# .is Pu

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URL: https://www.frixlaw.com/law-library/documents/tribal%3Apueblo_isleta%3A2835b6ccb02d1688

## Record

- **Collection:** Tribal code
- **Document type:** Tribal code

## Text

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PUEBLO OF ISLETA GAMING REGULATORY AGENCY REGULATIONS

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EFFECTIVE NOVEMBER 26, 2024

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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
F.
POIGRA Investigation Procedures. ........................................................................................ 13
G. Limitations on POIGRA Authority. ........................................................................................ 16
H. POIGRA Reporting Requirements to Tribal Council. ............................................................ 16
I.
Confidentiality and Disclosure of Information Maintained by POIGRA. .............................. 16
J.
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
F.
Assurance of Voluntary Compliance. ..................................................................................... 19
G. Settlement. .............................................................................................................................. 19
H. Criminal Convictions as Grounds for Revocation or Suspension. .......................................... 19
I.
Facts of Criminal Charge. ....................................................................................................... 19
J.
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
F.
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
F.
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
F.
Telephonic Hearings. .............................................................................................................. 32
G. Subpoenas. .............................................................................................................................. 32
H. Decision. ................................................................................................................................. 32
I.
Pueblo Court Review. ............................................................................................................. 33
J.
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
F.
Gaming License. ..................................................................................................................... 35
G. Vendor License ....................................................................................................................... 35
H. Exemptions from License Requirement. ................................................................................. 36
I.
Entities Subject to Exemption Consideration. ........................................................................ 37
J.
Other Exemption Factors ........................................................................................................ 38
K. Exceptions. .............................................................................................................................. 38
L. Application. ............................................................................................................................. 38
M. Ineligibility to Apply............................................................................................................... 39
N. Withdrawal of Application...................................................................................................... 39
O. Background Investigation ....................................................................................................... 40
P.
Temporary Permits.................................................................................................................. 40
Q. Drug Test. ............................................................................................................................... 41
R. Fingerprints. ............................................................................................................................ 41
S.
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

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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
F.
Employee Reports. .................................................................................................................. 52
G. Employment Actions: Effect on Gaming Licensees. ............................................................. 53
H. Employee Benefits and Grievance Procedures. ...................................................................... 53
I.
Information to be Furnished by Licensee................................................................................ 53
J.
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
P.
Underage Gaming. .................................................................................................................. 55
Q. Underage Employees. ............................................................................................................. 55
R. Authorized Gaming Hours. ..................................................................................................... 55
S.
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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F.
Approval. ................................................................................................................................ 63
G. Notification of Conversions or Modifications to Gaming Devices, Associated Equipment, or
Games Offered or Operated; Procedures.......................................................................................... 63
H. Shipping Notification. ............................................................................................................. 64
I.
Standard Operating Procedures Required for Gaming Devices, Associated Equipment, and
Games Offered or Operated. ............................................................................................................ 64
J.
Marking, Registration, and Distribution of Gaming Devices. ................................................ 65
K. Approval to Sell or Dispose of Gaming Devices and Associated Equipment. ....................... 65

Section 1. Definitions.
A.

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

B.

Construction. Nothing in these regulations shall be construed so as to conflict with any
provision of the Gaming Code, the Compact, or the IGRA.

C.

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

D.

Definitions.

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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.

B.

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.

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A.

C.

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

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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.

D.

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.

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2. Staff.

E.

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.

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F.

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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G.

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.

H.

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.

I.

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;

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3. The Federal Bureau of Investigation; or

J.

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.

K.

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.

B.

Grounds for Licensing Actions.

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A.

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;
or
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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C.

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.

D.

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.

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E.
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.

F.

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.

G.

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.

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H.

I.

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.
J.

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.

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K.

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.

L.

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.

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M.

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.

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N.

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.

B.

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.

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A.

C.

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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D.

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.

B.

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.

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A.

C.

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.

E.

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.

F.

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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D.

Section 6. Issuance of Regulations.
A.

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

B.

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.

C.

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;

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b. state the manner in which the comments of any interested party pertaining to
the proposed action may be submitted to the POIGRA; and

D.

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.

F.

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.

G.

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.

H.

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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E.

Section 7. Hearings.
A.

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.

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

B.

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.

D.

Hearing Procedures Generally—Contested Matters.

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C.

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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E.

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.

F.

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.

H.

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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G.

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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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I.

J.

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.
A.

Scope. This Section establishes guidelines for preventing conflicts of interest.

B.

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.

C.

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.

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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.
A.

Scope. This Section governs the evaluation of all applications for licenses under the
Gaming Code, and non-gaming permits issued to non-gaming employees.

B.

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.

C.

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.

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D.

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.

E.

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.

F.

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.

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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.

G.

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.

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H.

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.

J.

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).

K.

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.

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L.

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.

M.

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.

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N.

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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O.

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P.

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,
or

d. Whenever surrender of a permit is otherwise required under these
Regulations.

Q.

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.

S.

Duration of License. Every license issued under these regulations shall have a term of
three calendar years.

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R.

T.

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

Page 41 of 65

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.

U.
Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets;
Separation or Suspension.

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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.

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V.

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.
W.

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.

X.

Right to Hearing. Any Applicant whose license appli

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Apueblo_isleta%3A2835b6ccb02d1688. Public record. Not legal advice.