Class II and Class III/Background Investigation Tribal Licenses

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2019.12.26 Notice.pdf	Supplementary Document	Uploaded 2020-01-16	Available
2019.07.01 Published.pdf	Supplementary Document	Uploaded 2020-01-16	Available
2019_SS_3141-0003_FINAL_amended.docx	Supporting Statement A	Uploaded 2020-06-09	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
208609	Ordinances, Background Investigations, and Licenses 558.4(e)		Modified
208608	Ordinances, Background Investigations, and Licenses 558.3(b),(d)		Modified
208607	Ordinances, Background Investigations, and Licenses 556.6(b)(2)		Modified
208606	Ordinances, Background Investigations, and Licenses 556.6(b)(1)		Modified
208605	Ordinances, Background Investigations, and Licenses 556.6(a), 558.3(e)		Modified
208604	Ordinances, Background Investigations, and Licenses 556.4		Modified
208603	Ordinances, Background Investigations, and Licenses 556.2, 556.3		Modified
208602	Ordinances, Background Investigations, and Licenses 522.12		Modified
208601	Ordinances, Background Investigations, and Licenses 522.2(b)-(h), 522.3(b)		Modified
208600	Ordinances, Background Investigations, and Licenses 522.2(a), 522.3(a), 522.10, 522.11		Modified
208599	Ordinances, Background Investigations, and Licenses 519.1, 522.2(g), 519.2		Modified

ICR Details

OMB Control No: 3141-0003	ICR Reference No: 202001-3141-002
Status: Active	Previous ICR Reference No: 201609-3141-002
Agency/Subagency: NIGC	Agency Tracking No:
Title: Class II and Class III/Background Investigation Tribal Licenses
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: 06/11/2020
Retrieve Notice of Action (NOA)	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.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2023	36 Months From Approved	06/30/2020
Responses	220,461	0	202,509
Time Burden (Hours)	972,378	0	1,121,341
Cost Burden (Dollars)	1,287,967	0	3,070,189

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Abstract: This information is used by the Commission to approve ordinances and regulate licensing under the Indian Gaming Regulatory Act in accordance with its statutory authority.

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

Citations for New Statutory Requirements: None

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

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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

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Number of Information Collection (IC) in this ICR: 11

table that charts list of burden

IC Title	Form No.	Form Name
Ordinances, Background Investigations, and Licenses 519.1, 522.2(g), 519.2
Ordinances, Background Investigations, and Licenses 522.12
Ordinances, Background Investigations, and Licenses 522.2(a), 522.3(a), 522.10, 522.11
Ordinances, Background Investigations, and Licenses 522.2(b)-(h), 522.3(b)
Ordinances, Background Investigations, and Licenses 556.2, 556.3
Ordinances, Background Investigations, and Licenses 556.4
Ordinances, Background Investigations, and Licenses 556.6(a), 558.3(e)
Ordinances, Background Investigations, and Licenses 556.6(b)(1)
Ordinances, Background Investigations, and Licenses 556.6(b)(2)
Ordinances, Background Investigations, and Licenses 558.3(b),(d)
Ordinances, Background Investigations, and Licenses 558.4(e)

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ICR Summary of Burden

table that charts list 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	220,461	202,509	0	2,371	15,581	0
Annual Time Burden (Hours)	972,378	1,121,341	0	0	-148,963	0
Annual Cost Burden (Dollars)	1,287,967	3,070,189	0	11,519	-1,793,741	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 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 five tribal gaming tribal gaming executive directors and/or tribal attorneys. Based on this tribal feedback, the Commission has made adjustments to its estimated burdens. The estimated total annual burden hours have been revised downward by approximately 17%. This decrease is primarily due to the decrease (across the board) of the average hours per response for complying with the regulation requirements. It is likely that these decreases (in the average hours per response) are due to the maturation of the Indian gaming industry. For example, comparatively few tribes are just now breaking into the gaming industry and seeking approval of a new gaming ordinance. Instead, most tribes are simply submitting amendments to a previously approved ordinance and the process of approving an amending ordinance will generally be far less time intensive and costly than approving one that has been newly created. The estimated annual total cost estimate has been adjusted downward by almost 60%. This appears to be primarily due to the fact that the previous estimates included large sub-estimate costs associated with the applicant background investigation process. It is suspected that these sub-estimates may have been wage labor costs that are now being captured in that proper (“wage cost”) designated category. Indeed, all the tribes consulted confirmed that they conducted applicant background checks using internal resources and did not sub-contract the investigative labor. In fact, the only category of costs that our consultants flagged (besides outsourcing legal assistance for ordinance submissions) was the cost of submitting applicant fingerprints for criminal history checks.

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Annual Cost to Federal Government: $1,176,914

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

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Common Form ICR:  No

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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

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