GAMING CONTROL BOARD (2026)
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PUEBLO OF LAGUNA
GAMING CONTROL BOARD
PROPOSED
REGULATIONS
EFFECTIVE {{__________ ___}}, 2026
Contents
PART
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
INTERPRETATIVE RULES AND DEFINITIONS ............................................................................................... 1
Scope ........................................................................................................................................................ 1
Construction ............................................................................................................................................. 1
Severability ............................................................................................................................................... 1
Definitions.................................................................................................................................................. 1
ORGANIZATION AND OPERATION OF THE CONTROL BOARD ............................................................ 9
Scope. ....................................................................................................................................................... 9
Organization of the Board ...................................................................................................................... 9
Meetings ................................................................................................................................................... 9
Delegation of Authority......................................................................................................................... 10
ENFORCEMENT ....................................................................................................................................... 13
Scope ...................................................................................................................................................... 13
Grounds for License Actions ................................................................................................................. 13
Initiation of a License Action ................................................................................................................ 13
Informal Consultation ............................................................................................................................ 14
Assurance of Voluntary Compliance .................................................................................................. 14
Settlement .............................................................................................................................................. 14
Criminal Convictions as Grounds for Revocation or Fixed Suspension ........................................... 14
Facts of Criminal Charge ...................................................................................................................... 14
License Action by TGRA ........................................................................................................................ 15
Summary Suspension ............................................................................................................................. 15
Conditions Imposed by TGRA for Re-issuance of License ................................................................ 16
Order of Temporary Closure ................................................................................................................. 16
Self-Exclusion .......................................................................................................................................... 17
FINES AND PENALTIES ............................................................................................................................. 19
Scope ...................................................................................................................................................... 19
Review of Notice of Violation............................................................................................................... 19
Civil Fine; Amount; Determination ....................................................................................................... 19
Procedures for Assessment of Civil Fines ............................................................................................. 19
Reduction or Waiver of Civil Fine ......................................................................................................... 20
Final Assessment..................................................................................................................................... 20
FEES.......................................................................................................................................................... 21
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501.
Scope ...................................................................................................................................................... 21
502.
Application, Renewal, and Investigative Fees .................................................................................. 21
503.
Schedule of Fees ................................................................................................................................... 21
504.
Supplemental Fees ................................................................................................................................ 21
505.
Final Action ............................................................................................................................................. 21
506.
Accounting of Fees ............................................................................................................................... 21
PART 6 DECLARATORY ORDERS ........................................................................................................................ 22
601.
Scope ...................................................................................................................................................... 22
602.
Petition for Declaratory Order; Contents ............................................................................................ 22
603.
Board Action on Petition ....................................................................................................................... 22
604.
Reconsideration and Appeal .............................................................................................................. 22
PART 7 ISSUANCE OF REGULATIONS ................................................................................................................. 24
701.
Scope ...................................................................................................................................................... 24
702.
Publication .............................................................................................................................................. 24
703.
Draft Regulation, Comment Period ..................................................................................................... 24
704.
Adoption of Final Regulations .............................................................................................................. 24
705.
Effective Date ........................................................................................................................................ 24
706.
Emergency Regulations ........................................................................................................................ 24
707.
Filing of Regulations ............................................................................................................................... 25
708.
Public Hearings....................................................................................................................................... 25
PART 8 HEARINGS ............................................................................................................................................... 26
801.
Scope ...................................................................................................................................................... 26
802.
Hearings .................................................................................................................................................. 26
803.
Delegation to Hear Matter ................................................................................................................... 26
804.
Hearing Procedures Generally—Contested Matters ........................................................................ 27
805.
Regulatory Hearings .............................................................................................................................. 28
806.
Adjudicative Hearings ........................................................................................................................... 31
807.
Telephonic Hearings .............................................................................................................................. 33
808.
Subpoenas.............................................................................................................................................. 34
809.
Decision .................................................................................................................................................. 34
810.
Pueblo Court Review............................................................................................................................. 34
811.
Public Hearings....................................................................................................................................... 34
PART 9 CONFLICT OF INTEREST .......................................................................................................................... 35
901.
Scope ...................................................................................................................................................... 35
902.
Prohibitions on Giving Items of Value .................................................................................................. 35
PART 10 LICENSING .............................................................................................................................................. 36
1001. Scope ...................................................................................................................................................... 36
1002. Revocable Privilege .............................................................................................................................. 36
1003. License Requirement: Gaming Employees ....................................................................................... 36
1004. Classification of Licenses ...................................................................................................................... 37
1005. License Application ............................................................................................................................... 43
1006. Ineligibility to Apply................................................................................................................................ 44
1007. Withdrawal of Application ................................................................................................................... 45
1008. Background Investigation..................................................................................................................... 45
1009. Temporary Licenses ............................................................................................................................... 46
1010. Drug Test ................................................................................................................................................. 47
1011. Fingerprints.............................................................................................................................................. 48
1012. Duration of License ................................................................................................................................ 48
1013. Renewal of Licenses .............................................................................................................................. 48
1014. Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets;
Separation or Suspension ..................................................................................................................... 49
1015. Right to Hearing ..................................................................................................................................... 51
1016. Approval of License .............................................................................................................................. 51
1017. Lost or Missing Identification Badge or Gaming License: Reporting and Replacement ............. 52
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1018. Disqualification Criteria ......................................................................................................................... 52
1019. Applicants and Licensees: Provision of Information .......................................................................... 55
1020. Requirements for Gaming Facility License ......................................................................................... 55
1021. Gaming Facility License Application .................................................................................................. 56
1022. Compliance with Health and Safety Codes ...................................................................................... 56
1023. Compliance with Provisions of the Compact .................................................................................... 57
1024. Charitable Gaming ............................................................................................................................... 59
1025. Other Gaming Prohibited ..................................................................................................................... 60
PART 11 GENERAL OPERATING REGULATIONS .................................................................................................. 61
1101. Scope ...................................................................................................................................................... 61
1102. Responsibility of Licensee ..................................................................................................................... 61
1103. Discovery of Violations .......................................................................................................................... 61
1104. Authorized Gaming ............................................................................................................................... 61
1105. Unauthorized Gaming ........................................................................................................................... 61
1106. Gaming Employee Reports .................................................................................................................. 61
1107. Employment Actions: Effect on Gaming Licensees ......................................................................... 61
1108. Employee Benefits and Grievance Procedures................................................................................. 62
1109. Information to be Furnished by Licensee............................................................................................ 62
1110. Inspections .............................................................................................................................................. 63
1111. Payout Schedules .................................................................................................................................. 63
1112. False Advertising .................................................................................................................................... 63
1113. Patron Disputes ...................................................................................................................................... 63
1114. Special Rules of Conduct ..................................................................................................................... 64
1115. Transfers of Interest ................................................................................................................................ 64
1116. Underage Gaming ................................................................................................................................ 64
1117. Underage Employees............................................................................................................................ 64
1118. Authorized Gaming Hours .................................................................................................................... 64
1119. Complimentary Services or Items ........................................................................................................ 64
1120. Automated Teller Machines (ATM) ...................................................................................................... 65
1121. Check Cashing ...................................................................................................................................... 65
1122. Illegal Drugs; Abuse of Alcohol and Legal Drugs. ............................................................................. 65
1123. Alcohol .................................................................................................................................................... 66
1124. Central Computer Monitoring of Gaming Devices ........................................................................... 67
1125. Credit ...................................................................................................................................................... 67
1126. Shipment of Gaming Equipment ......................................................................................................... 67
1127. Authorized Gaming Machines and/or Gaming Devices ................................................................. 68
1128. Banishment of Patrons and Other Persons by Gaming Enterprise or Gaming Operation ............ 68
PART 12 TRIBAL INTERNAL CONTROL STANDARDS ............................................................................................. 69
1201. Scope ...................................................................................................................................................... 69
1202. Adoption of Minimum Internal Control Standards............................................................................. 69
1203. Tribal Internal Control Standards.......................................................................................................... 69
1204. Compliance ........................................................................................................................................... 70
PART 13 ACCOUNTING ........................................................................................................................................ 71
1301. Accounting............................................................................................................................................. 71
1302. Reporting ................................................................................................................................................ 71
1303. Submission and Approval of Accounting System .............................................................................. 72
1304. Amendments.......................................................................................................................................... 72
1305. Noncompliance..................................................................................................................................... 72
1306. Annual Audit Reports – Auditor Selection and Approval ................................................................. 72
PART 14 CURRENCY TRANSACTIONS REPORTING ............................................................................................. 74
1401. Compliance with Bank Secrecy Act ................................................................................................... 74
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PART 1
INTERPRETATIVE RULES AND DEFINITIONS
101.
Scope
This Part sets forth the definitions of various terms used in these regulations and interpretive aids.
102.
103.
Construction
(a)
Nothing in these regulations shall be construed so as to conflict with any provision of the Gaming
Code, the Compact, the IGRA, or lawful NIGC regulations. If a term used in these regulations is
defined in one of those sources of law, the term shall be interpreted in such a manner as to not
contravene that source.
(b)
The word “and” is always conjunctive. The word “or” generally is disjunctive but may also be
conjunctive (to avoid overuse of “and/or”). The Executive Director has the discretion in the first
instance to interpret any particular use of “or,” but the Board retains the final authority over
interpretation of its own regulations.
(c)
The Board recognizes that pronoun usage is a sensitive and evolving issue. Rather than trying to
anticipate what pronoun usage might be perceived as offensive or marginalizing over time, the
Board has elected to avoid the use of gendered singular pronouns altogether. “Its” is sometimes
used to encompass all Persons, including natural persons as well as business and other entities.
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(s) 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 Control Board or any individual duly authorized under
Section 204.
(d)
“Chair” means the chairperson of the Board.
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(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, or on behalf
of, the Pueblo, its members, and other Pueblo entities on Pueblo lands.
(f)
“Class I Gaming” means:
(g)
(h)
(i)
(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;
(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
(5)
Lotteries.
“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
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approved by the Pueblo Council and the NIGC. 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 agreement(s) thereto.
(k)
“Fixed Suspension” means a suspension of a gaming license for a fixed period of time and is
recommended by TGRA under Section 204(b)(4) (or imposed directly by the Board, for example, as
an alternative to a recommended revocation). A “Fixed Suspension” is in contrast to a “Summary
Suspension” imposed by TGRA under Section 310. If “suspension” is used alone without “Fixed” or
“Summary” preceding it, it means both types of a suspension, unless the context or a separate
definition requires otherwise.
(l)
“Game” means any game played with cards, dice, Gaming 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.
(m)
“Gaming” means Class II Gaming, Class III Gaming, or other game of chance involving prize, chance
and consideration, except for Class I Gaming.
(n)
“Gaming Activity” means all forms of Class II Gaming and Class III Gaming conducted by a Gaming
Operation on Pueblo Lands.
(o)
“Gaming Device” (or “Gaming Machine”) 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;
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(4)
Provided, however, that if IGRA, other applicable law, or the Compact specifically requires
a different definition of Gaming Device or Gaming Machine, that definition shall be applied
to the extent necessary to comply with applicable law or the Compact.
(p)
“Gaming Employee” means a Key Gaming Employee or a Non-Key Gaming Employee. To be explicit,
independent contractor status does not preclude a person from being a Key Gaming Employee or
Non-Key Gaming Employee. The categorization is based on the person’s function(s), not on the
person’s classification as an “employee,” a “contractor,” or some other label.
(q)
“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 and where the
context dictates, a Management Contractor operating or managing all or part of a Gaming Facility
under a Management Contract.
(r)
“Gaming Equipment” means any equipment, device, contrivance, or supplies, other than a Gaming
Device, used to conduct Class II or Class III gaming.
(s)
“Gaming Facility” means the portions of a building or location in which Gaming Activity is conducted
or which are intended to be integrally related to a Gaming Activity.
The 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.
(t)
“Gaming License” means a license issued by TGRA or the Board under the Gaming Code and these
regulations. The uncapitalized word “license” means a Gaming License unless the context requires
otherwise.
(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 Gaming Revenues). 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 or from a Gaming Activity. If a Gaming Enterprise does not segregate clearly non-gaming
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revenue from Gaming Revenues for accounting purposes, all such undifferentiated revenue shall
be considered Gaming Revenues.
(x)
“Gaming Services” means the provision of any goods, services or concessions in connection with
any gaming to the Pueblo, Gaming Enterprise, or Management Contractor.
(y)
“Gaming Systems” means computer hardware and software, including networking components,
used directly in the operation and monitoring of Gaming Activity or the accounting or management
of Gaming Revenues, excepting applications and data maintained by a government-regulated
financial institution.
(z)
“Gaming-Related Contractor” means any Person who is a party to a Gaming-Related Contract as
defined in the Gaming Code but does not mean a Gaming Enterprise.
(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 retained 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 retained by a Gaming Enterprise who falls 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 or retained persons 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.
The distinction between Key and Non-Key Gaming Employees is addressed more fully in 1003(c).
(dd)
“License Action” 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, including these regulations. (When the lower case is used, a license
action means an action taken or decision made by TGRA as a result of a License Action, unless the
context dictates otherwise.)
(ee)
“License Application” means the series of steps required to seek a Gaming License from TGRA and
the Board, which generally includes one or more forms or other written submissions by the
Applicant, and one or more meetings, interviews, and information sessions. It may also include
requests for additional information from TGRA to the Applicant. A License Application is not
deemed complete until an Applicant finishes all of the required steps, although for reasons
consistent with applicable law and these regulations, TGRA may deny a License Application or
declare the Applicant ineligible to apply at an earlier stage in the process if TGRA has already
received information that makes it clear that a license will not be granted or the Applicant has failed
to provide required information under these regulations within the reasonable time frame
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established by TGRA. Only if the context requires, does “License Application” mean only the written
form or submission.
(ff)
“Licensee” means a natural person, entity, or organization, including an employee, contractor,
subcontractor, agent or representative of any such person, entity or organization, holding a license
issued by the Board.
(gg)
“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.
(hh)
“Management Contractor” means any Person who enters into a Management Contract with the
Pueblo. A Management Contractor is also a “Gaming Enterprise” or a “Gaming Operation” for
purposes of these regulations unless the context dictates otherwise.
(ii)
“MICS” means the minimum internal control standards, whether controlling or published as
guidance, by the NIGC.
(jj)
“NIGC” means the National Indian Gaming Commission.
(kk)
“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.
(ll)
“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.
(mm)
“Non-Gaming Employee” means a natural person retained by a Gaming Enterprise or Gaming
Operation who is not a Key Gaming Employee or Non-Key Gaming Employee.
(nn)
“Non-Key Gaming Employee” means any person:
(1)
who is not a Key Gaming Employee;
(2)
who is retained either by
(a) a Gaming Operation or
(b) any third-party business within a Gaming Facility;
and
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(3)
whose responsibilities include 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 position categories, such as beverage
servers, barbacks, and similar positions, whose exposure to the Gaming Activity in such
areas is limited and who were 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: cage, pit, drop and count room, poker room, card and dice
room, surveillance, administrative office, and player’s club room.
Persons whose position 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).
(oo)
“Non-gaming Contractor” means any Person providing non-gaming services.
(pp)
“Patron” means any natural person frequenting a Gaming Facility.
(qq)
“Permanent license” means a license issued by TGRA for a set term, generally a year or two, after
appropriate investigation and approval. The word “permanent” therefore is used to contrast with
a “temporary” license, and a “permanent” license is nevertheless subject to an expiration date and,
in accordance with these regulations, revocation or suspension.
(rr)
“Person” means any individual, partnership, corporation, company, or other legal entity.
(ss)
“Primary Position” means the main role or position held by a Licensee and for which a license is
issued, recognizing that through work sharing a Licensee may also perform other positions or roles
for a Gaming Operation.
(tt)
“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.
(uu)
“Pueblo” means the Pueblo of Laguna, a federally recognized Indian tribe, its authorized officials,
agents, and representatives.
(vv)
“Pueblo Council” means the Laguna Pueblo Council, the governing body of the Pueblo.
(ww)
“Pueblo Court” means the Pueblo of Laguna Tribal Court.
(xx)
“Pueblo Lands” means
(1)
land with the exterior boundaries of the Laguna Reservation, or
(2)
land over which the Pueblo exercises governmental power and that is either:
(i)
held in trust by the United States for the benefit of the Pueblo or its members, or
7
(ii)
held by the Pueblo or its members subject to restriction by the United States
against alienation.
(yy)
“Sensitive Area” means an area in which Gaming Devices, 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. These regulations also sometimes refer
to “sensitive or restricted areas,” which include Sensitive Areas but also include areas restricted to
employees only and other similar areas.
(zz)
“Software” or “Game Software” means the operational program or programs that govern the play,
display of results, or awarding of prizes or credits for a Game.
(aaa)
“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.
(bbb)
“State” means the State of New Mexico, its authorized officials, agents, and representatives.
(ccc)
“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.
(ddd)
“Summary Suspension” means a temporary suspension imposed by TGRA under Section 310 and is
used in contrast to a “Fixed Suspension.” If “suspension” is used alone without “Fixed” or
“Summary” preceding it, it means both types of suspension, unless the context or a separate
definition requires otherwise.
(eee)
“TICS” or “Tribal Internal Control Standards” are internal controls promulgated by TGRA or the
Board.
(fff)
“Wager” means a sum of money or representative of value risked on an uncertain occurrence.
8
PART 2
ORGANIZATION AND OPERATION OF THE CONTROL BOARD
201.
Scope.
This Part sets forth the organization of the Board and specified delegations of authority.
202.
Organization of the Board
(a)
At the first meeting of each calendar year, the Board shall select a chair and a vice-chair from among
its membership. If there is a change in the composition of the Board during the calendar year, the
Board may make new selections for chair and vice-chair, at its discretion. 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)
(ii)
(iii)
203.
be the formal custodian of all files and records of the Board,
monitor the management of and accounting for funds allocated to the Board, and
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 any 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 subsections (a)-(c).
(e)
The Board, through the Executive Director, shall ensure that written minutes are prepared and that,
whenever possible, a recording of each meeting is made. The minutes shall be presented for
approval by the Board at the next regular meeting after they are made available to the members
of the Board for review.
9
(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 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 or other
applicable law 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 if
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 Fixed
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 Fixed 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 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)) even though a Summary Suspension may and generally will take effect before such
a review to protect the public safety and integrity of Gaming;
(6)
Inspect and examine, without notice, any Gaming Facility or Gaming Devices or equipment
on Pueblo Lands;
(7)
Investigate the conduct of all Licensees and other persons having any involvement with the
Licensee and to ensure that there is no involvement in or with a Licensee by any unqualified
or unsuitable person;
(8)
Issue subpoenas within the Board’s authority, although the Executive Director maintains
the discretion to determine that the Board should consider a specific subpoena request;
(9)
Issue notices of violation;
10
(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 Section 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
or contractor; provided, however, that the Executive Director may not rescind or withdraw
a decision to grant a Gaming License but instead must initiate Fixed Suspension or
revocation proceedings (whether or not a Summary Suspension is imposed in the interim).
(15)
Manage the day-to-day operations of TGRA;
(16)
Hire, fire, and manage TGRA personnel (excepting the Executive Director), 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
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)
Independent signature authority for expenditures not exceeding $25,000, including
contracts, and signature authority for a contract or payment over $25,000 if approved
expressly by the Board.
(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 or retention
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.
11
(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 from 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 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. ‘
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PART 3
ENFORCEMENT
301.
Scope
This Part sets forth the regulations for License Actions.
302.
Grounds for License 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, whether active, inactive,
expired, or otherwise terminated, 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)
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, including failure
to provide required information to TGRA or failure to abide by conditions or requirements imposed
reasonably by TGRA.
Acceptance of a gaming license or a 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 and including
specifically any regulations that may 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 License Action
TGRA or the Board may initiate a License Action under the Gaming Code or these regulations where there
are reasonable grounds to believe a Licensee or its agents meet the grounds for such proceedings set out
in Section 302. The Board is required and committed to providing the opportunity for a hearing before a
proposed Fixed Suspension or revocation goes into effect. That procedure is described in Section 304 and
in Part 8. 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 (including at the direction of the Board) shall initiate a License 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.
13
304.
(b)
The notice of violation shall state the grounds for the proposed license action and state that the
proposed license action, if a Fixed Suspension or revocation, will be effective only after a hearing
before the Board or upon waiver of a hearing by the Licensee; provided, however, that Summary
Suspensions take effect immediately as provided in the Gaming Code and these regulations.
(c)
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 Fixed 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 gambling-related misdemeanor or other
misdemeanor involving theft, fraud, or misrepresentation may be grounds for a License Action. TGRA may
take action under this Section based on the facts of the criminal charge even though the Licensee may
14
ultimately be, or has been, acquitted on the criminal charge or even if the charge is dropped or dismissed.
Dispositions of criminal charges (including, e.g., expungement, a plea to a reduced charge, or a conditional
discharge under New Mexico law) shall be considered on a case-by-case basis, and TGRA shall use its
discretion to determine if the facts underlying a given charge and/or disposition should or should not count
as a mandatory or permissive factor in a licensing decision or action under the relevant provisions in these
regulations.
309.
License Action by TGRA
After appropriate investigation in connection with any License Action, TGRA or the Board may find that the
grounds alleged for the License Action do not warrant discipline, in which event the License Action shall be
terminated. TGRA may conclude, however, that a preponderance of the evidence supports taking action,
in which event TGRA may:
(a)
propose revocation of the license,
(b)
propose Fixed Suspension of the license for a particular period of time,
(c)
impose or propose a civil fine or penalty as provided in 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 conclude 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 jurisdiction, or that due to other actions by the Licensee, the public
health, safety, or welfare requires emergency action, and where TGRA incorporates such findings
in its notice of violation, TGRA may summarily suspend the Licensee’s license pending the License
Action. Any such License Action shall be promptly instituted and determined as provided herein.
(A Summary Suspension may also be imposed in order to compel a Licensee to comply with a lawful
request by TGRA for documents or other information that a Licensee is required to provide to TGRA
but has not provided. Because such Summary Suspensions do not also involve a proposed Fixed
Suspension or revocation, no hearing before the Board is allowed or required under the Gaming
Code.)
(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.
15
311.
(c)
TGRA must deliver a notice of Summary Suspension by hand delivery or by certified mail or
overnight delivery to the Licensee. 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, Fixed 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 License
Action, unless the Summary Suspension is contingent on compliance with a lawful order or request
of TGRA and the Licensee has already complied or agreed in writing to comply, effectively resolving
the enforcement action. The notice initiating a License Action shall include an opportunity to
request a hearing.
(e)
Unless the Licensee waives a hearing or a Summary Suspension expires of its own accord or
otherwise ends before a hearing, the Board shall hear the matter on an expedited basis as described
herein.
Conditions Imposed by TGRA for Re-issuance of License
TGRA may require a Person who holds or formerly held a license to meet certain conditions before renewing
or reissuing a license to that Person, including but not limited to one or more of the following:
312.
(a)
Restitution of money;
(b)
Restitution of property;
(c)
Making periodic reports to TGRA, including submission of documents required by TGRA; or
(d)
Other reasonable measures directly related to TGRA’s concerns regarding the suitability of a Person
to hold a license.
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)
A 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 from the Board or
TGRA demanding compliance; or
16
(4)
A Gaming Facility is constructed, maintained, or operated in a manner that imminently
threatens the environment or the public health and safety.
In an emergency, the notice of violation to a Gaming Operation may be oral but must be followed
by written notice absolutely as soon as practicable.
(b)
Upon service of an order of temporary closure, the Gaming Enterprise or Gaming Operation shall
close the Gaming Facility, or the relevant functional or physical portion thereof, unless the order
provides otherwise.
(c)
Within seven calendar days after service of an order of temporary closure, the respondent may
request, in writing, informal expedited review by the Board.
(d)
313.
(1)
The Board shall complete the expedited review within two business days after receipt of a
timely request.
(2)
The Board shall, within two business days after the request for expedited review:
(i)
Decide whether to continue an order of temporary closure; and
(ii)
Provide the respondent with an explanation of the basis for the decision.
Whether or not the respondent seeks informal expedited review hereunder, the respondent may
request a hearing before the full Board within 14 calendar days after TGRA or the Board serves the
order of temporary closure. Otherwise, the order shall remain in effect unless rescinded or
modified by TGRA or the Board because the basis for the closure has been or is being resolved in a
manner that has eliminated or sufficiently reduced the need for a closure.
Self-Exclusion
This Section is intended to fulfill the Pueblo’s and TGRA’s responsibilities under the Compact but is not
intended to preclude a Gaming Operation from implementing additional self-exclusion or exclusion policies.
(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
17
received from the Gaming Facility while excluded, and that all money or other property forfeited
shall be used by the Gaming Enterprise to fund or support programs for the treatment and
assistance of compulsive gamblers pursuant to Section 4(B)(16) of the Compact (this amount is in
addition to the percentage of Adjusted Net Win already required under Section 4(B)(16) of the
Compact); and
(e)
The Gaming Enterprise and each Gaming Operation shall require that, for jackpots requiring the
patron to complete paperwork required by the Internal Revenue Service prior to the pay-out of the
jackpot, 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 if ordered by a court
of competent jurisdiction; and (2) persons designated by either the Board, the Executive Director,
or the State Gaming Representative for the purposes of administering and implementing the selfexclusion program.
18
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 any 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 or TGRA 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 or in a Board decision, 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 from the receipt 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
19
provide required documentation to TGRA, generally after a Licensee has signed an
agreement consenting to such fines if the documentation is not provided by a certain date.
405.
406.
(2)
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 and
if there is no related proposed Fixed Suspension or revocation, 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 or fine shall contain:
(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.”
(c)
TGRA, or the Board if appropriate, shall serve the respondent with a written notice of
determination, including a statement of the grounds for TGRA’s or the Board’s decision.
(d)
The Executive Director may refer the question of an assessment of a civil fine to the Board for its
consideration. Upon such a reference, the Board shall hold a hearing under the processes set forth
in Section 805.
Final Assessment
If the respondent fails to request a hearing as provided in Part 8, a proposed civil fine assessment by TGRA
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.
20
PART 5
FEES
501.
Scope
This Part sets forth the regulations for the imposition of fees.
502.
Application, Renewal, and Investigative Fees
Anyone seeking a license or license renewal (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 license or renewal license, and the associated Background Investigation. If the fees and costs are to be
paid by the Applicant or Licensee, payment in full must be made before a license determination is made
unless the Executive Director concludes that good cause exists for another arrangement. If an alternative
payment arrangement is allowed, failure by the Applicant or Licensee to abide by that arrangement is
grounds for Summary Suspension, Fixed Suspension, and/or revocation without a hearing or appeal. If the
Gaming Operation is to pay the fees and costs, they shall be paid according to a schedule agreed upon by
the Gaming Operation and the Executive Director.
503.
Schedule of Fees
TGRA shall assess a non-refundable fee in the amount specified on the schedule of license fees, which shall
be approved by the Board and posted by TGRA 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 (plus any Supplemental Fees assessed under Section 504), should
the reason for proration later change.
504.
Supplemental Fees
If the fees and costs incurred by TGRA and the Board in processing a License 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 or unless a payment agreement with a Gaming Operation is
in place, TGRA shall not take final action to approve any License Application unless all application and
background investigative fees and costs have been paid in full.
506.
Accounting of Fees
Upon written request and after the background investigation is complete, TGRA shall provide to the
Applicant an itemized accounting of the background investigative fees and the costs incurred.
21
PART 6
DECLARATORY ORDERS
601.
Scope
This Part establishes procedures for the issuance of declaratory orders by the Board. A declaratory order is
a determination by the Board resolving legal uncertainty regarding a matter within the Board’s jurisdiction and can
conclusively rule on and define the rights, duties, or obligations of a party or parties under applicable law.
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 Code 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 statutory or Code 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
may require for the issuance of a 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. Instead, it may dismiss the petition on that basis alone. If issued, a
declaratory order shall be provided to the petitioner and, if of general applicability, may be posted on the
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 that a Board or TGRA action, regulation, rule,
or similar issuance does or could violate 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 that a Board or TGRA action, regulation, rule,
or similar issuance does or could violate 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
22
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 that a Board or TGRA action, regulation, rule,
or similar issuance does or could violate or conflict with the Compact, the Board and the petitioner,
at the request of either, shall confer, including with the Pueblo as 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.
23
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 any 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 any 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 the TGRA 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 on the TGRA website.
706.
Emergency Regulations
Upon making written findings, the Board may issue emergency regulations to take effect immediately in
order to deal with an emergency situation, to comply with applicable law, or to avoid serious jeopardy to
the public safety or integrity of gaming or Gaming Revenues. However, the Board shall publish notice and
request comments from interested parties pertaining to the emergency regulations in the same manner as
24
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. In addition, the current regulations shall be available for review upon request 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.
25
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 under Section 805 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 revocation
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 under Section 806 involve disputes between third parties, such as a dispute
between a Patron and a Gaming Operation over the Patron disputes within the Board’s jurisdiction
under the Code.
(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. It is the nature of the
dispute (regulatory as opposed to adjudicative) that determines whether a hearing will proceed under
Section 805 or Section 806. If a Person requesting a hearing is unclear on the designation of a particular
matter, an inquiry should be made to TGRA early in the process. 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, a regulation, other applicable law, or the 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, by consent of all parties, or as provided by applicable law, no hearing shall be
held less than seven calendar days after the written notice is given. If a Licensee or Applicant requests that
a hearing be rescheduled, the Board may grant or deny the request in its sole discretion after considering
the circumstances. Those considering making a request to reschedule a hearing should be aware of the
gravity of licensing decisions and the difficulties inherent in convening the Board for a hearing, and
therefore should not treat rescheduling a hearing as a trivial matter and should not assume a request will
be granted. If a hearing is rescheduled upon such a request, the Licensee or Applicant waives any claim
that the hearing is not held within any prescribed time.
803.
Delegation to Hear Matter
Two or more members of the Board may hear a matter as the Board. Alternatively, the Board may delegate
authority to hear a specific contested matter to a member of the Board or to a hearing officer selected by
26
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, if granted, 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, a
quorum of 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 preside at a public hearing.
804.
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. However, the Board may adopt a
general procedural template for hearings to encourage consistency from one hearing to the next
to the extent appropriate.
(b)
Unless otherwise ordered by the Board or hearing officer, contested matter hearings are not open
to the general public. Generally, only parties (including TGRA staff for regulatory hearings), their
counsel and Board counsel, and experts will be present throughout the proceeding. Unless
otherwise allowed by the Board or hearing officer, fact 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 use counsel or other experts as it may deem necessary to aid
in any proceeding or in the evaluation of the evidence or arguments.
(f)
Motion practice is generally unnecessary. Scheduling changes are generally handled through an
informal 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 the latest receipt of the motion by an adverse party
(whether 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)).
27
805.
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 license denial or a Gaming
Enterprise challenge to TICS promulgated by the Executive Director.
(b)
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.
(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, Fixed 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 the Applicant or Licensee (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
28
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 waive 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 or
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.
(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 or
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, Fixed 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)
(2)
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.
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 to TGRA for consideration by the Board or
29
hearing officer. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
(3)
In the rare instances in which a hearing is anticipated to be unusually complex, and
particularly if the Licensee, Applicant, or other party is represented by counsel, the Board
or hearing officer may require that the Licensee, Applicant, or other party and TGRA submit
to the Board and each other party a Preliminary Pre-Hearing Statement addressing matters
requested. The statement will generally be required to include:
(i)
(ii)
(iii)
(iv)
If the hearing will address a Summary Suspension, the alleged violator must
expressly state whether he wishes to proceed on an expedited schedule that will
result in a hearing within 30 calendar days of the notice of violation. Such a
schedule places greater demands on the alleged violator and on the Board, and
may limit the availability of pre-hearing briefing, available witnesses, and other
evidence.
The names or descriptions of any witnesses the Person plans on calling at the
hearing, including those who must be subpoenaed by the Board. If a Person does
not know the name of a witness, the party must provide as much information as
possible. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
A list of any documents or other evidence the party is requesting from the Board
or TGRA or needs to subpoena from a non-party, including the Gaming Operation.
Any other issues, concerns, or matters that the party wishes the Board to consider
in setting a pre-hearing schedule and in conducting the hearing. For example, a
party might wish to suggest pre-hearing briefing on a particular topic.
After the Preliminary Pre-Hearing Statements are received in a complex matter, the Board
or hearing officer will issue a schedule setting forth the schedule up to and including the
hearing. If the alleged violator has consented or the Board or the hearing officer believes
more time is necessary to accommodate the pre-hearing events, it may reschedule any
scheduled hearing to a later date. Parties are expected to provide copies of relevant, nonprotected 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, subject to adequate protections for any
material that is produced. To that point, the Board or the Executive Director, including at 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
30
materials. If necessary under the circumstances, TGRA may make appropriate redactions either
before showing materials to a party, providing copies to a party, or both.
806.
(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.
(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 the Executive Director’s designee) may 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 the Executive Director’s designee) shall
make a preliminary determination regarding the complexity of the matter and the hearing. In
consultation with the Executive Director, the Board or hearing officer (if appointed) shall determine
how to proceed with scheduling a hearing and any pre-hearing activities.
(e)
TGRA, in consultation with the Board or hearing officer, shall inform the parties of the hearing date
if a hearing is requested.
(f)
The Board (or hearing officer, if appointed), in consultation with TGRA, may establish a pre-hearing
schedule based on its assessment of the complexity of the issues involved, the evidence to be
presented, the requirements of fairness and due process, and any other factors known to the Board.
(1)
The pre-hearing schedule may include, at the discretion of the Board or hearing officer and
as appropriate:
31
(i)
(ii)
(iii)
(iv)
the date by which subpoenas must be requested by the Licensee, Applicant, or
other party;
the date(s) by which specified records, demonstrative evidence, and similar
evidence anticipated to be introduced or used at the hearing must be provided by
or to TGRA;
the date(s) by which a list of witnesses anticipated to be used at the hearing must
be provided by or to TGRA; and
a schedule for any pre-hearing briefing.
(2)
Note that many of the adjudicative hearings conducted by the Board are not complex and
do not require a pre-hearing schedule. In these instances, TGRA will attempt to work
cooperatively to ensure that any questions the parties may have are answered and
establish a date by which any subpoena requests by the parties must be submitted. TGRA
may provide reasonable assistance to a party to identify unknown witnesses.
(3)
In the rare instances in which a hearing is anticipated to be unusually complex, and
particularly if one or more parties are represented by counsel, the Board or hearing officer
may require that the parties submit to the Board and each other party a Preliminary PreHearing Statement addressing matters requested. The statement will generally be required
to include:
(i)
(ii)
(iii)
The names or descriptions of any witnesses the party plans on calling at the
hearing, including those who must be subpoenaed by the Board. If a party does
not know the name of a witness, the party must provide as much information as
possible. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
A list of any documents or other evidence the party is requesting from another
party or needs to subpoena from a non-party, including the Gaming Operation.
Any other issues, concerns, or matters that the party wishes the Board to consider
in setting a pre-hearing schedule and in conducting the hearing. For example, a
party might wish to suggest pre-hearing briefing on a particular topic.
After the Preliminary Pre-Hearing Statements are received in a complex matter, the Board
or hearing officer will issue a schedule setting forth the schedule up to and including the
hearing. If the parties consent or the Board or the hearing officer believes more time is
necessary to accommodate the pre-hearing schedule, it may reschedule any scheduled
hearing to a later date. Parties are expected to provide copies of relevant, non-protected
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
32
Executive Director or by order of the Board upon motion, subject to adequate protections for any
material that is produced. To that point, the Board or the Executive Director, including at 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. If necessary under the circumstances, TGRA may make appropriate redactions either
before showing materials to a party, providing copies to a party, or both.
807.
(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)
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.
(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 if allowed under the
Gaming Code and 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 all 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 records deemed relevant and not confidential are
available to all parties before the hearing. Electronic distribution of records is preferred when
possible.
(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.
33
808.
Subpoenas
When allowed under the Gaming Code and these regulations, any party to a contested matter may request
that the Board or Executive Director 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 Board, hearing officer, or Executive
Director may issue an extra-jurisdictional subpoena, but seeking enforcement of the subpoena is the
responsibility of the party requesting it.) 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 from the Applicant or Licensee except at the direction of the Board or hearing officer.
TGRA has no responsibility or obligation to serve a subpoena it issues.
809.
Decision
Unless the Board or hearing officer(s) states in writing that extraordinary circumstances require a longer
time, the Board or hearing officer shall, within 30 calendar days after 1) a hearing, 2) the close of posthearing briefing, or 3) a conclusion that a hearing will not be held, whichever is latest, render a written
ruling or decision on a contested matter. In Summary Suspension cases, the Board or hearing officer shall
issue its decision within 14 calendar days of the latest of the three events in the preceding sentence. The
decision of the Board or hearing officer following a hearing shall be rendered in writing and copies of the
decision sent to all parties or their counsel. All decisions are to be made based on a preponderance of the
evidence. Unless the Board reasonably determines and provides notice to all parties that further
proceedings will take place, including full Board review of a hearing officer’s decision, the written decision
of the Board is its 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. Such hearings should
be held after reasonable general notice to potentially interested Persons and in a fair and open manner.
34
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/contractor 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.
35
PART 10
LICENSING
1001. Scope
This Part governs the evaluation of all License Applications 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 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 License 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)
A License Application 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 a License Application with
TGRA, the Applicant specifically consents to the making of that decision by the Board and TGRA.
(d)
A License Application shall constitute an express agreement to the Pueblo’s jurisdiction generally
and to that of the Board and TGRA specifically, and shall also constitute express consent to be
governed by Pueblo law.
1003. License Requirement: Gaming Employees
(a)
Any Person who will be retained by a Gaming Operation in a Gaming Employee position shall, prior
to beginning in such a position or receiving any compensation for such a position, be required to
hold a current and valid temporary or Permanent license issued in accordance with these
regulations.
(b)
A Gaming Operation shall not retain a Key Gaming Employee who does not hold a Permanent
license within 90 days of the date of hire.
(c)
Classification of Gaming Employees
(1)
Purpose. In some instances in the past, the distinctions between Key Gaming Employees
and Non-Key Gaming Employees, and between Gaming Employees and Non-Gaming
Employees, have caused confusion. Those distinctions have evolved over time based on
position-by-position assessments. The factors considered in those assessments are too
complex to define in these regulations in 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
positions that 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
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licensed under this chapter unless at the express direction of the Pueblo Council.”
Accordingly, this subsection (c) provides a mechanism for continued evaluation of each
position as it is created for classification as a Key Gaming Employee, Non-Key Gaming
Employee, or Non-Gaming Employee position and for maintaining a definitive listing of
those classifications in a schedule published by the Board and updated on a periodic basis.
(d)
(2)
Classifications by Position Title. The Board shall maintain a schedule listing each position
title and its classification for licensing and other regulatory purposes. The schedule shall
be available on the TGRA website and shall be provided promptly to each Gaming
Enterprise and Gaming Operation. As stated throughout these regulations and consistent
with this Section, a Person holding a position that qualifies as a Gaming Employee position
under applicable law is a Gaming Employee regardless of the person’s legal relationship
with the Gaming Operation, specifically including independent contractors and their
employees. This means that a contractor, or an employee or agent of a contractor, may be
required to go through the licensing process, including the appropriate Background
Investigation, before assuming responsibilities to a Gaming Operation.
(3)
As new position titles are created, and as position descriptions are amended, 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 the schedule in accordance with 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). The Board shall, at least 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.
(4)
Each Gaming Enterprise and Gaming Operation, as appropriate, shall provide position
descriptions to TGRA, including any information needed by TGRA to prepare the schedule
and otherwise carry out its responsibilities.
Any Licensee who does not have a current, active license in good standing may not conduct any
action or hold any status or position for which a license is required under applicable law. While a
Gaming Enterprise may continue to retain a Person whose license has been suspended or revoked,
or whose license has expired, a Gaming Enterprise shall not knowingly allow such a Person to
perform any function requiring a license unless and until that Person is licensed in good standing.
A Licensee (e.g., a supervisor or manager) who knowingly permits such a Person to perform work
requiring a license shall be subject to a License Action on that basis alone. “Knowingly” for the
purpose of this subsection means that the Licensee, whether a Gaming Enterprise or supervisor,
has been given written notice by TGRA that the Person’s license either has expired or has been
suspended or revoked.
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.
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(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 retained 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 retained 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 retained 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 retained by TGRA or otherwise under the authority of the Board in any capacity
involving the regulation of any Gaming Activity or access to sensitive 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.
(b)
A Management Contractor License is required for any Person managing all or part of a Gaming
Enterprise under a Management Contract, 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 (1) are employed
or retained by the Gaming-Related Contractor and (2) will have access by any means to
Gaming Devices, Gaming Equipment, Gaming Systems, Gaming Revenues, or any Sensitive
Areas, 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.
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(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)
Work Sharing and Cross-Training
To promote efficiency and to address understaffing issues, a Gaming Operation may cross-train
Gaming Employees so that they may work in multiple gaming areas subject to the requirements
and limitations of this subsection.
(1) Gaming Employee Licensees may not Work Share/Cross-Train in a gaming position that is above
their current gaming license level. In other words, Non-Key Gaming Employee License holders
may not Work Share/Cross-Train into a Key or PMO License level position, and Key license
holders may not Work Share/Cross-Train into a PMO license level position. Of course,
licensees are allowed to work in same-level and lower-level gaming positions and may apply
for a higher-level license.
(2) Work sharing must be implemented in a manner that maintains adherence to internal controls
and applicable law. As examples, PMO Licensees who are work sharing in a lower-level license
position cannot approve their own signed documents, and PMO Supervisors assigned to a lower
license level position cannot also supervise the same gaming area during the same gaming day.
(3) Gaming Licensees may not Work Share/Cross-Train into unclassified gaming positions (which
do not include positions outside license classification requirements). If a new gaming position
is needed, the Gaming Operation shall follow the current job position classification process
outlined in the relevant section above.
(4) Each Work Share/Cross-Trained Gaming Employee must complete documented training for the
gaming area, including relevant internal controls, before beginning work in the new area. That
documentation must be included in the person’s personnel file and must be made available for
inspection in accordance to LGCB Regulations Section 1110.
(5) If any amendments have been made since the previous reported list, a list of Gaming Licensees
who are assigned to Work Share/Cross-Training positions or are transferred into a different
Primary Position must be provided to TGRA by the close of business on the last business day
each week that includes, but is not limited to, the following information:
(i) Name of Gaming Employee,
(ii) Current Primary Position,
(iii) Work Share/Cross-Training position(s) assigned, and
(iv) Attestation to the completed Documented Training for each Work Share/Cross-Training
area.
(6) Gaming Employees in the following departments may not work in any other department
without the express prior written approval of the Executive Director:
(i) Surveillance, or
(ii) Security.
(g)
Exemptions from License Requirement
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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.
(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 as determined by TGRA in its sole discretion:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
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 rate;
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(viii)
(ix)
(x)
(xi)
(xii)
(xiii)
(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)
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)
(h)
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
under this subparagraph (ix).
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.
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.
on-site work in or near a Sensitive Area, or
any work that provides access to Gaming Devices, Gaming Equipment, or Gaming
Systems.
Pre-Screening
Because of the $10,000 floor for contractor licenses, there was some confusion about how to deal
with contractors who might or might not exceed that floor in a calendar year. Both the Gaming
Enterprise and contractors faced uncertainty, and possibly an interruption in their contractual
relationship, when the licensing threshold was approached. To address this situation, TGRA now
has a “Pre-Screening” process whereby all contractors receive a less-involved background check for
which they pay a nominal fee (unless waived by TGRA in the Executive Director’s discretion). The
Pre-Screening process is intended to expedite the licensing process if the threshold is reached, and
contractors must comply with the Pre-Screening process as implemented by TGRA.
.
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(i)
Valet Personnel
Valet personnel directly serving patrons of a Gaming Facility have historically been licensed as Key
Gaming Employees because the definition of that term in Section 14-1-2 of the Code states in part:
“All valet personnel shall also be considered Key Gaming Employees unless expressly excluded by
the Board by regulation or order.” The Board has concluded expressly that valet personnel need
not be licensed as Key Gaming Employees to protect the integrity of gaming so long as the Gaming
Enterprise ensures that:
(j)
(1)
All valet personnel must go through a background check performed by TGRA under the
MOU between the Gaming Enterprise and TGRA under § 14-1-6(K) of the Code, if such an
MOU is in place, or if not, through an alternative background check process approved in
writing in advance by TGRA.
(2)
All valet personnel must be insured by the Gaming Enterprise’s insurer, including for any
loss of or damage to a Gaming Facility patron’s vehicle, in an amount equal to or greater
than that required by the {{Compact}} in force (e.g., Section 8 of the {{2015 Compact}})
(3)
All valet personnel must be legally eligible to operate a vehicle on Pueblo lands (e.g., they
must have valid driver’s licenses, must be of sufficient age, etc.)
Multiple Gaming Licenses
In general, a natural person may not receive or hold a Gaming License issued by the Board while
also holding one or more gaming licenses from other jurisdictions (tribal or otherwise), especially if
the other jurisdiction(s) is in New Mexico. Exceptions may and shall be made by the Executive
Director if the Executive Director is satisfied that confidentiality and conflict of interest issues pose
no or very little risk to the integrity of gaming on Pueblo lands. Such exceptions are particularly
likely:
(1)
for Gaming Enterprise board members, who are appointed by the Pueblo Council and
whose employment may well be in another state, where they may be licensed by a tribe or
that state, or who, for example, may serve on tribal enterprise boards in multiple states;
(2)
for Gaming Enterprise board members and certain employees (including board members
or employees of subsidiaries of a Gaming Enterprise) who are required to obtain a gaming
license in another state solely because of Gaming Enterprise (or Gaming Enterprise
subsidiary) business activity in another state (whether on Indian or non-Indian land), which
might, for example, include the purchase by the Gaming Enterprise of a casino in another
state; or
(3)
for an Applicant who is in the process of obtaining a license from TGRA because the
Applicant is in the process of changing employment from a gaming facility in another
jurisdiction to a Pueblo Gaming Facility. Such employment transitions are generally to be
addressed as follows to ensure that the Applicant relinquishes the prior gaming license
from another jurisdiction before beginning employment at a Pueblo Gaming Facility,
although the Board recognizes that unique circumstances may require the Executive
Director to exercise discretion to account for different situations. Generally, once TGRA
determines that an Applicant is eligible for a Gaming License (but for holding the prior
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license(s) from one or more other jurisdictions), TGRA will inform the Applicant that a
Gaming License will be issued once the Applicant complies with this subparagraph (3)
unless there is an intervening disqualifying event (for example, a felony arrest and
subsequent conviction). Such an Applicant may be required to fill out a form, under penalty
of perjury, stating that the Applicant will relinquish the prior gaming license(s) prior to
receiving a Pueblo Gaming License and prior to beginning work at a Pueblo Gaming Facility.
Generally, TGRA is able to verify relinquishment quickly through other gaming
commissions. If there is a delay in TGRA receiving confirmation that an Applicant has in
fact relinquished a prior gaming license and that delay would affect an Applicant’s start
date at a Pueblo Gaming Facility, the Executive Director has the discretion to grant a
temporary Pueblo Gaming License until confirmation from the other jurisdiction(s) is
received. In that event, the Applicant generally will be required to fill out a second form,
also under penalty of perjury, stating that, as of that date, the Applicant is no longer in
possession of a gaming license from another jurisdiction and will no longer work under that
gaming license. The penalties assessed or otherwise pursued by TGRA for an Applicant’s
failure to be truthful on such form(s) should be strong enough to deter future
untruthfulness by other applicants and the Applicant should be aware that license
revocation is a likely outcome if the prior gaming license was not, in fact, relinquished,
contrary to the Applicant’s signed statement. Civil fines may also be imposed.
On the other hand, exceptions shall not be made if the Applicant obtains or will continue to hold a
gaming license from another jurisdiction within the boundaries of New Mexico unless approved by
the Board upon notice from the Executive Director. The Board has determined, after consultation
with the Gaming Enterprise, that the risk to the integrity of gaming is simply too high if an Applicant
or Licensee is licensed elsewhere in New Mexico. The Board would only approve an exception if it
has failed to foresee an extraordinary situation.
Contractors pose different issues and may often provide goods or services to multiple gaming
jurisdictions. TGRA shall nevertheless be cognizant of risks to the integrity of gaming when
considering applications from contractors.
1005. License Application
(a)
An Applicant for any type of license must apply on the appropriate form(s) approved by the
Executive Director. 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 interests in the Applicant; and
(6)
Other information as required.
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(b)
The License 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 License Application forms shall be accompanied and supplemented by the documents and
information as may be specified or required by TGRA, including under applicable law. The failure
to supply the information requested constitutes grounds for ceasing processing of, delaying, or
denying the application. In situations in which a Licensee is up for license renewal, or is transferring
positions within 180 calendar days of the date of the previous license approval, the Licensee may
rely on prior application materials and provide only updated or additional information as required.
(d)
All documents and information required to be included in a License Application must be true and
complete as of the date the application is filed with TGRA. The Applicant must promptly amend
any document or information based on facts occurring after filing the original application so as to
keep the information true and accurate. As set forth below, the failure to provide complete and
accurate information is grounds for denial of a License Application or, if warranted, granting a
request by the Applicant to withdraw the License Application under Section 1007.
(e)
A License 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.
(f)
Other failures by an Applicant to diligently pursue the licensing process may also be grounds for
TGRA to (1) cease processing the License Application for a period of seven calendar days to allow
time for the Applicant to demonstrate that the Applicant will comply with licensing deadlines after
at least one unexcused failure to do so; (2) declare an Applicant ineligible to apply under Section
1006 for a period of at least fourteen calendar days for repeated unexcused failures to comply with
licensing deadlines; or (3) deny a License Application if either (1) or (2) (or both) does not result in
acceptable compliance with licensing appointments and/or deadlines. For example, an Applicant’s
failure to attend information sessions, meetings, or other scheduled licensing-related events
without good cause (and especially without prior notice, when such notice is possible) places an
undue and unnecessary burden on TGRA and is grounds for remedial action under this subsection
at the Executive Director’s discretion. If an Applicant agrees to a date and time for a scheduled
licensing-related event orally or in writing, it is the Applicant’s responsibility to request to
reschedule should that become necessary. If TGRA proposes a date and time by email or other
written communication, it shall provide the applicant at least forty-eight hours’ notice and invite
the Applicant to request a different date and/or time. If TGRA ceases processing an application
under (1) or if an Applicant is declared ineligible to apply under (2), the Gaming Enterprise cannot
have any expectation that a Gaming License will be granted until the relevant period (e.g., seven or
fourteen days) has expired, and the Gaming Enterprise shall not communicate anything to the
contrary to an Applicant. Of course, an Applicant may request to withdraw a License Application
under Section 1007 if the Applicant no longer wishes to pursue a license.
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 License Application may be summarily rejected and the Applicant declared “Ineligible to Apply,” in
which case:
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(a)
The fee paid shall not be refunded.
(b)
A summary rejection for “Ineligibility to Apply” 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 or until a period of time determined by TGRA has passed
(for example, seven or fourteen days under Section 1005 (f), whichever is later. TGRA may dictate
any set period of ineligibility (e.g., six months) if an ineligible Applicant’s acts or omissions so
warrant, in which case the set minimum period of ineligibility shall be communicated to the
ineligible Applicant and the Gaming Enterprise in writing.
1007. Withdrawal of Application
(a)
An Applicant may file a written request to withdraw a License Application at any time before the
Board takes final action on the application. Final action by the Board on the application occurs
when TGRA grants a license, when a hearing before the Board is waived, or when the Board issues
its decision after hearing.
(b)
TGRA may, in its discretion, deny or grant the request for withdrawal of application with or without
prejudice. If the Board has already held a hearing, the Board shall consider the request to withdraw
and direct the Executive Director to deny or grant the request. In any event, the application fee is
nonrefundable.
(c)
If a request for withdrawal is granted with prejudice, the Applicant is not eligible to apply for a
Gaming License for a period of six months from the date the withdrawal is granted.
1008. Background Investigation
Consistent with Section 14-1-6 of the Gaming Code, Applicants for licenses shall provide all documents and
information requested on their License 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. TGRA may also examine the persons associated with the
Applicant to the extent that TGRA determines it necessary to evaluate the qualifications and suitability of
the Applicant for licensing. In no case shall the evaluation of the Applicant or Licensee 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. Applicants and Licensees are on notice that their social media activities, and
internet presence more generally, may be reviewed by TGRA in this process. While TGRA independently
evaluates the reliability of all background investigation materials in making a suitability determination,
Applicants should inform TGRA if they are aware of information about them on the internet that they
believe is untrue or misleading.
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1009. Temporary Licenses
(a)
With technological changes in the background investigation process, reports that used to take
weeks or even months are now generally available in a matter of days. The exception is jurisdictions
(“non-reporting jurisdictions”), such as other tribal nations, which do not uniformly report
information to the national services used by TGRA and which often take considerable time to
respond to requests for background information. However, the Gaming Enterprise has also
informed the Board that the competition for gaming employees has increased significantly and that
it is imperative that new employees be licensed as quickly as practicable while also acknowledging
and endorsing the importance of screening out unsuitable persons. Balancing these factors is
difficult for the Board and TGRA, but this Section is an attempt to recognize the realities faced by
the Gaming Enterprise while also fulfilling the Board’s mission to safeguard the Pueblo in light of
the availability of background information. Accordingly, TGRA may, in its discretion, and generally
will issue a temporary license, for up to 90 days, to any Applicant for license upon the following
grounds:
(1)
The License Application is complete, and the Applicant has complied with all application
processes, including requests for supplemental information (which may exclude requests
for information from non-reporting jurisdictions at the discretion of the Executive Director);
(2)
The License Application and available background information do not disclose or reveal
information that is necessarily or probably disqualifying;
(3)
TGRA has received the criminal history report from the FBI and the report from TGRA’s
designated third-party background investigation agent(s) (currently TrueScreen) (or the
equivalents of each), and those reports do not reveal information that is necessarily or
probably disqualifying;
(4)
The Applicant does not appear to present any danger to the public or to the reputation of
gaming on Pueblo Lands;
(5)
The Applicant has paid all applicable fees, or an arrangement for a Gaming Operation to
pay the fees promptly is in place;
(6)
The Applicant has not, in the ten years prior to the date of application, been a resident of
a jurisdiction that is not covered by the inquiries conducted by each of the FBI (criminal
history) and TGRA’s designated third-party background agent(s) (broader background
information, including sexual offender registry information); provided that if the Applicant
has been a resident in such a jurisdiction but (A) has also been licensed by one or more
gaming regulatory agencies (or governmental agencies with similar licensing and
background investigation responsibilities) and (B) TGRA is able to verify that those licenses
were not revoked or suspended based on improper or illegal behavior by the Applicant, a
temporary license may be issued; provided further, however, that if TGRA is not able to
obtain such verification(s) within seven calendar days of a request, the Executive Director
has the discretion to grant a temporary license, including after consultation with the
Gaming Enterprise to evaluate risks, benefits, and potential alternate courses of action; and
(7)
For jurisdictions in which the Applicant has resided in the last ten years and in which the
FBI and TrueScreen (or their equivalents) do not obtain background information, a
temporary license will not be issued (except at the discretion of the Executive Director as
46
provided herein), and a Permanent license determination will be made as promptly as
possible once information if received from such jurisdiction(s) by TGRA.
(b)
TGRA may change a temporary license into a Permanent license when the Background Investigation
is complete, TGRA is satisfied that the holder of the temporary license is suitable to hold a
Permanent license, and all other provisions of applicable law have been satisfied.
(c)
When TGRA changes a temporary license into a Permanent license, the date of issuance of the
license shall be that of the temporary license.
(d)
A temporary license may expire of its own accord, or it may be the subject of a License Action or a
Request for Information under the same terms and conditions as a Permanent license.
(e)
TGRA may issue consecutive temporary licenses except to persons meeting the definition of a Key
Gaming Employee.
(f)
Even after a temporary license is issued, TGRA may deny the License Application, and such action
is treated under these regulations as a license denial, not a revocation of the temporary license. In
such instances, the temporary license terminates as of the date of the application denial by TGRA
unless otherwise stated in writing by the Executive Director.
(g)
TGRA often grants a license to a Gaming Employee relatively soon after a Background Investigation
is completed, and the Applicant therefore can begin work, but such licenses are legally “temporary”
until the Commission reviews TGRA’s notice of results, as required by 25 C.F.R. § 558.2. See Section
1016. If the Commission does not object to the notice of results within the time allowed or if TGRA
reconsiders the application and again approves it, the license becomes “permanent.” If TGRA
reconsiders the application in light of the Commission’s information and denies the application, the
temporary license is suspended by operation of law. Such an application denial gives the Applicant
the right to a hearing under Section 1015. See also 25 C.F.R. § 558.4.
1010. Drug Test
(a)
The Gaming Enterprise or Gaming Operation shall cause a drug test to be administered to the
Applicant in accordance with Section 1122 of these regulations.
(b)
The Gaming Enterprise or Gaming Operation shall not hire or retain any Gaming Employee who
tests positive for illegal drug use.
(c)
If a positive drug test result is obtained and is indicative of illegal drug use, the Gaming Enterprise
or Gaming Operation may permit the Gaming Employee or Applicant for a Gaming Employee
position to be retested in accordance with the drug testing plan approved pursuant to Section 1122
of these regulations.
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1011. Fingerprints
(a)
On-site applicants shall submit to fingerprinting by the Board. The Gaming Enterprise or Gaming
Operation shall direct all Applicants to TGRA offices or another authorized location for the taking
of fingerprints as provided in the Code.
(b)
Unless otherwise directed by the Executive Director in writing, remote Applicants shall submit to
fingerprinting by the Board at the TGRA office or by obtaining a physical fingerprint card from TGRA
and completing it in accordance with procedures to be provided by TGRA.
1012. Duration of License
Every license issued under these regulations shall have a term of one calendar year except: (1) Any license
for a Management Contractor shall be renewed automatically each year during the term of the
Management Contract unless the Board determines that the Management Contractor is in violation of
applicable law; (2) Gaming Facility Licenses shall be for up to three years; and (3) if a Contractor License
would otherwise have a term of six months or less, the Executive Director has the discretion to grant a
license for up to eighteen months to avoid repetitive licensing processes. The Executive Director may
extend a Gaming Employee License, a Contractor License, or a Special License (as defined in Sections
1004(a), (d), and (e)) for a period of up to 90 days for good cause.
1013. Renewal of Licenses
Every Licensee shall submit an application for renewal of a license on a form prescribed by TGRA no more
than 60 calendar days and no less than 30 calendar days before the license expires. Payment of the
appropriate renewal fee is due with the application unless another arrangement approved by TGRA is made.
(a)
TGRA may consider any application for renewal of a license submitted after the 30 calendar-day
deadline only if the Licensee pays a late charge, but TGRA may not consider any application for
renewal of a license received by TGRA after the license has expired. Instead, the Applicant must
submit a new license application, including all fees and penalties.
(b)
A timely filed application for renewal of a license shall be deemed to incorporate all information
contained in the Licensee’s original application. The Licensee shall be required to supply only
(1)
new or corrected information that responds to the questions on the original application,
and
(2)
information that responds to questions not previously asked by TGRA in an identical
manner.
(c)
TGRA may, if and as it deems it necessary, conduct further Background Investigation with respect
to any application for license renewal.
(d)
TGRA may deny a license renewal only (1) on the basis of new or corrected information not before
TGRA when it previously granted the license, or (2) on the basis of the failure to provide such
information. Alternatively, if a renewal Applicant does not provide information reasonably
requested by TGRA, TGRA may stop processing the application or take other appropriate steps to
ensure compliance with applicable law.
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(e)
In the event of a denial, the Licensee shall receive written notice thereof and shall have the right to
a hearing as set forth in Part 8.
(f)
A Licensee whose application for a License renewal is approved shall surrender the old license upon
issuance of a new license, if a new physical license is issued.
(g)
The Executive Director may extend the term of any License by up to 60 days if TGRA requires
additional time to review the renewal application. If a renewal application is approved, the
renewed license term shall commence on the date specified by TGRA. If a renewal application is
denied, any extension shall automatically terminate on the date of the denial unless the Executive
Director specifies a different termination date in writing.
(h)
Facility Licenses are governed by Section 1021. A Management Contractor License Application and
procedures will be issued by TGRA if necessary, in the future. Neither Facility nor Management
Contractor Licenses are subject directly to this Section except to any extent communicated to a
Licensee by TGRA in writing.
1014. Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets; Separation or
Suspension
(a)
Definitions for this section:
(1)
“Gaming Licensee Credentials” or “Credentials” include a Gaming Employee’s Identification
Badge and Gaming License.
(2)
“Gaming Licensee Assets” or “Assets” include Gaming Licensee Credentials and any or all
of the following: uniform(s), keys, electronic devices, or any other material thing issued by
the Gaming Enterprise or Gaming Operation to the Licensee either that is worth more than
$10.00 or that could be used to create the impression that a person is a Gaming Employee
or that the person should have access to a sensitive or restricted area.
(3)
“Suspension” includes:
(4)
(i)
suspension of a Gaming Employee by a Gaming Enterprise or Gaming Operation;
(ii)
a proposed Fixed Suspension or revocation of a license by TGRA where there is also
a Summary Suspension pending any hearing and resolution by the Board of the
proposed License Action; or
(iii)
a Fixed Suspension of a license confirmed or imposed by the Board; but
(iv)
does not include, a Summary Suspension imposed by TGRA solely for failure to
perform a discrete task not related directly to the integrity of Gaming (e.g., failure
to provide documents pursuant to a Request for Information).
“Separation” includes:
(i)
termination of a Gaming Employee by a Gaming Enterprise or Gaming Operation;
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(b)
(ii)
any other conclusion of a Gaming Employee’s gaming employment or retention by
a Gaming Enterprise or Gaming Operation, including but not limited to resignation
or transfer to a non-gaming position; or
(iii)
revocation of a Gaming Employee License by the Board.
The Gaming Enterprise or Gaming Operation (including a Management Contractor) shall issue:
(1)
to each licensed Gaming Employee an Identification Badge, to include: first name,
photograph, employee number, Primary Position title, and expiration date.
(2)
to each visitor who will have access to non-public or restricted area(s) in accordance with
an internal procedure approved in advance by TGRA, a Visitor Badge – with a numeric or
other identifier – to be returned when the Visitor leaves the premises.
(c)
TGRA shall issue a Gaming License to each licensed Gaming Employee, each licensed Contractor
Technician, and other individual Licensees as appropriate, to include: first name, photograph,
gaming license number, Primary Position title, and gaming license expiration date.
(d)
Display of Identification Badge and Gaming License; Display of Visitor Badge
(1)
Gaming Employees shall wear their Identification Badges and Gaming Licenses in a manner
so that one or the other is prominently visible to Surveillance operations while on duty
(including when on break in or near a Gaming Facility or in other sensitive or restricted
areas). Surveillance and security personnel may conceal their credentials only in
accordance with an internal procedure approved in advance in writing by TGRA.
(2)
Other Licensees or Visitors shall prominently wear their Gaming License and/or Visitor
Badge in a manner so that it is visible to Surveillance operations while conducting business
within a Gaming Facility, including sensitive or restricted areas.
(3)
Identification Badges, Gaming Licenses, and Visitor Badges shall not be altered, defaced, or
obscured.
(4)
Any Licensee or Visitor shall show an Identification Badge and/or Gaming License, or other
required certification credentials, to TGRA personnel upon request.
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(e)
Disposition of Gaming Licensee Assets upon Separation or Suspension
(1)
In-Person Separation or Suspension. Upon an in-person Separation or Suspension, each
Licensee shall surrender all Gaming Licensee Credentials to the Gaming Enterprise or
Gaming Operation by the end of the person’s last day of employment or retention. If a
Separation, the Licensee shall surrender all Gaming Licensee Assets. The Gaming Enterprise
or Gaming Operation shall take reasonable steps to ensure that surrender. Surrendered
Gaming Licenses shall promptly be forwarded to TGRA, at least weekly.
(2)
Remote Separation or Suspension. If a Gaming Licensee resigns remotely, or otherwise is
Separated or Suspended remotely, the Licensee must arrange to surrender all Gaming
Licensee Credentials as soon as practicable to the Gaming Enterprise or Gaming Operation.
If it is a Separation, the Licensee must return all other Gaming License Assets. If the
Licensee fails to return any Asset, the Gaming Enterprise or Gaming Operation shall use
reasonable and lawful methods to try to secure the return of the Asset(s). Failed attempts
to acquire either Credential shall be reported to TGRA in accordance to Section 1107.
(3)
If a Gaming Licensee fails to return Gaming Licensee Assets to the Gaming Enterprise or
Gaming Operation (or the Gaming License directly to TGRA), TGRA may initiate a License
Action if necessary to secure return of all Assets.
1015. Right to Hearing
Any Applicant whose License Application is denied by TGRA or a Licensee whose permanent license is
subject to a proposed Fixed Suspension or revocation by TGRA may request a hearing before the Board or
hearing officer by filing a timely written request for hearing with the Board or hearing officer (generally
within seven calendar days after receiving the notice of denial of a License Application or notice of proposed
revocation or Fixed Suspension, or such other deadline established by TGRA consistent with applicable law).
The Board shall set a prompt hearing date, which shall generally be no later than forty-two calendar days
after receipt of the request for hearing, unless the Applicant for good cause requests an extension or unless
one or more of the following requires a longer time: (1) any pre-hearing procedures, (2) any pre-hearing
briefing, (3) availability of the parties and the Board or hearing officer, and (4) the Applicant’s review and
correction of a background report as required by applicable law or TGRA procedures. The Applicant or
Licensee may be represented by counsel at the hearing. The hearing shall be held in accordance with the
provisions in Part 8. The Board’s or hearing officer’s decision following the hearing shall be final, subject to
any right to appeal to the Pueblo Court as set forth in Sections 14-1-5C(4) and 14-1-14 of the Code and
these regulations. Temporary licensees do
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