Governor

P.O. Box 1846

Taos, NM 87571

Ph. 505/758-9593

Fax: 505/758-4604

War Chief

P.O. Box 3164

Taos, NM 87571

Ph. 505/758-3883

Fax: 505/758-2706

TAOS PUEBLO CLASS II AND CLASS III GAMING ORDINANCE

TABLE OF CONTENTS

I. SHORT TITLE

II. PURPOSE .

III. GAMING AUTHORIZED

IV. OWNERSHIP OF GAMING

V. USE OF GAMING REVENUE

VI. AUDIT

VII. PROTECTION OF THE ENVIRONMENT, PUBLIC HEALTH & SAFETY

VIII.MANAGEMENT

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IX. LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS

A. Definitions 3

B. Application Forms

C. Background Investigations

D. Eligibility Determination

E. Procedures for Forwarding Applications to NIGC

F. Report to NIGC

C. Granting a Gaming License

H. License Suspension . .

X. LICENSE LOCATIONS C

T!eE~ Government -

Offices

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XI. REPEAL
Governor War Chief

P.O. Box 1846 P.O. Box 3164

Taos, NM 87571 Taos, NM 87571

Ph. 505/758-9593 Ph. 505/758-3883

Fax: 505/758-4604 Fax: 505/758-2706

TAOS PUEBLO BINGO ORDINANCE

1994

WHEREAS, the Pueblo of Taos, after further investigating gaming

including recent developments in the law during 1994, wishes to make

certain changes in its gaming ordinance of December 29, 1993, Ordinance

No. 93-02, to provide the Pueblo with more flexibility in the operation

of gaming on its lands;

NO~1 THEREFORE BE IT RESOLVED BY THE GENERAL COUNCIL OF TAOS PUEBLO:

I. SHORT TITLE

This Act shall be cited as the Taos Pueblo Class II and Class III

Gaming Ordinance.

II. PURPOSE

The General Council of Taos Pueblo (hereinafter called the

Council) , empowered by Taos Pueblo (sometimes referred to as Pueblo

of Taos) traditional law to enact ordinances, hereby enacts this

Ordinance to set the terms for Class II and Class III gaming operations

on Taos Pueblo lands.

III. GAMING AUTHORIZED

Class II gaming as defined in the Indian Gaming Regulatory Act,

P.L. 100447, 25 U.S.C. Section 2703 (7) (A) and 2703 (8) (IGRA) and

by the regulations promulgated by the National Indian Gaming Commission

(NIGC) at 25 C.F.R. 502.3 (as published in the Federal Register at 57

C.F.R. 1238212393, April 9, 1992) and Class III gaming as defined in

IGRA, 25 U.S.C. Section 2703 (8) and by the regulations promulgated by

the NIGC at 25 C.F.R. 502.4 are hereby authorized, provided that the

authority for Class III gaming is subject to the execution of a compact

by the Pueblo and the State of New Mexico and approval of such compact

by the Secretary of the Interior or, if the State of New Mexico refuses

to enter into such a compact, the adoption by the U.S. Government of

rules permitting and regulating Class III gaming on Indian lands within

New Mexico.

IV. OWNERSHIP OF GAMING

The Pueblo of Taos (which term includes any entity wholly-owned by

the Pueblo of Taos which is authorized by the General Council to conduct

aspects of gaminq) shall have the sole proprietary interest in and

responsibility for the conduct of any gaming operation authorized by

this ordinance.

Government I~1 ~ I~~)

Offices ~
V. USE OF GAMING REVENUE

A. Net revenues from Class II and Class III gaming shall be used

only for the following purposes: 1) to fund Taos Pueblo government

operations and programs in accordance with the budgets approved by the

Taos Pueblo Council; 2) to provide for the general welfare of the Pueblo

of Taos and its members; 3) to promote Taos Pueblo economic development;

and 4) to protect and preserve the traditions and culture of Taos

Pueblo.

B. Net revenues shall not be used to make per capita payments to

Taos Pueblo members except in accordance with a plan to allocate

revenues to the purposes permitted by this section V and provided that

such a plan is approved by the Secretary of the Interior under 25 U.S.C.

2710 (b) (3)

VI. AUDIT

A. The Pueblo of Taos shall cause to be conducted annually an

independent audit of gaming operations and shall submit the resulting

audit reports to the NIGC.

B. All gaming-related contracts that result in the purchase of

supplies, services or concessions in excess of $25,000.00 annually,

except contracts for professional legal and accounting services, shall

be specifically included within the scope of the audit that is described

in subsection A above.

VII. PROTECTION OF THE ENVIRONI1ENT, PUBLIC HEALTH AND SAFETY

Class II and Class III gaming facilities shall be constructed,

maintained and operated in a manner that adequately protects the

environment and the public health and safety.

VIII. MANAGEMENT

A. The Pueblo of Taos may enter into a management contract with

a qualified entity to operate and manage, or to provide assistance in

operating and managing, Class II and Class III gaming authorized by this

ordinance for a fee in accordance with 25 U.S.C. 2711.

B. No meraber of the Taos Pueblo government shall be eligible to

participate in any such management contract for a fee either as a party

to the contract or as an employee of the contractor.

IX. LICENSES FOR KEY EMLOYEES AND PRIMARY MANAGEMENT OFFICIALS

The Pueblo of Taos shall ensure that the policies and procedures

set out in this section are implemented with respect to key employees

and primary management officials employed at any Class II or Class III

gaming enterprise operated on Taos Pueblo lands:

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A. Definitions

For the purpose of this section, the following definitions apply:

1. Key Employee means:

(a) A person who performs one or more of the following

functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices including persons

with access to cash and accounting records within

such devices;

(b) If not otherwise included, any other person whose total

cash compensation is in excess of $50,000 per year; or

(c) If not otherwise included, the four (4) most highly

compensated persons in the gaming operation.

2. Primary Management Official means:

(a) The person having management responsibility for a

management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

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

or

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

financial management responsibility.

B. Application Forms

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

for a key employee or a primary management official before that form is

filled out by an applicant:

In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on

this form is authorized by 25 U.S.C. 2701 et seq. The purpose

of the requested information is to determine the eligibility of individuals to be employed in a gaming operation. The

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information will be used by the National Indian Gaming

Commission (NIGC) members and staff 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 a tribe or by the NIGC in connection with 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 Pueblos being unable to hire you in a primary

management official or key employee position.

The disclosure of your Social Security Number (SSNt) is

voluntary. However, failure to supply a SSN may result in

errors in processing your application.

2. Existing key employees and primary management officials shall

be notified in writing that they shall either:

a. Complete a new application that contains a Privacy Act

notice; or

b. Sign a statement that contains the Privacy Act notice and

consent to the routine uses described in that notice.

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

for a key employee or a primary official before that form is filled out

by an applicant:

A false statement on any part of your application may be grounds

for not hiring you, or for firing you after you begin work. Also,

you may be punished by fine or imprisonment.

(U.S. Code, Title 18, section 1001)

4. The Pueblo of Taos shall notify in writing existing key

employees and primary management officials that they shall either:

a. Complete a new application form that contains a notice

regarding false statements; or

b. Sign a statement that contains the notice regarding false

statements.

C. Background Investigations

1. The Pueblo of Taos shall request from each primary management

official and from each key employee all of the following information:

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

sociai

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

citizenship, gender, all languages (spoken or written);

b. Currently and for the previous 5 years: business and

employment positions held, ownership interests in those

businesses, business and residence addresses, and

drivers license numbers;

c. The names and current addresses of at least three

personal references, including one personal reference who

was acquainted with the applicant during each period of

residence listed under paragraph (1) (b) of this section;

d. Current business and residence telephone numbers;

e. A description of any existing and previous business

relationships with Indian tribes, including ownership

interests in those businesses;

f. A description of any existing and previous business

relationships with the gaming industry generally,

including ownership interests in those businesses;

g. The name and address of any licensing or regulatory

agency with which the person has filed an application for

a license or permit related to gaming, whether or not

such license or permit was granted;

h. For each felony for which there is an ongoing prosecution

or a conviction, the charge, the name and address of the

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

i. For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations) , within

10 years of the date of the application, the name and

address of the court involved and the date and

disposition;

j. For each criminal charge (excluding minor traffic

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

criminal charge is within 10 years of the date of the

application and is not otherwise listed pursuant to

paragraph 1 (h) or 1 (i) of this section, the criminal

charge, the name and address of the court involved and

the date and disposition;

k. The name and address of any licensing or regulatory

agency with which the person has filed an application for

an occupational license or permit, whether or not such

license or permit was granted;

1. A current photograph;

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m. Any other information which the Pueblo of Taos deems

relevant; and

n. Fingerprints consistent with procedures adopted by the

Pueblo of Taos according to 25 C.F.R. 522.2(h).

2. The Pueblo of Taos shall conduct an investigation sufficient

to make a determination under subsection D below. In conducting a

background investigation, the Pueblo of Taos or its agent shall promise

to keep confidential the identity of each person interviewed in the

course of the investigation.

D. Eligibility Determination

The Pueblo of Taos shall review a persons prior activities,

criminal record, if any, and reputation, habits and associations to make

a finding concerning the eligibility of a key employee or primary

management official for employment in a gaming operation. If the Pueblo

of Taos determines that employment of the person poses a threat to the

public interest or the effective regulation of gaming, or creates or

enhances dangers of unsuitable, unfair, or illegal practices and methods

and activities in the conduct of gaming, a Taos Pueblo gaming operation

shall not employ that person in a key employee or primary management

official position.

E. Procedures for Forwarding Applications and Reports for Key

Employees and Primary Management Officials to the National

Indian Gaming Commission

1. When a key employee or primary management official begins work

at a gaming operation authorized by this ordinance, the Pueblo of Taos

shall forward to the NIGC a completed application for employment and

conduct the background investigation and make the determination referred

to in subsection D of this section.

2. The Pueblo of Taos shall forward the report referred to in

subsection F of this section to the NIGC within 60 days after an

employee begins work or within 60 days of the approval of this ordinance

by the Chairman of the NIGC.

3. The gaming operation shall not employ as a key employee or

primary management official a person who does not have a license after

90 days.

F. Report to the NIGC

1. Pursuant to the procedures set out in subsection E of this

section, the Pueblo of Taos shall prepare and forward to the NIGC an

investigative report on each background investigation. An investigative

report shall include all of the following:

a. Steps taken in conducting a background investtgation;

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b. Results obtained;

C. Conclusions reached; and

d. The bases for those conclusions.

2. The Pueblo of Taos shall submit, with the report, a copy of

the eligibility determination made under subsection D of this section.

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

Taos:

a. Shall notify the NIGC; and

b. May forward copies of its eligibility determination and

investigative report (if any) to the NIGC for inclusion

in the Indian Gaming Individuals Records System.

4. With respect to key employees and primary management

officials, the Pueblo of Taos shall retain applications for employment

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

Chairman of the NIGC or his or her designee for no less than three (3)

years from the date of termination of employment.

G. Granting a Gaming License

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

report, the NIGC notifies the Pueblo of Taos that it has no objection to

the issuance of a license pursuant to a license application filed by a

key employee or a primary management official for whom the Pueblo of

Taos has provided an application and investigative report to the NIGC,

the Pueblo of Taos may issue a license to such applicant.

2. The Pueblo of Taos shall respond to a request for additional

information from the Chairman of the NIGC concerning a key employee or

a primary management official who is the subject of a report. Such a

request shall suspend the 30day period under paragraph G.1 of this

section until the Chairman of the NIGC receives the additional

information.

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

NIGC provides the Pueblo of Taos with a statement itemizing objections

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

management official for whom the Pueblo of Taos has provided an

application and investigative report to the NIGC, the Pueblo of Taos

shall reconsider the application, taking into account the objections

itemized by the NIGC. The Pueblo of Taos shall make the final decision

whether to issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the Pueblo of Taos

receives from the NIGC reliable information indicating that a key

employee or a primary management official is not eligible for employment

under subsection D above, the Pueblo of Taos shall suspend such license

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and shall notify in writing the licensee of the suspension and

proposed revocation.

2. The Pueblo of Taos shall notify the licensee of a time and a

place for a hearing on the proposed revocation of a license.

3. After a revocation hearing, the Pueblo of Taos shall decide

to revoke or to reinstate a gaming license. The Pueblo of Taos shall

notify the NIGC of its decision.

X. License Locations

The Pueblo of Taos shall issue a separate license to each

place, facility, or location on Taos Pueblo lands where Class II or

Class III gaming is conducted under this ordinance.

XI. Repeal

To the extent that they are inconsistent with this ordinance, all

prior gaming ordinances are hereby repealed, and all of Ordinance

No. 93-02 is hereby repealed.

CERTIFICATION

The Taos Pueblo Class II and Class III Gaming Ordinance, 1994 was

adopted at a duly called meeting of the Taos Pueblo Tribal Council held

on the ~ day of , , 1994 at which time a quorum was present

of ~ in favor and ~

red by a ___ ___

Carl N. Concha, Governor

Cacique Senior Councilman

~______________________________

~ ___________________

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.f -

Paul J. Bernal, Tribal Council Senior Councilman

Secretary

ATTE T

~nal,~ecret p______

ry Richard Archuleta, Warchief

Secretary