National Indian Gaming Commission 

Government Performance and Results Act 

Strategic Plan for Fiscal Years 2009 – 2014
MESSAGE FROM THE CHAIRMAN

It is my pleasure to present the National Indian Gaming 

Commission’s first ever Strategic Plan for fiscal years 2009–

2014. This Strategic Plan was prepared pursuant to the 

Government Performance and Results Act of 1993, and outlines 

the Commission’s mission and strategic goals and objectives for 

the current, and the next five, fiscal years. 

This is a unique and important time for the Commission. Indian 

gaming has proved to be the most effective economic 

development tool that has ever been utilized in Indian country, 

notwithstanding generations of attempts by other means, and the 

expenditure of untold taxpayers’ dollars on other ventures. While 

Indian gaming will only work effectively where there is a market for gaming, and while the 

extent of Indian gaming’s success will be proportionate to the size of that market and the 

competition therein, it has proven to be a remarkable success in many parts of Indian country. 

The Indian gaming industry has grown annually at significant rates, increasing in complexity 

and sophistication, and producing positive impacts in many areas of Indian society. 

The Commission is mindful of the trust relationship that the United States bears to the Indian 

nations it serves and of the importance of prompt and efficient administration of the Indian 

Gaming Regulatory Act of 1988 to foster the economic development so urgently needed by 

Indian tribes. The Commission strives to be responsive to tribes seeking guidance as they 

enter the dynamic gaming industry. The Commission monitors trends in tribal government 

gaming, and reports its findings to the tribes, the Federal family, and other constituencies. 

In accordance with the requirements of OMB Circular A-11, the Strategic Plan includes: 

• the Commission’s vision and mission statements; 

• strategic goals and objectives defining how the Commission will fulfill its mission; 

• descriptions of the means and strategies that will be used to achieve the strategic goals and 

objectives; 

• identification of key external factors that could affect achievement of the strategic goals 

and objectives; 

• a description of the relationship between the strategic goal framework and performance 

measures in the annual performance report; 

• descriptions of cross-cutting efforts to be utilized to achieve the Commission’s strategic 

goals; and 

• descriptions of program evaluations to be used to continually assess progress towards 

achieving the Commission’s strategic goals. 

I look forward to working with all interested parties and the Commission staff in the coming 

year to continue to provide high-quality service and to maintain the trust of tribal 

governments, tribal regulators, Indian gaming industry, and the public, in the job that we are 

doing. 

Philip N. Hogen, Chairman 
National Indian Gaming Commission 

Table of Contents 

OVERVIEW______________________________________________________________________ 1

DEVELOPING THE STRATEGIC PLAN _____________________________________________ 3

VISION _________________________________________________________________________ 4

MISSION________________________________________________________________________ 4

STRATEGIC GOALS, OBJECTIVES AND OUTCOMES_________________________________ 5

KEY EXTERNAL FACTORS_______________________________________________________ 13

RELATIONSHIP BETWEEN STRATEGIC GOALS AND THE ANNUAL PERFORMANCE 

REPORT _______________________________________________________________________ 15

CROSS-CUTTING EFFORTS TO ACHIEVE THE COMMISSION’S STRATEGIC GOALS___ 15

PROGRAM EVALUATION ________________________________________________________ 16

CONSULTATION WITH STAKEHOLDERS__________________________________________ 17

APPENDIX A: OUTLINE OF THE COMMISSION’S STRATEGIES / OBJECTIVES_______ A-1

APPENDIX B: COMMISSION ORGANIZATIONAL STRUCTURE______________________ B-1
OVERVIEW

The Commission

The National Indian Gaming Commission (“Commission”) is an independent regulatory 

agency of the United States established pursuant to the Indian Gaming Regulatory Act of 

1988 (“IGRA”). The Commission was created to fulfill the mandates of IGRA of 

fostering tribal economic development. The Commission became operational in 1993, 

and is comprised of a Chairman and two Commissioners, each of whom are appointed to 

three-year terms. 

The Commission establishes policy, oversees the agency, and is responsible for carrying 

out the duties assigned to it by IGRA. The Commission is authorized to: conduct 

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

violation and closure orders, and the assessment of civil fines; review and approve 

management contracts; and issue such regulations as are necessary to meet its 

responsibilities under IGRA. 

The Commission provides Federal oversight to approximately 443 tribally-owned, 

operated, or licensed gaming establishments operating in 29 states. The Commission 

maintains its headquarters in Washington, D.C., and has five regional offices and four 

satellite offices. The Commission established its regional structure to increase 

effectiveness and improve the level and quality of services that it provides to tribal 

gaming regulatory authorities. The regional offices are vital to executing the 

Commission’s statutory responsibilities and securing industry compliance with IGRA. 

The Commission’s efficiency and effectiveness have improved as a result of locating 

auditors and investigators geographically closer to Indian gaming facilities, as regular 

visits enable better oversight of tribal compliance with regulations and allows for timely 

intervention where warranted. In addition to auditing and investigative activities, the 

Commission field staff provides technical assistance, education, and training to promote a 

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

cooperation and compliance. Further, the Commission serves as a clearinghouse for vital 

information sharing between the tribes, Federal agencies, and the states and other 

stakeholders, such as law enforcement and public safety agencies. 

The Indian Gaming Regulatory Act of 1988

The rise of tribal government-sponsored gaming dates back to the late 1970’s when a 

number of tribes established bingo operations as a means of raising revenues to fund 

tribal government operations. At approximately the same time, a number of state 

governments were also exploring the potential for increasing state revenues through statesponsored gaming. By the mid-1980’s, a number of states had authorized charitable 

gaming, and some were sponsoring state-operated lotteries. 

Although government-sponsored gaming was an issue of mutual interest, tribal and state 

governments soon found themselves at odds over Indian gaming. The debate centered on 
the issue of whether tribal governments possessed the authority to conduct gaming 

independent of state regulation. Although many lower courts affirmed the tribal view, the 

matter was not finally resolved until 1987, when the U.S. Supreme Court, in California v. 

Cabazon Band of Mission Indians, 480 U.S. 202 (1987), affirmed the authority of tribal 

governments to establish gaming operations independent of state regulation provided that 

the state in question permits some form of that gaming. 

In the mid 1980’s, Congress took up the issue of Indian gaming and initiated several draft 

Indian gaming bills and conducted a series of hearings, ultimately culminating in the 

passage of IGRA in 1988. IGRA set up the jurisdictional framework governing Indian 

gaming, establishing three classes of games with different regulatory schemes for each 

class. IGRA was intended to embody a compromise between tribal and state interests. 

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 with the 

game. In addition, if played in the same location as bingo, class II gaming also includes 

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

gaming also includes non-banked card games, i.e., games played exclusively against 

other players, versus the house or a player acting as the bank. IGRA specifically excludes 

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

II games. Tribes retain the 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, the 

tribal government adopts a gaming ordinance approved by the Commission, and there is 

Commission oversight. 

Class III gaming includes all forms of gaming that are neither class I nor class II gaming. 

Class III gaming is often referred to as full-scale, casino-style gaming, such as slot 

machines, blackjack, craps, and roulette, as well as wagering games and electronic 

facsimiles of games of chance. As a compromise between 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 

particular form of class III gaming that the tribe wishes to conduct must be permitted in 

the state in which the tribe is located; (2) the tribe and the state must have negotiated a 

compact 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 

approved by the Chairman of the Commission. The regulatory scheme for class III 

gaming is more complex than a casual reading of IGRA might suggest. Although 

Congress clearly intended for states to address regulatory issues in tribal-state compacts, 

this was not made mandatory by IGRA. Accordingly, many states relied upon continued 

Commission regulatory oversight under IGRA to address regulatory concerns regarding 

class III gaming, including the approval of management contracts and tribal gaming 

ordinances. Thus, the extent of a state’s participation in the regulation of class III gaming 

varies from state to state. 

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With the exception of unilateral good faith compact negotiations in some states, the 

model envisioned by IGRA has generally worked for nearly 20 years, producing over $26 

billion in Indian gaming revenue in 2007. The Commission is in a position to see Indian 

gaming from a broad vantage, enabling it to spot trends and react in ways that the tribes 

and states are not equipped. 

DEVELOPING THE STRATEGIC PLAN

The Commission views a strategic plan as a fundamental tool that is a prerequisite for 

success in any good business. Strategic planning provides organizational direction with 

outcome-oriented, measurable strategic goals and objectives (“the whats”) in support of 

the mission, the means and strategies (“the hows”) in achieving said goals and objectives, 

and the measures of monitoring progress towards achieving the goals and objectives. 

The development of the Commission’s Strategic Plan was an agency-wide team effort, 

which included every Commission employee at every level. The Commission genuinely 

believes that in order for any strategic plan to have successful outcomes, it must have the 

involvement, understanding, and “buy-in” of those who will be responsible for 

implementing the plan, achieving the goals and objectives, and subject to the 

performance measures. Although the process utilized by the Commission may not be as 

expedient as dictating from the top, we believe that this approach will lead to success. 

We are proud of the effort devoted by the entire Commission team, and the important 

substance of the resulting Strategic Plan.1

In addition, the Commission sought comments and suggestions from its numerous 

stakeholders and partners, which include: the tribes engaged in gaming, and their 

members; tribal, state, and Federal law enforcement and regulatory agencies; and tribal 

gaming operations. We recognize that successful achievement of our goals and objectives 

will require the support, cooperation, and collaboration of these stakeholders and 

partners. Of course, strategic planning is never a static activity, and the Commission’s 

strategic direction will continue to evolve and improve as it evaluates its performance in 

the coming fiscal years. 

Finally, the Commission’s Strategic Plan is intended to be a management tool in the 

administration of good government and sound regulation. The plan was developed to 

present a roadmap for the Commission for the next five years. While it is, of course, 

subject to changes by the next administration, it is our belief that the plan transcends 

politics and provides a clear, objective vision moving forward. 

 

1

 It should be noted that this is the Commission’s first attempt at a formal strategic plan. The Commission 

is a relatively-new and relatively-small Federal agency, and was not formally required to comply with all 

elements of the Government Performance and Results Act until IGRA was amended in 2006. 

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VISION

 

An Indian gaming industry in which Indian tribes are the primary beneficiaries of gaming 

revenues; gaming is conducted fairly and honestly by both operators and players; and 

tribes and gaming operations are free from organized crime and other corrupting 

influences. 

MISSION

 

To effectively monitor and participate in the regulation of Indian gaming pursuant to the 

Indian Gaming Regulatory Act in order to promote the integrity of the Indian gaming 

industry. 

About the Vision and Mission

Indian tribes as the primary beneficiaries of gaming revenues... 

Indian gaming revenues have grown at a rapid rate since IGRA was enacted in 1988. The 

most recent totals for Indian gaming revenue for 2007 stood at over $26 billion. With 

these increased resources, tribes have been able to strengthen tribal governments, better 

provide for the general welfare of their 

respective tribal members, reinvest in the 

expansion of gaming facilities, and 

diversify into other economic growth 

opportunities. As this economic 

development and prosperity continues and 

expands to include a broader number of 

tribes and tribal members throughout the 

United States, the Commission intends to 

help ensure such economic development 

benefits the participating tribes. Growth of Indian Gaming Revenues (in Billions)

$8.50

$9.80

$10.96

$12.82

$14.72

$16.83

$19.48

$22.58

$24.89

$26.02

$0

$5

$10

$15

$20

$25

$30

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

 

Gaming conducted fairly and honestly by both operators and players... 

In the past, in some jurisdictions, gambling and casino-style gaming has been highly 

susceptible to corrupt and dishonest operators and patrons. The fast-paced, cash intensive 

nature of casinos has often proven to attract those who would violate the rules and the 

law in order to realize a quick payout. Fortunately, the gaming industry, along with 

Federal and local law enforcement, has over the past several decades developed fervent 

policies and procedures to prevent cheating and fraud. IGRA envisions and enables the 

Commission to utilize these proven techniques to maintain the integrity of gaming as it 

has expanded to Indian lands. 

4 
Indian gaming operations that are free from organized crime and corrupting 

influences... 

Historically (although not pervasively), tribes have been the victims of unscrupulous 

contractors and loan sharks, as well as attempts at penetration by criminal organizations 

and organized groups of card cheats. Regrettably, there has also been the occasional 

success in bribing and corrupting elected tribal officials. These unfortunate events are 

evidenced by numerous law enforcement investigations, prosecutions and convictions, 

and regulatory enforcement actions. Subsequent enforcement actions have often had a 

direct adverse effect on the Indian gaming revenue stream. 

STRATEGIC GOALS, OBJECTIVES AND OUTCOMES

Effectively monitoring and regulating Indian gaming necessitates a broad agenda of 

initiatives, both short- and long-term. In the context of this Strategic Plan, the 

Commission will pursue 3 strategic goals to improve the integrity of the Indian gaming 

industry: 

• Increase compliance with gaming laws and regulations; 

• Increase service to tribal governments and gaming operations; and 

• Maximize the use of Commission resources. 

Although these three goals may appear broad and far-reaching, we believe that focusing 

our attention on these goals is a priority in supporting our mission during the current and 

next five fiscal years. Each goal is supported by more specific strategic objectives, means 

and strategies for achieving those objectives, and potential measures of success. 

Strategic Goal #1: Increase compliance with gaming laws 

and regulations. 

Increasing compliance with gaming laws and regulations is a core component of the 

Commission’s mission. Detecting and eliminating issues of noncompliance will 

ultimately enhance the integrity of Indian gaming, as well as facilitate our organizational 

vision. In support of Strategic Goal # 1, we have identified two primary objectives: (1) 

effectively monitor compliance with gaming laws and regulations; and (2) expand the 

knowledge and implementation of Indian gaming laws and regulations throughout the 

industry. These objectives are key to not only accomplishing our primary mission of 

monitoring and participating in the regulation of Indian gaming, but also assisting tribes 

and tribal regulatory agencies in self regulation. 

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Objective 1.1: Effectively monitor compliance with Indian gaming 

laws and regulations. 

Monitoring and, when necessary, enforcing gaming laws and regulations is an essential 

function of the Commission. The Commission also works with other Federal agencies to 

ensure the integrity of the Indian gaming industry. In the past, some individuals have 

been subjected to public corruption investigations, prosecutions, convictions, and fines 

for a variety of gaming-related offenses including (but not limited to): 

• misappropriation of Indian gaming revenues, or unlawful receipt of funds from 

gaming contractors; 

• internal theft or embezzlement of funds in Indian gaming operations; and 

• tax-related violations for not reporting gambling winnings, and for non-compliance 

with the Title 31 money laundering statutes. 

In addition, some tribes have been subjected to numerous findings and enforcement 

actions by the Commission including: 

• operational compliance audits that have resulted in hundreds of findings of noncompliance with required minimum internal control standards relative to cash 

handling and revenue accountability; and 

• the issuance of numerous notices of violations, facility closure orders, and the 

imposition of substantial monetary fines totaling millions of dollars. 

These findings and enforcement actions directly affect the profitability of the Indian 

gaming operation, and in relation to our mission, the integrity of the Indian gaming 

industry. 

Means and Strategies for Achieving Objective 1.1

The Commission will utilize three strategies in order to effectively monitor compliance 

with gaming laws and regulations. 

First, the Commission will ensure that tribes meet the statutory prerequisites to conduct 

gaming under IGRA by making timely determinations on tribal gaming ordinances, 

management contracts, and other statutorily-required activities. 

Second, the Commission will conduct monitoring activities of Indian gaming operations 

in a uniform and consistent manner. Routine site visits will consist of compliance reviews 

and the use of standardized audit checklists. The Commission will, through its various 

field offices, develop and maintain positive working relationships with tribal gaming 

regulatory authorities. The Commission will also publish annual compliance reports and 

annual Indian gaming revenue reports. 

Third, the Commission will conduct prudent regulatory enforcement actions as necessary. 

Working with tribal gaming regulatory authorities, we will provide advice and assistance, 

6 
as well as assessments, warnings, and recommendations for observed compliance 

weaknesses. As a last resort or in cases of imminent jeopardy, the Commission will 

initiate enforcement actions. Most enforcement actions will result in a settlement 

agreement between the tribes and the Commission; thus, we will monitor compliance 

with the provisions in these settlement agreements. 

Objective 1.2: Expand the knowledge and implementation of Indian 

gaming laws and regulations throughout the industry. 

The gaming industry as a whole, and the Indian gaming industry in particular, is a highly 

fluid and ever-changing environment. A constantly shifting economic landscape, 

combined with technological changes, results in continually changing regulatory 

requirements. As the laws and regulations change, it is incumbent on the Commission to 

ensure those changes are disseminated throughout the industry as quickly and completely 

as possible.2

From a tribal perspective, this regulatory environment becomes even more complex. 

While the Commission’s focus is limited to Federal Indian gaming laws and regulations, 

tribal gaming regulatory authorities must concern themselves with all tribal laws, as well 

as state and Federal laws and regulations. For example, tribes must familiarize 

themselves with Federal tax laws and regulations, Indian gaming laws and regulations 

and building, health and safety codes. Given the complexity and comprehensiveness of 

all of the compliance and enforcement requirements relevant to tribal gaming regulatory 

authorities, it is inevitable that issues are missed or overlooked, resulting in instances of 

non-compliance. 

Means and Strategies for Achieving Objective 1.2

Expanding the knowledge and implementation of Indian gaming laws and regulations 

will involve two basic approaches. These strategies will incorporate the collaboration and 

cooperation of tribal governing and regulatory authorities, coupled with mutual respect 

for the government-to-government relationship. 

First, the Commission will draft and publish new or revised regulations as necessary. 

Whenever possible, the Commission will utilize tribal advisory committees to assess 

either the need for new regulations or the revision of existing regulations. In doing so, the 

tribes’ primary role in enforcement will be continually emphasized. 

Second, the Commission will provide technical assistance through formal and informal 

regulatory guidance to tribes. This is, in fact, the Commission’s most desired approach to 

achieving this objective. By publishing informative bulletins which address “frequently 

asked questions” and “best practices,” we will provide the tribes with non-threatening 

 

2

 The amendment of IGRA in May 2006 specifically mandated the Commission to provide technical 

assistance to tribes engaged in Indian gaming. The types of technical assistance that the Commission 

provides can take many forms, including formal and informal guidance. 

7 
education and guidance. In addition, we will conduct voluntary compliance audits, and 

provide timely responses to inquiries from tribes, including recommendations for 

regulatory improvement. Initial and follow-up reviews in order to monitor progress will 

be made as necessary. 

Collectively, the implementation of these strategies will enable tribes to become more 

knowledgeable of the Indian gaming laws and regulations, leading to increased 

compliance with these laws and regulations. This is intended to lead to a decreased 

number of necessary Commission enforcement actions, while enhancing the integrity of 

the industry as a whole. 

Potential Measures of Progress of Strategic Goal # 1

• The timeliness of agency determinations for, and/or responses to, tribal submissions; 

• The number and breadth of site visits and compliance audits by Commission 

personnel, as well as the results of such audits; 

• The level of satisfaction of tribal gaming regulatory authorities and other 

governmental authorities in Commission regulatory activities; 

• An increase in the number of tribes who indicate or demonstrate that they are familiar 

with IGRA and other regulatory requirements; 

• A decrease in the number and breadth of enforcement actions, notices of violation and 

settlement agreements, including monetary penalties ordered and collected; and 

• A decrease in criminal investigations and proceedings related to Indian gaming. 

Strategic Goal # 2: Increase service to tribal governments 

and gaming operations. 

Improving the services that the Commission provides to tribal governments and gaming 

operations is crucial to accomplishing its mission. To be effective, the Commission must 

have the full faith and trust of tribal governments and must be perceived as partners with 

tribal gaming regulatory authorities. Without this trust, the Commission will be hindered 

in its ability to regulate Indian gaming effectively. In support of Strategic Goal # 2, we 

have identified two primary objectives: (1) improve technical assistance to tribal 

governments and gaming operations; and (2) improve inter-agency relationships and 

communications. Achieving these objectives will help to enhance and protect the 

integrity of Indian gaming and ensure that the industry remains fair, honest, and protected 

from negative influences. 

Objective 2.1: Improve technical assistance to tribal governments 

and gaming operations. 

The 2006 IGRA amendment mandated the Commission to provide technical assistance to 

tribes engaged in Indian gaming. The manner of technical assistance can take many 

forms, including consultations and training. While consultation sessions are not 

8 
necessarily technical assistance, they are often specific discussions where tribal 

representatives seek technical guidance on casino operations, regulatory issues, or other 

matters affecting their gaming operations. The Commission has had a formal 

consultation policy since 2004, and currently invests a considerable amount of time and 

resources in conducting consultations with tribal gaming leaders. Despite these efforts, 

many tribal leaders and tribal gaming organizations have communicated that they believe 

the process to be inadequate and unsatisfactory to their needs for consultation and 

guidance. The Commission recognizes that there is room for improvement. 

With regards to training, there are two main factors which drive the need to 

institutionalize a methodology for continuous training of tribal governmental and 

regulatory officials: (1) there is the enormous complexity of all of the legal and 

regulatory compliance requirements associated with Indian gaming; and (2) due to the 

nature of elected or appointed terms, there is a consistent, relatively-high turnover rate of 

tribal gaming leadership, resulting in a continual loss of knowledge and expertise in 

Indian gaming regulatory compliance and enforcement requirements. 

Means and Strategies for Achieving Objective 2.1

Improving technical assistance to tribes will involve two strategic approaches, both of 

which will require the collaboration and cooperation of tribal governing and regulatory 

authorities, coupled with mutual respect for the government-to-government relationship. 

First, the Commission will work to improve the government-to-government consultation 

process. To accomplish this, the Commission will reach out to the tribes and tribal 

organizations to work collaboratively with the Commission to establish a mutually 

agreeable and beneficial consultation process; annually publish upcoming consultation 

calendars; and actively seek and focus on issues most important to tribes, while informing 

them of Federal issues which may have an impact on them. 

Second, the Commission will establish and implement effective training programs which 

will focus on expressed or perceived tribal needs. These tribal needs will be met by 

accommodating specific requests or identified weaknesses in areas of compliance. This 

strategy will require the dedication of significant resources, and will consequently require 

adequate budgetary planning. However, the resulting benefits from this strategy will far 

outweigh the costs. The Commission will also encourage tribes to increase their 

participation in the Indian Gaming Working Group training. 

Objective 2.2: Improve inter-agency relationships and 

communications. 

Protecting tribal gaming revenues, ensuring gaming is conducted fairly, and safeguarding 

the industry from criminal or undesirable elements all require a high level of cooperation 

and interaction between all levels of regulatory bodies. Communication between the 

Commission and tribal governments and gaming operations will only augment the quality 

of regulatory oversight of Indian gaming. Additionally, because many tribal regulatory 

9 
bodies rely on the Commission to assist in background investigative procedures, the need 

exists for an improved system of support and cooperation. 

Means and Strategies for Achieving Objective 2.2

First, the Commission will improve and expand its external communication. This will 

require publishing Commission bulletins and quarterly newsletters with valuable 

regulatory information and guidelines. These bulletins and newsletters will be 

disseminated as widely as possible throughout the industry, including posting to the 

Commission’s website (www.nigc.gov). The website will also be updated frequently with 

pertinent regulatory information and guidelines, Commission actions and organizational 

changes. We will also improve our practice of maintaining an accurate list of names and 

tribal contact information to ensure that the information is current. 

Second, the Commission will improve response time to external tribal inquiries and 

submissions. To accomplish this, the Commission will implement a more efficient 

document tracking and reporting system, and establish and monitor response time goals. 

In addition, we will expand the ability for tribes to make electronic submissions. 

Third, the Commission will improve the methodology and timeliness of providing tribal 

gaming regulatory authorities with applicant background information. We will implement 

a more efficient system for the timely acknowledgement of receipt of fingerprint 

submissions and fees, and respond with the results of the fingerprint checks within the 

required regulatory deadlines. In addition, we will improve the timely distribution of 

monthly invoices and statements, and provide applicant background information as a 

routine use. 

Potential Measures of Progress of Strategic Goal # 2

• Number, nature and complexity of requests from tribal regulatory bodies for 

regulatory assistance; 

• The level of satisfaction of tribal leaders with the consultation process and schedule; 

• The number of consultations completed each year; 

• The number and breadth of training programs conducted for tribal officials; 

• The level of participation in the Indian Gaming Working Group; 

• The level of satisfaction of tribal leaders with the Commission’s training program; 

• The number of bulletins published by the Commission each year; and 

• The level of satisfaction of tribal regulators with Commission response time and 

service in processing external requests and background information. 

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Strategic Goal # 3: Maximize the use of Commission 

resources. 

The Commission’s third strategic goal is challenging, yet critical to the organization’s 

mission accomplishment. In comparison to most Federal agencies, the Commission is a 

relatively new entity. In the past, the Commission was subject to funding limitations that 

hindered its ability to develop and keep pace with the rapidly-growing Indian gaming 

industry. Specifically, these funding limitations: 

• prohibited the Commission from procuring the necessary resources to provide 

adequate services to the tribes engaged in gaming, and from providing the appropriate 

regulatory oversight; 

• prevented the Commission from hiring and retaining highly-qualified personnel to 

focus on correcting the real or perceived organizational and procedural weaknesses; 

and 

• required the Commission to routinely turn to Congress in order to raise the cap on 

funding. 

When IGRA was amended in 2006, the Commission was able to realize a more adequate 

and stable source of funding. The Commission’s funding is now based on fee assessments 

on a limited percentage of industry-wide Indian gaming revenues. The continued growth 

of Indian gaming requires the Commission to ensure that the necessary infrastructure is in 

place for the agency to maintain a well-qualified workforce that will better serve the 

industry. 

Objective 3.1: Improve agency administration. 

Due to the relative small size of the Commission and its very limited resources, the 

Commission has, in the past, contracted with the Department of the Interior for its 

administrative services. At times, the lack of in-house capabilities, planning, and 

resources has prevented the Commission staff from providing adequate support to the 

Commissioners. The continued growth of the Commission requires a new focus on 

developing the necessary infrastructure for appropriate agency administration. The 

Commission recognizes that effective and efficient internal operations are critical to 

success in accomplishing its strategic goals and fulfilling its mission. 

Means and Strategies for Achieving Objective 3.1

First, we will improve fiscal discipline and provide transparency to affected stakeholders 

by establishing a justifiable and fiscally-sound budget. This budget will be effectively 

managed and tracked by closely monitoring budgeted-to-actual expenses. The 

Commission will also procure and implement updated financial accounting systems, and 

establish and comply with appropriate internal controls and funds management practices. 

In addition, routine internal audits will be conducted, along with an annual external 

independent audit. 

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Second, the Commission will improve and expand internal communications by 

developing an intranet, as well as continuing to develop the tribal information 

management systems. The Commission will also hold regularly-scheduled meetings or 

conference calls with field personnel in the Commission’s regional and satellite offices to 

better understand the tribal concerns in the regions. 

Finally, the Commission will develop and/or procure the appropriate technological 

advances to enhance internal communication. The Commission will perform reasonable 

assessments of its technological needs, and make the necessary budget allocations with 

the appropriate justifications supported by sound cost/benefit analyses. 

Objective 3.2: Develop human resource programs that support the 

Commission’s mission, goals and objectives. 

The Commission’s staff is its most valuable resource in accomplishing its mission. The 

unique skill sets and qualifications that are necessary in Indian gaming regulation make 

human capital development a priority in achieving our strategic goals. The highly fluid 

nature of the industry combined with an ever-changing regulatory environment requires 

continuous training and development. Additionally, the distinctive history and cultures of 

the numerous tribes across the county provide exceptional challenges in fostering mutual 

respect between the Commission, tribal government officials, and tribal members. Only 

with an ambitious and comprehensive human resource development program will the 

Commission be able to maximize the use of our human capital. 

Means and Strategies for Achieving Objective 3.2

First, the Commission will focus on developing and implementing internal agency 

policies and procedures. The Commission will assess and identify the areas of procedural 

weaknesses, or non-compliance with existing regulations, and work to correct them. The 

Commission will also issue an employee handbook and an updated agency policy 

manual, both of which will be expanded or updated as necessary. 

Next, the Commission will establish an employee development program in order to 

attract and retain highly-qualified personnel. The Commission will annually assess the 

skills of its employees and provide the necessary training to address identified skill gaps 

or performance weaknesses. The Commission will enable employees to attend job-related 

professional training opportunities through appropriate budget allocations. In addition, 

the Commission will update its incentive and award program. This will contribute to a 

higher rate of employee retention. 

The Commission will implement a tribal cultural awareness training program for all 

agency personnel. This approach is grounded on the belief that the tribes will appreciate 

and value interacting with an agency whose personnel have a solid understanding and 

awareness of the widely-varied Native American cultures. We believe that such a 

program provides a better foundation for mutual respect and understanding, and more 

12 
effective communication. We will instill an aggressive and proactive cultural awareness 

training program to educate Commission employees in the numerous and varied tribal 

customs and traditions, as well as the diversity of tribal governmental structures. We 

believe that this kind of knowledge will be mutually beneficial to both the Commission 

and the tribes. 

Finally, we will continue to monitor the Indian preference litigation and determine the 

impact that litigation has on the Commission. In the meantime, the Commission will 

continue its efforts to assure that it hires employees who have experience in and 

knowledge and understanding of Native American culture. 

Potential Measures of Progress of Strategic Goal # 3

• The establishment and effective management of a fiscally sound budget, with a low 

variance between budgeted to actual expenditures; 

• Annual audited financial statements that include an unqualified opinion; 

• The adherence of Commission personnel to internal compliance programs; 

• The level of user satisfaction with the NIGC website and employee intranet; 

• Employee feedback on policy manuals and Commission policies and procedures; 

• Number of employees attending training programs each year; 

• The identification and implementation of agency technological needs; and 

• The number and breadth of cultural awareness training programs. 

KEY EXTERNAL FACTORS

The following are key external factors that the Commission has identified which could 

significantly and adversely affect the ability of the Commission to achieve its strategic 

goals: 

• An important element of the Commission’s vision is that Indian tribes are the primary 

beneficiaries of gaming revenues. As mentioned previously, these revenues have 

played a vital role in the economic development of Indian tribes. A sharp downturn in 

the local or national economy could adversely affect the gaming public’s amount of 

disposable income, thereby reducing Indian gaming patronage and resulting in a 

decrease in Indian gaming revenues. 

• The Commission is comprised of a Chairman and two Commissioners. Currently, 

there is a vacancy on the Commission. To take certain regulatory actions, the 

Commission can act only if there is a quorum of two Commissioners. The sudden and 

unexpected departure of one or two Commissioners would paralyze the Commission 

until such time that new Commissioners are appointed. 

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• The Commission is a very small agency, with approximately 100 full-time 

employees. Extensive litigation against the Commission would result in a shift of 

limited agency resources, normally used to perform its normal regulatory oversight 

functions (e.g., reviews of management contracts and tribal gaming ordinances, 

drafting of Indian land opinions, etc.) to instead perform litigation defense work. 

• As a result of the decision in Colorado River Indian Tribes v. National Indian 

Gaming Commission, 466 F.3d 134 (D.C. Cir. 2006), the Commission lacks the 

authority to prescribe minimum internal control standards for most class III gaming 

activities, and the Commission is prevented from auditing high-risk class III gaming 

facilities. Other future court or legislative decisions may further influence the scope 

of the Commission’s regulatory authority. 

• Commission personnel often have to drive long distances to remote locations of the 

country in order to perform site visits of Indian gaming facilities. Prolonged, severe 

weather conditions in certain parts of the country may prevent Commission personnel 

from conducting site visits, consultations, and other mission-oriented travel. 

Increased travel costs may also influence such travel. 

• Certain statutory limitations inhibit the Commission’s ability to achieve its vision of 

shielding tribes from corrupting influences. For example, Title 25, United States 

Code, § 2713 authorizes the Commission to levy and collect appropriate civil fines 

for any violation of IGRA against a tribal operator of an Indian game or a 

management contractor engaged in Indian gaming. The Commission, however, lacks 

the statutory authority to bring enforcement actions against certain non-tribal persons 

or entities affiliated with Indian gaming, such as unscrupulous third-party vendors, 

lenders, developers, and organized crime figures or other corrupting influences. 

• The Commission maintains cooperative relationships with other Federal agencies. In 

those circumstances when the Commission has to rely on these other agencies for 

factual information or documentation, the Commission may be inhibited in its ability 

to make timely determinations. Similarly, when the Commission is requested by other 

Federal investigatory agencies to postpone enforcement actions while they conduct 

their own criminal and/or civil investigations, the Commission’s regulatory activities 

may be delayed. 

• Finally, a key external factor that may adversely impact the Commission’s ability to 

achieve its strategic goals is the lack of a “Seminole fix.” The United States Supreme 

Court in Seminole Tribe of Florida v. Florida, 517 U.S. 44 (1996) concluded that 

Congress could not waive States’ immunity from suit by Indian tribes for failing to 

negotiate compacts in good faith, thus shifting the balance of power in tribal-state 

compact negotiations. As a result, some tribes have not achieved the full benefit of 

the IGRA scheme. This places a greater Class II compliance oversight burden on the 

Commission. 

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RELATIONSHIP BETWEEN STRATEGIC GOALS AND 

THE ANNUAL PERFORMANCE REPORT

The Commission will prepare an annual performance plan for each of the one-year 

periods covered by the Commission’s Strategic Plan. The annual performance plan will 

explain the role of each Commission program activity as set forth in the Commission’s 

budget. The performance plan’s specific objectives, adjusted to reflect policy 

determinations and resource allocations in the annual budget process, will serve as 

intermediate steps in the Commission’s overall efforts to successfully accomplish the 

goals of its Strategic Plan. 

The Strategic Plan provides the framework for developing the annual performance plan. 

The annual performance plan will delineate objective, quantifiable, and measurable goals 

to be achieved in a given fiscal year that support the goals contained in the Strategic Plan. 

Each annual plan will also include indicators to be used in measuring or assessing the 

relevant expected outcomes related to the performance goals. 

The performance indicators in each annual plan will demonstrate the expected progress 

towards achievement of the Commission’s strategic goals. Performance will be measured 

and reported annually and will be fully integrated with the Commission’s annual budget. 

CROSS-CUTTING EFFORTS TO ACHIEVE THE 

COMMISSION’S STRATEGIC GOALS

Several Federal agencies have objectives that are related to that of the Commission. The 

Commission regularly works with the following organizations: 

• Federal Bureau of Investigation, Indian Country/Special Jurisdiction Unit

• Department of the Interior, Office of Inspector General

• Internal Revenue Services, Tribal Government Section 

• Department of Treasury, Financial Crimes Analysis Center 

• U.S. Department of Justice

• Bureau of Indian Affairs, Law Enforcement Service

• Bureau of Immigration and Customs Enforcement 

The Commission has established memoranda of understanding (“MOU”) or memoranda 

of agreement (“MOA”) with some of these Federal agencies to ensure that areas of 

mutual interest and cooperation are treated in a consistent and coordinated manner. These 

agreements help avoid unnecessary redundancy, duplication, or conflict. 

The Commission is also an active participant in the Indian Gaming Working Group 

(“IGWG”). The IGWG was established in 2003 to enhance cooperation between Federal 

agencies and to enable more effective investigation and prosecution of criminal activity at 

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Indian gaming operations. The interaction and cooperation of the IGWG significantly 

contribute to the Commission’s accomplishment of its mission and strategic goals. 

In addition, the Commission regularly works with state, local and tribal law enforcement 

as well as tribal gaming regulatory authorities. Cooperation with these organizations 

helps promote the compliance of Indian gaming operations with statutory regulations, as 

well as protect Indian gaming from external corrupting influences. 

PROGRAM EVALUATION

The Commission will evaluate the progress towards achieving its strategic goals through 

the results of its annual performance measures, including continual assessments of the 

needs of its primary stakeholders: the tribes engaged in gaming. The evaluations will 

assess the extent to which annual performance goals have been reached and will provide 

insight into whether the strategic goals of the Commission are being accomplished. The 

Commission will use the results of these evaluations to continually update performance 

goals and objectives in the annual performance plan, as well as focus the Commission’s 

strategic objectives for the coming years. 

Specifically, the Commission will evaluate its progress through the use of: (i) analysis of 

annual performance plans; (ii) internal and external independent audits; (iii) periodic 

internal reviews and surveys conducted by Commission administrative staff; and (iv) 

feedback from tribes based on customer surveys and information gathered at meetings 

and conferences. This feedback will help the Commission to prioritize improvements and 

to update strategic objectives. Commission program strengths and weaknesses will be 

assessed annually to determine alternative performance measures. 

Continuous evaluation of the Commission’s annual performance measures is a key step to 

reaching our strategic goals. Thorough analysis of the annual performance plan and goals 

will assist the Commission to continually evaluate and, if necessary, adjust the Strategic 

direction of the agency. 

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CONSULTATION WITH STAKEHOLDERS

In developing its initial Strategic Plan, the Commission solicited comments and 

suggestions from Congress, the public, and the Indian tribes who engage in gaming. To 

communicate the goals and objectives of its Strategic Plan to its stakeholders, the 

Commission mailed to each individual tribe an electronic copy of the draft Strategic Plan 

on a compact disc, and posted a copy of the draft Strategic Plan on the Commission’s 

Internet website. The Commission received comments from 10 tribes.

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APPENDIX A: OUTLINE OF THE COMMISSION’S 

STRATEGIES / OBJECTIVES

Strategic Goal 1: Increase compliance with gaming laws and regulations. 

Objective 1.1: Effectively monitor compliance with gaming laws and regulations. 

a. Strategy 1: Ensure that tribes meet prerequisites to gaming under IGRA. 

i. Make timely determinations on tribal gaming ordinances and 

management contracts. 

ii. Complete reviews of tribal submissions in a timely manner. 

b. Strategy 2: Conduct uniform and consistent monitoring activities. 

i. Site visits with compliance checklists. 

ii. Conduct audits as necessary or upon invitation. 

iii. Develop and maintain positive working relationships with tribal 

gaming regulatory authorities. 

iv. Annual compliance report. 

v. Annual reporting of gaming revenues. 

c. Strategy 3: Perform regulatory enforcement actions. 

i. Assist tribal gaming regulatory authorities and other governmental 

authorities in conducting regulatory investigations. 

ii. First attempt voluntary compliance through assessments and 

warnings. 

iii. Initiate enforcement actions as last resort or in cases of imminent 

jeopardy. 

iv. Monitor compliance with provisions of enforcement action 

settlement agreements and follow up as warranted. 

v. Defend the Commission in administrative and civil actions. 

Objective 1.2: Expand the knowledge and implementation of gaming laws and 

regulations throughout the industry. 

a. Strategy 1: Promulgate regulations as necessary. 

i. Maintain Tribal Advisory Committees. 

ii. Assess needs for additional or revision of regulation. 

iii. Write and publish regulations yielding to tribal primacy whenever 

possible. 

b. Strategy 2: Provide formal and informal guidance. 

i. Publish Commission bulletins clarifying frequently asked 

questions and current regulatory best practices. 

ii. Timely response to inquiries for information and clarifications of 

gaming operations. 

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iii. Determine areas for regulatory improvement and provide 

recommendations for improvements. 

iv. Conduct follow-up reviews to ensure understanding of 

recommendations. 

v. Provide guidance on management contract approvals and reviews 

of gaming related agreements. 

Strategic Goal 2: Increase service to Tribal governments and gaming operations. 

Objective 2.1: Improve technical assistance to Tribal governments and gaming 

operations. 

a. Strategy 1: Improve the government-to-government consultation process. 

i. Reach out to tribes to collaboratively develop a consultation 

policy/ process. 

ii. Develop an annual consultation calendar. 

iii. Consult with tribes, tribal gaming commissions, and tribal gaming 

operations as warranted. 

iv. Focus issues addressed in consultations to those requested by tribal 

leaders. 

v. Publish a list of completed consultation dates and attendees on 

website. 

b. Strategy 2: Establish and implement training program(s). 

i. Develop, maintain and update when necessary all training 

programs referenced in the Commission catalog. 

ii. Conduct external training classes/programs. 

iii. Develop a training budget. 

iv. Increase tribal participation in the Indian Gaming Working Group 

training. 

Objective 2.2: Improve inter-agency relationships and communications. 

a. Strategy 1: Improve and expand external communication. 

i. Publish Commission bulletins. 

ii. Maintain a quarterly newsletter to mail to tribes and post on 

website. 

iii. Maintain/update website (i.e., latest regulations, Commission 

actions, GPRA, etc.). 

iv. Ensure names, mailing address, e-mail addresses, and telephone 

numbers for tribal contacts for governments and gaming operations 

are current. 

v. Enhance public relations with media, Congress, and other Federal 

agencies. 

b. Strategy 2: Improve external submission response time at headquarters. 

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i. Establish a tracking and reporting system. 

ii. Expand use of e-mail and electronic submission. 

iii. Establish and monitor response time limits. 

c. Strategy 3: Provide applicant background information to tribal gaming 

agencies. 

i. Acknowledgement of receipt of fingerprint submissions and fees. 

ii. Ensure timely distribution of monthly invoices/statements. 

iii. Respond within established regulatory deadlines to tribal gaming 

regulatory authorities on background information. 

iv. Provide background information as routine use. 

Strategic Goal 3: Maximize the use of NIGC resources. 

Objective 3.1: Improve agency administration. 

a. Strategy 1: Enhance fiscal discipline and transparency to stakeholders. 

i. Establish a fiscally sound agency budget. 

ii. Monitor budget to actual expenses for effective budget 

management. 

iii. Identify delegations of authority to ensure proper internal controls 

and funds management practices. 

iv. Effectively track and account for agency revenues. 

v. Perform regular internal audits to ensure compliance with 

Commission policies and procedures as well as an annual outside 

independent audit. 

vi. Comply with the Freedom of Information Act. 

b. Strategy 2: Improve and expand internal communication. 

i. Implement an intranet. 

ii. Implement and follow a schedule for quarterly conference calls 

with commission and chief of staff. 

iii. Implement the Tribal Information Management System (TIMS). 

c. Strategy 3: Develop and implement technological resources. 

i. Continually identify and refine agency technological needs. 

ii. Implement technological aids to enhance communications (i.e., 

video conference, record keeping, encryption, etc.). 

Objective 3.2: Develop human resource programs that support the Commission’s 

mission, goals and objectives. 

a. Strategy 1: Develop and implement policies and procedures including 

internal compliance programs. 

i. Identify non-compliant areas. 

ii. Publish an employee handbook. 

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iii. Initiate annual review of employee handbook and policies and 

procedures manual, and update when necessary. 

b. Strategy 2: Establish employee development programs. 

i. Conduct performance reviews. 

ii. Provide training that addresses identified skill gaps or performance 

weaknesses. 

iii. Provide incentives for employee retention (i.e., award programs, 

recognition programs, additional responsibilities, etc.). 

iv. Enable personnel to obtain professional training opportunities. 

c. Strategy 3: Encourage Native American cultural awareness. 

i. Educate employees on tribal customs and traditions. 

ii. Educate employees on the diversity of tribal governmental 

structures. 

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APPENDIX B: COMMISSION ORGANIZATIONAL 

STRUCTURE

Commissioners

The Commission is comprised of a Chairman and two Commissioners, each of whom serves 

on a full-time basis for a three-year term, or until their successors are appointed. The 

Chairman is appointed by the President and confirmed by the Senate. The Secretary of the 

Interior appoints the other two Commissioners. Pursuant to IGRA, at least two of the three 

Commissioners must be enrolled members of a Federally-recognized Indian tribe, and no 

more than two members may be of the same political party. 

Philip N. Hogen, Chairman 

President George W. Bush appointed Philip Hogen to Chair the 

Commission in the fall of 2002. Prior to his appointment as Chair of 

Commission, Chairman Hogen served as the Associate Solicitor for the 

Division of Indian Affairs at the Department of the Interior. 

From 1995 to 1999, Chairman Hogen served as an Associate Member 

and the Vice Chairman of Commission. From 1981 to 1991, Chairman 

Hogen was the U.S. Attorney for the District of South Dakota. While 

serving as U.S. Attorney, Chairman Hogen served as the Chairman of the Indian Affairs 

Subcommittee of the Attorney General’s Advisory Committee of United States Attorneys at 

the Department of Justice. 

Chairman Hogen is a member of the Oglala Sioux Tribe of the Pine Ridge Indian Reservation 

in South Dakota and makes his home in the Black Hills. He earned his law degree at the 

University of South Dakota (1970), and his undergraduate degree at Augustana College in 

Sioux Falls, SD (1967).

Norman DesRosiers, Vice Chairman

Norman DesRosiers was appointed as a Commissioner in January 2007 

by the Secretary of the Interior, Dirk Kempthorne. 

Between 1998 and late 2006, Commissioner DesRosiers served as 

Commissioner for the Viejas Tribal Gaming Commission. He was 

Executive Director of the San Carlos Apache Tribal Gaming Commission 

from 1994-1998, as well as serving as Vice President of the Arizona 

Tribal Gaming Regulators Alliance. 

Commissioner DesRosiers is a Member and former Secretary/Treasurer of the San Carlos 

Tribal Bar Association. In 1993-94, he was an inspector and training supervisor at the Fort 

McDowell Tribal Gaming Commission. He is also a former member of the National Indian 

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Gaming Association’s faculty for Tribal Gaming Commissioner Certification Training; 

Former Chairman and Vice Chairman of the National Tribal Gaming Commissioners/ 

Regulators Organization; and is the past Indian Gaming Committee Chairman of the North 

American Gaming Regulators Association. 

Commissioner DesRosiers has authored numerous nationally published papers and is an 

Associate Member of the International Masters of Gaming Law. He obtained his B.A. Degree 

in Law and Justice from Central Washington State University and served 10 years in law 

enforcement. 

Organizational Structure

The Commission’s organizational structure is composed of two main branches, the Office of 

the Chief of Staff and the Office of the General Counsel. 

National Indian Gaming Commission 

Vice Chairman Chairman Commissioner 

General Counsel Chief of Staff 

Deputy 

General Counsel

Deputy 

Chief of Staff

Associate 

General Counsel, 

Litigation and

Enforcement

Associate 

General Counsel,

General Law

Director, Division of 

Administration 

Director, 

Division of Training

Director, Division of 

Congressional

Affairs and Media 

Relations

Director, Division 

of Management 

Contracts and

Investigations

Director, Division of 

Enforcement

Director, 

Division of Audits

The Office of the Chief of Staff implements the policies of the Commission and is 

responsible for the direction, supervision, and evaluation of the work of all Commission 

employees outside the Office of the General Counsel. It is divided into 6 divisions which 

include: Division of Management Contracts and Investigations; Division of Enforcement;

Division of Congressional Affairs and Media Relations; Division of Audits; Division of 

Training; and Division of Administration. 

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The Division of Management Contracts and Investigations works with all interested parties, 

including tribal officials, management contractors, attorneys, accountants, and Tribal Gaming 

Regulatory Authorities to ensure that all proposed management contracts meet the 

requirements established by IGRA. The Division also conducts required background 

investigations to ensure the satisfaction of related suitability criteria as it relates to 

management contractors. The Division also has primary responsibility for evaluating and 

ensuring compliance with the National Environmental Policy Act as it relates to projects 

proposed by the terms of proposed management contracts. The Division also manages the 

submission and distribution of results from the processing of fingerprint identification and 

background investigations through an MOU with the FBI. In turn, the Commission has 

agreements with various tribes for submission and processing. 

The Division of Enforcement serves as the Commission’s main tool in monitoring tribal 

compliance with all applicable laws and regulations. It consists of 6 regional offices and 4 

satellite offices. 

Region I – Portland, OR Satellite – Bellingham, WA 

Region II – Sacramento, CA Satellite–Temecula, CA 

Region III – Phoenix, AZ Satellite – Rapid City, SD 

Region IV – St. Paul, MN Satellite – Flowood, MS 

Region V – Tulsa, OK 

Region VI – Washington, D.C. 

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Employees from the Division of Enforcement regularly visit Indian gaming facilities in their 

region, evaluating compliance with relevant laws and regulations, such as IGRA and 

Commission regulations. Given the vastness of Indian gaming, education and outreach are 

among the Division’s best tools in achieving compliance. As such, the Division offers 

monthly training programs covering a wide range of issues. The Division also plays a critical 

role in processing background investigations at Indian gaming facilities. IGRA requires tribes 

to conduct background investigations on key employees and primary management officials, 

including submission of fingerprint cards to the FBI. The Division processes thousands of 

investigative reports, fingerprint cards, and employee applications on an annual basis. 

The Division of Congressional Affairs and Media Relations is responsible for the planning, 

coordination, and management of agency programs and activities relating to both legislative 

and public affairs. Among its principal duties, the Division monitors legislation affecting the 

Commission and advises on any necessary policy action. The Division coordinates 

submission of bills, resolutions, reports, testimony, and other statements on legislation to the 

Congress, and also prepares agency press releases, speeches, reports, and policy statements. 

The primary focus of the Division of Audits is to monitor compliance with the Commission’s 

minimum internal control standards. This important set of regulations establishes uniform 

standards that are effective and have proven essential in protecting the integrity of Indian 

gaming. The Audits Division also assists the Commission’s Office of Self-Regulation. When 

a tribe petitions for a certificate of self-regulation, Division auditors conduct an extensive 

review of the records of the gaming operation and the tribal gaming regulatory authority. The 

results of these reviews provide valuable feedback to the tribal government regarding 

regulatory compliance and facilitate a determination as to whether a certificate of selfregulation should be issued. The Division also provides critical support to the Commission’s 

Enforcement Division. The Audits Division has facilitated the investigation of alleged 

financial irregularities, as well as noncompliance with per capita distribution plans. Given the 

cash-intensive nature of the Indian gaming industry, trained auditors have proven an 

especially valuable asset in obtaining compliance with applicable laws and regulations. In 

addition, the Audit Division has the added responsibilities of conducting internal audits of the 

Commission’s activities. 

A new Division of Training was established in FY 2008 to provide both external and internal 

training. The Division will support implementation of Public Law 109-221 and assist in 

attaining the strategic goal of organizational excellence. Externally, the Division of Training, 

among other responsibilities, will coordinate numerous course offerings presented in the 

Commission’s Training Catalog. The Commission will work with tribal governments, gaming 

regulators, law enforcement, members of the state and Federal families, and other 

constituencies to identify needed areas of training. Internally, the Division will coordinate 

training to ensure that employees have the skills necessary to perform their work effectively, 

efficiently, and knowledgably. Together, the external and internal training will strengthen 

Commission’s ability to support and further the goals of the Commission. 

The Division of Administration provides administrative, technical and support services to the 

Commission. The Division provides support and essential services to all organizational 

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components of the Commission including its regional and satellite offices. All daily office 

support functions, including personnel management, procurement activities, travel, and 

information technology support are provided by the Administration Division. The Division 

also is responsible for accounting of fees, network management and internet services, and 

records management. 

The Office of the General Counsel, under the leadership of the General Counsel, provides 

legal advice and counsel to the Commission on all matters relating to IGRA and Commission 

compliance with all applicable laws and regulations. The Office represents the Chairman in 

all enforcement actions and, as needed, coordinates with the U.S. Department of Justice to 

implement the Commission’s enforcement actions. The Office also plays an important role in 

handling appeals before the full Commission, and where Commission action results in 

litigation, the Office works directly with the Department of Justice attorneys handling the 

case. 

The Office of the General Counsel also manages the day-to-day legal affairs of the 

Commission, providing counsel and legal support to each division. The Office reviews tribal 

gaming ordinances and proposed management contracts, provides legal advisory opinions on 

the appropriate classification of games played in Indian gaming facilities, on Indian land 

issues, contract issues, and general law questions. The Office also coordinates opinions and 

other specific matters with the Department of the Interior’s Office of the Solicitor, and other 

agencies as necessary. 

Contact Information

Commission Regional Offices 

Region I Region II Region III 

Solomon Building 801 I Street One Columbus Plaza 

620 SW Main Street Suite 489 3636 N. Central Ave. 

Suite 212 Sacramento, CA 95814 Suite 880 

Portland, OR 97205 Phone: (916) 414-2300 Phoenix, AZ 85012 

Phone: (503) 326-5095 Fax: (916) 414-2310 Phone: (602) 640-2951 

Fax: (503) 326-5092 Fax: (602) 640-2952 

Region IV Region V Region VI (and HQ) 

190 E. 5th Street 224 S. Boulder 1441 L Street N.W. 

Suite 170 Room 301 Suite 9100 

St. Paul, MN 55101 Tulsa, OK 74103 Washington, DC 20005 

Phone: (651) 290-3017 Phone: (918) 581-7924 Phone: (202) 632-7003 

Fax: (651) 290-4006 Fax: (918) 581-7933 Fax: (202) 632-7066 

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Commission Satellite Offices 

405 E. Omaha Street 27708 Jefferson Ave. 

Suite A Suite 202 

Rapid City, SD 57701 Temecula, CA 92590 

Phone: (605) 718-5724 Phone: (951) 676-9000 

Fax: (605) 718-5716 Fax: (951) 695-5319 

104 W. Magnolia 9 River Bend Place 

Suite 309 Suite 130 

Bellingham, WA 98227 Flowood, MS 39232 

Phone: (360) 756-0304 Phone: (601) 664-3066 

Fax: (360) 756-0452 Fax: (601) 664-3068 

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