September 28, 2023

Steps to Ensure Compliance with September 14, 2023, Regulatory Updates to Part 502

Sec�ons 502.14(a-c) and 502.19(a-d) – Complying with Core KE & PMO Defini�ons

1. Review the Final Rule 88-FR-55370 including the comments and responses at the beginning.

2. Compare the defini�ons for key employee (KE) in Parts 502.14 (a-c) to the tribe’s current

defini�ons and prac�ce, no�ng any gaming opera�on employees performing those func�ons 

who currently are not being backgrounded and licensed. 

3. Compare the defini�ons for primary management officials (PMO) 502.19 (a-d) to the tribe’s 

current defini�ons and prac�ce, no�ng any General Manager (GM) or Chief Financial Officer

(CFO) performing those func�ons who currently are not being backgrounded and licensed as 

well as posi�ons with similar du�es to a GM or a CFO who are not currently being 

backgrounded and licensed. These PMO may work for a management contractor, the gaming 

opera�on or the gaming enterprise. 

4. Process those KE and PMO noted in #2 and #3 above in accordance with parts 556 and 558,

within the �me periods required. 

a. Pay par�cular aten�on to 502.14 (a)(10) and 502.14(b), as there may be gaming 

opera�on employees undertaking these roles or with the requisite access who 

previously were not licensed as a KE but now must be under the new regula�ons.

Sec�ons 502.14(d) and 502.19(e) – Complying with the Tribe’s Current Documenta�on

5. Review the current defini�ons of KE and PMO in the tribe’s NIGC-approved ordinance, as this 

is one way a tribe can document any other employee of the gaming enterprise as a KE or any 

other employed management official of the gaming enterprise as a PMO. 

a. Review other tribal laws for documenta�on of KE or PMO, such as those laws that 

establish en��es responsible for conduc�ng gaming on Indian lands (e.g., an economic 

development board or gaming board). 

6. If the tribe wants to keep these individuals as KE or PMO, process this group noted in #5 above 

in accordance with parts 556 and 558, within the �me periods required.

7. If the tribe no longer wants to designate these individuals as KE or PMO, the tribe must modify 

its internal documents to remove the KE or PMO designa�ons. And, if these individuals are 

designated as KE or PMO in the tribe’s approved gaming ordinance, the tribe must amend the 

ordinance and submit such amendment to the NIGC Chair for review and approval.

a. For example, a tribe may con�nue to designate as KE gaming opera�on or gaming 

enterprise employees making a certain wage: “If not otherwise included, any other 

person whose total cash compensa�on is in excess of $50,000 per year.”
September 28, 2023

Sec�ons 502.14(d) and 502.19(e) – Exercising the Tribe’s Op�ons

8. Review the defini�on of gaming enterprise and iden�fy the tribal en��es which conduct, 

regulate or secure gaming on Indian lands. Are there employees or management officials of 

these en��es who are not already licensed as a result of the steps above? Does the tribe wish 

to document them as KE or PMO u�lizing 502.14(d) or 502.19(e)?

9. Before documen�ng the posi�on(s) and du�es in #8 above, consider TGRA resources and the 

�me periods required for backgrounding and licensing in parts 556 and 558. Determine if it is 

best to document all these posi�ons at once or use a phased approach based on risk, group 

size or other factors. 

a. For large groups, the tribe may consider breaking them into subgroups, documen�ng

each job posi�on as KE or PMO incrementally, staggering designa�ons of KE or PMO

using “effec�ve by” dates or upcoming licensing renewal dates.

b. Choosing not to document and license addi�onal employees as KE and PMO beyond 

what is required in 502.14 (a-c) or 502.19 (a-d) is also an op�on. 

c. Please consider sharing any updated documenta�on with the NIGC Region 

Administra�ve Specialist to assist in the review of No�ces of Results. 

Fingerprin�ng – Complying with Criminal Jus�ce Informa�on System (CJIS) Requirements

10. Fingerprints for employees/gaming license applicants who meet the defini�on of KE or PMO in 

502.14 (a-c) or 502.19 (a-d) or who have been documented by the tribe as KE or PMO under 

502.14 (d) or 502.19 (e) can be processed through the NIGC for FBI Criminal History Record

Informa�on (CHRI) in accordance with an executed 2021 CHRI MOU. 

a. Do not process fingerprints for newly classified KE or PMO through the NIGC un�l the 

tribe designates and internally documents in wri�ng the posi�ons as KE or PMO. 

b. The tribe can document employees as KE and PMO by several means including its tribal 

gaming ordinance, gaming regula�ons, tribal gaming commission orders, licensing 

procedures, writen job posi�ons, employee handbook and other writen memoranda

or lists. 

c. To process fingerprints, no�ces of results, conduct licensing reviews and CJIS audits, 

the NIGC may request KE/PMO documenta�on to ensure compliance with parts 502,

556 and 558 and the 2021 CHRI MOU. FBI CJIS or NIGC may request documenta�on 

during a CJIS audit.

d. Designa�ng KE or PMO who was not previously considered a KE or PMO will not 

require the tribe to enter a new CHRI MOU if the tribe has already executed the 2021 

CHRI MOU.