i.f-041997 10:43 505 867 3395 SANTA ANA PUEBLO P.02

Office of tho~ Phone; (506) 8673301 ~vernor (505) 8673302 Lt. Governor

Secretary

PUEBLO OF SANTA ANA

TRIBAL COUNCIL RESOLUTiON NO. 95..R.r12

AMENDING THE SANTA ANA GAMiNG ORDINANCE

WHEREAS, by resolution adopted on the 16th day of June, 1993, the Tribal

Council adopted a Santa Ana Gaming Ordinance; and

WHEREAS, that Ordinance created the Santa Ma Gaming Board, as the

regulatory body responsible for overseeing gaining activIties on the Santa Aria Pueblo;

and

WHEREAS, upon the recommendation of the Board, the Tribal Council has

decided to amend the Gaming Ordinance so as to re-name the Board the Santa Aria

Gaming Regulatory Commission; and

WHEREAS, the attached amendment has been reviewed by the Puebl&s Special

Counsel and by the Santa Ann Gaming Board. and has been carefully considered by the

Tribal Council, and it is the view ot the Tribal Council that such amendment is

appropriate:

Star Route Box 37

BERNALLLLQ. NEW MEXICO 87004
14041997 10:44 505 867 3395 SANTA ANA PUESLO P.03

NOW, THEREFORE, BE IT RESOLVED, by the Pueblo of Santa Ana Tribal

Council, that the attached amendment to the Santa Ana Gan~ing Ordinance changing the

name of the Santa Ana Gaming Board to the Santa Ana Gaming Regulatory

Commission, is hereby adopted, and the Gaming Ordinance is amended as set forth in

the attached amendment.

CERTifICATION

I hereby certify that the foregoing Resolution was duly adopted by the Tribal

Council of the Pueblo of Santa Ana at a regular meeting held on the 10 day of May

1995, at which a quorum was present, by a

ATTEST:

~

261 7/JRWHDS56

2
PROPOSED AMENDMENTS TO PUEBLO OF SANTA ANA

GAMING ORDINANCE

The Pueblo of Santa Ana Gaming Ordinance, Ordinance No. 92-0-04, as

amended by Resolution 93-R- 12, is hereby further amended as follows:

1. In Section 1, Definitions, amend subsection (b) by deleting the entirety

of the text thereof, and inserting the following:

(b) SAGRC means the Santa Ana Gaming Regulatory

Commission established by this Ordinance.

2. In all places where the word Board appears, except as is otherwise

provided by any amendment to the Ordinance, delete such word, and insert in its place,

SAGRC.

3. In the heading for Section 8 of the Ordinance, delete the words

GAMING BOARD, and insert in place thereof the following: ANA

GAMING REGULATORY COMMISSION.

4. In Section 8(a), delete the words a Board and insert in place thereof the

Santa Ana Gaming Regulatory Commission.

26 I 7/JRWHOS88
0S22--1995 10:18 505 867 3395 SANTA ANA PUEBLO P.02

Star Route Rłz 37

BERNALIU.O, NEW MEXICO 81004

Otflc. of thi: Pt~one: (505) 887 3301

GuVerrior (605) 8573302 Lt. Gov.rno,

S.cr.t~ry -

PUEBLO OF SANTA ANA

TRIBAL COUNCIL RESOLUTION NO. 95-R- 12-A

AMENDING ThE SANTA ANA GAMING ORDINANCE

WHEREAS, by resolution adopted on the 16th day of June, 1993, the Tribal

Council adopted the Santa Mis Gaming Ordinance; and

WHEREAS, upon the recommendation of the Santa Ana Gaming Regulatory

Commission, the Tribal Council has determined that it would be appropriate to amend

that Ordinance In certain respects pertaining to the manner in which the Santa Ana

Gaming Regulatory Commission is appointed; and

WHEREAS, the attached amendment to the Gaming Ordinance, making such

changes, has been reviewed and approved by the Pueblos Special Counsel and has been

recommended for adoption by the Santa Ana Gaming Regulatory Commission; and

WHEREAS, in connection with the approval of the proposed amendment, it

would also be appropriate for the Tribal Council to reaffirm the appointments of the

members of the Commission;
05221995 io:ia 505 867 3395 SANTA ANA PUE8LO P.03

NOW, THEREFORE, BE IT RESOLVED, by the Pueblo of Santa Ann Tribal

Council, that the attached amendment to the Santa Aria Gaming Ordinance, amending

Section 8, Paragraphs (a) and (d), be and the same is hereby adopted, and the Gaming

Ordinance is amen~ieLi as set forth th~r~in; -imd

BE IT FURTHER RESOLVED, that the Tribal Council hereby reappoints Bruce

Sanchez, Walter Cristobal and Eugene Lujan, as the members of the Santa Ann Gaining

Regulatory Commission, and determines that for purposes of the Ordinance as amended,

the terms of these members as set forth in the attached amendment shall commence as

of the date of this Resolution,

CERT1F1CATIO1~i

I hereby certify that the foregc)ing Resolution was duly adopted by the Tribal

Council of the Pueblo of Santa Ann at a regular meeting held on the j~ day of Ma~v.

1995, at which a quorum was present, by a vote of 42 n favor and _j_ opposed.

Go

ATTEST:

261 ?/JRWHOIS7

2
PUEBLO OF SANTA ANA GAMING ORDINANCE

(Adopted as Ordinance 92-O-O4,~

amended by Resolution No. 93-R-12;

further amended by Resolution 95-R-12,~

further amended by Resolution 95-R-12-A);

further amended by Resolution 97-R-28)

Preamble

The Pueblo has the right to regulate Class I and Class II gaming, as those terms are

defined in the Act, on Pueblo Lands and may jointly regulate Class III gaming, as that term

is defined in the Act, pursuant to a Compact with the state and the Council finds that it is in

the best interest of the Pueblo to enact an ordinance that authorizes and regulates all gaming

on Pueblo Lands consistent with the Act.

SECTION I. DEFINITIONS For purposes of this ordinance:

A. Act means the Indian Gaming Regulatory Act, Pub.L. No. 100-497, 25 U.S.C.

§~ 2701-2721, and applicable regulations promulgated under the Act.

B. Class I gaming means Class I gaming as defined in the Act.

C. Class II gaming means Class II gaming as defined in the Act.

D. Class III gaming means Class III gaming as defined in the Act.

E. Commission means the National Indian Gaming Commission established under

the Act.

F. Compact means any Tribal-State Gaming Compact between the Pueblo and the

State governing Class III gaming.

G. Council means the Pueblo Council, the governing body of the Pueblo of Santa

Ana.

H. Electronic Game of Chance means a microprocessor-controlled electronic

device that allows a player to play games of chance, some of which are affected by skill, which

device is activated by the insertion of a token, coin or currency, or by the use of a credit, and

which awards game credits, cash, tokens, or replays, or a written statement of the players

accumulated credits, which written statements are redeemable for cash. Game play may be

displayed by video facsimile or mechanical rotating reels whereby the software of the device
predetermines the stop positions and the presence, or lack thereof, of a winning combination

andy pay-out, if any.

I. Gaming Employee means any natural person employed by a Gaming Enterprise

or Management Contractor.

J. Gaming Device or Gaming Equipment means any equipment or mechanical,

electromechanical, or electronic contrivance, component, or machine used remotely or directly

in connection with gaming.

K. Gaming Enterprise means an enterprise owned by the Pueblo for the conduct

of the gaming in any gaming facility on Pueblo Lands. The enterprise can be organized as a

tribal department, corporation, partnership or joint venture.

L. Gaming Facility means the building, location or room in which Class I, Class

II, or Class III gaming is conducted on Pueblo Lands.

M. Gaming Services means the provision or sale of any goods, services or

concessions by contract to the Pueblo, Gaming Enterprise, or Management Contractor in

connection with the operation of gaming in a Gaming Facility in an amount in excess of

$10,000 in any one month, except for professional, legal or accounting services. No contract

may be broken up into parts for the purpose of avoiding this definition or any requirement of

licensing or certification.

N. Governor means the Governor of the Pueblo of Santa Ana.

0. Management Contractor means any management company engaged by the

Pueblo to assist in the management or operation of any Gaming Enterprise.

P. Net Revenues means gross revenues of any Gaming Enterprise in all Gaming

Facilities less amounts paid out as, or paid for, prizes and operating expenses, but excluding

management fees paid to a Management Contractor.

Q. Ordinance means this Pueblo of Santa Ana Gaming Ordinance.

R. Person means any individual, partnership, corporation, company or other legal

entity.

S. SAGRC means the Santa Ana Gaming Regulatory Commission established by

this Ordinance.

Santa Ana Gaming Ordinance

As Amended

2 November 4, 1997
T. State means the State of New Mexico, its authorized officials, agents, and

representatives.

U. Pueblo means the Pueblo of Santa Ana, a federally recognized Indian tribe, its

authorized officials, agents, and representatives.

V. Pueblo Lands means all lands within the exterior boundaries of the Pueblo of

Santa Ana Reservation and any lands title to which is either held in trust by the United States

for the benefit of the Pueblo or Pueblo member or held by the Pueblo or Pueblo member in

fee, subject to restriction by the United States against alienation, or which is in Indian country

and over which the Pueblo exercises governmental power.

SECTION II. PURPOSE The purpose of this ordinance is to provide for the

regulation of all gaming on Pueblo Lands, to protect the public interest in the integrity of all

gaming, to prevent improper or unlawful conduct in gaming, to strengthen tribal selfgovernment, and to promote tribal economic self-sufficiency.

SECTION III. NATURE AND SCOPE OF GAMING ACTIVITIES

A. Authorized gaming activities A Gaming Enterprise may operate in its Gaming

Facilities any and all forms of Class I and Class II gaming and, subject to the provisions of a

Compact, any and all forms of Class III gaming on Pueblo Lands.

B. Forms of rayment All payment for wagers made in gaming conducted by the

Gaming Enterprise shall be made by cash, chips, or tokens. The Gaming Enterprise shall not

extend credit. Chips or tokens may be purchased using cash or checks.

C. Wagering limitations Unless set by a Compact, the SAGRC may set by

regulation the maximum wager for Class III gaming.

D. Hours of operation A Gaming Enterprise may operate its gaming activities on

the hours and days approved by the SAGRC.

E. Prohibition on minors No person under the age of 18 shall participate in any

gaming; however, minors may be employed in the food, beverage (non-alcoholic), or

maintenance service of a Gaming Enterprise.

SECTION IV. COMPLIANCE WITH THE ACT This ordinance shall be construed

in a manner that conforms to the Act in all respects, and, if inconsistent with the Act in any

manner, the provisions of the Act shall govern.

Santa Ana Gaming Ordinance

As Amended

3 November 4, 1997
A. Proprietary interest The Pueblo shall have the sole proprietary interest in and

responsibility for the conduct of any gaming on Pueblo Lands; however, nothing in this

ordinance shall prevent the Pueblo from entering into a Management Contract for the operation

and management of any Gaming Enterprise or Gaming Facility operated by a Gaming

Enterprise.

B. Use of Net Revenues Net Revenues from any Gaming Enterprise shall be used

for the following purposes:

1. to fund tribal government operations or programs;

2. to provide for the general welfare of the Pueblo and its members;

3. to promote tribal economic development;

4. to donate to charitable organizations;

5. to help fund operations of local government agencies; or,

6. any other purposes permitted under the Act.

C. Annual audit The SAGRC shall require all Gaming Enterprises and

Management Contractors to be subject to an annual audit by an independent certified public

accountant and to submit copies of the annual audit to the Commission. All purchasers for

supplies, services, or concessions or contracts in excess of $25,000 annually (except contracts

for professional legal or accounting services) of any Gaming Enterprise or Management

Contractor shall be included in the annual audit.

D. Public safety standards All Gaming Facilities shall be constructed, maintained,

and operated in a maimer that adequately protects the environment and the public health and

safety and complies with all applicable health, safety, and environmental standards applicable

to or enacted by the Pueblo.

E. Licensing and background investigations

1. Licensing Requirements

a. Gaming Enterprise Each Gaming Enterprise shall be licensed by

the SAGRC.

b. Gaming Facility Each Gaming Facility shall be licensed by the

SAGRC.

Santa Ana Gaming Ordinance

As Amended

4 November 4, 1997
c. Gaming Employees All Gaming Employees shall be licensed by

the SAGRC and subject to background investigations.

d. Management Contractors All Management Contractors, including

their principals, or having shareholders in excess of 5% ownership, officers, directors and

employees, shall be licensed by the SAGRC and subject to background investigations.

e. Gaming Devices and equipment Each Gaming Device and price

of Gaming Equipment shall be licensed by the SAGRC and shall be inspected and certified for

proper operation at least annually by the SAGRC.

f. Sales of Gaming Devices, equipment or services Any person

proposing to sell or lease any Gaming Device, Gaming Equipment, or provide Gaming Services

to a Gaming Enterprise shall be licensed by the SAGRC and subject to a background

investigation before being permitted to sell or lease any Gaming Device or Gaming Equipment

or provide any Gaming Services to any Gaming Enterprise, Gaming Facility, or Management

Contractor.

2. Licensing procedures

a. Applications for licenses Each applicant for a license shall submit

a completed application and any other information required by the SAGRC. Each application

shall be accompanied by the applicants fingerprint card, two current photographs, and any fees

required by the SAGRC. In the event of a corporate applicant, the shareholders having in

excess of 5% ownership, officers and directors shall provide the information for applicantln

the court of a Pueblo enterprise, the person in charge of the enterprise shall submit the

information required. Each applicant shall be required to sign and submit a statement in

compliance with the Federal Privacy Act of 1974 and to submit a statement or notice regarding

false statements as required by the Act.

b. Background investigations of applicants Upon receipt of a

completed application and the fees required for the license, the SAGRC shall conduct the

necessary background investigation, unless otherwise required by the Act, to ensure the

applicant is qualified for a license. Upon completion of the necessary background

investigation, the SAGRC shall either issue a license to the applicant and send a copy to the

Commission, or deny the application. If the application is denied, a statement setting forth the

grounds for denial shall be sent to the applicant and the Commission.

c. Duration and renewal of tribal licenses Any license issued to a

Gaming Enterprise, Management Contractor, or Gaming Employee shall be effective for one

year from the date of issuance. Any person applying for renewal of a license that has

submitted the required application and any other information required by the SAGRC at least

Santa Ana Gaming Ordinance

As Amended

5 November 4, 1997
60 days before the expiration of the license may continue to be employed under the expired

license until the Board, or Commission if required by the Act, takes final action on the renewal

application. Any person renewing a gaming license shall provide updated material and

information as requested on the renewal application form, but shall not be required to resubmit

historical data already provided to the SAGRC.

d. Identification cards The SAGRC shall require all Gaming

Employees to wear identification cards issued by the SAGRC bearing the employees

photograph, first and last name, employee number, signature, and date of expiration.

e. Fees for licensing The fees for gaming licenses and background

investigations shall be set by the SAGRC from time to time and made available at any time

upon request. If the actual costs incurred by the SAGRC for a background investigation

exceed the amount deposited by the applicant, those costs may be assessed to the applicant in

the discretion of the SAGRC. In such cases, the SAGRC shall submit a detailed billing of the

costs and an explanation as to why the excess costs were incurred. Payment in full of any

required fee is required before a license is issued.

SECTION V. STANDARDS OF OPEPATION AND MANAGEMENT

A. Class I and Class II gaming The SAGRC may adopt standards of operation and

management for Class I and Class II gaming consistent with the Act and, pending such

adoption, may direct a Gaming Enterprise or Management Contractor to comply with the

standards as the SAGRC may determine necessary to protect the integrity of Class I and Class

II gaming.

B. Class III gaming The technical standards of operation and management for

Class III gaming shall be those adopted in accordance with a Compact.

SECTION VI. EXEMPTIONS

(a) Charitable, Traditional, and Social Gaming Any organization of the Pueblo may

engage in the following forms of gaming without compliance with this Ordinance only if the

gaming activity engaged in is solely for prizes of minimal value and for recognized charitable,

traditional, and social purposes:

(1) bingo;

(2) social games;

(3) raffles or drawings;

Santa Ana Gaming Ordinance

As Amended

6 November 4, 1997
(4) sports or gambling pools; or

(5) traditional forms of gaming when played by Pueblo members in connection

with Pueblo ceremonies or celebrations.

(b) Prize Limits For purposes of this section, prizes of minimal value shall mean

any gaming in which the aggregate amount of all prizes awarded or given in a single gathering

or session is no greater than that allowed under the New Mexico Bingo and Raffle Act.

(c) SAGRC Authority The SAGRC shall have authority to grant exemptions,

investigate any gaming exempted by this Ordinance, to take measures to ensure the integrity

of any gaming or otherwise, to determine whether such gaming is in violation of this

Ordinance, and to enforce the provisions of this Ordinance.

SECTION VII. MANAGEMENT CONTRACTS

A. Requirement for review and appeal A Gaming Enterprise may enter into a

Management Contract with a Management Contractor for the management of the Gaming

Enterprise or Gaming Facilities subject to approval of the Council and, if required by the Act,

the Commission.

B. Required provisions

1. Governmental authority All gaming covered by a Management Contract

shall be conducted in accordance with this Ordinance and the Act.

2. Responsibilities The Management Contract shall identify the

responsibilities of each party for each identifiable function as set forth in the Act.

3. Accounting The Management Contract shall provide for the

establishment and maintenance of satisfactory accounting systems and procedures that shall

include an adequate system of internal accounting controls and permit the preparation of

financial statements in accordance with generally accepted accounting principles.

4. Reports Each Management Contractor shall provide monthly verifiable

financial reports to the Pueblo, the SAGRC, and, if required by the Act, the Commission.

5. Access A Management Contractor shall allow authorized officials of the

Pueblo, the SAGRC, or the Commission immediate access to the Gaming Enterprise books and

records and any Gaming Facility. These authorized officials shall have the right to verify the

daily gross revenues and income from any gaming activity and access to any other gaming

related information deemed appropriate.

Santa Ana Gaming Ordinance

As Amended

7 November 4, 1997
6. Guaranteed minimum payment All management contracts shall provide

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

preference over the retirement of any development and construction costs.

7. Development and construction costs All management contracts shall

provide for an agreed upon maximum dollar amount per month of revenues not to exceed

percent for the recoupment of development and construction costs.

8. Term No management contract shall be for a term exceeding five (5)

years unless upon request of the Council, the Commission authorizes a longer contract term

not to exceed seven (7) years.

9. Compensation All management contracts shall provide that not more

than thirty percent (3 0%) of the Net Revenues of a Gaming Enterprise shall be paid to the

Management Contractor unless a higher percentage, not to exceed forty percent (40%) is

authorized by the Conmiission pursuant to the Act. The balance of the Net Revenues shall be

paid to the Treasurer of the Pueblo or Gaming Enterprise as set forth in the management

contract.

10. Termination; disputes All management contracts shall provide grounds

and mechanisms for modifying or terminating the management contract and include a

mechanism to resolve disputes between the Gaming Enterprise and Management Contractor,

the Management Contractor and customers, and Management Contractor and Gaming

Employees.

11. Assignments and subcontracting All management contracts shall provide

that the assignment of rights and subcontracting under a management contract are not permitted

unless authorized by the Council.

12. Ownership interest All changes in the ownership interest in a

Management Contractor shall require advance approval of the Council.

13. Prohibited provisions A management contract shall not transfer or

convey any interest in Pueblo Lands unless authorized by federal law.

SECTION VIII. SANTA ANA GAMING REGULATORY COMMISSION

A. Establishment of the SAGRC; Appointment; Terms There is hereby established

a Commission, to be known as the Santa Ana Gaming Regulatory Commission, consisting of

three (3) members, who shall be appointed by the Tribal Council for terms of five (5) years

each.

Santa Ana Gaming Ordinance

As Amended

8 November 4, 1997
B. Compensation The Council shall establish the compensation of members of the

Board.

C. Removal A SAGRC member may be removed from office before the expiration

of his or her term only after receiving a written Notice of Removal, signed by the Governor,

setting forth specific grounds showing that such member has abused his position or has

engaged in conduct unbecoming an official of the Pueblo; has violated the laws of the Pueblo

or of the State of New Mexico or of the United States of America in some respect that casts

doubt on the members fitness to continue in office; or has consistently failed to perform his

or her duties as a member of theSAGRC. A member shall have ten (10) days after actual

receipt of such notice within which to submit to the Governors Office a written request for

a hearing before the Tribal Council. If no such request is submitted within such period, the

members removal shall automatically take effect on the expiration of the period. If a hearing

is requested within the period, it shall be held within fifteen (15) days after the date on which

the request was filed with the Office of the Governor. At the hearing before the Tribal

Council, the Governor or Officers shall present facts supporting the specifications of

misconduct set forth in the Notice of Removal, after which the member may present his or her

own case in opposition to the specifications. The presentation to the Council may be through

witnesses, documents or argument, as the Governor and the member shall choose, but shall be

limited to the issues specified in the Notice of Removal. The member may be represented by

counsel. The member shall not be deemed removed from the SAGRC unless the Notice of

Removal is upheld by a vote of two-thirds of the members of the Council present and voting;

provided that at least eighteen (18) members of the Council must be present at the time of such

vote to uphold the members removal, and the number of Coulcil members voting to uphold

or to reject the removal shall be recorded in the official records of the Pueblo.

D. Vacancies The Tribal Council shall by appointment fill any vacancy that may

occur in the membership of the SAGRC, by appointing a member to serve out the unexpired

portion of the term of the vacant position.

E. Powers and duties of the SAGRC The SAGRC shall have the following powers

and duties:

1. Oversight of Gaming Activity; Inspectors The SAGRC shall have

primary responsibility for overseeing all gaming activity to assure the integrity of gaming

activity and shall for that purpose employ inspectors who shall be under the sole supervision

of theSAGRC. The inspectors shall have access to all areas of any Gaming Facility at all times.

The inspectors shall report to the SAGRC regarding any failure by the Gaming Enterprise or

Management Contractor to comply with any of the provisions of this Ordinance and any other

applicable laws. All inspectors shall be licensed by the SAGRC and subject to background

investigations.

Santa Aria Gaming Ordinance

As Amended

9 November 4, 1997
2. Investigations~ subpoena The SAGRC may on its own initiative

investigate any aspect of the gaming activity to protect the public interest in the integrity of

the gaming activity and to prevent improper or unlawful conduct in the course of any gaming

activity. The SAGRC may require any Gaming Enterprise or Management Contractor to take

any appropriate action deemed necessary to comply with the ordinance, Act and any other

applicable law. The SAGRC may compel any person to appear before it and to provide any

information, documents, or other materials that may be in their possession to assist in any such

investigation.

3. Public safety The SAGRC shall ensure that the Gaming Enterprise or

Management Contractor shall prepare and submit for the review and approval of the SAGRC

a satisfactory plan for the protection of the public in any Gaming Facility.

4. Review of plans The SAGRC shall review and approve floor plans and

surveillance systems for each Gaming Facility and may confer with other organizations

regarding the adequacy of such plans and systems.

5. Regulations The SAGRC shall promulgate any and all regulations it

deems necessary or appropriate for the regulation of gaming activity within the Santa Ana

Pueblo, so as to fulfill the purposes of this Ordinance, and in particular shall promulgate any

and all regulations necessary or appropriate to assure full compliance by the Pueblo and its

gaming enterprise with any and all provisions of the Act and of the Compact that is in effect,

and all such regulations properly promulgated by the Commission within the scope of its

powers granted herein shall have the full force of law within the Pueblo of Santa Ana.

6. Licenses The SAGRC may issue, suspend, and revoke licenses in

accordance with this Ordinance.

7. Standards The SAGRC shall promulgate, review, approve, and revise

the technical standards and rules of each game operated by the Gaming Enterprise or

Management Contractor and shall notify the Gaming Enterprise or Management Contractor of

the rules and of any change to the rules.

8. Health, safety and security standards The SAGRC shall enforce all

health, safety and security standards applicable to the Gaming Facilities. Before opening of

any Gaming Facility for gaming activity, the Gaming Enterprise or Management Contractor

shall obtain a certificate of compliance from the SAGRC relating to each Gaming Facility. The

SAGRC shall issue a certificate of compliance to the Gaming Enterprise upon a determination

that the Gaming Facility complies with applicable health, safety and security standards.

9. Penalties and subpoenas The SAGRC shall be empowered to impose

penalties for violations of this ordinance and to issue subpoenas in furtherance of its duties.

Santa Ana Gaming Ordinance

As Amended

10 November 4, 1997
10. Civil and criminal actions The SAGRC may in the name of the Pueblo

bring any civil action or criminal complaint in the courts of the Pueblo, the State or the United

States to enforce the provisions of this ordinance, the Act, or any Compact, or to enjoin or

otherwise prevent any violation of this ordinance, the Act, or a applicable law, occurring on

Pueblo Lands.

11. Operating budget The SAGRC shall adopt an annual operating budget

which shall be subject to the approval of the Council. The SAGRC may, in accordance with

the budget, employ a staff as it deems necessary to fulfill its responsibilities under this

ordinance and may retain legal counsel, consultants, and other professional services, including

investigative services, to assist the SAGRC with its responsibilities under the ordinance. The

expenses of the SAGRC in accordance with such budget shall be appropriated by the Council

from the Net Revenues paid to the Pueblo.

12. Orders The SAGRC may issue any order or decision, which the SAGRC

has the power to issue, to any Gaming Enterprise, Gaming Employee, or Management

Contractor, or to any other person within the jurisdiction of the Pueblo, to take any action or

cease and desist from any action as may be required to protect to the public interest in gaming.

F. Hearings The SAGRC may conduct hearings, investigations, inquiries, compel

the production of any information or documents, or otherwise exercise the investigatory powers

necessary to carry out its duties under this ordinance.

G. Director The SAGRC may appoint and retain an individual to serve as Director

of the SAGRC to administer and enforce its duties and responsibilities under this Ordinance

and to oversee the inspectors appointed by the SAGRC and other staff as the SAGRC may

employ, and to conduct hearings, investigations, and otherwise act on behalf of the SAGRC

as authorized by theSAGRC. The Director shall be responsible for coordination of the functions

of the SAGRC and other federal, state, and local agencies as necessary.

H. Procedures of the SAGRC

1. Regular meetings Regular meetings of the SAGRC may be held upon

such notice, or without notice, and at such time and place as shall from time to time be fixed

by the SAGRC. Unless otherwise specified by the SAGRC, no notice of such regular meetings

shall be necessary.

2. Special meetings Special meetings of the SAGRC may be called by the

Chairman of the SAGRC or may be held by teleconference or by polling. The Chairman shall

fix the time and place of the special meeting. Neither the business to be transacted at, nor the

Santa Ana Gaming Ordinance

As Amended

11 N~ovember 4, 1997
purposes of, any regular or special meeting of the SAGRC need to be specified in the notice

of the meeting.

3. Quorum At any meeting of the SAGRC, a majority of the SAGRC

members shall constitute a quorum for the transaction of business. The vote of a majority of

the members present at a meeting at which a quorum is present shall be the act of theSAGRC.

The Chairman shall preside at all meetings of the SAGRC unless the Chairman designates

another member to preside in his absence. Approval of action telephonically or by polling is

also authorized.

4. Notice of SAGRC action No action of the SAGRC to impose a penalty

pursuant to this ordinance or to revoke a gaming license shall be valid unless the person

affected is given at least seven (7) calendar days notice of the proposed action and the

opportunity to appear and to be heard before the SAGRC, either in person or through a

representative or legal counsel, and to submit such evidence as the SAGRC deems relevant to

the matter at issue. No notice is necessary to suspend a gaming license, but a revocation

hearing must be held within nine (9) days or the suspension shall be discharged automatically.

5. Hearings If the SAGRC deems it necessary to protect the public interest

in the integrity of the gaming activities, the SAGRC may take such action with immediate

effect as it deems required and shall thereupon provide notice and an opportunity to be heard

to the affected person as soon as is reasonably practicable following such action. Any person

who is denied a gaming license or who is barred from the Gaming Facilities by action of the

SAGRC may request a hearing before the SAGRC by written request submitted within thirty

(30) days following receipt of notice of the action of theSAGRC. The SAGRC shall thereupon

afford an opportunity to appear and be heard either in person or through a representative or

legal counsel, and to submit such evidence as the SAGRC deems relevant to the matter at

issue. The SAGRC shall either affirm or reconsider its decision. The SAGRC may direct the

Director or one or more members of the SAGRC designated by the SAGRC to conduct any

hearings.

6. Rules and procedures The SAGRC may adopt any additional procedures

and rules as it deems necessary or convenient to govern its affairs and which are consistent

with this Ordinance.

SECTION IX. APPEALS TO TRIBAL COURT Any person aggrieved by the final

action of the SAGRC may file an appeal to the Tribal Court. The person shall file a notice of

appeal stating the specific basis of the appeal and pay any court fees. Upon receipt of a notice

of appeal, the court clerk shall schedule a hearing before the Tribal Court. The decision of the

Tribal Court shall be final.

Santa Ana Gaming Ordinance

As Amended

12 November 4, 1997
SECTION X. PROHIBITED ACTS

It shall be a violation of this Ordinance for any person to:

A. Conduct or participate in any gambling on Pueblo Lands other than at an

authorized and licensed Gaming Facility.

B. Receive, distribute, apply or divert any property, funds, proceeds, or other

assets of the Gaming Enterprise to the benefit of any person except as authorized by this

Ordinance, a Compact, or the Act.

C. Tamper with any Gaming Device or Gaming Equipment used in the conduct

of any gaming activity with the intent to cause any person to win or lose any wager other

than in accordance with the publicly-announced rules of the Gaming Enterprise.

D. Do any other act in connection with the conduct of any Gaming Enterprise

with the intent to affect the outcome of any wager other than in accordance with the

publicly-announced rules of such Gaming Enterprise.

E. To alter or misrepresent the outcome of other event on which wagers have

been made after the outcome is made sure but before it is revealed to the players.

F. To place, increase or decease a bet or to determine the course of play after

acquiring knowledge, not available to all players, of the outcome of the game or any event

that affects the outcome of the game or which is the subject of the bet or to aid anyone in

acquiring such knowledge for the purpose of placing, increasing or decreasing a bet or

determining the course of play contingent upon that event or outcome.

G. To claim, collect or take, or attempt to claim, collect or take, money or

anything of value in or from a Gaming Device or Gaming Equipment, with intent to

defraud, without having made a wager thereon, or to claim, collect or take an amount

greater than the amount won.

H. To place or increase a wager or bet after acquiring knowledge of the outcome

of the game or other event which is the subject of the bet, including past-posting and

pressing bets.

I. To reduce the amount wagered or cancel the bet after acquiring knowledge

of the outcome of he game or other event which is the subject of the bet, including

pinching bets.

Santa Ana Gaming Ordinance

As Amended

13 November 4, 1997
J. To manipulate, with the intent to cheat, any component of an electronic Game

of Chance or Gaming Device in a manner contrary to the designed and normal operational

purpose for the component, including, but not limited to manipulating a Gaming Device,

with knowledge that the manipulation affects the outcome of the game or with knowledge

of any event that affects the outcome of the game.

K. Knowingly to use other than coins or tokens approved by the SAGRC or

other lawful coin, legal tender of the United States of America, or to use a coin not of the

same denomination as the coin intended to be used in the Gaming Device.

L. To possess, with the intent to use, any device to assist in projecting the

outcome of the game, in keeping track of the cards played, in analyzing the probability of

the occurrence of an event relating to the game, or in analyzing the strategy for playing or

betting to be used in the game.

M. To use any device or means to cheat, or to possess any such device while at

the Gaming Facility.

N. Knowingly to entice or induce another to go to any place where gaming is

being conducted or operated in violation of the provisions of this Ordinance, the Act, a

Compact, or other applicable law and regulation with the intent that the other person play

or participate in that gaming.

SECTION XII. PENALTIES Any person who violates any provision of this

Ordinance shall be subject to civil penalties, termination of employment by the Gaming

Enterprise, denial or revocation of a gaming license, exclusion from attendance at any

Gaming Facility, or exclusion from Pueblo Lands if a non-member of the Pueblo. The

SAGRC may impose a fine of not more than $500.00 for each violation. The SAGRC shall

have the jurisdiction to impose any penalties on any person within the jurisdiction of the

Pueblo.

SECTION XII. SEVERABILITY In the event any section or provision of this

Ordinance or its application to any particular activity is held to be invalid, the remaining

sections and provisions of this Ordinance and the remaining applications of such section

or provision shall continue in full force and effect.

SECTION XIII. SOVEREIGN IMMUNITY The Pueblo does not in any way

waive its sovereign immunity from suit in any court to contest the validity of this

ordinance. However, the final decisions of the SAGRC may be appealed to and shall be

subject to final review only in the Tribal Court.

SECTION XIV. AMENDMENTS This Ordinance may be amended by majority

vote of the Council.
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TRIBAL RESOLUTION NO. 97-R-28

Re: Amending the Pueblo of Santa Ana Gaming Ordinance to comply with the Tribal-State

Class Ill Gaming Compact with the State of New Mexico

WHEREAS, the Tribal Council of the Pueblo of Santa Aria is the duly authorized decision

making body for Santa Aria Pueblo; and

WHEREAS, the Pueblo of Santa Aria and the State of New Mexico have entered into a

Tribal-State Class III Gaming Compact and Revenue-Sharing Agreement, which Compact and

Revenue-Sharing Agreement are expected to go into effect on or before October 15, 1997; and

WHEREAS, the Compact and Revenue-Sharing Agreement impose various requirements

on the Tribe with respect to the operation and regulation of its Class III gaming activities; and

WHEREAS, the Pueblo of Santa Aria Tribal Council has previously adopted Ordinance 92-

0-04, as amended, by which it created the Santa Ana Gaming Regulatory Commission, and

empowered that Commission to oversee and regulate all gaming activity within Santa Aria lands,

and specifically, among other things, empowered the Commission to promulgate regulations to

govern the operation and management of any such gaining activity; and

WHEREAS, it is the opinion of the Tribal Council that the regulatory measures mandated

by the compact recently entered into by and between the Tribe and the State of New Mexico should

be imposed by the Santa Aria Gaming Regulatory Commission, through its existing regulatory

authority, and that such regulations would have the force of law within the Pueblo of Santa Ma;

and

WHEREAS, It would be appropriate to amend Ordinance No. 92-0-04 so as to clarify the

Commissions authority in this regard.

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

Ana. as follows:

1. Section VIII (E) (5) of the Pueblo of Santa Aria Gaming Ordinance, as amended, is

hereby amended by deleting the existing language of said Section Viii (E) (5). and

inserting in lieu thereof the following:
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Page 2

Tribal Resolution No. 97-R-28

5. Regulatloiis. The SAGRC shall promulgate any and all regulations

it deems necessary or appropriate fbr the regulation of gaining activity within

the Santa Ma Pueblo, so as to fulfill the purposes of this Ordinance, and in

particular shall promulgate any and all regulatIons necessary or appropriate

to assure full compliance by the Pueblo and its gaming enterprise with any

and all provisions of the Act and of the Compact that is in effect, and all such

regulations properly promulgated by the Commission within the scope of its

powers granted herein shall have the full force of law within the Pueblo of

Santa Aim.

2. The Governor of the Pueblo and the Tribes attorneys are hereby authorized and

directed to see that this amendment is submitted to the National Indian Gaming

Commissison for approval in accordance with the provisions of the Indian Gaming

Regulatory Act.

CERTIFICATION

The foregoing Resolution was duly considered at a regularly scheduled meeting of the Pueblo of

Santa Ana Tribal Council held on October 23 1997, and was passed by a vote of 38 in favor

and 1 against.

GOVERNOR

Armijo

ATTEST:
05221995 10:18 505 867 3395 SANTA ANA PUEBLO P.04

PROPOSED AMENDMENTS TO PUEBLO OF SANTA ANA

GAMING ORDINANCE

The Pueblo of Santa Ana Gaming Ordinance, Ordinance No. 92-0-04, as amended

by Resolution 93-R-12 and as further amended by Resolution 95-R-].2 is hereby further

amended as follows:

1. Delete Paragraph (a) of Section 8, SANTA ANA GAMING

REGULATORY COMMISSION, and replace It with the following:

(a) E~stabllc1nnent of the SAGRC: Appointment: Terms There Is

hereby established a Commission, to be known as the Santa Ma Gaming

Regulatory Commission, consisting of three (3) members, who shall be appointed

by the Tribal Council for terms of five (5) years each.

2. Delete Paragraph (d) of Section 8, SANTA ANA GAMING

REGULATORY COMMISSION, and replace ft with the following

(d) Vacancies The Tribal Council shall by appointment fill any vacancy

that may occur in the membership of the SAGRC, by appointing a member to

serve out the unexpired portion of the term of the vacant position.

261 7/jrw~iO5fi2.1