[Federal Register Volume 77, Number 32 (Thursday, February 16, 2012)]
[Notices]
[Pages 9261-9264]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-3689]


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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, Interior.

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 the approval for collection of information for 
the following activities: (1) Compliance and enforcement under the 
Indian Gaming Regulatory Act (``IGRA'' or ``the Act''); (2) approval of 
Class II background investigation and 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 April 16, 2012.

ADDRESSES: Comments can be mailed, faxed, or emailed to the attention 
of Michael Hoenig, National Indian Gaming Commission, 1441 L Street 
NW., Washington, DC 20005. Comments may be faxed to (202) 632-7066 (not 
a toll-free number). Comments may be sent electronically to 
[email protected], subject: PRA reinstatements.

FOR FURTHER INFORMATION 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:
    (a) Whether the collections of information are 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 burdens (including 
the hours and cost) of the proposed collections of information, 
including the validity of the methodologies and assumptions used;
    (c) Ways to enhance the quality, utility, and clarity of the 
information to be collected;
    (d) Ways to minimize the burdens of the collections 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.

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 Responses: 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

[[Page 9262]]

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: Up to 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 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.
    Respondents: Tribal governing bodies, management companies, and 
environmental consultants.
    Estimated Number of Respondents: 6 per year.

[[Page 9263]]

    Estimated Time per Response: The range of time can vary from 1300 
to 4500 hours per response. This variation depends on whether the 
response is an EA or an EIS.
    Frequency of Response: Annually.
    Estimated Total Annual Burden on Respondents: 12,300 (6 EAs at 1300 
hours + 1 EIS at 4500 hours).
    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 CFR 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 Respondents: 892.
    Estimated Annual Burden Hours per Respondent: 2 (number of annual 
responses) x 2 (hours per response) = 4.
    Estimated Total Annual Burden on Respondents: 892 (number of 
responses) x 2 (average hourly burden per response) = 1,784 total 
annual hours of burden.
    Title: Issuance of Certificates of Self-Regulation to Tribes for 
Class II Gaming.
    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 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.
    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: Section 543.3(f) requires tribes 
to submit two copies of the required CPA agreed-upon-procedures report 
to the Commission. This collection is mandatory for all Class II gaming 
operations exceeding $1 million in gross gaming revenue and many Class 
III facilities and smaller gaming operations choose to submit it 
voluntarily. Because the report is outsourced, minimal additional time 
burden is imposed by the requirement.
    Estimated Number of Respondents: 422.
    Estimated Time per Response: 0.5 hours.
    Frequency of Response: Annually.

[[Page 9264]]

    Estimated Total Annual Hourly Burden to Respondents: 211 hours (422 
responses x 0.5 hour per response).
    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 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.

    Dated: February 13, 2012.
Paxton Myers,
Chief of Staff.
[FR Doc. 2012-3689 Filed 2-15-12; 8:45 am]
BILLING CODE 7565-01-P