Enforcement Actions, 47517-47519 [2012-19163]
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Federal Register / Vol. 77, No. 154 / Thursday, August 9, 2012 / Rules and Regulations
mstockstill on DSK4VPTVN1PROD with RULES
did not need to be further clarified
through regulation. The Commission
agreed that further clarification was
unnecessary and did not propose
changes to that section.
Throughout the review process of this
part, the Commission received
comments that the regulations should
include a process for notifying a tribe
that an investigation has been
concluded. Tribal representatives
explained that in some instances they
were never notified of the results of
investigations opened by the NIGC years
ago. The discussion draft attempted to
formalize NIGC’s informal process of
advising a tribe, through NIGC’s
authorized representative, after an
investigation was terminated. All
comments received on the discussion
draft were supportive of the concept.
However, several comments indicated
that such a letter should be mandatory
and not discretionary. The Commission
believes it is important to provide the
Chair with the discretion to make those
determinations on a case-by-case basis.
The final rule retains that discretion.
After considering the comments
received from the public and through
tribal consultation, the Commission
published a Notice of Proposed
Rulemaking on October 12, 2011. The
comment period closed on December
12, 2011.
After considering the comments
received from the public and through
tribal consultation, the Commission
published a Notice of Proposed
Rulemaking on October 12, 2011. The
comment period closed on December
12, 2011.
III. Review of Public Comments
In response to our Notice of Proposed
Rulemaking, published October 11,
2011, 76 FR 63237, we received the
following comments.
Comment: Numerous comments
support the issuance of an investigation
closure letter. Many comments stated
the importance of providing some
indication when an investigation has
been completed and that an
enforcement action is no longer active.
Response: The Commission agrees
that in some circumstances such a letter
may be appropriate.
Comment: One commenter suggested
that the issuance of investigation
closure letters be mandatory instead of
voluntary.
Response: The Commission believes
that the Chair should retain discretion
in conducting investigations and when
staff may indicate that a matter is
closed. Therefore, the Commission
believes these letters should not be
mandatory.
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Jkt 226001
IV. Regulatory Matters
Regulatory Flexibility Act
This rule will not have a significant
economic effect on a substantial number
of small entities as defined under the
Regulatory Flexibility Act, 5 U.S.C. 601,
et seq. Indian tribes are not considered
to be small entities for the purposes of
the Regulatory Flexibility Act.
Small Business Regulatory Enforcement
Fairness Act
This rule is not a major rule under 5
U.S.C. 804(2), the Small Business
Regulatory Enforcement Fairness Act.
This rule does not have an annual effect
on the economy of $100 million or
more. This rule will not cause a major
increase in costs or prices for
consumers, individual industries,
federal, state or local government
agencies or geographic regions and does
not have a significant adverse effect on
competition, employment, investment,
productivity, innovation, or the ability
of U.S. based enterprises to compete
with foreign-based enterprises.
Unfunded Mandate Reform Act
The Commission, as an independent
regulatory agency within the
Department of the Interior, is exempt
from compliance with the Unfunded
Mandates Reform Act. 2 U.S.C. 1502(1);
2 U.S.C. 658(1).
Takings
In accordance with Executive Order
12630, the Commission has determined
that this rule does not have significant
takings implications. A takings
implication assessment is not required.
Civil Justice Reform
In accordance with Executive Order
12988, the Office of General Counsel has
determined that the rule does not
unduly burden the judicial system and
meets the requirements of sections 3(a)
and 3(b)(2) of the Executive Order.
National Environmental Policy Act
The Commission has determined that
this rule does not constitute a major
federal action significantly affecting the
quality of the human environment and
that no detailed statement is required
pursuant to the National Environmental
Policy Act of 1969, 42 U.S.C. 4321 et
seq.
Paperwork Reduction Act
This rule does not require information
collection under the Paperwork
Reduction Act of 1995, 44 U.S.C. 3501,
et seq., and is therefore not subject to
review by the Office of Management and
Budget.
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Frm 00007
Fmt 4700
Sfmt 4700
47517
List of Subjects in 25 CFR Part 571
Gambling, Indian—lands, Indian—
tribal government, Reporting and
recordkeeping requirements.
Accordingly, for the reasons
discussed in the preamble, the
Commission amends 25 CFR part 571 as
follows:
PART 571—MONITORING AND
INVESTIGATIONS
1. The authority citation for part 571
continues to read as follows:
■
Authority: 25 U.S.C. 2701 et seq.
2. Add new § 571.4 to subpart A to
read as follows:
■
§ 571.4
Investigation completion letter.
In instances where NIGC has
concluded its investigation of a
particular matter and will not
recommend the commencement of an
enforcement proceeding against a
respondent at that time, the
Commission’s authorized
representative, in his or her discretion,
may advise the party by letter that the
investigation has been completed. An
investigation completion letter does not
constitute a finding that no violation of
IGRA, NIGC regulations, or a tribe’s
approved gaming ordinance occurred.
Further, an investigation completion
letter does not preclude the reopening of
an investigation or the initiation of an
enforcement action by the Chair.
Dated: July 31, 2012, Washington, DC.
Tracie L. Stevens,
Chairwoman.
Steffani A. Cochran,
Vice-Chairwoman.
Daniel J. Little,
Associate Commissioner.
[FR Doc. 2012–19166 Filed 8–8–12; 8:45 am]
BILLING CODE 7565–01–P
DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission
25 CFR Part 573
Enforcement Actions
National Indian Gaming
Commission.
ACTION: Final rule.
AGENCY:
The National Indian Gaming
Commission (NIGC or Commission) is
amending its enforcement regulation to
include a graduated pre-enforcement
process through which a tribe may come
into voluntary compliance.
DATES: Effective Date: September 10,
2012.
SUMMARY:
E:\FR\FM\09AUR1.SGM
09AUR1
47518
Federal Register / Vol. 77, No. 154 / Thursday, August 9, 2012 / Rules and Regulations
FOR FURTHER INFORMATION CONTACT:
Melissa Schlichting, National Indian
Gaming Commission, 1441 L Street
NW., Suite 9100, Washington, DC
20005. Telephone: 202–632–7003;
email: Melissa_Schlichting@nigc.gov.
SUPPLEMENTARY INFORMATION:
mstockstill on DSK4VPTVN1PROD with RULES
I. Background
The Indian Gaming Regulatory Act
(IGRA or Act), Public Law 100–497, 25
U.S.C. 2701 et seq., was signed into law
on October 17, 1988. The Act
establishes the National Indian Gaming
Commission (‘‘Commission’’) and sets
out a comprehensive framework for the
regulation of gaming on Indian lands.
The purposes of IGRA include
providing a statutory basis for the
operation of gaming by Indian Tribes as
a means of promoting tribal economic
development, self-sufficiency, and
strong tribal governments; ensuring that
the Indian tribe is the primary
beneficiary of the gaming operation; and
declaring that the establishment of
independent federal regulatory
authority for gaming on Indian lands,
the establishment of federal standards
for gaming on Indian lands, and the
establishment of a National Indian
Gaming Commission are necessary to
meet congressional concerns regarding
gaming and to protect such gaming as a
means of generating tribal revenue. 25
U.S.C. 2702.
II. Previous Rulemaking Activity
On November 18, 2010, the National
Indian Gaming Commission (NIGC)
issued a Notice of Inquiry and Notice of
Consultation (NOI) advising the public
that the NIGC was conducting a
comprehensive review of its regulations
and requesting public comment. 75 FR
70680 (Nov. 18, 2010). After consulting
with tribes, NIGC published a Notice of
Regulatory Review Schedule (NRR)
setting out a consultation schedule and
process for review. 76 FR 18457 (Oct.
12, 2011). The Commission’s regulatory
review process established a tribal
consultation schedule with a
description of the regulation groups to
be covered at each consultation. Part
573 was included in this regulatory
review.
The Commission conducted tribal
consultations as part of its review of
Part 573. Tribal consultations were held
in every region of the country and were
attended by numerous Tribes and Tribal
leaders or their representatives.
After considering the comments
received from the public and through
Tribal consultations, the Commission
proposed amending Part 573 to include
a graduated pre-enforcement process
whereby a gaming operation may
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15:53 Aug 08, 2012
Jkt 226001
achieve voluntary compliance with the
IGRA, Commission regulations or tribal
ordinances and resolutions approved by
the Chair. Following the publication of
the proposed rule, additional Tribal
consultations were held. The public
comment period on the proposed rule
closed on February 27, 2012.
local government agencies or geographic
regions. Nor will the rule have a
significant adverse effect on
competition, employment, investment,
productivity, innovation, or the ability
of the enterprises, to compete with
foreign based enterprises.
III. Review of Public Comments
In response to our Notice of Proposed
Rulemaking, published December 27,
2011, 76 FR 80847, we received the
following comments:
The Commission, as an independent
regulatory agency, is exempt from
compliance with the Unfunded
Mandates Reform Act, 2 U.S.C. 1502(1);
2 U.S.C. 658(1).
Section 573.2 When may a letter of
concern and/or warning letter be
issued?
Comment: One commenter argued
that, as currently drafted, a warning
letter is essentially the same as a notice
of violation, except that a warning letter
cannot be appealed. The commenter
stated that a warning letter would be
considered final agency action by a
court even though it is issued by NIGC
staff rather than the Chair. Therefore,
the commenter suggested that the NIGC
remove warning letters as a preenforcement step because a letter of
concern is sufficient to accomplish the
Commission’s intent to encourage
voluntary compliance and resolve any
potential enforcement issues. The
commenter stated further that because a
warning letter contains a finding that a
violation has occurred, it could have
significant negative repercussions for a
tribe that is required to report such
actions to lenders or other debt holders,
and may also have negative licensing
implications for a tribe and its
employees.
Response: The Commission agrees
with the commenter and has removed
warning letters as a pre-enforcement
option.
Takings
IV. Regulatory Matters
List of Subjects in 25 CFR Part 573
Regulatory Flexibility Act
The rule will not have a significant
impact on a substantial number of small
entities as defined under the Regulatory
Flexibility Act, 5 U.S.C. 601, et seq.
Moreover, Indian Tribes are not
considered to be small entities for the
purposes of the Regulatory Flexibility
Act.
Enforcement, Enforcement actions,
Gambling, Gaming, Indians, Indian
gaming.
For the reasons stated in the
preamble, the National Indian Gaming
Commission amends 25 CFR part 573 as
follows:
Small Business Regulatory Enforcement
Fairness Act
The rule is not a major rule under 5
U.S.C. 804(2), the Small Business
Regulatory Enforcement Fairness Act.
The rule does not have an effect on the
economy of $100 million or more. The
rule will not cause a major increase in
costs or prices for consumers,
individual industries, Federal, State,
PO 00000
Frm 00008
Fmt 4700
Sfmt 4700
Unfunded Mandate Reform Act
In accordance with Executive Order
12630, the Commission has determined
that the rule does not have significant
takings implications. A takings
implication assessment is not required.
Civil Justice Reform
In accordance with Executive Order
12988, the Commission has determined
that the rule does not unduly burden the
judicial system and meets the
requirements of sections 3(a) and 3(b)(2)
of the Order.
National Environmental Policy Act
The Commission has determined that
the rule does not constitute a major
federal action significantly affecting the
quality of the human environment and
that no detailed statement is required
pursuant to the National Environmental
Policy Act of 1969, 42 U.S.C. 4321, et
seq.
Paperwork Reduction Act
This rule does not require information
collection under the Paperwork
Reduction Act of 1995, 44 U.S.C. 2501,
et seq., and is therefore not subject to
review by the Office of Management and
Budget.
PART 573—COMPLIANCE AND
ENFORCEMENT
1. The Authority citation for part 573
is revised to read as follows:
■
Authority: 25 U.S.C. 2706(b)(10); 25 U.S.C.
2713; E.O. 13175, 65 FR 67249, 3 CFR, 2000
Comp., p. 304.
2. Revise the part 573 heading to read
as set forth above.
■ 3. Revise § 573.1 to read as follows:
■
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09AUR1
Federal Register / Vol. 77, No. 154 / Thursday, August 9, 2012 / Rules and Regulations
§ 573.1
What is the purpose of this part?
Voluntary compliance is the goal of
the Commission. Voluntary compliance
is achieved when a tribe and the NIGC
staff are able to resolve any potential
enforcement issues prior to the Chair
issuing an enforcement action. This part
sets forth efforts for achieving voluntary
compliance and enforcement action
when voluntary compliance is not
forthcoming. While this part is intended
to garner voluntary compliance through
a graduated enforcement process, there
may be circumstances under which a
graduated enforcement process is
omitted and an enforcement action must
be taken. This part also sets forth
general rules governing the
Commission’s enforcement of the Act,
this chapter, and tribal ordinances and
resolutions approved by the Chair under
part 522 of this chapter. Civil fines in
connection with notice of violation
issued under this part are addressed in
part 575 of this chapter.
■ 4. Add § 573.2 to read as follows:
mstockstill on DSK4VPTVN1PROD with RULES
§ 573.2 When may a letter of concern be
issued?
(a) Prior to the Chair taking an
enforcement action, a letter of concern
may be provided to the respondent by
NIGC staff, detailing concerns regarding
the respondent’s compliance with the
Act, this chapter, or any tribal ordinance
or resolution approved by the Chair
under part 522 of this chapter. A letter
of concern describes the available facts
and information, includes a preliminary
assessment regarding the incident or
condition, and indicates that it may be
a violation.
(b) Action under this section does not
constitute agency action.
(c) A letter of concern issued under
paragraph (b) of this section must
provide a time period for the respondent
to respond. If the letter of concern is
resolved without enforcement action,
NIGC staff may send an investigation
completion letter pursuant to § 571.4 of
this chapter.
(d) The Chair’s discretion to take an
enforcement action is not limited or
constrained in any way by this section.
When the Chair takes enforcement
action before a letter of concern is
issued, the enforcement action must
state the reasons for moving directly to
an enforcement action without first
issuing a letter of concern.
■ 5. In § 573.3, revise paragraph (a) to
read as follows:
§ 573.3 When may the Chair issue a notice
of violation?
(a) The Chair may issue a notice of
violation to any person for violations of
any provision of the Act or this chapter,
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15:53 Aug 08, 2012
Jkt 226001
or of any tribal ordinance or resolution
approved by the Chair under part 522 of
this chapter.
*
*
*
*
*
§ 573.6
[Redesignated as § 573.4]
6. Redesignate § 573.6 as § 573.4.
7. In newly redesignated § 573.4,
revise the section heading and
paragraphs (a) introductory text, (a)(3),
(6), (7), (8), (9), (12), (c) introductory
text, (c)(1), (c)(2) introductory text, and
(c)(3) to read as follows:
■
■
§ 573.4 When may the Chair issue an order
of temporary closure?
(a) When an order of temporary
closure may issue. Simultaneously with
or subsequently to the issuance of a
notice of violation under § 573.3, the
Chair may issue an order of temporary
closure of all or part of an Indian
gaming operation if one or more of the
following substantial violations are
present:
*
*
*
*
*
(3) A gaming operation operates for
business without a tribal ordinance or
resolution that the Chair has approved
under part 522 of this chapter.
*
*
*
*
*
(6) There is clear and convincing
evidence that a gaming operation
defrauds a tribe.
(7) A management contractor operates
for business without a contract that the
Chair has approved under part 533 of
this chapter.
(8) Any person knowingly submits
false or misleading information to the
Commission or a tribe in response to
any provision of the Act, this chapter,
or a tribal ordinance or resolution that
the Chair has approved under part 522
of this chapter.
(9) A gaming operation refuses to
allow an authorized representative of
the Commission or an authorized tribal
official to enter or inspect a gaming
operation, in violation of § 571.5 or
§ 571.6 of this chapter, or of a tribal
ordinance or resolution approved by the
Chair under part 522 of this chapter.
*
*
*
*
*
(12) A gaming operation’s facility is
constructed, maintained, or operated in
a manner that threatens the
environment or the public health and
safety, in violation of a tribal ordinance
or resolution approved by the Chair
under part 522 of this chapter.
*
*
*
*
*
(c) Informal expedited review. Within
seven (7) days after service of an order
of temporary closure, the respondent
may request, orally or in writing,
informal expedited review by the Chair.
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Fmt 4700
Sfmt 4700
47519
(1) The Chair shall complete the
expedited review provided for by this
paragraph within two (2) days after his
or her receipt of a timely request.
(2) The Chair shall, within two (2)
days after the expedited review
provided for by this paragraph:
*
*
*
*
*
(3) Whether or not a respondent seeks
informal expedited review under this
paragraph, within thirty (30) days after
the Chair serves an order of temporary
closure the respondent may appeal the
order to the Commission under part 577
of this chapter. Otherwise, the order
shall remain in effect unless rescinded
by the Chair for good cause.
■ 8. Add § 573.5 to read as follows:
§ 573.5 When does an enforcement action
become final agency action?
An enforcement action shall become
final agency action and a final order of
the Commission when:
(a) A respondent fails to appeal the
enforcement action as provided for in
part 577 of this chapter and does not
enter into a settlement agreement
resolving the matter in its entirety; or
(b) A respondent enters into a
settlement agreement resolving the
matter in its entirety at any time after
the issuance of the enforcement action.
Dated: July 31, 2012, Washington, DC.
Tracie L. Stevens,
Chairwoman.
Steffani A. Cochran,
Vice-Chairwoman.
Daniel J. Little,
Associate Commissioner.
[FR Doc. 2012–19163 Filed 8–8–12; 8:45 am]
BILLING CODE 7565–01–P
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Part 100
[Docket No. USCG–2012–0656]
Annual Marine Events in the Eighth
Coast Guard District, Sabine River;
Orange, TX
Coast Guard, DHS.
Notice of enforcement of
regulation.
AGENCY:
ACTION:
The Coast Guard will enforce
Special Local Regulations for the
S.P.O.R.T. Power Boat Neches River in
Orange, TX from 3 p.m. on September
21, 2012, through 6 p.m. on September
23, 2012. This action is necessary to
provide for the safety of the
participants, crew, spectators,
SUMMARY:
E:\FR\FM\09AUR1.SGM
09AUR1
]]>Agencies
[Federal Register Volume 77, Number 154 (Thursday, August 9, 2012)]
[Rules and Regulations]
[Pages 47517-47519]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-19163]
-----------------------------------------------------------------------
DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission
25 CFR Part 573
Enforcement Actions
AGENCY: National Indian Gaming Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The National Indian Gaming Commission (NIGC or Commission) is
amending its enforcement regulation to include a graduated pre-
enforcement process through which a tribe may come into voluntary
compliance.
DATES: Effective Date: September 10, 2012.
[[Page 47518]]
FOR FURTHER INFORMATION CONTACT: Melissa Schlichting, National Indian
Gaming Commission, 1441 L Street NW., Suite 9100, Washington, DC 20005.
Telephone: 202-632-7003; email: Melissa_Schlichting@nigc.gov.
SUPPLEMENTARY INFORMATION:
I. Background
The Indian Gaming Regulatory Act (IGRA or Act), Public Law 100-497,
25 U.S.C. 2701 et seq., was signed into law on October 17, 1988. The
Act establishes the National Indian Gaming Commission (``Commission'')
and sets out a comprehensive framework for the regulation of gaming on
Indian lands. The purposes of IGRA include providing a statutory basis
for the operation of gaming by Indian Tribes as a means of promoting
tribal economic development, self-sufficiency, and strong tribal
governments; ensuring that the Indian tribe is the primary beneficiary
of the gaming operation; and declaring that the establishment of
independent federal regulatory authority for gaming on Indian lands,
the establishment of federal standards for gaming on Indian lands, and
the establishment of a National Indian Gaming Commission are necessary
to meet congressional concerns regarding gaming and to protect such
gaming as a means of generating tribal revenue. 25 U.S.C. 2702.
II. Previous Rulemaking Activity
On November 18, 2010, the National Indian Gaming Commission (NIGC)
issued a Notice of Inquiry and Notice of Consultation (NOI) advising
the public that the NIGC was conducting a comprehensive review of its
regulations and requesting public comment. 75 FR 70680 (Nov. 18, 2010).
After consulting with tribes, NIGC published a Notice of Regulatory
Review Schedule (NRR) setting out a consultation schedule and process
for review. 76 FR 18457 (Oct. 12, 2011). The Commission's regulatory
review process established a tribal consultation schedule with a
description of the regulation groups to be covered at each
consultation. Part 573 was included in this regulatory review.
The Commission conducted tribal consultations as part of its review
of Part 573. Tribal consultations were held in every region of the
country and were attended by numerous Tribes and Tribal leaders or
their representatives.
After considering the comments received from the public and through
Tribal consultations, the Commission proposed amending Part 573 to
include a graduated pre-enforcement process whereby a gaming operation
may achieve voluntary compliance with the IGRA, Commission regulations
or tribal ordinances and resolutions approved by the Chair. Following
the publication of the proposed rule, additional Tribal consultations
were held. The public comment period on the proposed rule closed on
February 27, 2012.
III. Review of Public Comments
In response to our Notice of Proposed Rulemaking, published
December 27, 2011, 76 FR 80847, we received the following comments:
Section 573.2 When may a letter of concern and/or warning letter be
issued?
Comment: One commenter argued that, as currently drafted, a warning
letter is essentially the same as a notice of violation, except that a
warning letter cannot be appealed. The commenter stated that a warning
letter would be considered final agency action by a court even though
it is issued by NIGC staff rather than the Chair. Therefore, the
commenter suggested that the NIGC remove warning letters as a pre-
enforcement step because a letter of concern is sufficient to
accomplish the Commission's intent to encourage voluntary compliance
and resolve any potential enforcement issues. The commenter stated
further that because a warning letter contains a finding that a
violation has occurred, it could have significant negative
repercussions for a tribe that is required to report such actions to
lenders or other debt holders, and may also have negative licensing
implications for a tribe and its employees.
Response: The Commission agrees with the commenter and has removed
warning letters as a pre-enforcement option.
IV. Regulatory Matters
Regulatory Flexibility Act
The rule will not have a significant impact on a substantial number
of small entities as defined under the Regulatory Flexibility Act, 5
U.S.C. 601, et seq. Moreover, Indian Tribes are not considered to be
small entities for the purposes of the Regulatory Flexibility Act.
Small Business Regulatory Enforcement Fairness Act
The rule is not a major rule under 5 U.S.C. 804(2), the Small
Business Regulatory Enforcement Fairness Act. The rule does not have an
effect on the economy of $100 million or more. The rule will not cause
a major increase in costs or prices for consumers, individual
industries, Federal, State, local government agencies or geographic
regions. Nor will the rule have a significant adverse effect on
competition, employment, investment, productivity, innovation, or the
ability of the enterprises, to compete with foreign based enterprises.
Unfunded Mandate Reform Act
The Commission, as an independent regulatory agency, is exempt from
compliance with the Unfunded Mandates Reform Act, 2 U.S.C. 1502(1); 2
U.S.C. 658(1).
Takings
In accordance with Executive Order 12630, the Commission has
determined that the rule does not have significant takings
implications. A takings implication assessment is not required.
Civil Justice Reform
In accordance with Executive Order 12988, the Commission has
determined that the rule does not unduly burden the judicial system and
meets the requirements of sections 3(a) and 3(b)(2) of the Order.
National Environmental Policy Act
The Commission has determined that the rule does not constitute a
major federal action significantly affecting the quality of the human
environment and that no detailed statement is required pursuant to the
National Environmental Policy Act of 1969, 42 U.S.C. 4321, et seq.
Paperwork Reduction Act
This rule does not require information collection under the
Paperwork Reduction Act of 1995, 44 U.S.C. 2501, et seq., and is
therefore not subject to review by the Office of Management and Budget.
List of Subjects in 25 CFR Part 573
Enforcement, Enforcement actions, Gambling, Gaming, Indians, Indian
gaming.
For the reasons stated in the preamble, the National Indian Gaming
Commission amends 25 CFR part 573 as follows:
PART 573--COMPLIANCE AND ENFORCEMENT
0
1. The Authority citation for part 573 is revised to read as follows:
Authority: 25 U.S.C. 2706(b)(10); 25 U.S.C. 2713; E.O. 13175, 65
FR 67249, 3 CFR, 2000 Comp., p. 304.
0
2. Revise the part 573 heading to read as set forth above.
0
3. Revise Sec. 573.1 to read as follows:
[[Page 47519]]
Sec. 573.1 What is the purpose of this part?
Voluntary compliance is the goal of the Commission. Voluntary
compliance is achieved when a tribe and the NIGC staff are able to
resolve any potential enforcement issues prior to the Chair issuing an
enforcement action. This part sets forth efforts for achieving
voluntary compliance and enforcement action when voluntary compliance
is not forthcoming. While this part is intended to garner voluntary
compliance through a graduated enforcement process, there may be
circumstances under which a graduated enforcement process is omitted
and an enforcement action must be taken. This part also sets forth
general rules governing the Commission's enforcement of the Act, this
chapter, and tribal ordinances and resolutions approved by the Chair
under part 522 of this chapter. Civil fines in connection with notice
of violation issued under this part are addressed in part 575 of this
chapter.
0
4. Add Sec. 573.2 to read as follows:
Sec. 573.2 When may a letter of concern be issued?
(a) Prior to the Chair taking an enforcement action, a letter of
concern may be provided to the respondent by NIGC staff, detailing
concerns regarding the respondent's compliance with the Act, this
chapter, or any tribal ordinance or resolution approved by the Chair
under part 522 of this chapter. A letter of concern describes the
available facts and information, includes a preliminary assessment
regarding the incident or condition, and indicates that it may be a
violation.
(b) Action under this section does not constitute agency action.
(c) A letter of concern issued under paragraph (b) of this section
must provide a time period for the respondent to respond. If the letter
of concern is resolved without enforcement action, NIGC staff may send
an investigation completion letter pursuant to Sec. 571.4 of this
chapter.
(d) The Chair's discretion to take an enforcement action is not
limited or constrained in any way by this section. When the Chair takes
enforcement action before a letter of concern is issued, the
enforcement action must state the reasons for moving directly to an
enforcement action without first issuing a letter of concern.
0
5. In Sec. 573.3, revise paragraph (a) to read as follows:
Sec. 573.3 When may the Chair issue a notice of violation?
(a) The Chair may issue a notice of violation to any person for
violations of any provision of the Act or this chapter, or of any
tribal ordinance or resolution approved by the Chair under part 522 of
this chapter.
* * * * *
Sec. 573.6 [Redesignated as Sec. 573.4]
0
6. Redesignate Sec. 573.6 as Sec. 573.4.
0
7. In newly redesignated Sec. 573.4, revise the section heading and
paragraphs (a) introductory text, (a)(3), (6), (7), (8), (9), (12), (c)
introductory text, (c)(1), (c)(2) introductory text, and (c)(3) to read
as follows:
Sec. 573.4 When may the Chair issue an order of temporary closure?
(a) When an order of temporary closure may issue. Simultaneously
with or subsequently to the issuance of a notice of violation under
Sec. 573.3, the Chair may issue an order of temporary closure of all
or part of an Indian gaming operation if one or more of the following
substantial violations are present:
* * * * *
(3) A gaming operation operates for business without a tribal
ordinance or resolution that the Chair has approved under part 522 of
this chapter.
* * * * *
(6) There is clear and convincing evidence that a gaming operation
defrauds a tribe.
(7) A management contractor operates for business without a
contract that the Chair has approved under part 533 of this chapter.
(8) Any person knowingly submits false or misleading information to
the Commission or a tribe in response to any provision of the Act, this
chapter, or a tribal ordinance or resolution that the Chair has
approved under part 522 of this chapter.
(9) A gaming operation refuses to allow an authorized
representative of the Commission or an authorized tribal official to
enter or inspect a gaming operation, in violation of Sec. 571.5 or
Sec. 571.6 of this chapter, or of a tribal ordinance or resolution
approved by the Chair under part 522 of this chapter.
* * * * *
(12) A gaming operation's facility is constructed, maintained, or
operated in a manner that threatens the environment or the public
health and safety, in violation of a tribal ordinance or resolution
approved by the Chair under part 522 of this chapter.
* * * * *
(c) Informal expedited review. Within seven (7) days after service
of an order of temporary closure, the respondent may request, orally or
in writing, informal expedited review by the Chair.
(1) The Chair shall complete the expedited review provided for by
this paragraph within two (2) days after his or her receipt of a timely
request.
(2) The Chair shall, within two (2) days after the expedited review
provided for by this paragraph:
* * * * *
(3) Whether or not a respondent seeks informal expedited review
under this paragraph, within thirty (30) days after the Chair serves an
order of temporary closure the respondent may appeal the order to the
Commission under part 577 of this chapter. Otherwise, the order shall
remain in effect unless rescinded by the Chair for good cause.
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8. Add Sec. 573.5 to read as follows:
Sec. 573.5 When does an enforcement action become final agency
action?
An enforcement action shall become final agency action and a final
order of the Commission when:
(a) A respondent fails to appeal the enforcement action as provided
for in part 577 of this chapter and does not enter into a settlement
agreement resolving the matter in its entirety; or
(b) A respondent enters into a settlement agreement resolving the
matter in its entirety at any time after the issuance of the
enforcement action.
Dated: July 31, 2012, Washington, DC.
Tracie L. Stevens,
Chairwoman.
Steffani A. Cochran,
Vice-Chairwoman.
Daniel J. Little,
Associate Commissioner.
[FR Doc. 2012-19163 Filed 8-8-12; 8:45 am]
BILLING CODE 7565-01-P
