FEB 23

SANTA CLARA INDIAN PUEBLO

POST OFFICE BOX 580 ESPANOLA, NEW MEXICO

(505) 753-7326 87532

(505) 753-7330 OFFICE OF GOVERNOR

RESOLUTION NO. ____

TRIBAL GAMING CODE -AMENDMENT # 1

WHEREAS, the Pueblo of Santa Clara is a federally recognized

Indian tribe having inherent powers of self-government,

which powers are exercised pursuant to the constitution

of the Pueblo by and through the Tribal Council; and

in accordance with its decision to proceed to establish

a gaming enterprise on Santa Clara lands, to generate

revenues to support tribal governmental programs and

promote~ economic development, it is necessary that the

Tribal Council adopt a comprehensive gaming code, to

provide for the effective regulation of gaming activities

on Santa clara land, and to comply with the requirements

of the Indian Gaming Regulatory Act and the Tribal/State

Class III Gaming Compact entered into between the Pueblo

and the State of New Mexico; and

an earlier Tribal Gaming Code adopted by the Tribal

Council: in 1993 is outdated, and fails to contain

provisions required by the Compact and by IGRA, and has

been otherwise determined not to serve the Pueblos

purposes; and

a new, revised Gaming Code has been prepared by the

Tribes~ general counsel, and has been reviewed by the

Tribes~Qfficers and the Tribal Council, and the Tribal

Council~ has determined that this Gaming Code is

consistent with the requirements of the Compact and IGRA,

and is appropriate for the Pueblos needs at the present

time;

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

of Santa Clara, as follows:

1. That th:e existing Tribal Gaming Code, adopted by the

Tribal Council and by Resolution No. 93-41, and any

subsequent amendments .~or revisions thereto, be and the

same are hereby repealed and declared null and void; and

WHEREAS,

WHEREAS,

WHEREAS,

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CERTIFICATION

2. That the attached Santa Clara Pueblo Gaming Code is

hereby enacted as part of the laws of the Pueblo of Santa

Clara, to be codified at Title XXI, Chapter 65 of the

Santa Clara Pueblo Code, and the Tribes officers and

generaL counsel shall take all appropriate steps to

obtain approval of the Code by the National Indian Gaming

Commission and the Department of the Interior (if

necessary), and to provide the Code to the State as

required by the Compact.

I, the undersigned, as Governor of the Pueblo of Santa Clara,

hereby certify that the Santa Clara Tribal Council, at a duly

called q~eeting that was convened with proper notice and was held on

the ~ day of January, 1998, at Santa Clara Pueblo, New Mexico,

a quorum being present, approved the foregoing Resolution with ~ members voting in~ favor, ~ opposed, . abstaining, and ~

being absent.

Governor

Ot~C\~\ ~

ATTEST:
TRIBAL CODE OF THE PUEBLO OF SANTA CLARA

TITLE XXI -

BUSINESS REGULATION

CHAPTER 65: SANTA CLARA PUEBLO GAMING CODE

Section 65.1. SHORT TITLE.

This chapter may be cited as the Santa Clara Pueblo Gaming

Code, or, the Gaming Code.

Section 65.2. DEFINITIONS.

For purposes of this Gaming Code, the following words shall

have the following meanings unless the context otherwise

requires:

A. ItBingoI~ means the game of chance commonly known as

bingo (whether or not electronic, computer, 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 arrangement of numbers or designations on

such cards;

B. Class II Gaming means bingo or lotto, and, when

played in the same location as bingo or lotto, pull-tabs, punch

boards, tip jars, instant bingo and other games similar to bingo.

C. Class III Gaming means all forms of gaming that may

be operated or conducted on Santa Clara land under the provisions

of the Compact.

D. Conmtission means the Pueblo of Santa Clara Gaming
Commission established by this Gaming Code;

E. Compact means the approved Tribal-State Class III

gaming compact entered into between the Pueblo and the State

pursuant to IGRA that is in effect, including any approved

amendments and ancillary agreements thereto;

F. Ga.ming and Games of chance means Class II 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;

G. Gaming Device means any piece of equipment or

mechanical, electromechanical or electronic contrivance,

component or machine that is utilized directly or remotely in the

conduct of gaming.

H. Gaming Enterprise means the tribally-owned business

entity, whether or not organized so as to have an existence

separate from that of the tribal government, that conducts Class

II or Class III gaming on Santa Clara lands, whether directly or

through a management contract.

I. Gaming Facility means any physical structure in which

Class II or Class III gaming is conducted on Santa Clara lands by

the Gaming Enterprise, including all improved areas appurtenant

to such structure.

J. Governor means the Governor of the Pueblo;

K. IGRA means the Indian Gaming Regulatory Act, as

codified at 25 U.S.C. §~27Ol-2721 and 18 U.S.C. §~1166-1168, and

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the regulations issued thereunder by the NIGC at 25 C.F.R. Pts.

501-599;

L. Key Employee means any person described in 25 C.F.R.

§502.14.

M. NIGC means the National Indian Gaming Commission

established by IGRA;

N. Person means a natural person, trust, association,

partnership, public or private corporation, or any other legal

entity whatsoever;

0. Primary Management Official means any person

described in 25 C.F.R. §502.19.

P. Pueblo or Tribe means the Pueblo of Santa Clara;

Q. Santa Clara Lands means all lands within the Santa

Clara Indian Reservation and any lands the title to which is held

in trust by the United States for the benefit of the Pueblo or a

member thereof or that is held by the Pueblo subject to a

restriction by the United States against alienation, and over

which lands the Pueblo exercises governmental power;

R. State means the State of New Mexico.

S. State Gaming Representative means the person

designated by the State, pursuant to the Compact, to act on

behalf of the State in dealings with the Pueblo, the Commission

and the Gaming Enterprise with respect to Class III gaming;

T. Tribal Council means the Tribal Council of the

Pueblo;

U. Tribal Court means the Tribal Court of the Pueblo.

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Section 65.3. PURPOSES.

The purpose of this Gaming Code is to provide for the

appropriate regulation of the operation, conduct, and playing of

games of chance on Santa Clara land so that revenues may be

generated to fund tribal governmental operations and programs to

benefit and promote the health, education, and welfare of the

Pueblo and its members, and to promote tribal economic

development.

Section 65.4. INrERPRETATION.

This Gaming Code is an exercise of the sovereign power of

the Pueblo and shall be liberally construed for the

accomplishment of its purposes and so as to comply with the

Compact and IGRA.

Section 65.5. GAMING POLICY.

A. Games of Chance Prohibited No person may operate or

conduct any games of chance within Santa Clara lands except in

accordance with the provisions of this Gaming Code.

B. Ownership of Gaming Enterprise The Pueblo, either

directly or through such wholly-owned corporate or other entities

as it may create for the purpose, shall have the sole proprietary

interest in the Gaming Enterprise, which shall have

responsibility for the operation and conduct of any gaming or

games.of chance operated or conducted on Santa Clara lands.

C. Protection of Environment; 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

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done in a manner that adequately protects the Pueblos

environment and the public health and safety.

D. Use of Gaining Revenues Proceeds to the Tribe from

Class II and Class III gaming activities on Santa Clara lands

shall be used for the following purposes, and no others:

1. Funding of tribal governmental operations and

programs;

2. To provide for the general welfare of the Pueblo

and its members;

3. Promotion of tribal economic development;

4. Donations to charitable organizations, as

determined by the Tribal Council or the Gaming Enterprise;

5. To help fund operations of local governmental

agencies, as determined by the Tribal Council or the Gaming

Enterprise.

Under no circumstances may the Tribe, the Commission or any

management contractor make any contribution, directly or through

any agent, representative or employee, of any sums constituting

revenue from the Gaming Enterprise, or anything of value acquired

with such revenue, to a political candidate, political committee

or person holding an office that is elected or is to be elected

in an election covered by the States Campaign Reporting Act.

Section 65.6. PUEBLO OF SANTA CLARA GAMING COMMISSION.

A. Establishment of Commission The Pueblo of Santa Clara

Gaming Commission is hereby established, as the tribal agency

responsible for the regulation of gaming and games of chance

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within Santa Clara lands and the enforcement of this Gaming Code,

the Compact and IGRA with respect to such gaming activity.

B. Powers and Duties The Commission shall have the

following powers and duties:

1. To hire, supervise, train, discipline and dismiss,

and to pay, subject to the approval of the Tribal Council as to

salaries and benefits, an executive director and such other

employees, whether full or part-time, temporary or permanent, as

the Commission shall determine are needed for the fulfillment of

its purposes; to contract for outside professional and other

services as deemed necessary by the Commission; to purchase or

lease office furniture, supplies, equipment and space as needed

to fulfill its purposes; and to establish and maintain such

systems and programs as it deems necessary for the proper

administration of and accounting for its activities.

2. To monitor, oversee and regulate the operation and

conduct of all gaming and games of chance within Santa Clara

lands, and to do such things as it deems necessary to assure that

such gaming is conducted in full compliance with this Gaming

Code, the Compact, the IGRA, and the regulations of the

Commission.

3. To grant, suspend, or revoke licenses for persons

or things required to be licensed under the provisions of this

Gaming Code, the Compact or IGRA, and, consistent with such

provisions, to establish and administer standards and procedures

with respect to such licensing as needed to assure the reasonable

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and effective regulation of gaming; provided, however, that the

Commission shall not have the authority to deny licenses

arbitrarily to qualified persons who meet the standards set forth

herein or as set forth in regulations properly adopted by the

Commission.

4. In connection with its licensing process, to

conduct or cause to be conducted background investigations of

applicants for licenses to determine their suitability for

licensing.

5. To inspect, examine, photocopy, and audit all

papers, books, and records respecting gaming activities operated

or conducted within Santa Clara lands as necessary to carry out

the duties of the Commission under this Gaming Code.

6. To initiate suits in tribal, state or federal

courts for such relief as the Commission deems necessary to carry

out its duties and enforce its orders and decisions.

7. To prepare and to submit to the Tribal Council,

annually, a budget, showing the projected receipts and expenses

of the Commission, and the justification therefor.

8. To establish and collect reasonable fees for

applications and renewal of licenses and for other Commission

actions.

9. To compel by subpoena the attendance and testimony

of witnesses and the production of books, papers, documents and

other things relating to any matter under consideration or

investigation by the Commission, and to bring actions for the

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enforcement of such subpoenas.

10. To administer oaths and affirmations to witnesses

appearing before the Commission.

11. To hear appeals as provided by this Gaming Code.

12. To keep minutes, records, and books constituting a

true, faithful, and complete record of all proceedings and

actions of the Commission.

13. To promulgate such rules and regulations, after

giving appropriate public notice and opportunity for comment, as

it deems necessary to implement the provisions of this Gaming

Code, the Compact and the IGRA, to protect the public interest

and to assure the effective regulation of gaming within Santa

Clara lands, which rules and regulations shall be public

documents, available to any member of the public on request.

14. To recommend amendments to this Gaming Code to the

Tribal Council.

15. To submit an annual report to the Tribal Council

on the activities of the Commission, which shall include

information on the funding, income, and expenses of the

Commission.

16. To enter into cooperative agreements with

regulatory and law enforcement agencies and officials of the

State of New Mexico (including cities and counties thereof), the

Bureau of Indian Affairs, the United States government, and other

Indian Tribes, when the Commission determines that such

cooperation is in the best interests of the Pueblo and will help

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to ensure enforcement on Santa Clara lands of the IGRA, the

Compact, this Gaming Code and the regulations of the Commission.

C. Composition; Staggered Terms The Commission shall

consist of three (3) Commissioners appointed by the Governor 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 terms of Commission members, of the first Commissioners

appointed one shall be appointed to a three-year term, one shall

be appointed to a two-year term, and the third shall be appointed

to a one-year term. A Commissioner may serve beyond the

expiration of his or her term of office until a successor has

been appointed, unless such Commissioner has been removed for

cause under subsection E of this Section. A Commissioner may

succeed himself or herself without limitation.

D. Qualification of Commissioners At least one (1)

Commissioner must be an enrolled member of the Pueblo. No person

shall be eligible to serve or continue to serve as a Commissioner

or as an appointee or employee of the Commission, who:

1. Has been convicted of any felony, or of any crime

relating to gaming, theft or dishonesty;

2. Has, or is related in the first degree of

consanguinity to any person who has, any financial interest in

any gaming activity, or in any entity engaged in gaming activity

in New Mexico;

3. For any other reason, due to previous experience,

habits or associations, is a person whose appointment would cause

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a loss of public confidence in the effective regulation of gaming

on Santa Clara lands.

Prior to submitting to the Tribal Council for approval the

name of any nominee for a seat on the Commission, the Governor

shall cause a thorough background investigation to be done to

determine whether the nominee is qualified as provided in this

Section, and a report of such investigation shall be submitted to

the Tribal Council with the nomination.

F. Removal of Commissioners A Commissioner may be

removed from office prior to the expiration of his or her term

only in accordance with the following procedures:

1. Removal of a Commissioner may be initiated by a

written request specifying the cause of removal, signed by not

less than one-third (1/3) of the members of the Tribal Council,

which shall be filed with the Secretary of the Tribal Council.

2. The cause or causes specified for removal must

include at least one of the following: (1) conviction in any

court of a felony or crime involving dishonesty, theft, illegal

gambling activity or 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 that amounts to gross and

intentional disregard of the laws and procedures applicable to

the affairs of the Commission.

3. No fewer than twenty (20) nor more than forty (40)

days following receipt of the written request for removal, the

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Tribal Council shall convene a special meeting for the sole

purpose of hearing testimony and receiving evidence pertaining to

the causes specified in the request for the removal of the

Commissioner. The Commissioner shall be given a full

opportunity, either in person or through a representative of his

or her choice, to answer or otherwise respond to any and all

charges against him or her.

4. The Tribal Council shall, after having heard all

of the testimony, vote on whether to remove the Commissioner.

The affirmative votes of no fewer than twothirds (2/3) of the

members of the Tribal Council is required for removal.

F. Resignations and Vacancies Any Commissioner may

resign at any time by giving written notice to the other members

of the Commission and to the Secretary of the Tribal Council.

The resignation shall become effective at the time specified in

such notice, and acceptance of such resignation shall not be

necessary to make it effective. Any 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. Selection of Officers The Commission shall select

annually by majority vote one (1) of its members to serve as

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

The Vice-Chairman shall serve as Chairman during meetings of the

Commission at which the Chairman is absent.

H. Motions and Resolutions; Meeting; Quorum All official

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actions of the Commission shall be 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 each month.

Two (2) members of the Commission shall comprise a quorum for the

conduct of business.

I. Compensation Commissioners shall be compensated as

determined by the Tribal Council and in accordance with the

annual budget of the Commission:

Section 65.7. LICENSING AND BACKGROUND INVESTIGATIONS.

A. Licensing Requirements Each of the following shall

require a license issued by the Commission:

1. Gaming Employees Every person employed in any

position, whether part-time or full-time, temporary or permanent,

by the Gaming Enterprise. A person may be employed by the Gaming

Enterprise under a temporary license issued by the Commission for

up to 90 days, which period may be extended for an additional

sixty (60) days if the Commission determines such extension is

necessary to complete a background investigation prior to action

on a license application.

2. Management Contractors Every person involved

with any contract with the Tribe or the Gaming Enterprise for

management of the Gaming Enterprise or any aspect thereof, each

officer and director of each such entity, each person employed by

such management contractor in any position having any

responsibility with respect to gaming within Santa Clara lands,

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and every person having more than a five (5) percent ownership

interest in any such management contractor.

3. Gaming Vendors Each person who proposes to

sell, lease or provide under contract to the Gaming Enterprise or

to the management contractor for use in the Gaming Enterprise any

service that would be used in the conduct of gaming or in the

handling and accounting of the proceeds of gaming, or any gaming

device.

4. Gaming Devices Each gaming device that is

proposed to be utilized in the conduct of gaming by the Gaming

Enterprise.

5. Gaming Facilities Each gaming facility within

Santa Clara lands.

B. Licensinc~ Procedures

1. Each applicant for a license from the Commission

(other than a gaming device or gaming facility license) shall

submit an application, within the time and on the form prescribed

by the Commission, including all of the information required by

the Compact and by IGRA, and such additional information as the

Commission may determine by regulation to be necessary or helpful

to the licensing process.

2. Each application shall be accompanied by a

standard form fingerprint card containing clear impressions of

the applicants fingerprints, which impressions shall have been

made and certified by a qualified employee of a law enforcement

agency; two photographs of the applicants head and shoulders

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taken within one (1) month of the date of submission of the

application; any fees required by the Commission; and such

additional material as the Commission may require by regulation.

Each applicant shall also submit a signed statement in compliance

with the Federal Privacy Act of 1994 and a signed statement and

notice regarding false statements, all as required by IGRA.

3. Upon receipt of the completed application, the

Commission shall proceed in accordance with the requirements of

IGRA and the Compact and its own regulations to determine whether

the applicant should be licensed. The Commission shall

undertake, or cause to be undertaken, a background investigation

as to each applicant, and shall by regulation prescribe the

matters to be inquired into as to each category of applicant,

consistent with the Compact and IGRA. In particular, an

investigation undertaken with respect to a prospective key

employee or primary management official shall be at least as

stringent as those described in 25 C.F.R. Pts. 556 and 558. The

Commission shall submit copies of the complete application and of

the background investigation report to the NIGC and to the State

Gaming Representative, as required by the Compact and IGRA.

4. The Gaming Enterprise shall submit applications

for licenses for each gaming device and gaming facility, within

the time and in the manner prescribed by the Commission by

regulation, and the Commission shall act on such applications in

accordance with its regulations.

C. Action on Application Upon completing its review of

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an application for licensing, the completed background

investigation and any information or reports received from NIGC,

the State Gaming Representative or any other governmental agency

consulted with respect to such applicant, the Commission shall

determine whether or not to issue the license sought. No person

shall be issued a license hereunder if the Commission determines

that such person:

1. Knowingly misrepresented a material fact on

the license application, or deliberately omitted any material

fact called for by the application;

2. Attempted in any way to influence the

decision on such persons license application by offering or

providing to any member of the Commission or any person employed

by the Commission any gift, favor or other thing or service

having any value whatsoever;

3. Is not yet twenty-one (21) years of age

(except that the Commission may, by regulation, define categories

of positions within the Gaming Enterprise as to which persons who

are at least eighteen (18) years of age but not yet twenty-one

(21) may be licensed and employed)

4. Has, within the five (5) years next preceding

the date on which the application was submitted, been convicted

in any court, by plea of guilty or of nob contendere or by jury

verdict, of any crime involving theft of money or goods having a

value in excess of $100, or of dishonesty, or of any offense

involving gaming, or of any felony;

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5. Is for any other reason a person whose

activities, criminal record, habits or associations pose a threat

to the public interest or to the effective regulation and control

of gaming, or create or enhance the danger of unsuitable,

inappropriate or illegal practices, methods or activities in the

conduct of gaming or the handling of or accounting for the

proceeds of gaming. The Commission may by regulation establish

stricter standards for licensing as to any particular category of

license.

D. License Terms The Commission shall, by regulation,

prescribe the term for any license issued under the provisions of

the gaming code, provided, however, that under no circumstances

shall any license have a term of more than two (2) years from its

date of issuance. The Commission shall prescribe procedures for

renewal of licenses and any fees applicable thereto.

E. License Suspension or Revocation The Commission may,

at any time following notice to the licensee and an opportunity

for hearing, suspend or revoke a license that is in effect, if it

determines that facts exist that, had they been known at the time

the license was issued, would have justified denying the license.

Should the Commission come into the possession of information

indicating, and make a special finding, that the continued

licensing of a particular person poses an immediate threat to the

public interest or the effective regulation and control of

gaming, the Commission shall suspend such license immediately,

and shall provide an opportunity for a hearing within no more

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than thirty (30) days from the date of such suspension, and

following such hearing shall determine whether the suspension

should be made permanent. The Commission shall, by regulation,

prescribe such standards and procedures as it deems appropriate

with respect to suspension and/or revocation of licenses.

F. Hearings Whenever the Commission makes any adverse

determination on a licensing application, or issues any order

suspending or revoking an existing license or setting forth its

intention to suspend or revoke an existing license, it shall

inform the applicant or licensee of its entitlement to a hearing

before the Commission, upon the filing of a written request for

such hearing within fifteen (15) days of the date of receiving

notice of the Commission action. The applicant or licensee shall

be entitled to be represented by counsel at such hearing, and all

proceedings at such hearing shall be either transcribed or

recorded, by audio or video tape. The Commission shall by

regulation prescribe the rules to be observed at such hearings,

but the rules with respect to receipt of evidence shall be no

more restrictive than the rules that apply in the Tribal Court.

Following any such hearing, the Commission shall issue a written

decision affirming, modifying, or reversing the order or other

action that led to the hearing, and the licensee and his or her

representative, if any, shall be provided with a copy of such

decision.

G. Appeal Any party aggrieved by a final decision of the

Commission after a hearing may appeal that decision by filing a

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written notice of appeal with the Tribal Court within twenty (20)

days following the issuance of the Commissions written decision.

The appeal in the Tribal Court shall be on the record of the

Commissions action, including all testimony and other evidence

received at any hearing before the Commission, and the Tribal

Court shall not receive any further testimony or any other

documentary evidence, unless the party offering such evidence

demonstrates that such evidence is relevant and material to the

issues on appeal, and was unavailable to the party during the

proceedings before the Commission. The Tribal Court shall, on

the basis of the record before the Commission and the briefs and

arguments of the parties, determine whether or not the Commission

abused its discretion in adopting the action complained of. The

decision of the Tribal Court in any such appeal shall be final,

and no further appeals will be allowed.

Section 65.8. FINANCIAL RECORDS; AUDITS.

A. Maintenance of Books and Records; Commission Access

The Gaming Enterprise shall maintain complete and accurate books

of account on the premises of the Gaming Facility showing the

financial condition and transactions of the Gaming Enterprise in

the fullest practicable detail, and in accordance with generally

accepted accounting principles. The Commission shall have access

to such books of account without notice at any time during

ordinary business hours of the Gaming Enterprise. All such

financial records in whatever medium shall be maintained by the

Gaming Enterprise for no less than six (6) years after the year

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to which they pertain, and for such longer period as may be

ordered by the Commission.

B. Annual Audit The Gaming Enterprise shall cause an

outside independent certified audit of its gaming operations,

which shall specifically include any gaming-related contracts for

purchases of supplies, services or concessions totalling more

than $25,000.00 in any one calendar year (other than contracts

for professional legal or accounting services) to be conducted

annually, and shall deliver the audit report to the Tribal

Council, the Commission, and the NIGC within ten (10) days of its

receipt.

Section 65.9. REGULATION OF GAMING OPERATIONS.

A. Security and Surveillance The Gaming Enterprise shall

at all times maintain a system of security and surveillance of

the premises of the Gaming Facility, combining the use of

personal and electronic assets, so as to provide for the physical

safety of the patrons of the Gaming Facility, the physical safety

of personnel employed by the Gaming Enterprise, the physical

safe-guarding of assets of the Gaming Enterprise, the protection

of the property of patrons of the Gaming Facility from any

illegal activity, so as to identify and detain persons who may be

involved in any illegal act for the purpose of notifying law

enforcement authorities, and to assist in developing and securing

evidence of apparently illegal acts for transmission to

appropriate law enforcement authorities. The Commission may by

regulation prescribe specific measures to be employed by the

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Gaming Enterprise in furtherance of the requirements of this

subsection.

B. Centralized Computer Monitoring of Electronic Gaming

Devices Every electronic gaming device in use in the Gaming

Facility shall be connected to a central computer within the

facility, which computer shall continuously record the gaming

activity of each device, as well as any unusual conditions or

events in the activity of the device. The data collected by the

central computer shall be electronically accessible by the State

Gaming Representative by modem, upon entry of an appropriate

security code, and the Gaming Enterprise shall, in consultation

with the Commission, cooperate with the State Gaming

Representative to establish protocols and systems to accommodate

the State Gaming Representatives access to these data that will

avoid any interference with the operations of the Gaming

Enterprise or with the security and integrity of the Gaming

Devices in use in the Gaming Facility.

C. Hours of Operation The Gaming Enterprise shall

establish the hours of operation of the Gaming Facility,

consistent with this Gaming Code and the Compact. The Gaming

Facility shall be closed to the public for at least four (4)

consecutive hours daily, from 4 a.m. to 8 a.m., Monday through

Thursday (except on officially-recognized federal holidays)

Nothing herein shall preclude the Gaming Enterprise from

conducting maintenance, cleaning, cash handling, accounting,

training, security, surveillance and other internal functions at

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the Gaming Facility during such closing periods. The Gaming

Enterprise shall notify the Commission of its hours of operation

and any changes therein.

D. Check Cashing The Gaming Enterprise shall not cash

any check for a patron that is or appears to be a paycheck or a

payment by any governmental entity or any form of pension benefit

or social security benefit, welfare or other form of entitlement

or public assistance payment.

E. Extensions of Credit The Gaming Enterprise shall not

extend credit to any patron by accepting in exchange for cash a

note, marker, IOU or any other promise to pay, whether secured or

not.

F. Automated Teller Machines Automated Teller Machines

(~ATMs) on the premises of any Gaming Facility shall be

programmed so that they will not accept cards issued by state,

federal, or tribal public welfare agencies to recipients of any

form of state, federal or tribal public assistance benefits to

enable the recipient to withdraw benefits, and the Gaming

Enterprise shall make this provision an express requirement in

any and every agreement with the owner or operator of any ATM

situated on the premises of the Gaming Facility.

G. Service of Alcoholic Beverages

1. No alcoholic beverages may be sold, served,

delivered or consumed within the area of a Gaming Facility where

gaming activities are conducted.

2. No employee of the Gaming Enterprise, or of any

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subcontractor or concessionaire thereof, may sell, serve, give or

deliver any alcoholic beverage to an intoxicated person at the

Gaming Facility, nor shall any such employee procure or aid in

the procurement of any alcoholic beverage for delivery to an

intoxicated person at the Gaming Facility.

3. Every employee of the Gaming Enterprise or of any

subcontractor thereof who dispenses, sells, serves or delivers

alcoholic beverages in the course of his or her employment shall

be required by the Gaming Enterprise to attend alcohol server

education classes comparable to those required under the New

Mexico Liquor Control Act, NMSA (1978) §60-6D-l, et seq., at

least annually.

4. The Gaming Enterprise shall maintain liquor

liability insurance in force, having coverage limits for personal

injury of no less than One Million Dollars ($1,000,000) per

incident and Ten Million Dollars ($10,000,000) aggregate per

policy year.

H. Inducements to Patrons to Gain The Gaming Enterprise

shall not provide or attempt to offer, arrange or contract to

provide or to allow any person as an incentive or enticement to

that person to engage in gaming at a Gaming Facility any free or

reduced price alcoholic beverages, food or lodging, at the Gaming

Facility or at any lodging facility.

I. Compulsive Gamblers

1. The Gaming Enterprise shall require every employee

who makes contact with gaming patrons in the course of such

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employees work to undergo training annually in recognizing

patrons who may suffer from a compulsive gambling syndrome

(CGS) , and in dealing with such persons in accordance with the

policies of the Gaming Enterprise.

2. The Gaming Enterprise shall develop detailed

written policies designed to identify persons who suffer from

CGS, to discourage such persons from gaming, including, where

appropriate, excluding such persons from the Gaming Facility, but

in a manner that will minimize any discomfort, embarrassment or

inconvenience for the person, and that avoids any personal injury

to such person whatsoever. The Gaming Enterprise shall provide

the Commission with copies of all such policies, and shall

conduct in-house training sessions for employees at least

annually to ensure that all employees are fully versed in the

policies and the appropriate means of carrying them out.

3. The Gaming Enterprise shall contract with one or

more counselors or therapists experienced in treating persons

suffering from CGS, and to whom such persons may be referred by

the Gaming Enterprise at the expense of the Gaming Enterprise.

4. The Gaming Enterprise shall spend annually an

amount that is no less than one-quarter (1/4) of one (1) percent

of its net win, as that term is defined in the Revenue Sharing

Agreement between the Pueblo and the State, on employee training

programs to assist and treat persons suffering from CGS, and to

prevent compulsive gambling at the Gaming Facility. Expenditures

for the training, referral and other measures required by this

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Section shall be considered part of the required expenditures.

The Gaming Enterprise shall provide to the Commission an annual

accounting of the expenditures required hereunder, by no later

than ninety (90) days after the end of each calendar year to

which the accounting pertains.

J. Sanitation Requirements The Gaming Enterprise shall

take steps to ensure that all food service operations within a

Gaming Facility meet standards and requirements equivalent to

those contained in the New Mexico Food Service Sanitation Act,

NMSA (1978) §25-1-1, et seq., and the Gaming Enterprise shall

permit New Mexico Department of Environment inspectors access to

all food preparation, storage and service areas of a Gaming

Facility during normal business hours of the Gaming Facility for

the purpose of ascertaining whether such standards are being

met.

K. Patron Disputes The Gaming Enterprise shall

establish, subject to the Commissions approval, and shall

publish in a conspicuous location within each Gaming Facility

easily visible to patrons, procedures by which any patron who is

dissatisfied with a decision of the Gaming Enterprise with

respect to the patrons entitlement to a prize, pot, or other

benefit from a gaming activity conducted by the Gaming Enterprise

may have his or her complaint heard and decided by the management

of the Gaming Enterprise.

L. Gaming Device Standards Every gaming device in use at

a Gaming Facility shall meet technical standards at least as

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strict as the comparable standards applicable to such devices

within the State of Nevada, and the Commission shall by

regulation specifically adopt standards meeting this requirement;

provided, however, that each electronic or electromechanical

gaming device in use at a Gaming Facility shall be programmed by

the manufacturer so that it will pay out a mathematically

demonstrable percentage of all amounts wagered, which percentage

shall not be less than eighty percent (80%) .

The Commission

shall verify compliance with these requirements before licensing

any gaming device.

M. Posting of Odds The Gaming Enterprise shall post in

an obvious location on every electronic and electromechanical

gaming device a notice stating the hit frequency of the device,

in the following form:

The odds of winning any one of the possible

prizes awarded by this machine are in

100.

The blank shall contain the appropriate number so as accurately

to disclose the hit frequency for that gaming device as contained

in the technical specifications provided by the manufacturer. If

the gaming device offers more than one game, the hit frequency

must be disclosed for each game, in the following form:

The odds of winning any one of the possible

prizes awarded by this machine in the game

____________

are in 100.

Section 65.10. EMPLOYMENT CONDITIONS

A. Minimum Age Requirements No person shall be employed

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in any position in the Gaming Enterprise that is directly

involved in any Class III gaming activity or in handling cash

proceeds of a Class III gaming activity who has not attained the

age of twenty-one (21) years.

B. Job Discrimination Neither the Pueblo, the Gaming

Enterprise nor any management contractor shall discriminate in

the employment of persons by the Gaming Enterprise or in the

Gaming Facility on the grounds of race, color, national origin,

gender, sexual orientation, age or handicap.

C. Employee Benefits The Gaming Enterprise shall provide

to all of its employees paid sick leave, life insurance, annual

leave and medical and dental insurance, as benefits of

employment. The Gaming Enterprise shall further take steps to

ensure that all of its employees are covered by employment

insurance and a workers compensation insurance program offering

benefits at least as favorable as those offered by comparable

state programs.

D. Grievance Procedures The Gaming Enterprise shall

establish a written grievance procedure for employees that shall

be applicable in cases of disciplinary or other adverse actions

taken against an employee, which procedures shall include a

process of appeal to at least one supervisory level above the

person whose action is the subject of the grievance.

E. Federal Law Standards The Gaming Enterprise shall

establish working conditions and wages and hours of work at least

meeting the minimum standards contained in the Federal Fair Labor

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S

Standards Act of 1938, the Federal Occupational and Safety Act of

1970, and any other federal laws relating to wages, hours of

work, conditions of work and regulations issued under such laws.

F. Wage Requirements in Certain Construction Projects

The Gaming Enterprise shall require that workers involved in any

construction project involving a Gaming Facility or related

structure that is funded in whole or in part with federal funds

shall be paid wages meeting or exceeding the standards

established for New Mexico under the federal Davis-Bacon Act.

Section 65.11. MANAGEMENT CONTRACTS.

The Commission shall review any management contract

entered into or proposed to be entered into by the Pueblo or the

Gaming Enterprise, to assure that it complies with the provisions

of this Gaming Code, the Compact and IGRA, provided, however,

that a management contract that has been approved by the Chairman

of the NIGC under the provisions of IGRA shall be conclusively

presumed to comply with the Compact and IGRA for purposes of this

Section.

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