[Federal Register Volume 77, Number 80 (Wednesday, April 25, 2012)]
[Notices]
[Pages 24730-24734]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-9922]
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DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission
Submission of Information Collection Under the Paperwork
Reduction Act; Reinstatement
AGENCY: National Indian Gaming Commission.
ACTION: Notice.
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SUMMARY: The National Indian Gaming Commission (``NIGC'' or
``Commission''), in accordance with the Paperwork Reduction Act, is
seeking reinstatement of approval from the Office of Management and
Budget for collection of information for the following information
collection activities: (1) Compliance and enforcement under the Indian
Gaming Regulatory Act (IGRA) ; (2) approval of Class II background
Investigation tribal licenses; (3) management contract regulations; (4)
National Environmental Policy Act procedures; (5) annual fees payable
by Indian gaming operations; (6) issuance of certificates of self
regulation to tribes for Class II gaming; (7) minimum internal control
standards; and (8) facility license review. These information
collections have expired.
DATES: Submit comments on or before May 25, 2012.
ADDRESSES: Comments can be mailed directly to the Office of Information
and Regulatory Affairs, OMB, Attn: Desk Officer for the National Indian
Gaming Commission, 725 17th Street NW., Washington, DC 20503.
FOR FURTHER INFORMATION CONTACT: For further information, including
copies of the proposed collection of information and supporting
documentation, contact Michael Hoenig, at (202) 632-7003; fax (202)
632-7066 (not toll-free numbers).
SUPPLEMENTARY INFORMATION:
I. Request for Comments
You are invited to comment on the following items to the Desk
Office at
[[Page 24731]]
OMB at the citation in the ADDRESSES section.
(a) Whether the collection of information is necessary for the
proper performance of the functions of the agency, including whether
the information will have practical utility;
(b) The accuracy of the agency's estimate of the burden (including
the hours and cost) of the proposed collection of information,
including the validity of the methodology and assumption used;
(c) Ways to enhance the quality, utility, and clarity of the
information to be collected;
(d) Ways to minimize the burden of the collection of information on
those who are to respond, including through the use of appropriate
automated, electronic, mechanical, or other collection techniques or
forms of information technology.
Comments submitted in response to this notice will be summarized
and become a matter of public record. We will not request nor sponsor a
collection of information, and you need not respond to such a request,
if there is no valid Office of Management and Budget Control Number.
II. Data
Title: Compliance and Enforcement.
OMB Control Number: 3141-0001.
Background: IGRA governs the regulation of gaming on Indian lands.
Although IGRA places primary responsibility with the tribes for
regulating their gaming activity, Sec. 2706(b) directs the NIGC to
monitor Class II gaming conducted on Indian lands on a continuing
basis. IGRA authorizes the NIGC to access and inspect all papers, books
and records relating to gross revenues of Class II gaming conducted on
Indian lands and any other matters necessary to carry out the duties of
the Commission. IGRA also requires tribes to provide NIGC with annual
independent audits of gaming, including contracts in excess of
$25,000.00. 25 U.S.C. 2710(b)(2)(c), (d); 25 U.S.C. 2710(d)(1)(A)(ii).
In accordance with these statutory responsibilities, NIGC regulations,
25 CFR 571.7, requires Indian gaming operations to keep permanent
financial records. NIGC regulations, 25 CFR 571.12 and 571.13, require
tribes to annually submit an independent audit of their gaming
operations to NIGC. The NIGC uses this information to fulfill its
statutory responsibilities under IGRA. Additionally, IGRA, 25 U.S.C.
2713, authorizes the NIGC Chair to issue notices of violation, civil
fine assessments, and closure orders for violations of the Act or the
Commission's regulations. This authority is implemented through 25 CFR
part 575. The full Commission reviews these matters on appeal under 25
CFR part 577.
Brief Description of Collection: This collection is mandatory and
allows the NIGC to conduct its statutory duty to regulate Indian
gaming. No additional burden is imposed by the requirements to maintain
customary business records and to allow NIGC personnel access to those
records.
Respondents: Indian tribal gaming operations.
Estimated Number of Respondents: 422.
Estimated Annual Responses: 1,395.
Estimated Time per Response: The range of time can vary from no
additional burden hours to 50 burden hours for one item.
Frequency of Response: Varies.
Estimated Total Annual Burden on Respondents: 6,752.
Title: Approval of Class II and Class III Ordinances, Background
Investigations and Gaming Licenses.
OMB Control Number: 3141-0003.
Background: The Act sets standards for the regulation of gaming,
including requirements for approval or disapproval of tribal gaming
ordinances. IGRA, Sec. 2705(a)(3), requires the NIGC Chair to review
all class II and class III tribal gaming ordinances.
In accordance with this provision, NIGC regulations, 25 CFR 522.2,
require tribes to submit to the NIGC: (1) A copy of the gaming
ordinance to be approved, including a copy of the authorizing
resolution by which it was enacted by the tribal government and a
request for approval of the ordinance or resolution; (2) a description
of procedures the tribe will employ in conducting background
investigations on key employees or primary management officials; (3) a
description of procedures the tribe will use to issue licenses to
primary management officials and key employees; (4) copies of all
gaming regulations; (5) a copy of any applicable tribal-state compact;
(6) a description of dispute resolution procedures for disputes arising
between the gaming public and the tribe or management contractor; (7)
identification of the law enforcement agency that will take
fingerprints and a description of the procedures for conducting
criminal history checks; and (8) designation of an agent for service of
process.
Under NIGC regulations, 25 CFR 522.3, tribes must submit any
amendment to the ordinance or resolution for approval by the NIGC
Chair. In this instance, the tribe must provide a copy of the
authorizing resolution. The NIGC will use the information collected to
approve or disapprove the ordinance or amendment.
Section 2710 of the Act requires tribes to conduct background
investigations on key employees and primary management officials
involved in class II and class III gaming. NIGC regulations, 25 CFR
522.4(b)(4), require a tribe's ordinance to provide that the tribe will
perform background investigations and issue licenses for key employees
and primary management officials according to requirements that are at
least as stringent as those in NIGC regulations, 25 CFR parts 556 and
558. 25 CFR parts 556 and 558 require tribes to perform each
investigation using information such as name, address, previous
employment records, previous relationships with either Indian tribes or
the gaming industry, licensing relating to those relationships, any
convictions, and any other information a tribe feels is relevant to the
employment of the individuals being investigated. 25 CFR 556.4. Tribes
are then required to submit to the NIGC a copy of the completed
employment applications and investigative reports and licensing
eligibility determinations on key employees or primary management
officials before issuing gaming licenses to those persons. 25 CFR
556.5. The NIGC uses this information to review the eligibility and
suitability determinations tribes make and advises them if it disagrees
with any particular determination.
Brief Description of Collection: This collection is mandatory and
allows the NIGC to carry out its statutory duties and gives the
respondents standards for compliance.
Respondents: Indian tribal gaming operations.
Estimated Number of Respondents: 282.
Estimated Annual Responses: 112,677.
Estimated Time per Response: The range of time can vary from .5
burden hours to 80 burden hours for one item.
Frequency of Response: Varies.
Estimated Total Annual Burden Hours on Respondents: 36,973 hours.
Title: Management Contract Regulations.
OMB Control Number: 3141-0004.
Background: Subject to the approval of the NIGC Chair, an Indian
tribe may enter into a gaming management contract for the operation and
management of tribal gaming activity. 25 U.S.C. 2710(e) and 2711. In
approving a management contract, the Chair shall require and obtain the
following: Name, address, and other
[[Page 24732]]
pertinent background information on each person or entity having a
financial interest in, or management responsibility for such contract,
and in the case of a corporation those individuals who serve on the
board of directors of such corporation and certain stockholders; a
description of previous experience that each person has had with other
Indian gaming contracts or with the gaming industry including any
gaming licenses which the person holds; and a complete financial
statement of each person listed. 25 CFR 533.3; 25 CFR 537.1(b).
Under NIGC regulations, 25 CFR part 533, the Chair requires the
submission of the contract to contain the following: original
signatures; any collateral agreements to the contract; a tribal
ordinance or resolution authorizing the submission and supporting
documentation; a three-year business plan which sets forth the parties'
goals, objectives, budgets, financial plans, related matters, income
statements, sources and use of funds statements for the previous three
years; and, for any contract exceeding five years or which includes a
management fee of more than 30 percent, justification that the capital
investment required and income projections for the gaming operation
require the longer duration or the additional fee.
Under NIGC regulations, 25 CFR part 535, the Chair may approve a
modification to a management contract or an assignment of that
management contract based on information similar to that required under
part 533. Part 535 also specifies that the Chair may void a previous
management contract approval and allows the parties the opportunity to
submit information relevant to that determination.
25 CFR part 537 specifies the requirements for submission of
background information in amplification of the statutory requirement
for obtaining information on persons and entities having a direct
financial interest in or management responsibility for a management
contract. Finally, 25 CFR part 539 permits appeals to the Commission
from a decision of the Chair to disapprove a management contract and
allows the Indian tribe and the management company an opportunity to
provide information relevant to that appeal. The NIGC will use the
information collected to either approve or disapprove the contract or,
in the case of an appeal, to grant or deny the appeal.
Brief Description of Collection: This collection is mandatory, and
the benefit to the respondents is the approval of Indian gaming
management contracts.
Respondents: Tribal governing bodies and management contractors.
Estimated Number of Respondents: 183 (submission of contracts,
contract amendments, and background investigation submissions).
Estimated Time per Response: The range of time can vary from no
added burden hours to 50 burden hours for one item.
Frequency of Response: Usually no more than once a year.
Estimated Total Annual Hourly Burden to Respondents: Up to 3,890.
Title: NEPA Procedures.
OMB Control Number: 3141-0006.
Background: NEPA requires federal agencies to analyze proposed
major federal actions that significantly affect the quality of the
human environment. The NIGC has identified one type of action it
undertakes that requires review under NEPA--approving third-party
management contracts for the operation of gaming activity under IGRA,
25 U.S.C. 2711. Depending on the nature of the subject contract and
other circumstances, approval of such management contracts may be
categorically excluded from NEPA, it may require the preparation of an
Environmental Assessment (``EA''), or it may require the preparation of
an Environmental Impact Statement (``EIS''). In any case, the
proponents of a management contract will be expected to submit
information to the NIGC and assist in the development of the required
NEPA documentation.
Brief Description of Collection: This collection is mandatory under
the National Environmental Policy Act (NEPA), 42 U.S.C. 4321, et seq.,
and White House Council on Environmental Quality regulations, 40 CFR
1500-1508.
Respondents: Tribal governing bodies, management companies, and
environmental consultants.
Estimated Number of Respondents: 6 per year.
Estimated Time per Response: The range of time can vary from 1,300
to 4,500 hours per response. This variation depends on whether the
response is an EA or EIS.
Frequency of Response: Annually.
Estimated Total Annual Burden on Respondents: 12,300 (6 EAs x 1,300
hours) + 1 EIS at 4,500 hours for EIS.
Title: Annual Fees Payable by Indian Gaming Operations.
OMB Control Number: 3141-0007.
Background: IGRA requires the NIGC to set an annual funding rate.
The annual funding rate is the primary mechanism for NIGC funding under
25 U.S.C. 2717, and NIGC regulations, 25 CFR part 514 implements the
requirement. Fees are computed on the basis of the assessable gross
revenues of each gaming operation using rates set by the NIGC. The
total of all fees assessed annually cannot exceed 0.08 percent of gross
gaming revenue. Under its implementing regulation for the fee payment
program, 25 C.F.R. part 514, the NIGC relies on a quarterly statement
of gross gaming revenues provided by each gaming operation that is
subject to the fee requirement. When the Office of Management and
Budget last approved the collection of information for annual fees, the
NIGC required quarterly submissions of fees and worksheets. Although
the Commission later changed part 514 to require biannual submissions
of fees and fee worksheets, the Agency has published a final rule in
the Federal Register restoring the submission requirements to
quarterly. That rule goes into effect on October 1, 2012, and the
implementation date for quarterly submissions is January 1, 2013. The
final rule can be found at 77 FR 5178 and on the NIGC's web site. The
required information is needed for the NIGC to both set and adjust fee
rates and to support the computation of fees paid by each gaming
operation.
Brief Description of Collection: This collection is mandatory and
allows the NIGC to both set and adjust fee rates and to support the
computation of fees paid by each gaming operation.
Respondents: Indian tribal gaming operations.
Estimated Number of Respondents: 446.
Estimated Annual Responses: 892.
Estimated Time per Response: 2 hours.
Estimated Annual Burden Hours per Respondent: 4.
Frequency of Response: Twice per year.
Estimated Total Annual Burden on Respondents: 1,784 hours.
Title: Issuance of Certificates of Self Regulation to Tribe for
Class II Gaming, 25 CFR part 518.
OMB Control Number: 3141-0008.
Background: IGRA allows any Indian tribe that has conducted class
II gaming for at least three years to petition the NIGC for a
certificate of self-regulation for its class II gaming operations. The
NIGC will issue the certificate if it determines from available
information that the tribe has conducted its gaming activity in a
manner which has resulted in an effective and honest accounting of all
revenues, a reputation for safe, fair, and honest operation of the
gaming activity, and an enterprise free of evidence of criminal or
dishonest activity. The tribe must also have adopted and implement
proper accounting, licensing, and enforcement
[[Page 24733]]
systems and conducted the gaming operation on a fiscally or
economically sound basis. The implementing regulation at 25 CFR part
518 requires a tribe interested in receiving the certificate to file a
petition with the NIGC describing, generally, the tribe's gaming
operations, its regulatory process, its uses of net gaming revenue, and
its accounting and recordkeeping systems for the gaming operation. The
tribe must also provide copies of various documents in support of the
petition. Submission of the petition and supporting documentation is
voluntary. The NIGC will use the information submitted by the
respondent tribe in determining whether to issue the certificate of
self-regulation.
Those tribes who have been issued a certificate of self-regulation
are required to submit annually a report to the NIGC. Such report shall
set forth information to establish that the tribe has continuously met
the eligibility requirements of 25 CFR 518.2 and the approval
requirements of 25 CFR 518.4 and shall include a report with supporting
documentation which explains how tribal gaming revenues were used in
accordance with the requirements of IGRA, 25 U.S.C. 2710(b)(2)(B).
Brief Description of Collection: This collection is voluntary for
those tribes petitioning for a certificate of self-regulation and
mandatory for those tribes who hold a certificate of self-regulation
according to statutory regulations, and the benefit to the respondents
is a reduction of the amount of fees assessed on class II gaming
revenue by the NIGC.
Respondents: Tribal governments; tribes who hold certificates of
self-regulation; petition submission is voluntary; annual report
submission is mandatory.
Estimated Number of Voluntary Respondents: 0.
Estimated Time per Voluntary Response: 0.
Frequency of Response: At will.
Estimated Total Annual Hourly Burden to Voluntary Respondents: 0.
Number of Mandatory Respondents: 2.
Estimated Time per Mandatory Response: 50.
Frequency of Mandatory Response: Annual.
Estimated Total Annual Hourly Burden to Mandatory Respondents: 100.
Title: Minimum Internal Control Standards.
OMB Control Number: 3141-0009.
Background: IGRA governs the regulation of gaming on Indian lands.
Although the IGRA places primary responsibility with the tribes for
regulating Class II gaming, Section 2706(b) of IGRA directs the NIGC to
monitor Class II gaming conducted on Indian lands on a continuing
basis. IGRA authorizes the NIGC to access and inspect all papers, books
and records relating to gross revenues of Class II gaming conducted on
Indian lands and any other matters necessary to carry out the duties of
the Commission. In accordance with these statutory responsibilities,
NIGC regulations require tribal gaming regulatory authorities to
establish and implement tribal internal control standards that provide
a level of control that equals or exceeds those set out in part 543,
establishing internal control standards. NIGC regulations, 25 CFR 543.3
require each affected gaming operation to develop and implement an
internal control system that, at a minimum, complies with the tribal
internal control standards established by the tribal gaming regulatory
authority. Section 543.3(f) requires tribes with gaming operations to
engage a certified public accountant (CPA) to perform an agreed-upon-
procedures report to confirm compliance with the standards contained
therein. The CPA is then required to report its findings to the tribe,
tribal gaming regulatory authority, and management.
Brief Description of Collection: This collection is mandatory
according to statutory regulations, and allows the NIGC to confirm
tribal compliance with the standards contained in the Agreed-Upon-
Procedures report.
Respondents: Tribal governing bodies.
Estimated Number of Respondents: 422.
Estimated Time per Response: 0.5 hours.
Frequency of Response: Annually.
Estimated Total Annual Hourly Burden to Respondents: 211 hours.
Title: Facility License Standards.
OMB Control Number: 3141-0012.
Background: IGRA states that ``a separate license issued by the
Indian tribe shall be required for each place, facility, or location on
Indian lands at which class II [and class III] gaming is conducted.''
25 U.S.C. 2710(b)(1) and (d)(1)(A)(iii). Further, IGRA requires ``the
construction and maintenance of the gaming facilities, and the
operation of that gaming is conducted in a manner which adequately
protects the environment and public health and safety.'' 25 U.S.C.
2710(b)(2)(E).
NIGC regulations, part 559 requires that a tribe submit a notice to
the NIGC that it is considering issuing a facility license, including
applicable Indian lands information, at least 120 days before a new
class II and/or class III gaming facility is opened. The amount of
Indian lands information depends, in part, on whether the Bureau of
Indian Affairs maintains the necessary records. The Indian lands
information will continue to be utilized by the NIGC to ensure that its
records are complete for internal purposes, such as assessing the
NIGC's jurisdiction to regulate the gaming on the parcel, as well as
responding to inquiries from government agencies and Congress as to the
statuses of lands where Indian gaming is proposed or occurring.
Part 559 also requires that tribes submit copies of each newly
issued or renewed facility license to the NIGC within 30 days of
issuance, as well as notices of facility closures. This information
will enable the NIGC to maintain accurate, up-to-date records of the
Indian gaming facilities that are operating on Indian lands in the
United States at any given point in time. Currently, facility licenses
must be renewed every three years. With each new facility license, the
Tribe must submit an attestation that it has identified and enforces
environment and public health and safety laws and that the tribe is in
compliance with those laws. Part 559 also requires tribes to submit a
document listing all environmental and public safety laws, resolutions,
codes, policies and standards applicable to its gaming facility. If the
submitted laws, resolutions, etc. do not change, the tribe need only
certify that fact when submitting a renewed facility license. Finally,
the NIGC Chair has the discretion to request environmental and public
health and safety documentation on occasions when there is an
identified, substantial concern. Through these submissions, the NIGC
can ensure that the tribes have determined that the construction,
maintenance, and operation of their gaming facilities are conducted in
a manner that adequately protects the environment and the public health
and safety.
This information collection serves two purposes: (i) To receive up-
to-date information from tribes regarding the number of licensed Indian
gaming facilities and the Indian lands status of the site of each
gaming facility; and (ii) to obtain certifications from the tribes that
the construction, maintenance, and operation of the gaming facilities
are conducted in a manner that adequately protects the environment and
the public health and safety.
Brief Description of Collection: This collection is mandatory and
enables the NIGC to conduct its statutory duty to regulate Indian
gaming by ensuring that
[[Page 24734]]
tribal gaming facilities are properly licensed by the tribes.
Respondents: Indian tribal gaming operations.
Estimated Number of Respondents: 565.
Estimated Annual Responses: 75.
Estimated Time per Response: The range of time can vary from 2
burden hours to 10 burden hours for one item.
Frequency of Response: Varies.
Estimated Total Annual Burden on Respondents: $13,125.
Paxton Myers,
Chief of Staff.
[FR Doc. 2012-9922 Filed 4-24-12; 8:45 am]
BILLING CODE 7565-01-P