CFR > Title 25 - Indians > CHAPTER III—NATIONAL INDIAN GAMING COMMISSION, DEPARTMENT OF THE INTERIOR > SUBCHAPTER A—GENERAL PROVISIONS (parts 501 to 519) > PART 518—SELF REGULATION OF CLASS II GAMING > 518.4—What criteria must a tribe meet to receive a certificate of self-regulation?

518.4—What criteria must a tribe meet to receive a certificate of self-regulation?

(a) The Commission shall issue a certificate of self-regulation if it determines that the tribe has, for the three years immediately preceding the petition:
(1) Conducted its gaming activity in a manner that:
(i) Has resulted in an effective and honest accounting of all revenues;
(ii) Has resulted in a reputation for safe, fair, and honest operation of the activity; and
(iii) Has been generally free of evidence of criminal or dishonest activity;
(2) Adopted and is implementing adequate systems for:
(i) Accounting of all revenues from the activity;
(ii) Investigation, licensing and monitoring of all employees of the gaming activity; and
(iii) Investigation, enforcement and prosecution of violations of its gaming ordinance and regulations;
(3) Conducted the operation on a fiscally and economically sound basis; and
(4) The gaming activity has been conducted in compliance with the IGRA, NIGC regulations in this chapter, and the tribe's gaming ordinance and gaming regulations.
(b) Indicators that a tribe has met the criteria set forth in paragraph (a) of this section may include, but are not limited to:
(1) Adoption and implementation of minimum internal control standards which are at least as stringent as those promulgated by the Commission, or until such standards are promulgated by the Commission, minimum internal control standards at least as stringent as those required by the State of Nevada or the State of New Jersey;
(2) Evidence that suitability determinations are made with respect to tribal gaming regulators which are at least as stringent as those required for key employees and primary management officials of the gaming operation(s);
(3) Evidence of an established independent regulatory body within the tribal government which:
(i) Monitors gaming activities to ensure compliance with federal and tribal laws and regulations;
(ii) Promulgates tribal gaming regulations pursuant to tribal law;
(iii) Ensures that there is an adequate system for accounting of all revenues from the activity and monitors such system for continued effectiveness;
(iv) Performs routine operational or other audits of the gaming operation(s);
(v) Routinely receives and reviews accounting information from the gaming operation(s);
(vi) Has access to and may inspect, examine, photocopy and audit all papers, books, and records of the gaming operation(s);
(vii) Provides ongoing information to the tribe on the status of the tribe's gaming operation(s);
(viii) Monitors compliance with minimum internal control standards for the gaming operation;
(ix) Adopts and implements an adequate system for investigation, licensing, and monitoring of all employees of the gaming activity;
(x) Maintains records on licensees and on persons denied licenses including persons otherwise prohibited from engaging in gaming activities within the tribe's jurisdiction;
(xi) Inspects and examines all premises where gaming is conducted;
(xii) Establishes standards for and issues vendor licenses or permits to persons or entities who deal with the gaming operation, such as manufacturers and suppliers of services, equipment and supplies;
(xiii) Establishes or approves, and requires the posting of, rules of games;
(xiv) Inspects games, tables, equipment, cards, and chips or tokens used in the gaming operation(s);
(xv) Establishes standards for technological aids and tests such for compliance with standards;
(xvi) Establishes or approves video surveillance standards;
(xvii) Adopts and implements an adequate system for the investigation of possible violations of the tribal gaming ordinance and regulations and takes appropriate enforcement actions;
(xviii) Determines that there are adequate dispute resolution procedures for gaming operation employees and customers, and ensures that such system is adequately implemented; and
(xix) Takes testimony and conducts hearings on regulatory matters, including matters related to the revocation of primary management officials and key employee licenses;
(4) Documentation of a sufficient source of permanent and stable funding for the independent tribal regulatory body which is allocated and appropriated by the tribal governing body;
(5) Adoption of a conflict of interest policy for the regulators/regulatory body and their staff;
(6) Evidence that the operation is financially stable;
(7) Adoption and implementation of a system for adequate prosecution of violations of the tribal gaming ordinance and regulations, which may include the existence of a tribal court system authorized to hear and decide gaming related cases;
(8) Evidence that the operation is being conducted in a safe manner, which may include, but not be limited to:
(i) The availability of medical, fire, and emergency services;
(ii) The existence of an evacuation plan; and
(iii) Proof of compliance with applicable building, health, and safety codes; and
(9) Evidence that reports are produced or received by the tribe, the tribal regulatory body, or the gaming operation based on an evaluation of the internal controls of the gaming operation during the three (3) year period immediately preceding the date of the petition.
(c) The burden of establishing self-regulation is upon the tribe filing the petition.
(d) During the review of the petition, the Commission shall have complete access to all areas of and all papers, books, and records of the tribal regulatory body, the gaming operation, and any other entity involved in the regulation or oversight of the gaming operation. The Commission shall be allowed to inspect and photocopy any relevant materials. The tribe shall take no action to prohibit the Commission from soliciting information from any current or former employees of the tribe, the tribal regulatory body, or the gaming operation. Failure to adhere to this paragraph may be grounds for denial of a petition for self-regulation.