Notice2023-06288
Renewals of Information Collections Under the Paperwork Reduction Act
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
April 5, 2023
Issuing agencies
Interior DepartmentNational Indian Gaming Commission
Abstract
In compliance with the Paperwork Reduction Act of 1995, the National Indian Gaming Commission (NIGC or Commission) is seeking comments on the renewal of information collections. See SUPPLEMENTARY INFORMATION for the list of activities. These information collections expire on June 30, 2023 except for OMB Control Number 3141-0003, which expires on May 31, 2023.
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<title>Federal Register, Volume 88 Issue 65 (Wednesday, April 5, 2023)</title>
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[Federal Register Volume 88, Number 65 (Wednesday, April 5, 2023)]
[Notices]
[Pages 20182-20185]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-06288]
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DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission
Renewals of Information Collections Under the Paperwork Reduction
Act
AGENCY: National Indian Gaming Commission, Interior.
ACTION: Notice of request for comments.
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SUMMARY: In compliance with the Paperwork Reduction Act of 1995, the
National Indian Gaming Commission (NIGC or Commission) is seeking
comments on the renewal of information collections. See SUPPLEMENTARY
INFORMATION for the list of activities. These information collections
expire on June 30, 2023 except for OMB Control Number 3141-0003, which
expires on May 31, 2023.
DATES: Submit comments on or before June 5, 2023.
ADDRESSES: Comments can be mailed, faxed, or emailed to the attention
of: Tim Osumi, National Indian Gaming Commission, 1849 C Street NW, MS
1621, Washington, DC 20240. Comments may be faxed to (202) 632-7066,
and may be sent electronically to <a href="/cdn-cgi/l/email-protection#adc4c3cbc2edc3c4cace83cac2db"><span class="__cf_email__" data-cfemail="244d4a424b644a4d43470a434b52">[email protected]</span></a>, subject: PRA renewals.
FOR FURTHER INFORMATION CONTACT: Tim Osumi at (202) 264-0676; fax (202)
632-7066 (not toll-free numbers).
SUPPLEMENTARY INFORMATION: We are seeking comments on the renewal of
information collections for the following activities: (i) compliance
and enforcement actions under the Indian Gaming Regulatory Act, as
authorized by Office of Management and Budget (OMB) Control Number
3141-0001; (ii) approval of tribal ordinances, and background
investigation and issuance of licenses, as authorized by OMB Control
Number 3141-0003; (iii) National Environmental Policy Act submissions,
as authorized by OMB Control Number 3141-0006; and (iv) issuance to
tribes of certificates of self-regulation for Class II gaming, as
authorized by OMB Control Number 3141-0008.
I. Request for Comments
You are invited to comment on these collections concerning: (i)
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; (ii) the accuracy of the
agency's estimates of the burdens (including the hours and dollar
costs) of the proposed collections of information, including the
validity of the methodologies and assumptions used; (iii) ways to
enhance the quality, utility, and clarity of the information to be
collected; (iv) ways to minimize the burdens of the information
collections on those who are to respond, including through the use of
appropriate automated, electronic, mechanical, or other collection
techniques or forms of information technology. Please note that an
agency may not conduct or sponsor, and an individual need not respond
to, a collection of information unless it has a valid OMB Control
Number.
It is the Commission's policy to make all comments available to the
public for review at the location listed in the ADDRESSES section.
Before including your address, phone number, email address, or other
personally identifiable information (PII) in your comment, you should
be aware that your entire comment--including your PII--may be made
publicly available at any time. While you may ask in your comment that
the Commission withhold your PII from public review, the Commission
cannot guarantee that it will be able to do so.
II. Data
Title: Indian Gaming Compliance and Enforcement.
OMB Control Number: 3141-0001.
Brief Description of Collection: Although IGRA places primary
responsibility with the tribes for regulating their gaming activities,
25 U.S.C. 2706(b) directs the Commission to monitor gaming conducted on
Indian lands on a continuing basis. Amongst other actions necessary to
carry out the Commission's statutory duties, the Act authorizes the
Commission to access and inspect all papers, books, and records
relating to gross revenues of a gaming operation. The Act also requires
tribes to provide the Commission with annual independent audits of
their gaming operations, including audits of all contracts in excess of
$25,000. 25 U.S.C. 2710(b)(2)(C), (D); 2710(d)(1)(A)(ii). The Act also
authorizes the Commission to ``promulgate such regulations and
guidelines as it deems appropriate to implement'' IGRA. 25 U.S.C.
2706(b)(10). Part 571 of title 25, Code of Federal Regulations,
implements these statutory requirements.
[[Page 20183]]
Section 571.7(a) requires Indian gaming operations to keep/maintain
permanent books of account and records sufficient to establish the
amount of gross and net income, deductions and expenses, receipts and
disbursements, and other relevant financial information. Section
571.7(c) requires that these records be kept for at least five years.
Under Sec. 571.7(b), the Commission may require a gaming operation to
submit statements, reports, accountings, and specific records that will
enable the NIGC to determine whether or not such operation is liable
for fees payable to the Commission (and in what amount). Section
571.7(d) requires a gaming operation to keep copies of all enforcement
actions that a tribe or a state has taken against the operation.
Section 571.12 requires tribes to prepare comparative financial
statements covering all financial activities of each class II and class
III gaming operation on the tribe's Indian lands, and to engage an
independent certified public accountant to provide an annual audit of
the financial statements of each gaming operation. Section 571.13
requires tribes to prepare and submit to the Commission two paper
copies or one electronic copy of the financial statements and audits,
together with management letter(s) and other documented auditor
communications and/or reports as a result of the audit, setting forth
the results of each fiscal year. The submission must be sent to the
Commission within 120 days after the end of the fiscal year of each
gaming operation, including when a gaming operation changes its fiscal
year or when gaming ceases to operate. Section 571.14 requires tribes
to reconcile quarterly fee reports with audited financial statements
and to keep/maintain this information to be available to the NIGC upon
request in order to facilitate the performance of compliance audits.
This information collection is mandatory and allows the Commission
to fulfill its statutory responsibilities under IGRA to regulate gaming
on Indian lands.
Respondents: Indian tribal gaming operations.
Estimated Number of Respondents: 720.
Estimated Annual Responses: 1,440.
Estimated Time per Response: Depending on the type of information
collection, the range of time can vary from 4 burden hours to 476
burden hours for one item.
Frequency of Responses: Depending on the type of information
collection, it can be quarterly or annually.
Estimated Total Annual Burden Hours on Respondents: 126,720.
Estimated Total Non-hour Cost Burden: $38,376,960.
Title: Approval of Class II and Class III Ordinances, Background
Investigations, and Gaming Licenses.
OMB Control Number: 3141-0003.
Brief Description of Collection: The Act sets standards for the
regulation of gaming on Indian lands, including requirements for the
approval or disapproval of tribal gaming ordinances. Specifically,
Sec. 2705(a)(3) requires the NIGC Chair to review all class II and
class III tribal gaming ordinances. Section 2710 sets forth the
specific requirements for the tribal gaming ordinances, including the
requirement that there be adequate systems in place: to cause
background investigations to be conducted on individuals in key
employee and primary management official (PMO) positions (Sec.
2710(b)(2)(F)(i)); and to provide two prompt notifications to the
Commission, including one containing the results of the background
investigations before the issuance of any gaming licenses, and the
other one of the issuance of such gaming licenses to key employees and
PMOs (Sec. 2710(b)(2)(F)(ii)). In addition, Sec. 2710(d)(2)(D)(ii)
requires tribes who have, in their sole discretion, revoked any prior
class III ordinance or resolution to submit a notice of such revocation
to the NIGC Chair. The Act also authorizes the Commission to
``promulgate such regulations and guidelines as it deems appropriate to
implement'' IGRA. 25 U.S.C. 2706(b)(10). Parts 519, 522, 556, and 558
of title 25, Code of Federal Regulations, implement these statutory
requirements.
Sections 519.1, 522.2(f) and 519.2 require a tribe, management
contractor, and a tribal operator to designate an agent for service of
process. Section 522.2(a) requires a tribe to submit a copy of an
ordinance or resolution certified as authentic, and that meets the
approval requirements in 25 CFR 522.5(b) or 522.7. Sections 522.11 and
522.12 require tribes to submit, respectively, an ordinance for the
licensing of individually owned gaming operations other than those
operating on September 1, 1986, and for the licensing of individually
owned gaming operations operating on September 1, 1986. Section
522.3(a) requires a tribe to submit an amendment to an ordinance or
resolution within 15 days after adoption of such amendment.
Section 522.2(b)-(h) requires tribes to submit to the Commission:
(i) A copy of the procedures to conduct or cause to be conducted
background investigations on key employees and primary management
officials and to ensure that key employees and primary management
officials are notified of their rights under the Privacy Act; (ii) a
copy of the procedures to issue tribal licenses to primary management
officials and key employees; (iii) When an ordinance or resolution
concerns class III gaming, a copy of any approved tribal-state compact
or class III procedures as prescribed by the Secretary that are in
effect at the time the ordinance or amendment is passed; (iv) A copy of
the procedures for resolving disputes between the gaming public and the
tribe or the management contractor; (v) Identification of the entity
that will take fingerprints and a copy of the procedures for conducting
a criminal history check. Such a criminal history check shall include a
check of criminal history records information maintained by the Federal
Bureau of Investigation; and (vi) Indian lands or tribal gaming
regulations or environmental and public health and safety documentation
that the Chair may request in the Chair's discretion. Section 522.3(a)
requires a tribe to submit any amendment to these submissions within 15
days after adoption of such amendment. Section 522.13(a) requires a
tribe to submit to the Commission a copy of an authentic ordinance
revocation or resolution.
Section 556.4 requires tribes to mandate the submission of the
following information from applicants for key employee and PMO
positions: (i) full name, other names used (oral or written), social
security number(s), birth date, place of birth, citizenship, gender,
all languages (spoken or written); (ii) currently and for the previous
five years: Business and employment positions held, ownership interests
in those businesses, business and residence addresses, and driver's
license numbers; (iii) the names and current addresses of at least
three personal references; (iv) current business and personal telephone
numbers; (v) a description of any existing and previous business
relationships with Indian tribes, including ownership interests in
those businesses; (vi) a description of any existing and previous
business relationships with the gaming industry generally, including
ownership interests in those businesses; (vii) the name and address of
any licensing or regulatory agency with which the person has filed an
application for a license or permit related to gaming, whether or not
such license or permit was granted; (viii) for
[[Page 20184]]
each felony for which there is an ongoing prosecution or a conviction,
the charge, the name and address of the court involved, and the date
and disposition if any; (ix) for each misdemeanor conviction or ongoing
misdemeanor prosecution (excluding minor traffic violations) within 10
years of the date of the application, the name and address of the court
involved and the date and disposition; (x) for each criminal charge in
the past 10 years that is not otherwise listed, the criminal charge,
the name and address of the court, and the date and disposition; (xi)
the name and address of any licensing or regulatory agency with which
the person has filed an application for an occupational license or
permit, whether or not such license or permit was granted; (xii) a
photograph; and (xiii) fingerprints. Sections 556.2 and 556.3,
respectively, require tribes to place a specific Privacy Act notice on
their key employee and PMO applications, and to warn applicants
regarding the penalty for false statements by also placing a specific
false statement notice on their applications.
Sections 556.6(a) and 558.3(e) require tribes to keep/maintain the
individuals' complete application files, investigative reports, and
eligibility determinations during their employment and for at least
three years after termination of their employment. Section 556.6(b)(1)
requires tribes to create and maintain an investigative report on each
background investigation that includes: (i) the steps taken in
conducting a background investigation; (ii) the results obtained; (iii)
the conclusions reached; and (iv) the basis for those conclusions.
Section 556.6(b)(2) requires tribes to submit, no later than 60 days
after an applicant begins work, a notice of results of the applicant's
background investigation that includes: (i) the applicant's name, date
of birth, and Social Security number; (ii) the date on which the
applicant began or will begin work as a key employee or PMO; (iii) a
summary of the information presented in the investigative report; and
(iv) a copy of the eligibility determination.
Section 558.3(b) requires a tribe to notify the Commission of the
issuance of PMO and key employee licenses within 30 days after such
issuance. Section 558.3(d) requires a tribe to notify the Commission if
the tribe does not issue a license to an applicant, and requires it to
forward copies of its eligibility determination and notice of results
to the Commission for inclusion in the Indian Gaming Individuals Record
System. Section 558.4(e) requires a tribe, after a gaming license
revocation hearing, to notify the Commission of its decision to revoke
or reinstate a gaming license within 45 days of receiving notification
from the Commission that a specific individual in a PMO or key employee
position is not eligible for continued employment.
These information collections are mandatory and allow the
Commission to carry out its statutory duties.
Respondents: Indian tribal gaming operations.
Estimated Number of Respondents: 1,524.
Estimated Annual Responses: 225,484.
Estimated Time per Response: Depending on the type of information
collection, the range of time can vary from 0.7 burden hour to 23
burden hours for one item.
Frequency of Response: Varies.
Estimated Total Annual Burden Hours on Respondents: 489,089.
Estimated Total Non-hour Cost Burden: $3,264,177.
Title: NEPA Compliance.
OMB Control Number: 3141-0006.
Brief Description of Collection: The National Environmental Policy
Act (NEPA), 42 U.S.C. 4321, et seq., and the Council on Environmental
Quality's (CEQ) implementing regulations, require federal agencies to
prepare (or cause to be prepared) environmental documents for agency
actions that may have a significant impact on the environment. Under
NEPA, an Environmental Assessment (EA) must be prepared when the agency
action cannot be categorically excluded, or the environmental
consequences of the agency action will not result in a significant
impact or the environmental impacts are unclear and need to be further
defined. An Environmental Impact Statement (EIS) must be prepared when
the agency action will likely result in significant impacts to the
environment.
Amongst other actions necessary to carry out the Commission's
statutory duties, the Act requires the NIGC Chair to review and approve
third-party management contracts that involve the operation of tribal
gaming facilities. 25 U.S.C. 2711. The Commission has taken the
position that the NEPA process is triggered when a tribe and a
potential contractor seek approval of a management contract. Normally,
an EA or EIS and its supporting documents are prepared by an
environmental consulting firm and submitted to the Commission by the
tribe. In the case of an EA, the Commission independently evaluates the
NEPA document, verifies its content, and assumes responsibility for the
accuracy of the information contained therein. In the case of an EIS,
the Commission directs and is responsible for the preparation of the
NEPA document, but the tribe or potential contractor is responsible for
paying for the preparation of the document. The information collected
includes, but is not limited to, maps, charts, technical studies,
correspondence from other agencies (federal, tribal, state, and local),
and comments from the public. These information collections are
mandatory and allow the Commission to carry out its statutory duties.
Respondents: Tribal governing bodies, management companies.
Estimated Number of Respondents: 3.
Estimated Annual Responses: 3.
Estimated Time per Response: Depending on whether the response is
an EA or an EIS, the range of time can vary from 2 burden hours to 16.0
burden hours for one item.
Frequency of Response: Varies.
Estimated Total Annual Burden Hours on Respondents: 20.5.
Estimated Total Non-hour Cost Burden: $494,132.
Title: Issuance of Certificates of Self-Regulation to Tribes for
Class II Gaming.
OMB Control Number: 3141-0008.
Brief Description of Collection: The Act sets the standards for the
regulation of Indian gaming, including a framework for the issuance of
certificates of self-regulation for class II gaming operations to
tribes that meet certain qualifications. Specifically, 25 U.S.C.
2710(c) authorizes the Commission to issue a certificate of self-
regulation if it determines that a tribe has: (i) conducted its gaming
activity in a manner that has resulted in an effective and honest
accounting of all revenues and a reputation for safe, fair, and honest
operation of the activity, and has been generally free of evidence of
criminal or dishonest activity; (ii) conducted its gaming operation on
a fiscally and economically sound basis; (iii) conducted its gaming
activity in compliance with the IGRA, NIGC regulations and the tribe's
gaming ordinance and gaming regulations; (iv) adopted and is
implementing adequate systems for the accounting of all revenues from
the gaming activity, for the investigation, licensing, and monitoring
of all employees of the gaming activity, for the investigation,
enforcement, and prosecution of violations of its gaming ordinance and
regulations, and for the prosecution of criminal or dishonest activity
or referring of such activity for prosecution. The Act also authorizes
the Commission to ``promulgate such regulations and guidelines as it
deems appropriate to implement'' IGRA. 25
[[Page 20185]]
U.S.C. 2706(b)(10). Part 518 of title 25, Code of Federal Regulations,
implements these statutory requirements.
Section 518.3(e) requires a tribe's gaming operation(s) and the
tribal regulatory body (TRB) to have kept all records needed to support
the petition for self-regulation for the three years immediately
preceding the date of the petition submission. Section 518.4 requires a
tribe petitioning for a certificate of self-regulation to submit the
following to the Commission, accompanied by supporting documentation:
(i) two copies of a petition for self-regulation approved by the tribal
governing body and certified as authentic; (ii) a description of how
the tribe meets the eligibility criteria in Sec. 518.3; (iii) a brief
history of each gaming operation, including the opening dates and
periods of voluntary or involuntary closure(s); (iv) a TRB
organizational chart; (v) a brief description of the criteria that
individuals must meet before being eligible for employment as a tribal
regulator; (vi) a brief description of the process by which the TRB is
funded, and the funding level for the three years immediately preceding
the date of the petition; (vii) a list of the current regulators and
TRB employees, their complete resumes, their titles, the dates that
they began employment, and if serving limited terms, the expiration
date of such terms; (viii) a brief description of the accounting
system(s) at the gaming operation that tracks the flow of the gaming
revenues; (ix) a list of the gaming activity internal controls at the
gaming operation(s); (x) a description of the recordkeeping system(s)
for all investigations, enforcement actions, and prosecutions of
violations of the tribal gaming ordinance or regulations, for the
three-year period immediately preceding the date of the petition; and
(xi) the tribe's current set of gaming regulations, if not included in
the approved tribal gaming ordinance. Section 518.10 requires each
Indian gaming tribe that has been issued a certificate of self-
regulation to submit to the Commission the following information by
April 15th of each year following the first year of self-regulation, or
within 120 days after the end of each gaming operation's fiscal year:
(i) an annual independent audit; and (ii) a complete resume for all TRB
employees hired and licensed by the tribe subsequent to its receipt of
a certificate of self-regulation.
Submission of the petition and supporting documentation is
voluntary. Once a certificate of self-regulation has been issued, the
submission of certain other information is mandatory.
Respondents: Tribal governments.
Estimated Number of Respondents: 11.
Estimated Annual Responses: 11.
Estimated Time per Response: Depending on the information
collection, the range of time can vary from 1 burden hour to 202 burden
hours for one item.
Frequency of Responses: Annually.
Estimated Total Annual Burden Hours on Respondents: 257.
Estimated Total Non-hour Cost Burden: $203,825.
Dated: March 22, 2023.
Christinia Thomas,
Deputy Chief of Staff.
[FR Doc. 2023-06288 Filed 4-4-23; 8:45 am]
BILLING CODE 7565-01-P
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