Indian Gaming Compliance and Enforcement

Forms and Documents

Document Name	Status
NIGC 3141-0001 2019_SS_3141-0001_FINAL_v2.docx Supporting Statement A	2020-05-12
2016.09.27_FedReg.pdf Supplementary Document	2016-09-28
2016.06.06 PRA Notice1.pdf Supplementary Document	2016-09-12

IC Document Collections

IC ID	Document Title	Status
208598	Indian Gaming Compliance and Enforcement 571.13	Modified
208597	Indian Gaming Compliance and Enforcement 571.12	Modified
208595	Indian Gaming Compliance and Enforcement 571.7, 571.14	Modified

ICR Details

OMB Control No: 3141-0001	ICR Reference No: 202001-3141-001
Status: Active	Previous ICR Reference No: 201609-3141-001
Agency/Subagency: NIGC	Agency Tracking No:
Title: Indian Gaming Compliance and Enforcement
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 05/27/2020
	Date Received in OIRA: 01/16/2020
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years. OMB requests that the agency consult with up to nine outside entities once every renewal, even if the collection of information has not changed. To estimate the burden hours in future renewals, NIGC should consider providing ranges in the collection’s annual burden, historic data from stakeholders to support changes in collection burden, and/or proxies from other federal agencies with similar collections or respondents in the renewal.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2023	36 Months From Approved	05/31/2020
Responses	723	0	931
Time Burden (Hours)	127,489	0	406,905
Cost Burden (Dollars)	35,033,688	0	34,349,884

---

Abstract: The Indian Gaming Regulatory Act governs the regulation of gaming on Indian lands. IGRA created the National Indian Gaming Commission to carry out the Act's goals. This collection allows NIGC to perform its statutory duties.

---

Authorizing Statute(s): US Code: 25 USC 2701 Name of Law: Indian Gaming Regulatory Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 31338	07/01/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 70992	12/26/2019
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Indian Gaming Compliance and Enforcement 571.7, 571.14
Indian Gaming Compliance and Enforcement 571.12
Indian Gaming Compliance and Enforcement 571.13

---

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	723	931	0	-208	0	0
Annual Time Burden (Hours)	127,489	406,905	0	0	-279,416	0
Annual Cost Burden (Dollars)	35,033,688	34,349,884	0	0	683,804	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: It should be noted at the outset that tribal gaming operations and their business practices are unique to each gaming Tribe and influenced by many local, state, and regional factors. Tribal gaming facilities vary in size and complexity and range from small truck stops to world-class casino resorts. The amount of time and resources that gaming tribes expend fulfilling regulatory requirements can vary dramatically and is further complicated by their varying levels of investment in, and adoption of, new technologies and technical expertise. For these reasons, estimates provided by a statistically insignificant group of rotating tribal contacts has limited value and it would be improper to claim to be able to extrapolate from this feedback any definitive trends. It should also be noted that, in previous years, the NIGC did not calculate and include wage costs in its data but it does so now and will continue doing this in all future renewals. As mentioned in item number 8 of the Supplementary Statement, the Commission consulted with 6 tribal gaming financial directors and/or tribal gaming commissioners and based on this tribal feedback, the Commission made the adjustments to its estimated burdens: It should be noted that the method for calculating the total annual responses for §571.12 was changed. In prior years, the NIGC had determined that the number of total annual responses equaled the total number of Indian gaming operations. Because tribes negotiate contracts for an independent audit on a tribal level (and not at the gaming operational level), the number of total annual responses was now set as equal to the number of gaming tribes (241), and not gaming operations. This decrease in the total annual responses was offset by the slight increase in average annual hours as reported by the consulted tribes so that, in sum, there was no dramatic change in estimated annual hours for this specific requirement from the last renewal cycle. The estimated annual burden hour total has been significantly revised downwards from 406,905 to 127,489. This decrease continues the trend from the last renewal estimate cycle and, as before, is also primarily due to the decrease in the average hours per response for compliance with regulation §571.7. In looking at this trend, it is possible to surmise that, over time, as accounting practices in tribal gaming operations have become more established, tribal financial directors increasingly attribute their operation’s accounting practices less as a response to any one NIGC regulatory requirement and more as simply part of their customary business practices.

---

Annual Cost to Federal Government: $90,295

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/16/2020

---