25 Cfr 291 - Class Iii Gaming Procedures

Bureau of Indian Affairs, Interior

§ 291.3

§ 290.23 How does the Indian tribe resolve disputes arising from per capita payments to individual members
or identified groups of members?
You must utilize or establish a tribal
court system, forum or administrative
process for resolving disputes arising
from the allocation of net gaming revenue and the distribution of per capita
payments.
§ 290.24 Do revisions/amendments to a
tribal revenue allocation plan require approval?
Yes, revisions/amendments to a tribal revenue allocation plan must be submitted to the ABO for approval to ensure that they comply with § 290.12 and
IGRA.
§ 290.25 What is the liability of the
United States under this part?
The United States is not liable for
the manner in which a tribe distributes
funds from net gaming revenues.
§ 290.26 Are previously approved tribal revenue allocation plans, revisions, or amendments subject to review in accordance with this part?
No. This part applies only to tribal
revenue allocation plans, revisions, or
amendments submitted for approval
after April 17, 2000.
(a) If the ABO approved your tribal
revenue allocation plan, revisions, or
amendments before April 17, 2000, you
need not resubmit it for approval.
(b) If you are amending or revising a
previously approved allocation plan,
you must submit the amended or revised plan to the ABO for review and
approval under this part.

sfrattini on LAPCK6H6L3 with DISTILLER

PART 291—CLASS III GAMING
PROCEDURES
Sec.
291.1 Purpose and scope.
291.2 Definitions.
291.3 When may an Indian tribe ask the Secretary to issue Class III gaming procedures?
291.4 What must a proposal requesting Class
III gaming procedures contain?
291.5 Where must the proposal requesting
Class III gaming procedures be filed?
291.6 What must the Secretary do upon receiving a proposal?
291.7 What must the Secretary do if it has
been determined that the Indian tribe is

eligible to request Class III gaming procedures?
291.8 What must the Secretary do at the expiration of the 60-day comment period if
the State has not submitted an alternative proposal?
291.9 What must the Secretary do at the end
of the 60-day comment period if the State
offers an alternative proposal for Class
III gaming procedures?
291.10 What is the role of the mediator appointed by the Secretary?
291.11 What must the Secretary do upon receiving the proposal selected by the mediator?
291.12 Who will monitor and enforce tribal
compliance with the Class III gaming
procedures?
291.13 When do Class III gaming procedures
for an Indian tribe become effective?
291.14 How can Class III gaming procedures
issued by the Secretary be amended?
291.15 How long do Class III gaming procedures remain in effect?
AUTHORITY: 5 U.S.C. 301; 25 U.S.C. sections
2,9 and 2710.
SOURCE: 64 FR 17543, Apr. 12, 1999, unless
otherwise noted.

§ 291.1

Purpose and scope.

The regulations in this part establish
procedures that the Secretary will use
to promulgate rules for the conduct of
Class III Indian gaming when:
(a) A State and an Indian tribe are
unable to voluntarily agree to a compact and;
(b) The State has asserted its immunity from suit brought by an Indian
tribe under 25 U.S.C. 2710(d)(7)(B).
§ 291.2

Definitions.

(a) All terms have the same meaning
as set forth in the definitional section
of IGRA, 25 U.S.C. section 2703(1)–(10).
(b) The term ‘‘compact’’ includes renewal of an existing compact.
§ 291.3 When may an Indian tribe ask
the Secretary to issue Class III gaming procedures?
An Indian tribe may ask the Secretary to issue Class III gaming procedures when the following steps have
taken place:
(a) The Indian tribe submitted a written request to the State to enter into
negotiations to establish a TribalState compact governing the conduct
of Class III gaming activities;

955

VerDate Sep<11>2014

12:28 Jun 22, 2023

Jkt 259088

PO 00000

Frm 00965

Fmt 8010

Sfmt 8010

Q:\25\25V1.TXT

PC31

§ 291.4

25 CFR Ch. I (4–1–23 Edition)

(b) The State and the Indian tribe
failed to negotiate a compact 180 days
after the State received the Indian
tribe’s request;
(c) The Indian tribe initiated a cause
of action in Federal district court
against the State alleging that the
State did not respond, or did not respond in good faith, to the request of
the Indian tribe to negotiate such a
compact;
(d) The State raised an Eleventh
Amendment defense to the tribal action; and
(e) The Federal district court dismissed the action due to the State’s
sovereign immunity under the Eleventh Amendment.

sfrattini on LAPCK6H6L3 with DISTILLER

§ 291.4 What must a proposal requesting Class III gaming procedures
contain?
A proposal requesting Class III gaming procedures must include the following information:
(a) The full name, address, and telephone number of the Indian tribe submitting the proposal;
(b) A copy of the authorizing resolution from the Indian tribe submitting
the proposal;
(c) A copy of the Indian tribe’s gaming ordinance or resolution approved
by the NIGC in accordance with 25
U.S.C. 2710, if any;
(d) A copy of the Indian tribe’s organic documents, if any;
(e) A copy of the Indian tribe’s written request to the State to enter into
compact negotiations, along with the
Indian tribe’s proposed compact, if any;
(f) A copy of the State’s response to
the tribal request and/or proposed compact, if any;
(g) A copy of the tribe’s Complaint
(with attached exhibits, if any); the
State’s Motion to Dismiss; any Response by the tribe to the State’s Motion to Dismiss; any Opinion or other
written documents from the court regarding the State’s Motion to Dismiss;
and the Court’s Order of dismissal;
(h) The Indian tribe’s factual and
legal authority for the scope of gaming
specified in paragraph (j)(13) of this
section;
(i) Regulatory scheme for the State’s
oversight role, if any, in monitoring
and enforcing compliance; and

(j) Proposed procedures under which
the Indian tribe will conduct Class III
gaming activities, including:
(1) A certification that the tribe’s accounting procedures are maintained in
accordance with American Institute of
Certified Public Accountants Standards for Audits of Casinos, including
maintenance of books and records in
accordance with Generally Accepted
Accounting Principles and applicable
NIGC regulations;
(2) A reporting system for the payment of taxes and fees in a timely manner and in compliance with Internal
Revenue Code and Bank Secrecy Act
requirements;
(3) Preparation of financial statements covering all financial activities
of the Indian tribe’s gaming operations;
(4) Internal control standards designed to ensure fiscal integrity of
gaming operations as set forth in 25
CFR Part 542;
(5) Provisions for records retention,
maintenance, and accessibility;
(6) Conduct of games, including patron requirements, posting of game
rules, and hours of operation;
(7) Procedures to protect the integrity of the rules for playing games;
(8) Rules governing employees of the
gaming operation, including code of
conduct, age requirements, conflict of
interest provisions, licensing requirements, and such background investigations of all management officials and
key employees as are required by
IGRA, NIGC regulations, and applicable tribal gaming laws;
(9) Policies and procedures that protect the health and safety of patrons
and employees and that address insurance and liability issues, as well as
safety systems for fire and emergency
services at all gaming locations;
(10) Surveillance procedures and security personnel and systems capable
of monitoring movement of cash and
chips, entrances and exits of gaming facilities, and other critical areas of any
gaming facility;
(11) An administrative and/or tribal
judicial process to resolve disputes between gaming establishment, employees and patrons, including a process to
protect the rights of individuals injured on gaming premises by reason of

956

VerDate Sep<11>2014

12:28 Jun 22, 2023

Jkt 259088

PO 00000

Frm 00966

Fmt 8010

Sfmt 8010

Q:\25\25V1.TXT

PC31

Bureau of Indian Affairs, Interior

§ 291.8

negligence in the operation of the facility;
(12) Hearing procedures for licensing
purposes;
(13) A list of gaming activities proposed to be offered by the Indian tribe
at its gaming facilities;
(14) A description of the location of
proposed gaming facilities;
(15) A copy of the Indian tribe’s liquor ordinance approved by the Secretary if intoxicants, as used in 18
U.S.C. 1154, will be served in the gaming facility;
(16) Provisions for a tribal regulatory
gaming entity, independent of gaming
management;
(17) Provisions for tribal enforcement
and investigatory mechanisms, including the imposition of sanctions, monetary penalties, closure, and an administrative appeal process relating to enforcement and investigatory actions;
(18) The length of time the procedures will remain in effect; and
(19) Any other provisions deemed necessary by the Indian tribe.

§ 291.7 What must the Secretary do if
it has been determined that the Indian tribe is eligible to request
Class III gaming procedures?

§ 291.5 Where must the proposal requesting Class III gaming procedures be filed?

§ 291.8 What must the Secretary do at
the expiration of the 60-day comment period if the State has not
submitted an alternative proposal?

Any proposal requesting Class III
gaming procedures must be filed with
the Director, Indian Gaming Management Staff, Bureau of Indian Affairs,
U.S. Department of the Interior, MS
2070-MIB, 1849 C Street NW, Washington, DC 20240.

sfrattini on LAPCK6H6L3 with DISTILLER

§ 291.6 What must the Secretary do
upon receiving a proposal?
Upon receipt of a proposal requesting
Class III gaming procedures, the Secretary must:
(a) Within 15 days, notify the Indian
tribe in writing that the proposal has
been received, and whether any information required under § 291.4 is missing;
(b) Within 30 days of receiving a complete proposal, notify the Indian tribe
in writing whether the Indian tribe
meets the eligibility requirements in
§ 291.3. The Secretary’s eligibility determination is final for the Department.

(a) If the Secretary determines that
the Indian tribe is eligible to request
Class III gaming procedures and that
the Indian tribe’s proposal is complete,
the Secretary must submit the Indian
tribe’s proposal to the Governor and
the Attorney General of the State
where the gaming is proposed.
(b) The Governor and Attorney General will have 60 days to comment on:
(1) Whether the State is in agreement
with the Indian tribe’s proposal;
(2) Whether the proposal is consistent
with relevant provisions of the laws of
the State;
(3) Whether contemplated gaming activities are permitted in the State for
any purposes, by any person, organization, or entity.
(c) The Secretary will also invite the
State’s Governor and Attorney General
to submit an alternative proposal to
the Indian tribe’s proposed Class III
gaming procedures.

(a) Upon expiration of the 60-day
comment period specified in § 291.7, if
the State has not submitted an alternative proposal, the Secretary must review the Indian tribe’s proposal to determine:
(1) Whether all requirements of § 291.4
are adequately addressed;
(2) Whether Class III gaming activities will be conducted on Indian lands
over which the Indian tribe has jurisdiction;
(3) Whether contemplated gaming activities are permitted in the State for
any purposes by any person, organization, or entity;
(4) Whether the proposal is consistent
with relevant provisions of the laws of
the State;
(5) Whether the proposal is consistent
with the trust obligations of the
United States to the Indian tribe;
(6) Whether the proposal is consistent
with all applicable provisions of IGRA;
and

957

VerDate Sep<11>2014

12:28 Jun 22, 2023

Jkt 259088

PO 00000

Frm 00967

Fmt 8010

Sfmt 8010

Q:\25\25V1.TXT

PC31

§ 291.9

25 CFR Ch. I (4–1–23 Edition)

(7) Whether the proposal is consistent
with provisions of other applicable
Federal laws.
(b) Within 60 days of the expiration of
the 60-day comment period in § 291.7,
the Secretary must notify the Indian
tribe, the Governor, and the Attorney
General of the State in writing that he/
she has:
(1) Approved the proposal if the Secretary determines that there are no objections to the Indian tribe’s proposal;
or
(2) Identified unresolved issues and
areas of disagreements in the proposal,
and invite the Indian tribe, the Governor and the Attorney General to participate in an informal conference,
within 30 days of notification unless
the parties agree otherwise, to resolve
identified unresolved issues and areas
of disagreement.
(c) Within 30 days of the informal
conference, the Secretary must prepare
and mail to the Indian tribe, the Governor and the Attorney General:
(1) A written report that summarizes
the results of the informal conference;
and
(2) A final decision either setting
forth the Secretary’s proposed Class III
gaming procedures for the Indian tribe,
or disapproving the proposal for any of
the reasons in paragraph (a) of this section.

sfrattini on LAPCK6H6L3 with DISTILLER

§ 291.9 What must the Secretary do at
the end of the 60-day comment period if the State offers an alternative proposal for Class III gaming
procedures?
Within 30 days of receiving the
State’s alternative proposal, the Secretary must appoint a mediator who:
(a) Has no official, financial, or personal conflict of interest with respect
to the issues in controversy; and
(b) Must convene a process to resolve
differences between the two proposals.
§ 291.10 What is the role of the mediator appointed by the Secretary?
(a) The mediator must ask the Indian
tribe and the State to submit their last
best proposal for Class III gaming procedures.
(b) After giving the Indian tribe and
the State an opportunity to be heard
and present information supporting
their respective positions, the mediator

must select from the two proposals the
one that best comports with the terms
of IGRA and any other applicable Federal law. The mediator must submit
the proposal selected to the Indian
tribe, the State, and the Secretary.
§ 291.11 What must the Secretary do
upon receiving the proposal selected by the mediator?
Within 60 days of receiving the proposal selected by the mediator, the
Secretary must do one of the following:
(a) Notify the Indian tribe, the Governor and the Attorney General in
writing of his/her decision to approve
the proposal for Class III gaming procedures selected by the mediator; or
(b) Notify the Indian tribe, the Governor and the Attorney General in
writing of his/her decision to disapprove the proposal selected by the
mediator for any of the following reasons:
(1) The requirements of § 291.4 are not
adequately addressed;
(2) Gaming activities would not be
conducted on Indian lands over which
the Indian tribe has jurisdiction;
(3) Contemplated gaming activities
are not permitted in the State for any
purpose by any person, organization, or
entity;
(4) The proposal is not consistent
with relevant provisions of the laws of
the State;
(5) The proposal is not consistent
with the trust obligations of the
United States to the Indian tribe;
(6) The proposal is not consistent
with applicable provisions of IGRA; or
(7) The proposal is not consistent
with provisions of other applicable
Federal laws.
(c) If the Secretary rejects the mediator’s proposal under paragraph (b) of
this section, he/she must prescribe appropriate procedures within 60 days
under which Class III gaming may take
place that comport with the mediator’s
selected proposal as much as possible,
the provisions of IGRA, and the relevant provisions of the laws of the
State.

958

VerDate Sep<11>2014

12:28 Jun 22, 2023

Jkt 259088

PO 00000

Frm 00968

Fmt 8010

Sfmt 8010

Q:\25\25V1.TXT

PC31

Bureau of Indian Affairs, Interior

Pt. 292

§ 291.12 Who will monitor and enforce
tribal compliance with the Class III
gaming procedures?
The Indian tribe and the State may
have an agreement regarding monitoring and enforcement of tribal compliance with the Indian tribe’s Class III
gaming procedures. In addition, under
existing law, the NIGC will monitor
and enforce tribal compliance with the
Indian tribe’s Class III gaming procedures.
§ 291.13 When do Class III gaming procedures for an Indian tribe become
effective?
Upon approval of Class III gaming
procedures for the Indian tribe under
either § 291.8(b), § 291.8(c), or § 291.11(a),
the Indian tribe shall have 90 days in
which to approve and execute the Secretarial procedures and forward its approval and execution to the Secretary,
who shall publish notice of their approval in the FEDERAL REGISTER. The
procedures take effect upon their publication in the FEDERAL REGISTER.
§ 291.14 How can Class III gaming procedures approved by the Secretary
be amended?
An Indian tribe may ask the Secretary to amend approved Class III
gaming procedures by submitting an
amendment proposal to the Secretary.
The Secretary must review the proposal by following the approval process
for initial tribal proposals, except that
the requirements of § 291.3 are not applicable and he/she may waive the requirements of § 291.4 to the extent they
do not apply to the amendment request.
§ 291.15 How long do Class III gaming
procedures remain in effect?
Class III gaming procedures remain
in effect for the duration specified in
the procedures or until amended pursuant to § 291.14.

sfrattini on LAPCK6H6L3 with DISTILLER

PART 292—GAMING ON TRUST
LANDS ACQUIRED AFTER OCTOBER 17, 1988

Sec.
292.1

292.2 How are key terms defined in this
part?

Subpart B—Exceptions to Prohibition on
Gaming on Newly Acquired Lands
292.3 How does a tribe seek an opinion on
whether its newly acquired lands meet,
or will meet, one of the exceptions in
this subpart?
292.4 What criteria must newly acquired
lands meet under the exceptions regarding tribes with and without a reservation?
SETTLEMENT OF A LAND CLAIM’’ EXCEPTION
292.5 When can gaming occur on newly acquired lands under a settlement of a land
claim?
‘‘INITIAL RESERVATION’’ EXCEPTION
292.6 What must be demonstrated to meet
the ‘‘initial reservation’’ exception?
RESTORED LANDS’’ EXCEPTION
292.7 What must be demonstrated to meet
the ‘‘restored lands’’ exception?
292.8 How does a tribe qualify as having
been federally recognized?
292.9 How does a tribe show that it lost its
government-to-government relationship?
292.10 How does a tribe qualify as having
been restored to Federal recognition?
292.11 What are ‘‘restored lands’’?
292.12 How does a tribe establish its connection to newly acquired lands for the purposes of the ‘‘restored lands’’ exception?

Subpart C—Secretarial Determination and
Governor’s Concurrence
292.13 When can a tribe conduct gaming activities on newly acquired lands that do
not qualify under one of the exceptions
in subpart B of this part?
292.14 Where must a tribe file an application
for a Secretarial Determination?
292.15 May a tribe apply for a Secretarial
Determination for lands not yet held in
trust?
APPLICATION CONTENTS
292.16 What must an application for a Secretarial Determination contain?
292.17 How must an application describe the
benefits and impacts of a proposed gaming establishment to the tribe and its
members?
292.18 What information must an application contain on detrimental impacts to
the surrounding community?

Subpart A—General Provisions

CONSULTATION

What is the purpose of this part?

292.19 How will the Regional Director conduct the consultation process?

959

VerDate Sep<11>2014

12:28 Jun 22, 2023

Jkt 259088

PO 00000

Frm 00969

Fmt 8010

Sfmt 8010

Q:\25\25V1.TXT

PC31