FINAL PROMULGATION OF REGULATION AMENDMENTS,
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NOTICE OF
FINAL PROMULGATION OF REGULATION AMENDMENTS,
ISSUANCE OF EMERGENCY REGULATIONS, AND
COMMENT PERIOD ON EMERGENCY REGULATIONS
February 11, 2019
Pursuant to Section 14-1-10I(5) of the Pueblo of Laguna Code, the Pueblo of Laguna Gaming Control
Board hereby promulgates as final the regulation amendments which were published for comment on
December 26, 2018. No comments were received during the comment period, and the Board has made no
further revisions.
During the preparation of those revisions for informal consultation with Laguna Development
Corporation (“LDC”) and then the public comment period, however, the text of Section 1203, which had been
approved by the Board, was inadvertently deleted from the proposed regulations. Accordingly, neither LDC
nor the general public has had an opportunity to review the proposed language of Section 1203. The Board
concludes that it would not be appropriate to simply promulgate Section 1203 with the other amendments
which were available for public review and comment.
Therefore, the Board issues Section 1203 under its authority to issue emergency regulation
amendments, effective immediately, also pursuant to Section 14-1-10I(5) of the Code. In accordance with the
Code, the Board is also issuing its notice for comments on the emergency regulations. Comments on Section
1203 are to be submitted to TGRA by hand delivery, electronic mail, first class mail, or other means, but must
be received by March 15, 2019.
The Board concludes that emergency promulgation of Section 1203 is necessary because finalizing the
regulations as published for comment on December 26, 2018 without Section 1203 would leave the Board and
TGRA without any clear process for implementing Tribal Internal Control Standards. Section 1203 sets forth
the process for development of, consultation regarding, issuance of, and hearings regarding TICS. TGRA is well
along in the process of preparing revisions to the TICS, and it is important to the regulation of gaming that it be
able to move forward with finalizing the proposed TICS, consulting with LDC, and moving toward final
implementation. Section 1203 provides necessary guidance on that process.
The emergency promulgation of Section 1203 reads:
As recognized by the Commission in 25 C.F.R. § 543.2, tribes have the authority to issue TICS. For Class
II gaming, the TICS must be “at least as stringent” as the MICS in 25 C.F.R. Part 543. For Class III gaming,
the Board and TGRA will continue to consult the Commission’s Class III MICS as guidance. For all gaming,
the Board and TGRA will modify the Commission’s MICS to address the circumstances of gaming on
Pueblo lands. The resulting TICS have the same status as these regulations.
(a)
Requests for Revision. At any time, the Gaming Enterprise or a Gaming Operation may request
revisions to the TICS in writing to the Executive Director, who shall inform the Board of the
request in writing.
(b)
Promulgation. At least annually, or when the Commission revises the MICS, upon a request from
a Gaming Enterprise or Gaming Operation, at the direction of the Board, or as deemed
appropriate by the Executive Director, the Executive Director shall initiate a TICS review and
revision process.
(1)
The Executive Director shall oversee the development of any proposed amendments to
the TICS and shall provide the proposed amendments to the Gaming Enterprise for
review and comment. Gaming Enterprise representatives and the Executive Director
are encouraged to meet to discuss the proposed amendments in lieu of or in addition
to written comments. The Executive Director may set a reasonable time period of not
less than 14 days for this process.
(2)
After completing the consultation process under paragraph (1) and considering any
comments and discussion, the Executive Director shall finalize the proposed
amendments to the TICS and shall provide them to the Gaming Enterprise and each
Gaming Facility, post them on TGRA’s website, and provide them to the Board. Unless
the Executive Director establishes a different effective date, the amendments shall
become effective seven days after receipt by the Gaming Enterprise unless a hearing is
requested under subsection (d), in which case the effective date shall be delayed until
the final decision by the Board.
(c)
Emergency Promulgation. Upon making written findings that it is necessary, the Executive
Director may issue emergency TICS 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. The Executive Director shall distribute such
emergency TICS immediately and engage promptly in the consultation process in paragraph
(b)(1). The emergency TICS shall take effect immediately unless the Executive Director
establishes a different effective date. If the Gaming Enterprise or a Gaming Operation does not
request a hearing in writing on the emergency TICS within seven days of their issuance, the
Executive Director shall complete the consultation process, consider any comments, and finalize
the amendments to the TICS using the process in paragraph (b)(2).
(d)
Board Hearing. Either within 14 days of the effective date of TICS amendments under paragraph
(b)(2) or within seven days of the effective date of emergency TICS amendments under
subsection (c), the Gaming Enterprise or a Gaming Operation may request in writing a hearing
before the Board. The hearing process shall be conducted in accordance with Section 805. At
or after the hearing, the Board or hearing officer may immediately set aside or modify
emergency TICS. The Board’s written decision upholding, modifying, or striking any TICS
amendment is final unless a party alleges that the resulting TICS violate Pueblo or federal law,
in which case an appeal to the Pueblo Court under Section 810 may be taken.
(e)
Distribution. The current TICS shall be available on the TGRA website and at its office. The
Executive Director shall ensure that notice of any final amendments, and the amendments
themselves as appropriate, are distributed in accordance with any federal law and Compact
provisions relating to Board regulations.
PUEBLO OF LAGUNA
GAMING CONTROL BOARD
REGULATIONS
EFFECTIVE February 12, 2019
NOTE: All provisions of Section 1203 constitute an emergency promulgation and are subject to notice
and comment before becoming final. Comments must be received by TGRA by March 15, 2019. In the
interim, Section 1203 is in full force and effect.
Table of Contents
PART 1 ........................................................................................................................................................................ 1
INTERPRETATIVE RULES AND DEFINITIONS ............................................................................................................... 1
101. Scope.......................................................................................................................................................... 1
102. Construction .............................................................................................................................................. 1
103. Severability ................................................................................................................................................ 1
104. Definitions .................................................................................................................................................. 1
PART 2 ........................................................................................................................................................................ 8
ORGANIZATION AND OPERATION OF THE CONTROL BOARD ................................................................................... 8
201. Scope.......................................................................................................................................................... 8
202. Organization of the Board. ........................................................................................................................ 8
203. Meetings. ................................................................................................................................................... 8
204. Delegation of Authority. ............................................................................................................................ 9
PART 3 ...................................................................................................................................................................... 12
ENFORCEMENT ........................................................................................................................................................ 12
301. Scope........................................................................................................................................................ 12
302. Grounds for Licensing Actions ................................................................................................................. 12
303. Initiation of a Licensing Action................................................................................................................. 12
304. Informal Consultation .............................................................................................................................. 13
305. Assurance of Voluntary Compliance ........................................................................................................ 13
306. Settlement ............................................................................................................................................... 13
307. Criminal Convictions as Grounds for Revocation or Suspension ............................................................. 13
308. Facts of Criminal Charge .......................................................................................................................... 13
309. Licensing Action by TGRA......................................................................................................................... 13
310. Summary Suspension............................................................................................................................... 14
311. Conditions Imposed by Board for Re-issuance of License ....................................................................... 14
312. Order of Temporary Closure .................................................................................................................... 15
PART 4 ...................................................................................................................................................................... 17
FINES AND PENALTIES.............................................................................................................................................. 17
401. Scope........................................................................................................................................................ 17
402. Review of Notice of Violation .................................................................................................................. 17
403. Civil Fine; Amount; Determination .......................................................................................................... 17
404. Procedures for Assessment of Civil Fines ................................................................................................ 17
405. Reduction or Waiver of Civil Fine ............................................................................................................ 18
406. Final Assessment...................................................................................................................................... 18
PART 5 ...................................................................................................................................................................... 19
FEES .......................................................................................................................................................................... 19
501. Scope........................................................................................................................................................ 19
502. Application and Investigative Fees .......................................................................................................... 19
503. Schedule of Fees ...................................................................................................................................... 19
504. Supplemental Fees................................................................................................................................... 19
505. Final Action .............................................................................................................................................. 19
506. Accounting of Fees................................................................................................................................... 19
PART 6 ...................................................................................................................................................................... 20
DECLARATORY ORDERS ........................................................................................................................................... 20
601. Scope........................................................................................................................................................ 20
602. Petition for Declaratory Order; Contents ................................................................................................ 20
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603. Board Action on Petition.......................................................................................................................... 20
604. Reconsideration and Appeal .................................................................................................................... 20
ISSUANCE OF REGULATIONS .................................................................................................................................... 22
701. Scope........................................................................................................................................................ 22
702. Publication ............................................................................................................................................... 22
703. Draft Regulation, Comment Period ......................................................................................................... 22
704. Adoption of Final Regulations .................................................................................................................. 22
705. Effective Date........................................................................................................................................... 22
706. Emergency Regulations............................................................................................................................ 22
707. Filing of Regulations ................................................................................................................................. 23
708. Public Hearings ........................................................................................................................................ 23
PART 8 ...................................................................................................................................................................... 24
HEARINGS ................................................................................................................................................................ 24
801. Scope........................................................................................................................................................ 24
802. Hearings ................................................................................................................................................... 24
803. Delegation to Hear Matter ...................................................................................................................... 24
804. Hearing Procedures Generally—Contested Matters ............................................................................... 25
805. Regulatory Hearings................................................................................................................................. 25
806. Adjudicative Hearings .............................................................................................................................. 27
807
Telephonic Hearings ................................................................................................................................ 29
808. Subpoenas................................................................................................................................................ 29
809. Decision.................................................................................................................................................... 29
810. Pueblo Court Review................................................................................................................................ 30
811. Public Hearings ........................................................................................................................................ 30
PART 9 ...................................................................................................................................................................... 31
CONFLICT OF INTEREST ............................................................................................................................................ 31
901. Scope........................................................................................................................................................ 31
902. Prohibitions on Giving Items of Value ..................................................................................................... 31
PART 10 .................................................................................................................................................................... 32
LICENSING ................................................................................................................................................................ 32
1001. Scope........................................................................................................................................................ 32
1002. Revocable Privilege .................................................................................................................................. 32
1003. License Requirement: Gaming Employees ............................................................................................. 32
1004. Classification of Licenses.......................................................................................................................... 33
1005. Application ............................................................................................................................................... 36
1006. Ineligibility to Apply. ................................................................................................................................ 37
1007. Withdrawal of Application ....................................................................................................................... 37
1008. Background Investigation ........................................................................................................................ 37
1009. Temporary Licenses ................................................................................................................................. 37
1010. Drug Test .................................................................................................................................................. 38
1011. Fingerprints .............................................................................................................................................. 38
1012. Duration of License .................................................................................................................................. 38
1013. Renewal ................................................................................................................................................... 38
1014. Identification Badge ................................................................................................................................. 39
1015. Right to Hearing ....................................................................................................................................... 40
1016. Issuance of a Permanent License............................................................................................................. 40
1017. Lost or Missing Identification Badge: Reporting and Replacement........................................................ 40
1018. Disqualification Criteria ........................................................................................................................... 41
1019. Applicants and Licensees: Provision of Information ................................................................................ 43
1020. Requirements for Gaming Facility License............................................................................................... 44
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1021. Gaming Facility License Application......................................................................................................... 44
1022. Compliance with Health and Safety Codes .............................................................................................. 45
1023. Compliance with Provision of Compact ................................................................................................... 45
1024. Charitable Gaming ................................................................................................................................... 47
1025. Other Gaming Prohibited......................................................................................................................... 48
PART 11 .................................................................................................................................................................... 49
GENERAL OPERATING REGULATIONS ...................................................................................................................... 49
1101. Scope........................................................................................................................................................ 49
1102. Responsibility of Licensee ........................................................................................................................ 49
1103. Discovery of Violations ............................................................................................................................ 49
1104. Authorized Gaming .................................................................................................................................. 49
1105. Unauthorized Gaming .............................................................................................................................. 49
1106. Employee Reports .................................................................................................................................... 49
1107. Employment Actions: Effect on Gaming Licensees ................................................................................. 49
1108. Employee Benefits and Grievance Procedures ........................................................................................ 50
1109. Information to be furnished by Licensee ................................................................................................. 50
1110. Inspections ............................................................................................................................................... 51
1111. Payout Schedules ..................................................................................................................................... 51
1112. False Advertising ...................................................................................................................................... 51
1113. Patron Disputes........................................................................................................................................ 51
1114. Special Rules of Conduct .......................................................................................................................... 51
1115. Transfers of Interest ................................................................................................................................ 51
1116. Underage Gaming .................................................................................................................................... 52
1117. Underage Employees ............................................................................................................................... 52
1119. Authorized Gaming Hours ....................................................................................................................... 52
1120. Complimentary Services or Items ............................................................................................................ 52
1121. Automated Teller Machines (ATM) ......................................................................................................... 52
1122. Check Cashing .......................................................................................................................................... 53
1123. Illegal Drugs; Abuse of Alcohol and Legal Drugs. ..................................................................................... 53
1124. Alcohol ..................................................................................................................................................... 54
1125. Central Computer Monitoring of Gaming Devices .................................................................................. 54
PART 12 .................................................................................................................................................................... 56
TRIBAL INTERNAL CONTROL STANDARDS ............................................................................................................... 56
1201. Scope........................................................................................................................................................ 56
1202. Adoption of Minimum Internal Control Standards.................................................................................. 56
1203. Tribal Internal Control Standards ............................................................................................................ 56
1204. Compliance .............................................................................................................................................. 57
PART 13 .................................................................................................................................................................... 58
ACCOUNTING ........................................................................................................................................................... 58
1301. Accounting ............................................................................................................................................... 58
1302. Reporting ................................................................................................................................................. 58
1303. Submission and Approval of Accounting System..................................................................................... 59
1304. Amendments ........................................................................................................................................... 59
1305. Noncompliance ........................................................................................................................................ 59
PART 14 .................................................................................................................................................................... 60
CURRENCY TRANSACTIONS REPORTING.................................................................................................................. 60
1401. Compliance with Bank Secrecy Act .......................................................................................................... 60
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PART 1
INTERPRETATIVE RULES AND DEFINITIONS
101.
Scope
This Part sets forth the definitions of various terms used in these regulations and interpretive aids.
102.
Construction
Nothing in these regulations shall be construed so as to conflict with any provision of the Gaming Code, the
Compact, or the IGRA.
103.
Severability
If any provisions of these regulations are held invalid, it shall not be construed to invalidate any other
provisions of these regulations.
104.
Definitions
When used in these regulations, the term:
(a)
“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 TGRA under the authority of the Board.
(b)
“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.
(c)
“Board” means the Pueblo of Laguna Gaming Board or any individual duly authorized under Section
204.
(d)
“Chair” means the chairperson of the Board.
(e)
“Charitable Gaming” is Gaming Activity that promotes the health, education, or welfare of the
Pueblo or its members and that is for prizes of minimal value and may be conducted by the Pueblo,
its members, and other Pueblo entities on Pueblo lands.
(f)
“Class I Gaming” means:
(g)
(1)
Social games played solely for prizes of minimal value; or
(2)
Traditional forms of Indian gaming when played by individuals in connection with tribal
ceremonies or celebrations.
“Class II Gaming” means bingo or lotto (whether or not electronic, computer, or other technological
aids are used) when players:
(1)
Play for prizes with cards bearing numbers or other designations;
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(h)
(2)
Cover numbers or designations when objects, similarly numbered or designated, are drawn
or electronically determined; and
(3)
Win the game by being the first person to cover a designated pattern on such cards;
(4)
If played in the same location as bingo or lotto, pull-tabs, punch boards, tip jars, instant
bingo, and other games similar to bingo;
(5)
Non-banking card games that:
(i)
State law explicitly authorizes, or does not explicitly prohibit, and are played legally
anywhere in the state; and
(ii)
Players play in conformity with state laws and regulations concerning hours,
periods of operation, and limitation on wagers and pot limits.
“Class III Gaming” means all forms of gaming that are not Class I Gaming or Class II Gaming, including
but not limited to:
(1)
Any house banking card games, including, but not limited to baccarat, chemin de fer,
blackjack (“21”), and pai gow (if played as house banking games);
(2)
Casino games such as roulette, craps, and keno; and
(3)
Any gaming devices defined in Section 104(p) and electronic or electromechanical
facsimiles of any game of chance;
(4)
Any sports betting or pari-mutuel wagering, including, but not limited to, wagering on horse
racing, dog racing, or jai alai; or
Lotteries.
(5)
(i)
“Code” or “Gaming Code” means the Pueblo of Laguna Gaming Control Code, Chapter 1 of Title XIV
of the Pueblo of Laguna Code and effective September 1, 2013, and including any amendments
approved by the Pueblo Council and the National Indian Gaming Commission. The Gaming Code is
the “Ordinance” or “Gaming Ordinance” required by IGRA and its implementing regulations.
“Pueblo Code” means all Pueblo law.
(j)
“Compact” means the Indian Gaming Compact between the Pueblo of Laguna and the State of New
Mexico, regarding which notice was published in the Federal Register by Department of the Interior
on October 23, 2015, and any approved amendments or successor agreements thereto.
(k)
“Disciplinary Proceedings” means those procedures undertaken by the Board to suspend or revoke
any license issued by it, to levy a civil fine or penalty against any Licensee, or to otherwise sanction
violations of gaming laws and these regulations.
(l)
“Distributor” means any person that sells, leases, markets, offers, or otherwise distributes a gaming
device for use or play on Pueblo Lands.
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(m)
“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 Board.
(n)
“Gaming” means Class II Gaming, Class III Gaming, or other game of chance involving prize, chance
and consideration, except for Class I Gaming.
(o)
“Gaming Activity” means all forms of Class II Gaming and Class III Gaming conducted by a Gaming
Operation on Pueblo Lands.
(p)
“Gaming Device” Means:
(1)
(2)
(3)
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
(i)
Which when operated may deliver, as result of the application of an element of
chance, any money or property, or
(ii)
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
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
(i)
Which when operated may deliver, as the result of the application of an element
of chance, any money or property, or
(ii)
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
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.
(q)
“Gaming Employee” means a Key Gaming Employee or a Non-Key Gaming Employee.
(r)
“Gaming Enterprise” means Laguna Development Corporation, a federally chartered corporation,
or any enterprise, corporation, or other entity wholly owned by the Pueblo and authorized to
conduct Gaming Activity in any Gaming Facility, or, for purposes of these regulations, a
Management Contractor operating or managing all or part of a Gaming Facility under a
Management Contract.
(s)
“Gaming Equipment” means any equipment, device, contrivance, or supplies, other than a Gaming
Device, used to conduct Class II or Class III gaming.
(t)
“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.
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The Board 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.
(u)
“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.
(v)
“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 Board 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.
(w)
“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.
(x)
“Gaming Services” means the provision of any goods, services or concessions in connection with
any gaming to the pueblo, Gaming Enterprise, or Management Contractor.
(y)
“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, excepting applications and data maintained by a government-regulated
financial institution.
(z)
“Gaming-Related Contractor” means any person who is a party to a Gaming-Related Contract as
defined in the Gaming Code.
(aa)
“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.
(bb)
“Immediate” or “without delay” means as soon as possible, delayed only by undertaking other
actions that are essential to the public safety or welfare.
(cc)
“Key Gaming Employee” means:
(1)
any natural person employed by a Gaming Operation who falls within the definitions of
“Key Employee” or “Primary Management Official” under IGRA and its implementing
regulations, and also any natural person employed by a Gaming Enterprise who falls within
4
one of those definitions because of job responsibilities that relate to a Gaming Operation,
Gaming Activity, or Gaming Revenues, and
(2)
such other employees as may reasonably be included by the Board by regulation because
they exercise significant responsibility or influence with respect to a Gaming Activity or
Gaming Revenues. All valet personnel shall also be considered Key Gaming Employees
unless expressly excluded by the Board by regulation or order.
The distinction between Key and Non-Key Gaming Employees is addressed more fully in 1003(c).
(dd)
“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 Board.
(ee)
“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.
(ff)
“Management Contractor” means any person who enters into a Management Contract with the
pueblo.
(gg)
“MICS” means the minimum internal control standards, whether controlling or published as
guidance, by the Commission.
(hh)
“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.
(ii)
“NIGC” means the National Indian Gaming Commission.
(jj)
“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 Board by regulation
calculated to protect the integrity of Gaming Activity and the revenues therefrom) to provide any
goods, services, or concessions which are not directly related to a Gaming Activity but which are
for use or consumption
(1)
by a Gaming Operation,
(2)
at a Gaming Facility, or
(3)
significantly by patrons of a Gaming Facility.
(kk)
“Non-gaming Services” means the provision of any goods, services or concessions, which are not
connected to any gaming on Pueblo Lands, to the Gaming Enterprise, or Management Contractor.
(ll)
“Non-Gaming Employee” means an employee of a Gaming Enterprise or Gaming Operation who is
not a Key Gaming Employee or Non-Key Gaming Employee.
(mm)
“Non-Key Gaming Employee” means any person:
(1)
who is not a Key Gaming Employee;
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(2)
who is employed either by
(a) a Gaming Operation or
(b) any employer within a Gaming Facility;
and
(3)
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; provided, however, that categories of employees, such as beverage
servers, barbacks, and similar employees, whose exposure to the Gaming Activity in such
areas is limited and who are not licensed by the Board as of September 1, 2013 will not be
licensed under this chapter unless at the express direction of the Pueblo Council. Examples
of such areas are a cage, pit, drop and count room, poker room, card and dice room,
surveillance, administrative office, and player’s club room.
Employees whose employment does not meet this definition or the definition of a Key Gaming
Employee are not licensed by the Board. Notwithstanding the foregoing, any employee who is not
a Key Gaming Employee but who is required to be licensed by the Board under Applicable Law
(excepting the Board’s regulations) or the Compact is nevertheless a Non-Key Gaming Employee.
The distinction between Key and Non-Key Gaming Employees is addressed more fully in 1003(c).
(nn)
“Non-gaming Contractor” means any person providing non-gaming services.
(oo)
“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.
(pp)
“Person” means any individual, partnership, corporation, company, or other legal entity.
(qq)
“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 Board by regulation not to exceed the greater of $5,000
or an amount allowable for similar activities under New Mexico law. The Board may authorize
raffles for prizes of greater amounts.
(rr)
“Pueblo” means the Pueblo of Laguna, a federally recognized Indian tribe, its authorized officials,
agents and representatives.
(ss)
“Pueblo Council” means the Laguna Pueblo Council, the governing body of the Pueblo.
(tt)
“Pueblo Lands” means
(1)
land with the exterior boundaries of the Laguna Reservation, or
(2)
land over which the Pueblo exercises governmental power and that is either:
(i)
held in trust by the United States for the benefit of the Pueblo or its members, or
6
(ii)
held by the Pueblo or its members subject to restriction by the United States
against alienation.
(uu)
“Sensitive Area” means an area in which Gaming Machines, Gaming Equipment, Gaming Systems,
Gaming Revenues, and other potentially vulnerable Gaming 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 TGRA either temporarily or permanently.
(vv)
“Sponsoring Organization” means any organization not organized for pecuniary profit that has been
granted an exemption from federal income tax as an organization described in 501(c)(3) of the
Internal Revenue Code, or any organization affiliated with or recognized by the Pueblo and
organized for the purpose of promoting any interest of the Pueblo.
(ww)
“State” means the State of New Mexico, its authorized officials, agents, and representatives.
(xx)
“State Gaming Representative” means a Person designated by the New Mexico Gaming Control
Board, 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 Board and
may be relied upon as such by the Board.
(yy)
“Pueblo Court” means the Pueblo of Laguna Tribal Court.
(zz)
“TICS” or “Tribal Internal Control Standards” are internal controls promulgated by TGRA or the
Board.
(aaa)
“Wager” means a sum of money or representative of value risked on an uncertain occurrence.
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PART 2
ORGANIZATION AND OPERATION OF THE CONTROL BOARD
201.
Scope.
This Part sets forth the organization of the Board and the delegation of authority.
202.
Organization of the Board.
(a)
At the first meeting of each calendar year, the Board shall select a chair and a vice-chair from among
its membership. The Board may also select a secretary-treasurer, who does not need to be a
member of the Board.
(1)
The chair shall schedule and preside at regular and special meetings. The chair shall have
general supervision, direction and control of the affairs of the Board and shall carry out
other duties that are incidental to the office or that may be assigned by the Board.
(2)
The vice-chair shall have the powers and carry out the duties assigned by the Board. In the
absence or inability of the chair to serve, the vice-chair shall be empowered to carry out all
of the responsibilities and duties of the chair.
(3)
The secretary-treasurer, if appointed, shall:
a. be the formal custodian of all files and records of the Board,
b. monitor the management of and accounting for funds allocated to the Board, and
c. be the custodian of any seal.
203.
Meetings.
(a)
The Board shall meet at least once a month to transact Board business. When practicable, the chair
shall give written notice of meetings to Board members, but the chair may call a meeting by giving
oral notice thereof to the members of the Board. The Board may request the attendance of
representatives of the Gaming Operation or Management Contractor at its monthly meetings.
(b)
The Board may hold special meetings to transact Board business.
(c)
The Board may take action at a meeting held by telephone conference call or similar electronic
means allowing immediate and simultaneous oral communication.
(d)
The Board may also take action by electronic mail or any similar electronic method that creates a
permanent record; provided, however, that any member of the Board may request that a matter
instead be addressed by a method under paragraph (c).
(e)
The Board, through the Executive Director, shall ensure that written minutes are prepared and that,
whenever possible, a recording of each meeting is made. The minutes shall be presented for
approval by the Board at the next regular meeting after they are made available to the members
of the Board for review.
8
(f)
204.
The Board may adopt a seal that may be affixed physically or electronically to a document to certify
the official action of the Board.
Delegation of Authority.
(a)
The use of the term “Board”, “chair”, or “member”, in these regulations shall not be interpreted to
preclude any authorized delegation of authority to the TGRA or other agents of the Board in
accordance with this Section.
(b)
Unless the Board directs otherwise in a specific instance, TGRA, through the Executive Director, is
hereby designated by the Board to:
(1)
Accept any notice, filing, petition, or other document required by these regulations to be
served on or submitted to the Board;
(2)
Conduct or oversee investigations;
(3)
Issue and deny temporary and permanent licenses, with the exception of permanent
Management Contractor licenses and new (not renewal) permanent Gaming Facility
licenses, for which the Executive Director shall make a recommendation to the Board and
provide the information necessary for the Board to make a suitability determination in the
first instance;
(4)
Suspend or revoke a temporary or permanent license, provided however that such
suspension or revocation shall take effect only after the recommended action is approved
by the Board or the Licensee waives the right to a hearing before the Board regarding the
proposed suspension or revocation;
(5)
Summarily suspend temporary and permanent licenses;
(6)
Inspect and examine, without notice, any Gaming Facility or Gaming Devices or equipment
on Pueblo Lands;
(7)
Investigate the conduct of all Licensees and other persons having any involvement with the
Licensee and to ensure that there is no involvement in or with a Licensee by any unqualified
or unsuitable person.
(8)
Issue subpoenas within the Board’s authority, although the Executive Director maintains
the discretion to determine that the Board should consider a specific subpoena request;
(9)
Issue notices of violation;
(10)
Assess civil fines up to $5,000 in the aggregate without Board approval;
(11)
Assess civil fines of $5,000 or more in the aggregate (subject to limits in the Gaming Code
and these regulations), provided however that such civil fines shall take effect only after
the recommended action is approved by the Board or the Licensee waives the right to a
hearing before the Board regarding the proposed fines;
9
(12)
Issue an order of temporary closure under 312(a)(4), provided, however, that the Executive
Director shall immediately provide notice of the order to the Board.
(13)
Ban or exclude a person from a Gaming Facility, permanently or temporarily, if the person
poses a danger to the public safety, the assets of a Gaming Operation, or the integrity of
gaming, provided that the decision is subject to review and hearing by the Board.
(14)
Rescind, amend, or withdraw a prior action of the Executive Director or any TGRA
employee; provided, however, that the Executive Director may not rescind or withdraw a
decision to grant a Gaming License.
(15)
Manage the day-to-day operations of TGRA;
(16)
Hire, fire, and manage TGRA personnel, including personnel matters in accordance with
applicable personnel policies, including but not limited to approval of PTO, preparation and
approval of job descriptions, and recommendation of TGRA staff salaries to the Pueblo;
(17)
Prepare annual budgets for Board review;
(18)
Prepare and execute budget modifications as necessary, subject to Pueblo limitations;
(19)
Signature authority for budgeted expenditures;
(20)
Delegate authorities to TGRA staff, provided that the ultimate delegated decision-making
authority for matters having a significant material effect on a gaming license, the conduct
of gaming, the disposition of significant Gaming Revenues, or the employment of TGRA
staff shall be retained by the Executive Director;
(21)
Appoint an Acting Executive Director for a period of less than 17 calendar days and for a
longer period with the concurrence of the chair; and
(22)
Take actions consistent with this Section to ensure that gaming is conducted in compliance
with the Code, IGRA, NIGC regulations, the Compact, and other applicable law.
(c)
The Executive Director shall ensure that adequate internal controls and procedures are in place to
implement these delegated authorities and to maintain in the Executive Director an appropriate
level of control and supervision.
(d)
The Board, on its own motion, at the discretion of the chair, upon request of TGRA, or upon written
request received within seven calendar days of a person adversely affected by the exercise of a
delegated authority under this Section, may review any determination by TGRA made under a
delegation of authority.
(e)
All delegations of authority shall remain in effect indefinitely, unless otherwise specified. Any
delegation of authority previously approved by the Board may be revoked or modified by the Board
through the adoption of a subsequent resolution. Additional delegations, or clarifications of this
Section, may be made by the Board through resolution. All changes in delegations of authority shall
periodically be incorporated into these regulations.
10
(f)
A delegation of authority for a specific matter or circumstance may be made by the Board by a
majority vote.
11
PART 3
ENFORCEMENT
301.
Scope
This Part sets forth the regulations for licensing actions.
302.
Grounds for Licensing Actions
In addition to assessing a civil fine or penalty as set forth in Rule 4, the Board may, in accordance with the
procedures set forth in this Rule 3, suspend, or revoke any license issued by it to a Person if the Board
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)
or 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 Board; or
(c)
the Licensee otherwise does not meet the suitability requirements for a License.
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 Board, 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.
303.
Initiation of a Licensing Action
TGRA or the Board 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 in 302.
The Board 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 Rule 304. However, where TGRA
determines that a summary suspension is warranted pending the opportunity for a hearing, it may follow
the procedures in Rule 310, 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.
(a)
TGRA 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.
(b)
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 Board 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.
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304.
Informal Consultation
TGRA 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 Board from
conducting a hearing.
305.
Assurance of Voluntary Compliance
TGRA 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 Board may approve or review an assurance of voluntary
compliance on its own motion or at the request of TGRA.
306.
Settlement
A Licensee and TGRA (or the Board) 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 TGRA or the Board and the respondent. If a settlement agreement is executed, the
Licensee shall be deemed to have waived all rights to further review by the Board or the Pueblo Court,
except as otherwise provided expressly in the settlement agreement.
307.
Criminal Convictions as Grounds for Revocation or Suspension
The Board 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.
308.
Facts of Criminal Charge
The charge in any jurisdiction of a Licensee with a felony or with a misdemeanor involving Moral Turpitude
may be grounds for disciplinary action. TGRA may take action under this Section based on the facts of the
criminal charge even though the Licensee may ultimately be, or has been, acquitted on the criminal charge.
309.
Licensing Action by TGRA
After appropriate investigation in connection with any licensing action, TGRA or the Board may find that
the grounds alleged for the disciplinary action do not warrant discipline, in which event the licensing action
shall be terminated. TGRA may conclude, however, that a preponderance of the evidence supports
licensing action, in which event TGRA may:
(a)
propose revocation of the license,
(b)
propose suspension of the license for a particular period of time,
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(c)
impose or propose a civil fine or penalty as provided Rule 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.
Proposed actions under (a) and (b), and proposed civil fines exceeding $5,000 in aggregate under (c), are
not effective until confirmed by the Board or the Licensee has waived the opportunity for a hearing before
the Board.
310.
311.
Summary Suspension
(a)
Where TGRA 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 TGRA incorporates such findings in its notice of violation, TGRA may summarily suspend the
Licensee’s license pending the licensing action. Any such licensing action shall be promptly
instituted and determined as provided herein.
(b)
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.
(c)
TGRA 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 state when the
summary suspension the effective date and the 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 TGRA
or the Board; or for a time set in the notice.
(d)
Within seven calendar days after receipt by the Licensee of the notice of summary suspension,
TGRA 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 TGRA and the Licensee has already complied, resolving the enforcement action. The notice
initiating a licensing action shall include an opportunity to request a hearing.
(e)
Unless the Licensee waives a hearing or a summary suspension expires of its own accord or
otherwise ends before a hearing, the Board shall hear the matter on an expedited basis as described
herein.
Conditions Imposed by Board for Re-issuance of License
TGRA 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;
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312.
(b)
Restitution of property; and
(c)
Making periodic reports to TGRA, including submission of documents required by TGRA.
Order of Temporary Closure
(a)
(1)
A Gaming Facility or Gaming Operation operates for business without a license from the
Board;
(2)
A Management Contractor operates for business without a Management Contract
approved by the NIGC;
(3)
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 Board demanding compliance; or
(4)
A Gaming Facility is constructed, maintained, or operated in a manner that imminently
threatens the environment or the public health and safety.
(b)
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.
(c)
Within seven calendar days after service of an order of temporary closure, the respondent may
request, in writing, informal expedited review by the Board.
(d)
313.
Simultaneously with or subsequent to issuance of a notice of violation under Section 303(b) of these
regulations, the Board 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;
(1)
The Board shall complete the expedited review within three business days after receipt of
a timely request.
(2)
The Board shall, within two business days after the request for expedited review:
(i)
Decide whether to continue an order of temporary closure; and
(ii)
Provide the respondent with an explanation of the basis for the decision.
Whether or not the respondent seeks informal expedited review hereunder, the respondent may
request a hearing before the full Board within 14 calendar days after TGRA or the Board serves the
order of temporary closure. Otherwise, the order shall remain in effect unless rescinded or
modified by TGRA or the Board because the basis for the closure has been or is being resolved in a
manner that has eliminated or reduced the need for a closure.
Self-Exclusion
(a)
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,
15
at a minimum, provide an appropriate toll-free crisis hotline telephone number and information on
the availability of a statewide self-exclusion program through the State Gaming Representative;
(b)
The Gaming Enterprise shall train appropriate gaming personnel for the identification of selfexcluded 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 self-excluded person from the Gaming
Facility;
(c)
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 membershiptype promotions, and return the cashable value, if any, of the self-excluded person’s membership
in the players’ club or other similar membership-type promotions;
(d)
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 this Compact (this amount is in
addition to the percentage of Adjusted Net Win already required under Section 4(B)(16) of the
Compact); and
(e)
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.
(f)
If a self-excluded person is removed from a Gaming Facility, the Gaming Operation shall report to
TGRA, 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. TGRA shall provide a written report
to the State Gaming Representative.
(g)
The Gaming Enterprise, each Gaming Operation, the Board, and TGRA 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.
16
PART 4
FINES AND PENALTIES
401.
Scope
This Part addresses the assessment of civil fines.
402.
Review of Notice of Violation
TGRA 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.
403.
Civil Fine; Amount; Determination
(a) The Board or TGRA may assess a civil fine, not to exceed $5,000.00 per violation, against a Gaming
Enterprise, Key Gaming Employee, Non-Key Gaming Employee, or any other Person for each notice of
violation issued by the Board or TGRA. The Board 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 continues for more than one day, TGRA or the Board may treat each
daily illegal act or omission as a separate violation.
(b) On its own initiative and based on the factors above, the Board may impose a civil fine after a hearing
on any violation, even if TGRA has not assessed a civil fine.
404.
Procedures for Assessment of Civil Fines
(a)
Civil Fines of over $250 in the Aggregate
(1)
TGRA or the Board 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.
(2)
If not included in the notice of violation, the TGRA shall serve a copy of the proposed
assessment on the respondent.
(3)
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.
(4)
The Board or TGRA 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.
(b) Civil Fines of under $250 in the Aggregate
(1)
TGRA is authorized to issue modest civil fines, often on a daily basis, 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
17
provide required documentation to TGRA, generally after a Licensee has signed an
agreement consenting to such fines if the documentation is not provided by a certain date.
405.
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.
(3)
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 the Board under Section 807.
The request must be received by TGRA 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.
Reduction or Waiver of Civil Fine
(a)
Upon written request of a respondent received at any time, before the filing of an appeal pursuant
to Section 805 of these regulations, TGRA or the Board may reduce or waive a civil fine if TGRA or
the Board determines that, taking into account exceptional factors present in a particular case, the
fine is demonstrably unjust.
(b)
All requests for reduction or waiver of fine shall contain:
(c)
406.
(2)
(1)
A detailed description of the violation that is the subject of the fine;
(2)
A detailed recitation of the facts that support a finding that the fine is demonstrably unjust,
accompanied by relevant documentation, if any; and
(3)
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.”
TGRA, or the Board if appropriate, shall serve the respondent with a written notice of
determination, including a statement of the grounds for the Board’s decision.
Final Assessment
If the respondent fails to request a hearing as provided in Rule 8, the proposed civil fine assessment shall
become a final order of the Board. 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.
18
PART 5
FEES
501.
Scope
This Part sets forth the regulations for the imposition of fees.
502.
Application and Investigative Fees
The License Applicant (or the Gaming Operation, by agreement between the Board and the Gaming
Operation) shall pay the fees and cost assessed by TGRA and the Board in conjunction with the application
for license and Background Investigation of the Applicant in the manner prescribed by these regulations.
503.
Schedule of Fees
Each application for a License must be accompanied by a non-refundable application fee and background
investigative fee in the amount specified on the schedule of fees, which shall be prepared and posted by
TGRA and the Board at least 60 calendar days before implementation.
504.
Supplemental Fees
If the fees and costs incurred by TGRA and the Board in processing an application, including the Background
Investigation, exceed the amount on the schedule of fees, TGRA 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.
505.
Final Action
Unless TGRA is responsible for a material delay, TGRA shall not take final action to approve any application
unless all application and background investigative fees and costs have been paid in full. TGRA may deny
the application if all application and background investigative fees and costs are not paid within a
reasonable period.
506.
Accounting of Fees
Upon written request and after the background investigation is complete, the TGRA shall provide to the
Applicant an itemized accounting of the background investigative fees and the costs incurred.
19
PART 6
DECLARATORY ORDERS
601.
Scope
This Part establishes procedures for the issuance of declaratory orders from the Board.
602.
603.
Petition for Declaratory Order; Contents
(a)
Any Person desiring the Board to issue a declaratory order regarding the applicability to that Person
of any provision or regulation relating to gaming, or order of the Board or the Executive Director,
may file a petition for declaratory order. The petition must be filed with the Executive Director
along with a non-refundable filing fee in the amount of $100.00; however, upon good cause shown
the filing fee may be waived by the Board. No fee shall be required if the petitioner is a Pueblo
governmental agency.
(b)
The petition shall state the following:
(1)
The specific provision, regulation, rule, order, decision, or determination in question;
(2)
The facts and circumstances that give rise to the request that the Board issue a declaratory
order; and
(3)
The precise issue to be addressed by the declaratory order.
Board Action on Petition
Upon receipt of a petition, the Board may request any additional information from the petitioner that it
requires for the issuance of its declaratory order. Within 60 calendar days after receipt of the petition, the
Board must dismiss the petition, hold a hearing, request briefing or additional information, or issue a
declaratory order. The Board shall not issue a declaratory order where additional information has been
requested and has not been provided. If issued, the declaratory order shall be provided to the petitioner
and, if of general applicability, may be posted on TGRA website. The Board may dismiss a petition for any
reason and is not required under any circumstances to issue a declaratory order.
604.
Reconsideration and Appeal
(a)
If the Board denies in whole or part a petition alleging a violation of or conflict with Pueblo law
(including the Pueblo’s Constitution and the Pueblo Code), the petitioner may appeal to the Pueblo
Court under Section 14-1-14 of the Gaming Code, but the appeal shall be limited to alleged conflicts
between the Board’s declaratory order and Pueblo law.
(b)
If the Board denies in whole or part a petition alleging a violation of or conflict with IGRA or binding
NIGC regulations, the Board and petitioner shall, at the request of either, confer in good faith to
determine if there is a reasonable method to obtain a definitive or substantially clarifying resolution
to the issue, and if so, shall take appropriate steps to obtain such a resolution (presumably, but not
necessarily, through the NIGC).
(c)
If the Board denies in whole or part a petition alleging a violation of or conflict with the Compact,
the Board and the petitioner, at the request of either, shall confer, including with the Pueblo as
20
appropriate, to determine if there is an acceptable method to resolve or clarify the alleged violation
or conflict, whether through consultation with the State Gaming Representative, arbitration, or
otherwise.
(d)
The Board’s decisions, conclusions, and interpretations in a declaratory order regarding its
regulations, procedures, and actions that do not allegedly conflict with the Pueblo law, IGRA, NIGC
regulations, or the Compact are final, although the petitioner may file a petition for reconsideration
with the Board.
21
PART 7
ISSUANCE OF REGULATIONS
701.
Scope
This Part establishes procedures for the issuance of regulations by the Board.
702.
Publication
Where publication is required by this or any other section of the Board’s regulations, unless otherwise
required, the publication requirement shall be satisfied by posting the relevant notice on the TGRA website,
at each Gaming Facility, at the TGRA office, and at the Pueblo’s governmental headquarters. Written notice
shall also be provided to the Government Affairs Office and each Gaming Operation.
703.
Draft Regulation, Comment Period
At least 30 calendar days before adopting or amending any regulation, the Board 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 Board. The notice shall:
704.
(a)
describe the substance of the proposed action;
(b)
state the manner in which the comments of any interested party pertaining to the proposed action
may be submitted to the Board; and
(c)
afford the interested party a reasonable time period of not less than 30 calendar days within which
to comment on the proposed action.
Adoption of Final Regulations
After considering all the written comments regarding the proposed action, the Board may adopt final
regulations at any time after the close of the comment period. The Board, in its discretion, may revise the
proposed regulation in light of comments received from an interested party or for other reasons deemed
appropriate by the Board. In addition to any other publication and notice requirements of Pueblo and
federal law, the Board shall publish the final regulation on its website and transmit a copy of the final
regulation to the interested persons that submitted comments on the proposed regulation and to the
Pueblo’s Government Affairs Office.
705.
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 Board.
706.
Emergency Regulations
Upon making written findings, the Board 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, the Board shall publish notice and
request comments from interested parties pertaining to the emergency regulations in the same manner as
22
provided in Sections 702 and 703, and upon consideration of any comments received, shall make any
amendments to the emergency regulations as the Board deems appropriate.
707.
Filing of Regulations
All final regulations adopted by the Board shall be officially filed with the Tribal Secretary and posted on the
TGRA website. The current regulations shall be available for review at the TGRA office.
708.
Public Hearings
Nothing in these regulations shall prohibit the Board from holding a public hearing to receive oral comments
pertaining to any proposed action.
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PART 8
HEARINGS
801.
Scope
This Part establishes procedures for hearings before the Board. The Board conducts three different types
of hearings as set forth below.
(a)
Regulatory hearings involve an enforcement action by the Board or TGRA against a Licensee or
other Person within its jurisdiction, such as a hearing on a proposed License suspension by TGRA or
denial of a License application. The specific processes for regulatory hearings are set out in Section
805. For civil fines of less than $250 or at the request of or with the consent of the respondent, a
telephonic hearing under Section 807 will be held.
(b)
Adjudicative hearings involve disputes between third parties, such as a dispute between a patron
and a Gaming Operation.
(c)
Public hearings involve Board matters that are of general public interest, such as promulgation of
regulations.
Adjudicative and regulatory hearings are “contested matters” for purposes of these regulations. Public
hearings are not “contested matters.” The procedures for each are set out below. The Board 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.
802.
Hearings
Whenever any provision in the Gaming Code, regulation, or compact provides for a hearing on any action
or proposed action of TGRA or the Board and a hearing is requested or required in accordance with that
provision, the Board shall schedule a hearing within the time allowed or, if no time is set, a reasonable time.
Once a hearing is requested or scheduled, the Board 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 seven calendar days after the written
notice is given.
803.
Delegation to Hear Matter
The Board may delegate authority to hear a specific adjudicative or regulatory matter to a member of the
Board or to a hearing officer selected by the Board. However, the ruling or decision shall be subject to
reconsideration by the full Board upon the request of any member of the Board, whether on the member’s
own initiative or in response to a request by any party. Such reconsideration shall be on the record
developed in the original proceeding, although the full Board may order additional proceedings. In the
absence of any delegation of authority, the full Board shall hear a matter. The Board shall not delegate
authority to a hearing officer if the person has an actual or perceived conflict of interest that, in the Board’s
sole discretion, would subvert the goal of impartial proceedings. The Board may delegate authority to one
of its members or to the Executive Director to appear at a public hearing.
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804.
805.
Hearing Procedures Generally—Contested Matters
(a)
Contested matter hearings under Section 805 or 806 shall be conducted in a semi-formal manner.
The process is intended to be flexible to allow the Board to tailor the proceedings, including preand post-hearing activities, to provide a fair and efficient forum.
(b)
Unless otherwise ordered by the Board or hearing officer, contested matter hearings are not open
to the general public. Generally only parties, their counsel, Board staff (including but not limited to
the Executive Director and investigators), Board counsel, and experts will be present throughout
the proceeding. Unless otherwise allowed by the Board or hearing officer, witnesses called by any
party or the Board will be present only when testifying.
(c)
The Board or duly authorized 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.
(d)
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 Board or hearing officer.
(e)
A party, including TGRA, may be represented by counsel. The Board may retain counsel or other
experts as it may deem necessary to conduct or evaluate any proceeding.
Regulatory Hearings
(a)
Regulatory proceedings involve issues in which TGRA has taken or proposes to take a regulatory
action under the Gaming Code, regulations, or policies. While most often license actions by TGRA
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.
(b)
The Board will ensure that an independent investigation of any matter arising under this Section
has been or is conducted. TGRA is the investigative and administrative arm of the Board, and will
generally conduct the investigation and present evidence at the hearing unless the Board concludes
that TGRA cannot conduct an impartial independent investigation.
(c)
TGRA shall provide a Hearing Request Form either with the notice of violation issued under Section
303 or within 14 calendar days thereafter, seven calendar days if a summary suspension is imposed.
The Licensee, applicant, or other party shall return the form within the time stated in the form.
Through internal procedures, TGRA may assess the nature and likely complexity of the hearing and
provide a Hearing Request form tailored to the circumstances.
(d)
The Board or hearing officer shall set a hearing date if a hearing is requested. TGRA shall provide
notice of the hearing date at the direction of the Board or hearing officer.
(e)
The Board (or hearing officer, if appointed), in consultation with TGRA as appropriate, 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 Board.
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(1)
For example, the pre-hearing schedule may include, at the discretion of the Board or
hearing officer and as appropriate:
(i)
(ii)
(iii)
(iv)
the date by which subpoenas must be requested by the Licensee or applicant;
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 TGRA, or by which access to confidential information must be provided if it is
not ordered to be produced;
the date(s) by which a list of witnesses anticipated to be used at the hearing must
be provided by or to TGRA; and
a schedule for any pre-hearing briefing.
(2)
Note that the majority of hearings conducted by the Board are not complex and do not
include a pre-hearing schedule. In these instances, TGRA 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. TGRA may provide reasonable assistance to
a party to identify unknown witnesses.
(3)
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 Board
or hearing officer may require that the Licensee, applicant, or other party and TGRA submit
to the Board and each other party a Preliminary Pre-Hearing Statement addressing matters
requested. The statement will generally be required to include:
(i)
(ii)
(iii)
(iv)
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 the Board, and
may limit the availability of pre-hearing briefing, available witnesses, and other
evidence.
The names or descriptions of any witnesses the Person plans on calling at the
hearing, including those who must be subpoenaed by the Board. If a Person does
not know the name of a witness, the party must provide as much information as
possible. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
A list of any documents or other evidence the party is requesting from the Board
or TGRA or needs to subpoena from a non-party, including the Gaming Operation.
Any other issues, concerns, or matters that the party wishes the Board 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.
After the Preliminary Pre-Hearing Statements are received in a complex matter, the Board
or hearing officer will issue a schedule setting forth the schedule up to and including the
hearing. If the alleged violator has consented or the Board 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 Board’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
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copies of all exhibits to be used at the hearing must be provided by TGRA and the alleged
violator. Both the alleged violator and TGRA 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 TGRA representative(s)
scheduled to be at the hearing. The schedule generally will also set the order of
presentation at the hearing, although TGRA generally will proceed first.
806.
(f)
At the hearing, the standard of proof is preponderance of the evidence. Hearings will generally
follow the provisions of Section 804 above. A hearing may be continued by the Board or hearing
officer, at its discretion, and resumed on a later date if deemed necessary to provide a fair hearing.
(g)
After a hearing, if any, the Board or 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.
(h)
In summary suspension cases, the Board or hearing officer may lift the summary suspension after
all evidence has been presented at the hearing.
(i)
After the Board takes final action, any party may appeal to the Pueblo Court under Section 810. In
regulatory proceedings, the Board is a party in the appeal. The Pueblo Court sits as an appellate
body to review the regulatory decision of the Board on the record created before the Board, but
the Board also appears in the appeal as the appellee.
Adjudicative Hearings
(a)
Adjudicative proceedings involve a dispute between or among third parties arising under the
Gaming Code or these regulations. While a Gaming Operation may often be a party, that need not
be the case.
(b)
By order of the Board or hearing officer, TGRA may conduct an independent investigation of any
matter arising under this Section. It must, however, do so in a patron dispute arising under Section
14-1-9 of the Gaming Code. TGRA shall prepare a written report of any investigation it completes.
(c)
Upon becoming aware of a dispute between two parties subject to the Board’s jurisdiction, the
Executive Director or his designee shall contact the parties to see if a resolution between the parties
is possible without a hearing before the Board.
(d)
If either party requests a hearing, the Executive Director or his designee shall make a preliminary
determination regarding the complexity of the matter and the hearing. In consultation with the
Executive Director, the Board or hearing officer (if appointed) shall determine how to proceed with
scheduling a hearing and any pre-hearing activities.
(e)
TGRA, in consultation with the Board or hearing officer, shall inform the parties of the hearing date
if a hearing is requested.
(f)
The Board (or hearing officer, if appointed), in consultation with TGRA, 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 Board.
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(1)
The pre-hearing schedule may include, at the discretion of the Board or hearing officer and
as appropriate:
(i)
(ii)
(iii)
(iv)
the date by which subpoenas must be requested by the Licensee, applicant, or
other party;
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 TGRA;
the date(s) by which a list of witnesses anticipated to be used at the hearing must
be provided by or to TGRA; and
a schedule for any pre-hearing briefing.
(2)
Note that many of the adjudicative hearings conducted by the Board are not complex and
do not require a pre-hearing schedule. In these instances, TGRA will attempt to work
cooperatively to ensure that any questions the parties may have are answered and
establish a date by which any subpoena requests by the parties must be submitted. TGRA
may provide reasonable assistance to a party to identify unknown witnesses.
(3)
In the rare instances in which a hearing is anticipated to be unusually complex, and
particularly if one or more parties are represented by counsel, the Board or hearing officer
may require that the parties submit to the Board and each other party a Preliminary PreHearing Statement addressing matters requested. The statement will generally be required
to include:
(i)
(ii)
(iii)
The names or descriptions of any witnesses the party plans on calling at the
hearing, including those who must be subpoenaed by the Board. If a party does
not know the name of a witness, the party must provide as much information as
possible. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
A list of any documents or other evidence the party is requesting from another
party or needs to subpoena from a non-party, including the Gaming Operation.
Any other issues, concerns, or matters that the party wishes the Board 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.
After the Preliminary Pre-Hearing Statements are received in a complex matter, the Board
or hearing officer will issue a schedule setting forth the schedule up to and including the
hearing. If the parties consent or the Board or the hearing officer believes more time is
necessary to accommodate the pre-hearing schedule, 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 Board’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 the parties. The parties 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 TGRA representative(s) scheduled to be at the hearing. The schedule
generally will also set the order of presentation at the hearing.
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807
808.
(g)
At the hearing, the standard of proof is preponderance of the evidence. Hearings will generally
follow the provisions of Section 804 above. A hearing may be continued by the Board or hearing
officer, at its discretion, and resumed on a later date if deemed necessary to provide a fair hearing.
(h)
At the hearing, generally the party who requests the hearing will go first with its witnesses; the
other part(ies) will then follow, with a return to the first party for any rebuttal. TGRA may also
present evidence and testimony if the Board or hearing officer so allows. The standard of proof for
factual matters is a preponderance of the evidence. Hearings will generally follow the provisions
of Section 804 above.
(i)
After a hearing, if any, the Board or 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.
(j)
After the Board takes final action, any party may appeal to the Pueblo Court under Section 810. In
adjudicative proceedings, the Board is not a party in the appeal.
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.
(a)
The Board or hearing officer will ensure that documents deemed relevant and not confidential are
available to all parties before the hearing.
(b)
The teleconference will be informal, with the Board or hearing officer determining the order and
manner of the presentation.
(c)
A decision may be rendered orally by the Board or hearing officer during the hearing but regardless
a written decision shall be rendered by the Board or hearing officer as provided in Section 809.
Subpoenas
When allowed under the Gaming Code or these regulations, any party to a contested matter may request
that the Board subpoena witnesses within the Board’s jurisdiction, or documents or other tangible things
in the possession of a Person within the Board’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 Board, hearing officer, or Executive Director 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 Board’s jurisdiction. The requested subpoena may be modified by
the Board, hearing officer, or Executive Director 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 Board, hearing officer, or Executive Director. In regulatory hearings, the Executive Director may issue
subpoenas sought by TGRA only at the direction of the Board or hearing officer but may not decline to issue
or modify a subpoena request except at the direction of the Board or hearing officer.
809.
Decision
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The Board or 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 Board or 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
Board or 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 Board reasonably determines and provides notice to all parties that further proceedings will take place,
including full Board review of a hearing officer’s decision, the decision of the Board is a final action.
810.
Pueblo Court Review
Unless otherwise expressly stated in the Gaming Code or herein, any party aggrieved by a final decision of
the Board may appeal that decision to the Pueblo Court pursuant to Section 14-1-14 of the Gaming Code,
by filing a written notice of appeal with the clerk of the Pueblo Court, and serving a copy thereof on the
Board and all other interested parties, no later than fourteen calendar days from the date of the Board’s
final action.
811.
Public Hearings
The Board may also hold public hearings to address matters of general public interest. Unless procedures
are specified herein, such hearings should be held after reasonable general notice to potentially interested
Persons and in a fair and open manner.
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PART 9
CONFLICT OF INTEREST
901.
Scope
This Part establishes guidelines for preventing conflicts of interest.
902.
Prohibitions on Giving Items of Value
Within a calendar year, no Licensee or Applicant for a license shall give any thing or things exceeding $250
in value to any Board member or TGRA employee, or to any agent of the Board or TGRA. This Section does
not apply to meals, food, or other 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 Licensee or Applicant may
consult with TGRA if the propriety under this Section of any gift is uncertain.
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PART 10
LICENSING
1001. Scope
This Rule governs the evaluation of all applications for licenses under the Gaming Code.
1002. Revocable Privilege
(a)
Any license that is issued by authority of the Board is a revocable privilege and no Person holding a
license or approval shall be deemed to have acquired any vested rights therein or thereunder.
(b)
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 Board 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.
(c)
An application for a license shall constitute a request to TGRA 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
TGRA, the Applicant specifically consents to the making of that decision by the Board and TGRA.
1003. License Requirement: Gaming Employees
(a)
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.
(b)
A Gaming Operation shall not employ a Key Gaming Employee who does not hold a permanent
license within 90 days of his or her date of hire.
(c)
Classification of Gaming Employees
(1)
Purpose. In some instances, the distinctions between Key Gaming Employees and Non-Key
Gaming Employees, and between Gaming Employees and Non-Gaming Employees have
caused confusion. Those distinctions have evolved over time based on position-by-position
assessments. The factors considered in those assessments are too complex to define in
these regulations a manner that would provide certain results as new positions are created.
Moreover, the Pueblo Council, in enacting the Gaming Code amendments in 2013, placed
a restriction on the discretion of the Board in classifying employees who must be licensed,
stating that “categories of employees, such as beverage servers, barbacks, and similar
employees, whose exposure to the Gaming Activity in such areas is limited and who are not
licensed by the Board as of September 1, 2013 will not be licensed under this chapter unless
at the express direction of the Pueblo Council.” Accordingly, this subsection (c) provides a
mechanism for continued evaluation of each position as it is created for classification as a
Key Gaming Employee, Non-Key Gaming Employee, or Non-Gaming Employee position and
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for maintaining a definitive listing of those classifications in a schedule published by the
Board and updated on a periodic basis.
(2)
Classifications by Position Title. The Board shall maintain a schedule listing each position
title and its classification for licensing purposes. The schedule shall be available on TGRA
website and shall be provided promptly to each Gaming Enterprise and Gaming Operation.
(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
Board to add the position to 1003(c)(2). The Executive Director shall promptly notify each
Gaming Enterprise and Gaming Operation of the interim classification, which shall be
effective and not subject to review until the Board updates the schedule under paragraph
(4).
(4)
The Board 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.
1004. Classification of Licenses
As provided in the Gaming Code, certain Persons are required to obtain a license from TGRA 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.
(a)
Gaming License. A Gaming License is required of natural persons 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 Non-Key Gaming Employee License is required for any Person employed as a Gaming
Employee but not as a Key Gaming Employee.
(4)
A Primary Management Official Gaming License is required for each Board member and any
Person employed by TGRA or otherwise under the authority of the Board in any capacity
involving the regulation of any Gaming Activity or access to information involving any
Gaming Activity.
(5)
A Primary Management Official Gaming License is required for each member of the board
of directors or similar body of a Gaming Enterprise, Gaming Operation, or Gaming Facility.
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(b)
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.
(c)
A Gaming Facility License is required for a Gaming Enterprise or Gaming Operation to conduct
Gaming at a Gaming Facility.
(d)
Contractor License. Contractor 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 in the Gaming Code and
these regulations. Contractor licenses are issued in the following subcategories:
(1)
A Gaming-Related Contractor 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 Contractor 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 TGRA, or to sensitive information regarding any of the
aforementioned.
(2)
A Non-Gaming Contractor 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.
(e)
A Special Gaming License may be granted to any Person that TGRA determines must be licensed
under Gaming Code Section 14-1-5A(7) to protect the integrity of gaming but does not fit within
any of the license types listed above.
(f)
Exemptions from License Requirement.
TGRA may issue an exemption regarding Persons otherwise required to have a Non-Gaming
Contractor License or a Construction Contractor License.
(1)
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 TGRA
with or without a request from the Contractor or the Gaming Operation. However, if TGRA
determines that the determination of a Contractor’s potential exemption may be involved
factually or otherwise, TGRA may require that the Gaming Operation request an exemption
on forms prescribed by TGRA.
(2)
TGRA may request from the Gaming Operation any information deemed necessary to
assess the request for an exemption. As an alternative and in its discretion, TGRA may
request such information directly from the Person seeking the exemption.
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(3)
TGRA may assess a reasonable fee when making a determination regarding a request for
exemption, including research and staff costs.
(4)
Unless indicated otherwise by TGRA when granting an exemption, an exemption shall have
a duration of one year.
(5)
Exemptions are granted at the sole discretion of TGRA under the authority of the Board.
Denials of exemption requests are subject to hearing by the Board under Section 8.
(6)
Entities Subject to Exemption Consideration. TGRA may grant an exemption to a NonGaming Contractor 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 TGRA:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(x)
(xi)
(xii)
(xiii)
Corporations that are publicly traded on a recognized stock exchange with annual
gross revenue of more than $50 million;
National or regional chains having ten or more locations in at least five states;
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;
National delivery services, including the United States Post Office, United Parcel
Service, Fed Ex, and similar entities;
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;
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;
Transportation companies retained by a Gaming Operation or Gaming Enterprise
to provide service to Patrons at a fixed contract rate;
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;
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.
The United States, the State of New Mexico, and the Pueblo of Laguna, each as the
recipient of payments from Gaming Revenues as required by Applicable Law, the
Compact, or agreement.
Trade or Interest Group Associations that are registered with a tribal, state or
federal government (e.g., the National Indian Gaming Association).
Non-profit organizations registered with a tribal, state or national government and
which must regularly report their financial condition publicly.
Commercial airlines, Amtrak, and other regulated public carriers.
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(xiv)
(7)
Other Exemption Factors. A Non-Gaming Contractor 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:
(i)
(ii)
(8)
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.
It provides only standardized goods at published prices, notwithstanding any
volume discounts;
It does not provide tangible or intangible items of value to the individual placing an
order (e.g., gift cards, coupons).
Exceptions. Even if a Person would otherwise meet the criteria for a license exemption,
that Person shall not be granted an exemption if the contract requires or allows:
(i)
(ii)
on-site work in or near a sensitive area, or
any work that provides access to Gaming Machines or Gaming Systems.
1005. Application
(a)
An Applicant for any type of license must apply on forms provided by the Board. The application
forms shall be completed under the penalty of perjury. The application forms may include
questions concerning the following:
(1)
Personal background information;
(2)
Financial information;
(3)
Participation in legal and illegal gaming or other activities in any jurisdiction;
(4)
Criminal record information;
(5)
Information concerning all pecuniary and equity interest in the Applicant; and
(6)
Other information as required.
(b)
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.
(c)
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 TGRA. 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.
(d)
An application may be amended in any respect by leave of TGRA at any time before final action by
TGRA. 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.
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1006. Ineligibility to Apply.
If an Applicant is deemed by TGRA to be ineligible to apply for a license under Section 1018 or otherwise, the
application may be summarily rejected.
(a)
The fee paid shall not be refunded.
(b)
A summary rejection is not a license denial.
(c)
Within seven calendar days, the Applicant may seek a hearing before the Board under Rule 8 of
these regulations. Applicants are cautioned, however, that matters leading to an ineligibility
determination are generally straightforward and not likely to be overturned after a hearing.
(d)
The Applicant shall remain ineligible to apply until the underlying matter resulting in ineligibility
(e.g., a pending criminal charge) is resolved.
1007. Withdrawal of Application
(a)
An Applicant may file a written request to withdraw an application at any time before TGRA takes
final action on the application. Final action by the Board on the application occurs when TGRA
grants or denies a license.
(b)
TGRA may, in its discretion, deny or grant the request for withdrawal of application with or without
prejudice. The application fee is nonrefundable.
(c)
If TGRA 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.
1008. Background Investigation
Consistent with Section 14-1-6 of the Gaming Code, Applicants for licenses shall provide all documents and
information requested by their application forms and all other documentation or information that TGRA
may deem necessary. TGRA shall examine the Applicant’s background, personal history, financial
associations, character, record, and reputation and persons associated with the Applicant to the extent that
TGRA 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.
1009. Temporary Licenses
(a)
TGRA, may its discretion, issue a temporary license, for up to 90 days, to any Applicant for license
upon the following grounds:
(1)
The application in its entirety indicates that:
(i)
The Applicant meets the preliminary criteria for licensing;
(ii)
The Applicant does not appear to present any danger to the public or to the
reputation of gaming on Pueblo Lands;
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(iii)
(2)
Preliminary review reveals no indication that further investigation will reveal
disqualifying information; and
The Applicant has paid all applicable fees.
(b)
TGRA may change a temporary license into a permanent license when the Background Investigation
is complete and TGRA is satisfied that the holder of the temporary license is suitable to hold a
permanent license.
(c)
When TGRA changes a temporary license into a permanent license, the date of issuance of the
license shall be that of the temporary license.
(d)
A temporary license 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.
(e)
TGRA may issue consecutive temporary licenses except to employees meeting the definition of a
Key Gaming Employee.
1010. Drug Test
(a)
At the time it makes a decision to hire any Gaming Employee, the Gaming Enterprise or Gaming
Operation shall cause a drug test to be administered to the Applicant in accordance with Section
1123 of these regulations.
(b)
The Gaming Enterprise or Gaming Operation shall not hire or retain any Gaming Employee who
tests positive for illegal drugs.
(c)
If a positive drug test result is obtained, the Gaming Enterprise or Gaming Operation may permit
the Gaming Employee or applicant for a Gaming Employee position to be retested in accordance
with the drug testing plan approved pursuant to Section 1123 of these regulations.
1011. Fingerprints
Applicants shall submit to fingerprinting by the Board or its authorized agent. The Gaming Enterprise or
Gaming Operation shall direct all Applicants to TGRA offices or other authorized location for the taking of
fingerprints as provided in the Code.
1012. Duration of License
Every license issued under these regulations shall have a term of one calendar year except: (1) Any license
for a Management Contractor shall be renewed automatically each year during the term of the
Management Contract unless the Board determines that the Management Contractor is in violation of
applicable law; (2) Gaming Facility Licenses shall be for up to three years.
1013. Renewal
Every Licensee shall submit an application for renewal of a license on a form prescribed by TGRA and pay
the appropriate renewal fee no more than 60 calendar days and no less than 30 calendar days before the
license expires.
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(a)
TGRA 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 TGRA may not consider any application for
renewal of a license received by TGRA after the license has expired. Instead, the Applicant must
submit a new license application, including all fees and penalties.
(b)
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
(1)
new or corrected information that responds to the questions on the original application,
and
(2)
information that responds to questions not previously asked by TGRA.
(c)
TGRA may, if it deems it necessary, conduct further Background Investigation with respect to any
application for renewal of a license.
(d)
TGRA shall renew or deny the license renewal but may deny an application for renewal only on the
basis of new information not before TGRA when it previously granted the license.
(e)
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 Rule 8.
(f)
An employee whose application for a License renewal is approved shall surrender the old badge
upon issuance of the new badge.
1014. Identification Badge
The Gaming Enterprise, Gaming Operation, or Management Contractor shall issue an identification badge
to each licensed Gaming Employee, to include: full name, photograph, an employee license number
assigned by TGRA, and expiration date.
(a)
Display of Identification Badge
(1)
Each Gaming Employee shall prominently wear his or her Identification badge in a manner
so that it is visible to Surveillance operations while on duty or while in an area restricted to
employees. Surveillance and security personnel may conceal their badges if in accordance
with an internal procedure approved in advance by TGRA.
(2)
Each other Licensee shall prominently wear his or her Identification badge in a manner so
that it is visible to Surveillance operations while conducting business within a Gaming
Facility or sensitive area.
(b)
Identification badges shall not be altered, defaced, or obscured.
(c)
Badge Disposition Upon Employee Separation.
(1)
Upon separation from employment, each licensed employee shall surrender his or her
identification badge to the Gaming Enterprise, Gaming Operation, or Management
Contractor by the end of the employee’s last day of employment.
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(2)
The Gaming Enterprise, Gaming Operation, or Management Contractor shall promptly
return each badge to TGRA.
(d) Contractor Badges - Disposition
(1)
Upon the termination of a Contractor License, any and all badges in the possession of the
contractor shall be surrendered to TGRA as soon as practicable.
(2)
If a licensed representative of a contractor separates from the contractor, the contractor
shall immediately notify both TGRA and the Gaming Enterprise, Gaming Operation, or
Management Contractor with which it contracts.
1015. Right to Hearing
Any Applicant whose license application is denied by TGRA or a Licensee whose (non-temporary) gaming
license is subject to a proposed suspension or revocation by TGRA may request a hearing before the Board
by filing a written request for hearing with the Board within seven calendar days after receiving the notice
of denial of application or notice of proposed revocation or suspension. The Board shall set a hearing date,
which shall be no later than thirty calendar days after receipt of the request for hearing, unless the Applicant
for good cause requests an extension or unless one or more of (1) pre-hearing procedures, (2) pre-hearing
briefing, and (3) availability of the parties and a hearing officer requires a longer time. The Applicant or
Licensee may be represented by counsel at the hearing. The hearing shall be held in accordance with the
provisions in Rule 8. The Board’s decision following the hearing shall be final, subject to the Applicant’s or
Licensee’s right of appeal to the Pueblo Court as set forth in Section 14-1-5C(4) of the Code. Temporary
licensees do not have a right to a hearing, although the Board may at its discretion and under extraordinary
circumstances elect to grant a hearing if the temporary licensee requests one in writing within seven
calendar days of receiving notice of a revocation or suspension.
1016. Issuance of a Permanent License
(a)
Upon its approval, TGRA shall issue a permanent license to the Applicant within seven calendar
days, at which time the temporary license (if any) shall expire. The License approval may be subject
to conditions under Section 311.
(b)
The Board shall not issue a permanent license to any Key Gaming Employee Applicant until the
earlier of
(1)
the expiration of the 30-day period for the NIGC to review the Applicant’s application for a
license and TGRA’s investigative report, including the eligibility determination, as set forth
in 25 C.F.R. § 558, or
(2)
receipt of a Notice of Results from the NIGC stating no objection.
1017. Lost or Missing Identification Badge: Reporting and Replacement
(a)
Timely completion of the notifications in (b) and (c) is imperative. All Licensees should be aware
that TGRA and the Board consider control of identification badges to be critical to the integrity of
Gaming and the protection of Gaming Revenues.
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(b)
(c)
(d)
If any Licensee loses or has not maintained control of his or her identification badge, the Licensee
shall:
(1)
immediately notify the Gaming Enterprise, Gaming Operation, or Management Contractor,
(2)
file a sworn statement with the Gaming Enterprise, Gaming Operation, or Management
Contractor verifying the loss and the circumstances thereof, and
(3)
pay a fee for a replacement badge.
Upon learning from a Licensee that an identification badge has been lost, the Gaming Enterprise,
Gaming Operation, or Management Contractor shall notify at the earliest opportunity and in the
following order:
(1)
the IT Department of the loss or loss of control so that the badge is disabled immediately;
(2)
risk management or other designated department by email; and
(3)
TGRA Licensing of the loss and the circumstances thereof by email.
Each Gaming Enterprise, Gaming Operation, or Management Contractor shall develop a protocol
for determining when an employee or other Licensee’s absence is unexplained and to disable the
Licensee’s badge in a timely manner until the security risks relating to an unexplained absence are
fully resolved.
1018. Disqualification Criteria
(a)
(b)
A prospective Licensee is ineligible to apply for a license:
(1)
During the pendency of a current prosecution or pending charge in any jurisdiction for any
offense that, if convicted thereof, would or could result in a license denial,
(2)
If he or she does not meet the age requirement for a license,
(3)
If the Applicant’s status to work in the United States is under review,
(4)
If the Applicant has been temporarily excluded from Pueblo lands by the Pueblo, or
(5)
As determined by TGRA, the Applicant cannot currently be licensed but may be eligible for
a license in the future.
TGRA shall deny a license to any Applicant on the basis of the following criteria:
(1)
Failing to prove by clear and convincing evidence that the Applicant is qualified in
accordance with the Gaming Code and these regulations;
(2)
Conviction of any crime (a) classified as a felony as of the date of the conviction or of any
gambling related crime and (b) committed on or after the Applicant’s eighteenth birthday;
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(c)
(3)
Conviction of any gambling related misdemeanor or other misdemeanor involving theft,
fraud, misrepresentation, or dishonesty if the offense was committed on or after the
Applicant’s eighteenth birthday;
(4)
Failing to pass a drug test deemed credible and trustworthy by TGRA;
(5)
Failing to reveal any material fact pertaining to qualification, or supplying information that
is untrue or misleading as to any material fact pertaining to qualification;
(6)
Refusal to cooperate with any legislative body or other official investigatory body of any
state, Indian tribe, or of the United States when such body is engaged in the investigation
of crimes; or
(7)
The Applicant, or any of its officers or directors, or any of its general partners, or any
stockholders, limited partners, or other persons having a financial or equity interest of five
percent or greater in the Applicant, is or has been a professional gambler.
(8)
Failure to comply with any lawful directive or order of TGRA or the Board.
(9)
Failure to disclose material information to a Gaming Enterprise, Gaming Operation, or
Management Contractor, even if truthful information is later disclosed.
TGRA may deny a license to any Applicant on the basis of the following criteria:
(1)
Failure to provide information, documentation and assurances required by the Gaming
Code or requested by the Board;
(2)
A final decision by any other governmental entity responsible for licensing persons or
entities with respect to gaming activity under such entity’s jurisdiction on grounds
suggesting unfitness on the part of the Applicant;
(3)
Association with known criminals or person reliably believed by law enforcement agencies
to be engaged in corrupt or criminal activities, or with persons identified by the Board or
any other governmental entity as being disqualified from gaming activities;
(4)
Violation of any tribal or federal laws or regulations related to Indian gaming;
(5)
For any other reason that TGRA reasonably determines that the Applicant could pose a
threat to the public interest or to the effective regulation of Gaming Activity on Pueblo
Lands, or creates or enhances the dangers of unsuitable, unfair, or illegal practices and
methods and activities in the conduct of gaming activity on Pueblo Lands; or
(6)
Past due financial obligations that exceed $2,500 for any one collector or $5,000 in the
aggregate, except that TGRA may, in its discretion, consider whether those debts are
composed of one or more of the following categories and therefore are likely to pose an
acceptable level of risk regarding the integrity of Gaming:
(i)
(ii)
(iii)
Medical expenses;
Closed delinquent debt;
Repossession;
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(iv)
(v)
(7)
(d)
(e)
Charge-Offs; or
Foreclosure.
Conviction of one or more offenses that would result in automatic disqualification under
subsection (b)(2)-(3) but which were committed before the Applicant’s eighteenth
birthday. While TGRA does not generally obtain juvenile criminal records, such information
is sometimes available and may be relevant to the suitability determination. When
evaluating such information and its effect on a license determination, TGRA may consider
all relevant factors, including but not limited to: the length of time since the offense; the
severity of the offense; the Applicant’s age at the time of the offense; whether the
Applicant was charged, tried, or otherwise treated as an adult; and any evidence of
rehabilitation.
Applicants for a license renewal are subject to automatic disqualification based on the criteria in
subsection (b) above. TGRA may deny an application for a license renewal based on the criteria
listed in subsection (c) above. If a renewal Applicant has a pending prosecution or charge in any
jurisdiction for any offense that, if convicted thereof, would or could result in a license denial, TGRA
may
(1)
declare the Applicant ineligible to apply for a renewal until the prosecution or charge is
resolved,
(2)
grant the license renewal subject to required appropriate reporting by the Licensee on the
status of the prosecution or charge, or
(3)
take such other action as may be appropriate under all the circumstances of the renewal
application.
If a license application is denied, the Board may after hearing and under extraordinary
circumstances waive a criterion for mandatory or discretionary disqualification if, under all the
circumstances, it concludes that granting a license would not pose an undue risk to the integrity of
gaming. Relevant factors may include the nature of the disqualifying event as it relates to any threat
to the integrity of gaming, the length of time since the disqualifying event, the Applicant’s conduct
since the disqualifying event, and similar considerations. Waiver is at the sole and absolute
discretion of the Board.
1019. Applicants and Licensees: Provision of Information
(a)
Fingerprints, Handwriting Exemplars, and Photographs. All Applicants for licenses issued by TGRA,
and all persons holding such licenses, including all persons interested, directly or indirectly, in the
gaming business or license held by an Applicant or Licensee, shall upon request by the Board or
division provide fingerprints and handwriting exemplars, and each such Person shall allow himself
or herself to be photographed in accordance with procedures established by the Board.
(b)
Requests or Subpoenas for Information. Upon issuance of a formal request or subpoena issued
under the authority of the Board to answer or produce information, evidence, or testimony, each
Applicant and Licensee shall comply with the request or subpoena. Where an Applicant or Licensee,
or any employee or Person interested, directly or indirectly, in an application or license either
refuses or fails to comply with such a request or subpoena, the license or application may be
suspended, revoked, or denied based solely upon such failure or refusal.
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(c)
Notification of Current Address
(1)
It is the responsibility of each Licensee to inform the Board of any change in his, her, or its
current address within 10 days of the change.
(2)
As provided in Section 14-1-13B(2) of the Gaming Code, the Board and TGRA may rely on
the last reported address for purposes of providing service or notice to a Licensee or
Applicant under the Code, these regulations, and the policies and rules of the Board.
1020. Requirements for Gaming Facility License
(a)
The Applicant must submit a drawing to scale of the Gaming Facility that depicts the number of
gaming devices, table games, or other games of chance for play and their location within the
Gaming Facility in a manner that provides for adequate supervision of each gaming device, table
game, or other game of chance, including:
(1)
An unobstructed view of each gaming device, table game, or other game of chance from
the point of supervision;
(2)
Any mirrors necessary to maintain adequate supervision; and
(3)
The location of surveillance cameras.
(b)
The Gaming Enterprise shall not increase the number of gaming devices, table games, or other
games of chance or change the location of any gaming device, table game, or other game of chance
without the approval of TGRA.
(c)
A request for approval to increase the number of gaming devices, table games, or other games of
chance, or a change in the location of any gaming devices, table games, or other games of chance
shall be accompanied by a diagram to scale depicting the new location of the gaming devices, table
games, or other games of chance within the Gaming Facility.
(d)
A request to change surveillance camera coverage must be approved in advance by TGRA and must
be supported by adequate documentation.
1021. Gaming Facility License Application
(a)
A separate application is required for each Gaming Facility.
(b)
TGRA may deny an application for a Gaming Facility License, if it determines that the proposed
place or location for the Gaming Facility is unsuitable for the conduct of gaming. Without limiting
the generality of the foregoing, the following places or locations may be deemed unsuitable:
(1)
the immediate vicinity of churches, schools, religious sites, and children’s public
playgrounds;
(2)
any place where gaming would be contrary to Pueblo law;
(3)
premises lacking adequate supervision or surveillance;
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(4)
premises difficult to police; or
(5)
any other premises where the conduct of gaming will be inconsistent with the public policy
of the Pueblo.
1022. Compliance with Health and Safety Codes
(a)
With respect to construction and maintenance of a Gaming Facility, the Gaming Enterprise, Gaming
Operation, or Management Contractor shall comply with, and certify to the Board its compliance
with, the more stringent of either
(1)
Pueblo law, or
(2)
Each of the following codes:
(i)
(ii)
(iii)
(iv)
(v)
Uniform Building Code;
Uniform Plumbing Code;
Uniform Mechanical Code;
National Electrical Code; and
National Fire Code.
The standard to be applied shall be based on the Pueblo law and the uniform codes in force
at the time the construction or maintenance is performed.
(b)
Pursuant to the Compact, inspectors from the Indian Health Service may inspect a Gaming Facility's
food service operations during normal Gaming Facility business hours to assure that standards and
requirements at least equivalent to those in the Food Service Sanitation Act [NMSA 1978, § 25-1-1
(1977, as amended through 2014)] are maintained.
(1)
TGRA shall provide documentation of any inspections by IHS to the State Gaming
Representative with the annual Compliance Report required by the Compact.
(2)
If IHS does not conduct such inspections, the State Department of Environment may
conduct such inspections during the same hours to assure that standards and requirements
in the Food Service Sanitation Act [NMSA 1978, § 25-1-1 (1977, as amended through 2014)]
are maintained
1023. Compliance with Provision of Compact
Each Gaming Operation shall comply with all applicable provisions of the Compact including, but not limited
to, the following specific provisions:
(a)
The Gaming Operation shall comply with the more stringent of:
(1)
Pueblo law, or
(2)
Federal laws generally applicable to Indian tribes and relating to wages, hours of work, and
conditions of work (including applicable implementing regulations), including specifically
45
(i)
(ii)
the Fair Labor Standards Act of 1938 and
the Occupational Safety and Health Act of 1970.
A federal law is “generally applicable to Indian tribes” if:
(i)
(ii)
(iii)
the law is not susceptible to a good faith argument that it does not apply to Indian
tribes,
the United States Court of Appeals for the Tenth Circuit or the United States
Supreme Court has held in an opinion that has not been reversed or overruled that
the law is generally applicable to Indian tribes, or
a court of competent jurisdiction has held that the law is applicable to the Gaming
Operation specifically.
(b)
With respect to any construction project involving any Gaming Facility or related structure that is
funded in whole or in part by federal funds, all workers will be paid wages meeting or exceeding
the standards established for New Mexico under the federal Davis-Bacon Act.
(c)
Upon request by a visitor or a visitor’s designated representative, a Gaming Operation or TGRA
shall provide:
(1)
a copy of the Pueblo Court’s rules of civil procedure (or, if acceptable to the visitor or
representative, the information necessary to find those rules online);
(2)
the name, address and telephone number of the Gaming Operation; and
(3)
the mailing address and telephone number of the clerk of the Pueblo Court.
(d)
A Gaming Enterprise, Gaming Operation, or the Pueblo shall not discriminate in the employment of
persons to work for a Gaming Operation or in a Gaming Facility on the grounds of race, color,
national origin, gender, sexual orientation, age or handicap; provided, however, that nothing herein
shall be interpreted to prevent the Pueblo from granting preference in employment to tribal
members or other Indians in accordance with established tribal laws and policies.
(e)
Each electronic or electromechanical gaming device in use at the Gaming Facility must pay out a
mathematically demonstrable percentage of all amounts wagered, which must not be less than
eighty percent (80%), and requiring the Gaming Enterprise to prominently post in visible locations
within the Gaming Facility notices stating that the Gaming Enterprise is in compliance with this
requirement, and providing a comprehensible explanation of what it means.
(f)
The Gaming Enterprise to spend, annually, an amount that is no less than one-quarter of one
percent (.25%) of its Adjusted Net Win to fund or support programs that the Gaming Enterprise, in
consultation with the Pueblo as appropriate, selects for the treatment and assistance of compulsive
gamblers in New Mexico or who patronize New Mexico gaming facilities, and for the prevention of
compulsive gambling in New Mexico. A substantial portion of such funds shall be distributed to
one or more organizations that have expertise in and provides counseling, intervention, or other
services for compulsive gamblers in New Mexico, and whose services are available to all persons
without regard to race or tribal membership. The Gaming Enterprise shall submit a report
46
accounting for the use of these funds to TGRA, which shall submit it to the State Gaming
Representative annually along with other Compliance Report materials.
(g)
The Board and TGRA, through these regulations, the TICS, and applicable policies and procedures
will assure that each Gaming Operation provides for the physical safeguarding of assets transported
to and from a Gaming Facility and the cage.
(h)
In accordance with all applicable law and policies and procedures, including prudent concern for
personal and public safety, the Gaming Operation and TGRA will detain persons who may be
involved in illegal acts for the purpose of notifying law enforcement authorities.
(i)
As of September 2018, the Commission has expressly recognized that the historical Class III MICS in
25 C.F.R. Part 542 and those published separately by the Commission are simply guidance.
However, the Compact requires adoption of the historical MICS for certain purposes. Accordingly,
the Board expressly adopts the following provisions in order to make compliance with certain
Compact terms absolutely clear:
(1) 25 C.F.R. § 542.14 to provide for the physical safeguarding of assets transported to and from
the Gaming Facility and cashier's cage department;
(2) 25 C.F.R. § 542.15 to regulate the extension of credit;
(3) 25 C.F.R. § 542.17 to regulate the issuance of complimentaries.
Any revisions to these provisions in the TICS must comply with any restrictions or limitations in the
Compact.
1024. Charitable Gaming
(a)
A Sponsoring Organization may engage in charitable gaming on Pueblo Lands pursuant to a
charitable gaming permit.
(b)
TGRA may, in its discretion,
(c)
(1)
Grant or deny a charitable gaming permit,
(2)
investigate charitable gaming (whether or not operated under a permit) or any Sponsoring
Organization,
(3)
take measures to ensure the integrity of charitable gaming, and
(4)
determine whether charitable gaming is in violation of the Code and the regulations and
enforce the violations thereof.
Before making application for a charitable gaming permit, a Sponsoring Organization shall register
with TGRA to secure an identification number.
(1)
All applications for charitable gaming permit, amendment of charitable gaming permits,
and any other papers relating to a charitable gaming event shall bear the identification
number of the Sponsoring Organization.
47
(d)
(2)
Copies of applications, reports, agreements and other papers shall be forwarded to the
Board at least fourteen calendar days before the charitable gaming event.
(3)
Registration and assignment of an identification number shall not constitute or be any
evidence of the eligibility of any Sponsoring Organization to receive a charitable gaming
permit or to conduct any charitable gaming.
The Sponsoring Organization shall designate two of its members that shall supervise the charitable
gaming event(s) described in the application for a charitable gaming permit. The Sponsoring
Organization shall attach a signed statement to the application, under penalty of false statement,
that:
(1)
The designated members shall be responsible for the operation and conduct of charitable
gaming in accordance with the terms of the charitable gaming permit, these regulations,
and other applicable law; and
(2)
The Sponsoring Organization shall not allow anyone who is not a member of the Sponsoring
Organization to operate or conduct any charitable gaming.
(e)
Only cash or checks shall be used at charitable gaming events.
(f)
Sponsoring Organization may conduct charitable gaming subject to the following restrictions:
(g)
(1)
Only members or volunteers of the Sponsoring Organization may promote or operate
charitable gaming.
(2)
No member of a Sponsoring Organization may receive any compensation for the promotion
or operation of charitable gaming.
(3)
No Person under the age of 18 shall promote or conduct charitable gaming or work at any
charitable gaming event.
(4)
All funds derived from charitable gaming shall be used exclusively for the purpose stated in
the application for charitable gaming permit.
(5)
Charitable gaming shall only take place at the time, date, and place specified on the
charitable gaming permit.
Charitable gaming may be conducted with gaming equipment owned by the Sponsoring
Organization, borrowed from or donated by a third party without a fee or rented for a fixed fee
under a written contract with a contractor licensed under these regulations.
1025. Other Gaming Prohibited
Class II and Class III Gaming that is not authorized by the Gaming Code, the Indian Gaming Regulatory Act,
and the Tribal-State Compact is prohibited on Pueblo Lands.
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PART 11
GENERAL OPERATING REGULATIONS
1101. Scope
This Part provides general operating obligations for each Gaming Enterprise, Gaming Operation, and
Gaming Facility. For ease of reading, this Part refers to the Gaming Enterprise but expressly encompasses
Gaming Operations and Gaming Facilities.
1102. Responsibility of Licensee
Responsibility for the employment and maintenance of lawful methods of operation rests with the Gaming
Enterprise, and willful or persistent use or toleration of methods of operation which the Board has
determined to be unlawful is prohibited. The Gaming Enterprise shall fully and timely perform each and
every term, condition, and duty required by the policies and regulations of the Board and TGRA.
1103. Discovery of Violations
All Licensees, including the Gaming Enterprise, shall immediately notify the Board of the discovery of a
violation, a suspected violation, or unusual circumstances suggesting a violation of the Gaming Code, these
regulations, IGRA, NIGC regulations, or the Tribal-State Compact.
1104. Authorized Gaming
Gaming permitted pursuant to the Gaming Code and the Compact shall include only those games that are
specifically authorized by the Board. The Gaming Enterprise shall conduct all Gaming Activity in accordance
with the Gaming Code, these regulations (including the TICS), federal law, and the Compact.
1105. Unauthorized Gaming
The Gaming Enterprise shall not conduct, permit, or promote any Gaming Activity except that which is
permitted by the Gaming Code and conducted according to all policies and regulations promulgated by the
Board and TGRA.
1106. Employee Reports
(a)
On or before January 1, April 1, July 1, and October 1 of each year, the Gaming Enterprise shall
submit an employee report to the Board. The employee report shall identify every individual who
is, or who has been since the filing of the previous report, employed by the Gaming Enterprise as a
Gaming Employee or Key Gaming Employee.
(b)
The employee report shall list the name of the employee or official, job position, title, social security
number, and designation as to whether that individual is a Gaming Employee or a Key Gaming
Employee.
1107. Employment Actions: Effect on Gaming Licensees
(a)
Key Gaming Employee Personnel. Upon the termination, resignation, demotion, or suspension of
any Key Gaming Employee, the Gaming Enterprise shall notify the Board in writing within 24 hours
49
of such action, or within four hours if the employment action is based on any violation(s) of the
Code, the regulations, federal law, or the Compact.
(b)
Gaming Employee Personnel. Upon the termination, resignation, demotion, or suspension of any
Gaming Employee, the Gaming Enterprise shall notify the Board in writing within three business
days of such action, or within four hours if the employment action is based on any violation(s) of
the Code, the regulations, federal law or the Compact.
1108. Employee Benefits and Grievance Procedures
(a)
Benefits. A Gaming Enterprise shall provide the following benefits to all full-time employees of the
Gaming Enterprise, which shall be at least as favorable as those provided by comparable state
programs: sick leave and paid annual leave (which may be incorporated into Paid Time Off),
medical, dental, and life insurance, unemployment insurance, and workers’ compensation
insurance.
(b)
Grievance. A Gaming Operation shall by policy provide a grievance process for employees of the
Gaming Operation (including employees of a Gaming Enterprise in capacities involving Gaming
Activity or Gaming Revenues) which includes an appeal of right to persons of greater authority than
the immediate supervisor of the employee in cases of disciplinary or punitive action taken against
the employee.
1109. Information to be furnished by Licensee
(a)
Each Gaming Enterprise must report to the Board at least yearly the full name and address of every
Person, including lending agencies, who or which has a right to a share of Gaming Revenues,
whether as an owner, assignee, or otherwise or to whom any interest or share in the profits of
gaming has been pledged or hypothecated as security for a debt or deposited as a security for the
performance of an act or to secure the performance of a contract of sale.
(b)
Each Management Contractor Licensee must immediately report to the Board the name, date of
birth, and social security number of all persons who obtain an ownership, financial, or equity
interest in the Management Contractor of five (5) percent or greater, or who have the ability to
control the Licensee, or who have the ability to exercise significant influence over the Licensee.
(c)
Any Person licensed by the Board must make written notification to TGRA of any criminal conviction
or criminal charge pending against such Person within ten days of such person’s arrest, summons,
or conviction. This notification requirement shall not apply to non-felony traffic violations unless
they result in suspension or revocation of a driver’s license or are based on allegations of driving
under the influence of liquor or drugs. Failure to make proper notification to the Board may be
grounds for disciplinary action.
(d)
Each Gaming Enterprise must report to TGRA on a form available from TGRA the movement of slot
machines, table games, or other equipment used in Gaming Activity. This notification must be
made by both the recipient and sender of devices within 24 hours of any movement of devices to
and from any location, including locations off Pueblo lands.
(e)
Each Person holding a License issued by the Board shall report any discovered or suspected plan,
scheme, design, device or other methods of cheating, or any and all unusual occurrences, that may
compromise the integrity of any Gaming Activity or Gaming Revenues, including any Class III gaming
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device sold or offered for sale, offered for play, or used for any other gaming purpose within Pueblo
Lands by such Licensee. Written reports to TGRA shall be provided in accordance with these
regulations and relevant policies, procedures, and internal controls.
(f)
The subject matter of the information provided under this Section shall be considered confidential,
except the Executive Director or the Board may, as deemed necessary and prudent in the exercise
of their discretion, take whatever steps are deemed necessary to address or mitigate a threat to
the integrity of gaming, including disseminating a warning to other licensing jurisdictions or
Licensees.
1110. Inspections
A Gaming Enterprise must immediately make available for inspection by the Board, TGRA, or its agents or
investigator, upon demand, all papers, books, data, and records of any kind produced, used, or kept in
connection with Gaming Activity or Gaming Revenues, and all portions of the premises where gaming is
conducted or where gambling devices or equipment, or Gaming Revenues, are manufactured, sold, used,
displayed, kept, or distributed. Upon demand, the Board, or its agents or investigators must be given
immediate access to any portion of the premises of a Gaming Enterprise or Gaming Facility for the Purpose
of inspecting or examining records or documents, gaming devices or equipment, or the conduct of Gaming
Activity.
1111. Payout Schedules
Payout schedules must accurately state actual payouts applicable to the particular game and may not be
worded in a manner that misleads or deceives the public. Maintenance of misleading or deceptive material
on a payout schedule or failure on the part of a Gaming Operation or other Licensee to make payment in
strict accordance with a posted payout schedule is prohibited.
1112. False Advertising
No Licensee shall allow, conduct, or participate in any false or misleading advertising concerning its gaming
operations.
1113. Patron Disputes
Patron disputes regarding amounts allegedly won are to be resolved under the Dispute Resolution
provisions of the Pueblo of Laguna Gaming Code, Section 14-1-9.
1114. Special Rules of Conduct
A Gaming Enterprise may establish rules of conduct for visitors in any Gaming Facility and related areas.
Any such rules must be posted.
1115. Transfers of Interest
No Person may sell, lease, purchase, convey, or acquire an interest in a Management Contractor without
the prior approval of the Board.
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1116. Underage Gaming
No Person under the age 21 shall be permitted to Wager at any Class III Gaming Facility, or to enter a Gaming
Facility conducting Class III Gaming except that:
(a)
Such a Person may pass directly to another room where the Person’s presence is lawful;
(b)
A Person may be employed by the Gaming Enterprise pursuant to Section 1117; or
(c)
A Patron under the age of 21, but 18 or over, may engage in Class II Gaming in a Gaming Facility.
1117. Underage Employees
The Gaming Enterprise shall not employ any Person under the age of 21 if that person’s employment duties
involve Class III Gaming. This prohibition does not apply to any Person employed in Class II Gaming or
whose employment duties are unrelated to Class III Gaming.
1119. Authorized Gaming Hours
(a)
The Gaming Enterprise shall make a written request to TGRA to change the hours of operation for
any Class II and Class III Activity and approved by TGRA prior to implementation. Hours of operation
must not be inconsistent with the current Tribal-State Compact or lawful NIGC regulations.
(b)
The Executive Director or their designee may authorize a temporary change of hours of Class II or
Class III Gaming Activity upon written request from the Gaming Enterprise submitted at least three
(3) calendar days before the proposed change. Proposed changes must meet the requirements in
Subsection (a).
(c)
Charitable Gaming hours of operation may be approved by the Executive Director or their designee
at their discretion.
1120. Complimentary Services or Items
The Gaming Enterprise may provide or offer complimentary services or items to Persons in accordance with:
(a)
(b)
(c)
(d)
these regulations and any relevant internal policies implemented by TGRA;
federal regulation, specifically 25 C.F.R. § 542.17 or any successor provision, and all applicable
federal and Pueblo law;
any applicable provisions of the Compact, including its Appendix, and specifically including its
reporting provisions; and
written internal policies and procedures, developed by the Gaming Enterprise and approved by the
Board, implementing and in compliance with each of the above subsections.
1121. Automated Teller Machines (ATM)
(a)
The Gaming Enterprise shall ensure that any ATM located within any Gaming Facility is programmed
not to accept cards issued by the state to TANF recipients for access to TANF benefits.
(b)
Within thirty calendar days from the date of the installation of an ATM, the Gaming Enterprise shall
deliver to the Board proof in the form of a notarized certificate from the financial institution or
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other authorized entity providing the ATM for use in a Gaming Facility that the ATM is programmed
to comply with Subsection (a).
(c)
If the Gaming Enterprise fails to comply with Subsection (a), the Board shall have the authority to
confiscate, disable, or remove any ATM located within a Gaming Facility that is not programmed as
required by this Section.
1122. Check Cashing
(a)
A Gaming Operation (or, in connection with gaming, a Gaming Enterprise or the Pueblo) shall not
cash any and all paychecks, or any type of government assistance check, including social security,
TANF, or pension, for any Patron.
(b)
The Pueblo from time to time issues Per Capita Distribution checks to Pueblo members. Historically,
PCD checks have been issued to Pueblo members in equal amounts, are not based on need, and
are a purely internal matter of the Pueblo. The Board therefore expressly concludes that they are
not government assistance checks, nor similar to government assistance checks, and are not subject
to this Section.
(c)
Nothing herein shall prohibit the Gaming Enterprise or Gaming Operation from cashing employee
payroll checks or personal checks from employees.
1123. Illegal Drugs; Abuse of Alcohol and Legal Drugs.
(a)
It is the policy of the Board that the Gaming Enterprise shall maintain and enforce strict policies
against the use and/or possession of illegal drugs, abuse or unlawful possession of legal drugs or
alcohol, and attendance at work under the influence of legal or illegal drugs or alcohol. To that end,
the Gaming Enterprise shall adopt and publish to all of its employees a drug and alcohol policy, in
a form approved by the Board, that is not inconsistent with industry standards and that shall
contain, at a minimum, the following elements:
(1)
An employee assistance program to counsel and provide therapy to employees having
problems with drugs or alcohol;
(2)
A requirement that each Gaming Employee applicant, upon being offered employment,
must pass a drug test for illegal drugs;
(3)
Provision for a drug or alcohol test, or both, of any Gaming Employee involved in an incident
that results in personal injury to any Person or in property damage in excess of one hundred
dollars ($100.00);
(4)
Provision for random drug or alcohol tests, or both, of Gaming Employees at the discretion
of the Gaming Enterprise or of the Board;
(5)
Procedures to assure the integrity and conf
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