and Performance Information

Fiscal Year 2023 

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

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NOTICE: These budget

justifications are prepared

 for the Interior, Environment 

and Related Agencies 

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release of the justifications 

prior to their printing in 

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Department of the Interior.

NATIONAL INDIAN

GAMING COMMISSION

NIGC - iii

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

FY 2023 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 6 

Budget Priorities 8 

Background 8 

Annual Fees for Operations 9 

2023 Budget

Narrative Summary Statement 10 

Summary of the FY 2023 Budget 11 

Reimbursable Expenses 12 

Fee Regulation 13 

Authorization, Objectives and Program Activities 14 

Employee Count by Grade 16 

 

Government Performance and Results Act (GPRA) Information 17 

Summary and Highlights of Commission Activities 18 

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 purpose of the Indian Gaming Regulatory 

Act (IGRA) is, in part, to promote tribal economic development and self-determination; support 

the integrity of the Indian gaming industry; and ensure that tribes are the primary beneficiaries of 

their gaming activities. To ensure those purposes of IGRA are carried out, IGRA created the 

NIGC as an “independent Federal regulatory authority for gaming on Indian lands... to meet 

congressional concerns regarding gaming and to protect such gaming as a means of generating 

tribal revenue.”1

 

In addition to the NIGC, there are approximately 6,000 Tribal Gaming Regulators serving as the 

primary regulators of Indian gaming operations in 29 states. Further, states provide appropriate 

regulatory support to implement their respective responsibilities under IGRA and tribal-state 

compacts. Besides the NIGC, tribal and state regulatory agencies, the Department of the Interior, 

the Department of Justice, 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 of IGRA. 

The NIGC’s budget is tied to the mandates of IGRA. In May 2006, Congress enacted the Native 

American Technical Corrections Act of 2006 (Sec. 301 of P.L. 109-221). This Act authorizes the 

Commission to collect up to 0.080 percent of the gross gaming revenue, but 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. Importantly, the Act also identified training 

and technical assistance as agency functions. As in the past, the FY 2023 budget will continue to 

include expanding tribal consultation and improving intergovernmental coordination, 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. 

1 25 U.S.C. § 2702(3).
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Mission

The NIGC’s mission is to (1) promote tribal economic development, self-sufficiency, and strong 

tribal governments; (2) maintain the integrity of the Indian gaming industry; and (3) ensure that 

Tribes are the primary beneficiaries of their gaming activities. To fulfill its mission and achieve 

compliance, the NIGC works within the framework created by the IGRA by providing sound 

guidance, removing unnecessary roadblocks, and sensibly regulating gaming activities conducted 

by sovereign Indian tribes on Indian lands without stymieing the economic development and 

entrepreneurial spirit of tribes.

Vision

The Commission’s vision is to utilize all of its regulatory tools, including training, technical 

assistance, public education, and enforcement, to empower and partner with tribal governments to 

ensure that regulatory compliance and gaming integrity respect the capabilities and 

responsibilities of each sovereign tribe. 

General Statement

The Indian Gaming Regulatory Act (IGRA) established the NIGC as an independent Federal 

regulatory agency within the Department of the Interior. IGRA created the NIGC to protect tribal 

gaming as a means of generating revenue for tribal governance and tribal communities. IGRA 

further provides a legal framework structured to safeguard tribes as the primary beneficiaries of 

their gaming operations, support the integrity of the Indian gaming industry, and assure that 

gaming is conducted fairly and honestly by both the operators and players. 

The NIGC ensures compliance with IGRA, NIGC regulations, and tribal gaming ordinances with 

more than 520 gaming establishments licensed by approximately 250 federally-recognized tribes 

located within 29 states. To do so, the Commission regulates and monitors tribal gaming activity, 

inspects gaming premises, conducts background investigations, analyzes audits of Class II and 

certain aspects of Class III gaming operations, and investigates violations of IGRA. The NIGC 

also coordinates its regulatory responsibilities with tribal regulatory agencies through the review 

and approval of tribal gaming ordinances and management agreements. The NIGC further 

provides technical assistance, including extensive training, to tribal leaders as well as tribal 

gaming commissions and operators. The Commission may issue guidance to improve the 

operation and understanding of its regulatory goals. In addition, the Commission considers its 

Office of Self-Regulation’s recommendations when a tribe petitions for a certificate of selfregulation. 

When technical assistance and training do not result in compliance with IGRA, NIGC 

regulations, or the tribal gaming ordinance, the NIGC will undertake enforcement action, which 

may include imposing appropriate sanctions for such violations, such as civil penalties and 

orders for temporary closure as well as referring criminal matters to appropriate tribal, Federal 
NIGC - 3 

and state entities. As the NIGC fulfills these responsibilities, the Commission closely reviews 

any indications of corrupting influences by non-tribal governmental entities.

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. 

Although the NIGC was created as an independent regulatory agency within the Department of 

the Interior, IGRA tasked both the NIGC and the Department of the Interior with certain 

responsibilities under the Act. As such, the two Agencies work together to ensure the 

implementation of IGRA and effective regulation of the Indian gaming industry. The 

Commission also has unique relationships with the Indian gaming industry’s stakeholders. The 

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

nations. 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, states, sister Federal agencies, and stakeholders with courteous and 

timely responses to issues as they arise. 
NIGC - 4 

The Indian Gaming Regulatory Act (IGRA) of 1988 

In 1987, the Supreme Court affirmed the inherent 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.”2

 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 full-scale 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. 

2 134 Cong. Rec. S12649 (daily ed. Sept. 15, 1988).
NIGC - 5 

Although Congress clearly intended states to address Class III regulatory issues in tribal-state 

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; promulgating and implementing regulations; and ensuring 

tribes and management contractors comply with IGRA and Commission rules and 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 is composed of a Chair, appointed by the President and confirmed by the 

Senate, and two Associate Commissioners appointed by the Secretary of the Interior after a public 

notice and comment period. The Commission selects a Vice Chair by majority vote. IGRA 

established the NIGC as a bipartisan agency, permitting only two of the three Commissioners to 

be from the same political party. In addition, at least two members of the Commission must be 

enrolled tribal members. The NIGC’s organizational structure is composed of two main 

branches, the Office of General Counsel which handles legal affairs, and the Office of the Chief 

of Staff, which manages day-to-day activities and includes the Division of Compliance, Division 

of Finance, Division of Public Affairs, and the Division of Technology. 

The Commission provides Federal oversight to more than 520 tribally licensed gaming 

establishments on Indian land in 29 states. The Commission maintains its headquarters in 

Washington, DC, and has eight regional offices and one satellite office. The Commission had a 

combined staff of 104 full-time employees as of the end of 2021. 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; Rapid City, South Dakota; Tulsa, Oklahoma; Washington, DC; and 

Oklahoma City, Oklahoma. 
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NATIONAL INDIAN GAMING COMMISSION ORGANIZATIONAL CHART 

Current as of 02/28/2022 
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National Indian Gaming Commission

Regions 

The Commission administratively established the locations of its field offices not to reflect the 

distribution of gaming activity or market considerations but 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 

Portland 

Sacramento 

Phoenix 

St. Paul 

Rapid City 

Tulsa 

Oklahoma City 

Areas Served 

Alaska, Washington, Oregon and Idaho 

California and northern Nevada 

Arizona, New Mexico, Colorado, and southern Nevada 

Nebraska, Minnesota, Iowa, Wsconsin, Michigan and Indiana 

Montana, Wyoming, North Dakota and South Dakota 

Kansas and eastern Oklahoma 

Texas and western Oklahoma 

Washington, DC Louisiana, Mississippi, Alabama, Florida, North Carolina, New York and Connecticut 
NIGC - 8 

promote a better understanding of gaming controls within the regulated industry, and to enhance 

cooperation and compliance to ensure the integrity of gaming operations. 

Budget Priorities

The Commission will continue its positive trend of improving services to tribal governments and 

tribal gaming commissions while finding a stable balance in its fee rate collections. Technology 

in the gaming industry continues to evolve, resulting in both greater efficiencies and new 

challenges. In order to keep pace with changes in technology, financial resources will be directed 

to providing technical training to the Commission staff and updating technology platforms. In 

addition, the agency will continue to provide up-to-date technical training to tribal gaming 

operators and regulators to assure their ability to regulate and safeguard the integrity of Indian 

gaming. Strategic flexibility will ensure that adequate resources are available to meet the 

growing needs for technical assistance and training in Indian gaming enterprises large and small.

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, Congress enacted the Native American Technical 

Corrections Act of 2006 (P.L. 109-221) providing a new limit to the fees of no more than 0.080 

percent of the gross gaming revenues of all gaming operations.3

 

This amendment 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 percent of the industry's gross 

revenue, the Commission’s funding expands or contracts in proportion to the growth or 

contraction of the Indian gaming industry. The Commission historically has worked to maintain a 

fee rate well below the statutory limit, but due to the significant decrease of the industry’s gross 

gaming revenues as a result of the pandemic, the fee rate was raised to its full statutory limit for 

FY 2022. 

Another legislative 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.4

 In accordance with this mandate, the NIGC submitted its 

GPRA Strategic Plan for Fiscal Years 2022 to 2026 to Congress and the Office of Management 

and Budget (OMB). The NIGC strategic plan is posted on the NIGC website at: 

https://www.nigc.gov/commission/strategic-plan. 

3 25 U.S.C. 2717(a)(2)(B).

4 25 U.S.C. 2706(d)(1)-(2).
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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. On January 22, 2018, the Commission published changes to the 

fee regulations in the Federal Register (83 FR 2903). The amended regulations became effective 

on February 21, 2018. The changes to these regulations are intended to improve the efficiency of 

the Commission’s fee rate analysis and publication process, coincide the fee rate announcement 

with the annual release of the Gross Gaming Revenue numbers and the completion of the 

Commission’s budget for the upcoming year, and mitigate the confusion that may arise from 

changing the fee rate twice a year. Under the prior regulations published in 2012, the 

Commission adopted a preliminary fee rate by March 1 and a final fee rate by June 1 of every

year. The new regulations simplify this process by providing that the Commission will adopt a 

final fee rate no later than November 1 of each year. The new regulations also define the fiscal 

year used in calculating the annual fee so that one fee rate is applied consistently to a gaming 

operation’s assessable gross revenues for one fiscal year. Finally, among other clarifying 

revisions to the fee regulations, the rule describes the fees and statements required of gaming 

operations that cease operations. The fee 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. Each gaming operation within the jurisdiction of the Commission must self-administer 

the provisions of 25 C.F.R. Part 514, and report and pay any fees that are due to the Commission 

quarterly. 

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 one fourth of each gaming operation’s reported 

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, 2022, due date will provide the operational 

capital for the first three months of calendar year 2023. 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.

FY 2023 Budget 

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DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement 

The Indian Gaming Regulatory Act (IGRA) established the National Indian Gaming Commission 

(NIGC) as an independent Federal regulatory agency within the Department of the Interior. The 

purpose of the IGRA and the NIGC is to support and promote tribal economic development, selfsufficiency and strong tribal governments through the operation of gaming on Indian lands. The 

Commission collaborates with Tribes to monitor and regulate gaming activities conducted on 

Indian Lands to ensure that gaming operations are conducted with integrity and that Tribes are the 

primary beneficiaries of gaming revenues. IGRA authorizes the Commission to assess and 

collect fees on tribal gaming revenues to cover agency operating costs.
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Summary of the Fiscal Year 2023 Budget

 

NIGC Gaming Activity Fees

2021 

Actual

2022 at 

Annual 

CR Rate

2023 

Request

Permanent Budget Authority 

($Million) 20 21 25 

FTEs* 108 129 129 

* total compensable full time equivalents

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. 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. A 

transition balance is essential for continuity of operations. The Commission will continue its 

consultation with the affected tribes and evaluate their input prior to implementing the proposed 

budget. 

The agency’s actual employee count was 104 at the end of 2021 (108 total compensable full-time 

equivalents) and projected to be 129 at the end of 2022 and 2023. Due to uncertainties in fee 

collection caused by the pandemic, the Commission instituted budget restrictions starting in April 

2020 that carried through the end of fiscal year 2021. The uncertainties in the agency’s budget 

and funding caused several critical positions to remain unfilled for an extended period of time. 

The number of deferred hires underscores the strain on the agency’s staff and the record high 

attrition rate of 10% that the NIGC has experienced during fiscal year 2021. As the NIGC 

continues to rebound from the pandemic, backfilling positions has been a priority along with 

budgeted travel and employee development training. The Commission has established a yearlong schedule to replace currently vacant positions. Additionally, the NIGC has established a 

Criminal Justice Information Services Audit Unit (CAU) to implement and monitor compliance 

with the Federal Bureau of Investigation’s CJIS requirements for processing fingerprints and the 

handling of criminal history record information. The CAU will be staffed by a Deputy CJIS 

Systems Officer (DCSO) and three auditors. For FY 2023, the Commission remains dedicated to 

recruiting and retaining talented employees along with identifying employee professional 

development opportunities and competitive salaries. NIGC employees have shown great 

resiliency and dedication to keeping up with the additional demands brought on by the pandemic. 

Unlike other Federal agencies funded by the appropriations process each year, the 

Commission’s annual Gaming Activity Fees are determined by the fee rate adopted by 

November 1st each year in accordance with procedures set forth in 25 C.F.R. Part 514. The 
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COVID-19 pandemic had a significant impact on the FY 2020 tribal Gross Gaming Revenue 

(GGR). Because the GGR was significantly reduced in FY 2020 which is the basis for 

calculating FY 2022’s Gaming Activities Fees, the Commission raised the fee rate to its 

statutory cap of 0.08% on November 1st, 2021, in order to collect sufficient fees to ensure the 

continuous funding of the agency’s operations throughout FY 2022. With the 0.08% fee rate, 

the Commission projects its Gaming Activity Fees receipt for FY 2022 at $21 million based on 

FY 2020’s GGR. The estimated FY 2023 Gaming Activity Fees of $25 million reflects the 

preliminary forecast of the FY 2021 GGR (basis for calculating FY 2023’s Gaming Activities 

Fees). 

As part of the Commission’s plans for ongoing outreach, the Commission started a new periodic 

Operations Briefing with tribal leaders in FY 2020 to increase tribes’ access to information and 

opportunities to influence and inform the NIGC’s planning processes. The Commission will 

continue its efforts to enhance coordination with tribes during the annual budget planning process 

as the Commission finalizes its FY 2023 operating budget.

Reimbursable Expenses

The National Indian Gaming Commission conducts background investigations of individuals and 

entities with a financial interest in, or management responsibility for, potential management 

contracts. Tribes may also submit fingerprint cards to the Commission for processing by the 

Federal Bureau of Investigation and the Commission may charge a fee to process fingerprint 

cards on behalf of the Tribes. 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.

Additionally, in January 2018, 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 the fingerprint processing fee no later 

than November 1st of each year.

(b) The Commission shall publish the fingerprint processing fee in a notice in the Federal 

Register.

(c) The fingerprint processing fee 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) Remittances and other communications about fingerprint processing fees shall be sent to the 

Commission by the methods provided for in the rates of fees notice published in the Federal 

Register.
NIGC - 14 

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 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, 

self-sufficiency, 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. To 

affect these goals, the Commission is authorized to carry out training and technical assistance; 

conduct investigations; undertake enforcement actions, including the issuance of notices of 

violation, assessment of civil fines, and 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 orders5

• levy civil fines, of up to $57,527 per violation per day, against a tribe, management 

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

ordinance6

 

• approve tribal gaming ordinances7

• approve gaming management contracts8

• appoint and supervise staff9

 

The Commission as a whole is empowered to: 

• monitor gaming activities10

• inspect gaming premises11

5 25 U.S.C. 2705(a)(1).

6 25 U.S.C. § 2705(a)(2). Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements 

Act of 2015 (Sec. 701 of P. L. 114-74), the original civil penalty amount of $25,000 is adjusted annually. 7 25 U.S.C. § 2705(a)(3). 

8 25 U.S.C. § 2705(a)(4).

9 25 U.S.C. § 2707.

10 25 U.S.C. § 2706(b)(1). 11 25 U.S.C. § 2706(b)(2).
NIGC - 15 

• conduct background investigations12

• inspect records relating to gaming13

• approve the annual budget14

• adopt regulations for the assessment and collection of civil fines15

• adopt a schedule of annual fees16

• issue permanent closure orders17

• adopt regulations as deemed appropriate to implement the provisions of IGRA18

• issue subpoena and conduct depositions19

• issue and rescind certificates of self-regulation20

 

In carrying out its responsibilities, the Commission also: 

• maintains and enhances relationships with other Federal agencies and partner governments

• provides education, training, and technical assistance regarding applicable statutory and 

regulatory requirements

• assists tribes with background investigations and fingerprint processing

• receives and processes appeals21

• conducts formal and informal hearings 

• consults with Indian tribes 

• engages with 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 

12 25 U.S.C. § 2706(b)(3). 13 25 U.S.C. § 2706(b)(4). 14 25 U.S.C. § 2706(a)(1). 15 25 U.S.C. § 2706(a)(2). 16 25 U.S.C. § 2706(a)(3). 17 25 U.S.C. § 2706(a)(5). 18 25 U.S.C. § 2706(b)(10). 19 25 U.S.C. § 2715. 20 25 U.S.C. § 2710(c). 21 25 U.S.C. §§ 2705(a),2706(a)(5), 2713(a)(2).
NIGC - 16 

National Indian Gaming Commission

Employee Count by Grade 

(Total Employment)

Employee Count by Grade 2021 

Actual

2022 

Estimate

2023 

Estimate

Executive Level V............................................................ 1 2 2 

SES ............................................................................ 0 0 0 

Subtotal ..................................................................... 1 2 2 

SL - 00 ........................................................................ 1 1 1 

ST - 00 ........................................................................ 0 0 0 

Subtotal ..................................................................... 1 1 1 

GS/GM -15 ................................................................... 18 20 20 

GS/GM -14 ................................................................... 21 25 25 

GS/GM -13 ................................................................... 39 54 54 

GS -12 ........................................................................ 10 11 11 

GS -11 ........................................................................ 4 4 4 

GS -10 ........................................................................ 0 0 0 

GS - 9 ......................................................................... 1 1 1 

GS - 8 ......................................................................... 0 1 1 

GS - 7 ......................................................................... 9 10 10 

GS - 6 ......................................................................... 0 0 0 

GS - 5 ......................................................................... 0 0 0 

GS - 4 ......................................................................... 0 0 0 

GS - 3 ......................................................................... 0 0 0 

GS - 2 ......................................................................... 0 0 0 

GS - 1 ........................................................................ 0 0 0 

Subtotal ........................................................................ 102 126 126 

Other Pay Schedule Systems ............................................... 0 0 0 

Total employment (actuals & estimates) ............................... 104 129 129 

GPRA Information

NIGC - 17 

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.” 

 

GPRA 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 NIGC followed the consultation requirements set 

forth in the GPRA, Executive Order 13175 “Consultation and Coordination with Indian Tribal 

Governments,” the National Indian Gaming Commission Policy on Consultation with Indian 

Tribes, and guidance from the Office of Management and Budget (OMB). The NIGC recognizes 

the importance of tribal consultation in formulating policy and maintaining the government-togovernment relationship with tribal nations. To engage with tribal leaders in formulating the 

strategic plan, the NIGC sent written notice of the availability of the draft strategic plan and held 

a webinar to present and hear comments on it, followed by a comment period of more than a 

month. In addition, tribal input received during preceding consultation sessions related to the 

subject matter was taken into consideration. The NIGC also engaged with the public by posting 

the draft strategic plan for comment to the NIGC website. All relevant comments and feedback 

received during the webinar, in-person tribal consultations sessions, and from the public were 

taken into consideration in the strategic plan. 

The strategic plan for fiscal years 2022-2026 was published in February 2022. The Plan focuses 

on support for industry integrity, efforts around Agency accountability, the regulatory 

community’s commitment to preparedness, and innovation in the Agency’s outreach and 

collaboration. This strategic plan updates and supersedes the fiscal years 2018 – 2022 plan. 
NIGC - 18 

Summary and Highlights of Commission Activities

During FY 2021, the Commission’s five primary goals arising from its 2018 Strategic Plan 

consisted of (1) protecting against gamesmanship; (2) maintaining a strong workforce both within 

the agency as well as with NIGC’s tribal regulatory partners; (3) leveraging reliable and emerging 

industry technology trends to support tribal economic development and self-sufficiency; (4)

developing and executing a rural outreach plan; and (5) achieving operational excellence. Due to 

the COVID-19 pandemic, the NIGC remained fully operational through modification of work 

processes and maximum telework to protect the safety of its staff and stakeholders. As such, 

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

• The Commission continued its emphasis on working with tribal, state, 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 agency met National Archives and Records Administration standards for electronic 

record management and is on schedule to meet records management priorities.

• The Office of General Counsel advised the Chair and Commission on nine management 

contracts, thirty-nine tribal ordinance submissions, and litigation. Additionally, the Office of 

General Counsel assisted and brought stability to the tribal gaming industry by offering 

opinions on a variety of matters including two game classifications, two Indian land status, 

and seventy-four financing or other agreements to ensure they do not implicate management 

or sole proprietary interest concerns. 

• The Commission initiated a three-part consultation series and held Series A & B with tribes 

in FY 2021 on potential regulatory and policies changes. These important discussions will 

result in policy updates and shape future policy discussions. The consultation efforts will 

also bring more certainty to Agency policy, identify flexibilities in Agency operations 

beneficial to the NIGC and tribes, and promote more dialogue across the industry on 

emerging issues. 

• Commission staff continued to offer training and technical assistance to gaming tribes 

regarding regulatory changes.

• The Commission continued the process of focusing its training activities and agency 

resources by identifying partnerships, improving training offerings, and utilizing technology 

to more effectively reach intended audiences. The Commission completed 48 training events, 

including instruction at 2 National Virtual Training Conferences, 10 National Training Topic 

of the Month, 12 professional organization events, 11 site-specific trainings, 1 CJIS 

Symposium, 1 Human Trafficking Outreach, 1 Fingerprint Video, 6 employee trainings and 

continued management of the CJIS Online learning management system. These events 

provided instruction to 29,303 individuals including stakeholders and NIGC employees. 
NIGC - 19 

• The Commission held two (2) COVID-19 outreach related sessions that were attended by 

1,062 attendees. 

• Commission auditors performed 26 reviews and evaluations for FY 2021: 1 Internal Control 

Assessments (ICA), 2 Internal Audit Reviews (IAR), 8 Investigative Audits (IVA), 1 GAAP 

Audit Review (GAR), 12 ICA Follow-ups, 1 IAR Follow-up, and 1 GAR Follow-up, 524 

reviews on audited financial statements and 405 Agreed Upon Procedure report reviews. 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. 

• Commission staff continued to diligently review management contracts. The Commission 

received five new management agreement/amendment submissions and one management 

contract was approved by the Chairman in FY 2021. 

• The Commission continued to conduct financial background investigations on persons and 

entities associated with management contractors. The Commission received 20 applications 

for background investigations in FY 2021. 

• The Commission processed approximately 236,673 background and licensing actions 

including dissemination of fingerprint cards to and from the FBI and name checks for tribal 

gaming commissions. 

• The Commission, through its Compliance Division, addressed potential non-compliance 

through its standardized regulatory processes, analyzed tribal gaming facilities and created a 

compliance plan that included one site visit at each tribal gaming facility. Remote site visits 

continued through FY 2021 due to the pandemic. The Compliance Division completed 471 

site visits, 54 internal audit checklists, 258 licensing reviews and 130 Criminal Justice 

Information Services (CJIS) audits.

• The Commission, through its Technology Division, established a “Tech Alerts & Warnings” 

page on the NIGC web site to provide tribes with more centralized access to published IT 

security bulletins and resources, implemented a secure file transfer system to provide the 

agency and its external stakeholders a secure method of transfer for exchanging sensitive 

information, and completed 1 Information Technology Vulnerability Assessment in FY 2021. 

IT Audit worked with over 20 different tribes on 41 different information technology issues 

from CJIS, MICS, to general IT questions by email and/or phone calls providing guidance to 

our tribal partners. 

• To continue to help tribes combat the COVID-19 Pandemic the Commission provided 

ongoing updates to available resources which included public health and safety assessment 

checklists, a running list of answers to frequently asked questions, a model infectious disease 

and preparedness and response plan, and a weekly publication of statistics outlining the 

effects of the pandemic. Additional updates were provided which included a Winter COVID19 Guidance Update, Additional Guidance on Fully Vaccinated People, and Additional 

Guidance on Large Gatherings and Events. 
NIGC - 20 

During FY 2022, the Commission will continue its four strategic plan initiatives which focus 

on support for industry integrity; efforts around Agency accountability; the regulatory 

community’s commitment to preparedness; and innovation in the Agency’s outreach and 

collaboration. 

• The Commission will continue ongoing meetings with tribes regarding NIGC Operational 

Updates, Budget Development Process and Regional Summits. 

• The Commission continues it consultation efforts in FY 2022 with Series C focusing on 

regulations with implications for technology and NIGC processes to protect tribal assets, 

including NIGC background investigations and the substantial violations list. The Agency 

anticipates that this consultation could lead to the promulgation of new regulations after an 

additional round of consultation and dialogue with tribes and industry stakeholders during FY

2022. 

• The Commission has been working with the Treasury to implement the electronic fingerprint 

payment option through Pay.gov. This project will be completed in FY 2022 which offers the 

Tribes the flexibility and convenience of making fingerprint payments online. 

• The Commission continues to offer training and technical assistance, and enforcement when 

necessary, to help facilitate compliance throughout all regions. 

• The Commission will look to assess and seek out opportunities to enhance diversity, equity, 

inclusion, and accessibility in its hire practices to recruit, hire, develop, retain, engage, and 

motivate a diverse, results-oriented, high performing workforce. 

• The Commission continues to provide technical assistance and resources to tribes related to 

the COVID-19 Pandemic. 

• The Commission continues to build upon relationships with tribal, Federal, and state 

regulatory and/or law enforcement agencies.

• The Commission will continue promoting tribes’ capacity to plan for risks to tribal gaming 

assets including man-made disaster threats, cybersecurity threats, pandemics, natural disaster 

threats, the need to modernize and enhance regulatory and gaming operation workforces, or 

public health and safety emergencies such as active shooter and human trafficking threats. 

To enhance these efforts, the Commission has hired staff with subject matter expertise in 

environmental, public health and safety to better assist tribes with critical event response and 

preparedness planning. 

• 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 Office of General Counsel continues to advise the Chair and Commission on 

management contracts, tribal ordinance submissions, and litigation. Additionally, the Office 

of General Counsel continues to assist and bring stability to the tribal gaming industry by 

offering opinions on a variety of matters including game classifications, Indian land status, 
NIGC - 21 

and whether financing or other agreements implicate management or sole proprietary interest 

concerns. 

• The Commission continues to work on drafting, or revising, and adopting additional internal 

agency policies. 

• The Commission continues to improve the level of response to requests received from tribes 

for technical assistance and support to include cybersecurity incident response. To assist in 

these efforts, the Commission will continue its engagement with Federal partners to leverage 

all forms of training, resources, and technical assistance to better serve targeted audiences 

being mindful of impacts to Commission and tribal financial resources. The Commission 

continues to update the training catalog and provides training to tribes throughout all eight

NIGC regions. The Commission is continuing efforts to modernize the NIGC Information 

Technology (IT) services to improve and maintain reliability and manageability. This 

includes updating the agency’s public facing website and accounting systems. 

• The Commission through its Technology Division will continue its efforts to redesign the 

current NIGC Fingerprint program and Tribal Access Portal (TAP) application to provide 

enhanced security and usability for our tribal partners. 

• The Commission will continue to improve its operational efficiency by working toward fully 

transitioning to newly approved electronic record schedules and by leveraging its ongoing IT 

upgrades to further enhance the stability, security, and efficiency of the Commission’s 

records management processes. 

• The Commission will continue to track technological advancements in the industry to ensure 

the Commission provides up-to-date technical assistance, ensures regulations remain current 

and applicable, meets its oversight responsibilities, and fulfills its statutory mandates.

• The Commission will continue assessing long-term workforce needs and office planning. 

• The Commission continues to ensure Agency tasks are completed to include, but not limited 

to the following: 

- performing internal control assessments specific to Class II gaming operations. 

- performing IT vulnerability assessments as a service for tribal gaming operations to 

identify and protect against IT threats and vulnerabilities. 

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

gaming related training and technical assistance.

- Ensuring availability of NIGC Fingerprint programs services enabling tribes with 

information to complete their own comprehensive background investigation of 

prospective licensing applicants.

- maintaining accumulated financial data from the gaming operations’ audited financial 

statements and Agreed Upon Procedures (AUP) report filings to ensure accuracy and 

justification of Commission established fee rates. 
NIGC - 22 

- performing internal audits of NIGC divisions 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 tribal governments and 

tribal regulators, in particular, assisting tribes that are considering entry into the 

Indian gaming industry or have recently opened a new Indian gaming facility.

As part of its program objectives for FY 2023, the Commission plans to:

• Continue to hold ongoing meetings with tribes regarding NIGC Operational Updates, Budget 

Development Process and Regional Summits. 

• Continue its emphasis on Upholding Integrity, Committing to Accountability, Promoting 

Preparedness, and Cultivating Outreach.

• Continue building relationships with partner governments and sister agencies to share timely 

information and provide technical assistance and training. 

• Continue to take steps to achieve the NIGC Performance Goals as identified in the Strategic 

Plan and monitor strategic plan performance measures.

• Continue efforts to modernize NIGC Information Technology services to improve and 

maintain reliability and security for information systems and data. This includes adding staff 

with expertise and increasing cyber security protocols to protect agency data. 

• Continue its regulatory review and implement its new and/or revised regulations and provide 

training to tribes on compliance with any new requirements. 

• Continue to review management contracts and tribal ordinance submissions and make 

appropriate changes to process and staffing levels. 

• Continue, through its Office of General Counsel, to offer opinions on a variety of matters 

including game classifications, Indian land status, and whether financing or other agreements 

implicate management or sole proprietary interest concerns.

• Continue to seek out opportunities to improving operational efficiencies by development of 

the Commission’s internal administrative, communications and evaluation functions. 

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

initiatives and training resources. 

• Coordinate and provide training events to tribal entities in each of the eight regions either 

through virtual platforms or in person settings. 
NIGC - 23 

• Continue to respond to requests from tribes for technical assistance and increase both the 

amount and breadth of technical assistance provided and updating the training catalog as 

necessary. 

• Utilize all forms of training forums and locations to better reach targeted audiences and save 

Commission and tribal financial resources. 

• Continue to assess the effectiveness of the agency’s training program to assist tribes in 

achieving and maintaining compliance.

• Continue to perform site visits, internal control assessments, IT vulnerability assessments,

and other types of compliance reviews to maintain the integrity of the gaming industry. 

• Continue to implement the requirements of GPRA.

• Continue to update information systems and programs to ensure compliance with the receipt 

of personal identifiable information and criminal history record 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 compliance. 

• Continue to enhance internal records management. 

• Continue to 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 advancements in the industry to ensure the Commission 

provides up-to-date technical assistance, ensures regulations remain current and applicable, 

meets its oversight responsibilities, and fulfills its statutory mandates.

• Promote the self-determination goals of IGRA through administration and promotion of the 

law’s self-regulation provisions. 

• Continue to support Indian country-wide efforts to promote awareness around environmental, 

public health and safety priorities and critical event response and preparedness. The 

Commission will look to accomplish these efforts by providing ongoing training and 

technical assistance. 

• Continue to identify appropriate opportunities for the NIGC to support tribes’ response and/or 

recovery efforts from the impact of the pandemic on Indian gaming.