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PUEBLO OF ISLETA GAMING REGULATORY AGENCY REGULATIONS

EFFECTIVE NOVEMBER 26, 2024

Page 1 of 65

Table of Contents

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Section 1. Definitions. ........................................................................................................................... 5

A. Scope. ........................................................................................................................................ 5

B. Construction. ............................................................................................................................. 5

C. Severability. .............................................................................................................................. 5

D. Definitions................................................................................................................................. 5

Section 2. Authority and Operation of the POIGRA. .......................................................................... 10

A. Scope. ...................................................................................................................................... 10

B. Agency Purpose and Responsibility........................................................................................ 10

C. POIGRA Authority. ................................................................................................................ 10

D. POIGRA Composition. ........................................................................................................... 12

E. POIGRA Operations. .............................................................................................................. 12

POIGRA Investigation Procedures. ........................................................................................ 13

G. Limitations on POIGRA Authority. ........................................................................................ 16

H. POIGRA Reporting Requirements to Tribal Council. ............................................................ 16

Confidentiality and Disclosure of Information Maintained by POIGRA. .............................. 16

Waiver. .................................................................................................................................... 16

K. Sovereign Immunity................................................................................................................ 17

Section 3. Enforcement. ...................................................................................................................... 17

A. Scope. ...................................................................................................................................... 17

B. Grounds for Licensing Actions. .............................................................................................. 17

C. Initiation of a Licensing Action. ............................................................................................. 18

D. Informal Consultation. ............................................................................................................ 18

E. Notice of Infraction. ................................................................................................................ 18

Assurance of Voluntary Compliance. ..................................................................................... 19

G. Settlement. .............................................................................................................................. 19

H. Criminal Convictions as Grounds for Revocation or Suspension. .......................................... 19

Facts of Criminal Charge. ....................................................................................................... 19

Licensing Action by POIGRA. ............................................................................................... 20

K. Summary Suspension. ............................................................................................................. 20

L. Conditions Imposed by POIGRA for Re-issuance of License. ............................................... 21

M. Order of Temporary Closure. .................................................................................................. 21

N. Self-Exclusion. ........................................................................................................................ 22

Section 4. Fines. .................................................................................................................................. 23

A. Scope. ...................................................................................................................................... 23

B. Review of Notice of Violation. ............................................................................................... 23

C. Civil Fine; Amount; Determination. ....................................................................................... 23

D. Procedures for Assessment of Civil Fines. ............................................................................. 24

Section 5. Fees. .................................................................................................................................... 25

A. Scope. This Section sets forth the regulations for the imposition of fees. .............................. 25

B. Application and Investigative Fees. ........................................................................................ 25

C. Schedule of Fees. .................................................................................................................... 25

D. Supplemental Fees. ................................................................................................................. 26

E. Final Action. ........................................................................................................................... 26

Accounting of Fees. ................................................................................................................ 26

Section 6. Issuance of Regulations. ..................................................................................................... 26

A. Scope. ...................................................................................................................................... 26

B. Publication. ............................................................................................................................. 26

C. Draft Regulation, Comment Period. ....................................................................................... 26

D. Adoption of Final Regulations. ............................................................................................... 26

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E. Effective Date. ........................................................................................................................ 27

Emergency Regulations. ......................................................................................................... 27

G. Filing of Regulations............................................................................................................... 27

H. Public Meetings....................................................................................................................... 27

Section 7. Hearings. ............................................................................................................................. 27

A. Scope. ...................................................................................................................................... 27

B. Hearings. ................................................................................................................................. 27

C. Delegation to Hear Matter....................................................................................................... 28

D. Hearing Procedures Generally—Contested Matters. .............................................................. 28

E. Regulatory Hearings. .............................................................................................................. 29

Telephonic Hearings. .............................................................................................................. 32

G. Subpoenas. .............................................................................................................................. 32

H. Decision. ................................................................................................................................. 32

Pueblo Court Review. ............................................................................................................. 33

Public Meetings....................................................................................................................... 33

Section 8. Conflicts of Interest. ........................................................................................................... 33

A. Scope. ...................................................................................................................................... 33

B. Prohibitions on Receiving Items of Value. ............................................................................. 33

C. Ticket Policy. .......................................................................................................................... 33

Section 9. Licensing and Non-Gaming Permits. ................................................................................. 33

A. Scope. ...................................................................................................................................... 33

B. Revocable Privilege. ............................................................................................................... 33

C. License Requirement: Gaming Employees. ............................................................................ 34

D. Classification of Gaming Employees. ..................................................................................... 34

E. Classification of Licenses. ...................................................................................................... 35

Gaming License. ..................................................................................................................... 35

G. Vendor License ....................................................................................................................... 35

H. Exemptions from License Requirement. ................................................................................. 36

Entities Subject to Exemption Consideration. ........................................................................ 37

Other Exemption Factors ........................................................................................................ 38

K. Exceptions. .............................................................................................................................. 38

L. Application. ............................................................................................................................. 38

M. Ineligibility to Apply............................................................................................................... 39

N. Withdrawal of Application...................................................................................................... 39

O. Background Investigation ....................................................................................................... 40

Temporary Permits.................................................................................................................. 40

Q. Drug Test. ............................................................................................................................... 41

R. Fingerprints. ............................................................................................................................ 41

Duration of License................................................................................................................. 41

T. Renewal................................................................................................................................... 41

U. Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets;

Separation or Suspension. ................................................................................................................ 42

V. Display of Identification Badge and Gaming License; Display of Visitor Badge. ................. 43

W. Disposition of Gaming Licensee Assets upon Separation or Suspension. .............................. 44

X. Right to Hearing ...................................................................................................................... 44

Y. Issuance of a Permanent License. ........................................................................................... 44

Z. Lost or Missing Identification Badge or Gaming License: Reporting and Replacement. ...... 44

AA.

Disqualification Criteria. ..................................................................................................... 45

BB.

Applicants and Licensees: Provision of Information. ......................................................... 47

CC. Requirements for Gaming Facility License. ........................................................................... 48

DD.

Gaming Facility License Application. ................................................................................ 49

Page 3 of 65

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EE. Non-Gaming Permit. ............................................................................................................... 49

FF. Compliance with Health and Safety Codes............................................................................. 49

GG.

Compliance with Compact Provisions. ............................................................................... 50

HH.

Other Gaming Prohibited. ................................................................................................... 52

Section 10. General Operating Regulations......................................................................................... 52

A. Scope. ...................................................................................................................................... 52

B. Responsibility of Licensee. ..................................................................................................... 52

C. Discovery of Violations. ......................................................................................................... 52

D. Authorized Gaming. ................................................................................................................ 52

E. Unauthorized Gaming. ............................................................................................................ 52

Employee Reports. .................................................................................................................. 52

G. Employment Actions: Effect on Gaming Licensees. ............................................................. 53

H. Employee Benefits and Grievance Procedures. ...................................................................... 53

Information to be Furnished by Licensee................................................................................ 53

Inspections. ............................................................................................................................. 54

K. Payout Schedules .................................................................................................................... 55

L. False Advertising. ................................................................................................................... 55

M. Patron Disputes. ...................................................................................................................... 55

N. Special Rules of Conduct. ....................................................................................................... 55

O. Transfers of Interest. ............................................................................................................... 55

Underage Gaming. .................................................................................................................. 55

Q. Underage Employees. ............................................................................................................. 55

R. Authorized Gaming Hours. ..................................................................................................... 55

Complimentary Services or Items. .......................................................................................... 56

T. Automated Teller Machines (ATM). ...................................................................................... 56

U. Check Cashing. ....................................................................................................................... 56

V. Alcohol. ................................................................................................................................... 57

W. Central Computer Monitoring of Gaming Devices. ................................................................ 57

X. Credit....................................................................................................................................... 58

Section 11. Tribal Internal Control Standards. .................................................................................... 58

A. Scope. ...................................................................................................................................... 58

B. Requirements for Tribal Internal Control Standards (TICS). ................................................. 58

C. Tribal Internal Control Standards............................................................................................ 58

D. Compliance. ............................................................................................................................ 59

Section 12. Accounting. ...................................................................................................................... 59

A. Accounting. ............................................................................................................................. 59

B. Reporting................................................................................................................................. 60

C. Submission and Approval of Accounting System. ................................................................. 60

D. Amendments. .......................................................................................................................... 61

E. Noncompliance. ...................................................................................................................... 61

Section 13. Currency Transactions Reporting. .................................................................................... 61

A. Compliance with Bank Secrecy Act. ...................................................................................... 61

Section 14. Gaming Devices, Associate Equipment, and Games....................................................... 61

A. Policy. ..................................................................................................................................... 61

B. Tribal Standards. ..................................................................................................................... 62

C. Requirements for Gaming Devices, Associated Equipment and Games Offered or Operated.

No person or entity may distribute, operates, or place into operation any gaming device, associated

equipment or game on Tribal lands unless: ...................................................................................... 62

D. Approval of New Gaming Devices, Associated Equipment, and Games Offered or Operated;

Application and Procedures.............................................................................................................. 62

E. POIGRA Verification of Standards. ....................................................................................... 63

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Approval. ................................................................................................................................ 63

G. Notification of Conversions or Modifications to Gaming Devices, Associated Equipment, or

Games Offered or Operated; Procedures.......................................................................................... 63

H. Shipping Notification. ............................................................................................................. 64

Standard Operating Procedures Required for Gaming Devices, Associated Equipment, and

Games Offered or Operated. ............................................................................................................ 64

Marking, Registration, and Distribution of Gaming Devices. ................................................ 65

K. Approval to Sell or Dispose of Gaming Devices and Associated Equipment. ....................... 65

Section 1. Definitions.

Scope. This Section sets forth the definitions of various terms used in these regulations and

interpretive aids.

Construction. Nothing in these regulations shall be construed so as to conflict with any

provision of the Gaming Code, the Compact, or the IGRA.

Severability. If any provisions of these regulations are held invalid, it shall not be

construed to invalidate any other provisions of these regulations.

Definitions.

When used in these regulations, the term:

1. “Applicant” means a natural person, entity, or organization, including an employee,

agent, or representative of any such person, entity, or organization that has begun the

process of obtaining a license issued by POIGRA under the authority of the POIGRA.

2. “Background Investigation” means an investigation into the criminal history, financial

suitability, or other background matter of an Applicant for a license in order to establish

suitability of the Applicant to hold a gaming license.

3. “Class I Gaming” means:

a. Social games played solely for prizes of minimal value; or

b. Traditional forms of Indian gaming when played by individuals in connection

with tribal ceremonies or celebrations.

4. “Class II Gaming” means all forms of gaming as defined in 25 U.S.C. § 2703(7) and

25 C.F.R. § 502.3.

5. “Class III Gaming” means all forms of gaming as defined in 25 U.S.C. § 2703(8) and

25 C.F.R. § 502.4.

6. “Code” or “Gaming Code” means the Pueblo of Isleta Gaming Ordinance effective

August 26, 2002 and including any amendments approved by the Pueblo of Isleta Tribal

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Council and the National Indian Gaming Commission. The Gaming Code is the

“Ordinance” or “Gaming Ordinance” required by IGRA and its implementing

regulations.

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7. “Compact” means the Indian Gaming Compact between the Pueblo of Isleta and the

State of New Mexico, regarding which notice was published in the Federal Register by

Department of the Interior on July 28, 2015 and any approved amendments or successor

agreements thereto.

8. “Disciplinary Proceedings” means those procedures undertaken by the POIGRA to

suspend or revoke any license issued by it, to levy a civil fine against any Licensee, or

to otherwise sanction violations of gaming laws and these regulations.

9. “Game” means any game played with cards, dice, equipment or any gaming device for

cash or any other thing of value, including, without limitation, any banking or

percentage game or any other game or device approved by the POIGRA.

10. “Gaming” means Class II Gaming, Class III Gaming, or other game of chance

involving prize, chance and consideration, except for Class I Gaming.

11. “Gaming Activity” means all forms of Class II Gaming and Class III Gaming

conducted by a Gaming Operation on Tribal Lands.

12. “Gaming Device” Means:

a. Any so-called slot machine or any other machine or mechanical device an

essential part of which is a drum or reel with insignia thereon, video screen

and/or

b. Which when operated may deliver, as result of the application of an element

of chance, any money or property, or

c. By the operation of which a person may become entitled to receive, as the

result of the application of an element of chance, any money or property; or

d. Any other machine or mechanical device (including, but not limited to,

roulette wheels and similar devices) designed and manufactured primarily for

use in connection with gambling, and

e. Which when operated may deliver, as the result of the application of an

element of chance, any money or property, or

f. By the operation of which a person may become entitled to receive, as the

result of the application of an element of chance, any money or property; or

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g. Any subassembly or essential part intended to be used in connection with any

such machine or mechanical device, but which is not attached to any such

machine or mechanical device as a constituent part.

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13. “Gaming Employee” means a Key Gaming Employee or a Primary Management

Official.

14. “Gaming Enterprise” means the tribal entity created and designated by the Pueblo of

Isleta as having authority to conduct gaming activity on Pueblo of Isleta lands.

15. “Gaming Equipment” means any equipment, device, contrivance, or supplies, other

than a Gaming Device, used to conduct Class II or Class III gaming.

16. “Gaming Facility” means the portions of a building or location in which Gaming

Activity is conducted or which are intended to be integrally related to a Gaming

Activity. The POIGRA shall reasonably determine the extent of a Gaming Facility

when applying the Gaming Code and these regulations; provided, however, that when

IGRA, other Applicable Law, or the Compact specifically requires a different definition

of Gaming Facility, that definition shall be applied to the extent necessary to comply

with Applicable Law or the Compact.

17. “Gaming Operation” means a division, department, or unit of a Gaming Enterprise that

is responsible for Gaming Activity or Gaming Revenues, including issuing the prizes

and paying the expenses in connection with the conduct of Gaming Activity. For

purposes of these regulations, unless the context dictates otherwise, a Gaming

Operation includes any Management Contractor having a Management Contract

related to the Gaming Operation. A Gaming Enterprise is a “Gaming Operation” for

purposes of these regulations and the Gaming Code if the context so indicates.

18. “Gaming-Related Contract” means a contract or agreement providing for any goods,

services, or concessions to the Pueblo, a Gaming Operation, or a Management

Contractor in connection with the conduct of Gaming Activity in a Gaming Facility

(but not including professional, legal, or accounting services) in an amount reasonably

anticipated to be in excess of $10,000 in a calendar year (or a greater amount

established by the POIGRA by regulation and calculated to protect the integrity of

Gaming Activities and the proceeds therefrom). No Gaming-Related Contract may be

broken up into parts for the purpose of avoiding this definition and any corresponding

requirement of licensure or certification.

19. “Gaming Revenues” means all revenues of a Gaming Operation earned or collected at

a Gaming Facility. If a Gaming Enterprise does not segregate clearly non-gaming

revenue from Gaming Revenues for accounting purposes, all such undifferentiated

revenue shall be considered Gaming Revenues.

20. “Gaming Services” means the provision of any goods, services or concessions in

connection with any gaming to the Pueblo, Gaming Enterprise, or Management

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Contractor. This includes the distribution, selling, leasing, marking, or offering of a

gaming device for use or play on Tribal Lands.

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21. “Gaming Systems” means computer hardware and software, including networking

components, used directly in the operation and monitoring of Gaming Activity or the

accounting or management of Gaming Revenues, but does not include applications and

data maintained by a government-regulated financial institution.

22. “Gaming-Related Vendor” means any person who is a party to a Gaming-Related

Contract as defined in the Gaming Code.

23. “IGRA” means the Indian Gaming Regulatory Act of 1988, 25 U.S.C. §§ 2701-2721

and 18 U.S.C. §§ 1166-1168, including any amendments, and where appropriate all

lawful regulations promulgated thereunder.

24. “Immediate” or “without delay” means as soon as possible, delayed only by

undertaking other actions that are essential to the public safety or welfare.

25. “Key Gaming Employee” has the same meaning as defined in 25 C.F.R. § 502.14,

including any subsequent amendment to such definition.

26. “Licensee” means a natural person, entity, or organization, including an employee,

agent or representative of any such person, entity or organization, holding a license

issued by the POIGRA.

27. “Management Contract” means a contract between the Pueblo and the Management

Contractor or between a Management Contractor and a subcontractor to manage all or

part of a gaming Enterprise.

28. “Management Contractor” means any person who enters into a Management Contract

with the Pueblo, and is also a “Gaming Operation” for purposes of these regulations

unless the context dictates otherwise.

29. “MICS” means the minimum internal control standards, whether controlling or

published as guidance, by the Commission.

30. “Moral Turpitude” means an act done contrary to honesty and good morals; it is an

act of baseness, vileness, or depravity in the private and social duties which a person

owes to a fellow person or to society in general.

31. “NIGC” means the National Indian Gaming Commission (“Commission”).

32. “Non-Gaming Contract” means a contract or other agreement reasonably anticipated

to be in excess of $10,000 in a calendar year (or a greater amount established by the

POIGRA by regulation calculated to protect the integrity of Gaming Activity and the

revenues therefrom) to provide any goods, services, or concessions which are not

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directly related to a Gaming Activity but which are for use or consumption by a Gaming

Operation, at a Gaming Facility, or significantly by patrons of a Gaming Facility.

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33. “Non-Gaming Services” means the provision of any goods, services or concessions,

which are not connected to any gaming on Tribal Lands, to the Gaming Enterprise, or

Management Contractor.

34. “Non-Gaming Employee” means any person:

a. who is not a Key Gaming Employee;

b. who is employed either by a Gaming Operation or any employer within a

Gaming Facility; and

c. whose employment includes work in areas in which Gaming Activity is

conducted or in which cash or other valuable items or information relating to

Gaming Activity or Gaming Revenues are handled.

35. “Non-Gaming Vendor” means any person providing non-gaming services.

36. “Patron” means any natural person frequenting a Gaming Facility and who must be at

least 18 years of age to enter and/or participate in Class II Gaming or non-gaming area,

and who must be at least 21 years of age to enter and/or participate in a Class III Gaming

or a Class III Gaming area.

37. “Person” means any individual, partnership, corporation, company, or other legal

entity.

38. “POIGRA” means the Pueblo of Isleta Gaming Regulatory Agency.

39. “Primary Management Official” has the same meaning as defined in 25 C.F.R. §

502.19, including any subsequent amendment to such definition.

40. “Prizes of Minimal Value” means the aggregate amount of all prizes awarded or given

in a single gathering or session that is allowed by the POIGRA by regulation not to

exceed the greater of $5,000 or an amount allowable for similar activities under New

Mexico law. The POIGRA may authorize raffles for prizes of greater amounts.

41. “Pueblo” means the Pueblo of Isleta, a federally recognized Indian tribe, its authorized

officials, agents and representatives.

42. “Tribal Council” means the Pueblo of Isleta Tribal Council, the governing body of the

Pueblo.

43. “Sensitive Area” means an area in which Gaming Machines, Gaming Equipment,

Gaming Systems, Gaming Revenues, and other potentially vulnerable Gaming

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Activity-related assets are located, including but not limited to cage, pit, drop and count

room, poker room, card and dice room, surveillance, administrative office, player’s

club room, shipping and receiving, and similar areas as designated by POIGRA either

temporarily or permanently.

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44. “State” means the State of New Mexico, its authorized officials, agents, and

representatives.

45. “State Gaming Representative” means a Person designated by the New Mexico Gaming

Control POIGRA, pursuant to the New Mexico Gaming Control Act, to be responsible

for actions of the state under the compact. The state gaming representative shall be the

single contact with the POIGRA and may be relied upon as such by the POIGRA.

46. “Tribal Lands” means land with the exterior boundaries of the Pueblo of Isleta

Reservation, or land over which the Pueblo exercises governmental power and that is

either: held in trust by the United States for the benefit of the Pueblo or its members,

or held by the Pueblo or its members subject to restriction by the United States against

alienation.

47. “Pueblo Court” means the Pueblo of Isleta Tribal Court.

48. “TICS” or “Tribal Internal Control Standards” are internal control standards of the

Pueblo of Isleta.

49. “Tribal Officials” means the Pueblo of Isleta Tribal Council and Administration for the

purposes of Section 8.

50. “Wager” means a sum of money or representative of value risked on an uncertain

occurrence.

Section 2. Authority and Operation of the POIGRA.

Scope. This Section sets forth the organization of the POIGRA and the delegation of

authority.

Agency Purpose and Responsibility. POIGRA’s purpose is to regulate all aspects of

Gaming Activity on Tribal Lands and ensure compliance with all applicable federal and

tribal laws and regulations, and the Compact. It is POIGRA’s responsibility to ensure that

all gaming on Tribal Lands is conducted in a manner that protects and promotes the

integrity of the Pueblo’s gaming; provide safeguards for the property and assets of the

Pueblo and its Gaming Enterprise; and protect the environment, public health, and safety

of the general welfare of the Pueblo.

POIGRA Authority. POIGRA, on behalf of the Pueblo, shall:

Page 10 of 65

1. Exercise any and all regulatory authority and duties of the Pueblo as specified in the

Pueblo’s Gaming Ordinance, including background investigation and licensure of all

employees and other persons required to be licensed under such Ordinance.

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2. Perform any and all gaming regulatory duties required by, and shall assure compliance

with, the Indian Gaming Regulatory Act and regulations.

3. Act as the Tribal Gaming Agency defined by the Compact and exercise the authority,

carry out the responsibilities, and perform the duties of the Tribal Gaming Agency

specified in the Compact. POIGRA shall further ensure that Class III Gaming is

conducted in accordance with Compact, and that the Pueblo will:

a. Operate all Class III gaming pursuant to the Compact, tribal law, the IGRA,

and all other applicable law;

b. Provide for the physical safety of patrons in any Gaming Facility;

c. Provide for the physical safety of personnel employed by the Gaming

Enterprise;

d. Provide for the physical safeguarding of assets transported to and from the

Gaming Facility and cashier’s cage department;

e. Provide for the protection of the property of patrons and the Gaming

Enterprise from illegal activity;

f. Participate in licensing of Primary Management Officials and Key Employees

of a Class III Gaming Enterprise;

g. Detain persons who may be involved in illegal acts for the purpose of

notifying law enforcement authorities; and

h. Record and investigate any and all unusual occurrences related to Class III

gaming within the gaming facility.

4. Exercise the authority, carry out the responsibilities, and perform the duties of POIGRA

described in these Gaming Regulations.

5. Ensure that the Gaming Enterprise establishes internal controls that are at least as

restrictive as NIGC’s minimum internal controls, and shall provide regulatory

oversight to ensure compliance with established tribal internal controls.

6. Propose such revisions as necessary and appropriate to these regulations. POIGRA

shall provide the Gaming Enterprise notice and an opportunity to comment on any

proposed amendments. All amendments to these regulations shall be approved by

Tribal Council prior to becoming effective.

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7. Review and approve all Standard Operating Procedures (“SOPs”) and provide

regulatory oversight to ensure compliance.

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8. Submit all reports required by the Compact, including annual certification to the State

Gaming Representative that POIGRA has met its obligations under the Compact,

IGRA, and corresponding law and policy.

9. Exercise such other authority and carry out such other responsibilities to protect the

integrity of the Pueblo’s gaming.

POIGRA Composition.

1. Executive Director.

a. All of the authority, responsibility, and duties delegated to POIGRA shall be

exercised by the Executive Director. The Executive Director may further

delegate any such authority, responsibilities, and duties to members of

POIGRA staff, provided that the Executive Director shall remain responsible

to ensure the assigned responsibilities and duties are effectively carried out.

b. The Executive Director shall be appointed by Tribal Council; provided that

the Executive Director may be removed by a majority vote of Tribal Council

and finding that such removal is in the best interest of the effective regulation

of Pueblo gaming.

c. No member of Tribal Council shall serve as Executive Director or be

employed by POIGRA during their term of service.

d. The Pueblo shall designate the Executive Director as the agent for service of

process for any official notice from the NIGC or any State Gaming Regulatory

Agency.

2. Staff.

a. The Executive Director and staff are employees of the Pueblo of Isleta and

shall not be deemed employees of the Gaming Enterprise.

b. The Executive Director shall supervise staff in accordance with Pueblo of

Isleta Personnel Policies, applicable law, and policy.

POIGRA Operations.

1. Budget and Expenditures.

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a. The Executive Director shall annually propose a budget for POIGRA and its

effective regulation of Pueblo gaming. Tribal Council shall annually approve

a budget for POIGRA as may be necessary for POIGRA to regulate Pueblo

gaming.

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b. The Executive Director is responsible for authorizing all expenditures from

the approved budget. The Executive Director may delegate such budget

authority to staff as deemed necessary or appropriate to carry out POIGRA

duties and responsibilities.

2. POIGRA Employee Badges.

a. Possession of ID Badge Required. At all times POIGRA employees shall

possess, on their person, their ID badge while on premises or the Gaming

Facility. POIGRA employees shall not be permitted on the premises or the

Gaming Facility without an ID Badge.

b. Lost Badges. POIGRA employees that lose their ID Badge must immediately

report the loss to POIGRA and obtain a replacement badge. In the event the

POIGRA offices are closed, it is adequate for Security to issue a Visitor’s

Badge for the duration of the work shift until such time the POIGRA office is

open. Failure to report a lost a badge will result in a violation subject to

disciplinary action. The POIGRA employee is responsible for payment of all

fees associated with the reissuance of ID Badge.

c. Termination of Employment. Upon termination of employment, a POIGRA

employee shall be required to return the ID Badge to POIGRA prior to the

issuance of a final paycheck. POIGRA shall process the return of the ID

Badge consist with its internal procedures.

POIGRA Investigation Procedures.

1. Authority to Investigate, Inspect, and Audit.

a. Power to Investigate. POIGRA may investigate any aspect of Gaming

Activity within its jurisdiction in order to protect the public interest and

integrity of Pueblo gaming. Such investigation may be necessary to prevent

improper or unlawful conduct in any Gaming Activity or Facility. This power

shall include the authority to review and audit any document, record, or aspect

of gaming or activity at the Gaming Facility.

b. Authority to Investigate Property. POIGRA reserves the right, for reasonable

cause, to inspect all Pueblo-owned or employee-owned personal property on

or in the Gaming Facility for violations of gaming laws and these regulations.

POIGRA may inspect the Gaming Facility or premises.

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c. Unrestricted Access. POIGRA shall have unrestricted access to the Gaming

Facility during all hours of Gaming Activity for the purpose of ensuring

compliance with applicable law and policy. Access shall be further defined

by internal protocol developed by POIGRA.

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i. POIGRA shall have unrestricted access to all documentation produced

or utilized by the Gaming Enterprise. This shall include personnel

records, payroll records, audit and accounting records, security records,

surveillance records, or any records produced by the Gaming Operation.

ii. POIGRA shall provide a written request with a twenty-four (24) hour

response time. Should additional time be required to comply with the

request, the Gaming Enterprise shall provide such request in writing.

POIGRA may authorize an extension of time for submission of the

requested document(s) in writing.

d. Refusal to Submit to Inspection. Any employee or vendor who refuses to

submit to an inspection may be removed from the Gaming Facility and/or

premises and may be required to immediately surrender their Gaming

License. Any patron or other visitor to the Gaming Facility and premises who

refuses to submit to an inspection may be removed from the premises and

subject to exclusion.

2. Discovery or Reporting of Violation. Upon discovery of a violation, suspected

violation, or unusual circumstances suggesting a violation of the Gaming Code, these

regulations, or other applicable law, POIGRA shall immediately determine whether

investigation is necessary.

a. Violations Discovered by Licensees. Licensees shall have the responsibility

to report any discovery or allegation of violation directly to the Licensee’s

immediate supervisor, to the appropriate chain or command, or to POIGRA

for appropriate investigation.

b. Written Report and Corrective Actions Taken. Upon notification by a

Licensee, the immediate supervisor or appropriate chain of command shall

report to POIGRA the specific type of violation and actions taken, or to be

taken to correct the violation.

c. No Retaliation Allowed. The Gaming Enterprise shall not take any adverse or

retaliatory action, such as discharge, demotion, coercion, or threat against any

Licensee who:

i. Reports such violation, suspected violation, or conduct to their

supervisor or POIGRA; or

ii. Cooperates with investigation by POIGRA.

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3. Investigation Warranted. An investigation by POIGRA shall be necessary if the alleged

violation could discredit the Pueblo or Gaming Activity on Tribal Lands. To ensure a

proper and through inquiry, POIGRA shall conduct the investigation in any manner it

deems necessary and appropriate.

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4. Notice of Investigation. POIGRA has the discretion to issue a Notice of Investigation

to relevant entities and individuals specifying the matter to be investigated; the manner

the investigation will proceed; and any time(s) and place(s) for evidence pertaining to

the investigation. However, such notice shall not be required for investigations

POIGRA deems restricted and/or confidential.

5. Confidentiality of Investigation.

a. When conducting an investigation, POIGRA shall keep confidential the

identify of each person or entity interviewed during the course of

investigation.

b. Individuals interviewed during the course of an investigation shall be required

to maintain confidentiality of the subject matter discussed and shall not breach

such confidentiality to any third party unless otherwise required by law.

Retaliation in any form toward the interviewed individual(s) whom maintain

confidentiality will constitute grounds for disciplinary action by POIGRA

against the perpetrator.

6. Release of Investigative Information. During the course of the investigation, POIGRA

shall not release information to any third party in an untimely or inappropriate manner

unless otherwise required by law. However, information and evidence may be released

to the following entities upon approval by POIGRA:

a. National Indian Gaming Commission;

b. Federal Bureau of Investigation; or

c. An authorized representative of a federal, tribal, state, or local law

enforcement agency or court when the information sought relates to a civil,

criminal, or regulatory investigation or prosecution.

7. Limitations on Investigations. In certain instances, the investigation may exceed the

regulatory authority of POIGRA. If such investigation is determined by POIGRA to

exceed its regulatory authority, it shall notify the appropriate law enforcement authority

and take all necessary actions to preserve information and evidence obtained during the

investigation. POIGRA shall further ensure that it receives a written receipt prior to the

release of evidence to the appropriate law enforcement authority.

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Limitations on POIGRA Authority. Unless expressly authorized by Tribal Council,

POIGRA may not:

1. Enter agreements of any kind for the Pueblo;

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2. Pledge the credit of the Pueblo;

3. Dispose of or encumber real or personal property of the Pueblo;

4. Waive any right of, or release any obligation owed to the Pueblo;

5. Waive any other rights, privileges, or immunities of the Pueblo; or

6. Approve unbudgeted expenditures.

POIGRA Reporting Requirements to Tribal Council. POIGRA must submit to the

Governor and Tribal Council report outlining POIGRA activities and recommendations no

less frequently than quarterly, or as otherwise directed by the Governor and Tribal Council.

Confidentiality and Disclosure of Information Maintained by POIGRA. POIGRA and

its employees who have access to or handle confidential information shall not disclose any

information maintained by POIGRA to any unauthorized third party. Confidential

information may be released for the following reasons upon approval by the Executive

Director:

1. To an investigative agency charged with conducting background investigations on

applications;

2. The National Indian Gaming Commission;

3. The Federal Bureau of Investigation; or

4. To an authorized representative of a federal, tribal, state or local government or

regulatory agency, if the information sought relates to a civil, criminal, or regulatory

investigation or prosecution; provided that the entity has entered into a written

agreement with POIGRA for the use of such information, submits a release of

information signed by the individual in question, or is properly authorized by law to

receive such information.

Waiver. POIGRA may waive requirements of the POIGRA Regulations in certain limited

and unique circumstances. Waivers of POIGRA Regulations must be limited and not

routinely granted.

1. Process Required. All requests for a waiver from the Regulations must be made in

writing to POIGRA and specify the justification. POIGRA will review the written

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request and determine whether in its discretion a waiver is appropriate. All regulatory

requirements shall remain in effect until and unless POIGRA authorizes such a waiver.

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2. Notice to POIGRA of Tribal Council action. In the event that Tribal Council authorizes

a waiver of a particular requirement of tribal law or regulation at the request of the

Gaming Enterprise, it is the responsibility of the Gaming Enterprise to provide

complete documentation of such action to POIGRA. Variances from TICS must be

limited and not routinely granted.

3. Disciplinary Action. Failure by the Gaming Enterprise to provide written authorization

from POIGRA prior to taking action or supporting documentation for waiver granted

by Tribal Council shall constitute grounds for disciplinary action by POIGRA.

Sovereign Immunity. POIGRA shall possess sovereign immunity from suit, except as

otherwise may be specifically approved by Tribal Council.

Section 3. Enforcement.

Scope. This Section sets forth the regulations for licensing actions.

Grounds for Licensing Actions.

1. In addition to assessing a civil fine as set forth in Section 4, the POIGRA may, in

accordance with the procedures set forth in this Section 3, suspend, or revoke any

license issued by it to a Person if the POIGRA determines that the Person is no longer

suitable to hold a License under the Gaming Code and these regulations because:

a. the Licensee, the Licensee’s employees or agents, or persons associated with

the Licensee have violated any provision of the Gaming Code, these

regulations, other applicable law, or substantive gaming policies or

procedures of a Gaming Operation;

b. that violations of laws other than Gaming Code or these regulations by the

Licensee, the Licensee’s employees or agents, or persons associated with the

Licensee, make the Licensee no longer suitable for licensing by the POIGRA;

c. the Licensee otherwise does not meet the suitability requirements for a

License.

2. Acceptance of a gaming license or renewal thereof by the Licensee constitutes an

agreement on the part of the Licensee to be bound by all applicable law, including the

regulations of the POIGRA, including specifically any regulations that my hereafter by

amended or promulgated. It is the responsibility of the Licensee to keep informed of

the content of all applicable law, and ignorance thereof will not excuse violations.

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Initiation of a Licensing Action.

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1. POIGRA may initiate a licensing action under the Gaming Code and these regulations

where there are reasonable grounds to believe a Licensee or its agents meet the grounds

for such proceedings. The POIGRA is required and committed to providing the

opportunity for a hearing before a proposed suspension or revocation goes into effect.

That procedure is described in Section 7. However, where POIGRA determines that a

summary suspension is warranted pending the opportunity for a hearing, it may follow

the procedures in Section 3(J), which provides the opportunity to accelerate the notice

and hearing processes in recognition of the fact that the license has been temporarily

suspended and that the Licensee cannot engage in any activity requiring a license in

good standing.

2. POIGRA shall initiate a licensing action by sending to the Licensee a notice of violation

by hand delivery, or by certified or overnight mail (with signature required) at the last

known mailing address of the Licensee. A notice may be sent by electronic mail or

other electronic means if the Licensee expressly acknowledges receipt in writing.

3. The notice of violation shall state the grounds for the proposed disciplinary action and

state that the proposed disciplinary action, if a suspension or revocation, will be

effective only after a hearing before the POIGRA or upon waiver of a hearing by the

Licensee; provided, however, that summary suspensions take effect immediately as

provided in the Gaming Code and these regulations.

4. If a proposed revocation or suspension is based in whole or part on records for which

federal regulations or other applicable law allow the Licensee an opportunity to review

and then attempt to correct or supplement those records, the Licensee must be again

advised of that opportunity, generally in the notice of violation.

Informal Consultation.

1. The Hearing Officer or POIGRA may consult with the Licensee and any other affected

parties in an effort to resolve an enforcement matter satisfactorily without a hearing.

The informal consultation does not prevent the Hearing Officer from conducting a

hearing.

Notice of Infraction. POIGRA may issue a Notice of Infraction for any violation that is

deemed by POIGRA to be of a less serious nature and is subject to appropriate and timely

corrective action.

1. Corrective Action Required. Each Notice of Infraction must include the corrective

action or detail a Corrective Action Plan to be taken by the licensee and include any

preventive measures to be implemented to prevent recurrence. The Notice of Infraction

shall specify a timeline when corrective action responses are expected to be completed.

A copy of the Notice of Infraction shall be provided to the Gaming Enterprise.

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2. Follow Up on Corrective Action. POIGRA shall follow up on the proposed corrective

action to ensure completion in a timely manner.

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3. Resolution of Notice of Infraction. Timely corrective action may be all that is

necessary, in the discretion of POIGRA, to address the violation and no further

disciplinary action may be required. However, POIGRA reserves the right to take

additional disciplinary action as necessary. POIGRA shall document Notice of

Infractions and resolutions in licensees’ files.

Assurance of Voluntary Compliance.

1. POIGRA may accept an assurance of voluntary compliance regarding any act or

practice alleged to violate the Gaming Code, these regulations, or other applicable law

from a Person who has engaged in, is engaging in, or is about to engage in such acts or

practices. The assurance must be in writing and may include a stipulation for the

voluntary payment of the costs of the investigation and an amount necessary to restore

to a Person money or property which may have been acquired by the alleged violator

because of the acts or practices. An assurance of voluntary compliance may contain

language that provides that the assurance will not be considered an admission of a

violation for any purpose; however, proof of failure to comply with the assurance of

voluntary compliance may be prima facie evidence of a violation of the Gaming Code,

these regulations, or other applicable law. The POIGRA may approve or review an

assurance of voluntary compliance.

Settlement.

1. A Licensee and POIGRA may agree to settle an enforcement action, including the

amount of any associated civil fine. In the event a settlement is reached, a settlement

agreement shall be prepared and executed by POIGRA and the respondent. If a

settlement agreement is executed, the Licensee shall be deemed to have waived all

rights to further review by the POIGRA or the Pueblo Court, except as otherwise

provided expressly in the settlement agreement.

Criminal Convictions as Grounds for Revocation or Suspension.

1. The POIGRA may revoke or suspend the gaming license of any Person who is

convicted of a crime, even though the convicted person’s post-conviction rights and

remedies have not been exhausted, if the crime or conviction involves a felony or

gambling, discredits or tends to discredit the Pueblo or the gaming industry, or threatens

the integrity of gaming or Gaming Revenues.

Facts of Criminal Charge.

1. The charge in any jurisdiction of a Licensee with a felony or with a misdemeanor

involving Moral Turpitude may be grounds for disciplinary action. POIGRA may take

action under this Section based on the facts of the criminal charge even though the

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Licensee may ultimately be, or has been, acquitted on the criminal charge or even if the

charge is dropped or dismissed.

Licensing Action by POIGRA.

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1. After appropriate investigation in connection with any licensing action, POIGRA may

find that the grounds alleged for the disciplinary action do not warrant discipline, in

which event the licensing action shall be terminated. POIGRA may conclude, however,

that a preponderance of the evidence supports licensing action, in which event POIGRA

may:

a. propose revocation of the license,

b. propose suspension of the license for a particular period of time,

c. impose or propose a civil fine as provided Section 4,

d. issue a public or private letter of reprimand to be placed in the file of the

Licensee,

e. accept an assurance of voluntary compliance, or

f. take any combination of these actions.

2. Proposed actions under (a) and (b), and proposed civil fines exceeding $5,000 in

aggregate under (c), are not effective until confirmed by the Hearing Officer or the

Licensee has waived the opportunity for a hearing before the POIGRA.

Summary Suspension.

1. Where POIGRA has reasonable grounds to believe and finds that any Person licensed

under the Gaming Code and these regulations has violated any provision of the Gaming

Code, these regulations, or other applicable law deliberately, willfully, or with material

recklessness, or that the Licensee has been charged with a felony in any state or other

jurisdiction, or that due to other actions by the Licensee, the public health, safety, or

welfare requires emergency action, and where the POIGRA incorporates such findings

in its notice of violation, POIGRA may summarily suspend the Licensee’s license

pending the licensing action. Any such licensing action shall be promptly instituted and

determined as provided herein.

2. The summary suspension of a license without notice pending a hearing shall be for a

period not to exceed 45 calendar days, unless the hearing is continued at the request of,

or with the consent of, the Licensee.

3. POIGRA must deliver a notice of summary suspension by hand delivery or by certified

mail or overnight delivery to the Licensee who has been suspended. The notice must

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state the effective date of the summary suspension and the fundamental grounds for the

summary suspension. The summary suspension may run through the hearing and

decision process on a revocation, suspension, or other proceeding; until the Licensee

complies with a lawful order or request of POIGRA; or for a time set in the notice.

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4. Within seven calendar days after receipt by the Licensee of the notice of summary

suspension, POIGRA must serve upon the summarily suspended Licensee a formal

notice initiating a licensing action, unless the summary suspension is contingent on

compliance with a lawful order or request of POIGRA and the Licensee has already

complied, resolving the enforcement action. The notice initiating a licensing action

shall include an opportunity to request a hearing.

5. Unless the Licensee waives a hearing or a summary suspension expires of its own

accord or otherwise ends before a hearing, the Hearing Officer shall hear the matter on

an expedited basis as described herein.

Conditions Imposed by POIGRA for Re-issuance of License.

1. POIGRA may require a Person who formerly held a license to meet certain conditions

before reissuing a license to that Person, including but not limited to the following:

a. Restitution of money;

b. Restitution of property; and

c. Making periodic reports to POIGRA, including submission of documents

required by POIGRA.

Order of Temporary Closure.

1. Simultaneously with or subsequent to issuance of a notice of violation under Section

3(C) of these regulations, the POIGRA may issue an order of temporary closure of all

or part of a Gaming Facility or Gaming Operation, if one or more of the following

substantial violations are present:

a. A Gaming Facility or Gaming Operation operates for business without a

license from the POIGRA;

b. A Management Contractor operates for business without a Management

Contract approved by the NIGC;

c. The Gaming Enterprise continues to operate Class II gaming or Class III

Gaming in violation of the Gaming Code, the Compact, or these regulations

after proper notice of an order by the POIGRA demanding compliance; or

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d. A Gaming Facility is constructed, maintained, or operated in a manner that

imminently threatens the environment or the public health and safety.

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2. Upon service of an order of temporary closure, the Gaming Enterprise or Gaming

Operation shall close the Gaming Facility, or the relevant functional or physical portion

thereof, unless the order provides otherwise.

3. Within seven calendar days after service of an order of temporary closure, the

respondent may request, in writing, informal expedited review by POIGRA.

4. The POIGRA shall complete the expedited review within three business days after

receipt of a timely request.

5. The POIGRA shall, within two business days after the request for expedited review:

a. Decide whether to continue an order of temporary closure; and

b. Provide the respondent with an explanation of the basis for the decision.

6. Whether or not the respondent seeks informal expedited review hereunder, the

respondent may request a hearing before the Hearing Officer within seven calendar

days after POIGRA serves the order of temporary closure. Otherwise, the order shall

remain in effect unless rescinded or modified by POIGRA because the basis for the

closure has been or is being resolved in a manner that has eliminated or reduced the

need for a closure.

Self-Exclusion.

1. Each Gaming Operation shall post at all public entrances and exits of each Gaming

Facility, signs in both English and Spanish, stating that help is available if a person has

a problem with gambling and, at a minimum, provide an appropriate toll-free crisis

hotline telephone number and information on the availability of a statewide selfexclusion program through the State Gaming Representative;

2. The Gaming Enterprise shall train appropriate gaming personnel for the identification

of self-excluded persons who enter or attempt to enter the Gaming Facility and take

reasonable steps to identify the self-excluded person and to promptly escort the selfexcluded person from the Gaming Facility;

3. The Gaming Enterprise and each Gaming Operation shall remove self-excluded

persons from mailing lists for advertisements or promotions and any players’ club or

other similar membership-type promotions, and return the cashable value, if any, of the

self-excluded person’s membership in the players’ club or other similar membershiptype promotions;

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4. The Gaming Enterprise and each Gaming Operation shall require that the self-excluded

person forfeit all winnings (whether cash, property, or in any other form), credits,

tokens or vouchers received from the Gaming Facility while excluded, and that all

money or other property forfeited shall be used by the Gaming Enterprise to fund or

support programs for the treatment and assistance of compulsive gamblers pursuant to

Section 4(B)(16) of the Compact (this amount is in addition to the percentage of

Adjusted Net Win already required under Section 4(B)(16) of the Compact); and

5. The Gaming Enterprise and each Gaming Operation shall require that, for jackpots

requiring the patron to complete, prior to the pay-out of the jackpot, paperwork required

by the Internal Revenue Service, the Gaming Enterprise shall verify that the patron is

not on the self-exclusion list and such certification shall be recorded in the appropriate

documentation. In the event the patron is listed on the self-exclusion list, the Gaming

Enterprise shall comply with Section 4(F)(2)(b)(iii) of the Compact regarding forfeiture

of all winnings.

6. If a self-excluded person is removed from a Gaming Facility, the Gaming Operation

shall report to POIGRA, at a minimum, the name of the self-excluded person, security

staff involved, date of removal, amount of money forfeited, if any, and any other action

taken. POIGRA shall provide a written report to the State Gaming Representative.

7. The Gaming Enterprise, each Gaming Operation, the POIGRA, and POIGRA shall take

all reasonable steps that the self-exclusion list remains confidential except for its use

by (1) appropriate law enforcement agencies, if needed in the conduct of an official

investigation or ordered by a court of competent jurisdiction; and (2) persons

designated by either the Commission or the State Gaming Representative for the

purposes of administering and implementing the self-exclusion program.

Section 4. Fines.

Scope. This Section addresses the assessment of civil fines.

Review of Notice of Violation. POIGRA shall review each violation to determine whether

a civil fine will be assessed, the amount of the fine, and, in the case of continuing violations,

whether each daily illegal act or omission will be deemed a separate violation for purposes

of the total civil fine assessed. In the course of review, POIGRA may first determine that

a Corrective Action Plan is a sufficient remedy and no further assessment is required.

Civil Fine; Amount; Determination.

1. The POIGRA may assess a civil fine, not to exceed $5,000.00 per violation, against a

Gaming Enterprise, Key Gaming Employee, Non-Gaming Employee, or any other

Person for each notice of violation issued by the POIGRA. The POIGRA may consider

all relevant factors, including but not limited to the severity of the violation, the

Person’s compliance history, and any mitigating circumstances. If noncompliance

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continues for more than one day, POIGRA may treat each daily illegal act or omission

as a separate violation.

Procedures for Assessment of Civil Fines.

1. Civil Fines of over $250 in the Aggregate.

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a. POIGRA may assess a civil fine at the time it issues a notice of violation,

within seven calendar days after service of a notice of violation, or a longer

period if there is good cause.

b. If not included in the notice of violation, the POIGRA shall serve a copy of

the proposed assessment on the respondent.

c. The respondent has seven calendar days from receipt of the notice of

violation, if the civil fine is assessed therein, or of the proposed assessment to

request a hearing in writing.

d. POIGRA may review and reassess any civil fine if necessary to consider facts

that were not available when the proposed assessment was issued. If the

assessment is increased, the respondent again has seven calendar days from

receipt of the revised assessment to request in writing a hearing on the

proposed fine.

2. Civil Fines of under $250 in the Aggregate.

a. POIGRA is authorized to issue civil fines per occurrence, if a Person violates,

or fails to fulfill an obligation under, the Gaming Code, these regulations, a

written agreement, IGRA, NIGC regulations, or the Compact. Most often,

such fines are assessed for failure to provide required documentation to

POIGRA, generally after a Licensee has signed an agreement consenting to

such fines if the documentation is not provided by a certain date.

b. Such fines may be assessed through a notice of violation, or may be fixed in

a written agreement with the Person, for example, an agreement to provide

documentation by a certain date, after which the civil fine will begin being

assessed.

c. If a Person assessed a fine totaling less than $250 has not waived the right to

a hearing, the Person may request in writing a telephonic hearing before

POIGRA under Section 7(F). The request must be received by the Pueblo

Court no later than seven calendar days after the day the fine is assessed, or

the last day on which a fine is charged if it is a daily fine.

3. Reduction or Waiver of Civil Fine.

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a. Upon written request of a respondent received at any time, before the filing

of an appeal pursuant to Section 7 of these regulations, POIGRA may reduce

or waive a civil fine if POIGRA determines that, taking into account

exceptional factors present in a particular case, the fine is demonstrably

unjust.

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b. All requests for reduction or waiver of fine shall contain:

i. A detailed description of the violation that is the subject of the fine;

ii. A detailed recitation of the facts that support a finding that the fine is

demonstrably unjust, accompanied by relevant documentation, if any;

and

iii. A declaration, signed and dated by the respondent, as follows: “Under

penalty of perjury, I declare that, to the best of my knowledge and belief,

the representations made in this request are true and correct.”

c. POIGRA shall serve the respondent with a written notice of determination,

including a statement of the grounds for the POIGRA’s decision.

4. Final Assessment. If the respondent fails to request a hearing as provided in Section 7,

the proposed civil fine assessment shall become a final decision of the POIGRA. Civil

fines assessed under these regulations shall be paid by the Person assessed and shall

not be treated as an operating expense of the Gaming Enterprise, Gaming Operation,

or Gaming Facility, unless that entity is the party assessed with the civil fine. POIGRA,

through the Legal Department, may pursue legal action if the respondent fails to pay

the civil fine(s) assessed.

Section 5. Fees.

Scope. This Section sets forth the regulations for the imposition of fees.

Application and Investigative Fees. The License Applicant (or the Gaming Operation, by

agreement between the POIGRA and the Gaming Operation) shall pay the fees and cost

assessed by POIGRA in conjunction with the application for license and Background

Investigation of the Applicant in the manner prescribed by these regulations.

Schedule of Fees. Each application for a License must be accompanied by a nonrefundable application fee and background investigative fee in the amount specified on the

schedule of fees, which shall be prepared and posted by POIGRA at least 60 calendar days

before implementation. The Executive Director may prorate fees under appropriate

circumstances and may later collect additional fees, up to the full cost of the relevant

license, should the reason for proration later change.

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Supplemental Fees. If the fees and costs incurred by POIGRA in processing an

application, including the Background Investigation, exceed the amount on the schedule of

fees, POIGRA may require an Applicant to pay supplemental fees and costs. An Applicant

may request a hearing within seven calendar days of receipt of the supplemental fee

assessment to dispute the amount of the assessment.

Final Action. Unless POIGRA is responsible for a material delay, POIGRA shall not take

final action to approve any application unless all application and background investigative

fees and costs have been paid in full. POIGRA may deny the application if all application

and background investigative fees and costs are not paid within a reasonable period.

Accounting of Fees. Upon written request and after the background investigation is

complete, the POIGRA shall provide to the Applicant an itemized accounting of the

background investigative fees and the costs incurred.

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Section 6. Issuance of Regulations.

Scope. This Section establishes procedures for the issuance of regulations by the POIGRA.

Publication. Where publication is required by this or any other section of the POIGRA’s

regulations, unless otherwise required, the publication requirement shall be satisfied by

posting the relevant notice on the POIGRA website, at each Gaming Facility, or at the

POIGRA office. Written notice shall also be provided to each Gaming Operation.

Draft Regulation, Comment Period.

1. At least 30 calendar days before adopting or amending any regulation, the POIGRA

shall publish notice of its proposed action on its website and notify by mail or electronic

mail any interested Person who has filed an annual written request for notices of

proposed action by the POIGRA. The notice shall:

a. describe the substance of the proposed action;

b. state the manner in which the comments of any interested party pertaining to

the proposed action may be submitted to the POIGRA; and

c. afford the interested party a reasonable time period of not less than 30

calendar days within which to comment on the proposed action.

Adoption of Final Regulations. After considering all the written comments regarding the

proposed action, POIGRA may adopt final regulations at any time after the close of the

comment period. POIGRA, in its discretion, may revise the proposed regulation in light of

comments received from an interested party or for other reasons deemed appropriated by

POIGRA. In addition to any other publication and notice requirements of Pueblo and

federal law, POIGRA shall publish the final regulation on its website and transmit a copy

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of the final regulation to the interested persons that submitted comments on the proposed

regulation.

Effective Date. Unless otherwise specified, the final regulation shall take effect on the

business day after the notice adopting the final regulation is published by the POIGRA.

Emergency Regulations. Upon making written findings, POIGRA may issue emergency

regulations to take effect immediately in order to deal with an emergency situation, to

comply with applicable law, or to avoid serious jeopardy to the public safety or integrity

of gaming or Gaming Revenues. However, POIGRA shall publish notice and request

comments from interested parties pertaining to the emergency regulations in the same

manner as provided in Sections 6(C) and 6(D), and upon consideration of any comments

received, shall make any amendments to the emergency regulations as POIGRA deems

appropriate.

Filing of Regulations. All final regulations adopted by POIGRA shall be posted on the

public Pueblo of Isleta website. The current regulations shall be available for review at the

POIGRA office.

Public Meetings. Nothing in these regulations shall prohibit the POIGRA from holding a

public meeting to receive oral comments pertaining to any proposed action.

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Section 7. Hearings.

Scope. This Section establishes procedures for hearings before the Hearing Officer. The

Hearing Officer conducts hearings as set forth below.

1. Regulatory hearings involve an enforcement action by POIGRA against a Licensee or

other Person within its jurisdiction, such as a hearing on a proposed License suspension

by POIGRA or denial of a License application. The specific processes for regulatory

hearings are set out in Section 7(E). For civil fines of less than $250 or at the request

of or with the consent of the respondent, a telephonic hearing under Section 7(F) will

be held.

2. Public meetings involve POIGRA matters that are of general public interest, such as

promulgation of regulations.

3. Regulatory hearings are “contested matters” for purposes of these regulations. Public

meetings are not “contested matters.” The procedures for each are set out below. The

POIGRA may, with notice to interested parties, specify the procedures to be used for a

particular matter and modify the procedures to accommodate unusual or unanticipated

circumstances.

Hearings. Whenever any provision in the Gaming Code, these regulations, or Compact

provides for a hearing on any action or proposed action of POIGRA and a hearing is

requested or required in accordance with that provision, the Hearing Officer shall schedule

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a hearing within the time allowed or, if no time is set, a reasonable time. Once a hearing is

requested or scheduled, the Hearing Officer shall give written notice to all interested parties

of the time and place of the hearing and of the particular matter to be heard. Except in

extraordinary situations or as provided by applicable law, no hearing shall be held less than

fourteen calendar days after the written notice is given.

Delegation to Hear Matter. The Hearing Officer has delegated authority from Tribal

Council to hear a specific or regulatory matter. The Hearing Officer may delegate authority

to the Executive Director to appear at a public meeting.

Hearing Procedures Generally—Contested Matters.

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1. Contested matter hearings under Section 7(D) shall be conducted in a semi-formal

manner. The process is intended to be flexible to allow the Hearing Officer the

proceedings, including pre- and post-hearing activities, to provide a fair and efficient

forum.

2. Unless otherwise ordered by the Hearing Officer, contested matter hearings are not

open to the general public. Generally only parties, their counsel, POIGRA staff

(including but not limited to the Executive Director and investigators), POIGRA

counsel, and experts will be present throughout the proceeding. Unless otherwise

allowed by the Hearing Officer, witnesses called by any party or the POIGRA will be

present only when testifying.

3. The Hearing Officer shall not apply strict evidentiary standards but shall use its

discretion to assure that the evidence submitted is relevant, material, and reasonably

trustworthy.

4. All testimony shall be given under oath, and no person shall be allowed to provide

testimony without being subject to cross-examination by any adverse party and the

POIGRA or Hearing Officer.

5. A party, including POIGRA, may be represented by counsel. Counsel must enter an

appearance for the record. Written requests to withdraw as counsel may be granted by

the Hearing. The POIGRA and the adverse party may retain counsel or other experts

as it may deem necessary to conduct or evaluate any proceeding.

6. Motion practice is generally unnecessary. Scheduling changes are generally handled

through a request to the Hearing Officer, and no motion is required unless required by

the Hearing Officer. Scheduling and other motions are to be filed with the Hearing

Officer and on the other party. A response to any motion shall be filed within fourteen

calendar days of receipt of the motion by the Hearing Officer or any other party unless

a different time is allowed by the Hearing Officer.

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7. In all hearings and in disclosures of information in relation to contested matters, the

Hearing Officer shall maintain the confidentiality of information as required by Pueblo

law, IGRA, NIGC regulations other applicable law, and the Compact.

Regulatory Hearings.

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1. Regulatory proceedings involve issues in which POIGRA has taken or proposes to take

a regulatory action under the Gaming Code, regulations, or policies. While most often

license actions by POIGRA alleging that a person has violated these regulations, the

Gaming Code, or other applicable standards, a regulatory hearing may address other

issues, such as a Gaming Enterprise challenge to TICS promulgated by the Executive

Director.

2. POIGRA will ensure that an independent investigation of any matter arising under this

Section has been or is conducted. POIGRA is the investigative and administrative arm

of the Pueblo, and will generally conduct the investigation and present evidence at the

hearing unless POIGRA concludes that it cannot conduct an impartial and independent

investigation.

3. POIGRA shall provide the adverse party regarding their right to appeal either with the

notice of violation issued under Section 3(C) or within fourteen days thereafter. The

Licensee, Applicant, or other party has the right to appeal the decision within fourteen

days. The right to appeal only applies to license decisions and does not apply to

temporary permits. Failure to file their appeal with the Pueblo Court by the deadline

established shall be deemed a waiver of a hearing.

4. If a license action is based in whole or part on records for which federal regulations or

other applicable law requires an opportunity for the Applicant or Licensee to review

and then attempt to correct or supplement those records before a License denial,

suspension, or revocation decision becomes final, POIGRA shall again advise the

Applicant or Licensee of that right no later than when the notice is provided to the

Applicant or Licensee.

5. Failure by an Applicant or Licensee to arrange for and review the records within the

deadline to appeal the adverse decision shall be deemed a waiver of the right to review

the records. The Applicant or Licensee may dispute the accuracy of records by filing

their appeal with the Pueblo Court within fourteen days.

6. A decision by an Applicant or Licensee not to pursue the federal or other process for

correction or supplementation of relevant records does not preclude the person’s ability

to argue to the POIGRA that those records are incorrect or incomplete during a hearing.

7. Regardless of the option chosen by the Applicant or Licensee, the proposed license

action (e.g., denial, suspension, or revocation) shall be and remain in effect until

reversed by the Hearing Officer.

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8. The Hearing Officer shall set a hearing date if timely requested.

9. The Hearing Officer may establish a pre-hearing schedule based on its assessment of

the complexity of the issues involved, the evidence to be presented, the requirements

of fairness and due process, and any other factors known to the Hearing Officer.

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10. For example, the pre-hearing schedule may include, at the discretion of the Hearing

Officer and as appropriate:

a. the date by which subpoenas must be requested by the Licensee or Applicant;

b. the date(s) by which specified records, demonstrative evidence, and similar

evidence anticipated to be introduced or used at the hearing must be provided

by or to POIGRA, or by which access to confidential information must be

provided if it is not ordered to be produced;

c. the date(s) by which a list of witnesses anticipated to be used at the hearing

must be provided; and

d. a schedule for any pre-hearing briefing.

11. Note that the majority of hearings conducted by the Hearing Officer are not complex

and do not mandate a pre-hearing schedule. In these instances, the Hearing Officer will

attempt to work cooperatively to ensure that any questions the Licensee, Applicant, or

other party may have are answered and establish a date by which any subpoena requests

by the Licensee, Applicant, or other party must be submitted.

12. In the rare instances in which a hearing is anticipated to be unusually complex, and

particularly if the Licensee, Applicant, or other party is represented by counsel, the

Hearing Officer may require that the Licensee, Applicant, or other party and POIGRA

submit to the Hearing Officer and each other party a Preliminary Pre-Hearing

Statement addressing matters requested. The statement will generally be required to

include:

a. If the hearing will address a summary suspension, the alleged violator must

expressly state whether he wishes to proceed on an expedited schedule that

will result in a hearing within 30 calendar days of the notice of violation. Such

a schedule places greater demands on the alleged violator and on POIGRA,

and may limit the availability of pre-hearing briefing, available witnesses, and

other evidence.

b. The names or descriptions of any witnesses the Person plans on calling at the

hearing, including those who must be subpoenaed. If a Person does not know

the name of a witness, the party must provide as much information as

possible. The Hearing Officer may provide reasonable assistance to a party to

identify unknown witnesses.

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c. A list of any documents or other evidence the party is requesting from

POIGRA or needs to subpoena from a non-party, including the Gaming

Operation.

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d. Any other issues, concerns, or matters that the party wishes the Hearing

Officer to consider in setting a pre-hearing schedule and in conducting the

hearing. For example, a party might wish to suggest pre-hearing briefing on a

particular topic.

13. After the Preliminary Pre-Hearing Statements are received in a complex matter, the

Hearing Officer will issue a schedule setting forth the schedule up to and including the

hearing. If the alleged violator has consented or the POIGRA or the Hearing Officer

believes more time is necessary to accommodate the pre-hearing events, it may

reschedule any scheduled hearing to a later date. Parties are expected to provide

relevant copies of documents and other evidence to another party upon reasonable

request, but the Hearing Officer’s subpoena power remains available if appropriate.

The schedule generally will establish the final date subpoena requests will be accepted

and the date on which a final witness list and copies of all exhibits to be used at the

hearing must be provided by Hearing Officer and the alleged violator. Both the alleged

violator and POIGRA will generally be expected to show cause why a witness not

included on the party’s Preliminary Pre-Hearing Statement was not included and

nevertheless should be allowed to testify. It will also list any POIGRA representative(s)

scheduled to be at the hearing. The schedule generally will also set the order of

presentation at the hearing, although POIGRA generally will proceed first.

14. Unless the Hearing Officer orders otherwise, the Executive Director shall allow all

parties to review in the POIGRA office non-confidential portions of any investigation

report prepared by POIGRA regarding the matter to be heard and other nonconfidential materials that POIGRA intends to present at the hearing. Copies of such

materials may be provided to the parties at the discretion of the Executive Director or

by order of the POIGRA upon motion. The Hearing Officer, either on its, his, or her

own or on the request of a party, may require that each party and other persons needing

to review confidential or proprietary materials sign a non-disclosure agreement before

reviewing or receiving those materials.

15. At the hearing, the standard of proof is preponderance of the evidence. Hearings will

generally follow the provisions of Section 8(D) above. A hearing may be continued by

the Hearing Officer, at its discretion, and resumed on a later date if deemed necessary

to provide a fair hearing.

16. After a hearing, if any, the Hearing Officer may allow or order appropriate post-hearing

proceedings, including the submission of additional testimony, evidence, or briefing to

be offered before rendering a decision on the merits.

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17. In summary suspension cases, the Hearing Officer may lift the summary suspension

after all evidence has been presented at the hearing.

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18. After the Hearing Officer takes final action, any party may appeal to the Pueblo Court

under Section 7(I). In regulatory proceedings, POIGRA is a party in the appeal. The

Pueblo Court sits as an appellate body to review the regulatory decision of the Hearing

Officer on the record created, but the POIGRA also appears in the appeal as the

appellee.

Telephonic Hearings. For civil fines of less than $250 or at the request of, or with the

consent of, the respondent in a regulatory hearing or both parties in an adjudicative hearing,

a hearing will be held by teleconference or similar electronic means.

1. The Hearing Officer will ensure that documents deemed relevant and not confidential

are available to all parties before the hearing.

2. The teleconference will be informal, with the Hearing Officer determining the order

and manner of the presentation.

3. A decision may be rendered orally by the Hearing Officer during the hearing but

regardless a written decision shall be rendered by the Hearing Officer as provided in

Section 7(H).

Subpoenas. When allowed under the Gaming Code or these regulations, any party to a

contested matter may request that the Hearing Officer subpoena witnesses within the

Hearing Officer’s jurisdiction, or documents or other tangible things in the possession of a

Person within the Hearing Officer’s jurisdiction. Each request shall state the nature of the

testimony or information to be sought from the Person subpoenaed and the relevance to the

contested matter. To the extent known, the Person’s address, phone number, title (if any),

and other identifying information must be included. The Hearing Officer may decline to

issue a subpoena if the testimony or information sought is irrelevant, duplicative, private,

proprietary, or privileged, or if the Person is beyond the Hearing Officer’s jurisdiction. The

requested subpoena may be modified by the Hearing Officer if it is overbroad, unduly

burdensome, or otherwise inappropriate or unnecessary. A request for a subpoena must be

received by the deadline established by the Hearing Officer.

Decision. The Hearing Officer shall, within 30 calendar days after 1) a hearing, 2) the close

of post-hearing briefing, or 3) a conclusion that a hearing will not be held, whichever is

latest, render a ruling or decision on a contested matter. In summary suspension cases, the

Hearing Officer shall issue its decision within 14 calendar days of the latest of the three

events in the preceding sentence. The decision of the Hearing Officer following a hearing

shall be rendered in writing and copies of the decision sent to all parties or their counsel.

All decisions are to be made based on a preponderance of the evidence. Unless the Hearing

Officer reasonably determines and provides notice to all parties that further proceedings

will take place, including full review of a Hearing Officer’s decision, the decision of the

POIGRA is a final action.

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Pueblo Court Review. Unless otherwise expressly stated in the Gaming Code or herein,

any party aggrieved by a final decision of the Hearing Officer may appeal that decision to

the Pueblo Court pursuant to the Gaming Code, by filing a written notice of appeal with

the clerk of the Pueblo Court, and serving a copy thereof on the POIGRA and all other

interested parties, no later than fourteen calendar days from the date of the POIGRA’s final

action.

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Public Meetings. The POIGRA may also hold public meeting to address matters of general

public interest. Unless procedures are specified herein, such meeting should be held after

reasonable general notice to potentially interested persons and in a fair and open manner.

Section 8. Conflicts of Interest.

Scope. This Section establishes guidelines for preventing conflicts of interest.

Prohibitions on Receiving Items of Value. Within a calendar year, a POIGRA or Gaming

Enterprise employee may not individually receive an item of value from any Licensee or

Applicant exceeding $250 in value. This Section does not apply to meals, food, limited

complimentary tickets, professional development/training/continuing education events, or

items of significance in Pueblo culture. It also does not apply to social activities that

historically or currently are of significance in Pueblo culture. A POIGRA or Gaming

Enterprise employee may consult with POIGRA if the propriety under this Section of any

gift is uncertain.

Ticket Policy. The Gaming Enterprise may distribute up to four (4) complimentary tickets

to Tribal Officials for sporting and entertainment tickets staged at the Gaming Facility that

are limited to the purpose of generating casino revenue.

1. Tickets under this policy shall be obtained through the Tribal Council Office by

utilizing a standard request form that is forwarded to the Gaming Enterprise CEO.

2. In certain instances, the Gaming Enterprise may distribute sponsorship tickets, in

limited quantities, to events sponsored by the Gaming Enterprise but not staged at a

Gaming Facility so long as for the purpose of generating casino revenue. In the event

of limited quantities, tickets will be provided first come first served. Sponsorship

tickets shall not be donated to any other person not eligible to receive such tickets.

Section 9. Licensing and Non-Gaming Permits.

Scope. This Section governs the evaluation of all applications for licenses under the

Gaming Code, and non-gaming permits issued to non-gaming employees.

Revocable Privilege.

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1. Any license that is issued by authority of the POIGRA is a revocable privilege and no

Person holding a license or approval shall be deemed to have acquired any vested rights

therein or thereunder.

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2. The burden of proving the Applicant’s suitability to hold any license is at all times on

the Applicant. An Applicant accepts any and all risk of adverse public notice,

embarrassment, criticism, or other action or financial loss that may result from the

application process. By making the licensing process available to applicants for and to

recipients of licenses, the POIGRA does not intend either to create any cause of action

or to waive its sovereign immunity unless expressly stated in the Gaming Code or these

regulations.

3. An application for a license shall constitute a request to POIGRA for a decision upon

the Applicant’s general suitability, character, integrity, and ability to participate or

engage in, or be associated with, Gaming Activity in the manner or position sought by

the Applicant. By filing an application with POIGRA, the Applicant specifically

consents to the making of that decision by POIGRA.

License Requirement: Gaming Employees.

1. Any Person who will be employed by a Gaming Operation in a Gaming Employee

position shall, prior to beginning such employment or receiving any compensation for

such employment, be required to hold a current and valid temporary or permanent

license issued in accordance with these regulations.

2. A Gaming Operation shall not employ a Key Gaming Employee who does not hold a

permanent license within 90 days of their date of hire.

Classification of Gaming Employees.

1. Purpose. The distinctions between Gaming and Non-Gaming Employees have evolved

over time based on position-by-position assessments. This subsection provides a

mechanism for continued evaluation of each position as it is created for classification

as a Key Gaming Employee or Non-Gaming Employee position and for maintaining a

definitive listing of those classifications in a schedule published by POIGRA and

updated on a periodic basis.

2. Classifications by Position Title. POIGRA shall maintain a schedule listing each

position title and its classification for licensing purposes.

3. As new position titles are created, and as position descriptions are changed, by a

Gaming Enterprise or Gaming Operation, the Executive Director has the authority to

make an interim determination of the classification of the new position pending formal

action by the POIGRA to add the position to 1003(c)(2). The Executive Director shall

promptly notify each Gaming Enterprise and Gaming Operation of the interim

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classification, which shall be effective and not subject to review until the POIGRA

updates the schedule under paragraph (4).

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4. POIGRA shall, not less than annually, review the interim classifications made by the

Executive Director under paragraph (3) and make final classification determinations

pursuant to the Gaming Code and these regulations, and update the classifications

schedule.

Classification of Licenses.

1. As provided in the Gaming Code, certain Persons are required to obtain a license from

POIGRA before working for or conducting business with a Gaming Operation or at a

Gaming Facility, and the Gaming Operation may not conduct business with a Person

who or which must be but is not licensed.

Gaming License. A Gaming License is required as prescribed by the Gaming Code and

these regulations, and are issued in the following subcategories:

1. A Primary Management Official License is required for any Person employed by a

Gaming Enterprise or Gaming Operation who meets the definition of a Primary

Management Official in 25 C.F.R. § 502.19(a)-(d).

2. A Key Gaming Employee License is required for any Person employed as a Key

Gaming Employee who is not required to have a Primary Management Official

License.

3. A Primary Management Official Gaming License is required for each POIGRA

member and any Person employed by POIGRA or otherwise under the authority of the

POIGRA in any capacity involving the regulation of any Gaming Activity or access to

information involving any Gaming Activity.

4. A Primary Management Official Gaming License is required for each member of the

POIGRA management or similar body of a Gaming Enterprise, Gaming Operation, or

Gaming Facility.

5. A Management Contractor License is required for any Person managing all or part of

a Gaming Enterprise under a Management Contract between the Pueblo and the

Management Contractor, or between a Management Contractor and subcontractor.

6. A Gaming Facility License is required for a Gaming Enterprise or Gaming Operation

to conduct Gaming at a Gaming Facility.

Vendor License. Vendor licenses are required of certain Persons conducting business with

a Gaming Enterprise, Gaming Operation, or Management Contractor if their relevant

receipts do, or are reasonably expected to, exceed $10,000 in a calendar year as provided

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in the Gaming Code and these regulations. Vendor licenses are issued in the following

subcategories:

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1. A Gaming-Related Vendor License is required for any Person providing goods or

services under a Gaming-Related Contract, including individual Persons who both are

employed or retained by the Gaming-Related Vendor who will have access by any

means to Gaming Machines, Gaming Equipment, Gaming Systems, Gaming Revenues,

or areas of a Gaming Facility deemed sensitive by POIGRA, or to sensitive information

regarding any of the aforementioned.

2. A Non-Gaming Vendor License is required for any Person providing goods or services

under a Non-Gaming Contract.

3. A Construction Contractor’s License is required for any Person providing construction

services to the Pueblo or to a Gaming Enterprise, Gaming Operation, or Management

Contractor which are not directly related to a Gaming Activity but which are for use or

consumption by a Gaming Operation, at a Gaming Facility, or significantly by patrons

of a Gaming Facility.

Exemptions from License Requirement.

1. POIGRA may issue an exemption regarding Persons otherwise required to have a NonGaming Vendor License or a Construction Contractor License.

2. Any exemption is issued to the Gaming Operation and exempts it from the prohibition

on doing business with a Person otherwise requiring a license. An exemption also

relieves the Person from the requirement to have a license. Such exemptions may be

granted by POIGRA with or without a request from the Vendor or the Gaming

Operation. However, if POIGRA finds that the determination of a Vendor’s potential

exemption may be involved factually or otherwise, POIGRA may require that the

Gaming Operation request an exemption on forms prescribed by POIGRA.

3. POIGRA may request from the Gaming Operation any information deemed necessary

to assess the request for an exemption. As an alternative and in its discretion, POIGRA

may request such information directly from the Person seeking the exemption.

4. POIGRA may assess a reasonable fee when making a determination regarding a request

for exemption, including research and staff costs.

5. Unless indicated otherwise by POIGRA when granting an exemption, an exemption

shall have a duration of one year.

6. Exemptions are granted at the sole discretion of POIGRA under the authority of the

POIGRA.

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Entities Subject to Exemption Consideration. POIGRA may grant an exemption to a

Non-Gaming Vendor or Construction Contractor when it determines that doing so is both

in the best interest of the Pueblo and does not pose an undue risk to the integrity of any

Gaming Activity or Gaming Revenues. An exemption may be granted to entities meeting

one or more of the following descriptions or criteria, or to entities having substantially

similar characteristics in the sole discretion of POIGRA:

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1. Corporations that are publicly traded on a recognized stock exchange with annual gross

revenue of more than $50 million;

2. National or regional chains having ten or more locations in at least five states;

3. Public utilities and communications companies (including cooperatives) whose rates

charged to the Gaming Operation are set by tariff or other schedule approved by an

independent regulatory entity;

4. National delivery services, including the United States Post Office, United Parcel

Service, Fed Ex, and similar entities;

5. Entities wholly owned by Pueblo members if the goods and services provided to all

Gaming Operations is reasonably anticipated to be less than $50,000 in a calendar year;

6. Entertainers and other similar Persons retained, directly or indirectly, by a Gaming

Operation to perform on a one-time basis or infrequently for an event of limited

duration;

7. Transportation companies retained by a Gaming Operation or Gaming Enterprise to

provide service to Patrons at a fixed contract rate;

8. Print, broadcast, internet, satellite, and cable media, including newspapers, magazines,

and radio and television stations from which only the physical media or electronic

content is purchased;

9. Advertising media, including print publications, broadcast, internet, cable, satellite, and

cellular, whose advertising rates are fixed by schedule (even if subject to discounts for

volume or otherwise), provided, however, that a license exemption does not relieve the

Gaming Operation from obtaining approval of any promotion contained within any

advertising, and provided that advertising agencies, advertising brokers, and similar

entities are expressly not subject to exemption.

10. The United States, the State of New Mexico, and the Pueblo of Isleta, each as the

recipient of payments from Gaming Revenues as required by Applicable Law, the

Compact, or agreement.

11. Trade or Interest Group Associations that are registered with a tribal, state or federal

government (e.g., the National Indian Gaming Association).

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12. Non-profit organizations registered with a tribal, state or national government and

which must regularly report their financial condition publicly.

13. Commercial airlines, Amtrak, and other regulated public carriers.

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14. Internet merchants who sell standard retail products at generally available prices,

provided that purchases are subject to a Gaming Operation protocol intended to identify

competitive prices.

Other Exemption Factors. A Non-Gaming Vendor or Construction Contractor is less

likely to threaten the integrity of a Gaming Activity or Gaming Revenues, and therefore

more likely to qualify for an exemption, if:

1. It provides only standardized goods at published prices, notwithstanding any volume

discounts;

2. It does not provide tangible or intangible items of value to the individual placing an

order (e.g., gift cards, coupons).

Exceptions. Even if a Person would otherwise meet the criteria for a license exemption,

that Person shall not be granted an exemption if the contract requires or allows:

1. On-site work in or near a sensitive area, or

2. Any work that provides access to Gaming Machines or Gaming Systems.

Application.

1. An Applicant for any type of license must apply on forms provided by POIGRA. The

application forms shall be completed under the penalty of perjury. The application

forms may include questions concerning the following:

a. Personal background information;

b. Financial information;

c. Participation in legal and illegal gaming or other activities in any jurisdiction;

d. Criminal record information;

e. Information concerning all pecuniary and equity interest in the Applicant; and

f. Other information as required.

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2. The application forms shall include notice and disclosure to the Applicant satisfying

any federal regulations and other legal requirements relating to the content and scope

of the background investigation and the Applicant’s legal rights to review and/or

correct information revealed in that investigation.

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3. The application forms shall be accompanied and supplemented by the documents and

information as may be specified or required. The failure to supply the information

constitutes grounds for delaying or denying the application. In situations in which a

Licensee is submitting a renewal application or transferring positions within 180

calendar days of the date of the previous application, the Licensee may rely on prior

application materials and provide only updated or additional information as required.

4. All documents and information required to be included in an application for license

must be true and complete as of the date the application is filed with POIGRA. The

Applicant shall promptly amend any document or information based on facts occurring

after filing the original application so as to keep the information true and accurate.

5. An application may be amended in any respect by leave of POIGRA at any time before

final action by POIGRA. Any amendment to the application shall have the effect of

establishing the date of the amendment as new filing date of the application with respect

to any time requirements for the action on the application.

Ineligibility to Apply.

1. If an Applicant is deemed by POIGRA to be ineligible to apply for a license under

Section 9 or otherwise, the application may be summarily rejected.

2. The fee paid shall not be refunded.

3. A summary rejection is not a license denial.

4. The Applicant shall remain ineligible to apply until the underlying matter resulting in

ineligibility (e.g., a pending criminal charge) is resolved.

Withdrawal of Application.

1. An Applicant may file a written request to withdraw an application at any time before

POIGRA takes final action on the application. Final action by the POIGRA on the

application occurs when POIGRA grants or denies a license.

2. POIGRA may, in its discretion, deny or grant the request for withdrawal of application

with or without prejudice. The application fee is nonrefundable.

3. If POIGRA grants a request for withdrawal with prejudice, the Applicant is not eligible

to apply for licensing for a period of six months from the date of the withdrawal.

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Background Investigation. Consistent with the Gaming Code, Applicants for licenses

shall provide all documents and information requested by their application forms and all

other documentation or information that POIGRA may deem necessary. POIGRA shall

examine the Applicant’s background, personal history, financial associations, character,

record, and reputation and persons associated with the Applicant to the extent that POIGRA

determines that it is necessary to evaluate the qualifications and suitability of the Applicant

for licensing but in no case shall the evaluation be less than required by applicable federal

law or the Compact. POIGRA shall provide each Applicant or Licensee any opportunity to

review a background report as required by applicable law, POIGRA procedures, or contract

before a license decision may be deemed final.

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Temporary Permits.

1. POIGRA, may its discretion, issue a temporary permit, for up to 90 days unless

reasonably extended, to any Applicant for license upon the following grounds where

the application in its entirety indicates that:

a. The Applicant meets the preliminary criteria for licensing;

b. The Applicant does not appear to present any danger to the public or to the

reputation of gaming on Tribal Lands;

c. Preliminary review reveals no indication that further investigation will reveal

disqualifying information; and

d. The Applicant has paid all applicable fees.

2. POIGRA shall not issue a temporary permit to an applicant if it is apparent from the

initial application or initial background investigation that the applicant is unsuitable to

receive a license under federal or Tribal law, or these Regulations, or the Compact.

Generally, POIGRA may deny issuing a temporary permit on the same grounds as

denial of license described within these Regulations. POIGRA shall provide written

notice of such denial to the applicant. POIGRA’s decision not to issue a temporary

permit is not subject to a hearing as it is not an action to deny a license.

3. POIGRA may, in its discretion, impose additional or specific conditions on a temporary

permit issued to an applicant.

4. POIGRA may change a temporary permit into a permanent license when the

Background Investigation is complete and POIGRA is satisfied that the holder of the

temporary permit is suitable to hold a permanent license.

5. When POIGRA changes a temporary permit into a permanent license, the date of

issuance of the license shall be that of the temporary permit. Upon notice by POIGRA

of a license changing from a temporary permit to a permanent license, such action shall

be automatic and shall not require further action by the employee.

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6. A temporary permit may expire on its own accord, or it may be suspended, revoked or

summarily suspended under the same terms and conditions as a permanent license.

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7. In the event a temporary permit expires due to its own accord, and the background

investigation or fingerprint check is still outstanding or not suitability determination

has been made, the term of the temporary permit will automatically be extended for

one additional ninety (90) day period and the permit will continue to be in effect until

the completion of the background investigation and a gaming license or a notice of

denial is issued. POIGRA may reasonably issue consecutive temporary permits on a

case-by-case basis.

8. A permittee shall surrender the temporary permit to POIGRA when:

a. The temporary permit expires and a permanent license has not been granted,

b. A notice of denial is issued,

c. POIGRA notifies the permittee that the temporary permit has been revoked,

d. Whenever surrender of a permit is otherwise required under these

Regulations.

Drug Test.

1. At the time it makes a decision to hire any Employee, the Gaming Enterprise shall

cause a drug test to be administered to the Applicant in accordance with Gaming

Enterprise policies.

Fingerprints. Gaming Enterprise or Gaming Operation Employee Applicants shall submit

to fingerprinting by the POIGRA or its authorized agent. The Gaming Enterprise or

Gaming Operation shall direct all Employee Applicants to POIGRA offices or other

authorized locations for the taking of fingerprints as provided in the Code.

Duration of License. Every license issued under these regulations shall have a term of

three calendar years.

Renewal.

1. Every Licensee shall submit an application for renewal of a license on a form prescribed

by POIGRA and pay the appropriate renewal fee no more than 60 calendar days and

no less than 30 calendar days before the license expires.

2. POIGRA may consider any application for renewal of a license submitted after the 30

calendar day deadline only if the Licensee pays a late charge, but POIGRA may not

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consider any application for renewal of a license received by POIGRA after the license

has expired. Instead, the Applicant must submit a new license application, including all

fees and penalties.

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3. A timely filed application for renewal of a license shall be deemed to incorporate all

information contained in the Licensee’s original application. The Licensee shall be

required to supply only new or corrected information that responds to the questions on

the original application, and information that responds to questions not previously

asked by POIGRA.

4. POIGRA may, if it deems it necessary, conduct further Background Investigation with

respect to any application for renewal of a license.

5. POIGRA shall renew or deny the license renewal but may deny an application for

renewal only on the basis of new information not before POIGRA when it previously

granted the license.

6. In the event of a denial, the Licensee shall receive written notice thereof and shall have

the right to a hearing as set forth in Section 7.

7. An employee whose application for a License renewal is approved shall surrender the

old license upon issuance of the new license.

Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets;

Separation or Suspension.

Definitions for this section:

1. “Gaming Licensee Credentials” or “Credentials” include a Gaming Employee’s

Identification Badge and Gaming License.

2. “Gaming Licensee Assets” or “Assets” include Gaming Licensee Credentials and any

or all of the following: uniform(s), keys, electronic devices, or any other material thing

issued by the Gaming Enterprise or Gaming Operation to the Licensee either that is

worth more than $10.00, or that could be used to create the impression that a person is

a Gaming Employee or that the person should have access to a sensitive or restricted

area.

3. “Suspension” includes:

a. suspension of a Gaming Employee by a Gaming Enterprise or Gaming

Operation;

b. a proposed suspension of a License by POIGRA where there is also a

Summary Suspension pending resolution of the proposed suspension by the

POIGRA; or

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c. a suspension of a License imposed by the POIGRA; but

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d. does not include, a Summary Suspension imposed by POIGRA solely for

failure to perform a discrete task (e.g., failure to provide documents pursuant

to a Request for Information).

4. “Separation” includes:

a. termination of a Gaming Employee by a Gaming Enterprise or Gaming

Operation;

b. any other conclusion of a Gaming Employee’s gaming employment by a

Gaming Enterprise or Gaming Operation, including but not limited to

resignation or transfer to a non-gaming position; or

c. revocation of a Gaming Employee License by the POIGRA.

5. The Gaming Enterprise or Gaming Operation (including a Management Contractor)

shall issue:

a. to each licensed Gaming Employee an Identification Badge, to include: first

name, photograph, employee number, position title, and expiration date.

b. to each visitor who will have access to non-public or restricted area(s) in

accordance with an internal procedure approved in advance by POIGRA, a

Visitor Badge – with a numeric or other identifier – to be returned when the

Visitor leaves the premises.

6. The POIGRA shall issue a Gaming License to each licensed Gaming Employee, each

licensed Contractor Technician, and other individual Licensees as appropriate, to

include: first name, photograph, gaming license number, position title, and gaming

license expiration date.

Display of Identification Badge and Gaming License; Display of Visitor Badge.

1. Each Gaming Employee shall wear their Identification Badge and Gaming License in

a manner so that one or the other is prominently visible to Surveillance operations while

on duty (including when on break in or near a Gaming Facility or other sensitive or

restricted areas). Surveillance may conceal their credentials only in accordance with an

internal procedure approved in advance in writing by POIGRA.

2. Each other Licensee or Visitor shall prominently wear their Gaming License and/or

Visitor Badge in a manner so that it is visible to Surveillance operations while

conducting business within a Gaming Facility, including restricted or sensitive areas.

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3. Identification Badges, Gaming Licenses, and Visitor Badges shall not be altered,

defaced, or obscured.

Disposition of Gaming Licensee Assets upon Separation or Suspension.

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1. In-Person Separation or Suspension. Upon an in-person Separation or Suspension, each

Licensee shall surrender all Gaming Licensee Credentials to the Gaming Enterprise or

Gaming Operation by the end of the employee’s last day of employment. If a

Separation, the Licensee shall surrender all Gaming Licensee Assets. The Gaming

Enterprise or Gaming Operation shall take reasonable steps to ensure that surrender.

Surrendered Gaming Licenses shall promptly be forwarded to POIGRA, at least

weekly.

2. Remote Separation or Suspension. If a Gaming Licensee resigns remotely, or otherwise

is Separated or Suspended remotely, the Licensee must arrange to surrender all Gaming

Licensee Credentials as soon as practicable to the Gaming Enterprise or Gaming

Operation. If it is a Separation, the Licensee must return all other Gaming License

Assets. If the Licensee fails to return any Asset, the Gaming Enterprise or Gaming

Operation shall use reasonable and lawful methods to try to secure the return of the

Asset(s). Failed attempts to acquire either Credential shall be reported to POIGRA.

3. If a Gaming Licensee fails to return Gaming Licensee Credentials and/or Assets to the

Gaming Enterprise or Gaming Operation (or the Gaming License directly to POIGRA),

POIGRA may initiate a License action if necessary to secure return of all Assets.

Right to Hearing. Any Applicant whose license application is denied by POIGRA or a

Licensee whose (non-temporary) gaming license is subject to a proposed suspension or

revocation by POIGRA may request a hearing pursuant to Section 7(E). Temporary permits

do not have a right to a hearing.

Issuance of a Permanent License.

1. Upon its approval, POIGRA shall issue a permanent license to the Applicant within

seven calendar days, at which time the temporary permit (if any) shall expire. The

License approval may be subject to conditions under Section 3(K).

2. POIGRA shall not issue a permanent license to any Key Gaming Employee Applicant

until the earlier of the expiration of the 30-day period for the NIGC to review the

Applicant’s application for a license and POIGRA’s investigative report, including the

eligibility determination, as set forth in 25 C.F.R. § 558, or receipt of a Notice of

Results from the NIGC stating no objection.

Lost or Missing Identification Badge or Gaming License: Reporting and

Replacement.

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1. Timely completion of the notifications in (b) and (c) is imperative. All Licensees should

be aware that POIGRA considers control of Identification Badges to be critical to the

integrity of Gaming and the protection of Gaming Revenues.

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2. If any Licensee loses or has not maintained control of their Identification Badge or

Gaming License, the Licensee shall:

a. immediately notify the Gaming Enterprise or Gaming Operation regarding

their Identification Badge, and/or POIGRA regarding their Gaming License;

b. file a sworn statement verifying the loss and the circumstances thereof with

the Gaming Enterprise or Gaming Operation for a lost or missing Badge

and/or POIGRA for a lost or missing License; and

c. pay any appropriate fee(s) for a replacement Badge and/or License.

3. Upon learning from a Licensee that an Identification Badge has been lost or is missing,

the Gaming Enterprise or Gaming Operation shall notify the following at the earliest

opportunity and in the following order:

a. the department responsible for access control so that the Identification Badge

is disabled immediately;

b. risk management or other designated department by email; and

c. POIGRA Licensing of the loss and the circumstances thereof by email.

4. Upon learning from a Licensee that a Gaming License has been lost or is missing, the

Gaming Enterprise or Gaming Operation shall notify POIGRA Licensing by email at

the earliest opportunity.

5. Each Gaming Enterprise or Gaming Operation shall develop a protocol for determining

when an employee or other Licensee’s absence is unexplained and to disable the

Licensee’s badge in a timely manner until the security risks relating to an unexplained

absence are fully resolved.

AA.

Disqualification Criteria.

1. A prospective Licensee is ineligible to apply for a license:

a. During the pendency of a current prosecution or pending charge in any

jurisdiction for any offense that, if convicted thereof, would or could result in

a license denial,

b. If he or she does not meet the age requirement for a license,

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c. If the Applicant’s status to work in the United States is under review,

d. If the Applicant has been temporarily excluded from Tribal Lands by the

Pueblo, or

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e. As determined by POIGRA, the Applicant cannot currently be licensed but

may be eligible for a license in the future.

2. POIGRA shall deny a license to any Applicant on the basis of the following criteria:

a. Failing to prove by clear and convincing evidence that the Applicant is

qualified in accordance with the Gaming Code and these regulations;

b. Conviction of any crime (a) classified as a felony as of the date of the

conviction or of any gambling related crime and (b) committed on or after the

Applicant’s eighteenth birthday;

c. Conviction of any gambling related misdemeanor or other misdemeanor

involving theft, fraud, misrepresentation, or dishonesty if the offense was

committed on or after the Applicant’s eighteenth birthday;

d. Failing to pass a drug test deemed credible and trustworthy by POIGRA;

e. Failing to reveal any material fact pertaining to qualification, or supplying

information that is untrue or misleading as to any material fact pertaining to

qualification;

f. Refusal to cooperate with any legislative body or other official investigatory

body of any state, Indian tribe, or of the United States when such body is

engaged in the investigation of crimes; or

g. The Applicant, or any of its officers or directors, or any of its general partners,

or any stockholders, limited partners, or other persons having a financial or

equity interest of five percent or greater in the Applicant, is or has been a

professional gambler.

h. Failure to comply with any lawful directive or order of POIGRA.

i. Failure to disclose material information to a Gaming Enterprise, Gaming

Operation, or Management Contractor, even if truthful information is later

disclosed.

3. POIGRA may deny a license to any Applicant on the basis of the following criteria:

a. Failure to provide information, documentation and assurances required by the

Gaming Code or requested by the POIGRA;

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b. A final decision by any other governmental entity responsible for licensing

persons or entities with respect to gaming activity under such entity’s

jurisdiction on grounds suggesting unfitness on the part of the Applicant;

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c. Association with known criminals or person reliably believed by law

enforcement agencies to be engaged in corrupt or criminal activities, or with

persons identified by the POIGRA or any other governmental entity as being

disqualified from gaming activities;

d. Violation of any tribal or federal laws or regulations related to Indian gaming;

e. For any other reason that POIGRA reasonably determines that the Applicant

could pose a threat to the public interest or to the effective regulation of

Gaming Activity on Tribal Lands, or creates or enhances the dangers of

unsuitable, unfair, or illegal practices and methods and activities in the

conduct of gaming activity on Tribal Lands; or

f. Past due financial obligations.

4. Applicants for a license renewal are subject to automatic disqualification based on the

criteria in subsection 2 above. POIGRA may deny an application for a license renewal

based on the criteria listed in subsection 3 above. If a renewal Applicant has a pending

prosecution or charge in any jurisdiction for any offense that, if convicted thereof,

would or could result in a license denial, POIGRA may:

a. declare the Applicant ineligible to apply for a renewal until the prosecution

or charge is resolved,

b. grant the license renewal subject to required appropriate reporting by the

Licensee on the status of the prosecution or charge, or

c. take such other action as may be appropriate under all the circumstances of

the renewal application.

BB.

5. If a license application is denied, the Hearing Officer may after hearing and under

extraordinary circumstances waive a criterion for mandatory or discretionary

disqualification if, under all the circumstances, it concludes that granting a license

would not pose an undue risk to the integrity of gaming. Relevant factors may include

the nature of the disqualifying event as it relates to any threat to the integrity of gaming,

the length of time since the disqualifying event, the Applicant’s conduct since the

disqualifying event, and similar considerations. Waiver is at the sole and absolute

discretion of the Hearing Officer.

Applicants and Licensees: Provision of Information.

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1. Fingerprints, Handwriting Exemplars, and Photographs. All Applicants for licenses

issued by POIGRA, and all persons holding such licenses, including all persons

interested, directly or indirectly, in the gaming business or license held by an Applicant

or Licensee, shall upon request by the POIGRA or division provide fingerprints and

handwriting exemplars, and each such Person shall allow himself or herself to be

photographed in accordance with procedures established by POIGRA.

2. Requests or Subpoenas for Information. Upon issuance of a formal request or subpoena

issued under the authority of the Hearing Officer to answer or produce information,

evidence, or testimony, each Applicant and Licensee shall comply with the request or

subpoena. Where an Applicant or Licensee, or any employee or Person interested,

directly or indirectly, in an application or license either refuses or fails to comply with

such a request or subpoena, the license or application may be suspended, revoked, or

denied based solely upon such failure or refusal.

3. Notification of Current Address

a. It is the responsibility of each Licensee to inform POIGRA of any change in

his, her, or its current address within 10 days of the change.

b. POIGRA may rely on the last reported address for purposes of providing

service or notice to a Licensee or Applicant under the Code, these regulations,

and the policies and rules of POIGRA.

CC.

Requirements for Gaming Facility License.

1. The Applicant must submit a drawing to scale of the Gaming Facility that depicts the

number of gaming devices, table games, or other games of chance for play and their

location within the Gaming Facility in a manner that provides for adequate supervision

of each gaming device, table game, or other game of chance, including:

2. An unobstructed view of each gaming device, table game, or other game of chance

from the point of supervision;

3. Any mirrors necessary to maintain adequate supervision; and

4. The location of surveillance cameras.

5. The Gaming Enterprise shall not increase the number of gaming devices, table games,

or other games of chance or change the location of any gaming device, table game, or

other game of chance without the approval of POIGRA.

6. A request for approval to increase the number of gaming devices, table games, or other

games of chance, or a change in the location of any gaming devices, table games, or

other games of chance shall be accompanied by a diagram to scale depicting the new

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location of the gaming devices, table games, or other games of chance within the

Gaming Facility.

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7. A request to change surveillance camera coverage must be approved in advance by

POIGRA and must be supported by adequate documentation.

DD.

Gaming Facility License Application.

1. A separate application is required for each Gaming Facility.

2. POIGRA may deny an application for a Gaming Facility License, if it determines that

the proposed place or location for the Gaming Facility is unsuitable for the conduct of

gaming. Without limiting the generality of the foregoing, the following places or

locations may be deemed unsuitable:

a. the immediate vicinity of churches, schools, religious sites, and children’s

public playgrounds;

b. any place where gaming would be contrary to Pueblo law;

c. premises lacking adequate supervision or surveillance;

d. premises difficult to police; or

e. any other premises where the conduct of gaming will be inconsistent with the

public policy of the Pueblo.

Non-Gaming Permit. Non-gaming permits shall be issued to Non-Gaming Employees as

classified by this Section. The Gaming Enterprise shall conduct the background

verification and drug test for non-gaming employment applications in accordance with

applicable Gaming Enterprise policies. POIGRA shall issue a non-gaming permit upon

receipt of an approved background verification and drug test from the Gaming Enterprise

for an applicant.

FF.

Compliance with Health and Safety Codes.

EE.

1. With respect to construction and maintenance of a Gaming Facility, the Gaming

Enterprise, Gaming Operation, or Management Contractor shall comply with, and

certify to the POIGRA its compliance with, the more stringent of either:

a. Pueblo law, or

b. Each of the following codes:

i. Uniform Building Code;

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ii. Uniform Plumbing Code;

iii. Uniform Mechanical Code;

iv. National Electrical Code; and

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v. National Fire Code.

2. The standard to be applied shall be based on the Pueblo law and the uniform codes in

force at the time the construction or maintenance is performed.

3. Pursuant to the Compact, inspectors from the Indian Health Service may inspect a

Gaming Facility's food service operations during normal Gaming Facility business

hours to assure that standards and requirements at least equivalent to those in the Food

Service Sanitation Act [NMSA 1978, § 25-1-1 (1977, as amended through 2014)] are

maintained.

4. POIGRA shall provide documentation of any inspections by IHS to the State Gaming

Representative with the annual Compliance Report required by the Compact.

5. If IHS does not conduct such inspections, the State Department of Environment may

conduct such inspections during the same hours to assure that standards and

requirements in the Food Service Sanitation Act [NMSA 1978, § 25-1-1 (1977, as

amended through 2014)] are maintained.

GG.

Compliance with Compact Provisions.

1. Each Gaming Operation shall comply with all applicable provisions of the Compact

including, but not limited to, the following specific provisions. The Gaming Operation

shall comply with the more stringent of:

a. Pueblo law, or

b. Federal laws generally applicable to Indian tribes and relating to wages, hours

of work, and conditions of work (including applicable implementing

regulations), including specifically the Fair Labor Standards Act of 1938 and

Occupational Safety and Health Act of 1970.

2. With respect to any construction project involving any Gaming Facility or related

structure that is funded in whole or in part by federal funds, all workers will be paid

wages meeting or exceeding the standards established for New Mexico under the

federal Davis-Bacon Act.

3. Upon request by a visitor or a visitor’s designated representative, a Gaming Enterprise

or POIGRA shall provide:

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a. a copy of the Gaming Enterprise’s patron dispute procedures; and

b. the mailing address and telephone number of the clerk of the Pueblo Court.

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4. A Gaming Enterprise, Gaming Operation, or the Pueblo shall not discriminate in the

employment of persons to work for a Gaming Operation or in a Gaming Facility on the

grounds of race, color, national origin, gender, sexual orientation, age or handicap;

provided, however, that nothing herein shall be interpreted to prevent the Pueblo from

granting preference in employment to tribal members or other Indians in accordance

with established tribal laws and policies.

5. Each 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%), and requiring the Gaming Enterprise to

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 what it means.

6. The Gaming Enterprise to spend, annually, an amount that is no less than one-quarter

of one percent (.25%) of its Adjusted Net Win to fund or support programs that the

Gaming Enterprise, in consultation with the Pueblo as appropriate, selects 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 one or more

organizations that have 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

submit a report accounting for the use of these funds to POIGRA, which shall submit

it to the State Gaming Representative annually along with other Compliance Report

materials.

7. POIGRA, through these regulations, the TICS, and applicable policies and procedures

will assure that each Gaming Operation provides for the physical safeguarding of assets

transported to and from a Gaming Facility and the cage.

8. In accordance with all applicable law and policies and procedures, including prudent

concern for personal and public safety, the Gaming Operation and POIGRA will detain

persons who may be involved in illegal acts for the purpose of notifying law

enforcement authorities.

9. As of September 2018, the Commission has expressly recognized that the historical

Class III MICS in 25 C.F.R. Part 542 and those published separately by the

Commission are simply guidance. However, the Compact requires adoption of the

historical MICS for certain purposes. Accordingly, the POIGRA expressly adopts the

following provisions in order to make compliance with certain Compact terms

absolutely clear:

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a. 25 C.F.R. § 542.14 to provide for the physical safeguarding of assets

transported to and from the Gaming Facility and cashier's cage department;

b. 25 C.F.R. § 542.15 to regulate the extension of credit; and

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c. 25 C.F.R. § 542.17 to regulate the issuance of complimentaries.

10. Any revisions to these provisions in the TICS must comply with any restrictions or

limitations in the Compact.

HH.

Other Gaming Prohibited. Class II and Class III Gaming that is not authorized by the

Gaming Code, the Indian Gaming Regulatory Act, and the Tribal-State Compact is

prohibited on Tribal Lands.

Section 10. General Operating Regulations.

Scope. This Section provides general operating obligations for each Gaming Enterprise,

Gaming Operation, and Gaming Facility. For ease of reading, this Section refers to the

Gaming Enterprise but expressly encompasses Gaming Operations and Gaming Facilities.

Responsibility of Licensee. Responsibility for the employment and maintenance of lawful

methods of operation rests with the Gaming Enterprise, and willful or persistent use or

toleration of methods of operation which POIGRA has determined to be unlawful is

prohibited. The Gaming Enterprise shall fully and timely perform each and every term,

condition, and duty required by the policies and regulations of POIGRA.

Discovery of Violations. All Licensees, including the Gaming Enterprise, shall

immediately notify the POIGRA of the discovery of a violation, a suspected violation, or

unusual circumstances suggesting a violation of the Gaming Code, these regulations,

IGRA, NIGC regulations, or the Tribal-State Compact.

Authorized Gaming. Gaming permitted pursuant to the Gaming Code and the Compact

shall include only those games that are specifically authorized by POIGRA. The Gaming

Enterprise shall conduct all Gaming Activity in accordance with the Gaming Code, these

regulations (including the TICS), federal law, and the Compact.

Unauthorized Gaming. The Gaming Enterprise shall not conduct, permit, or promote any

Gaming Activity except that which is permitted by the Gaming Code and conducted

according to all policies and regulations promulgated by POIGRA.

Employee Reports.

1. On a quarterly basis, the Gaming Enterprise shall submit an employee report to the

POIGRA. The employee report shall identify every individual who is, or who has been

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since the filing of the previous report, employed by the Gaming Enterprise as a Gaming

Employee or Key Gaming Employee.

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2. The employee report shall list the name of the employee or official, job position, title,

social security number, and designation as to whether that individual is a Gaming

Employee or a Key Gaming Employee.

Employment Actions: Effect on Gaming Licensees.

1. Licensed Employee: Voluntary Resignations. When any Gaming Employee resigns

voluntarily (i.e., when not under the threat of disciplinary or other adverse action by

the Gaming Enterprise or the POIGRA), the Gaming Enterprise upon notification

shall invalidate/disable the employee’s access control badge and Active Directory

credentials by 5 p.m. on the second business day after the effective date of the

resignation or notification date, whichever was later, and notify the POIGRA in writing

within three business days of the later of the effective date or notification date.

2. Licensed Employee Terminations, Suspensions, Demotions, and Involuntary

Resignations. Upon HR approval of any intent to terminate, demote, suspend, or

involuntary resignations of any Gaming Employee, the Gaming Enterprise shall

invalidate/disable the employee’s access control badge and Active Directory

credentials by 5 p.m. on the next business day and then shall notify the POIGRA in

writing within two business days of such action.

Employee Benefits and Grievance Procedures.

1. Benefits. A Gaming Enterprise shall provide the following benefits to all full-time

employees of the Gaming Enterprise, which shall be at least as favorable as those

provided by comparable state programs: sick leave and paid annual leave (which may

be incorporated into Paid Time Off), medical, dental, and life insurance, unemployment

insurance, and workers’ compensation insurance.

2. Grievance. A Gaming Operation shall by policy provide a grievance process for

employees of the Gaming Operation (including employees of a Gaming Enterprise in

capacities involving Gaming Activity or Gaming Revenues) which includes an appeal

of right to persons of greater authority than the immediate supervisor of the employee

in cases of disciplinary or punitive action taken against the employee.

Information to be Furnished by Licensee.

1. Each Gaming Enterprise must report to the POIGRA at least yearly the full name and

address of every Person, including lending agencies, who or which has a right to a share

of Gaming Revenues, whether as an owner, assignee, or otherwise or to whom any

interest or share in the profits of gaming has been pledged or hypothecated as security

for a debt or deposited as a security for the performance of an act or to secure the

performance of a contract of sale.

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2. Each Management Contractor Licensee must immediately report to the POIGRA the

name, date of birth, and social security number of all persons who obtain an ownership,

financial, or equity interest in the Management Contractor of five (5) percent or greater,

or who have the ability to control the Licensee, or who have the ability to exercise

significant influence over the Licensee.

3. Any Person licensed by the POIGRA must make written notification to POIGRA of

any criminal conviction or criminal charge pending against such Person within ten days

of such person’s arrest, summons, or conviction. This notification requirement shall

not apply to non-felony traffic violations unless they result in suspension or revocation

of a driver’s license or are based on allegations of driving under the influence of liquor

or drugs. Failure to make proper notification to the POIGRA may be grounds for

disciplinary action.

4. Each Gaming Enterprise must report to POIGRA on a form available from POIGRA

the movement of slot machines, table games, associated equipment, or other equipment

used in Gaming Activity. This notification must be made by both the recipient and

sender of devices within 24 hours of any movement of devices to and from any location,

including locations off Tribal Lands.

5. Each Person holding a License issued by POIGRA shall report any discovered or

suspected plan, scheme, design, device or other methods of cheating, or any and all

unusual occurrences, that may compromise the integrity of any Gaming Activity or

Gaming Revenues, including any Class III gaming device sold or offered for sale,

offered for play, or used for any other gaming purpose within Tribal Lands by such

Licensee. Written reports to POIGRA shall be provided in accordance with these

regulations and relevant policies, procedures, and internal controls.

6. The subject matter of the information provided under this Section shall be considered

confidential, except the Executive Director or the POIGRA may, as deemed necessary

and prudent in the exercise of their discretion, take whatever steps are deemed

necessary to address or mitigate a threat to the integrity of gaming, including

disseminating a warning to other licensing jurisdictions or Licensees.

Inspections. A Gaming Enterprise must immediately make available for inspection by the

POIGRA, POIGRA, or its agents or investigator, upon demand, all papers, books, data,

and records of any kind produced, used, or kept in connection with Gaming Activity or

Gaming Revenues, and all portions of the premises where gaming is conducted or where

gambling devices or equipment, or Gaming Revenues, are manufactured, sold, used,

displayed, kept, or distributed. Upon demand, the POIGRA, or its agents or investigators

must be given immediate access to any portion of the premises of a Gaming Enterprise or

Gaming Facility for the Purpose of inspecting or examining records or documents, gaming

devices or equipment, or the conduct of Gaming Activity.

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Payout Schedules. Payout schedules must accurately state actual payouts applicable to the

particular game and may not be worded in a manner that misleads or deceives the public.

Maintenance of misleading or deceptive material on a payout schedule or failure on the

part of a Gaming Operation or other Licensee to make payment in strict accordance with a

posted payout schedule is prohibited.

False Advertising. No Licensee shall allow, conduct, or participate in any false or

misleading advertising concerning its gaming operations.

Patron Disputes. Patron disputes regarding amounts allegedly won are to be resolved

under the Dispute Resolution policies of the Gaming Enterprise. The Gaming Enterprise

shall make such policy and procedure available to patrons upon request or by posting notice

of such policy and procedures in prominent locations within each gaming facility. The

Gaming Enterprise shall train employees on the policy and procedures pertaining to patron

disputes as well as the appropriate handling of patrons who have disputes, documentation

of the facts pertaining to the dispute and related matters.

Special Rules of Conduct. A Gaming Enterprise may establish rules of conduct for visitors

in any Gaming Facility and related areas. Any such rules must be posted.

Transfers of Interest. No Person may sell, lease, purchase, convey, or acquire an interest

in a Management Contractor without the prior approval of POIGRA.

Underage Gaming.

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1. No Person under the age 21 shall be permitted to Wager at any Class III Gaming

Facility, or to enter a Gaming Facility conducting Class III Gaming except that:

a. Such a Person may pass directly to another room where the Person’s presence

is lawful;

b. A Person may be employed by the Gaming Enterprise pursuant to Section

10(Q); or

c. A Patron under the age of 21, but 18 or over, may engage in Class II Gaming

in a Gaming Facility.

Underage Employees. The Gaming Enterprise shall not employ any Person under the age

of 21 if that person’s employment duties involve Class III Gaming. This prohibition does

not apply to any Person employed in Class II Gaming or whose employment duties are

unrelated to Class III Gaming.

Authorized Gaming Hours.

1. The Gaming Enterprise shall make a written request to POIGRA to change the hours

of operation for any Class II and Class III Activity, and the request must be approved

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by POIGRA prior to implementation. Hours of operation must not be inconsistent with

the current Tribal-State Compact or lawful NIGC regulations.

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2. The Executive Director or their designee may authorize a temporary change of hours

of Class II or Class III Gaming Activity upon written request from the Gaming

Enterprise submitted at least three (3) calendar days before the proposed change.

Proposed changes must meet the requirements in Subsection 1.

Complimentary Services or Items.

1. The Gaming Enterprise may provide or offer complimentary services or items to

Persons in accordance with:

a. these regulations and any relevant internal regulations implemented by

POIGRA;

b. federal regulation, specifically 25 C.F.R. § 542.17 or any successor provision,

and all applicable federal and Pueblo law;

c. any applicable provisions of the Compact, including its Appendix, and

specifically including its reporting provisions; and written internal policies

and procedures, developed by the Gaming Enterprise and approved by

POIGRA, implementing and in compliance with each of the above

subsections.

Automated Teller Machines (ATM).

1. The Gaming Enterprise shall ensure that any ATM located within any Gaming Facility

is programmed not to accept cards issued by the state to TANF recipients for access to

TANF benefits.

2. Within thirty calendar days from the date of the installation of an ATM, the Gaming

Enterprise shall deliver to the POIGRA proof in the form of a notarized certificate from

the financial institution or other authorized entity providing the ATM for use in a

Gaming Facility that the ATM is programmed to comply with Subsection 1.

3. If the Gaming Enterprise fails to comply with Subsection 1, the POIGRA shall have

the authority to confiscate, disable, or remove any ATM located within a Gaming

Facility that is not programmed as required by this Section.

Check Cashing.

1. A Gaming Operation (or, in connection with gaming, a Gaming Enterprise or the

Pueblo) shall not cash any and all paychecks, or any type of government assistance

check, including social security, TANF, or pension, for any Patron.

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2. The Pueblo from time to time issues Per Capita Distribution checks to Pueblo members.

Historically, PCD checks have been issued to Pueblo members in equal amounts, are

not based on need, and are a purely internal matter of the Pueblo. The POIGRA

therefore expressly concludes that they are not government assistance checks, nor

similar to government assistance checks, and are not subject to this Section.

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3. Nothing herein shall prohibit the Gaming Enterprise or Gaming Operation from cashing

employee payroll checks or personal checks from employees.

Alcohol.

1. The Gaming Enterprise shall not sell, serve, deliver, or permit consumption of

alcoholic beverages within any gaming area of a Gaming Facility. Alcohol may be

served in other locations only in accordance with Pueblo law and applicable state and

federal law.

2. The Gaming Enterprise shall not:

a. Permit Persons who are visibly intoxicated to participate in Gaming Activity;

b. Sell, serve, give, or deliver alcoholic beverages to a person who is intoxicated,

or procure or aid in the procurement of any alcoholic beverage for an

intoxicated person, at the Gaming Facility.

3. The Gaming Enterprise shall submit proof to the POIGRA that each Person who

dispenses, sells, serves or delivers alcoholic beverages has attended Alcohol Server

Education classes similar to those classes provided for in the New Mexico Liquor

Control Act.

4. No Persons may serve or sell alcoholic beverages unless that Person has attended such

classes.

5. The Gaming Enterprise (and the Pueblo in connection with gaming) shall not provide,

contract to provide, arrange to provide, or allow to be provided alcoholic beverages for

no charge or at reduced prices within a Gaming Facility.

6. The Gaming Enterprise shall cause its insurance provider to submit a certificate of

insurance to the POIGRA evidencing that the Gaming Enterprise has sufficient

insurance to comply with the Compact.

Central Computer Monitoring of Gaming Devices.

1. The Gaming Operation shall connect all Class III Gaming Machines on the premises

of a Gaming Facility to a central computer monitoring and control system on the

premises of the Gaming Facility that shall collect on a continual basis the unaltered

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activity of each Class III Gaming Machine in use in the Gaming Facility. If a system is

implemented and paid for by the State, each Gaming Operation shall further ensure that

the wager and payout data collected shall be electronically accessible by the State

Gaming Representative upon entry of an appropriate security code. The Gaming

Enterprise or Gaming Operation shall certify that centralized computer reporting and

auditing system complies with the requirements of this Section and with Section

4(B)(13) of the Compact. The Gaming Operation and POIGRA will take all reasonable

steps to ensure:

a. that the State Gaming Representative is not able to alter or affect the operation

of any Gaming Machine or other device on the premises of the Gaming

Facility, or the data provided to the central computer;

b. that the system shall be designed maintained so as to preserve the integrity of

the system and the data contained therein, to minimize any possibility of

unauthorized access to the system or tampering with the data, and to minimize

any access by the State Gaming Representative to information other than

machine wager and payout data residing in the central monitoring and control

system; and

c. that the system for electronic access to the machine wager and payout data

collected by the each Gaming Facility or Operation central computer shall be

constructed and installed at the State's cost.

Credit. A Gaming Operation (or, in connection with gaming, a Gaming Enterprise or the

Pueblo) shall not extend credit by accepting IOUs or markers from its patrons unless and

until a credit program that complies with the Compact is implemented.

Section 11. Tribal Internal Control Standards.

Scope. This Section sets forth the process for developing and implementing Tribal Internal

Control Standards (“TICS”) for Gaming.

Requirements for Tribal Internal Control Standards (TICS). The Gaming Enterprise

must establish tribal internal controls that are at least as restrictive as the Minimum Internal

Control Standards (MICS) adopted by the NIGC. In the event that the Compact requires an

internal control standard that equals or exceeds, or conflicts with, the standards of the

MICS, the Compact standard shall prevail. These control standards must be incorporated

into the Standard Operating Procedures for the Gaming Enterprise.

Tribal Internal Control Standards.

1. Requests for Revision. At any time, the Gaming Enterprise or a Gaming Operation may

propose revisions to the TICS in writing to the POIGRA Executive Director. The

Gaming Enterprise or a Gaming Operation shall submit all new or amended controls,

including those that may be developed for a particular game or promotion or other

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activity, along with the certification by the Gaming Enterprise that the internal control

meets or exceeds the required standard, to POIGRA for review and written approval

prior to implementation.

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2. Gaming Enterprise Responsibility. It is the responsibility of the Gaming Enterprise to

notify POIGRA of any and all changes, modifications or amendments to any TICS prior

to implementation. POIGRA shall be provided complete, accurate, and up-to-date

copies of all internal controls of the Gaming Enterprise.

3. Variance from Tribal Internal Control Standards. POIGRA retains the authority to

review and approve any request by the Gaming Enterprise for a variance from the TICS

in certain limited and unique circumstances. Variances from TICS must be limited and

are not to be routinely granted. Upon receipt of the request and justification, the

Executive Director will review the variance request and make a written determination

as to whether, in its discretion, a variance is appropriate. The variance shall not be

implemented until approval by POIGRA.

Compliance. The failure to comply with the TICS constitutes an unsuitable method of

operation. If POIGRA determines that any Licensee is not in compliance with the TICS,

POIGRA shall notify the Gaming Enterprise or Gaming Operation, and may take

enforcement action under Sections 3 and 4.

Section 12. Accounting.

Accounting.

1. The Gaming Enterprise, in conjunction with each Gaming Operation, shall establish

and maintain an accounting system and procedures that shall, at a minimum:

a. Include an adequate system of internal accounting controls that shall be at

least as stringent as required by the TICS to ensure:

i. Assets are safeguarded;

ii. Financial records are accurate and reliable;

iii. Transactions are performed only in accordance general or specific

authorization of management;

iv. Transactions are recorded adequately to permit proper recording of

Gaming Revenue, including revenue sharing fees and regulatory fees,

and to maintain accountability for assets;

v. Access to assets are permitted only in accordance with the specific

authorization of management;

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vi. Recorded accountability for assets in compared with actual assets at

reasonable intervals and appropriate action is taken with respect to any

discrepancies;

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vii. Functions, duties, and responsibilities are appropriately segregated and

performed in accordance with sound practices by competent, qualified

personnel; and

viii. Permit the preparation of financial statements in accordance with

generally accepted accounting principles.

b. Be susceptible to audit:

i. Allow the Gaming Enterprise to calculate the annual fees payable to the

NIGC;

ii. Permit the calculation and payment of any Management Contractor’s

fee; and

iii. Provide for the allocation of Gaming Revenues and operating and

overhead expenses among the Gaming Enterprise, each Gaming

Operation, the Pueblo, and any Management Contractor.

Reporting. The Gaming Enterprise shall provide the Tribal Council not less frequently

than monthly with verifiable financial reports within 30 days of the month end closing.

Submission and Approval of Accounting System.

1. The Gaming Enterprise shall describe its system of internal accounting controls in

written detail for approval by the POIGRA. The system of internal Controls must

include:

a. An organizational

responsibilities;

chart

depicting

segregation

functions

and

b. A description of the duties and responsibilities of each position shown on the

organizational chart;

c. A detailed narrative description of the administrative and accounting

procedures designed to satisfy the TICS;

d. A written statement signed by the chief financial officer and the chief

executive officer of the Gaming Enterprise attesting that the system of internal

accounting controls satisfies the TICS;

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e. A report from an independent certified public accountant stating that the

Gaming Enterprise’s system of internal accounting controls has been

reviewed by the accountant and complies with the TICS and the requirements

of 25 C.F.R. 542.3(d). The report shall report each event discovered or

brought

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