# FINAL PROMULGATION OF REGULATIONS > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/tribal%3Apueblo_laguna%3Acaf83ea7de509687 ## Record - **Collection:** Tribal code - **Document type:** Tribal code ## Text NOTICE OF FINAL PROMULGATION OF REGULATIONS December 8, 2020 Pursuant to Section 14-1-10(I)(5) of the Pueblo of Laguna Code, the Pueblo of Laguna Gaming Control Board hereby promulgates as final the regulations which were published for a 30-day comment period on October 6, 2020. No comments were received during the comment period which concluded on November 6, 2020. The Board made a modest number of nonmaterial revisions to correct numbering and spacing, and to improve readability. In accordance to Laguna Gaming Control Board Regulation Part 705, this final regulation shall take effect the business day after this notice, which is December 9, 2020. The final promulgation of the regulation is attached. PUEBLO OF LAGUNA GAMING CONTROL BOARD REGULATIONS EFFECTIVE DECEMBER 9, 2020 Table of Contents PART 1 101. 102. 103. 104. PART 2 201. 202. 203. 204. PART 3 301. 302. 303. 304. 305. 306. 307. 308. 309. 310. 311. 312. 313. PART 4 401. 402. 403. 404. 405. 406. PART 5 501. 502. 503. 504. 505. 506. PART 6 601. 602. 603. 604. PART 7 701. 702. INTERPRETATIVE RULES AND DEFINITIONS ............................................................................................... 1 Scope.......................................................................................................................................................... 1 Construction .............................................................................................................................................. 1 Severability ................................................................................................................................................ 1 Definitions .................................................................................................................................................. 1 ORGANIZATION AND OPERATION OF THE CONTROL BOARD ................................................................... 8 Scope.......................................................................................................................................................... 8 Organization of the Board ......................................................................................................................... 8 Meetings .................................................................................................................................................... 8 Delegation of Authority. ............................................................................................................................ 9 ENFORCEMENT ........................................................................................................................................ 12 Scope........................................................................................................................................................ 12 Grounds for Licensing Actions ................................................................................................................. 12 Initiation of a Licensing Action................................................................................................................. 12 Informal Consultation .............................................................................................................................. 13 Assurance of Voluntary Compliance ........................................................................................................ 13 Settlement ............................................................................................................................................... 13 Criminal Convictions as Grounds for Revocation or Suspension ............................................................. 13 Facts of Criminal Charge .......................................................................................................................... 13 Licensing Action by TGRA......................................................................................................................... 14 Summary Suspension............................................................................................................................... 14 Conditions Imposed by Board for Re-issuance of License ....................................................................... 15 Order of Temporary Closure .................................................................................................................... 15 Self-Exclusion ........................................................................................................................................... 16 FINES AND PENALTIES ............................................................................................................................. 17 Scope........................................................................................................................................................ 17 Review of Notice of Violation .................................................................................................................. 17 Civil Fine; Amount; Determination .......................................................................................................... 17 Procedures for Assessment of Civil Fines ................................................................................................ 17 Reduction or Waiver of Civil Fine ............................................................................................................ 18 Final Assessment...................................................................................................................................... 18 FEES ......................................................................................................................................................... 19 Scope........................................................................................................................................................ 19 Application and Investigative Fees .......................................................................................................... 19 Schedule of Fees ...................................................................................................................................... 19 Supplemental Fees................................................................................................................................... 19 Final Action .............................................................................................................................................. 19 Accounting of Fees................................................................................................................................... 19 DECLARATORY ORDERS ........................................................................................................................... 20 Scope........................................................................................................................................................ 20 Petition for Declaratory Order; Contents ................................................................................................ 20 Board Action on Petition.......................................................................................................................... 20 Reconsideration and Appeal .................................................................................................................... 20 ISSUANCE OF REGULATIONS ................................................................................................................... 22 Scope........................................................................................................................................................ 22 Publication ............................................................................................................................................... 22 i 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 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 .............................................................................................................................. 29 807 Telephonic Hearings ................................................................................................................................ 31 808. Subpoenas................................................................................................................................................ 31 809. Decision.................................................................................................................................................... 31 810. Pueblo Court Review................................................................................................................................ 32 811. Public Hearings ........................................................................................................................................ 32 PART 9 CONFLICT OF INTEREST ........................................................................................................................... 33 901. Scope........................................................................................................................................................ 33 902. Prohibitions on Giving Items of Value ..................................................................................................... 33 PART 10 LICENSING ................................................................................................................................................ 34 1001. Scope........................................................................................................................................................ 34 1002. Revocable Privilege .................................................................................................................................. 34 1003. License Requirement: Gaming Employees ............................................................................................. 34 1004. Classification of Licenses.......................................................................................................................... 35 1005. Application ............................................................................................................................................... 38 1006. Ineligibility to Apply ................................................................................................................................. 39 1007. Withdrawal of Application ....................................................................................................................... 39 1008. Background Investigation ........................................................................................................................ 39 1009. Temporary Licenses ................................................................................................................................. 40 1010. Drug Test .................................................................................................................................................. 40 1011. Fingerprints .............................................................................................................................................. 40 1012. Duration of License .................................................................................................................................. 41 1013. Renewal ................................................................................................................................................... 41 1014. Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets; Separation or Suspension............................................................................................................................................... 41 1015. Right to Hearing ....................................................................................................................................... 43 1016. Issuance of a Permanent License............................................................................................................. 43 1017. Lost or Missing Identification Badge or Gaming License: Reporting and Replacement ......................... 44 1018. Disqualification Criteria ........................................................................................................................... 44 1019. Applicants and Licensees: Provision of Information ................................................................................ 47 1020. Requirements for Gaming Facility License............................................................................................... 47 1021. Gaming Facility License Application......................................................................................................... 48 1022. Compliance with Health and Safety Codes .............................................................................................. 48 1023. Compliance with Provision of Compact ................................................................................................... 49 1024. Charitable Gaming ................................................................................................................................... 50 1025. Other Gaming Prohibited......................................................................................................................... 52 PART 11 GENERAL OPERATING REGULATIONS ...................................................................................................... 53 1101. Scope........................................................................................................................................................ 53 ii 1102. Responsibility of Licensee ........................................................................................................................ 53 1103. Discovery of Violations ............................................................................................................................ 53 1104. Authorized Gaming .................................................................................................................................. 53 1105. Unauthorized Gaming .............................................................................................................................. 53 1106. Employee Reports .................................................................................................................................... 53 1107. Employment Actions: Effect on Gaming Licensees ................................................................................. 53 1108. Employee Benefits and Grievance Procedures ........................................................................................ 54 1109. Information to be furnished by Licensee ................................................................................................. 54 1110. Inspections ............................................................................................................................................... 55 1111. Payout Schedules ..................................................................................................................................... 55 1112. False Advertising ...................................................................................................................................... 55 1113. Patron Disputes........................................................................................................................................ 55 1114. Special Rules of Conduct .......................................................................................................................... 55 1115. Transfers of Interest ................................................................................................................................ 55 1116. Underage Gaming .................................................................................................................................... 56 1117. Underage Employees ............................................................................................................................... 56 1118. Authorized Gaming Hours ....................................................................................................................... 56 1119. Complimentary Services or Items ............................................................................................................ 56 1120. Automated Teller Machines (ATM) ......................................................................................................... 57 1121. Check Cashing .......................................................................................................................................... 57 1122. Illegal Drugs; Abuse of Alcohol and Legal Drugs. ..................................................................................... 57 1123. Alcohol ..................................................................................................................................................... 58 1124. Central Computer Monitoring of Gaming Devices .................................................................................. 59 1125. Credit ....................................................................................................................................................... 59 PART 12 TRIBAL INTERNAL CONTROL STANDARDS ............................................................................................... 60 1201. Scope........................................................................................................................................................ 60 1202. Adoption of Minimum Internal Control Standards.................................................................................. 60 1203. Tribal Internal Control Standards ............................................................................................................ 60 1204. Compliance .............................................................................................................................................. 61 PART 13 ACCOUNTING........................................................................................................................................... 62 1301. Accounting ............................................................................................................................................... 62 1302. Reporting ................................................................................................................................................. 62 1303. Submission and Approval of Accounting System..................................................................................... 63 1304. Amendments ........................................................................................................................................... 63 1305. Noncompliance ........................................................................................................................................ 63 PART 14 CURRENCY TRANSACTIONS REPORTING ................................................................................................. 64 1401. Compliance with Bank Secrecy Act .......................................................................................................... 64 iii 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; 1 (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. 2 (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. 3 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 governmentregulated 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 4 within 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, and is also a “Gaming Operation” for purposes of these regulations unless the context dictates otherwise. (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. 5 (mm) “Non-Key Gaming Employee” means any person: (1) who is not a Key Gaming Employee; (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: 6 (i) held in trust by the United States for the benefit of the Pueblo or its members, or (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. 7 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) 203. 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: (i) be the formal custodian of all files and records of the Board, (ii) monitor the management of and accounting for funds allocated to the Board, and (iii) be the custodian of any seal. 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 8 approval by the Board at the next regular meeting after they are made available to the members of the Board for review. (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; provided however that a license action shall not be deemed to be final until the Applicant or Licensee has had any opportunity to review a background report as required by applicable law, TGRA procedures, or contract (see Section 805(d)); (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, and provided further that such license action shall not be deemed to be final until the Licensee has had any opportunity to review a background report as required by applicable law, TGRA procedures, or contract (see Section 805(d)); (5) Summarily suspend temporary and permanent licenses, provided further that such license action shall not be deemed to be final until the Licensee has had any opportunity to review a background report as required by applicable law, TGRA procedures, or contract (see Section 805(d)); (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 (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; (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, in accordance with applicable personnel policies and without Board involvement unless requested by the Executive Director, including but not limited to approval of PTO, preparing and approving of job descriptions, selecting one or more applicants to interview, interviewing candidates, selecting the final hire, and recommending 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; provided, however, that any budget modification(s) in a single calendar month exceeding one percent of the approved annual Board/TGRA budget must be approved in writing by the Board; and provided further that the Executive Director shall inform the Board of all budget modifications in writing before or at the next regular Board meeting; (19) Signature authority for budgeted expenditures, including contracts not exceeding $25,000; (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. 10 (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. (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 Part 4, the Board may, in accordance with the procedures set forth in this Part 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 Section 304. However, where TGRA determines that a summary suspension is warranted pending the opportunity for a hearing, it may follow the procedures in Section 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 12 summary suspensions take effect immediately as provided in the Gaming Code and these regulations. (c) 304. If a proposed revocation or suspension is based in whole or part on records for which federal regulations or other applicable law allow the Licensee an opportunity to review and then attempt to correct or supplement those records, the Licensee must be again advised of that opportunity, generally in the notice of violation and no later than when a Hearing Request Form is provided by TGRA. See Section 805(d). 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 or even if the charge is dropped or dismissed. 13 309. 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, (c) impose or propose a civil fine or penalty as provided Part 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. 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 the effective date of the summary suspension and the fundamental grounds for the summary suspension. The summary suspension may run through the hearing and decision process on a revocation, suspension, or other proceeding; until the Licensee complies with a lawful order or request of 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. 14 (e) 311. 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: 312. (a) Restitution of money; (b) Restitution of property; and (c) Making periodic reports to TGRA, including submission of documents required by TGRA. Order of Temporary Closure (a) 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) 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. (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. 15 (d) 313. 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, 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 provide required documentation to TGRA, generally after a Licensee has 17 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 Part 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. The Executive Director may prorate fees under appropriate circumstances and may later collect additional fees, up to the full cost of the relevant license, should the reason for proration later change. 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 22 as 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. 23 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. 24 804. 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. Counsel must enter an appearance in a form prescribed by the Executive Director. Written requests to withdraw as counsel may be granted by the Board. The Board may retain counsel or other experts as it may deem necessary to conduct or evaluate any proceeding. (f) Motion practice is generally unnecessary. Scheduling changes are generally handled through a request to TGRA, and no motion is required unless required by the Board through the Executive Director. Scheduling and other motions are to be filed with the TGRA Executive Director and, for proceedings under Section 806, served on the other party. A response to any motion shall be filed within fourteen calendar days of receipt of the motion by TGRA or any other party unless a different time is allowed by the Board. (g) In all hearings and in disclosures of information in relation to contested matters, the Board and TGRA shall maintain the confidentiality of information as required by the Pueblo Code (§ 14-16(D)(2)), IGRA, NIGC regulations (e.g., 25 C.F.R. § 556.4(c)), other applicable law, and the Compact (e.g., § 4(F)(2)(e)). 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 and independent investigation. 25 (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, which shall not be less than seven calendar days after service of the Hearing Request Form is deemed complete. Failure to return the Hearing Request Form by the deadline established by the Executive Director shall be deemed a waiver of a hearing. 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) If a license action is based in whole or part on records for which federal regulations or other applicable law requires an opportunity for the Applicant or Licensee to review and then attempt to correct or supplement those records before a License denial, suspension, or revocation decision becomes final, TGRA shall again advise the Applicant or Licensee of that right no later than when the Hearing Request Form is provided to the Applicant or Licensee. (1) The Applicant or Licensee shall be given a reasonable opportunity to review the relevant records before a response to the Hearing Request Form is required, and the Executive Director should reasonably extend the Hearing Request Form response deadline to allow for such review, but not for more than fourteen calendar days. Failure by an Applicant or Licensee to arrange for and review the records within that time, including any extension granted by the Executive Director, shall be deemed a waiver of the right to review the records. (2) If the Applicant or Licensee reviews the relevant records and does not choose to undertake the process to correct or supplement the records, the Applicant or Licensee shall complete the Hearing Request Form within the time allowed or waive a hearing before the Board. A decision by an Applicant or Licensee not to pursue the federal or other process for correction or supplementation of relevant records does not preclude the person’s ability to argue to the Board that those records are incorrect or incomplete during a hearing. (3) However, if the Applicant or Licensee states on a form provided by TGRA signed under penalty of perjury that he or she (1) believes that the relevant records are erroneous and/or incomplete, and (2) chooses to pursue the relevant federal or other process to attempt to correct or supplement the relevant records, the Applicant or Licensee may elect to: (i) Obtain an extension of the time to respond to the Hearing Request Form while pursuing the process to correct or supplement the relevant records. The extension shall be automatic and shall extend until the date that is fourteen calendar days after the Applicant or Licensee receives from the federal or other agency a final determination on the effort to correct or supplement the relevant records. The Applicant or Licensee must notify TGRA of that determination and must complete the Request for Hearing Form within that fourteen-day period, or he or she waives the right to a hearing before the Board. The Applicant or Licensee must also respond to periodic inquiries from TGRA regarding the status of the correction and supplementation process. Failure to do so within fourteen days of service of such an inquiry will also be deemed as a waiver of a hearing before the Board. 26 (ii) Move forward with a hearing before the Board without waiting for the completion of the federal or other process to correct or supplement the relevant records. The Applicant or Licensee can present to the Board at the hearing any evidence and argument intended to show that the relevant records are incomplete or incorrect. (iii) Waive a hearing before the Board, in which case the proposed license action will become final regardless of the results of the federal or other process to correct or supplement the relevant records. Regardless of the option chosen by the Applicant or Licensee, the proposed license action (e.g., denial, suspension, or revocation) shall be and remain in effect until either reversed by the Board or rescinded by the Executive Director, unless otherwise stated in writing by the Executive Director for good cause. (e) The Board or hearing officer shall set a hearing date if a hearing is requested. TGRA shall provide notice of the hearing date as directed by the Board or hearing officer. (f) 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. (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: 27 (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 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. (g) Unless the Board or hearing officer orders otherwise, the Executive Director shall allow all parties to review in the TGRA office non-confidential portions of any investigation report prepared by TGRA regarding the matter to be heard and other non-confidential materials that TGRA intends to present at the hearing. Copies of such materials may be provided to the parties at the discretion of the Executive Director or by order of the Board upon motion. The Board or the Executive Director, either on its, his, or her own or on the request of a party, may require that each party and other persons needing to review confidential or proprietary materials sign a non-disclosure agreement before reviewing or receiving those materials. (h) 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. (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. 28 806. (j) In summary suspension cases, the Board or hearing officer may lift the summary suspension after all evidence has been presented at the hearing. (k) 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 prehearing 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. (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. 29 (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 Pre-Hearing 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. (g) Unless the Board or hearing officer orders otherwise, the Executive Director shall allow all parties to review in the TGRA office non-confidential portions of any investigation report prepared by TGRA regarding the matter to be heard and other non-confidential materials that TGRA intends to present at the hearing. Copies of such materials may be provided to the parties at the discretion of the Executive Director or by order of the Board upon motion. The Board or the Executive Director, either on its, his, or her own or on the request of a party, may require that each party and other persons needing to review confidential or proprietary materials sign a non-disclosure agreement before reviewing or receiving those materials. (h) 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. 30 807 808. (i) 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. (j) 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. (k) 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 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 31 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. 32 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. 33 PART 10 LICENSING 1001. Scope This Part 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 their date of hire. (c) Classification of Gaming Employees (1) Purpose. In some instances, the distinctions between Key Gaming Employees and NonKey Gaming Employees, and between Gaming Employees and Non-Gaming Employees have caused confusion. Those distinctions have evolved over time based on position-byposition 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 34 Employee, or Non-Gaming Employee position and 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. 35 (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. 36 (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. 37 (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 include notice and disclosure to the Applicant satisfying any federal regulations and other legal requirements relating to the content and scope of the background investigation and the Applicant’s legal rights to review and/or correct information revealed in that investigation. (c) The application forms shall be accompanied and supplemented by the documents and information as may be specified or required. The failure to supply the information constitutes grounds for delaying or denying the application. In situations in which a Licensee is submitting a renewal application or transferring positions within 180 calendar days of the date of the previous application, the Licensee may rely on prior application materials and provide only updated or additional information as required. 38 (d) 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. (e) 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. 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 Part 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. TGRA shall provide each Applicant or Licensee any opportunity to review a background report as required by applicable law, TGRA procedures, or contract before a license decision may be deemed final. 39 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) (2) 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; (iii) 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 te [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Apueblo_laguna%3Acaf83ea7de509687. Public record. Not legal advice.