GAMING CONTROL BOARD (2026)
Tribal code
Ask Donna
What actually matters in this document.
Text
PUEBLO OF LAGUNA
GAMING CONTROL BOARD
PROPOSED
REGULATIONS
Changes tracked to 12-9-2020 Regulations Currently In Place
EFFECTIVE DECEMBER 9, 2020{{__________ ___}}, 2026
Contents
PART 1
101.
102.
103.
104.
PART 2
201.
202.
203.
204.
PART 3
301.
302.
303.
304.
305.
306.
307.
308.
309.
310.
311.
312.
313.
PART 4
401.
402.
403.
404.
405.
406.
PART 5
INTERPRETATIVE RULES AND DEFINITIONS ............................................................................................... 1
Scope ........................................................................................................................................................ 1
Construction ............................................................................................................................................. 1
Severability ............................................................................................................................................... 1
Definitions.................................................................................................................................................. 1
ORGANIZATION AND OPERATION OF THE CONTROL BOARD ........................................................ 109
Scope. ................................................................................................................................................... 109
Organization of the Board .................................................................................................................. 109
Meetings ............................................................................................................................................... 109
Delegation of Authority..................................................................................................................... 1110
ENFORCEMENT ................................................................................................................................... 1413
Scope .................................................................................................................................................. 1413
Grounds for License Actions ............................................................................................................. 1413
Initiation of a License Action ............................................................................................................ 1413
Informal Consultation ........................................................................................................................ 1514
Assurance of Voluntary Compliance .............................................................................................. 1514
Settlement .......................................................................................................................................... 1514
Criminal Convictions as Grounds for Revocation or Fixed Suspension ....................................... 1514
Facts of Criminal Charge .................................................................................................................. 1514
License Action by TGRA .................................................................................................................... 1615
Summary Suspension ......................................................................................................................... 1615
Conditions Imposed by TGRA for Re-issuance of License ............................................................ 1716
Order of Temporary Closure ............................................................................................................. 1716
Self-Exclusion ...................................................................................................................................... 1817
FINES AND PENALTIES ......................................................................................................................... 2019
Scope .................................................................................................................................................. 2019
Review of Notice of Violation........................................................................................................... 2019
Civil Fine; Amount; Determination ................................................................................................... 2019
Procedures for Assessment of Civil Fines ......................................................................................... 2019
Reduction or Waiver of Civil Fine ..................................................................................................... 2120
Final Assessment................................................................................................................................. 2120
FEES...................................................................................................................................................... 2221
i
501.
Scope .................................................................................................................................................. 2221
502.
Application, Renewal, and Investigative Fees .............................................................................. 2221
503.
Schedule of Fees ............................................................................................................................... 2221
504.
Supplemental Fees ............................................................................................................................ 2221
505.
Final Action ......................................................................................................................................... 2221
506.
Accounting of Fees ........................................................................................................................... 2221
PART 6 DECLARATORY ORDERS .................................................................................................................... 2322
601.
Scope .................................................................................................................................................. 2322
602.
Petition for Declaratory Order; Contents ........................................................................................ 2322
603.
Board Action on Petition ................................................................................................................... 2322
604.
Reconsideration and Appeal .......................................................................................................... 2322
PART 7 ISSUANCE OF REGULATIONS ............................................................................................................. 2524
701.
Scope .................................................................................................................................................. 2524
702.
Publication .......................................................................................................................................... 2524
703.
Draft Regulation, Comment Period ................................................................................................. 2524
704.
Adoption of Final Regulations .......................................................................................................... 2524
705.
Effective Date .................................................................................................................................... 2524
706.
Emergency Regulations .................................................................................................................... 2524
707.
Filing of Regulations ........................................................................................................................... 2625
708.
Public Hearings................................................................................................................................... 2625
PART 8 HEARINGS ........................................................................................................................................... 2726
801.
Scope .................................................................................................................................................. 2726
802.
Hearings .............................................................................................................................................. 2726
803.
Delegation to Hear Matter ............................................................................................................... 2726
804.
Hearing Procedures Generally—Contested Matters .................................................................... 2827
805.
Regulatory Hearings .......................................................................................................................... 2928
806.
Adjudicative Hearings ....................................................................................................................... 3231
807.
Telephonic Hearings .......................................................................................................................... 3433
808.
Subpoenas.......................................................................................................................................... 3534
809.
Decision .............................................................................................................................................. 3534
810.
Pueblo Court Review......................................................................................................................... 3534
811.
Public Hearings................................................................................................................................... 3534
PART 9 CONFLICT OF INTEREST ...................................................................................................................... 3635
901.
Scope .................................................................................................................................................. 3635
902.
Prohibitions on Giving Items of Value .............................................................................................. 3635
PART 10 LICENSING .......................................................................................................................................... 3736
1001. Scope .................................................................................................................................................. 3736
1002. Revocable Privilege .......................................................................................................................... 3736
1003. License Requirement: Gaming Employees ................................................................................... 3736
1004. Classification of Licenses .................................................................................................................. 3837
1005. License Application ........................................................................................................................... 4443
1006. Ineligibility to Apply............................................................................................................................ 4544
1007. Withdrawal of Application ............................................................................................................... 4645
1008. Background Investigation................................................................................................................. 4645
1009. Temporary Licenses ........................................................................................................................... 4746
1010. Drug Test ............................................................................................................................................. 4847
1011. Fingerprints.......................................................................................................................................... 4948
1012. Duration of License ............................................................................................................................ 4948
1013. Renewal of Licenses .......................................................................................................................... 4948
1014. Identification Badges; Gaming Licenses; Gaming Employee Credentials and Assets;
Separation or Suspension ................................................................................................................. 5049
1015. Right to Hearing ................................................................................................................................. 5251
1016. Approval of License .......................................................................................................................... 5251
1017. Lost or Missing Identification Badge or Gaming License: Reporting and Replacement ......... 5352
ii
1018. Disqualification Criteria ..................................................................................................................... 5452
1019. Applicants and Licensees: Provision of Information ...................................................................... 5655
1020. Requirements for Gaming Facility License ..................................................................................... 5655
1021. Gaming Facility License Application .............................................................................................. 5756
1022. Compliance with Health and Safety Codes .................................................................................. 5756
1023. Compliance with Provisions of the Compact ................................................................................ 5857
1024. Charitable Gaming ........................................................................................................................... 6059
1025. Other Gaming Prohibited ................................................................................................................. 6160
PART 11 GENERAL OPERATING REGULATIONS .............................................................................................. 6261
1101. Scope .................................................................................................................................................. 6261
1102. Responsibility of Licensee ................................................................................................................. 6261
1103. Discovery of Violations ...................................................................................................................... 6261
1104. Authorized Gaming ........................................................................................................................... 6261
1105. Unauthorized Gaming ....................................................................................................................... 6261
1106. Gaming Employee Reports .............................................................................................................. 6261
1107. Employment Actions: Effect on Gaming Licensees ..................................................................... 6261
1108. Employee Benefits and Grievance Procedures............................................................................. 6362
1109. Information to be Furnished by Licensee........................................................................................ 6362
1110. Inspections .......................................................................................................................................... 6463
1111. Payout Schedules .............................................................................................................................. 6463
1112. False Advertising ................................................................................................................................ 6463
1113. Patron Disputes .................................................................................................................................. 6463
1114. Special Rules of Conduct ................................................................................................................. 6564
1115. Transfers of Interest ............................................................................................................................ 6564
1116. Underage Gaming ............................................................................................................................ 6564
1117. Underage Employees........................................................................................................................ 6564
1118. Authorized Gaming Hours ................................................................................................................ 6564
1119. Complimentary Services or Items .................................................................................................... 6564
1120. Automated Teller Machines (ATM) .................................................................................................. 6665
1121. Check Cashing .................................................................................................................................. 6665
1122. Illegal Drugs; Abuse of Alcohol and Legal Drugs. ......................................................................... 6665
1123. Alcohol ................................................................................................................................................ 6766
1124. Central Computer Monitoring of Gaming Devices ....................................................................... 6867
1125. Credit .................................................................................................................................................. 6867
1126. Shipment of Gaming Equipment ..................................................................................................... 6867
1127. Authorized Gaming Machines and/or Gaming Devices ............................................................. 6968
1128. Banishment of Patrons and Other Persons by Gaming Enterprise or Gaming Operation ........ 6968
PART 12 TRIBAL INTERNAL CONTROL STANDARDS ......................................................................................... 7069
1201. Scope .................................................................................................................................................. 7069
1202. Adoption of Minimum Internal Control Standards......................................................................... 7069
1203. Tribal Internal Control Standards...................................................................................................... 7069
1204. Compliance ....................................................................................................................................... 7170
PART 13 ACCOUNTING .................................................................................................................................... 7271
1301. Accounting......................................................................................................................................... 7271
1302. Reporting ............................................................................................................................................ 7271
1303. Submission and Approval of Accounting System .......................................................................... 7372
1304. Amendments...................................................................................................................................... 7372
1305. Noncompliance................................................................................................................................. 7372
1306. Annual Audit Reports – Auditor Selection and Approval ............................................................. 7372
PART 14 CURRENCY TRANSACTIONS REPORTING ......................................................................................... 7574
1401. Compliance with Bank Secrecy Act ............................................................................................... 7574
iii
PART 1
INTERPRETATIVE RULES AND DEFINITIONS
101.
Scope
This Part sets forth the definitions of various terms used in these regulations and interpretive aids.
102.
103.
Construction
(a)
Nothing in these regulations shall be construed so as to conflict with any provision of the Gaming
Code, the Compact, or the IGRA.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.
1
(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 devicesGaming 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
2
approved by the Pueblo Council and the National Indian Gaming Commission.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 agreementsagreement(s)
thereto.
(k)
“Disciplinary Proceedings” means those procedures undertaken by the Board to suspend or revoke
any license issued by it, to levy a civil fine or penalty against any Licensee, or to otherwise sanction
violations of gaming laws and these regulations.
(l)
“Distributor” means any person that sells, leases, markets, offers, or otherwise distributes a gaming
device for use or play on Pueblo Lands.
(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.
(m)(l)
“Game” means any game played with cards, dice, equipmentGaming Equipment or any gaming
deviceGaming Device for cash or any other thing of value, including, without limitation, any banking
or percentage game or any other game or device approved by the Board.
(n)(m) “Gaming” means Class II Gaming, Class III Gaming, or other game of chance involving prize, chance
and consideration, except for Class I Gaming.
(o)(n) “Gaming Activity” means all forms of Class II Gaming and Class III Gaming conducted by a Gaming
Operation on Pueblo Lands.
(p)(o) “Gaming Device” Means(or “Gaming Machine”) means:
(1)
(2)
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
3
(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
(3)
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.;
(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.
(q)(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.
(r)(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.
(s)(r)
“Gaming Equipment” means any equipment, device, contrivance, or supplies, other than a Gaming
Device, used to conduct Class II or Class III gaming.
(t)(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 Lawapplicable
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 Lawapplicable law or the
Compact.
(u)(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.
(v)(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.
(w)(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
4
accounting services) in an amount reasonably anticipated to be in excess of $10,000 in a calendar
year (or a greater amount established by the Board by regulation and calculated to protect the
integrity of Gaming Activities and the proceeds therefrom).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.
(x)(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
revenue from Gaming Revenues for accounting purposes, all such undifferentiated revenue shall
be considered Gaming Revenues.
(y)(x)
“Gaming Services” means the provision of any goods, services or concessions in connection with
any gaming to the pPueblo, Gaming Enterprise, or Management Contractor.
(z)(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.
(aa)(z) “Gaming-Related Contractor” means any pPerson who is a party to a Gaming-Related Contract as
defined in the Gaming Code but does not mean a Gaming Enterprise.
(bb)(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.
(cc)(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.
(dd)(cc) “Key Gaming Employee” means:
(1)
any natural person employedretained 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 employedretained 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)
(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. All valet personnel shall also be
considered Key Gaming Employees unless expressly excluded by the Board by regulation or
order.
The distinction between Key and Non-Key Gaming Employees is addressed more fully in 1003(c).
(dd)
“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
5
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
established by TGRA. Only if the context requires, does “License Application” mean only the written
form or submission.
(ee)(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.
(ff)(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 gGaming
Enterprise.
(gg)(hh) “Management Contractor” means any pPerson who enters into a Management Contract with the
Pueblo, and. A Management Contractor is also a “Gaming Enterprise” or a “Gaming Operation” for
purposes of these regulations unless the context dictates otherwise.
(hh)(ii) “MICS” means the minimum internal control standards, whether controlling or published as
guidance, by the CommissionNIGC.
(ii)
“Moral Turpitude” means an act done contrary to honesty and good morals; it is an act of baseness,
vileness, or depravity in the private and social duties which a person owes to a fellow person or to
society in general.
(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
(ll)
(1)
by a Gaming Operation,
(2)
at a Gaming Facility, or
(3)
significantly by patrons of a Gaming Facility.
“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.
6
(mm)
“Non-Gaming Employee” means an employee ofa 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 employedretained either by
(a) a Gaming Operation or
(b) any employerthird-party business within a Gaming Facility;
and
(3)
whose employment includesresponsibilities 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 of
employees, such as beverage servers, barbacks, and similar employeespositions, whose
exposure to the Gaming Activity in such areas is limited and who awere not licensed by the
Board as of September 1, 2013 will not be licensed under this chapter unless at the express
direction of the Pueblo Council. Examples of such areas are a: cage, pit, drop and count
room, poker room, card and dice room, surveillance, administrative office, and player’s club
room.
EmployeesPersons whose employmentposition 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
Lawapplicable 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 pPerson providing non-gaming services.
(pp)
“Patron” means any natural person frequenting a Gaming Facility and who must be at least 18 years
of age to enter and/or participate in Class II Gaming or non-gaming area, and who must be at least
21 years of age to enter and/or participate in a Class III Gaming or a Class III Gaming area.
(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.
(qq)(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.
7
(rr)(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.
(ss)(uu) “Pueblo” means the Pueblo of Laguna, a federally recognized Indian tribe, its authorized officials,
agents, and representatives.
(tt)(vv) “Pueblo Council” means the Laguna Pueblo Council, the governing body of the Pueblo.
(ww)
“Pueblo Court” means the Pueblo of Laguna Tribal Court.
(uu)(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
(ii)
held by the Pueblo or its members subject to restriction by the United States
against alienation.
(vv)(yy) “Sensitive Area” means an area in which Gaming MachinesDevices, 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.
(ww)(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.
(xx)(bbb)
“State” means the State of New Mexico, its authorized officials, agents, and
representatives.
(yy)(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.
8
(zz)(a) “Pueblo Court” means the Pueblo of Laguna Tribal Court.
(aaa)(eee)
“TICS” or “Tribal Internal Control Standards” are internal controls promulgated by TGRA or
the Board.
(bbb)(fff)
“Wager” means a sum of money or representative of value risked on an uncertain
occurrence.
9
PART 2
ORGANIZATION AND OPERATION OF THE CONTROL BOARD
201.
Scope.
This Part sets forth the organization of the Board and the delegationspecified 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 similarany electronic
means allowing immediate and simultaneous oral communication.
(d)
The Board may also take action by electronic mail or any similar electronic method that creates a
permanent record; provided, however, that any member of the Board may request that a matter
instead be addressed by a method under paragraph (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.
10
(f)
204.
The Board may adopt a seal that may be affixed physically or electronically to a document to certify
the official action of the Board.
Delegation of Authority.
(a)
The use of the term “Board”, “chair”, or “member”,” in these regulations shall not be interpreted
to preclude any authorized delegation of authority to the TGRA or other agents of the Board in
accordance with this Section.
(b)
Unless the Board directs otherwise in a specific instance, TGRA, through the Executive Director, is
hereby designated by the Board to:
(1)
Accept any notice, filing, petition, or other document required by these regulations or other
applicable law to be served on or submitted to the Board;
(2)
Conduct or oversee investigations;
(3)
Issue and deny temporary and pPermanent 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 actionLicense Action shall not be deemed to
be final until the Applicant or Licensee has had any opportunity to review a background
report asif required by applicable law, TGRA procedures, or contract (see Section 805(d));
(4)
Suspend or revoke a temporary or pPermanent license, provided however that such
suspensionFixed 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 suspensionFixed 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 pPermanent licenses,; provided further that such
license action shall not be deemed to be final until the Licensee has had any opportunity to
review a background report as required by applicable law, TGRA procedures, or contract
(see Section 805(d));)) 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;
11
(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
of job descriptions, selecting one or more applicants to interview, interviewing candidates,
selecting the final hire, and recommending TGRA staff salaries to the Pueblo;
(17)
Prepare annual budgets for Board review;
(18)
Prepare and execute budget modifications as necessary, subject to Pueblo limitations;
provided, however, that any budget modification(s) in a single calendar month exceeding
one percent of the approved annual Board/TGRA budget must be approved in writing by
the Board; and provided further that the Executive Director shall inform the Board of all
budget modifications in writing before or at the next regular Board meeting;
(19)
SignatureIndependent signature authority for budgeted expenditures, including contracts
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.
12
(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 offrom a person adversely affected by the exercise of
a delegated authority under this Section, may review any determination by TGRA made under a
delegation of authority.
(e)
All delegations of authority shall remain in effect indefinitely, unless otherwise specified. Any
delegation of authority previously approved by the Board may be revoked or modified by the Board
through the adoption of a subsequent resolution. Additional delegations, or clarifications of this
Section, may be made by the Board through resolution. All changes in delegations of authority shall
periodically be incorporated into these regulations.
(f)
A delegation of authority for a specific matter or circumstance may be made by the Board by a
majority vote. ‘
13
PART 3
ENFORCEMENT
301.
Scope
This Part sets forth the regulations for licensing actionsLicense Actions.
302.
Grounds for Licensinge 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 Llicense under the Gaming Code and these regulations because:
(a)
the Licensee, the Licensee’s employees or agents, or persons associated with the Licensee have
violated any provision of the Gaming Code, these regulations, other applicable law, or substantive
gaming policies or procedures of a Gaming Operation;
(b)
or that violations of laws other than Gaming Code or these regulations by the Licensee, the
Licensee’s employees or agents, or persons associated with the Licensee, make the Licensee no
longer suitable for licensing by the Board; or
(c)
the Licensee otherwise does not meet the suitability requirements for a License. , 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 Licensinge Action
TGRA or the Board may initiate a licensing actionLicense Action under the Gaming Code andor 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 suspensionFixed Suspension or revocation goes into effect. That procedure
is described in Section 304. and in Part 8. However, where TGRA determines that a summary
suspensionSummary 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 licensing actionLicense 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.
14
304.
(b)
The notice of violation shall state the grounds for the proposed disciplinarylicense action and state
that the proposed disciplinarylicense action, if a suspensionFixed 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 suspensionsSummary 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 Moral Turpitudetheft, fraud, or misrepresentation may be grounds for disciplinary
15
actiona License Action. TGRA may take action under this Section based on the facts of the criminal charge
even though the Licensee may ultimately be, or has been, acquitted on the criminal charge or even if the
charge is dropped or dismissed. 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.
Licensinge Action by TGRA
After appropriate investigation in connection with any licensing actionLicense Action, TGRA or the Board
may find that the grounds alleged for the disciplinary actionLicense Action do not warrant discipline, in
which event the licensing actionLicense Action shall be terminated. TGRA may conclude, however, that a
preponderance of the evidence supports licensingtaking action, in which event TGRA may:
(a)
propose revocation of the license,
(b)
propose suspensionFixed 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 believe and findsconclude that any Person licensed under
the Gaming Code and these regulations has violated any provision of the Gaming Code, these
regulations, or other applicable law deliberately, willfully, or with material recklessness, or that the
Licensee has been charged with a felony in any state or other jurisdiction, or that due to other
actions by the Licensee, the public health, safety, or welfare requires emergency action, and where
the TGRA incorporates such findings in its notice of violation, TGRA may summarily suspend the
Licensee’s license pending the licensing action.License Action. Any such licensing actionLicense
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 suspensionSummary 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.
16
311.
(c)
TGRA must deliver a notice of summary suspensionSummary Suspension by hand delivery or by
certified mail or overnight delivery to the Licensee who has been suspended.. The notice must
state the effective date of the summary suspensionSummary Suspension and the fundamental
grounds for the summary suspension.Summary Suspension. The summary suspensionSummary
Suspension may run through the hearing and decision process on a revocation, suspensionFixed
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
suspensionSummary Suspension, TGRA must serve upon the summarily suspended Licensee a
formal notice initiating a licensing actionLicense Action, unless the summary suspensionSummary
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 licensing actionLicense Action shall include an opportunity to request a
hearing.
(e)
Unless the Licensee waives a hearing or a summary suspensionSummary 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 BoardTGRA 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; and
(c)
Making periodic reports to TGRA, including submission of documents required by TGRA; or
(c)(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)
TheA Gaming Enterprise continues to operate Class II gaming or Class III Gaming in violation
of the Gaming Code, the Compact, or these regulations after proper notice of an order
byfrom the Board or TGRA demanding compliance; or
17
(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 threetwo 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;
18
(d)
The Gaming Enterprise and each Gaming Operation shall require that the self-excluded person
forfeit all winnings (whether cash, property, or in any other form), credits, tokens or vouchers
received from the Gaming Facility while excluded, and that all money or other property forfeited
shall be used by the Gaming Enterprise to fund or support programs for the treatment and
assistance of compulsive gamblers pursuant to Section 4(B)(16) of thise Compact (this amount is
in addition to the percentage of Adjusted Net Win already required under Section 4(B)(16) of the
Compact); and
(e)
The Gaming Enterprise and each Gaming Operation shall require that, for jackpots requiring the
patron to complete, prior to the pay-out of the jackpot, paperwork required by the Internal
Revenue Service 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 CommissionBoard, the
Executive Director, or the State Gaming Representative for the purposes of administering and
implementing the self-exclusion program.
19
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 theany
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, the 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
20
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 ofor 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, thea 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.
21
PART 5
FEES
501.
Scope
This Part sets forth the regulations for the imposition of fees.
502.
Application, Renewal, and Investigative Fees
The License ApplicantAnyone 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 application for license and Background Investigation of the Applicant in the manner
prescribed by these regulationslicense 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
Each application for a License must be accompanied by TGRA shall assess a non-refundable application fee
and background investigative fee in the amount specified on the schedule of license fees, which shall be
preparedapproved by the Board and posted by TGRA and the Board at least 60 calendar days before
implementation. The Executive Director may prorate fees under appropriate circumstances and may later
collect additional fees, up to the full cost of the relevant license, (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 an applicationa 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 applicationLicense Application unless all application
and background investigative fees and costs have been paid in full. TGRA may deny the application if all
application and background investigative fees and costs are not paid within a reasonable period.
506.
Accounting of Fees
Upon written request and after the background investigation is complete, the TGRA shall provide to the
Applicant an itemized accounting of the background investigative fees and the costs incurred.
22
PART 6
DECLARATORY ORDERS
601.
Scope
This Part establishes procedures for the issuance of declaratory orders from the Boardby 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
requiresmay require for the issuance of itsa 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, thea 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 a violation ofthat 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 a violation ofthat a Board or TGRA action,
regulation, rule, or similar issuance does or could violate or conflict with IGRA or binding NIGC
23
regulations, the Board and petitioner shall, at the request of either, confer in good faith to
determine if there is a reasonable method to obtain a definitive or substantially clarifying resolution
to the issue, and if so, shall take appropriate steps to obtain such a resolution (presumably, but not
necessarily, through the NIGC).
(c)
If the Board denies in whole or part a petition alleging a violation ofthat 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.
24
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 theany 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 itsthe 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
25
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. TheIn 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.
26
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
suspensionlicense revocation by TGRA or denial of a License aApplication. 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 pPatron 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 compactthe 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
TheTwo or more members of the Board may hear a matter as the Board. Alternatively, the Board may
delegate authority to hear a specific adjudicative or regulatorycontested matter to a member of the Board
27
or to a hearing officer selected by the Board. However, the ruling or decision shall be subject to
reconsideration by the full Board upon the request of any member of the Board, whether on the member’s
own initiative or in response to a request by any party. Such reconsideration, 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 appearpreside 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, Board staff (including but not limited to the Executive Director and investigators), Board
counsel, and experts will be present throughout the proceeding. Unless otherwise allowed by the
Board or hearing officer, 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 retainuse counsel or other experts as it may deem necessary
to conduct or evaluateaid in any proceeding or in the evaluation of the evidence or arguments.
(f)
Motion practice is generally unnecessary. Scheduling changes are generally handled through aan
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)).
28
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 actionsLicense
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)
The Board will ensure that an independent investigation of any matter arising under this Section
has been or is conducted. TGRA is the investigative and administrative arm of the Board, and will
generally conduct the investigation and present evidence at the hearing unless the Board concludes
that TGRA cannot conduct an impartial and independent investigation.
(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 suspensionSummary
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 actionLicense 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 Llicense denial, suspensionFixed
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 hethe Applicant or sheLicensee (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:
29
(i)
Obtain an extension of the time to respond to the Hearing Request Form while
pursuing the process to correct or supplement the relevant records. The extension
shall be automatic and shall extend until the date that is fourteen calendar days
after the Applicant or Licensee receives from the federal or other agency a final
determination on the effort to correct or supplement the relevant records. The
Applicant or Licensee must notify TGRA of that determination and must complete
the Request for Hearing Form within that fourteen-day period, or he or she
waiveswaive 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 andor 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 andor
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, suspensionFixed 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
30
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
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 suspensionSummary Suspension, the alleged
violator must expressly state whether he wishes to proceed on an expedited
schedule that will result in a hearing within 30 calendar days of the notice of
violation. Such a schedule places greater demands on the alleged violator and on
the Board, and may limit the availability of pre-hearing briefing, available
witnesses, and other evidence.
The names or descriptions of any witnesses the Person plans on calling at the
hearing, including those who must be subpoenaed by the Board. If a Person does
not know the name of a witness, the party must provide as much information as
possible. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
A list of any documents or other evidence the party is requesting from the Board
or TGRA or needs to subpoena from a non-party, including the Gaming Operation.
Any other issues, concerns, or matters that the party wishes the Board to consider
in setting a pre-hearing schedule and in conducting the hearing. For example, a
party might wish to suggest pre-hearing briefing on a particular topic.
After the Preliminary Pre-Hearing Statements are received in a complex matter, the Board
or hearing officer will issue a schedule setting forth the schedule up to and including the
hearing. If the alleged violator has consented or the Board or the hearing officer believes
more time is necessary to accommodate the pre-hearing events, it may reschedule any
scheduled hearing to a later date. Parties are expected to provide relevant copies of
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 TGRA and the alleged violator. Both the alleged violator and TGRA will
generally be expected to show cause why a witness not included on the party’s Preliminary
Pre-Hearing Statement was not included and nevertheless should be allowed to testify. It
will also list any TGRA representative(s) scheduled to be at the hearing. The schedule
generally will also set the order of presentation at the hearing, although TGRA generally
will proceed first.
(g)
Unless the Board or hearing officer orders otherwise, the Executive Director shall allow all parties
to review in the TGRA office non-confidential portions of any investigation report prepared by TGRA
regarding the matter to be heard and other non-confidential materials that TGRA intends to present
at the hearing. Copies of such materials may be provided to the parties at the discretion of the
Executive Director or by order of the Board upon motion. The , subject to adequate protections for
31
any material that is produced. To that point, the Board or the Executive Director, either on its, his,
or her own or onincluding 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.
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 suspensionSummary Suspension cases, the Board or hearing officer may lift the
summary suspensionSummary 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 histhe Executive Director’s designee shall) 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 histhe 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.
32
(1)
The pre-hearing schedule may include, at the discretion of the Board or hearing officer and
as appropriate:
(i)
(ii)
(iii)
(iv)
the date by which subpoenas must be requested by the Licensee, Applicant, or
other party;
the date(s) by which specified records, demonstrative evidence, and similar
evidence anticipated to be introduced or used at the hearing must be provided by
or to TGRA;
the date(s) by which a list of witnesses anticipated to be used at the hearing must
be provided by or to TGRA; and
a schedule for any pre-hearing briefing.
(2)
Note that many of the adjudicative hearings conducted by the Board are not complex and
do not require a pre-hearing schedule. In these instances, TGRA will attempt to work
cooperatively to ensure that any questions the parties may have are answered and
establish a date by which any subpoena requests by the parties must be submitted. TGRA
may provide reasonable assistance to a party to identify unknown witnesses.
(3)
In the rare instances in which a hearing is anticipated to be unusually complex, and
particularly if one or more parties are represented by counsel, the Board or hearing officer
may require that the parties submit to the Board and each other party a Preliminary PreHearing Statement addressing matters requested. The statement will generally be required
to include:
(i)
(ii)
(iii)
The names or descriptions of any witnesses the party plans on calling at the
hearing, including those who must be subpoenaed by the Board. If a party does
not know the name of a witness, the party must provide as much information as
possible. TGRA may provide reasonable assistance to a party to identify unknown
witnesses.
A list of any documents or other evidence the party is requesting from another
party or needs to subpoena from a non-party, including the Gaming Operation.
Any other issues, concerns, or matters that the party wishes the Board to consider
in setting a pre-hearing schedule and in conducting the hearing. For example, a
party might wish to suggest pre-hearing briefing on a particular topic.
After the Preliminary Pre-Hearing Statements are received in a complex matter, the Board
or hearing officer will issue a schedule setting forth the schedule up to and including the
hearing. If the parties consent or the Board or the hearing officer believes more time is
necessary to accommodate the pre-hearing schedule, it may reschedule any scheduled
hearing to a later date. Parties are expected to provide relevant copies of 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 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.
33
807.
(g)
Unless the Board or hearing officer orders otherwise, the Executive Director shall allow all parties
to review in the TGRA office non-confidential portions of any investigation report prepared by TGRA
regarding the matter to be heard and other non-confidential materials that TGRA intends to present
at the hearing. Copies of such materials may be provided to the parties at the discretion of the
Executive Director or by order of the Board upon motion. The , subject to adequate protections for
any material that is produced. To that point, the Board or the Executive Director, either on its, his,
or her own or onincluding 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.
(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. The standard of proof for
factual matters is a preponderance of the evidence. Hearings will generally follow the provisions
of Section 804 above.
(j)
After a hearing, if any, the Board or hearing officer may allow or order appropriate post-hearing
proceedings, including the submission of additional testimony, evidence, or briefing to be offered
before rendering a decision on the merits.
(k)
After the Board takes final action, any party may appeal to the Pueblo Court 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 bothall 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 documentsrecords 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.
34
808.
Subpoenas
When allowed under the Gaming Code orand 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
TheUnless 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 suspensionSummary 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 aits final action.
810.
Pueblo Court Review
Unless otherwise expressly stated in the Gaming Code or herein, any party aggrieved by a final decision of
the Board may appeal that decision to the Pueblo Court pursuant to Section 14-1-14 of the Gaming Code,
by filing a written notice of appeal with the clerk of the Pueblo Court, and serving a copy thereof on the
Board and all other interested parties, no later than fourteen calendar days from the date of the Board’s
final action.
811.
Public Hearings
The Board may also hold public hearings to address matters of general public interest. Unless procedures
are specified herein, suchSuch hearings should be held after reasonable general notice to potentially
interested Persons and in a fair and open manner.
35
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.
36
PART 10
LICENSING
1001. Scope
This Part governs the evaluation of all applications for licensesLicense 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 or approval shall be deemed to have acquired any vested rights therein or thereunder.
(b)
The burden of proving the Applicant’s suitability to hold any license is at all times on the Applicant.
An Applicant accepts any and all risk of adverse public notice, embarrassment, criticism, or other
action or financial loss that may result from the applicationLicense Application process. By making
the licensing process available to aApplicants for, and to recipients of, licenses, the Board does not
intend either to create any cause of action or to waive its sovereign immunity unless expressly
stated in the Gaming Code or these regulations.
(c)
An application for a licenseA 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
an applicationa 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 employedretained by a Gaming Operation in a Gaming Employee position
shall, prior to beginning in such employmenta position or receiving any compensation for such
employmenta position, be required to hold a current and valid temporary or pPermanent license
issued in accordance with these regulations.
(b)
A Gaming Operation shall not employretain a Key Gaming Employee who does not hold a
pPermanent license within 90 days of their 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
employees whopositions that must be licensed, stating that “categories of employees, such
as beverage servers, barbacks, and similar employees, whose exposure to the Gaming
37
Activity in such areas is limited and who are not licensed by the Board as of September 1,
2013 will not be licensed under this chapter unless at the express direction of the Pueblo
Council.” Accordingly, this subsection (c) provides a mechanism for continued evaluation
of each position as it is created for classification as a Key Gaming Employee, Non-Key
Gaming Employee, or Non-Gaming Employee position and 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 chamengded, 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).
(4)
The Board shall, not less thanat 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
38
As provided in the Gaming Code, certain Persons are required to obtain a license from TGRA before working
for or conducting business with a Gaming Operation or at a Gaming Facility, and the Gaming Operation may
not conduct business with a Person who or which must be but is not licensed.
(a)
Gaming License. A Gaming License is required of natural persons as prescribed by the Gaming Code
and these regulations, and are issued in the following subcategories:
(1)
A Primary Management Official License is required for any Person employedretained 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 employedretained 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 employedretained 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 employedretained 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 between the Pueblo and the Management Contractor,
or between a Management Contractor and subcontractor.
(c)
A Gaming Facility License is required for a Gaming Enterprise or Gaming Operation to conduct
Gaming at a Gaming Facility.
(d)
Contractor License. Contractor licenses are required of certain Persons conducting business with a
Gaming Enterprise, Gaming Operation, or Management Contractor if their relevant receipts do, or
are reasonably expected to, exceed $10,000 in a calendar year as provided in the Gaming Code and
these regulations. Contractor licenses are issued in the following subcategories:
(1)
A Gaming-Related Contractor License is required for any Person providing goods or services
under a Gaming-Related Contract, including individual Persons who both (1) are employed
or retained by the Gaming-Related Contractor whoand (2) will have access by any means
to Gaming MachinesDevices, Gaming Equipment, Gaming Systems, Gaming Revenues, or
areas of a Gaming Facility deemed sensitive by TGRAany 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
39
consumption by a Gaming Operation, at a Gaming Facility, or significantly by patrons of a
Gaming Facility.
(e)
A Special Gaming License may be granted to any Person that TGRA determines must be licensed
under Gaming Code Section 14-1-5A(7) to protect the integrity of gaming but does not fit within
any of the license types listed above.
(f)
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
40
(ii) Security.
(f)(g)
Exemptions from License Requirement
TGRA may issue an exemption regarding Persons otherwise required to have a Non-Gaming
Contractor License or a Construction Contractor License.
(1)
Any exemption is issued to the Gaming Operation and exempts it from the prohibition on
doing business with a Person otherwise requiring a license. An exemption also relieves the
Person from the requirement to have a license. Such exemptions may be granted by TGRA
with or without a request from the Contractor or the Gaming Operation. However, if TGRA
determines that the determination of a Contractor’s potential exemption may be involved
factually or otherwise, TGRA may require that the Gaming Operation request an exemption
on forms prescribed by TGRA.
(2)
TGRA may request from the Gaming Operation any information deemed necessary to
assess the request for an exemption. As an alternative and in its discretion, TGRA may
request such information directly from the Person seeking the exemption.
(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 theits sole discretion of TGRA:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
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;
41
(vii)
(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)
Transportation companies retained by a Gaming Operation or Gaming Enterprise
to provide service to Patrons at a fixed contract rate;
Print, broadcast, internet, satellite, and cable media, including newspapers,
magazines, and radio and television stations from which only the physical media or
electronic content is purchased;
Advertising media, including print publications, broadcast, internet, cable, satellite,
and cellular, whose advertising rates are fixed by schedule (even if subject to
discounts for volume or otherwise), provided, however, that a license exemption
does not relieve the Gaming Operation from obtaining approval of any promotion
contained within any advertising, and provided that advertising agencies,
advertising brokers, and similar entities are expressly not subject to exemption.
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
Lawapplicable 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 areaSensitive Area, or
any work that provides access to Gaming MachinesDevices, 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
42
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.
.
(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,
43
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
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 forms providedthe appropriate form(s) approved
by the BoardExecutive 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
44
(6)
Other information as required.
(b)
The applicationLicense 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 applicationLicense 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 submitting aup for license
renewal application, or is transferring positions within 180 calendar days of the date of the previous
applicationlicense 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 an application for licensea License
Application must be true and complete as of the date the application is filed with TGRA. The
Applicant shallmust 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)
An applicationA 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
45
If an Applicant is deemed by TGRA to be ineligible to apply for a license under Section 1018 or otherwise,
the applicationLicense Application may be summarily rejected. and the Applicant declared “Ineligible to
Apply,” in which case:
(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 an applicationa License Application at any time
before TGRAthe Board takes final action on the application. Final action by the Board on the
application occurs when TGRA grants or denies a licensea 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. TheIf 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 TGRA grants a request for withdrawal is granted with prejudice, the Applicant is not eligible to
apply for licensinga Gaming License for a period of six months from the date of 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 byon their applicationLicense Application forms and all other documentation or
information that TGRA may deem necessary. TGRA shall examine the Applicant’s background, personal
history, financial associations, character, record, and reputation and. TGRA may also examine the persons
associated with the Applicant to the extent that TGRA determines that it is necessary to evaluate the
qualifications and suitability of the Applicant for licensing but in. 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
46
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.
1009. Temporary Licenses
(a)
TGRA, may its discretion, issue a temporary license, for up to 90 days, to any Applicant for license
upon the following grounds:
(1)
(a)
The application in its entirety indicates that:
(i)
The Applicant meets the preliminary criteria for licensing;
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;
(2)(4)
The Applicant does not appear to present any danger to the public or to the reputation of
gaming on Pueblo Lands;
(ii)
Preliminary review reveals no indication that further investigation will reveal
disqualifying information; and
(3)(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
47
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
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 pPermanent license when the Background
Investigation is complete and, TGRA is satisfied that the holder of the temporary license is suitable
to hold a permanent licensePermanent license, and all other provisions of applicable law have been
satisfied.
(c)
When TGRA changes a temporary license into a pPermanent license, the date of issuance of the
license shall be that of the temporary license.
(d)
A temporary license may expire onof its own accord, or it may be suspended, revokedthe subject
of a License Action or summarily suspendeda Request for Information under the same terms and
conditions as a pPermanent license.
(e)
TGRA may issue consecutive temporary licenses except to employeespersons 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)
At the time it makes a decision to hire any Gaming Employee, theThe Gaming Enterprise or Gaming
Operation shall cause a drug test to be administered to the Applicant in accordance with Section
1122 of these regulations.
48
(b)
The Gaming Enterprise or Gaming Operation shall not hire or retain any Gaming Employee who
tests positive for illegal drugs. 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.
1011. Fingerprints
(a)
ApplicantsOn-site applicants shall submit to fingerprinting by the Board or its authorized agent..
The Gaming Enterprise or Gaming Operation shall direct all Applicants to TGRA offices or 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
licenseContractor 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 and pay
the appropriate renewal fee 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.
49
(c)
TGRA may, if and as it deems it necessary, conduct further Background Investigation with respect
to any application for license renewal of a license.
(d)
TGRA shall renew ormay deny thea license renewal but may deny an application for 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.
(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)
An employeeA Licensee whose application for a License renewal is approved shall surrender the
old license upon issuance of thea 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:
(i)
suspension of a Gaming Employee by a Gaming Enterprise or Gaming Operation;
(ii)
a proposed suspensionFixed Suspension or revocation of a Llicense by TGRA where
there is also a Summary Suspension pending any hearing and resolution by the
Board of the proposed suspension by the BoardLicense Action; or
(iii)
a suspensionFixed Suspension of a Licenselicense confirmed or imposed by the
Board; but
50
(iv)
(4)
(b)
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;
(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
This text is long and has been trimmed here. Open the source document for the complete record.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.