2; The Gaming Enterprise shall, in addition, provide special management training
programs for employees who are Pueblo Members to enable Pueblo Members to become
managers and supervisors in Class II and Class III gaming operated by the Gaming Enterprise.
Such special management training programs shall include specific time lines indicating when a
Pueblo Member who meets all training standards shall become eligible for a managerial or
supervisory position. The expense of providing such special management training to Pueblo
Members shall be a separately budgeted operating expense of the Gaming Enterprise.

SECTION 8. San Felipe Pueblo Gaming Regulatory Commission.

A. Establishment of San Felipe Pueblo Gaming Regulatory Commission. There is
hereby established the San Felipe Pueblo Gaming Regulatory Commission for the purposes of
regulating all Games of Chance within the Reservation and enforcing this Gaming Ordinance.
All acts of the Commission prior to the date of enactment of this Ordinance are ratified by the
Tribal Council.

B. Powers and Duties. The Commission shall have the following powers and duties:

dL The following powers and duties are non-delegable and may be performed only
by the Commission:

a To recommend to the Tribal Council whether it should permit or refuse
to permit the operation or conduct of any Games of Chance within the
Reservation, and to specify the recommendations for the operation or
conduct of any permitted Games of Chance within the Reservation.

b. To adopt by regulation internal control standards not less stringent than
those lawfully required under this Gaming Ordinance and any
regulations promulgated hereunder, under IGRA and its implementing
regulations, under the Compact, or under equivalent procedures lawfully
prescribed by the Secretary of the Interior.

c. Subject to final approval by the Tribal Council, to negotiate and enter
into, on behalf of the Pueblo, Joint Powers Agreements related to Games
of Chance on the Reservation, provided that the Commission may
delegate to the Executive Director the authority to conduct such
negotiations.

d. To implement a system, including the promulgation of regulations, for
investigating, licensing and monitoring management, employees,
vendors, and others connected with gaming activities, including the
issuance of Site Licenses to Gaming Facilities, and the issuance of
Temporary Licenses and Licenses to individuals and entities, and the
verification of internal controls, as required under the Ordinance, IGRA,
and any Tribal-State Compact or equivalent procedures prescribed by
the Secretary of the Interior.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 12 of 52


b. Not more than forty percent (40%) of the Net Revenues if the Chairman
of the NIGC is satisfied that the capital investment required and income
projections for the Gaming Enterprise require the additional fee.

10. Provides the grounds and mechanisms for modifying or terminating the
Management Contract.

11. Contains a mechanism to resolve disputes between:

a The Management Contractor and customers, consistent with the
procedures in this Gaming Ordinance and the Tribal-State Compact;

db. The Management Contractor and the Gaming Enterprise; and
c. The Management Contractor and Gaming Enterprise employees.

12. _ Indicates whether and to what extent contract assignments and subcontracting
are permissible.

13. Indicates whether and to what extent changes in the ownership interest in the
Management Contractor require advance approval by the Gaming Enterprise.

14. Includes no transfer or any type of conveyance of any interest in land or other
real property, unless such transfer or conveyance is clearly specified in writing in the
Management Contract.

15. States that the Management Contract shall not be effective unless and until it is
approved by the Commission and the Chairman of the NIGC, date of signature of the parties
notwithstanding, and has been approved by the Tribal Council and the Secretary of the Interior
or the Secretary’s designee, as required by tribal and federal law.

Cc. Standards for Disapproval. The Commission shall not approve any Management
Contract if the Commission determines that:

1. The General Manager or any of its individuals required to be licensed by
Section 12(A) above is not licensed or is ineligible to be licensed; or

2: The contract does not meet the requirements of this Section 12.

D. Action by the Commission and the Tribal Council. The Commission shall, subject
to action by the Tribal Council, approve or disapprove a Management Contract within thirty
(30) calendar days after it is submitted to the Commission for approval. The Executive
Director may extend the 30-day period by not more than thirty (30) calendar days if he or she
notifies the Gaming Enterprise, in writing, of the reason for the extension. The Commission
shall forward any approved Management Contract to the Tribal Council for final approval.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 33 of 52


an objection to the issuance of a License pursuant to a License application filed by a Principal,

Key Employee or a Primary Management Official, the Commission may issue a License to
such applicant.

3k The Commission shall review a person’s prior activities, criminal record, if any,
and reputation, habits, and associations to make a finding concerning the eligibility or
suitability of an applicant, or a Principal, Key Employee or Primary Management Official of an
applicant, for licensing or involvement in the Gaming Enterprise. The Commission shall either
issue a License or deny the application. If the Commission determines that employment or
involvement of the applicant poses a threat to the public interest, or to the effective regulation
of gaming or creates or enhances the danger of unsuitable, unfair, or illegal practices, methods,
or activities in the conduct of gaming, the Commission shall deny the application.

6. The Commission may issue a License to any Person or entity who:

a. Has provided a complete and accurate application and complied fully
with any and all requests by the Commission for information concerning
the background and activities of the applicant;

b. Ifa natural Person

ib who is connected directly with the conduct or
management of Class III gaming, has attained the age of
twenty-one (21) years;

ii. who is connected directly with the conduct or
management of Class II gaming, has attained the age of
eighteen (18) years;

c. Ts not a Person whose prior activities, criminal record, if any, 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, unfair, or illegal practices, methods, and activities in the
conduct of gaming or the carrying on of the business and financial
arrangements incidental thereto; and

d. Has not attempted to interfere or to influence, and has not interfered or
influenced, unduly for personal or business gain or advantage, any
decision or process relating to gaming or the government of the Pueblo.

Te The Commission shall respond to any request for additional information from
the NIGC or the State Gaming Representative concerning a Principal, Key Employee, or
Primary Management Official who is the subject of an Investigative Report. Such a request
shall suspend the 30-day period under Section 11(E)(4) until the NIGC or the State Gaming
Representative receives the additional information. However, in no event shall a request for
additional information by the State Gaming Representative extend the 30-day period under

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 29 of 52


2. Nothing in this Ordinance shall be construed as an admission of liability as to
any claim for damages or as an agreement or indication of willingness to pay any amount as
damages absent a judicial or arbitral determination of fault, and the Pueblo, the Commission,
the Gaming Enterprise Board, the Gaming Enterprise, its insurer(s), or any of them, shall in
every instance have the right to fully defend such claims.

[on Public Health and Safety. The Commission shall establish for every Gaming Facility
on the San Felipe Reservation health, safety, and construction standards that are at least as
stringent as the current editions of the National Electrical Code, the Uniform Building Code,
the Uniform Mechanical Code, the Uniform Fire Code, and the Uniform Plumbing Code, and
any and all Gaming Facilities or additions thereto constructed by the Gaming Enterprise or a
Management Contractor hereafter shall be constructed and all facilities shall be maintained so
as to comply with such standards. Inspections shall be conducted by the Commission with
tespect to these standards at least annually. If the State Gaming Representative requests
sufficiently in advance of an annual inspection, the representative may be present during such
inspection. The Gaming Enterprise or Management Contractor shall correct any deficiencies
noted in such inspections within a reasonable period of time. The Commission shall provide
copies of such inspection reports to the State Gaming Representative, if requested to do so in
writing.

D. Patron Dispute Resolution Procedures. The Policy of the Pueblo is to encourage the
resolution of disputes at the lowest possible level, and as quickly as possible. These provisions
should be followed only when the dispute cannot be resolved “on the floor” or by the General
Manager.

1. Whenever a patron of the Gaming Facility disputes the resolution of a conflict
by the General Manager of the Gaming Facility or its employees, whether such dispute
concerns the payment of alleged winnings to a patron or any other matter not within the limited
scope of Sections 15(A) and (B), and the General Manager and the patron are unable to resolve
the dispute to the satisfaction of the patron:

a If the dispute involves less than five hundred dollars ($500), the General
Manager shall inform the patron in writing that the patron has the right, within seven (7)
calendar days of the patron’s receipt of that notice, to make a written request to the
Commission to conduct an investigation (“Request for Investigation”).

b. If the dispute involves at least five hundred dollars ($500), the General
Manager shall notify the Commission in writing of the dispute (“Notice of Dispute”) no later
than forty-eight (48) hours after he or she becomes aware of the dispute, and shall provide a
copy of that notice to the patron, which shall include an explanation of the patron’s right to
make a written Request for Investigation within seven (7) calendar days of the patron’s receipt
of the Notice of Dispute.

Cc. If the General Manager fails to provide a timely Notice of Dispute to the
Commission or the patron, the Gaming Operation shall be subject to regulatory penalty where

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 38 of 52


x. “Member of the Pueblo” and “Pueblo Member” mean an enrolled member of the
San Felipe Pueblo.

Yi “National Indian Gaming Commission” and “NIGC” mean the National Indian
Gaming Commission established by IGRA.

Ze “Net Revenues” means gross gaming revenues of an Indian Gaming Operation less:
Er. Amounts paid out as, or paid for, prizes; and

2. Total gaming-related operating expenses, including tribal taxes and excluding
management fees.

AA. “Net Win” as defined in Section 11(C) of the 2007 Compact means the annual total

amount wagered in a Class III Gaming Facility on all Gaming Machines less the following
amounts:

ale The annual amount paid out in prizes to winning patrons, including the cost to
the Pueblo of noncash prizes, won on Gaming Machines. The phrase “won on Gaming
Machines” means the patron has made a monetary wager, and as a result of that wager, has
won a prize of any value. Any rewards, awards or prizes, in any form, received by or awarded
to a patron under any form of a players’ club program (however denominated) or as a result of
patron-related activities, are not deductible. The value of any complimentaries given to
patrons, in any form, are not deductible;

2. The amount paid to the State by the Pueblo under the provisions of Section
4(E)(6) of the 2007 Compact;

3: The sum of two hundred seventy-five thousand dollars ($275,000) per year as
an amount representing tribal regulatory costs, which amount shall increase by three percent
(3%) each year beginning on January 01, 2003.

BB. “Person” means an individual, trust, firm, association, partnership, political
subdivision, government agency, municipality, industry, public or private corporation, or any
other legal entity whatsoever.

CC. “Premises” means any room, hall, building, enclosure, or outdoor or other area used
for the purpose of playing a Game of Chance.

DD. “Primary Management Official” means:
iL. The Person having management responsibility for a Management Contract;
2. Any Person who has authority:

a. To hire and fire employees; or

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 6 of 52


adopted by the Tribal Council on February 12, 2004. In the event of any inconsistency
between this Gaming Ordinance and the San Felipe Pueblo Charter for the San Felipe Pueblo
Gaming Enterprise, approved July 21, 1994 and as amended from time to time, the provisions
of this Gaming Ordinance shall govern.

SECTION 25. Effective Date.

This Gaming Ordinance shall be effective as of the date of its approval by the
Chairman of the NIGC or on the 91* day after its submittal to the Chairman of the NIGC,
whichever occurs first.

SECTION 26. Compact Compliance — Additional Requirements.

This Section adds to the San Felipe Gaming Ordinance the following provisions required by
Sections 3(C) and 4 of the 2007 Compact. In the event that a Tribal-State Compact no longer
Tequires a provision in this Section, such provision shall lapse sixty (60) calendar days later
unless the Tribal Council by resolution or the Commission by regulation continues such
provision in force.

A. Participation in any Class II] gaming is prohibited for any Person under the age of
twenty-one (21).

B. Employment of any Person under the age of twenty-one (21) as a Class III Gaming
Employee is prohibited, and employment of any Person in Class III gaming who is not licensed
in accordance with Section 11 herein is prohibited.

Cc. The Pueblo is required to take all necessary action to impose on its Gaming Operations
standards and requirements equivalent to or more stringent than those contained in the federal
Fair Labor Standards Act of 1938, the federal Occupational Safety and Health Act of 1970, and
any other federal laws of general applicability to Indian tribes relating to wages, hours of work
and conditions of work, and the regulations issued thereunder. A federal law is “generally
applicable to Indian tribes” if: (1) the law is not susceptible to a good faith argument that it
does not apply to Indian tribes, or (2) the United States Court of Appeals for the Tenth Circuit
or the United States Supreme Court has held in an opinion that has not been reversed or
overruled that the law is generally applicable to Indian tribes, or (3) a court of competent
jurisdiction has held that the law is applicable to the Gaming Operation specifically.

Dz. On any construction project involving any Gaming Facility or related structure that is
funded in whole or in part by federal funds, all workers shall be paid wages meeting or
exceeding the standards established for New Mexico under the federal Davis-Bacon Act.

EB. The Pueblo, the Gaming Enterprise, and any Management Contractor are prohibited
from discriminating in the employment of Persons to work for the Gaming Enterprise or in the
Gaming Facility on the grounds of race, color, national origin, gender, sexual orientation, age,
or handicap. However, Tribal and other Indian preference in employment is allowed.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 48 of 52


4. Disclosure. The parties shall disclose such information to each other or to the
Commission as determined by the Commission pursuant to regulations
promulgated by the Commission to govern proceedings before it.

Sy Briefing; Hearing; Written Decision.

a

b.

The Commission may order pre-and post-hearing briefing.

If a hearing is requested, it shall be held and concluded without
unreasonable delay, taking into account witness availability,
evidentiary issues, and any pre-hearing briefing ordered by the
Commission.

The Respondent may be represented at any hearing by counsel or
other representative of his or her choice, at his or her sole
expense.

The Commission shall make a decision in writing, including
findings of fact in support of its decision. Absent extraordinary
circumstances, the Commission shall issue its decision within
thirty (30) calendar days of the filing of the Answer, of the
hearing, or of the conclusion of any briefing, whichever is later.

The Commission’s order shall advise the parties of the right to
appeal the order to the Tribal Court.

All parties, including the Executive Director, shall be informed
immediately of the Commission’s decision.

B. Appeal to Tribal Court.

1. From Decisions of the Commission.

a. Any person aggrieved by a decision of the Commission may appeal the
order to the Tribal Court.

b. 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 applicable law, in
which event the Tribal Court may reverse, vacate, or modify the order of
the commission.

c. In reaching its decision, the Tribal Court shall consider only such
evidence relating to the order from which appeal is taken as appears in

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 46 of 52


CERTIFICATION

I, the undersigned, as Governor of the

Tribal Council of the San Felipe Pueblo, at a dul

Pueblo of San Felipe on the 26th day of
approved and adopted the foregoing Fourth Ame

Pan Sy

Tribal Council Member V

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 52 of 52

Pueblo of San Felipe, hereby certify that the
ly called meeting convened and held at the

August _ 2009, a quorum being present,
nded and Restated Gaming Ordinance.

perme BA

Anthony Orth, Governor



termination of employment by the Gaming Enterprise, denial, suspension, or revocation of a
gaming License, exclusion from attendance at any Gaming Facility, criminal prosecution when
applicable, and/or exclusion from the Reservation if a non-member of the Pueblo. The
Commission may impose a fine and may require restitution. The Commission shall have the
jurisdiction to impose any penalties on any Person within the jurisdiction of the Pueblo. Civil
penalties may include requiring any Person who violates this Gaming Ordinance or validly
promulgated regulations hereunder to pay the expenses and fees incurred by the Gaming
Enterprise, the Commission, or the Pueblo in enforcement activities of any kind connected to
the Person found to have committed such a violation. Proceedings under this Section shall be
initiated by the Commission by serving a Notice of Violation upon the Person(s) alleged to be
in violation. The Commission may take appropriate action, including but not limited to
suspension of a License or exclusion from the Reservation (if a non-member), during the
pendency of any proceedings. Proceedings of the Commission under this Section are governed
by Section 20 of this Gaming Ordinance.

SECTION 19. Enforcement: Jurisdiction: Subpoenas.

A. Civil Remedies in Court. Notwithstanding the Commission’s authority to impose
civil penalties under Section 18 above, the Commission may, in its sole discretion, elect to
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,
attomeys’ fees, injunctive relief, and/or any other relief that is just and equitable under the
circumstances. The Tribal Court may order a Person who commits an intentional or willful
violation to pay punitive damages. The Tribal Court may order a civil penalty not to exceed
five thousand dollars ($5,000.00) for each day that a violation occurs and for each separate
violation. Any Person who violates this Gaming Ordinance, or whose employees or agents in
the course of their employment or agency violate this Gaming 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 allowed by any applicable present or future Act of Congress
or any applicable federal court decision.

B. Tribal Court Jurisdiction. 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, however, that, subject to Section 19(A)
above, the Tribal Court shall defer the exercise of its jurisdiction until any applicable
administrative remedies have been exhausted, and provided further that nothing in this Gaming
Ordinance is intended nor shall it be interpreted to preclude prosecution in federal court
pursuant to IGRA, as it may be amended from time to time, any regulations promulgated
thereunder, any other applicable federal or tribal law, or prosecution in state court pursuant to
an effective memorandum of understanding with the District Attorney for the Thirteenth
Judicial District pursuant to the terms of the Tribal-State Compact.

c. Enforcement of Commission Subpoenas. 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

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 44 of 52


k. In consultation with the Commission, to manage, hire, and fire, and
consistent with applicable laws, regulations, policies, and procedures, all
employees of the Commission, provided that the Commission may not
employ any Person who would be disqualified from being a
Commissioner under one or more of the five prohibitions in Section 8(E)
below, and provided further that all employment actions of the
Commission (excluding matters involving the hiring, firing, discipline,
compensation, and other rights and duties of the Commissioners, which
shall be governed by this Gaming Ordinance and other applicable tribal
law and policies) shall be governed by the personnel policies of, and
administered by, the San Felipe Tribal Human Resources Department.

L To take action as may be reasonable and appropriate to enforce this
Gaming Ordinance and the mules and regulations of the Commission,
including the reasonable application of this Ordinance to any Class II
and Class III gaming activities that may be authorized in the future.

Cc. Procedure for the Promulgation of Regulations. Where the Commission is
authorized to promulgate regulations, the following procedure shall be followed:

1. First, the Commission shall hold an informational meeting with the Gaming
Enterprise Board and General Manager to discuss the purpose of the proposed regulation and
its substantive content. The Gaming Enterprise Board and General Manager shall be given an
opportunity to advise the Commission of any policy concerns.

2. After the Gaming Enterprise Board and General Manager have had an
opportunity to advise the Commission of any concerns, the Commission shall put the proposed
regulation in a form for formal circulation and comment. At a minimum, the proposed
regulation shall be provided to the Gaming Enterprise Board and General Manager, and to each
party known by the Commission to be directly affected by the proposed regulation (other than
patrons and Gaming Enterprise employees and applicants for such employment), and copies of
the proposed regulation shall be posted at the tribal administration offices, at the Gaming
Enterprise Board’s office, and at each Gaming Establishment. The Commission shall allow a
minimum of fourteen (14) calendar days for comment.

3. The Commission may receive comments from all interested parties. After
considering all comments, the Commission shall publish the regulation in final form by posting
a copy of the final regulation in the tribal administration offices and by sending a copy of the
final regulation to the Gaming Enterprise Board and General Manager, and to each party
known by the Commission to be directly interested in the subject of the proposed regulation
(other than patrons and Gaming Enterprise employees and applicants for such employment).

4, The regulation shall become final fourteen (14) calendar days after publication
by posting and circulation as specified in Section 8(C)(3) above.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 16 of 52


E. Modification and Revocation of Management Contract. The Commission, after
notice and hearing, shall have the authority to require appropriate contract modifications and
may void any Management Contract if it determines that IGRA, this Gaming Ordinance, or the
Management Contract has been violated.

BR. Appeal of Decision of the Commission. Any person aggrieved by a decision of the

Commission under this Section may appeal that decision pursuant to Section 20 of this Gaming
Ordinance.

SECTION 13. Providers of Class I and Class II] Gaming Machines or Supplies.

A. Standards. Within thirty (30) calendar days after the effective date of this Ordinance,

the Commission shall adopt standards for any and all Class II and Class III gaming equipment,
devices or supplies to be purchased, leased or otherwise acquired by the Gaming Enterprise
after the effective date of this Ordinance for use in any Class II or Class III gaming, which
standards shall be at least as strict as the comparable standards applicable to Class II and Class
II gaming equipment, devices or supplies within the State of Nevada. Any and all Class III
gaming equipment, devices or supplies acquired by the Gaming Enterprise after the effective
date of any applicable Tribal-State Compact shall meet or exceed the standards thereby
adopted, and any and all Class II] gaming equipment, devices, or supplies utilized by the
Gaming Enterprise in its gaming activities as of the effective date of any applicable Tribal-
State Compact shall be upgraded or replaced, if necessary, to comply with such standards, by
no later than one (1) year after the effective date of any applicable Tribal-State Compact.

B. License Required. Prior to entering into any future lease or purchase agreement for
Class II or Class III gaming equipment, the Gaming Enterprise shall obtain sufficient
information and identification from the proposed seller or lessor and all Persons holding any
direct or indirect financial interest in the lessor or the lease/purchase agreement to permit the
Commission to License those Persons in accordance with Section 11 above.

&. Installation. The seller, lessor, manufacturer, or distributor shall provide, assemble
and install all Class II and Class III gaming equipment, devices, and supplies in a manner
approved and licensed by the Commission.

SECTION 14. Financial Practices and Reporting.

A. Monthly Reports. On or before the twentieth (20°) day of each month, the Gaming
Enterprise Board and each Gaming Establishment shall file with the Commission and the
Tribal Council a financial report for the preceding calendar month showing the amount of
Gross Receipts derived from Games of Chance, the operating expenses incurred or paid,
including the itemized expenses of the Gaming Enterprise Board, and the Net Revenues
derived from Games of Chance. It is the duty of the Gaming Enterprise Board and Gaming
Establishment to maintain and keep such books and records as may be necessary to
substantiate the particulars of each report. If a Gaming Establishment fails to file a report
within the time allowed, or if a report is not materially accurate and complete, the License of

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 34 of 52


10.

11.

E. Powers and Duties

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requirements under this Ordinance. The Commission shall then
document in detail the disposition of these problem areas, indicating the
follow-up investigations performed on the problem areas and the result
of such investigations.

e. The Commission will review the results of the investigation. This
review will include a determination as to the scope of the investigation
and whether sufficient information was obtained and verified. If such
information is found not sufficient, the Commission will perform
additional investigations.

3: In conducting a background investigation, the Commission and its agents shall
keep confidential the identity of each Person interviewed in the course of the investigation.

4. The Commission shall retain the right to conduct additional background
investigations of any Person required to be licensed at any time while the License is valid.

Ss With respect to Principals, Key Employees, and Primary Management Officials,
the Commission shall retain applications for employment and reports (if any) of background
investigations for no less than six (6) years from the date of termination of employment.

6. Once the investigation is complete, the Commission will decide whether the
applicant meets the eligibility criteria under this Ordinance.

ae All background investigations and reports shall remain confidential unless
disclosure is otherwise required by applicable law.

Dz. Procedures for Forwarding Applications and Reports.

1. When a Key Employee or Primary Management Official begins work at the
Gaming Enterprise authorized by an applicable Tribal-State Compact, this Gaming Ordinance,
and other Pueblo law, the Commission shall forward to the NIGC and, as required by a Tribal-
State Compact, to the State Gaming Representative, a completed application for employment.

2. The Commission shall forward the report referred to in Section 11(D)(4) to the
NIGC and, as required, to the State Gaming Representative within sixty (60) calendar days
after an employee begins work.

3. Subject to renewal of a Temporary License pursuant to Section 11(E)(2) below,
a Key Employee or Primary Management Official who does not have a License shall not be
employed after ninety (90) calendar days.

4. The Commission shall prepare and forward to the NIGC and, as required by an
applicable Tribal-State Compact, to the State Gaming Representative, a report on each
background investigation (“Investigative Report”). An Investigative Report shall include all of
the following:

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 27 of 52


To issue Licenses to, at minimum, qualified Gaming Enterprise Key
Employees and Primary Management Officials under requirements at
least as strict as those established in Section 11(E)(6) of this Ordinance;
and to grant, condition, suspend, revoke, and renew Licenses and to hear
and decide matters affecting such granting, conditioning, suspension,
revocation, or renewal of Licenses, provided that the Executive Director
may grant a Temporary License to the extent provided in Section
(11)()(1) and (2) of this Gaming Ordinance.

To promulgate rules for any Class II or Class III gaming activity on the
Reservation consistent with this Ordinance and with IGRA and
implementing federal regulations, provided that rules for Class II
activities shall not conflict with rules, if any, adopted under any Tribal-
State Compact.

To hold such hearings, sit and act at such times and places, take
testimony, and receive such evidence as the Commission deems relevant
in fulfilling its duties.

To require by subpoena the attendance and testimony of witnesses and
the production of books, papers, and documents relating to any matter
under consideration or investigation by the Commission, and to bring
actions in the Tribal Court for the enforcement of such subpoenas.

To administer oaths and affirmations to witnesses appearing before the
Commission.

To bring an action in the Tribal Court to enforce the provisions of this
Gaming Ordinance.

To suspend any gaming activity if, in the opinion of the Commission,
the public health and safety is threatened or a violation of IGRA, a
Tribal-State Compact, this Ordinance, Pueblo law, or applicable federal,
state, or tribal regulations warranting suspension is occurring or is
reasonably likely to occur. Any suspension of longer than twenty-four
(24) hours shall be subject to review by the Tribal Court. Pending
review, the suspension shall remain in effect until vacated or stayed by
the reviewing body.

To enter into contracts and memoranda of understanding 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 gaming on Indian Reservations.

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 13 of 52


vi. conduct in or out of office detrimental to the integrity, reputation,
or best interests of the Pueblo, the Commission, or the Gaming
Enterprise; or

vii. other good cause shown.

b. The Governor shall refer the proposed termination to the Tribal Council
for final action. Before final action is taken by the Tribal Council, the
Commissioner shall be given a full opportunity to appear before the Tribal
Council to answer or otherwise respond to any and all charges against him
or her. A Commissioner may be suspended with pay by the Governor
pending the meeting with the Tribal Council. The Tribal Council may
reinstate or terminate the Commissioner. Under no circumstances may the
Tribal Council authorize the payment to a Commissioner terminated for
cause the value of the uneamed stipend for the uncompleted balance of the
Commissioner’s term or any other monetary or other compensation
uneamed as of the date of final termination.

c. To terminate a Commissioner for cause, the affirmative action of a
consensus of the members of the Tribal Council present at such meeting is
required.

H. Resignations and Vacancies. Any Commissioner may resign at any time by giving
written notice to the Commission and to the Governor on behalf 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. Any vacancy on the Commission,
howsoever caused, shall be filled in accordance with this Ordinance.

L Selection of Officers. At the first meeting of the Commission after a new
Commissioner is fully licensed and annually thereafter on or about the anniversary of that first
meeting, the Commission shall select by majority vote one of its members to serve as
Chairman, one of its members to serve as Vice Chairman, and one of its members to serve as
Secretary. By a majority vote, the Commission may change the officer selections for the
remainder of the annual term, but each Commissioner must serve as an officer. The Vice
Chairman shall serve as Chairman during meetings of the Commission at which the Chairman
is absent.

di Motions and Resolutions; Meetings; Quorum.

1; Except as otherwise provided herein or as sound regulatory practice may require
under the circumstances, all official actions required to be taken by the full Commission shall
be taken by motion or resolution approved by the affirmative vote of a majority of the
Commission members present at a meeting with a quorum.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 19 of $2


protects the environment and the public health and safety as required by
Sections 6(C) and 15(C).

To enforce compliance with internal control standards not less stringent
than those lawfully required under this Gaming Ordinance and any
regulations promulgated hereunder, under IGRA and its implementing
regulations, under the Compact, or under equivalent procedures lawfully
prescribed by the Secretary of the Interior.

To administer the system adopted by the Commission for investigating,
licensing and monitoring management, employees, vendors, and others
connected with gaming activities, as required under this Ordinance,
IGRA, and any Tribal-State Compact or equivalent procedures
prescribed by the Secretary of the Interior.

To conduct background investigations regarding any Person or entity in
any way connected with any gaming activity and to recommend to the
Commission whether a License should be granted or denied.

To serve as the Tribal Gaming Agency for purposes of implementing
any Tribal-State Compact, to make such reports regarding Class II
gaming to the State Gaming Representative as required by the Tribal-
State Compact, and to inspect and make copies of New Mexico state
records concerning all Class II gaming conducted under this Gaming
Ordinance.

To inspect, examine, photocopy, and audit all papers, books, and records
regarding gaming activities conducted within the Reservation and any
other matters as necessary to carry out the duties of the Commission
under this Gaming Ordinance.

To record and investigate any suspicion of wrongdoing related to any
gaming activity.

To conduct or cause to be conducted such investigations as may be
necessary to determine, in connection with any gaming activity,
compliance with law, including this Gaming Ordinance, or with any
contracts or agreements related to gaming activities.

To establish and collect License, investigation, and regulatory fees to
cover or help cover the costs connected therewith.

To keep minutes, records, and books in which shall be kept a true,
faithful, and correct record of all proceedings of the Commission.

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 15 of 52


a. Steps taken in conducting the background investigation;
b. Results obtained;

c. Conclusions reached; and

d. The basis for those conclusions.

3. The Commission shall submit with the report a copy of the eligibility
determination made under Section 11(C)(6).

6. Ifa License is not issued to an applicant, the Commission shall notify the NIGC
and, as required by a Tribal-State Compact, the State Gaming Representative.

BE; Granting a Gaming License; Standards.

de Temporary License. Within twenty (20) calendar 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 are apparent on the face of the application, provided that the Executive
Director may grant a Temporary License upon receipt of a License application that does not
require denial on its face, subject to confirmation of that grant by the Commission at its next
meeting.

2 Temporary License Renewal. A Temporary License may be renewed for good
cause.

3. Temporary License — Limited Validity. The Temporary License shall become
void and be of no effect upon either:

a. The issuance of the License; or
db. The issuance of a notice of denial;

c The end of the Temporary Licensee’s employment by the Gaming
Enterprise; or

d. Subject to Section 11(E)(2) above, ninety (90) calendar days after the
Temporary License is issued,

whichever occurs first.

4, If within thirty (30) calendar days after it receives an Investigative Report,
neither the NIGC nor the State Gaming Representative has notified the Commission that it has

Fourth Amended and Restated Gaming Ordinance
‘August 2009
Page 28 of 52


any Gaming Enterprise on the Reservation who is connected directly with the conduct or
management of Class II] Gaming. No Person under eighteen (18) years of age may participate
in any Class II gaming on the Reservation, and no Person under eighteen (18) years of age may
be employed as a Gaming Employee, Key Employee, or Primary Management Official of any
Gaming Enterprise on the Reservation who is connected directly with the conduct or
management of Class II Gaming.

E. Persons Barred from Personal Participation in Gaming. No person serving in any
of the following categories of employment or office may personally engage in gaming, play
any Games of Chance, or win any prizes awarded by the Gaming Enterprise, in the Pueblo
until ninety (90) calendar days after the termination of such employment or office:

i. Members of any Gaming Enterprise Board;
2. Members of the Commission;

3 General Manager of any Gaming Enterprise;
4. Primary Management Officials;

pe Employees of any Gaming Enterprise and the Commission; provided, however,
the Gaming Enterprise Board and the Commission are each authorized to exempt classes of
their respective employees from the prohibition of this Section.

SECTION 7. Class Il and Class IJ Games Authorized.

A. Class II Games. The Gaming Enterprise shall have authority to establish, equip,
operate and maintain Class II games on Premises located at such places as the Tribal Council
has designated or may designate in the future.

B. Class IMI Games; Tribal-State Compact Required. No Person may conduct Class III
gaming on the Reservation unless either a Tribal-State Compact is in effect or Secretarial
Procedures authorize such Class III gaming. When a Compact is in effect or the Secretary of
the Interior has established procedures for Class II] gaming on the Reservation in place of a
Compact, the Gaming Enterprise shall have authority to establish, equip, operate, and maintain
a Class III Gaming Operation on Premises located at such places on the Reservation as the
Tribal Council has designated or may designate in the future.

c Designation of Manager in Charge. The General Manager shall designate a Primary
Management Official to be Manager in Charge on each day during which any gaming activities
are being conducted by a Gaming Enterprise. The Manager in Charge shall be primarily
responsible for the operation and/or conduct of Class II gaming and/or Class III gaming on that
day. The Manager in Charge must have obtained a License from the Commission at least five
(5) business days prior to the date on which such Person is designated Manager in Charge. The
Manager in Charge shall supervise all activities and shall be present on, or in immediate
proximity to, the Premises continuously throughout the period during which gaming activities

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 10 of 52


WHEREAS, the Pueblo now wishes to amend the Gaming Ordinance to incorporate
the 2007 Compact provisions and modifications based on the Pueblo’s continued experience
with the operation and regulation of gaming.

NOW THEREFORE BE IT RESOLVED BY THE TRIBAL COUNCIL OF THE
SAN FELIPE PUEBLO:

Section 1. Name.

The name of this Ordinance shall be the “San Felipe Pueblo Fourth Amended and
Restated Gaming Ordinance.”

Section 2. Definitions.

The following words shall have the following meanings under this Ordinance, unless
the context otherwise requires.

A. “Bingo” means:

1. The Game of Chance commonly known as “bingo” or lotto (whether or not
electronic, computer, or other technologic aids are used in connection therewith) when players:

a Play for prizes with cards bearing numbers or other designations;

db. Cover numbers or designations when objects, similarly numbered or
designated, are drawn or electronically determined; and

e Win the game by being the first Person to cover a designated pattern on
such cards.

2. If played in the same location as bingo, pull-tabs, punch boards, tip jars, instant
bingo, and other games similar to bingo.

B. “Class Il gaming” means:
Ls “Bingo,” as defined inclusively above, or lotto;
2 Nonbanking card games that:

a New Mexico law explicitly authorizes, or does not explicitly prohibit,
and are played legally anywhere in the State; and

db. Players play in conformity with New Mexico laws and regulations (if
any) concerning hours, periods of operation, and limitations on wagers
and pot sizes.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 2 of 52


£ A description of any existing and previous business relationships with
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
the Person has filed an application for a License or permit related to
gaming, and whether or not such License or permit was granted,
suspended, or revoked;

h. For each felony for which there is a conviction or an ongoing
prosecution, the charge, the name and address of the court involved, and
the date and disposition, if any;

i. For each misdemeanor for which there is a conviction or an ongoing

prosecution (excluding minor traffic violations) since age eighteen (18)
years, the charge, the date of the charge, the name and address of the
court involved, and the disposition, if any;

an For each criminal charge (excluding only minor traffic charges but
expressly including any alcohol-related traffic charge), whether or not
there is a conviction, if such criminal charge occurred since age eighteen
(18) years and is not otherwise listed pursuant to Section 11(B)(5)(h) or
Section 11(B)(5)(i), 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, Principal, Primary Management Official, or Key
Employee, and whether or not such License or permit was granted,
suspended, or revoked;

1 A current photograph;

m. Fingerprints shall be taken by the Commission, consistent with 25
C.F.R. § 522.2(h), or by any other qualified law enforcement agency as
may in the future be agreed upon in writing by the Commission and the
NIGC;

n. The fee required by the Commission; and

0. Any other information which the Commission deems relevant.

Fourth Amended and Restated Geming Ordinance
August 2009
Page 25 of 52


B. Independent Decision-Making Authority. Because the Commission is an
independent agency of Tribal Government, the decisions of the Commission regarding
licensing, suitability, compliance with applicable law, and other regulatory matters shall be
within the exclusive province of the Commission, provided that any Person or entity adversely
affected by a ruling of the Commission, including, but not limited to a patron, the Gaming
Enterprise, or any employee of the Gaming Enterprise, may petition the Tribal Court for
review of such decision, in accordance with Section 20 below.

SECTION 11. Licenses for Operating and Conducting Games of Chance.
A. Licenses Required.

L Gaming Commissioners. Each member of the Commission shall be licensed
by the Commission, and be subject to a background investigation.

2s Gaming Facility and Gaming Establishment. Each place, facility, or location
within the Reservation where the Pueblo elects to allow Class II or Class II] Gaming shall be
licensed by the Commission. Prior to issuance of a License to a Gaming Facility or Gaming
Establishment, the Commission shall:

a. Determine that the facility is constructed in conformance with all
applicable building and safety codes.

db. Determine that security and surveillance systems are in place to

adequately provide for the safety and security of employees and patrons
and for the protection of tribal assets.

C Ensure that all employees are properly licensed and that the facility is
otherwise in compliance with all applicable gaming laws and
regulations.

De Gaming Enterprise Board Members. Each member of the Gaming Enterprise
Board shall be licensed by the Commission and subject to a background investigation.

4. Gaming Employees. Each Gaming Employee shall be licensed by the
Comunission and subject to a background investigation.

5. Management Contractors. All Management Contractors, including their
Principals, Primary Management Officials, Key Employees, and shareholders having in excess
of five percent (5%) ownership, shall be licensed by the Commission and subject to
background investigations.

6. Sales of Gaming Devices, Equipment or Services. Any Person proposing to
sell or lease any device or supplies used in Class II or Class III gaming or to provide Gaming
Services to the Gaming Enterprise shall be licensed by the Commission and subject to a

Fourth Amended and Restated Gaming Ordinance
Avgust 2009
Page 22 of 52


16.

17.

18.

19.

20.

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iv


are being conducted and for a period of at least one (1) hour after such activities have been
concluded for the day. Where Class II or Class III gaming is conducted on a daily basis bya
Gaming Enterprise, the Manager of the Day or shift manager shall be the Manager in Charge in
the absence of the General Manager, unless otherwise designated by the General Manager.

Ds Premises Open to Commission. All areas of any Premises in which any Class II or
Class III gaming will be or is operated or conducted, shall at all times be open to inspection by
the Commission and its agents and employees, and, consistent with the terms of a Tribal-State
Compact, the Premises shall be open to the State Gaming Representative.

E. Employees. All Persons who operate or conduct, or assist in operating or conducting,
Class II or Class II] gaming shall be employed by the Gaming Enterprise. All Gaming
Enterprise employees shall wear a gaming License badge evidencing their names and the
legend of the Gaming Enterprise.

F. Qualification for Employment; Testing. Employees of the Gaming Enterprise shall
be of good moral character and, as a condition of their employment, shall agree to any lawful
means of testing for truthfulness, at any time without prior notice, concerning the handling,
collection and/or disbursement of Gross Receipts. The Gaming Enterprise shall not employ
any Person whose prior activities, criminal record 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 business and financial arrangements
incidental thereto. All Gaming Enterprise employees must consent to lawful drug and alcohol
testing consistent with the regulations, policies, and procedures of the Gaming Enterprise and
the Commission. Agreement to undergo such testing is a condition of employment, and the
Gaming Enterprise has the absolute right to refuse to employ, or to terminate existing
employment, for refusal to agree to such testing.

G. Preference in Employment. Pueblo members must receive preference in employment
and advancement if they meet the qualifications for employment with the Gaming Enterprise.
Entry-level positions do not require a GED or high school diploma for employment.

H. Personnel Policies. The Gaming Enterprise must adopt written personnel policies that
shall be provided to each employee. These personnel policies shall provide a formal grievance
procedure, including appeal to Persons of greater authority than the employee’s immediate
supervisor, and these policies shall provide for an employee’s right to receive a written
statement of reasons for dismissal in the event such employee is dismissed. Nothing in the
personnel policies shall create or be deemed to create any vested right to continued
employment.

I Hiring and Training of Employees.

Le The Gaming Enterprise must provide sufficient training to all employees to
enable them to perform their jobs properly.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 11 of 52


SAN FELIPE PUEBLO FOURTH AMENDED AND RESTATED GAMING
ORDINANCE

WHEREAS, The San Felipe Pueblo (“the Pueblo”) is a duly recognized sovereign
Indian tribe whose traditional law empowers the Tribal Council to enact ordinances; and

WHEREAS, the San Felipe Pueblo Gaming Ordinance adopted July 21, 1994
contained the minimum requirements under federal law for a tribal gaming ordinance, which
Ordinance was approved by the National Indian Gaming Commission on November 17, 1994;
and

WHEREAS, the Pueblo adopted the San Felipe Pueblo Amended and Restated
Gaming Ordinance, dated July 20, 1999, amending the San Felipe Pueblo Gaming Ordinance,
adopted July 21, 1994; and

WHEREAS, the San Felipe Pueblo Amended and Restated Gaming Ordinance adopted
July 20, 1999 was disapproved by the National Indian Gaming Commission on January 21,
2000; and

WHEREAS, the Pueblo of San Felipe entered into a Tribal-State Compact with the
State of New Mexico on October 12, 2001 (“2001 Compact”), which Compact became
effective on December 14, 2001 (66 Federal Register 64856); and

WHEREAS, to incorporate the National Indian Gaming Commission requirements, the
2001 Compact provisions, and the Pueblo’s experience with gaming, the Pueblo of San Felipe
approved its Second Amended and Restated Gaming Ordinance on November 27, 2002, which
Ordinance was approved by the National Indian Gaming Commission on January 14, 2003;
and

WHEREAS, to effect limited amendments relating to the San Felipe Pueblo Gaming
Regulatory Commission, the Pueblo of San Felipe approved its Third Amended and Restated
Gaming Ordinance on February 12, 2004, which Ordinance was approved by the National
Indian Gaming Commission on April 29, 2004; and

WHEREAS, the Pueblo of San Felipe entered into an amended Tribal-State Compact
with the State.of New Mexico on April 24, 2007 (“2007 Compact”), which Compact took
effect on June'18, 2007 (72 Fed. Reg. 36717); and

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 1 of 52.


5: Copies of all regulations enacted by the Commission shall be kept in the
Commission’s offices for public inspection and copying during normal office hours, Monday
through Friday, 9:00 a.m. to 4:00 p.m., excluding holidays. Actions by the Tribal Council,
including copies of all resolutions involving gaming or which affect gaming, shall be kept with
documents in the Commission offices showing tribal laws and regulations in effect.

6. The Tribal Council shall have the power, prior or subsequent to the effective
date of the regulation, to modify or rescind any regulation.

7. Notwithstanding the foregoing subsections, if the Commission determines that a
regulation must be promulgated immediately to protect the public safety or to maintain the
legality of gaming activities by the Gaming Enterprise, such regulation shall become effective
upon posting in the locations listed in Section 8(C)(2). The Commission shall, within two (2)
business days of promulgating an emergency regulation under this subsection, commence the
normal promulgation procedures for the regulation. An emergency regulation shall expire
thirty (30) calendar days after the close of the comment period under Section 8(C)(3) unless
sooner withdrawn or replaced by the Commission.

D. Composition. The Commission shall consist of three (3) Commissioners appointed by
the Tribal Council after consideration of the recommendation of a selection committee
appointed by the Governor, who may also participate in the interview process. Commissioners
shall serve staggered three (3) year terms unless a Commissioner earlier resigns or is
terminated under Section 8(G). A Commissioner who resigns may continue to serve until a
new Commissioner is appointed by the Tribal Council. A Commissioner who is terminated
under Section 8(G) shall serve until the effective date of termination agreed upon by the Tribal
Council.

E. Qualifications of Commissioners. No Person shall be eligible or qualified to serve, or
continue to serve, as a Commissioner who:

Is Has been convicted of any felony or of any crime involving gaming, dishonesty,
or moral turpitude;

2. Is a member of the Tribal Council or would be a member of the Tribal
Administration, a Tribal Administrator, or an employee of the Gaming Enterprise on the
Reservation while serving as a Commissioner;

3} Has any financial interest in, or responsibility for, any gaming activity (except
that marriage to an individual who is an employee or management official of the Gaming
Enterprise may be permitted);

4, Has any financial interest in, or responsibility for, any gaming-related contract;
or

Bs Has engaged in any conduct that would be detrimental to the integrity,
reputation, or best interests of the Pueblo, the Commission, or the Gaming Enterprise.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 17 of 52


AL
ONAL Ig,

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S$ &
o

Yy,

y
VG comm”

October 9, 2009

via facsimile: 505.867.3383
and First Class mail

Anthony Ortiz, Governor
Pueblo of San Felipe

P.O. Box 4339

San Felipe Pueblo, NM 87001

Re: Amended gaming ordinance, approval
Dear Governor Ortiz:

On September 2, 2009, you requested that the NIGC Chairman review and approve
the San Felipe Pueblo’s Fourth Amended and Restated Gaming Ordinance, adopted by
Resolution No. 2009-91. The amendment is a substantial revision of the Pueblo’s
existing gaming ordinance: it bifurcates patron dispute procedures, amends internal
procedures for conducting the annual audit required by the Indian Gaming Regulatory
Act, conforms the ordinance to the 2007 compact between the Pueblo and the State of
New Mexico, reorganizes the Pueblo’s gaming commission, and makes various other
administrative revisions.

This letter constitutes my approval. Nothing in the amended gaming ordinance
conflicts with IGRA or NIGC regulations.

Thank you for your submission. If you have any questions, please contact Staff
Attorney Heather McMillan Nakai at (202) 632-7003.

Sincerely,

ke

‘eT. Skibine
Acting Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax 202.632.7066 www.Nicc.cov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN: Tulsa, OK


After a revocation hearing, the Commission shall decide to revoke or to
reinstate a gaming License, and the Commission shall notify the NIGC
of its decision.

Other Grounds.

a.

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; is determined to have engaged in any
activity that had not yet occurred or was otherwise unknown to the
Commission at the time of licensing which, if known, would have been
grounds for disapproval of a License (regardless of whether the activity
occurred before or after the licensing process); 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 (provided that conviction of a
DWI offense shall not be a bar to licensing if the conviction occurred
more than five (5) years before the license application, and provided
further that no Licensee who has at any time been convicted of a DWI
offense may hold or be licensed for any position requiring that the
employee drive a vehicle as part of his or her employment); interferes
with, unduly influences, or attempts to interfere or unduly influence any
decision or process of the government of the Pueblo relating to gaming;
fails to submit to lawful testing for truthfulness; or deliberately or
substantially fails to provide information to or answer relevant questions
of the Commission or otherwise fails to comply with this Gaming
Ordinance or the terms of any License granted pursuant hereto; 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 which may be imposed under
this Gaming Ordinance.

If a Licensee is charged with any crime, whether a felony or misdemeanor,
that reflects on the Licensee’s honesty or integrity or poses a threat to the
public safety (including but not limited to theft, embezzlement, and
assault), the Commission may suspend the Licensee’s License pending
resolution of the criminal charge. The Licensee shall be entitled to a
hearing before the Commission regarding the suspension. After resolution
of the criminal charge, the Licensee shall notify the Commission of the
outcome and may seek to have the suspension lifted. If the charge is
dropped or if the Licensee is acquitted, the Commission may lift the
suspension without further review. Regardless of the outcome relating to
the charge, the Commission may, upon notice, hold a hearing, after which
it may lift the suspension, revoke the License, or take other authorized
action as appropriate.

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 40 of 52


3. Stage, sound and light technicians; or
4, Other nongaming personnel.

H. “Gaming Enterprise” means the San Felipe Pueblo Gaming Enterprise, a separately-
chartered tribal enterprise created by Charter dated July 21, 1994, as amended from time to
time, or any other tribal enterprise as the Tribal Council may in the future designate to conduct
gaming on behalf of San Felipe Pueblo.

I “Gaming Enterprise Board” means the Board of Directors of the San Felipe Pueblo
Gaming Enterprise and the managing body of any such other tribal enterprise as the Tribal
Council may in the future designate to conduct gaming on behalf of San Felipe Pueblo.

tc “Gaming Establishment” means San Felipe’s Casino Hollywood and any other
casino, bingo hall, or other operational branch of the Gaming Enterprise that the Tribal Council
may in the future designate to operate Games of Chance.

K. “Gaming Facility” means, for the purposes of this Ordinance, a building, structure, or
Premises in which Class II and/or Class III gaming is conducted on the Reservation.

L. “Gaming Operation” means a division, department, or unit of the Gaming Enterprise
that is responsible for receiving or disbursing the revenues, issuing the prizes, and paying the
expenses in connection with the conduct of gaming activity. For purposes of this Ordinance,
unless the context dictates otherwise, a Gaming Operation includes any Management
Contractor having a Management Contract related to the Gaming Operation.

L. “Gaming Ordinance” and “Ordinance” means this San Felipe Pueblo Fourth
Amended and Restated Gaming Ordinance and any amendments thereto.

M. “Gaming Services” means goods or services provided or sold to the Pueblo, the
Gaming Enterprise, any Gaming Facility, or a Gaming Contractor, directly in connection with
the operation of Class II or Class III Gaming in a Gaming Facility, including but not limited to
any Gaming Device, Games of Chance, cards, dice, coins, tokens, gaming related goods, poker
tables, blackjack tables, equipment or any mechanical, electromechanical, electronic device,
machine, including training and consulting services for table games, slots, cage, accounting,
hard and soft count, surveillance, and management to the Pueblo, Gaming Enterprise, or
Management Contractor in connection with the operation of gaming in a Gaming Facility, and
including but not limited to equipment, merchandise, transportation, food, linens, janitorial
supplies, maintenance, or security services for the Gaming Facility, in an aggregate of more
than ten thousand dollars ($10,000) per month.

N. “General Manager” means the Manager of gaming for a Gaming Enterprise or, if a
Gaming Enterprise enters into a Management Contract, the chief operational manager of the
Management Contractor shall be the General Manager.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 4 of 52


< Individually owned Class II Gaming Operations that were operating on
September 1, 1986, and

a That meet the requirements of 25 U.S.C. 2710(b)(4)(B);

b. Where the nature and scope of the game remains as it was on October
17, 1988; and

c. Where the ownership interest or interests are the same as on October 17,
1988.

Cc. “Class II gaming” means all forms of gaming that are not Class I gaming or Class II
gaming, including but not limited to:

Ts Any house banking game, including but not limited to:

a. Card games such as baccarat, chemin de fer, blackjack (21) and pai gow
(if played as house banking games);

db. Casino games such as roulette, craps and keno;

2. Any slot machines as defined in 15 U.S.C. 1171(a)(1) and electronic or
electromechanical facsimiles of any Game of Chance;

3: Any sports betting and pari-mutuel wagering, including but not limited to
wagering on horse racing, or jai alai; or

4. Lotteries, in any form.

D; “Commission” means the San Felipe Pueblo Gaming Regulatory Commission
authorized and governed by this Ordinance.

E. “Games of Chance” includes 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.

F, “Gaming Device” means any gambling device as defined in 15 U.S.C. § 1171 (a).

G. “Gaming Employee” means a Person connected directly with the conduct or
management of Class II or Class II] Gaming, or handling the proceeds thereof or handling any
Gaming Machine, but “Gaming Employee” shall not include:

ae Bartenders, cocktail servers, or other Persons engaged solely in preparing or
serving food or beverages;

2. Secretarial or janitorial personnel;

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 3 of 52


certified public accountant licensed by the State. The auditor shall prepare an audit and
Certified Financial Statement of all financial activities of the Gaming Enterprise, including
written verification of the accuracy of the quarterly Net Win calculation, prepared in
accordance with generally accepted accounting principles. The financial statement shall
specify the total amount wagered in Class II] Gaming on all Gaming Machines at any Gaming
Facility for purposes of calculating “Net Win” under Section 11 of the 2007 Compact using the
format specified therein. The auditor shall not less frequently than annually (but more
frequently as the Commission may require) report to the Gaming Enterprise Board on the
auditor’s examination of the books and records of the Gaming Enterprise, including a separate
report on spending for the Gaming Enterprise Board, and on the auditor’s recommendations
with respect to management of the Gaming Enterprise and any failure to comply with
applicable law or contractual obligations. The Commission, the Gaming Enterprise Board, and
the General Manager may participate in the exit review for any audit. Copies of all audits shall
be promptly provided to the Governor, the Tribal Council, the Commission, and the Gaming
Enterprise Board. Unless no longer required by an applicable Tribal-State Compact or by
federal law, the Commission shall provide copies of annual audits to the National Indian
Gaming Commission, the State Gaming Representative, and the State Treasurer.

F. Audit of Contracts. All contracts for supplies, services, or merchandise in an amount
greater than twenty-five thousand dollars ($25,000) annually (except contracts for professional
legal or accounting services), which contracts relate to gaming activities, shall be subject to
annual outside independent certified audits.

G. Disposition of Net Revenues. The Net Revenues derived from Games of Chance, after
allocation by the Gaming Enterprise Board between surplus reserve of the Gaming Enterprise
and dividends or taxes payable to the Pueblo, shall be deposited accordingly on a quarterly
basis into the Gaming Enterprise’s surplus reserve accounts and into the general fund of the
Pueblo.

1. Net Revenues deposited into the general fund of the Pueblo shall not be used for
purposes other than:

a. To fund Pueblo governmental operations and programs;
b. To provide for the general welfare of the Pueblo and its members;
c. To promote tribal economic development, including land acquisition;
d. To donate to charitable organizations; or
e To help fund operations of local government agencies.
2. If the Pueblo elects to make per capita payments to Pueblo members, it shall

authorize such payments only upon approval of a plan submitted to the Secretary of the Interior
under 25 U.S.C. § 2710(b)(3) and 25 C.F.R. Part 290.

Fourth Amended and Restated Gaming Ordinance
‘August 2009
Page 36 of 52


b. Sign a statement that contains the Privacy Act Notice and consent to the
routine uses of information described in the Notice.

3. The following notice (“False Statement Notice”) shall be placed on the
application form before that form is filled out by any applicant:

A false statement on any part of your application may be grounds for not hiring
you, denying you any License or for firing you after you begin work, or revoking
any License previously issued. Also, you may be punished by fine or
imprisonment. See 18 U.S. Code § 1001.

4. The Commission shall notify in writing any Persons required to be licensed
whose licensing process did not include a False Statement Notice that they shall either:

a. Complete a new application form that contains a False Statement Notice;

db. Sign a statement that contains the Notice.

3s The Commission shall request from each Person required by Section 11(A)
above to be licensed all of the following information:

a. Full name, other names used (oral or written), Social Security
Number(s), birth date, place of birth, citizenship, gender, all languages
(spoken and written);

b. Currently and for the previous ten (10) years: business and employment
positions, ownership interests in those businesses, business and
tesidence addresses, and driver’s License numbers; provided, that any
applicant who is a Primary Management Official, Key Employee,
Management Contractor, manufacturer or supplier of Gaming Devices
and/or a Person providing Gaming Services, must provide such
information from the age of eighteen (18);

C The names and current addresses of at least three personal references,
including one personal reference who was acquainted with the applicant
during each period of residence listed under Section 11(B)(5)(b) above;

d. Current business and residence telephone numbers;

e. A description of existing or previous business relationships with Indian
tribes, including ownership interests in those businesses, and a
description of any potential or actual conflict of interest between the
businesses and Indian tribes;

Fourth Amended and Restated Gaming Ordinance
Angust 2009
Page 24 of 52


B. Notice; Immediate Suspension.

1. Proceedings to suspend or revoke a License shall be initiated by the Executive
Director by serving a Notice of Recommended Action upon the Licensee, recommending that
the Commission suspend or revoke the Licensee’s License.

2. The Executive Director may suspend the License immediately, pending proceedings
before the full Commission, if necessary to protect the public welfare. Such an immediate
suspension shall take effect upon service of the Notice of Recommended Action upon the
Licensee, but shall not exceed ten (10) business days. If the Commission agrees based on
available information that the public welfare is at risk, the full Commission may extend the
temporary suspension of a License pending its resolution of the Notice of Recommended
Action under this Section for a period not to exceed sixty (60) calendar days.

GC. Contents of Notice of Recommended Action; Service. The Notice of Recommended
Action shall set forth the violations of this Gaming Ordinance or other applicable law that the
Executive Director or the Commission has reasonable cause to believe the Licensee has
committed. The Executive Director shall cause the Notice of Recommended Action 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 Notice
of Recommended Action shall notify the Licensee of the License suspension or revocation
process, including the required Answer and the right to request a hearing.

D. Procedure. The procedure before the Commission shall be governed by Section 20 of
this Gaming Ordinance.

E. Effective Date. The order of the Commission suspending or revoking a License shall
state the effective date of the suspension or revocation.

F, Surrender of License. When the Commission suspends or revokes a License, the
Licensee shall surrender the License to the Commission 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. Additional Sanctions. Upon a 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 declarations 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. Appeal to Tribal Court. Any Licensee aggrieved by a decision of the Commission
may appeal the order pursuant to Section 20 of this Gaming Ordinance.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 41 of $2


background investigation before being permitted to sell or lease any devices or supplies used in
Class II or Class III gaming, or to provide any Gaming Services to the Gaming Enterprise,
Gaming Facility, or Management Contractor.

Te Lenders, Investors and Providers of Financial Services. Lenders, investors,
and providers of financial services, and such agents, employees and major shareholders of such
Person as required by the Commission, shall be licensed by the Commission and subject to
background investigation; provided that this provision shall not apply to the Pueblo, its
officers, and the Tribal Council if the Pueblo serves as a lender, investor, or provider of
financial services.

B. License Application. Each applicant for a License shall file with the Commission a
written application in the form prescribed by the Commission, duly executed and verified,
along with the applicant’s fingerprint card, current photograph, and any fees required by the
Commission. At a minimum, the application form shall contain all of the following
information and requests for information:

Ls The following notice (“Privacy Act Notice”) shall be provided to the applicant
with the application form, with instructions to the applicant to read and sign the Privacy Act
Notice before the application is executed and returned: 7
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 seg. 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 San Felipe Pueblo
Gaming Regulatory Commission, and of the National Indian Gaming
Commission (“NIGC”) who have need for the information in 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 the Pueblo or the NIGC, 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 the Pueblo’s being unable to hire you as a Primary Management
Official, in a Key Employee position, or in other gaming-related positions. 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 Any existing Persons required to be licensed by Section 11(A) above whose
licensing process did not include a notice of the Privacy Act shall be notified in writing that
they shall either:

a. Complete a new application that contains a Privacy Act Notice; or
Fourth Amended and Restated Gaming Ordinance

August 2009
Page 23 of 52,


21.

22;

23.

24.

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26.

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m. Subject to the approval of the Tribal Council, to adopt the budget of the
Commission at least annually and to adopt modifications of such budget.
The Commission shall submit a quarterly and annual financial report to
the Tribal Council.

n. To approve or disapprove Management Contracts in accordance with
this Gaming Ordinance.

0. To hear appeals in accordance with this Gaming Ordinance.

p. To promulgate rules and regulations, in addition to those specifically
stated herein, as it deems appropriate to protect the integrity and safety

of gaming activities on the Reservation or to implement the provisions
of this Gaming Ordinance, IGRA, or any applicable Tribal-State

Compact.

q. To recommend amendments to this Gaming Ordinance to the Tribal
Council.

a To insure that Net Revenues from any gaming activities on the

Reservation deposited in the general fund of the Pueblo are used only in
accordance with Section 14(G) of this Gaming Ordinance.

Si To submit an annual report to the Tribal Council and Governor on the
activities of the Commission. Such reports must include information on
the funding, income, and expenses of the Commission.

ts To hire an individual to serve as Executive Director of the Commission
to administer and execute the Commission’s delegable duties and
responsibilities under this Gaming Ordinance, and to delegate to the
Executive Director duties of the Commission in a manner consistent
with this Gaming Ordinance.

u. To oversee and monitor the Executive Director in the competent and

ethical operation of the Commission.

v. To impose civil penalties as permitted by this Gaming Ordinance.

2s The following powers and duties are delegable and may be performed by the
Executive Director:

a. To inspect and examine all Premises within the Reservation at which
Games of Chance are played to insure that all Gaming Facilities are
constructed, maintained and operated in a manner that adequately

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 14 of 52


T. The Pueblo, the Gaming Enterprise, the Commission, or a Management Contractor
must report to the Secretary of State, in the same manner and at the same time as are required
of political committees under the provisions of the New Mexico Campaign Reporting Act [ 1-
19-25 to 1-19-36 N.M.S.A. 1978], any and all contributions, whether directly or through an
agent, representative or employee, all monies derived from revenue from the Gaming
Enterprise, or of anything of value acquired with that revenue to a candidate, political
committee, person holding an office elected or to be elected in any election covered by the
State’s Campaign Reporting Act. In the event any report required to be made under this
Section is not made, or is false or incomplete, the Pueblo shall be liable to pay the Secretary of
State a penalty in the amount of fifty dollars ($50.00) for each working day after the day on
which the report was due until the day on which the complete or true report is filed, up to a
maximum of five thousand dollars ($5,000), except that with respect to the report due on the
Friday before an election the penalty shall be five hundred dollars ($500) for the first working
day after the due date and fifty dollars ($50.00) per working day thereafter, up to a maximum
of five thousand dollars ($5,000).

Uz The Commission shall certify annually to the State Gaming Representative that the
Pueblo has met its regulatory obligations under the Compact.

Vi The Pueblo may not conduct Class III gaming in more than two separate physical
buildings or structures on the Reservation.

W. The Commission will assure that the Gaming Enterprise:

a. Operates all Class II gaming in accordance with Pueblo laws, IGRA -
and other applicable federal law, and the Tribal-State Compact;

db. Provides for the physical safety of patrons in every Gaming Facility;
Cc. Provides for the physical safety of employees of the Gaming Enterprise;

d. Provides for the physical safeguarding of assets transported to and from
a Gaming Facility and the cashier’s cage department;

6. Provides for the reasonable protection of the property of patrons and the
Gaming Enterprise from illegal activities;

£ Participates in licensing of Primary Management Officials and Key
Employees of a Class III Gaming Enterprise;

g Detains Persons who may be involved in illegal acts for the purpose of
notifying law enforcement authorities; and

h. Records and investigates any and all unusual occurrences related to
Class Il Gaming within the Gaming Facility.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 51 of 52


1s Provides that all gaming covered by the contract will be conducted in
accordance with IGRA, governing tribal law, and any applicable Tribal-State Compact.

2 Enumerates the responsibilities of each of the parties for each identifiable

function, including:

a.

Maintaining and improving the Gaming Facility;

db. Providing operating capital;

Cs Establishing operating days and hours;

d. Hiring, firing, training, and promoting employees;

e Maintaining the Gaming Enterprise’s books and records;

f. Preparing the Gaming Enterprise’s financial statements and reports;

g Paying for the services of the independent auditor engaged pursuant to
Section 14(B) of this Gaming Ordinance and 25 C.F.R. § 571.12;

hh Hiring and supervising security personnel;

i. Providing fire protection services; L

j. Setting advertising budget and placing advertising;

k. Paying bills and expenses;

1 Establishing and administering employment practices;

m. Obtaining and maintaining insurance coverage, including coverage for
public liability and property loss or damage;

n. Complying with all applicable provisions of the Internal Revenue
Service Code and regulations;

oO. Paying the cost of public safety services; and

p. If applicable, supplying the NIGC with all information necessary for the
NIGC to comply with the National Environmental Policy Act.

3. Provides for the establishment and maintenance of satisfactory accounting

systems and procedures that shall, at a minimum:

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 31 of $2


a. Include an adequate system of internal controls that are satisfactory to
the Commission and that are no less stringent than those lawfully
required by regulation of the NIGC;

db. Permit the preparation of financial statements in accordance with
generally accepted accounting principles;

Cc. Be susceptible to audit;

d. Permit the calculation and payment of the Management Contractor’s fee;
and

e. Provide for the allocation of operating expenses or overhead expenses
among the Enterprise, the Management Contractor, and any other user of
shared Gaming Facilities and services.

4, Requires the Management Contractor to provide the Gaming Enterprise, not less
frequently than monthly, verifiable financial reports or all information necessary to prepare
such reports.

5. Requires the Management Contractor to provide immediate access to the
Gaming Facility, including its books and records, by appropriate members of the Gaming
Enterprise Board, the Commission, and the Pueblo Governor, Lieutenant Governor, and their
designees, who shall have:

a. The right to verify the daily gross revenues and income from the
Gaming Enterprise; and

Db. Access to any other gaming-related information the Gaming Enterprise,
Commission, or Pueblo deems appropriate.

6. Provides for a minimum guaranteed payment to the Pueblo in a sum certain that
has preference over the retirement of development and construction costs.

Te Provides an agreed upon maximum dollar amount for the recoupment of
development and construction costs.

8. Provides for a term not to exceed the period allowed by IGRA.

9: Details the method of compensating and reimbursing the Management
Contractor. If a Management Contract provides for a percentage fee, such fee shall be either:

a Not more than thirty percent (30%) of the Net Revenues of the Gaming
Operation if the Chairman of the NIGC determines that such percentage
is reasonable considering the circumstances; or

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 32 of 52


the records of the Commission and was available to the commission at
the time of its decision.

2. From Decisions of the Gaming Enterprise Board Resolving Patron Disputes.

a. Any person aggrieved by a decision of the Gaming Enterprise Board
determining a patron dispute pursuant to Section 15(D)(2)(4) of this
Gaming ordinance may appeal the decision to the Tribal Court.

3. The decision of the Tribal Court shall be final and unappealable to any other
entity.

SECTION 21. Sovereign Immunity.

The Pueblo does not in any way waive its sovereign immunity from suit in any court to contest
the validity of this Gaming Ordinance or in any other matter, except to the limited extent
explicitly set out in Sections 8(B)(16) (suspension of gaming activity); 10(B); 12(F)
(modification or revocation of Management Contract); 16(H) (licensing decisions); 15
(protection of visitors and patron disputes), 25(F) (appeal from insurers’ decisions), and 20
(Appeals) of this Gaming Ordinance; in the Charter of the Gaming Enterprise; or in other
applicable Pueblo law. As an independent agency of the Pueblo government, the Commission,
Commissioners, and Commission staff expressly are authorized to assert the sovereign
immunity of the Pueblo to the greatest extent possible consistent with this Ordinance and any
applicable Tribal-State Compact.

SECTION 22. Severability.

In the event any section or provision of this Gaming Ordinance or its application to any
particular activity is held to be invalid, the remaining sections and provisions of this Gaming
Ordinance and the remaining applications of such section or provision shall continue in full
force and effect.

SECTION 23. Amendments.

This Gaming Ordinance may be amended by official action of the Tribal Council.

SECTION 24. Repeal of Prior Laws.

This Gaming Ordinance, upon becoming effective, and only then, shall operate to repeal all
prior inconsistent laws, including but not limited to the San Felipe Pueblo Class II and Class III
Gaming Ordinance, No. 94-22, adopted by the Tribal Council on July 21, 1994; the Amended
and Restated Gaming Ordinance adopted by the Tribal Council on May 5, 1999, and the
Amended and Restated Gaming Ordinance (Revised), adopted by the Tribal Council on July
20, 1999; the Second Amended and Restated Gaming Ordinance, adopted by the Tribal
Council on November 27, 2002; and the Third Amended and Restated Gaming Ordinance,

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 47 of 52


2. Two members of the Commission shall comprise a quorum for all purposes
under this Gaming Ordinance, including but not limited to hearings and public meetings
conducted under this Ordinance.

3; The Commission shall hold at least one regular meeting each month. Regular
meetings may be held upon such notice, or without notice, and at such time and place as shall
from time to time be fixed by the Commission. Unless otherwise specified by the
Commission, no notice of such regular meetings shall be necessary.

4. Special meetings of the Commission may be called by the Chairman, who shall
fix the time and place of the special meeting.

5. Neither the business to be transacted at, nor the purposes of, any regular or
special meeting of the Board need be specified in the notice of the meeting. Commissioners
may participate in a regular or special meeting by telephone or other similar electronic means.

6. If circumstances require, a resolution may be approved by polling the
Commissioners without a meeting and shall be recorded in writing. Any such action shall be
reviewed at the next meeting of the Commission.

K Cooperation with Other Law Enforcement Agencies. The Commission 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.

L. Compensation for Service; Reimbursement of Expenses. Commissioners shall be
paid a stipend for serving on the Commission in an amount to be determined by the Tribal
Council. The Tribal Council shall give three (3) months’ advance written notice if the stipend
is to be decreased. Commissioners shall additionally be reimbursed for reasonable expenses
incurred in connection with the performance of their Commission duties at the rate at which
such expenses are customarily reimbursed.

SECTION 9. Executive Director

A. Appointment. The Commission shall hire an Executive Director, who shall serve at
the will and pleasure of the Commission. The Executive Director may not also simultaneously
be a member of the Tribal Council or an officer or official of the Pueblo. Before appointing
the Executive Director, the Commission shall conduct a background investigation of the
proposed appointee using the standards in this Ordinance.

B. Qualifications. The Executive Director shall:

1. Have at least five (5) years of experience in public administration, business
management, law, or gaming;

Fourth Amended and Restated Gaming Ordinance
‘August 2009
Page 20 of 52


Representative be able to alter or affect the opening of any Gaming Machine or other device on
the Premises of the Gaming Facility, or the data provided to the central computer.

N. Any and all employees of the Gaming Facility are prohibited from selling, serving,
giving or delivering an alcoholic beverage to an intoxicated Person or from procuring or aiding
in the procurement of any alcoholic beverage for an intoxicated Person at the Gaming Facility.

oO. All Gaming Facility employees who dispense, sell, serve or deliver alcoholic beverages
must attend Alcohol Server Education Classes similar to those classes provided for in the New
Mexico Liquor Control Act.

FP. The Gaming Enterprise shall:

1. Purchase and maintain a liquor liability insurance policy that will provide, at
minimum, personal injury coverage of one million dollars ($1,000,000) per incident and two
million dollars ($2,000,000) aggregate per policy year.

2. Prohibit alcoholic beverages being sold, served, delivered, or consumed in that part
of a Gaming Facility where gaming is allowed;

3. Spend an amount that is no less than one quarter of one percent (.25%) of its Net
Win as that term is defined herein annually to fund or support programs for the treatment and
assistance of compulsive gamblers in New Mexico or who patronize New Mexico Gaming
Facilities, and for the prevention of compulsive gambling in New Mexico. A substantial
portion of such funds shall be distributed to an organization that has expertise in and provides
counseling, intervention, or other services for compulsive gamblers in New Mexico, and whose
services are available to all Persons without regard to race or tribal membership. The Gaming
Enterprise shall provide the Commission with documents sufficient to verify compliance with
this requirement, including amounts spent for this purpose and the recipients of the payments.
Any information existing as a result of this Section, not including information that may
identify or contain information referring to any gaming patron, shall not be subject to the
confidentiality provisions of the Tribal-State Compact and shall be made available for
inspection and publication without restriction or limitation.

Q. Any Management Contract regarding the Pueblo’s Class III Gaming activity must
conform to the requirements of tribal law and IGRA and the regulations issued hereunder.

R. Each Gaming Operation must prohibit the operation of any Class III Gaming for at least
four (4) consecutive hours daily, Mondays through Thursdays (except federal holidays).

Ss. The Gaming Enterprise and the Pueblo are prohibited from providing, allowing,
contracting to provide or arranging to provide alcoholic beverages, for no charge or at reduced
prices at a Gaming Facility or lodging facility as an incentive or enticement for patrons to
game. Food or lodging may be provided at reduced prices, so long as their prices are greater
than a minimal amount. This provision shall not apply to rewards received by patrons in
exchange for points or credits accrued under any form of players’ club program.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 50 of 52


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applicable; further, the patron shall have seven (7) calendar days to make a written
Request for Investigation from the date of actual notice to the patron of the right to make such
a Request.

d. Failure by the patron to make a Request for Investigation to the
Commission within the relevant seven-day period shall bar any and all claim to any money in
dispute. A Request for Investigation shall be considered timely if it is postmarked on or before
the seventh calendar day after the patron is informed of the right to make a Request. The

Commission and the Gaming Operation shall provide reasonable assistance to a patron seeking
to make a Request.

2 Upon a Request by a patron, the Commission, through an inspector, shall
conduct whatever investigation it deems necessary and shall determine its recommendation for
resolution of the dispute.

3 Within thirty (30) calendar days after the date that the Commission first receives
notification from the General Manager or a Request for Investigation from the patron, the
Commission shall make a recommendation to resolve the dispute. If the recommendation
concerns law enforcement action, the Commission shall take action to initiate the enforcement
action by the appropriate authority. If the recommendation concerns action to be taken by the
Gaming Enterprise, the Commission shall transmit its recommendation to the Gaming
Enterprise Board and General Manager with a copy to the patron.

4, In the case of a recommended decision referred to the Gaming Enterprise
Board, the aggrieved party shall have fifteen (15) calendar days after the date of receipt of the
recommended decision of the Commission to file a statement of position with the Gaming
Enterprise Board. The Gaming Enterprise Board may set a hearing on the matter or may make
a decision based solely upon the Commission’s recommendation and other documentation
provided to it by the patron and the General Manager. The Gaming Enterprise Board shall
then issue a written decision and mail it to the parties. The decision of the Gaming Enterprise
Board may be appealed to the Tribal Court pursuant to Section 20 of this Gaming Ordinance.

SECTION 16. Suspension or Revocation of Licenses.
A. Grounds.

is NIGC Information.

a. If, after the issuance of a gaming License, the Commission receives
from the NIGC reliable information indicating that a Key Employee or a
Primary Management Official is not eligible for licensing under Section
11(E)(6) above, the Commission shall suspend such License under the
provisions of Section 16(B) below and follow the procedures in Section
16(B) through (H) as applicable.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 39 of 52


H. Compliance with Bank Secrecy Act and Internal Revenue Service Requirements.
The Gaming Enterprise shall take all steps necessary to comply with the applicable provisions
of the Bank Secrecy Act, P.L. 91-508, Act of October 26, 1970, 31 U.S.C. §§ 5311-314, and
all record-keeping and reporting requirements of the Internal Revenue Service.

SECTION 15. Protection of Visitors.

A. Liability to Visitors. The Pueblo or the Gaming Enterprise shall at all times maintain
in effect policies of liability insurance insuring the Pueblo, the Gaming Enterprise, the Gaming
Enterprise Board, the Commission, and their agents and employees against any claims,
demands or liability for bodily injury and property damages, made by a visitor, which claims
were proximately caused by the conduct of the Gaming Enterprise. For purposes of this
Section, any such claims may be brought in either the Tribal Court or state court unless it is
finally determined by a state or federal court that IGRA does not permit the shifting of
jurisdiction over visitors’ personal injury suits to state court, in which case jurisdiction over
such claims shall be exclusively in the Tribal Court. Unless no longer required by a Tribal-
State Compact, such claims may, at the election of the visitor, be brought in an arbitration
proceeding.

The policies shall provide bodily injury and property damage coverage in an amount
specified in an applicable Tribal-State Compact, currently at least ten million dollars
($10,000,000) per person and ten million dollars ($10,000,000) per occurrence. Such liability
limits are subject to increase as set forth in Section 8(G) of the 2007 Compact. The Gaming
Enterprise Board shall provide the Commission annually a Certificate of Insurance showing
that the Pueblo, and its agents and employees, are insured to the extent and in the
circumstances described in this Section. The Commission shall provide the State Gaming
Representative a copy of each Certificate of Insurance. If the State Gaming Representative so
requests in writing, the Certificate of Insurance may be furnished directly to the State Gaming
Representative by the insurance carrier or the insuring agency.

B. Specific and Limited Waiver of Immunity.

1. The Pueblo of San Felipe, by entering into a Tribal-State Gaming Compact with
the State of New Mexico, waives its defense of sovereign immunity to any extent required by
any Compact that is in effect in connection with any claims for compensatory damages up to
the amount of insurance required in Section 15(A) above, currently ten million dollars
($10,000,000) per occurrence. This is a limited waiver, does not waive the Pueblo’s immunity
from suit for any other purpose, and the provision in this paragraph shall be effective only so
long as required by a Compact that is in effect. The Pueblo shall ensure that a Policy of
Insurance acquired to fulfill the requirements of this Section shall include a provision under
which the insurer agrees not to assert the defense of sovereign immunity on behalf of the
insured up to the limits of liability set forth in this Paragraph. In any claim brought under the
provisions of this Section, New Mexico law shall govern the substantive rights of the claimant,
and shall be applied as applicable by the forum in which the claim is heard, except that the
Tribal Court shall not be required to apply New Mexico law to a claim brought by a Member
of the Pueblo.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 37 of 52


db. To set up working policy for the Gaming Operation; or

3, The chief financial officer or other Person who has financial management
responsibility.

EE. “Principal” means with respect to any entity; (i) each of its officers and directors; Gi)
each of its principal management employees, including any chief executive officer, chief
financial officer, chief operating officer, or general manager, (iii) each of its owners or
partners, if an unincorporated business; (iv) each of its shareholders who own more than ten
percent (10%) of the shares of the corporation, if a corporation; and (v) each person other than
a banking institution who has provided financing for the entity constituting more than ten
percent (10%) of the total financing of the entity.

EE. “Pueblo” means the Pueblo of San Felipe.

FF. “Reservation” means the San Felipe Indian Pueblo lands and includes any lands title
to which is held in trust by the United States for the benefit of the Pueblo of San Felipe or held
by the Pueblo of San Felipe subject to a restriction by the United States against alienation, and
over which lands the Pueblo of San Felipe exercises governmental power.

GG. “Site License” means a License duly issued by the Commission for each Gaming
Facility at each location at which Games of Chance are permitted to be conducted on the
Reservation.

HH. “State Gaming Representative” means that Person designated by New Mexico State
law who will be responsible for actions of the state set out in the Tribal-State Compact.

E “Table Game” means a Class III Game of Chance, in which the outcome depends to a
material degree on an element of chance, notwithstanding that some skill may be a factor, that
is played using a wheel; cards or dice, and that requires an attendant to initiate the game or to
collect wagers or pay prizes.

JJ. “Temporary License” means a License of short duration issued by the Commission
pursuant to Sections 11(E)(1) and (2) of this Gaming Ordinance.

KK. “Tribal Council” means the Tribal Council of San Felipe Pueblo, the governing body
of the Pueblo.

LL. “Tribal Court” means the San Felipe Pueblo Tribal Court, including any judge pro
tem appointed by the Governor to hear appeals authorized by this Gaming Ordinance.

MM. “Tribal-State Compact” means any compact, including amendments thereto, entered
into by the Pueblo and the State of New Mexico under Section 11(d) of IGRA (25 U.S.C. §
2710(4)).

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 7 of 52


F.- All employees of a Gaming Establishment shall be provided employment benefits,
including, at a minimum, sick leave, life insurance, paid annual leave and medical and dental
insurance, as well as unemployment insurance and workers’ compensation insurance through
participation in programs offering benefits at least as favorable as those provided by
comparable State of New Mexico programs. Such programs shall afford the employee due
process of law and shall permit an employee to appeal an adverse determination by the insurer
to the Tribal Court, which appeal shall be decided in a timely manner. The insurer may not
assert as a defense in any such proceeding the defense of tribal sovereign immunity. The Tribe
may elect to participate in the State’s program upon execution of an appropriate agreement
with the State.

G. A grievance process must be provided for employees in cases of disciplinary or
punitive action taken against an employee, and that process shall provide for appeals to persons
of greater authority than the immediate supervisor of the employee.

H. State Department of Environment inspectors shall be permitted to inspect Gaming
Facilities’ food service operations during normal Gaming Facility business hours to assure that
standards and requirements equivalent to the New Mexico Food Service Sanitation Act
[Chapter 25, Article 1 N.M.S.A. 1978] are maintained.

L The Gaming Enterprise is prohibited from cashing any-paycheck or any type of
goverment assistance check, including Social Security, TANF, pension, and other similar
checks, for any patron.

i The Gaming Enterprise is prohibited from extending credit by accepting IOUs or
markers from its patrons.

K. Any automatic teller machine on Gaming Facility Premises shall be programmed so
that the machine will not accept cards issued by the State to TANF recipients for access to
TANF benefits.

L Each Class III electronic or electromechanical Gaming Device in use at the Gaming
Facility must pay out a mathematically demonstrable percentage of all amounts wagered,
which must not be less than eighty percent (80%). The Gaming Enterprise shall prominently
post in visible locations within the Gaming Facility notices stating that the Gaming Enterprise
is in compliance with this requirement, and providing a comprehensible explanation of the
meaning of this requirement.

M. All Gaming Machines on the Premises of the Gaming Facility must be connected to a
central computerized reporting and auditing system on the Gaming Facility Premises, which
shall collect on a continual basis the unaltered activity of each Gaming Machine in use at the
Gaming Facility. To the extent required by any applicable Tribal-State Compact, the wager
and payment data of each machine, electronically captured by the Gaming Facility’s central
computer, shall be electronically accessible to and downloadable by the State Gaming
Representative by a dedicated telecommunications connection, on a read-only basis, upon
entry of appropriate security codes; but provided that in no event shall the State Gaming

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 49 of 52


f. Time periods given in hours are to be strictly construed and are not subject
to the “Last Day” rule above.

2s Service. In all situations in which the Commission is required to provide
service upon a Person under this Ordinance or under any rules, regulations, or
policies enacted by the Commission, unless otherwise specifically provided,
service shall be deemed complete upon the final regular attempted delivery of
the relevant notice by certified mail or overnight delivery service to the last
address provided by the Person to the Commission, or if no address was
provided directly to the Commission, to the Gaming Enterprise or the Pueblo.

3. If the Pueblo executes a lawful Tribal-State Compact that amends or replaces
the 2007 Compact while this Gaming Ordinance is in force, all provisions of
this Ordinance shall be construed as necessary to comply with the new Compact
until such time as this Ordinance is amended to conform to the new Compact.

SECTION 5. San Felipe Pueblo Gaming Enterprise.

All gaming conducted on behalf of the San Felipe Pueblo shall be operated by the San Felipe
Pueblo Gaming Enterprise, a separately-chartered tribal enterprise created by Charter dated
July 21, 1994, as amended from time to time, or by any other tribal enterprise as the Tribal
Council may in the future designate by duly adopted Resolution or Ordinance. The Gaming
Enterprise shall conduct all gaming in compliance with this Gaming Ordinance, other
applicable Pueblo law, IGRA, any applicable Tribal-State Compact, and any regulations
adopted pursuant thereto. The Gaming Enterprise shall be responsible for operating the
surveillance system of each Gaming Facility.

SECTION 6. Gaming Policy.

A. Games of Chance 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 Gaming Enterprise. The Pueblo of San Felipe, acting through the
Tribal Council and the Gaming Enterprise, an enterprise 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.

(od Protection of Environment; Public Health and Safety. The Pueblo shall construct,
maintain, and operate any Gaming Facility in a manner that adequately protects the
environment and the public health and safety and in a manner that meets the requirements of
Section 15(C) of this Ordinance.

D. Age Restrictions. No Person under twenty-one (21) years of age may participate in
any Class III gaming on the Reservation, and no Person under twenty-one (21) years of age
may be employed as a Gaming Employee, Key Employee, or Primiary Management Official of

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 9 of 52


SAN FELIPE PUEBLO FOURTH AMENDED
AND RESTATED GAMING ORDINANCE

TABLE OF CONTENTS

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Section 11(E)(4) of this Ordinance for a total period of more than sixty (60) calendar days from
the date the State Gaming Representative received the Investigative Report.

8. If, within the relevant period described above, the NIGC or the State Gaming
Representative provides the Commission with a statement itemizing objections to the issuance
of a License to a Principal, Key Employee, or Primary Management Official for whom the
Commission has provided an application and Investigative Report, the Commission shall
reconsider the application, taking into account the objections itemized by the NIGC and/or the
State Gaming Representative, and make a final decision whether to issue a License to such
applicant.

F. Fees for Licensing. The schedule of fees for gaming Licenses and background
investigations shall be set by the Commission from time to time and made available at any time
upon request. Payment in full of any required fee is required before a License is issued.

G. Duration and Renewal of Licenses. Unless surrendered, suspended, or revoked, all
employee gaming Licenses issued by the Commission (other than Temporary Licenses) shall
be valid for a period of one to three (3) years from the date of issuance. The Commission shall
set the term of Licenses by regulation, provided that the term shall not vary by individual
License but may vary by category of License. In the absence of a Commission regulation
regarding the term of a category of Licenses, the term shall be three (3) years. Any employee
applying for renewal of a License who has submitted the required application and any other
information required by the Commission at least sixty (60) calendar days before the expiration
of the License may continue to be employed under the expired License until the Commission
or NIGC, if required by IGRA, 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 accurate and complete historical
data already provided to the Commission.

H. Notification of Current Address. It is the responsibility of each Licensee to ensure
that the Commission is informed of any change in his, her, or its current address. As provided
in Section 4(B)(2), the Commission is entitled to rely on the last reported address for purposes
of providing service or notice to a Licensee under this Ordinance and under regulations,
policies, and rules of the Commission.

SECTION 12. Management Contracts.

A. License Required for Approval of Management Contract. If the Pueblo or the
Gaming Enterprise chooses to enter into any Management Contract(s), all Management
Contractors, including their Principals, or shareholders having more than ten percent (10%)
ownership, their officers, directors and Key Employees shall be licensed.

B. Contract Requirements. The Pueblo or Gaming Enterprise may enter into a
Management Contract only if the Management Contract:

Fourth Amended and Restated Gaming Ordinance
‘August 2009
Page 30 of 52


FR, Licensing of Commissioners. Each Commissioner appointed by the Tribal Council
must submit a License application to the Commission as provided in Section 11. No
Commissioner may begin service without a License, provided that a Commissioner may begin
service upon the issuance of a temporary License. Upon conclusion of the required
background investigation and after making its suitability determination, the Commission shall
grant or deny a License. If a License application is denied, the selection committee shall select
another Commissioner. The Governor, together with the other members of the Tribal
Administration (specifically, the Lt. Governor, War Chief, Assistant War Chief, Fiscale, and
Assistant Fiscale), may review the background investigation material gathered by the
Commission, provided that each such tribal official shall first sign a confidentiality agreement
(or any other agreement required by an applicable federal agency) expressly agreeing that he
shall not disclose the background information to any other Person.

G. Termination of Commissioners. A Commissioner may be terminated only as follows:

ils Termination Without Cause. A Commissioner may be terminated by the Tribal
Council at any time, without cause, upon written notice and the payment of two (2) months’
stipend. Upon direction from the Tribal Council, the Governor shall provide written notice of
the termination to the Commissioner and the Commission, which notice shall state the effective
date of the termination.

2 Tenmination for Cause.

a. Termination of a Commissioner for cause shall be initiated by the
Governor, with written notice to the Commissioner and the Commission,
specifying the cause for termination.

db. Cause for termination shall be limited to:

i. conviction in any court of any felony or other crime involving
gaming, dishonesty, or moral turpitude;

ii. violation of the laws of the Pueblo, another tribe, any state, the
United States, or any foreign sovereign in some respect that casts
doubt on the Commissioner’s fitness to continue in office;

iii. failure to meet or maintain the qualifications for Commissioners
set forth in Section 8(E);

iv. gross neglect of duty;

v. malfeasance in office, or conduct which amounts to intentional
disregard of the laws and procedures applicable to the affairs of
the Commission;

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 18 of 52


SAN FELIPE PUEBLO
FOURTH AMENDED AND RESTATED

GAMING ORDINANCE

Reviewed and Ratified
Ata Duly Called San Felipe Pueblo Tribal Council Meeting
On
August 26, 2009

Tribal Council Resolution No. 2009-91


SECTION 17. Prohibited Acts.

In addition to the acts prohibited above, it shall be a violation of this Ordinance for any Person
to:

A. Conduct or participate in any Class II or Class III gaming on the Reservation 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 Gaming
Ordinance, the Tribal-State Compact, NIGC regulations, or IGRA.

C. Take or attempt to take any chip(s), coin(s), token(s), or machine credits belonging to
the Pueblo, the Gaming Enterprise, or another Person not properly won, earned, or given.

D. 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.

E. Possess in a licensed Gaming Facility any chips, tokens, cards, device, or paraphemalia
that could reasonably be used in cheating, defrauding, manipulating or altering any game,
Gaming Device, equipment, machine, computer, or supplies.

FE. Do any other act in connection with the conduct of a Game of Chance with the intent to
affect the outcome of any wager other than in accordance with the publicly-announced rules of
the Gaming Enterprise.

G. Alter or misrepresent the outcome of any other event on which wagers have been made
after the outcome is made sure but before it is revealed to the players.

H. Place, increase, or decrease 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.

iL 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.

J. 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.

K. Reduce the amount wagered or cancel the bet after acquiring knowledge of the outcome
of the game or other event which is the subject of the bet, including pinching bets.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 42 of 52


Cc. Background Investigations to Determine Eligibility to Work in Gaming

Enterprises.

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.

2s Background checks of applicants will be performed pursuant to the following

procedures:

a. The Commission will provide applications to applicants upon request,
and shall collect and maintain the applications;

db. Fingerprints shall be taken pursuant to § 10(B)(5)(m) above. The NIGC
(or another designated agency accepted in writing by the NIGC) will
obtain a criminal history record from the Federal Bureau of Investigation
on each applicant and forward such information to the Commission.

c. The Commission shall investigate the information provided in the
applications. This investigation will include:

i.

iii.

iv.

contacting Persons identified in the application, and verifying by
written or oral communication that the information contained in
the application is accurate;

interviewing a sufficient number of knowledgeable people, such
as former employers, partners, business associates, and others
referred to in the application, to provide a basis for the
Commission to make a determination concerning whether the
applicant meets applicable eligibility requirements;

reviewing relevant financial records of the applicant for up to
fifteen (15) years preceding the application, provided that the
Commission may, for good cause, review financial records going
back further than fifteen (15) years;

contacting any state, federal, or other government agency that is
referred to in the application; and

reviewing relevant criminal history information obtained from
any law enforcement agency.:

d. The Commission shall document any information it obtains that calls
into question whether the applicant would meet the eligibility

Fourth Amended and Restated Gaming Ordinance

August 2009
Page 26 of $2


the Gaming Establishment may be suspended by the Commission until such time as the
deficiency has been corrected.

B. Maintenance of Books and Records; Commission Access. Full and accurate books
of account, in accordance with generally accepted accounting principles, shall be kept at the
places of business of the Gaming Enterprise, showing the condition of the business and all
transactions. The Gaming Enterprise Board is authorized to open and maintain bank accounts
pursuant to authorized banking resolutions. All books and records shall be maintained for at

least five (5) years by the Gaming Enterprise and any other tribal agency holding such records,
including:

1. Revenues, expenses, assets, liabilities, and equity for each Gaming Facility;

2. Daily cash transactions for each Gaming Facility, including but not limited to
transactions relating to each gaming table bank drop box, and gaming room bank;

3; Individual and statistical game records (except card games) to reflect statistical
drop and statistical win; for electronic, computer, or other technologically assisted games,
analytic reports which show the total amount of cash wagered and the total amount of prizes
won;

4. Contracts, correspondence, and other transaction documents relating to all
vendors and contractors;

5. Records of all tribal gaming enforcement activities;
6. Audits prepared by or on behalf of the Pueblo; and

Z Personnel information on all Gaming Enterprise employees or agents, hours
worked, employee profiles, and background checks.

Cc. Allowable Operating Expenses. No item of expense shall be incurred or paid in
connection with operating or conducting any Game of Chance except a bona fide expense,
which is related to and reasonably necessary for the operation of the Gaming Enterprise.

D. Deposit of Gross Receipts; Payment of Operating Expenses. All Gross Receipts
shall be deposited in an operating account of the Gaming Enterprise. Withdrawals from such
account shall be made, with two signatures and payable to a specific Person or organization, by
consecutively numbered checks; by wire transfer, or automated clearing house (ACH) with
Board approval; or by officers of the Gaming Enterprise Board and other representatives duly
authorized by the Gaming Enterprise Board in writing, with a copy of such authorization
provided to the Commission within ten (10) business days of authorization.

E. Audits. Subject to the approval of the Commission, which approval shall not be
unreasonably withheld, the Gaming Enterprise shall retain, at its expense, an outside
independent auditor and shall define the scope of work. The auditor shall be an independent

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 35 of 52


2; Not have been convicted of any felony or of any crime involving a crime
involving gaming, dishonesty, or moral turpitude; and

3) Not have, directly or indirectly, a financial interest in, or a business relationship
with, any Person licensed under this Ordinance (except that marriage to an individual who is an
employee or management official of the Gaming Enterprise may be permitted).

Cc. Salary. The Executive Director shall be paid an annual salary in the amount specified
by the Commission and approved in the Commission’s budget by the Tribal Council.

D. Staff. The Executive Director shall employ Persons who possess training and
experience in the fields of investigation, law enforcement, accounting, law, and gaming to
assist in carrying out all powers and perform all duties assigned to the Executive Director
under this Gaming Ordinance, provided that the Executive Director may not retain legal
counsel or an outside accountant without the prior approval of the Commissioners.

E. Powers and Duties. Subject to the oversight of the Commission, the Executive
Director shall manage the day-to-day activities of the Commission and, except as otherwise
provided herein or in duly adopted resolutions of the Commission, exercise the powers and
perform the duties of the Commission, and shall administer and enforce the Commission’s
duties and responsibilities under this Gaming Ordinance. The Executive Director shall oversee
the Commission staff, conduct investigations, and otherwise act on behalf of the Commission
as authorized by the Commission. The Executive Director shall be responsible for
coordinating the functions of the Commission and other federal, state, and local agencies as
necessary.

F. Conflict of Interest. If the Commission determines that the Executive Director has a
conflict of interest with respect to any duty delegated to the Executive Director, it may delegate
that duty to another Commission employee.

SECTION 10. San Felipe Pueblo Gaming Regulatory Commission’s
Relationship to Tribal Government.

A. Agency of Tribal Government.

1. The Commission shall be an independent agency of the Tribal Government.
However, to conserve the resources of the Pueblo and to promote consistency within Tribal
Government, the Commission shall be subject to the Pueblo’s personnel and financial policies
and procedures, which policies and procedures shall be administered by the San Felipe Tribal
Government Human Resources and Finance Departments in coordination with the
Commission. Notwithstanding the prior sentence, the Commission shall retain all managerial
and supervisory control over personnel and finance matters.

Di The Commission is the Tribal Gaming Agency for purposes of any Tribal-State
Compact.

Fourth Amended and Restated Gaming Ordinance
August 2009
Page 21 of 52


oO. “Governor” means the Governor of San Felipe Pueblo.

P. “Gross Receipts” means receipts from the sale of shares, tickets, or tights 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, services, equipment, or supplies, interest earned on deposits, and ail
other miscellaneous receipts.

Q. “IGRA” means the Indian Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. §§ 2701-
2721 and 18 U.S.C. §§ 1166-1168, as amended at any point in time.

R. “Joint Powers Agreement” means an agreement related to gaming or Games of
Chance on the Reservation entered into with the State of New Mexico or any other New
Mexico governmental entity under the New Mexico Joint Powers Agreements Act, § 11-1-1 to
-7, N.M.S.A. 1978 (1994 Repl.). :

Ss. “Key Employee” means:

its A Person who performs one or more of the following functions: Bingo caller;
Counting room supervisor; Chief of security; Custodian of gaming supplies or cash; Floor
manager; Pit boss; Dealer; Croupier; Approver of credit; or Custodian of gambling devices,
including Persons with access to cash and accounting records within such devices; and,

2. If not otherwise included, any other Person whose total cash compensation is in
excess of $50,000 per year; or

3. If not otherwise included, the four most highly compensated Persons in a
Gaming Operation.

T. “License” means a license duly issued by the Commission pursuant to Section 11 of
this Gaming Ordinance.

U. “Licensee” means any entity or Person who has been duly licensed by the
Commission.

Vv. “Management Contract” means a contract within the meaning of IGRA, 25 U.S.C. §§
2710(D)(9) and 2711, as defined in 25 C.F.R. Sec. 502.15: any contract, subcontract, or
collateral agreement between the Pueblo (or the Gaming Enterprise) and a contractor, or
between a contractor and a subcontractor, if such contract or agreement provides for the
management of all or part of a Gaming Operation.

W. “Management Contractor” means any Person or entity that has entered into a
Management Contract with the Pueblo or the Gaming Enterprise.

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Le 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.

M. Knowingly use other than coins or tokens approved by the Commission or other lawful
coin or 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 Machine.

N. 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.

Oo. Use any device or means to cheat, or to possess any such device while at a Gaming
Facility.
P, Knowingly entice or induce another to go to any place where gaming is being

conducted or operated in violation of the provisions of this Ordinance, IGRA, any applicable
Tribal-State Compact, or other applicable law and regulation with the intent that the other
Person play or participate in that gaming.

Q. Commit any act or omission that endangers the security and integrity of any Game of
Chance.

R. Intentionally damage or attempt to damage any property, Gaming Device or equipment,
or any article belonging to the Pueblo, a patron, employee, or tribal corporation.

Ss. Intentionally cause injury or harm to any patron, employee, or other Person, or threaten
to do so.

T. Willfully obstruct any Commission investigation.

U. Violate any regulation or internal control validly promulgated by the Commission,
including any regulation prohibiting or allowing damages to be assessed based on intentional,
reckless, and negligent actions of any Person.

Vs Violate any policy of the Gaming Enterprise that is directly related to the operation or

integrity of any Game of Chance or the proper handling of revenues derived from any Gamine
of Chance.

SECTION 18. Civil Penalties.

Any Person who violates any provision of this Gaming Ordinance shall be subject to civil
penalties (including restitution and compensatory, consequential, and punitive damages),

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August 2009
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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 Commission may apply to the Tribal Court for an
order directing the Person to show cause why he should not comply with such subpoena or
answer such question. For purposes of this Gaming Ordinance, if granted immunity by the
Commission or the Tribal Court in writing, 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.
“Immunity” means that a Person shall not be prosecuted, punished, and/or subjected to penalty
or forfeiture by the Pueblo resulting from such testimony or production (or shall be subjected
to an agreed-upon lesser punishment), provided that no Person shall be exempt from
prosecution or punishment for committing perjury under a grant of immunity.

SECTION 20. Proceedings Before the Commission: Appeals.
A. Proceedings Before the Commission.

1. Applicability. This Subsection applies to all hearings and other proceedings
before the Commission under this Gaming Ordinance.

2. Initiation of Proceedings.

a. Proceedings before the Commission shall be initiated as provided in this
Gaming Ordinance.

b. The Notice or other document initiating the proceeding shall be served by
personal service, by certified mail, or by overnight delivery.

c. The Notice or other document initiating the proceeding shall specify the
nature of the proceeding; the provision of this Gaming Ordinance or other
law serving as the basis for the proceeding; the facts on which the
proceeding is based; the action proposed to be taken; the civil penalty
proposed to be imposed, if any; and a description of the process, including
the requirement of an Answer and the right to request a hearing.

3. Answer; Subpoenas. Upon receipt of the Notice or other document initiating
the proceeding, the Person receiving the Notice (“Respondent”) shall file an
Answer with the Commission within ten (10) business days and shall inform the
Commission whether the Respondent desires (i) to have a hearing, and (ii) to
present evidence. If the Respondent does not request a hearing, the Executive
Director may make such a request, or the Commission can require a hearing on
its own initiative. At the request of a party (including the Executive Director)
and 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 of any kind.

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SECTION 3. OSes.
The purposes of this Gaming Ordinance are:

A. To make lawful and to regulate the operation, conduct, and playing of Games of
Chance on the Reservation, so that such games are conducted in a fair and honest manner,
affording patrons a fair chance to win in accordance with the nature of the games;

B. To protect the integrity of all such gaming;
Cc. To prevent improper or unlawful conduct in gaming; and

D. To generate revenue to fund tribal governmental operations and programs that promote

the health, education, and welfare of the Pueblo of San Felipe and its members and to promote
tribal economic development.

SECTION 4. Interpretation.

A. In General. This Ordinance is an exercise of the sovereign power of the Pueblo and
shall be construed in a manner that accomplishes its purposes and promotes the integrity of
gaming and complies with applicable law.

B. Specific Provisions.

i. Computing Time. The following rules apply in computing any time period
specified in this Ordinance or in any rules, regulations, or policies enacted by
the Commission unless specifically stated otherwise.

a. Day of the Event Excluded. Exclude the day of the act, event, or default
that begins the period.

b. Last Day. Include the last day of the period unless it is a Saturday,
Sunday, or legal holiday. When the last day is excluded, the period runs
until the end of the next day that is not a Saturday, Sunday, legal holiday,
or day when the clerk’s office is inaccessible.

c. “Legal Holiday” Defined. As used in this Ordinance, “legal holiday”
means any day observed by the Pueblo through the closure of the Pueblo
government office.

d. “Calendar Day” means any and all days, subject to the “Last Day” rule
above.

a “Business Day” means days excluding Saturdays, Sundays, and legal
holidays, subject to the “Last Day” rule above.

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