# GAMING CONTROL BOARD (2026) > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/tribal%3Apueblo_laguna%3Aec4002a6f80ccadd ## Record - **Collection:** Tribal code - **Document type:** Tribal code ## 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, [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Apueblo_laguna%3Aec4002a6f80ccadd. Public record. Not legal advice.