Submission of Information Collections Under the Paperwork Reduction Act, 37090-37093 [2023-11368]

Agencies

• DEPARTMENT OF THE INTERIOR
• National Indian Gaming Commission

[Federal Register Volume 88, Number 108 (Tuesday, June 6, 2023)]
[Notices]
[Pages 37090-37093]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-11368]


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DEPARTMENT OF THE INTERIOR

National Indian Gaming Commission


Submission of Information Collections Under the Paperwork 
Reduction Act

AGENCY: National Indian Gaming Commission, Interior.

ACTION: Second notice and 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 announcing 
its submission, concurrently with the publication of this notice or 
soon thereafter, of the following information collection requests to 
the Office of Management and Budget (OMB) for review and approval. The 
Commission is seeking comments on the renewal of information 
collections for the following activities: compliance and enforcement 
actions under the Indian Gaming Regulatory Act as authorized by OMB 
Control Number 3141-0001; tribal gaming ordinance approvals, background 
investigations, and issuance of licenses as authorized by OMB Control 
Number 3141-0003; National Environmental Policy Act submissions as 
authorized by OMB Control Number 3141-0006; and issuance to tribes of 
certificates of self-regulation for class II gaming as authorized by 
OMB Control Number 3141-0008. These information collections expire on 
June 30, 2023, with the exception of OMB Control Number 3141-000, which 
expires on May 31, 2023.

DATES: The OMB has up to 60 days to approve or disapprove the 
information collection requests, but may respond after 30 days. 
Therefore, public comments should be submitted to OMB by no later than 
July 6, 2023 in order to be assured of consideration.

ADDRESSES: Submit comments directly to OMB's Office of Information and 
Regulatory Affairs, Attn: Policy Analyst/Desk Officer for the National 
Indian Gaming Commission. Comments can also be emailed to 
[email protected], include reference to ``NIGC PRA Renewals'' 
in the subject line.

FOR FURTHER INFORMATION CONTACT: For further information, including 
copies of the proposed collections of information and supporting 
documentation, contact Tim Osumi by email at [email protected], or by 
telephone at (202) 632-7054; or by at fax (202) 632-7066 (not toll-free 
numbers). You may also review these information collection requests by 
going to <https://www.reginfo.gov> (Information Collection Review, 
Currently Under Review, Agency: National Indian Gaming Commission).

SUPPLEMENTARY INFORMATION: 

I. Abstract

    The gathering of this information is in keeping with the purposes 
of the Indian Gaming Regulatory Act of 1988 (IGRA or the Act), Public 
Law 100-497, 25 U.S.C. 2701, et seq., which 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 the 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. The Act 
established the Commission and laid out a comprehensive framework for 
the regulation of gaming on Indian lands.

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 class II 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

[[Page 37091]]

Federal Regulations, implements these statutory requirements.
    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, one 
notification 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, at 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 and 519.2 require a tribe, management contractor, 
and a tribal operator to designate an agent for service of process, and 
Sec.  522.2(g) requires it to be submitted by written notification to 
the Commission. 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

[[Page 37092]]

related to gaming, whether or not such license or permit was granted; 
(viii) for 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 some cases, this may 
be memorialized in a Supplemental Information Report. 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 contractors.
    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 
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

[[Page 37093]]

prosecution. 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 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: One per year.
    Estimated Total Annual Burden Hours on Respondents: 257.
    Estimated Total Non-Hour Cost Burden: $203,825.

III. Request for Comments

    Regulations at 5 CFR part 1320, which implement provisions of the 
Paperwork Reduction Act, require that interested members of the public 
have an opportunity to comment on an agency's information collection 
and recordkeeping activities. See 5 CFR 1320.8(d). To comply with the 
public consultation process, the Commission previously published its 
60-day notice of its intent to submit the above-mentioned information 
collection requests to OMB for approval. See 88 FR 20182 (April 5, 
2023). The Commission did not receive any comments in response to that 
notice and request for comments.
    The Commission will submit the preceding requests to OMB to renew 
its approval of the information collections. The Commission is 
requesting a three-year term of approval for each of these information 
collection and recordkeeping activities.
    You are again 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 cost) 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.
    If you wish to comment in response to this notice, you may send 
your comments to the office listed under the ADDRESSES section of this 
notice by July 6, 2023.
    Comments submitted in response to this second notice will be 
summarized and become a matter of public record. The NIGC will not 
request nor sponsor a collection of information, and you need not 
respond to such a request, if there is no valid OMB Control Number.

    Dated: May 23, 2023.
Christinia Thomas,
Deputy Chief of Staff.
[FR Doc. 2023-11368 Filed 6-5-23; 8:45 am]
BILLING CODE 7565-01-P