COVID-19 

Frequently Asked Questions

Last Updated: May 5, 2020

The NIGC Division of Compliance maintains this list of Frequently Asked Questions in consultation with 

the NIGC’s Office of General Counsel and the Agency’s Commission. This collection of FAQs is updated as 

needed. Please check the latest update of these FAQ and review each question as new information may 

have been added. To propose a question for this FAQs list, please coordinate with a Tribal Gaming 

Regulatory Authority (TGRA).

The NIGC encourages all TGRAs to remain in close communication with their NIGC Region Office as 

Indian gaming facilities across Indian Country address the risks associated with the Coronavirus 

disease 2019 (COVID-19). It is equally important for tribes, their gaming operation(s) and the TGRA to 

remain in close contact with each other as each body plans for each of the stages discussed below. 

The time periods discussed below with regards to submission deadlines will continue to be 

reexamined should closures continue beyond deadlines or the specific number of days provided for 

in this version of the FAQ.

To view “Dear Tribal Leader” letters and other information pertaining to COVID-19, please visit our 

website at www.nigc.gov.

General 

1. Question: How many tribally licensed gaming facilities have temporarily closed in response to 

COVID-19?

Answer: 526 tribal gaming facilities have suspended operations. Every closure decision has 

been based on local-level tribal assessments. The NIGC continues to support local 

government coordination and promotes the resources and guidance available at 

www.CDC.gov.

Remaining Open

2. Question: What are the staffing concerns for TGRAs and gaming operations should they choose 

to remain open? 

Answer: The TGRA should continually assess critical positions such as surveillance, gaming 

inspectors, and compliance officers to ensure regulatory duties are being upheld. Should the 
casino remain operational, both the casino and TGRA must ensure enough staffing to remain 

compliant with NIGC MICS, TICS, SICS, Compacts and other applicable regulatory requirements. 

A review of critical positions should be made to determine adequate coverage of the gaming 

operation. Consideration should be made for positions in surveillance, security, cage, count and 

drop, and various management positions needed for signature and approval authority to ensure 

internal control. 

3. Question: What is the NIGC’s recommendation for when the COVID-19 virus creates staffing 

issues for the TGRA and reduces its ability to fulfill the TGRA’S regulatory responsibilities under 

IGRA and the Tribe’s Gaming Regulatory Act? 

Answer: If a TGRA believes that it cannot fulfill its regulatory responsibilities or attest to its 

ability to ensure the public health and safety of employees and patrons or if application of tribal 

laws warrants, the TGRA must consider suspending gaming operations.

Pre-Closing

4. Question: What are the notification requirements for closing a facility? 

Answer: The NIGC encourages tribes to self-report temporary closures to the NIGC as soon as 

possible. Under 25 C.F.R. Part 559, notice for closing should be submitted to NIGC within 30 

days of closing if the tribe anticipates being closed for more than 180 days. However, the NIGC is 

asking that TGRAs report closures within 72 hours for tracking purposes along with the date the 

tribe anticipates reopening. NIGC asks that the TGRA keep in contact with NIGC through their 

Region Office and inform them of any changes with the plan to reopen. 

5. Question: What does the NIGC do if it learns that there are plans to close a tribally licensed 

gaming facility?

Answer: As tribal law makers, tribal gaming regulatory bodies, and/or gaming operators decide 

to temporarily close a licensed facility based on their local on-the-ground assessments, the NIGC 

Region Offices will continue to have a presence. As referenced in the March 16, 2020 Dear Tribal 

Leader letter, NIGC Region Directors have received a two-step protocol from the NIGC Director 

of Compliance. The protocol will help the NIGC maintain an appropriate presence and facilitate 

support for a tribal community based on local circumstances. 

6. Question: What considerations should a TGRA account for when securing and adequately 

protecting casino assets in the event that it becomes necessary to evacuate a casino with little 

forewarning and very little time to secure casino assets, such as monetary instruments and 

gaming instruments?

Answer: The TGRA, in coordination with casino management, should prepare for situations that 

would require expedited evacuation of the gaming facility. Plans should include transferring 

monetary instruments to the vault for security reasons. The Minimum Internal Control 
Standards found in NIGC regulations 25 C.F.R. Section 543.18(c)(4) requires the count of the 

cage and vault inventories by at least two employees with signatures attesting to the counts. 

Should the gaming operation close, this standard would be effective at the time of closure. 

Upon reopening, the cage and vault inventories would then be recounted and verified against 

the previous closing balances, with special emphasis and investigations placed on any variances 

between the two counts. The tribe and casino should consider transferring the cage and vault 

cash inventories to their financial institution as that would be considered the most secure

option.

7. Question: What guidelines can the NIGC provide in the case of mandatory partial evacuations

within the casino, but not a facility-wide closure, such as the following: 

a. Example: The evacuation and sterilization of the casino surveillance room.

Answer: Surveillance functions are critical to regulation and monitoring of assets. If the 

TGRA or gaming operation cannot properly regulate and monitor assets, the TGRA 

and/or gaming operation should consider what steps would best remedy the threat to 

assets, up to and including closure.

b. Example: The evacuation and sterilization of the casino cash cage, soft count, slot tech 

department, or other mission critical departments.

Answer: The TGRA in coordination with the gaming operation should evaluate the 

adequacy of regulating, monitoring, or securing assets. Should there be threats that 

compromise the proper security and monitoring of assets, the TGRA should consider if it 

is appropriate to issue a temporary closure order. 

8. Question: Can gaming operations refuse service or entry to patrons? 

Answer: The TGRA should consult with its legal counsel to identify specific ordinances, codes, 

regulations and other authoritative documents (such as a tribe’s declarations of emergency, 

executive orders or resolutions) that explain any limits on the tribe’s authority to determine 

who enters and remains on its Indian lands. 

9. Question: What are some important considerations when clearing the casino floor?

Answer: The TGRA should coordinate with the gaming operation’s management when removing 

all patrons and unauthorized employees from the facility. Developing a matrix or authorized 

access listing to the facility during the closure is recommended. Coordinate with IT for possible 

disabling of non-essential’s logical access during closure. Procedures should be in place for 

monitoring VPN/remote access for vendors and authorized employees. Consider disabling all 

machines from play during the closure. Prior to disabling, a snap shot of all meters and in-house 

progressives should be obtained and provided to TGRA and accounting. Consider performing 
emergency drop procedures and ensure all funds are properly secure (e.g. vault). All monetary 

instruments should be properly secured and may be best secured by transferring to the vault. 

The tribe and casino may consider transferring the cage and vault cash inventories to their 

financial institution as that would be considered the most secure option. Casino management 

may want to consult with vendors with whom they have lease participation agreements. 

Consider that potential issues regarding adjustments to participation fees may arise. 

During Closure 

10. Question: What Information Technology (IT) concerns should a TGRA consider during a 

temporary closure? 

Answer: The TGRA in coordination with the gaming operation should ensure that NIGC MICS 

along with TICS and SICS are followed as a tribe closes its gaming operation. This would include 

but not be limited to, having back-ups in place with frequent saving of information and testing 

to ensure back-up systems are functioning properly. In terms of logical access, TGRAs should 

follow TICS and SICS surrounding access levels and who is required to have access. This requires 

TGRAs to review access lists and logs that will assist in terminating any non-essential access. 

VPN access should also follow MICS, TICS and SICS guidelines, however reviewing those licenses 

that will require essential access should occur. If there is a need for temporary VPN access, 

when operations are restored remove all temporary access. Avoid using any "bring your own 

device" (BYOD) if possible, however if BYOD cannot be avoided have those devices vetted to 

diminish any risks for the operations. Lastly, consideration may be appropriate for adding an 

additional IT Administrative access-user to the IT remote user access group for redundancy. 

The TGRA should consider requesting and reviewing user-access logs, network security logs and 

remote vendor access. User-Access logs indicate who is logging in and out of the organizational 

network and domain. Network security logs help identify penetration attempts including any

unauthorized access into the network. It is recommended that remote vendor access should be 

logically locked out and deactivated while gaming systems and machines are not in use. Most of 

these activity records can be found in any work order/job order as a record of which vendors 

may have retained network access. TGRAs should consider reviewing and monitoring accounting 

systems and back of the house system access logs and reports for changes in financial data or 

player account activity (e.g. manual point adjustments) while the casino was closed. 

11. Question: What are some important surveillance considerations during a closure?

Answer: The TGRA and gaming operation management should ensure cameras are positioned to 

monitor and record all sensitive areas including cash, cash equivalents, gaming supplies, exits 

and entrances. Also, the TGRA and gaming operation management should ensure surveillance 

systems’ recordings are being backed-up and tested to be certain systems are working properly. 

Surveillance functions are critical to regulating and monitoring of assets. If the TGRA or gaming 
operation believes that it cannot properly regulate gaming operations and monitor assets, the 

TGRA and/or gaming operation should consider how best to remedy the threat by taking 

additional steps during the closure.

12. Question: What level of tribal gaming commission and casino oversight is required by the 

NIGC for suspended casino operations? At what point does the Gaming Commission fall 

below required regulatory minimums, and what is the NIGC’s guidance when circumstances 

related to the COVID-19 pandemic cause the TGRA personnel and resources to drop below 

minimums? 

Answer: NIGC MICS do not require specific staffing levels while gaming operations are 

suspended. However, the TGRA and casino management should review TICS and SICS and make 

appropriate adjustments while gaming operations are suspended. It is recommended that 

surveillance and security oversight be maintained to monitor assets. TGRAs should evaluate any 

ongoing investigations, compliance reviews, audits, patron disputes, etc. and determine what 

matters and tasks can continue to be pursued and performed during the closure. If a TGRA 

believes that it cannot attest that the facility can be reopened and operated in a manner that 

protects the public health and safety of employees and patrons, or if application of tribal laws 

warrants, the TGRA must consider how to best take mitigation steps that will remedy the threat 

to public health and safety up to and including continued closure.

13. Question: What are NIGC’s suggested guidelines when the TGRA office becomes inaccessible for 

an extended period of time due to COVID-19 contamination, or when a state of emergency is 

declared and travel restrictions are imposed in the region where the office is located, preventing 

access to stored CJIS information and licensing department equipment (scanners, fingerprint 

equipment, etc.)?

Answer: Security for background investigation files and FBI CHRI should be maintained in 

accordance with the CJIS Security Policy and the TGRAs internal policies. See question #16.c for 

additional information regarding licensing and submissions. 

14. Question: Can the TGRA waive receipt of required periodic gaming and financial audit reports 

where gaming operations have been suspended?

Answer: Yes. The TGRA and Casino should assess their TICS and SICS to determine what 

reporting requirements remain in effect during a temporary closure. NIGC encourages the TGRA 

to identify what reports are necessary during closure and suspend those that would only be 

required while open. In particular, it is likely appropriate to maintain reports related to 

surveillance equipment malfunction and security incident reports per tribal regulatory 

requirements even during a temporary closure.

15. Question: Can tribes use casino equipment, staff or property to meet or fulfill emergency needs 

during closure? 
Answer: Yes. Tribes, like other governments, can declare an emergency and direct that casino 

equipment, staff or property be used for emergency purposes to meet or fulfill its needs during 

the COVID-19 Pandemic crisis. The NIGC recommends that such an order clearly state that the 

tribe is repurposing the gaming facility and specify the stated emergency purpose(s). Prior to 

reopening the gaming facility, the TGRA must ensure the facility meets all EPHS standards for a 

gaming facility. 

NIGC Submissions and Deadlines

16. Question: Will the NIGC adjust deadlines or grant any extensions for required submissions such 

as fees, contracts, licensing, Audited Financial Statements and Agreed Upon Procedure reports?

Answer: IGRA and NIGC regulations do not provide for extension to the statutory and regulatory 

deadlines. In instances where the tribe has provided written notice to the NIGC through their 

NIGC Region Office that its licensed gaming facility has closed, the NIGC Division of Compliance 

will remain in close communication with the TGRA if it is necessary to make recommendations 

for enforcement to the Chairman. This communication will help the Division of Compliance 

provide context in any recommendation in light of the Chairman’s March 20, 2020

memorandum. That memorandum modifies the Compliance Division’s enforcement focus. The 

Chairman has conveyed to the NIGC Division of Compliance that the Commission is considering 

its options for implementing easing measures for Indian gaming operations during this national 

mitigation effort. Please remain in close communication with the NIGC with regard to the below 

requirements in order to assist with the Commission’s assessment of any future measures.

a. Fees and Worksheets

i. As required by 25 C.F.R. § 514, Fees and Worksheets are due three (3) months, 

six (6) months, nine (9) months, and twelve (12) months of the end of the 

gaming operation's fiscal year. For example, if the operation’s fiscal year end is 

December 31, 2019, fees will be due on or before March 31, 2020, June 30, 

2020, September 30, 2020 and December 31, 2020. 

ii. According to 25 C.F.R. § 514.9, fees that are not submitted when due are 

considered late until they are 90 days past due, after which the NIGC considers 

the fees as not submitted, rather than late.

iii. The Compliance Division will not recommend late fee assessmentsfor

payments made within 90 days of the regulatory deadline.

iv. NIGC encourages tribes to submit payments using the on-line process at 

pay.gov. Learn more about pay.gov and other fee related information at 

https://www.nigc.gov/finance/Annual-fees. You can submit additional inquiries 

to: fee_questions@nigc.gov
v. If the NIGC does not receive a quarterly fee payment when due, the Compliance

Division may contact the tribe/TGRA/operation(s) to confirm payment status 

and to inquire about the tribe’s anticipated payment date, if available. 

b. Fingerprint Fee Statements

i. As required by 25 C.F.R. § 514, the current fingerprint card bill rate is $22.00, 

billed monthly and due within forty-five (45) days of the date of the bill.

ii. Payment made after reopening or staff returning to work but no later than 30 

days from the date of the missed fingerprint fee statement due date will not be 

scrutinized. You can submit additional inquiriesto: fingerprint_billing@nigc.gov

c. Licensing Submissions:

i. Currently there are three required key employee and primary management 

official licensing requirements under 25 C.F.R. Parts 556 and 558. Under 25 

C.F.R. Part 556.6 a Notice of Results (NOR) is due to the NIGC region office 

within sixty (60) days after an applicant begins work. Additionally, as required by 

25 C.F.R. Part 558.3, a notice of license issuance is due to the NIGC region office 

within thirty (30) days of the tribe’s issuance of a permanent license. Also,

under 25 C.F.R. Part 558.3, if a tribe does not license the applicant, the tribe 

shall submit a notice of no license issued, its eligibility determination and NOR 

to the NIGC. There is no a deadline for this submission. 

ii. TGRA’s are encouraged to submit any outstanding NORs to the NIGC within 60 

days of reopening or the applicant returning to work. At this time, the Notice of 

license can still be issued within 30 days of issuance on all NORs that were 

submitted late due to TGRA office closure. If Notice of License submissions were 

not completed for employees who were issued a permanent license before 

closure, those submissions must be made within 30 days of reopening. We 

request that Not Licensed by Tribe submissions are made within 30 days of 

reopening, however there is not a specific deadline for this particular 

submission. NIGC Compliance Officers’ scrutiny of submission dates will account 

for any extended closure period.

Please contact your NIGC Regional Office for additional information. 

d. Facility Licenses:

i. As required in 25 C.F.R. Part 559, a request to the NIGC for any new facility 

under consideration requires at least one hundred twenty (120) days’ notice

before the opening of the new gaming facility. Newly issued or renewed facility 

licenses must be submitted to the NIGC within 30 days of issuance. Finally, if a 

facility license is terminated, expires, or if the gaming facility closes for longer 

than 180 days or reopens after such closure, notification must be made to the 

NIGC within thirty (30) days of the event.

ii. The NIGC will maintain the ability to accept electronic submission of all notices 
required under this requirement through facility_license_ephs@nigc.gov. The 

Compliance Division will actively assist TGRA’s on ensuring timely notices are 

made where possible and take into consideration where facility and tribal 

government closures otherwise prevented timely submissions. Should any 

actions taken by the TGRA or tribal government trigger the submission of any 

of the above notices, please notify your Region Office for furtherguidance.

iii. If a facility license is scheduled to expire during the temporary closure period, 

NIGC recommends that the TGRA consider renewing the facility license. NIGC 

also recommends that the TGRA issue the EPHS attestation just before

reopening to ensure all matters related to COVID-19 have been adequately 

addressed. 

e. Agreed Upon Procedures and Audited Financial Statements

i. As detailed in 25 C.F.R. § 543.23(d)(1) the Tribe must engage a CPA to complete 

an Agreed Upon Procedures (AUP) Audit and report the findings to the NIGC 

within one hundred twenty (120) days of the gaming operation’s fiscal year end. 

Additionally, 25 C.F.R. § 571 requires each tribe to prepare an Audited Financial 

Statement which is also due within one hundred twenty (120) days of the 

gaming operation’s fiscal year end. 

ii. With regard to the reporting deadlines for audited financial statements and 

Agreed Upon Procedure reports, NIGC encourages submissions within 30 

days of the audit and report original due dates.

iii. Please contact your NIGC regional office if you anticipate not meeting the 

120-day deadline for reporting. 

17. Question: What steps should be taken if the internal audit required under 25 C.F.R 

543.23 cannot be completed due to the COVID-19 pandemic? 

Answer: If it is determined that the internal audit required under 25 C.F.R. part543.23(c)

cannot be completed in full, the NIGC recommends prioritizing the completion of critical 

or high-risk sections of the audit where fraud or theft is most likely to occur. For any 

agreed-upon procedures (AUP) findings internal audit may receive for lack of 

compliance with 25 C.F.R 543.23(c), the NIGC encourages the party responding to the 

finding(s) to include details on why specific audits or testing was not completed. For 

example, this section was not completed due to the closure of the gaming operation 

during COVID-19 Pandemic. 

For tribes that outsource their internal audits, the Tribe, TGRA, audit committee, or 

other entity designated by the tribe should review the engagement letter. If the third 

party is unable to perform scheduled audits or meet timelines, the TGRA should contact 

the provider to identify what steps will be taken to adjust the audit plan.
The NIGC MICS do not provide a method for easing minimum internal control standards. 

However, the NIGC Division of Compliance will remain in close communication with the 

TGRA as it adjusts its operations due to COVID-19. See NIGC FAQ question #16 for

additional guidance on late submissions and notifications to NIGC Division of 

Compliance.

Impacts on NIGC Services

18. Question: What impact has the COVID-19 pandemic had on NIGC’s schedule of tribal casino 

inspections, audits, scheduled training, and visits? What is the mechanism for requesting 

rescheduling of such audits, inspections, training, and visits for casinos where gaming operations 

have been suspended and/or TGRA personnel have been reduced to essential staff only?

Answer: The NIGC has temporarily suspended non-mission critical travel for all NIGC staff. The 

NIGC remains operational and continues to monitor and review gaming operation activity 

remotely. All activities related to the site visits, auditing, training and investigatory activities that 

can be conducted off-site through telephone, email, document request and review, and other 

off-site methods shall continue until such time the remaining activities that require on-site 

observation and review can be undertaken. Please contact your Region Office for additional 

assistance (https://www.nigc.gov/compliance/regional-offices). You may also contact our 

training program at traininginfo@nigc.gov.

19. Question: Are there any planned or anticipated suspension(s) of NIGC regional office 

operations, staff reductions, constraints on service delivery, or reductions or postponement of 

NIGC initiatives in the short term or long term? 

Answer: The NIGC is currently following all federal guidance and our staff is on maximum 

telework to continue agency essential duties. Region staff remain available via phone, video 

conference and email to provide technical assistance and will continue to process licensing 

submissions received. Non-mission critical travel has been suspended. Annual site visits and 

other onsite routine monitoring activities have been modified to perform work remotely when 

available. In-person Regional Training Conferences and Site-Specific Training for the remainder 

of the FY 2020 will be replaced with remote opportunities that utilizes cost effective technology 

and anticipates disruptions in regular conference attendance. The NIGC Training Program is still 

accepting requests for virtual site-specific training and technical assistance. The NIGC will 

continue to review conditions and needs as the COVID-19 pandemic response evolves. 

Use of Net Gaming Revenue 

20. Question: Can a tribe amend its Revenue Allocation Plan (RAP) to start making per capita 

payments, change the amount of the payments or stop making per capita payments to 
reallocate funds to tribal operations during the COVID-19 pandemic? Does the NIGC need to be 

notified of the amendment?

Answer: Tribes should discuss any RAP amendments with the Office of Indian Gaming (OIG) at 

the Department of the Interior.

21. Question: Can tribes issue gift cards or other types of cash payments of net gaming revenue to 

tribal members to assist in dealing with COVID-19? 

Answer: Direct distributions of net gaming revenue to individual tribal members outside the 

scope of a Revenue Allocation Plan are not permitted under IGRA. IGRA does, however, include 

the funding of tribal programs in its permissible uses of net revenue. These programs can 

provide services and resources to tribal members. If a tribe wishes to make cash distributions, 

we recommend you reach out to the Office of Indian Gaming at the Department of the Interior 

to discuss options for creating or amending a Revenue Allocation Plan. Additional guidance 

regarding uses of net gaming revenue can be found in NIGC Bulletin 2005-1 at 

https://www.nigc.gov/compliance/detail/use-of-net-gaming-revenues-bulletin

Re-Opening Gaming Operations: 

22. Question: If a Tribal Government has issued a proclamation closing a gaming facility due to the 

COVID-19 outbreak, what must they do to reopen?

Answer: The Tribal Government may need to issue another proclamation indicating that it 

believes it is now safe to resume casino operations. The NIGC also requests that prior to 

reopening, the TGRA notify the Region Office of its intent to reopen. Additionally, the TGRA 

should assess its ability to attest that the facility can be reopened and operated in a manner that 

protects the public health and safety of employees and patrons, or if application of tribal laws 

warrants. As was the NIGC’s recommendation regarding temporary closure decisions, the NIGC 

recommends for tribes to avail themselves of resources on www.CDC.gov and consider the 

value of coordination with local jurisdictions when assessing and planning. 

23. Question: What should the Tribe and TGRA consider before reopening a gaming operation 

previously closed due to COVID-19? 

Answer: The NIGC has posted reopening guidance and a NIGC COVID-19 Reopening Assessment

on our website at www.nigc.gov. The reopening guidance covers IGRA and NIGC regulation 

requirements as well as best practices and suggestions based on our understanding of COVID-19 

to help ensure that the gaming operation is reopened and operated in a way that protects the 

health and safety of employees and patrons. The NIGC COVID-19 Reopening Assessment lists 

EPHS considerations and internal control guidance for reopening.

24. Question: If a casino furloughs or lays off key employees or primary management officials will 

such employees have to be relicensed before resuming their duties at the operation? 
Answer: If an employee’s license has not expired or been revoked during the closure, there is no 

requirement under IGRA or NIGC regulations to relicense all returning employees previously 

licensed upon reopening the gaming operation. Tribes may consider extending expiration dates

for gaming licenses due to the temporary closures.

25. Question: Can the TGRA suspend or waive required suitability background and licensing 

determinations of casino employees and vendors?

Answer: No. 25 C.F.R. § 556 and 558 requires all Key Employees and Primary Management 

Officials to be licensed by the tribe within 90 days of beginning work. NIGC continues to receive

fingerprints for FBI CHRI purposes, notice of results, and notice of licenses issued and will 

continue to issue no objection or objection letters. This would not prohibit tribes from 

extending expiration dates of Key Employees and Primary Management Officials licensed prior 

to the temporary closure. Tribes should refer to their gaming ordinances and internal control 

standards regarding vendor licensing requirements as the NIGC does have not have regulations 

for vendor licensing.