---
kind: "section"
citation: "25 C.F.R. § 518.5"
title: "25"
number: "518.5"
heading: "What criteria must a tribe meet to receive a certificate of self-regulation?"
url: "https://uscodex.org/cfr/25/518.5"
---

# §518.5. 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 for a three (3)-year period, the tribe has:
  - (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) Conducted its gaming operation on a fiscally and economically sound basis;
  - (3) Conducted its gaming activity in compliance with the IGRA, NIGC regulations in this chapter, and the tribe's gaming ordinance and gaming regulations; and
  - (4) **Adopted and is implementing adequate systems for—**
    - (i) Accounting of all revenues from the gaming activity;
    - (ii) Investigating, licensing and monitoring of all employees of the gaming activity;
    - (iii) Investigating, enforcing, prosecuting, or referring for prosecution violations of its gaming ordinance and regulations; and
    - (iv) **Prosecuting criminal or dishonest activity or referring such activity for prosecution.**
- (b) A tribe may illustrate that it has met the criteria listed in [paragraph (a)](#a) of this section by addressing factors such as those listed in [paragraphs (b)(1) through (9)](#b-1..b-9) of this section. The list of factors is not all-inclusive; other factors not listed here may also be addressed and considered.
  - (1) The tribe adopted and is implementing minimum internal control standards which are at least as stringent as those promulgated by the Commission;
  - (2) The tribe requires tribal gaming regulators to meet the same suitability requirements as those required for key employees and primary management officials of the gaming operation(s);
  - (3) The tribe's gaming operation utilizes an adequate system for accounting of all gaming revenues from Class II gaming activity;
  - (4) The tribe has a dispute resolution process for gaming operation customers and has taken steps to ensure that the process is adequately implemented;
  - (5) **The tribe has a gaming regulatory body which—**
    - (i) Monitors gaming activities to ensure compliance with Federal and tribal laws and regulations;
    - (ii) Monitors the gaming revenues accounting system for continued effectiveness;
    - (iii) Performs routine operational or other audits of the Class II gaming activities;
    - (iv) Routinely receives and reviews gaming revenue accounting information from the gaming operation(s);
    - (v) Has access to, and may inspect, examine, photocopy and audit, all papers, books, and records of the gaming operation(s) and Class II gaming activities;
    - (vi) Monitors compliance with minimum internal control standards for the gaming operation;
    - (vii) Has adopted and is implementing an adequate system for investigating, licensing, and monitoring of all employees of the gaming activity;
    - (viii) Maintains records on licensees and on persons denied licenses, including persons otherwise prohibited from engaging in gaming activities within the tribe's jurisdiction;
    - (ix) 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;
    - (x) Establishes or approves the rules governing Class II games, and requires their posting;
    - (xi) Has adopted and is implementing an adequate system for the investigation of possible violations of the tribal gaming ordinance and regulations, and takes appropriate enforcement actions; and
    - (xii) Takes testimony and conducts hearings on regulatory matters, including matters related to the revocation of primary management officials, key employee and vendor licenses;
  - (6) The tribe allocates and appropriates a sufficient source of permanent and stable funding for the tribal regulatory body;
  - (7) The tribe has adopted and is implementing a conflict of interest policy for the regulators/regulatory body and their staff;
  - (8) The tribe has adopted and is implementing a system for adequate prosecution of violations of the tribal gaming ordinance and regulations or referrals for prosecution; and
  - (9) The tribe demonstrates that the operation is being conducted in a manner which adequately protects the environment and the public health and safety.
- (c) The tribe assists the Commission with access and information-gathering responsibilities during the certification process.
- (d) **The burden of establishing self-regulation is upon the tribe filing the petition.**

## Notes

### Amendments

[78 FR 20241, Apr. 4, 2013, as amended at 87 FR 62986, Oct. 18, 2022]

### Authority

Authority: 25 U.S.C. 2706(b)(10); 25 U.S.C. 2710(c).

### Source

Source: 78 FR 20241, Apr. 4, 2013, unless otherwise noted.

### Amendments

[78 FR 20241, Apr. 4, 2013, as amended at 87 FR 62986, Oct. 18, 2022]