and Performance Information

Fiscal Year 2016

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

NOTICE: These budget

justifications are prepared

 for the Interior, Environment 

and Related Agencies 

Appropriations Subcommittees. 

Approval for release of the 

justifications prior to their 

printing in the public record of 

the Subcommittee hearings

may be obtained through

the Office of Budget of the 

Department of the Interior.

NATIONAL INDIAN

GAMING COMMISSION

NIGC - iii 

DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION 

FY 2016 Budget Justification 

Table of Contents 

 Page 

Item Number 

Executive Summary 

Executive Summary 1 

Mission, Vision, and General Statement 2 

The Indian Gaming Regulatory Act of 1988 4 

Commission Structure 5 

Organization Chart 7 

Budget Priorities 8 

Background 8 

Annual Fees for Operations 8 

2016 Budget 

Narrative Summary Statement 11 

Summary of the FY 2016 Budget 12 

Reimbursable Expenses 12 

Fee Regulation 13 

Authorization, Objectives and Program Activities 14 

Gaming Activity Fees – Program and Financing Schedules 17 

Gaming Activity Fees – Object Classification Schedule 18 

Reimbursable Activity – Program and Financing Schedule 19 

Reimbursable Activity – Object Classification Schedule 20 

Employee Count by Grade 21 

Graphs 

Indian Gaming Industry Growth – Chart 23 

Growth in Indian Gaming Operations – Chart 24 

NIGC Fee Revenue – Chart 25 

NIGC Expenditures – Chart 26 

Staffing Levels – Chart 27 

Government Performance and Results Act (GPRA) Information 

Highlights of Commission Activities 29 

Executive Summary

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National Indian Gaming Commission (NIGC) 

Executive Summary 

The National Indian Gaming Commission (NIGC or “Commission”) was created by the 

Indian Gaming Regulatory Act of 1988 (P.L. 100-497). The Indian Gaming Regulatory 

Act (IGRA) created a mechanism whereby NIGC operations are funded by the fees 

collected from tribal gaming operations. When the Commission began operations in 

February 1992, the Indian gaming industry generated revenue of about $3 billion per 

year. The Commission itself operated on a budget of $2.2 million with 33 full-time 

employees and with oversight responsibilities for approximately 200 gaming operations. 

As with many emerging industries, Indian gaming experienced consistent growth. 

Today, there are approximately 450 Indian gaming operations in 28 states. Revenues 

over the past few years suggest that the industry has stabilized with the moderate growth 

largely attributable to the expansion of existing facilities and the opening of new facilities 

on existing Indian lands. 

The governmental entities regulating Indian gaming have grown along with the industry. 

In addition to the Commission, there are over 5,400 Tribal Gaming Regulators serving as 

the primary regulators of Indian gaming. Further, each of the 28 Indian gaming states 

provides regulatory support to implement their respective responsibilities under IGRA 

and tribal-state compacts. In addition to NIGC, tribal and state regulatory agencies, the 

Department of the Interior, the Department of Justice, the Federal Bureau of 

Investigation, the Internal Revenue Service, and the Department of the Treasury all 

implement and enforce laws that serve to ensure that tribes are the primary beneficiaries 

of Indian gaming. The NIGC coordinates closely with all of these governmental entities 

to fulfill the mandates in IGRA. 

In May 2006, Congress enacted the Native American Technical Corrections Act of 2006 

(P.L. 109-22). This Act authorizes the Commission to collect up to 0.080 percent of the 

gross gaming revenue but it also links NIGC’s fee collections to the growth, or 

contraction, of the Indian gaming industry so that the agency’s funding reflects the 

financial status of the industry. Secondarily, the Act identified training and technical 

assistance as an agency function. 
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The FY 2016 budget will continue to focus on improving intergovernmental coordination 

and expanding tribal consultation, providing training and technical assistance to tribal 

gaming commissions and operations, conducting a regulatory review, examining and 

assessing the efficiency and effectiveness of the Commission, and enhancing the 

information technology infrastructure. 

Mission 

To work within the framework created by the Indian Gaming Regulatory Act (IGRA) for 

the regulation of gaming activities conducted by sovereign Indian tribes on Indian lands 

to fully realize IGRA’s goals: (1) promoting tribal economic development, selfsufficiency and strong tribal governments; (2) maintaining the integrity of the Indian 

gaming industry; and (3) ensuring that tribes are the primary beneficiaries of their gaming 

activities. 

Vision 

The Commission’s vision is to adhere to the principles of good government, including 

transparency and agency accountability; to promote fiscal responsibility; to operate with 

consistency and clarity to ensure fairness in the administration of IGRA; and to respect 

the capabilities and responsibilities of each sovereign Indian tribe in order to fully 

promote tribal economic development, self-sufficiency and strong tribal governments. 

General Statement 

The Indian Gaming Regulatory Act established, within the Department of the Interior, the 

National Indian Gaming Commission, and provided it with independent Federal 

regulatory authority. IGRA was enacted to support and promote tribal economic 

development, self-sufficiency and strong tribal governments through the operation of 

gaming on Indian lands. The Act provides a regulatory framework to shield Indian 

gaming from corruption, and to ensure that the games offered are fair and honest and that 

tribes are the primary beneficiaries of gaming operations. The Act created the 

Commission to protect tribal gaming as a means of generating revenue for tribal 

communities. 

The Commission monitors tribal gaming activity, inspects gaming premises, conducts 

background investigations and internal control assessments of Class II gaming operations 

(and Class III gaming operations, upon request or as provided by applicable law, such as 

tribal gaming ordinances and tribal-state compacts). The Commission also provides 

technical assistance and training to tribal gaming commissions and operations and, when 

appropriate, undertakes enforcement actions. 

The Commission fulfills its responsibilities under IGRA by: 

 regulating and monitoring certain aspects of Indian gaming; 

 coordinating its regulatory responsibilities with tribal regulatory agencies through 
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the review and approval of tribal gaming ordinances and management 

agreements; 

 reviewing the backgrounds of individuals and entities to ensure the suitability of 

those seeking to engage or invest in Indian gaming; 

 overseeing and reviewing the conduct and regulation of Indian gaming operations; 

 referring law enforcement matters to appropriate Tribal, Federal and State 

entities; and 

 when necessary, undertaking enforcement actions for violations of IGRA, NIGC’s 

regulations and tribal gaming ordinances, including imposing appropriate 

sanctions for such violations. 

As the Commission fulfills these responsibilities, it pays close attention to any 

indications of corrupting influences, such as those posed by organized crime and 

persons known to be attracted to cash-intensive industries, such as gaming. 

IGRA authorizes the Commission to assess and collect fees on tribal gaming revenues 

to cover agency operating costs. The NIGC also conducts background investigations, 

including fingerprinting, of individuals and entities with a financial interest in, or 

management responsibility for, potential management contracts. These investigations 

are conducted to determine whether the management contracts can be approved. The 

Commission is reimbursed periodically by the potential contractors for performing these 

investigative services. The Commission is also reimbursed for fingerprint processing 

costs. 

The Commission, as an agency of the Federal government, maintains a trust relationship 

with Indian nations. Consistent with Executive Order 13175, signed by President 

Clinton on November 6, 2000, the Commission is committed to meaningful 

consultation with tribes prior to making changes to regulations or policies having tribal 

implications. Additionally, the Commission endeavors to provide tribes with courteous 

and timely responses to issues as they arise. In all phases of its regulatory 

performance, the Commission and its staff observe the due process rights of those who 

come before it. The Commission strives to be responsive to tribes seeking guidance as 

they enter the Indian gaming industry, monitors trends in tribal government gaming, and 

reports its findings to Congress and the Administration. 
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The Indian Gaming Regulatory Act (IGRA) of 1988 

In 1987, the Supreme Court affirmed the sovereign authority of tribes to operate and 

regulate gaming facilities on Indian lands free from state regulation if the state did not 

prohibit gaming. California v. Cabazon Band of Indians, 480 U.S. 202, 1987. The 

following year, Congress enacted the Indian Gaming Regulatory Act. Embodied in 

IGRA was a compromise between state and tribal interests. The drafters “balance[d] the 

need for sound enforcement of gaming laws and regulations, with a strong Federal 

interest in preserving the sovereign rights of tribal governments to regulate activities and 

enforce laws on Indian lands.” IGRA fully preserved tribal regulatory authority over 

Class II gaming without state intervention. However, IGRA gave the states a role in 

determining the scope and extent of tribal gaming by requiring tribal-state compacts for 

Class III gaming. 

IGRA establishes the jurisdictional framework that governs Indian gaming. IGRA 

establishes three classes of games with a different regulatory scheme for each. 

 Class I gaming is defined as traditional and social Indian gaming for minimal 

prizes. Regulatory authority over Class I gaming is vested exclusively in tribal 

governments. 

 Class II gaming is defined as the game of chance commonly known as bingo 

(whether or not electronic, computer, or other technological aids are used in 

connection therewith) and (if played in the same location) pull-tabs, lotto, 

punchboards, tip jars, instant bingo and other games similar to bingo. Class II 

gaming also includes non-banked card games. IGRA specifically excludes slot 

machines or electronic facsimiles of any game of chance from the definition of 

Class II games. Tribes retain their authority to conduct, license and regulate Class 

II gaming as long as the state in which the tribe is located permits such gaming for 

any purpose, and the tribal government adopts a gaming ordinance approved by 

the Commission. Tribal governments are responsible for regulating Class II 

gaming, with Commission oversight. 

 Class III is defined as all forms of gaming that are neither Class I nor Class II. 

Games commonly played in casinos, such as slot machines, blackjack, craps, and 

roulette, fall in the Class III category. Class III gaming is often referred to as fullscale casino-style gaming. As a compromise among tribal, state and Federal 

interests, IGRA restricts tribal authority to conduct Class III gaming. Before a 

tribe may lawfully conduct Class III gaming, the following conditions must be 

met: (1) the facility must be located in a State that permits such gaming for any 

purpose by any person, organization or entity; (2) the tribe and the state must have 

negotiated a compact that has been approved by the Secretary of the Interior, or 

the Secretary must have approved regulatory procedures; and (3) the tribe must 

have adopted a tribal gaming ordinance that has been approved by the Chair of the 

Commission. State and tribal governments are primarily responsible for 

regulating Class III gaming. 
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Although Congress clearly intended states to address Class III regulatory issues in tribalstate compacts, IGRA did not make this mandatory, and many states accordingly rely 

upon continued tribal and Federal oversight by the NIGC to address their regulatory 

concerns regarding Class III tribal gaming under IGRA. Additionally, IGRA tasks the 

NIGC with a number of specific regulatory functions, such as: approving tribal 

ordinances for Class II and Class III gaming; approving management contracts; ensuring 

tribes and management contractors comply with IGRA and Commission rules and 

regulations; and implementing regulations. Accordingly, the Commission plays a key 

role in the oversight and regulation of both Class II and Class III gaming. 

Commission Structure 

The Commission provides Federal oversight to approximately 450 tribally owned, 

operated or licensed gaming establishments operating in 28 states. The Commission 

maintains its headquarters in Washington, DC, and has seven regional offices and two 

satellite offices. The Commission is divided into four separate divisions with a combined 

staff of 97 full-time employees, as of the end of 2014. Approximately half of the 

Commission staff is assigned to headquarters in Washington, DC, with the remaining 

staff assigned to regional offices located in Portland, Oregon; Sacramento, California; 

Phoenix, Arizona; St. Paul, Minnesota; Tulsa, Oklahoma; Washington, DC; and 

Oklahoma City, Oklahoma; and satellite offices in Rapid City, South Dakota; and 

Temecula, California. 
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National Indian Gaming Commission 

Region

The Commission established its field offices to improve the level and quality of services 

it provides to tribes, and to enhance its ability to communicate, collaborate and interact 

with tribes located within each office’s geographic region. The field offices are vital to 

carrying out the statutory responsibilities of the Commission. By having auditors and 

compliance officers close to tribal gaming facilities, the Commission seeks to facilitate 

compliance with the Act and foster better relationships with tribal leaders, officials and 

regulatory personnel. In addition to auditing and investigative activities, the field staff 

provides technical assistance and training to promote a better understanding of gaming 

controls within the regulated industry, and to enhance cooperation and compliance to 

ensure the integrity of gaming operations. 
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Budget Priorities 

Currently, the industry consists of approximately 450 Indian gaming operations in 28 

states. These operations are owned, operated, or licensed by more than 242 tribal 

governments. The industry generated $28 billion of gross gaming revenues in 2013. 

As with any industry, technology continues to evolve, resulting in both greater 

efficiencies and new challenges. In order to keep pace with changes in technology, 

financial resources must be directed to training Commission staff and to providing 

training to tribal gaming operators and regulators to assure their ability to regulate and 

safeguard their operations.

Background 

Prior to 1997, the Commission was legislatively prohibited from collecting fees in excess 

of $1.5 million annually. The 1998 Interior Appropriations Act (P.L. 105-83) expanded 

the fee base to include Class III (casino style) gaming and raised the limitation on annual 

fee collections to $8 million. In the 2003, 2004, 2005, and 2006 Interior Appropriations 

Acts, the Congress enacted a general provision raising this limitation to $12 million for 

fiscal years 2004, 2005, 2006, and 2007 respectively. On May 12, 2006, the Native 

American Technical Corrections Act of 2006 was enacted providing a new basis for 

determining the fee limitation. 

The newly enacted legislation provided a fee limitation that allowed the Commission to 

maintain a fee collection level in proportion to the size of the industry it oversees. With 

fees now capped at 0.080% of the industry's gross revenue, the Commission’s funding 

will expand or contract in proportion to the growth or contraction of the Indian gaming 

industry. 

Another change included in Public Law 109-221 was the requirement that the 

Commission, like other Federal agencies, be subject to the Government Performance and 

Results Act of 1993 (GPRA), and that any plan instituted in compliance with GPRA 

include technical assistance to tribal gaming operations. To that end, the NIGC updated 

and finalized its strategic plan to cover FY 2014 – 2018 and submitted it to the Office of 

Management and Budget on June 26, 2013. After OMB approval, the final strategic plan 

was posted on the NIGC website and to the MAX system on August 9, 2013. 

Annual Fees for Operations 

The Commission assesses annual fees on tribal gaming revenues in accordance with 

procedures set forth in 25 C.F.R. Part 514. In 2012, the Commission promulgated 

changes to these regulations that became effective on October 1, 2012. Per the new 

regulation, on or before March 1, the Commission will publish a preliminary fee rate. If 

necessary, changes to the fee rate will be published no later than June 1 of that year. The 

rate must be sufficient to generate income to fund the annual operation of the 

Commission, and to maintain a transition balance for the upcoming year’s operation. 
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Each gaming operation must submit quarterly payments for fees assessed by three, six, 

nine, and twelve months after the end of their fiscal year. 

Maintenance of the transition balance is essential to the fiscal integrity of the 

Commission because the unique statutory provisions governing the Commission’s 

funding subject it to significant cash flow variations. Unlike other Federal agencies, the 

Commission’s authorizing legislation does not provide for full funding at the beginning 

of each fiscal year. Instead, the Commission receives quarterly payments equal to 

approximately 1/4 of each gaming operation’s projected annual fee assessment. The 

carryover transition balance is necessary to cover the first and second quarter of operation 

until the fees are actually received and credited to the operating account. For example, 

fees collected on or before the December 31, 2015 due date will provide the operational 

capital for the first three months of calendar year 2016. The Commission attempts to 

maintain a transition balance to fund the first two quarters of the new year in order to 

absorb any cash flow variations that may occur. 

 
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FY 2016 Budget   

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DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement 

The Indian Gaming Regulatory Act (Public Law 100-497) established, within the 

Department of the Interior, the National Indian Gaming Commission. The Commission 

monitors and regulates gaming activities conducted on Indian lands. The Commission 

fosters the economic development of Indian tribes by ensuring the integrity of Indian 

gaming on Indian Lands and ensuring that the tribes are the primary beneficiaries of their 

gaming revenues. Operating costs of the Commission are financed through annual 

assessments of gaming operations regulated by the Commission consistent with 

provisions of the Native American Technical Corrections Act of 2006 (Public Law 109-

221). 
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Summary of the Fiscal Year 2016 Budget 

Permanent Appropriation 

The Indian Gaming Regulatory Act, as amended, established the National Indian Gaming 

Commission to monitor and participate in the regulation of gaming conducted on Indian 

lands. The NIGC’s operational costs are financed through annual assessments of gaming 

operations regulated by the Commission. 

All costs associated with the Commission’s operation during fiscal year 2016 will be 

derived from fees assessed on, and collected from, the regulated Indian gaming industry. 

The Commission will continue its consultation with the affected tribes and evaluate their 

input prior to implementing the proposed budget. The revenue to be collected in 2016 

will assure funding to address the full-year impact of new hires. The Commission will 

continue to maintain a carryover balance sufficient to assure that cash flow variations do 

not impact ongoing operations. Fees are paid quarterly, based on each gaming 

operation’s assessable gross revenue. This system often results in cash flow variations, 

and therefore a transition balance, derived from prior year funds carried forward to the 

new fiscal year, is essential for continuity of operations. 

The agency’s actual employee count was 97 at the end of 2014 and projected to be 113 in 

2015 and 2016. NIGC is forecasting full-year obligation of $17 million and $18 million 

in fiscal year 2015 and 2016, respectively. This will allow the Commission to hire 

additional local and field personnel to implement its responsibilities under the Act. These 

funds will also be used to upgrade and improve the NIGC’s information management 

system, and expand technical assistance and training. 

Reimbursable Expenses 

The NIGC conducts background investigations of individuals and entities with a financial 

interest in, or management responsibility for, potential management contracts. Pursuant 

to the 25 U.S.C § 2711(e), these investigations are conducted to determine whether the 

contracts can be approved. In accordance with § 2711(i), the Commission is reimbursed 

from the potential contractors to conduct these background investigations and also for 

fingerprint processing costs. 
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Fee Regulation 

The regulations implementing the legislative provisions governing the collection of fees 

allow the Commission to collect the statutory maximum allowed by Congress: 

§514.14 Annual Fees 

(a) The total amount of all fees imposed during any fiscal year shall not exceed 

the statutory maximum imposed by Congress. The Commission shall credit 

pro-rata any fees collected in excess of this amount against amounts otherwise 

due according to §514.4. 

Additionally, in 2012, NIGC regulations were amended to specifically address the 

collection of fees for fingerprint processing: 

§ 514.15 May tribes submit fingerprint cards to the NIGC for processing? 

Tribes may submit fingerprint cards to the Commission for processing by the Federal 

Bureau of Investigation (FBI) and the Commission may charge a fee to process 

fingerprint cards on behalf of the tribes. 

§ 514.16 How does the Commission adopt the fingerprint processing fee? 

(a) The Commission shall review annually the costs involved in processing fingerprint 

cards and, by a vote of not less than two of its members, shall adopt preliminary rates for 

each calendar year no later than March 1st of that year, and, if considered necessary, shall 

modify those rates no later than June 1st of that year. 

(b) The fingerprint fee charge shall be based on fees charged by the Federal Bureau of 

Investigation and costs incurred by the Commission. Commission costs include 

Commission personnel, supplies, equipment costs, and postage to submit the results to 

the requesting tribe. 

§ 514.17 How are fingerprint processing fees collected by the Commission? 

(a) Fees for processing fingerprint cards will be billed monthly to each Tribe for cards 

processed during the prior month. Tribes shall pay the amount billed within forty-five 

(45) days of the date of the bill. 

(b) The Chair may suspend fingerprint card processing for a tribe that has a bill 

remaining unpaid for more than forty-five (45) days. 

(c) Fingerprint fees shall be sent to the following address: Finance, National Indian 

Gaming Commission, c/o Department of Interior, 1849 C Street, N.W., Mail Stop #1621, 

Washington, DC 20240. Checks should be made payable to the National Indian Gaming 

Commission (do not remit cash). 
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Authorization: 

Indian Gaming Regulatory Act, Public Law 100-497, as amended. 

Objectives: 

To regulate and monitor gaming conducted on Indian lands and to protect Indian gaming 

as a means of generating tribal revenues. 

Program Activities: 

The Commission’s mission is to effectively monitor and participate in the regulation of 

Indian gaming pursuant to the Indian Gaming Regulatory Act (IGRA) in order to 

promote the integrity of the Indian gaming industry. To affect these goals, the 

Commission is authorized to conduct investigations, undertake enforcement actions 

including the issuance of notices of violation, assessment of civil fines, issuance of 

closure orders, approve management contracts, and issue such regulations as necessary to 

meet its responsibilities under the Act. 

The Act grants broad authority to the Commission and provides authority to the Chair to: 

 issue temporary closure orders 

 levy civil fines, of up to $25,000 per violation per day, against a tribe, management 

contractor, or individual operator for violation of the Act, the regulations or a tribal 

gaming ordinance 

 approve tribal gaming ordinances 

 approve gaming management contracts 

 appoint and supervise staff 

The Commission as a whole is empowered to: 

 monitor gaming activities 

 inspect gaming premises 

 conduct background investigations 

 inspect records relating to gaming 

 approve the annual budget 

 adopt regulations for the assessment and collection of civil fines 

 adopt a schedule of annual fees 

 issue permanent closure orders 

 adopt regulations as deemed appropriate to implement the provisions of IGRA 

Together the Commission serves as an appellate body. Aggrieved parties may appeal 

decisions of the Chair to the full Commission. 
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In carrying out these responsibilities, the Commission also: 

 provides education, training and technical assistance regarding applicable regulatory 

requirements 

 assists tribes with background investigations and fingerprint processing 

 receives and processes appeals 

 conducts formal and informal hearings 

 consults with Indian tribes, states and the regulated community 

 defends against lawsuits challenging the Commission’s actions 

 issues advice and guidance through bulletins, advisory opinions and other 

publications 

 provides audits and other evaluative services 
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Identification code 14-5141-0-2-806 2014 2015 2016

Actual Estimate Estimate

01.99 Balance, start of year.............................................. - - - 

 Receipts: 

02.00 NIGC, Gaming activity fees.................................... 16 18 19

02.99 Total receipts and collections................................ 16 18 19

04.00 Total: Balances and Collections............................ 16 18 19

 Appropriations:

 National Indian Gaming Commission

05.00 NIGC, Gaming activity fees.................................... -16 -18 -19

05.99 Total appropriations............................................... -16 -18 -19

07.99 Balance, end of year............................................... - - - 

 Program and Financing (in millions of dollars)

Obligations by program activity:

00.01 Direct Program Activity 19 17 18

09.00 Total new obligations................................................. 19 17 18

Budgetary Resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1....................................................................... 12 9 11

Appropriations mandatory:

12.01 Appropriation (special or trust fund):.......................... 16 18 18

12.03 Appropriation (previously unavailable):....................... 12 1

12.32 Appropriations and/or unobligated balance of 

appropriations temporarily reduced............................. -1 -1

12.60 Appropriations, mandatory (total).......................... 16 19 19

19.30 Total budgetary resources available....................... 28 28 30

Memorandum (non-add) entries:

19.41 Unexpired unobligated balance, end of year........... 9 11 12

Unpaid obligations:

30.00 Unpaid obligations, brought forward, Oct 1........... 3 3 3

30.10 Obligations incurred, unexpired accounts............... 19 17 18

30.20 Outlays (gross)....................................................... -19 -17 -18

30.50 Unpaid obligations, end of year ................................. 33 3

Memorandum (non-add) entries:.................................

31.00 Obligated balance, start of year................................... 33 3

32.00 Obligated balance, end of year .............................. 3 3 3

Budget authority and outlays, net\:

 Mandatory:

40.90 Budget authority, gross........................................... 16 19 19

Outlays, gross:

41.00 Outlays from new mandatory authority................... 6 11 11

41.01 Outlays from mandatory balances........................... 13 6 7

41.10 Outlays, gross (total).............................................. 19 17 18

41.60 Budget authority, net (mandatory)........................... 16 19 19

41.70 Outlays, net (mandatory)......................................... 19 17 18

41.80 Budget authority, net (total).................................... 16 19 19

41.90 Outlays, net (total).................................................. 19 17 18

 Obligated balance, end of year (net):

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

 Budget Authority

 Change in obligated balance:
NIGC - 18 

 

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Identification code 14-5141-0-2-806 2014 2015 2016

Actual Estimate Estimate

Direct obligations

11.11 Personnel compensation: Full-time 

permanent............................................. 9 11 11

11.21 Civilian personnel benefits..................... 33 3

12.10 Travel and transportation of persons..... 1 1 1

12.31 Rental payments to GSA......................... 2 1 1

12.52 Other Services........................................ 4 1 2

19.90 Subtotal, direct obligations................... 19 17 18

99.95 Below reporting threshold...................... --- --- ---

99.99 Total new obligations............................. 19 17 18

Personnel Summary

 Total compensable workyears

 Full-time equivalent employment .......................... 97 113 113

 Object Classification (in millions of dollars)

Special Fund Receipt/Expenditure Account

Gaming Activity Fees
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Identification code 14-0118-0-2-806 2014 2015 2016

Actual Estimate Estimate

 Obligations by program activity:

08.01 Reimbursable Program Activity 0 4 2

09.00 Total new obligations................................................................ 04 2

Budgetary resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1...................................................................................... 3 5 3

Budget authority: 

Spending authority from offsetting collections, discretionary

17.00 Collected............................................................................ 2 2 2

17.50 Spending authority from offsetting collections, disc (total) 2 2 2

19.30 Total budgetary resources available...................................... 5 7 5

Memorandum (non-add) entries:............................................

19.41 Unexpired unobligated balance, end of year........................ 5 3 3

Change in obligated balance:.................................................

Unpaid obligations:

30.00 Unpaid obligations, brought forward, Oct 1 (gross)............ --- --- 2

30.10 Obligations incurred, unexpired accounts............................ --- 4 2

30.20 Outlays (gross).................................................................... --- -2 -2

30.50 Unpaid obligations, end of year ........................................... --- 2 2

Memorandum (non-add) entries:............................................

31.00 Obligated balance, start of year:............................................. --- --- 2

32.00 Obligated balance, end of year:............................................. --- 2 2

Budget authority and outlays, net:

 Discretionary

40.00 Budget authority, gross...................................................... 22 2

Outlays, gross:

40.10 Outlays from new discretionary authority............................. 0 1 1

40.11 Outlays from discretionary balances..................................... 01 1

40.20 Outlays, gross (total)....................................................... 02 2

 Offsets against gross budget authority and outlays:

 Offsetting collections (collected) from:...............................

40.33 Non-federal sources............................................................ -2 -2 -2

40.70 Budget authority, net (discretionary)...................................... --- --- ---

40.80 Outlays, net (discretionary) .................................................. -2 --- ---

Program and Financing

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Reimbursable Activity
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DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

General and Special Funds: Salaries and Expenses

Identification code 14-0118-0-4-806 2014 2015 2016

Actual Estimate Estimate

Reimbursable obligations

22.52 Other services from non-Federal sources.......... 042

Object Classification (in millions of dollars)
NIGC - 21 

2014 2015 2016

Actual Estimate Estimate

EX-IV 0 0 0

EX-V 2 3 3

AD-00 0 0 0

ES-4 0 0 0

ES-3 0 0 0

ES-1 0 0 0

GS-15 13 20 20

GS-14 14 17 17

GS-13 31 36 36

GS-12 20 16 16

GS-11 2 4 4

GS-10 3 3 3

GS-09 2 2 2

GS-08 0 0 0

GS-07 0 0 0

GS-06 9 11 11

GS-05 1 1 1

Total FTE 97 113 113

In accordance with the Act, appointments are made without regard to the provisions of Title 5, 

U.S. Code governing appointments in the competitive services 

EMPLOYEE COUNT BY GRADE OR GRADE EQUIVALENT

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION
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Graphs

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GPRA Information

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Government Performance and Results Act Information 

In 2006, Congress amended the Indian Gaming Regulatory Act, 25 U.S.C. §§ 2701 – 

2721, Pub. L. 100-497, and for the first time made the National Indian Gaming 

Commission subject to the Government Performance and Results Act of 1993 (GPRA), 

Pub. L. 103-62. That obligation is set out at 25 U.S.C. § 2706(d)(1), which states: “In 

carrying out any action under this chapter, the Commission shall be subject to the 

Government Performance and Results Act of 1993.” 

 

On September 30, 2007, the Commission filed its first GPRA performance and 

accountability report with the Office of Management and Budget (OMB). One year later, 

on September 18, 2008, the Commission released a draft five-year strategic plan for 

review and comment, and it published the final five-year strategic plan on January 8, 

2009. 

GRPA requires that an agency’s “strategic plan shall be updated and revised at least 

every four years.” 5 U.S.C. § 306(b). Consistent with this obligation and the 

Commission’s vision of adhering to principles of good government including 

transparency to promote agency accountability and fiscal responsibility, the Commission 

completed four Tribal Consultation sessions for comment and review of a new Strategic 

Plan and published the final strategic plan for years 2014-2018. 
NIGC - 30 

Summary and Highlights of Commission Activities 

During FY 2014, the Commission’s four primary initiatives consisted of consulting and 

building relationships with tribal governments, providing technical assistance and 

training, continuing its regulatory review, and reviewing its internal operations. As such, 

during the past fiscal year, the Commission accomplished the following goals and tasks. 

 The Commission continued its Assistance, Compliance, and Enforcement (“ACE”) 

initiative, which emphasizes working with tribal, states, and Federal regulators to 

ensure effective coordination in the regulation of Indian gaming, working with tribes 

to ensure compliance with IGRA, and taking enforcement action for violations of 

IGRA when necessary. 

 The Commission conducted four tribal consultations as part of its regulatory review. 

 Effective October 1, 2012 NIGC implemented the quarterly submission of fees and 

worksheets pursuant to the amendment of Part 514. 

 Training and technical assistance continued to be offered to gaming tribes regarding 

the regulatory changes. 

 Relocation of the NIGC Headquarters was completed. 

 The NIGC increased the amount of training offered to gaming tribes throughout the 

country. Courses were offered in direct response to tribal requests for training. 

During FY 2014, the NIGC conducted approximately 322 training events comprising 

approximately 877 training hours, and attended by approximately 2,830 training 

participants. 

 The Commission continued the process of targeting its training activities and agency 

resources by identifying partnerships, improving training offerings, and utilizing 

technology to more effectively reach target audiences. During FY 2014, the NIGC 

offered more site specific and telephonic training conferences than it has in the past. 

 Commission auditors performed three internal control assessments (MICS audit), 

seven Internal Audit/ NIGC fee reviews, one cursory MICS review- 1, self-regulation 

review, and one investigative audit. The audit findings were included in reports 

delivered to the audited tribes. The Commission will offer technical assistance to the 

tribes in identifying and implementing remedial action. 

 The Commission continued to conduct financial background investigations on 

persons and entities associated with the management contractors. The Commission 

received 26 applications for background investigations in FY 2014. 

 The Commission processed approximately 71,772 fingerprint cards for tribal gaming 

commissions. 

 Continued the electronic conversion of documents, forms and manuals to improve 

operational efficiency. 
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 The Commission drafted (or revised) and adopted internal agency policy related to 

Promotion Policy. 

 Continued to maintain and update the Commission’s data systems in tracking each of 

the tribal gaming facilities to enhance communication and compliance. 

 Completed IT upgrades including: increased bandwidth of T1 line to the DS3 

connection; improved communication speed with field offices and tribes; and 

virtualized server environment for improved network availability, redundancy, and 

easy upgrade of servers, operating systems and line of business applications without 

organizational impact including down-time to the organization. 

 The Commission implemented the use of Pay.gov for receiving tribal fee payments. 

Continuing with its four primary initiatives, during FY 2015, the Commission is 

working on the following goals and tasks: 

 The Commission continues to implement ACE to facilitate compliance throughout all 

regions, and continues to build upon relationships with tribal, Federal, and state 

regulatory and/or law enforcement agencies. 

 The Commission continues to review and update its regulations to maintain the 

integrity of Indian gaming. The Commission will continue to consult with tribes as 

part of its regulatory review. 

 The Commission continues to work on drafting (or revising) and adopting additional 

internal agency policies related to the following subjects: (i) standards of ethical 

conduct; (ii) loss or damage to employee’s personal property; (iii) release of 

information to news and information media; and (iv) social media and social 

networking. 

 The Commission continues to respond to requests from tribes for technical assistance, 

and increase both the amount and breadth of technical assistance provided. It utilizes 

all forms of training forums and locations to better reach targeted audiences being 

mindful of Commission and tribal financial resources. The Commission continues to 

provide training to tribes within all seven NIGC regions. The Commission continues 

to update the training catalog as necessary. 

 The Commission is continuing efforts to modernize the NIGC IT network to improve 

and maintain reliability and manageability. This will include a website redesign to 

provide the end user with ease of navigation and search ability of NIGC resources. 

 The Commission will improve its records management system, including paper and 

electronic records with the hiring of a records manager and ongoing staff efforts. 

 The Commission will continue to track technological developments in the industry to 

ensure the Commission provides up-to-date technical assistance, maintains current 

regulations, meets its oversight responsibilities, and otherwise performs its statutory 

mandates. 
NIGC - 32 

 During FY 2015, the Commission continues to work on its everyday tasks, including: 

- performing internal control assessments specific to Class II gaming 

operations. 

- responding to requests from tribal gaming operators and regulators for IGRA 

and gaming related training and technical assistance. 

- working with tribes on the Tribal Access Portal (TAP), a database that enables 

tribal gaming regulators who are engaged in issuing gaming licenses to check 

whether a license applicant has a licensing history with any other gaming 

tribe. Along with information provided by the NIGC/FBI fingerprint 

submission service, the TAP system assists tribes to complete their own 

comprehensive background investigation of prospective license applicants. 

- updating its database with accumulated financial data from the gaming 

operations’ audited financial statements and AUP report filings. The 

Commission establishes a preliminary and final rate utilizing this data. 

- performing internal audits of NIGC departments to increase the Commission’s 

efficiency, effectiveness, and compliance with Federal regulations. 

- reviewing management contracts and amendments to management contracts. 

- processing fingerprint cards for tribal gaming employees as they are submitted 

by the tribal gaming commissions and tracking payment for fingerprint 

processing. 

- continuing to respond to technical assistance requests from tribes. In particular 

assisting tribes that are considering entering the Indian gaming arena or have 

recently opened a new Indian gaming facility. 

As part of its program objectives for FY 2016, the Commission plans to: 

 Continue to take steps to achieve the NIGC High Priority Performance Goals as 

identified in the Strategic Plan. 

 Continue efforts to modernize the NIGC IT network to improve and maintain 

reliability and manageability. 

 Monitor strategic plan performance measures. 

 Continue its regulatory review which it began during FY 2011 and implement its new 

and/or revised regulations, and to provide training to tribes on compliance with any 

new requirements. 

 Continue the development of the Commission’s internal administrative and personnel 

manual, and develop and implement corresponding training programs. 

 Continue to inform the public about the Commission’s activities through various 

media and training resources. 

 Coordinate and provide training events to tribal entities in each of the seven regions. 
NIGC - 33 

 Continue to respond to requests from tribes for technical assistance, and increase both 

the amount and breadth of technical assistance provided. Utilize all forms of training 

forums and locations to better reach targeted audiences being mindful of Commission 

and tribal financial resources. The Commission continues to update the training 

catalog as necessary. 

 Continue to perform internal control assessments and other types of compliance 

reviews to maintain the integrity of gaming industry. 

 Continue to implement the requirements of GPRA, including the development and 

implementation of a performance measurement system. 

 Continue to update information systems to ensure compliance with the receipt of 

personal identifiable information. 

 Maintain a consistently high level of compliance for the submission of gaming 

activity fees and external year-end audits through continued monitoring and contact 

with gaming tribes, with an emphasis on voluntary compliance. 

 Improve operational efficiency through enhanced records management that includes 

the electronic conversion of documents, forms and manuals. 

 Monitor the training and employee development program in order to attract and retain 

highly-qualified personnel. The agency will annually assess the skills of its 

employees and provide necessary training. 

 Continue to track technological developments in the industry to ensure the 

Commission provides up-to-date technical assistance, maintains current regulations, 

meets its oversight responsibilities, and otherwise performs its statutory mandates.