fl~ployees of Pojoaque

Gaming, Inc. and the Manager shall be of good moral character, shall not

have been convicted of any felony or gaming offense, and, as a condition of

their contract of employment, shall agree to any lawful means of testing

for truthfulness, including but not limited to polygraph testing, at any

time and without prior notice, concerning the handling, collection, and/or

29
disbursement of gross receipts. No person shall be employed by Pojoaque

Gaining, Inc. or the Manager, whose prior activities, criminal recotx~ if

any, reputation, habits, or associations pose a threat to the public

interest or to the effective regulation and control of gaming, or create or

enhance the dangers of unsuitable, unfair, or illegal practices, methods,

and activities in the operation or conduct of gaming or the carrying on of

the business and financial arrangements incidental thereto.

L. Preferen~ in Faiplovu~it Members of the Pueblo and their

spouses and children shall receive preference in employment and

advancement if they meet the q~.ialifications for employment with Pojoaque

Gaming, Inc. and the Manager.

M. Pers~nel Iblicies Pojoaque Gaming, Inc. and the Manager

shall adopt written personnel policies that shall be provided to each

employee; these shall provide an infonnal grievance procedure and shall

provide for an employee s right to receive a written statement of reasons

for dismissal in the event such employee is dismissed.

N. Hiring and Thainir~ of &iplovees Pojoaque Gaming, Inc. and the

Manager shall provide sufficient training to all employees and shall

provide for employees who are members of the Pueblo training programs with

specified tilnelines which will enable members of the Pueblo to acquire the

experience and skills necessary to become managers and supervisors in

bingo games and Class III Gaming operated by Poj oaque Gaming, Inc.

0. Expenses of TrainiTu ~1oyees The expense of providing

training to members of the Pueblo and to their spouses and children shall

be an operating expense of Poj oaque Gaming, Inc. and the Manager.

30
P. Patrc~ Dis~ites

(1) Refusal to Pay Winninis Whenever the Manager refuses

payment of alleged winnings to a patron, and the Manager and the patron are

unable to resolve the dispute to the satisfaction of the patron and the

dispute involves:

a. At least five hundred dollars ($500), the Manager

shall immediately notify the Commission. The Conunission shall conduct

whatever investigation it deems necessary and shall determine whether

payment should be made; or

b. Less than five hundred dollars ($500), the Manager

shall inform the patron of his or her right to request that the Commission

conduct an investigation. Upon request of the patron, the Commission shall

conduct whatever investigation it deems necessary and shall determine

whether payment should be made.

(2) Notice to Patr~xis The Commission shall mail written

notice by certified mail, return receipt requested, to the Manager and the

patron of the decision resolving the dispute within thirty (30) days after

the date that the Commission first receives notification from the Manager

or a request to conduct an investigation from the patron.

(3) Effective E~te of Decision The decision of the

Commission is effective on the date it is received by the aggrieved party

as reflected on the return receipt.

(4) Review of I~ision Within thirty (30) days after the

date of receipt of the written decision, the aggrieved party may file a

petition with the Commission requesting a review of the decision. The

Commission may set a hearing on the matter or may make a decision based

31
solely upon the prior decision and other documentation provided to it by

the patron and the Manager. The Commission shall then issue a written

decision and mail it to the parties. The decision of the Commission shall

be final and binding upon the patron and the Manager and shall not be

subject to judicial review, dispute resolution, or other legal action.

10-811. Suspension Or 1~vocation Of License.

A. Gronrxls for Suspension and Revocation If a licensee makes a

false statement in any application for a license, in any statement annexed

thereto, or in any response to a request by the Commission for information;

fails to keep sufficient books and records to substantiate the reports

required by this Gaming Ordinance; falsifies any books or records relating

to any transaction connected with the operation or conduct of any game of

chance; is convicted of any felony or gaming offense; interferes with or

unduly influences or attempts to interfere or unduly to influence any

decision or process of the government of the Pueblo relating to gaining; or

deliberately or substantially fails to provide information to or answer

relevant questions of the Commission or otherwise fails to comply with this

Gaining Ordinance or the terms of any license granted pursuant hereto; or if

the Commission receives reliable information from the National Indian

Gaming Commission or any other source that the licensee does not meet the

standards established in Subsection 10-8-7 (E); his or her license may be

suspended and, after notice and. a hearing before the Commission pursuant

to this Section, such license may be revoked. This sanction is in addition

to any other sanction that may be imposed under this Gaming Ordinance.

B. Notice; Tni~vdIate Suspension Proceedings to suspend or revoke

a license shall be initiated by the Conunission by serving a complaint upon

32
the licensee. If, in the Commissions judgment, the public interest; the

effective regulation and control of gaining; or the safe, fair, and honest

operation and conduct of games of chance so require, the Ccimmission may

suspend a license iiinnediately pending the holding of a hearing. Such an

iimnediate suspension shall take effect upon service of the complaint upon

the licensee.

C. C~itents, of Q~iiçlaint; Service. The complaint shall set forth

the violations of this Gaming Ordinance which the Commission has

reasonable cause to believe the licensee has conmiitted. The Commission

shall cause the complaint and notice of hearing to be served personally

upon the licensee or any agent of the licensee, or to be sent by certified

mail or overnight delivery to the licensee at the address shown upon the

license. The complaint shall notify the licensee of the place and date of

a hearing, such date to be not less than twenty (20) days after the licensee

receives a copy of the complaint.

D. Answer; Subpoenas Upon receipt of a complaint and notice of

hearing, the licensee shall answer the complaint and shall infona the

Connuission whether the licensee desires to present evidence. At the

request of the licensee for good cause shown, or on its own motion, the

Commission shall issue subpoenas for the attendance of witnesses and for

the production of papers, books, records, and documents.

E. Hearinv Written i~isi~ The hearing shall be held and

concluded without unreasonable delay. The Coimnission shall hear the

matter and make a decision in writing, including findings of fact in

support of its decision. The Commission shall issue its decision within

thirty (30) days of the hearing. The licensee shall be informed

33
immediately of the decision and, in the event of a suspension or revocation

of his or her license, of the effective date of the suspension or

revocation.

F. Surrei~r of License When the Commission suspends or revokes

a license, the licensee shall surrender the license to the Coimmission on or

before the effective date of the suspension or revocation. No license

shall be valid as of the effective date of the suspension or revocation,

whether surrendered or not.

G. ?Saix–ia~s Upon its determination to suspend or

revoke a license, the Commission, in addition to any other penalties that

may be imposed, may declare the licensee ineligible to operate or conduct

games of chance, to participate, directly or indirectly, in the operation

or conduct of games of chance, or to apply for a license for a period not

exceeding twelve (12) months. Such declaration of ineligibility may be

extended to include any primary management officials, key employees,

owners, officers, or directors of the licensee, and any of its subsidiary

organizations, parent organizations, or affiliates.

H. A~eal to Tribal (~irt Any licensee aggrieved by a decision of

the Commission, within thirty (30) days after receipt of a copy of the

order of the Cczunission, may appeal the order to the Tribal Court, and the

Tribal Court shall have jurisdiction to consider and resolve such appeal.

The Tribal Court shall affirm the order of the Commission unless such order

was entered in violation of due process, was arbitrary or capricious, or

was otherwise in contravention of law. The Tribal Court may reverse,

vacate, or modify the order of the Commission if the Tribal Court

determines that the order was unlawful. In reaching its decision, the

34
.4

Tribal Court shall consider only such evidence relating to the order from

which appeal is taken as appears in the records of the Conmiission and was

available to the Commission at the time of its decision.

10-8-12. Enfore~aent; Jurisdictia~ Sut~poenas.

A. Civil Ra~Iies Except as otherwise provided in this Gaming

Ordinance, any person authorized to enforce this Gaming Ordinance may

bring a civil action in the Tribal Court against any person who violates

this Gaming Ordinance or engages in an activity or activities prohibited

herein and recover monetary damages, attorney fees, injunctive relief,

and/or any other relief that is just and equitable under the circumstances

from the Tribal Court. The Tribal Court may order a person who commits an

intentional or wilful violation to pay punitive damages, which shall be

assessed in an amount not to exceed three (3) times the actual damages or

one thousand dollars ($1, 000), whichever is greater. The Tribal Court may

order a civil penalty not to exceed five thousand dollars ($5,000) for each

day that a violation occurs and for each separate violation. For good and

sufficient cause found, the Tribal Court may exclude from the Reservation

any person who engages in an activity or activities in violation of this

Gaming Ordinance to the extent such exclusion is not inconsistent with the

Code of the P~teblo. ~ny person who violates this Gaming Ordinance, or

whose employees or agents in the course of their employment or agency

violate this Gaining Ordinance, may have the right to engage in business on

the Reservation suspended or terminated. Nothing in this Gaming Ordinance

shall be construed to authorize or require the exercise of criminal

jurisdiction over non-Indians except to the extent alloczed by any

35
applicable present or future Act of Congress or any applicable federal

court decision.

B. Tribal C~irt Jurisdicti~ Except as otherwise provided in

this Gaming Ordinance, the Tribal Court shall have exclusive jurisdiction

over all matters concerning the administration and enforcement of this

Gaming Ordinance; provided hcMever, that nothing in this Gaming Ordinance

is intended nor shall it be interpreted to preclude prosecution in federal

court pursuant to the Indian Gaming Regulatory Act, as may be amended from

time to time, or any regulations promulgated thereunder, or any other

applicable federal or tribal law.

C. Enforo~nt of (Y~1Inissic~l Sukçoenas If a person subpoenaed to

attend or to produce books, accounts, records, or other documents in any

investigation or hearing conducted by the Commission fails to obey the

command of the subpoena without reasonable cause, or if a person in

attendance at any hearing or investigation refuses, without lawful cause,

to be examined, to answer a legal and pertinent question, or to exhibit any

book, account, record, or other document when ordered to do so by the

representative of the Commission conducting such investigation or hearing,

the Comnission may apply to the Tribal Court for an order returnable in not

less than five (5) nor more than ten (10) days directing the person to show

cause why he should not comply with such subpoena. For purposes of this

Gaming Ordinance, no person shall be excused from testifying or producing

any books, accounts, records, or other documents in any investigation or

hearing on the ground that such testimony or documentary evidence may tend

to incriminate him or her, if the Commission or the Tribal Court agree in

writing that such person shall not be prosecuted, punished, or subjected

36
I

to any penalty or forfeiture resulting from such testimony or production,

provided that no person shall be exe~t from prosecution or punishment for

any act of perjury conmiitted by him under a grant of iitununity under this

Subsection.

108-13. Effective tate.

This First Amended and Restated Gaming Ordinance shall be effective

asof _________ , 1994.

cERrLr.LCA.T1a4

The foregoing First Amended and Restated Gaming Ordinance was adopted

this _____

day of January, 1994, by the Pueblo of Pojoaque Tribal Council

at a regular meeting at which a quorum of _______

members were present, by

a vote of ____

FOR; ____

OPPOSED; ____ABSTAINING; ____

ABSENT; and

_____

VACANCIES.

t~.JEBLD OF PQ3OA~JE

By____________

Jacob Viarrial, Governor

ATrEST:

Secretary

37