and Performance Information

Fiscal Year 2015

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

NOTICE: These budget

justifications are prepared

 for the Interior, Environment 

and Related Agencies 

Appropriations Subcommittees. 

Approval for release of the 

justifications prior to their 

printing in the public record of 

the Subcommittee hearings

may be obtained through

the Office of Budget of the 

Department of the Interior.

NATIONAL INDIAN

GAMING COMMISSION

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DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION 

Fiscal Year 2015 Budget Justification 

Table of Contents 

 Page 

Item Number 

Executive Summary 

Executive Summary 1 

Mission, Vision, and General Statement 2 

The Indian Gaming Regulatory Act of 1988 4 

Commission Structure 5 

Organization Chart 7 

Budget Priorities 8 

Background 8 

Annual Fees for Operations 8 

2015 Budget 

Narrative Summary Statement 11 

Summary of the Fiscal Year 2015 Budget 12 

Reimbursable Expenses 12 

Fee Regulation 13 

Authorization, Objectives and Program Activities 14 

Gaming Activity Fees – Program and Financing Schedules 17 

Gaming Activity Fees – Object Classification Schedule 18 

Reimbursable Activity – Program and Financing Schedule 19 

Reimbursable Activity – Object Classification Schedule 20 

Employee Count by Grade 21 

Graphs 

Indian Gaming Industry Growth – Chart 23 

Growth in Indian Gaming Operations – Chart 24 

NIGC Fee Revenue – Chart 25 

NIGC Expenditures – Chart 26 

Staffing Levels – Chart 27 

Government Performance and Results Act (GPRA) Information 

Highlights of Commission Activities 29 

Executive Summary

   

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National Indian Gaming Commission (NIGC) 

Executive Summary 

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

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

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

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

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

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

employees and with oversight responsibilities for approximately 200 gaming operations. 

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

Today, there are over 400 Indian gaming operations in 28 states. Revenues over the past 

few years suggest that the industry has stabilized with the moderate growth largely 

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

existing Indian lands. 

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

In addition to the Commission, there are approximately 200 Tribal Gaming Commissions 

serving as the primary regulators of Indian gaming. Further, each of the 28 Indian 

gaming states provides regulatory support to implement their respective responsibilities 

under IGRA and tribal-state compacts. In addition to NIGC, tribal and state regulatory 

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

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

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

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

to fulfill Congress’ mandates in IGRA. 

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

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

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

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

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

assistance as an agency function. 
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The fiscal year 2015 budget will continue to focus on improving governmental 

coordination and expanding tribal consultation, providing training and technical 

assistance to tribal gaming commissions and operations, conducting a regulatory review, 

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

enhancing the information technology infrastructure. 

Mission 

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

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

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

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

activities. 

Vision 

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

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

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

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

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

General Statement 

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

National Indian Gaming Commission, and provided it with independent Federal 

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

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

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

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

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

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

communities. 

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

background investigations and audits of Class II gaming operations (and Class III gaming 

operations, upon request or as provided by applicable law, such as tribal gaming 

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

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

appropriate, undertakes enforcement actions. 

The Commission fulfills its responsibilities under IGRA by: 

 regulating and monitoring certain aspects of Indian gaming; 

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

agreements; 

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

those seeking to engage or invest in Indian gaming; 

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

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

entities; and 

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

regulations and tribal gaming ordinances, including imposing appropriate 

sanctions for such violations. 

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

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

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

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

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

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

management responsibility for, potential management contracts. These investigations 

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

Commission is reimbursed periodically by the potential contractors for performing these 

investigative services. The Commission is also reimbursed for fingerprint processing 

costs. 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Class III gaming. 

IGRA establishes the jurisdictional framework that governs Indian gaming. IGRA 

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

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

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

governments. 

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

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

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

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

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

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

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

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

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

the Commission. Tribal governments are responsible for regulating Class II 

gaming, with Commission oversight. 

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

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

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

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

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

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

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

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

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

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

Commission. State and tribal governments are primarily responsible for 

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

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

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

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

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

tribes and management contractors comply with IGRA and Commission rules and 

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

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

Commission Structure 

The Commission provides Federal oversight to over 400 tribally owned, operated or 

licensed gaming establishments operating in 28 states. The Commission maintains its 

headquarters in Washington, DC, and has seven regional offices and two satellite offices. 

The Commission is divided into four separate divisions with a combined staff of 99 fulltime employees, as of the end of 2013. Approximately half of the Commission staff is 

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

regional offices located in Portland, Oregon; Sacramento, California; Phoenix, Arizona; 

St. Paul, Minnesota; Tulsa, Oklahoma; Washington, DC; and Oklahoma City, Oklahoma; 

and satellite offices in Rapid City, South Dakota; and Temecula, California. 
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National Indian Gaming Commission 

Region

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

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

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

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

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

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

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

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

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

ensure the integrity of gaming operations. 
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Budget Priorities 

Currently, the industry consists of over 400 Indian gaming operations in 28 states. These 

operations are owned, operated, or licensed by more than 230 tribal governments. The 

industry generated $27.9 billion of gross gaming revenues in 2012. 

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

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

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

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

safeguard their operations.

Background 

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

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

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

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

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

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

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

determining the fee limitation. 

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

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

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

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

industry. 

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

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

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

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

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

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

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

Annual Fees for Operations 

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

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

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

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

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

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

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

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

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

Commission because the unique statutory provisions governing the Commission’s 

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

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

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

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

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

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

fees collected on or before the December 31, 2014 due date will provide the operational 

capital for the first three months of calendar year 2015. 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. 

 

2015 Budget

   

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DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement 

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

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

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

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

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

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

assessments of gaming operations regulated by the Commission consistent with 

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

221). 
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Summary of the Fiscal Year 2015 Budget 

Permanent Appropriation 

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

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

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

operations regulated by the Commission. 

All costs associated with the Commission’s operation during fiscal year 2015 will be 

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

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

input prior to implementing the proposed budget. The revenue to be collected in 2015 

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

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

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

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

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

new fiscal year, is essential for continuity of operations. 

The agency’s actual employee count was 99 at the end of 2013 and projected to be 105 in 

2014 and 2015. NIGC is forecasting full-year obligation of $21 million in fiscal year 

2014 which includes one-time costs of the anticipated D.C. office move due to lease 

expiration. This will also allow the Commission to hire additional local and field 

personnel to implement its responsibilities under the Act. These funds will be used to 

upgrade and improve the NIGC’s information management system, and expand technical 

assistance and training. This forecast includes expenditures for oversight of class III 

gaming, as provided by applicable law such as tribal gaming ordinances and tribal-state 

compacts. The forecasted full-year obligations total $18 million for fiscal year 2015. 

Reimbursable Expenses 

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

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

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

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

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

fingerprint processing costs. 
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Fee Regulation 

The regulations implementing the legislative provisions governing the collection of fees 

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

§514.14 Annual Fees 

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

the statutory maximum imposed by Congress. The Commission shall credit 

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

due according to §514.4. 

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

collection of fees for fingerprint processing: 

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

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

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

fingerprint cards on behalf of the tribes. 

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

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

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

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

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

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

Investigation and costs incurred by the Commission. Commission costs include 

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

the requesting tribe. 

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

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

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

(45) days of the date of the bill. 

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

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

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

Gaming Commission, 1441 L Street NW., Suite 9100, Washington, DC 20005. Checks 

should be made payable to the National Indian Gaming Commission (do not remit cash). 
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Authorization: 

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

Objectives: 

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

as a means of generating tribal revenues. 

Program Activities: 

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

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

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

Commission is authorized to conduct investigations, undertake enforcement actions 

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

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

meet its responsibilities under the Act. 

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

 issue temporary closure orders 

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

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

gaming ordinance 

 approve tribal gaming ordinances 

 approve gaming management contracts 

 appoint and supervise staff 

The Commission as a whole is empowered to: 

 monitor gaming activities 

 inspect gaming premises 

 conduct background investigations 

 inspect records relating to gaming 

 approve the annual budget 

 adopt regulations for the assessment and collection of civil fines 

 adopt a schedule of annual fees 

 issue permanent closure orders 

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

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

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

 provides education, training and technical assistance regarding applicable regulatory 

requirements 

 assists tribes with background investigations and fingerprint processing 

 receives and processes appeals 

 conducts formal and informal hearings 

 consults with Indian tribes, states and the regulated community 

 defends against lawsuits challenging the Commission’s actions 

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

publications 

 provides audits and other evaluative services 

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2013 2014 2015

Actual Estimate Estimate

EX-IV 1 1 1

EX-V 2 2 2

AD-00 0 1 1

ES-4 0 0 0

ES-3 0 0 0

ES-1 0 0 0

GS-15 12 13 13

GS-14 16 16 16

GS-13 30 32 32

GS-12 20 20 20

GS-11 3 4 4

GS-10 3 4 4

GS-09 2 2 2

GS-08 0 0 0

GS-07 0 0 0

GS-06 9 9 9

GS-05 1 1 1

Total FTE 99 105 105

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

U.S. Code governing appointments in the competitive services 

EMPLOYEE COUNT BY GRADE OR GRADE EQUIVALENT

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Graphs

   

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GPRA Information

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Government Performance and Results Act Information 

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

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

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

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

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

Government Performance and Results Act of 1993.” 

 

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

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

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

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

2009. 

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

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

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

transparency to promote agency accountability and fiscal responsibility, the Commission 

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

Plan and published the final strategic plan for years 2014-2018. 
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Summary and Highlights of Commission Activities 

During FY 2013, the Commission’s four primary initiatives consisted of consulting and 

building relationships with tribal governments, providing technical assistance and 

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

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

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

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

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

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

IGRA when necessary. 

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

 The Commission held two Public Meetings per 25 U.S.C. 2704 (f). 

 The Commission published amendments and corrections to Parts 514, 518, 543, 547, 

558, and 573 as well as Subchapter H of its regulations. 

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

worksheets pursuant to the amendment of Part 514. 

 As a result of the regulatory review process amendments were made to Parts 543 & 

547 to reflect changes in gaming technology. 

 Training and technical assistance was offered to gaming tribes regarding the 

regulatory changes. 

 Completed a GSA Request for Proposal for office space to prepare for the relocation 

of the NIGC Headquarters. Location determined, draft lease agreement signed, site 

plans developed, and IT needs assessment completed. 

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

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

FY 2013, the NIGC conducted approximately 194 training events comprising 

approximately 754 training hours, and attended by approximately 2,751 training 

participants. 

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

resources by identifying partnerships, improving training offerings, and utilizing 

technology to more effectively reach target audiences. During FY 2013, the NIGC 

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

 Commission auditors performed one comprehensive and four abbreviated Class III 

MICS audits on California Tribes conducting gaming and two comprehensive Class II 

MICS audits at Tribal gaming operations. 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. 
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 The NIGC Chair approved: three amendments to existing approved management 

contracts; and two modifications to the List of Individuals and Entities with a direct or 

indirect financial interest in, or management responsibility for contracts with five 

Tribes involving sixteen individuals. The Commission also conducted financial 

background investigations on certain persons and entities associated with the 

management contractors. 

 The Commission processed approximately 69,305 fingerprint cards for tribal gaming 

commissions. 

 The Commission updated its strategic plan to cover FY 2014 – 2018. The plan was 

updated to reflect comments received from tribal consultations and was submitted to 

the Office of Management and Budget for review and comment on June 26, 2013. 

After OMB approval, the final strategic plan was posted on the NIGC website and to 

the MAX system on August 9, 2013. 

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

operational efficiency. 

 The Commission drafted (or revised) and adopted internal agency policies related to 

the following subjects: (i) mission statement and vision; (ii) organizational chart; (iii) 

performance appraisal system; (iv) procedures for providing reasonable 

accommodation for individuals with disabilities; (v) telework program; (vi) training 

and employee development; (vii) acting officials; (viii) time, attendance, and leave 

policies; (ix) government charge card program; and (x) nursing mothers program. The 

Commission also rescinded the internal agency policy related to NEPA procedures as 

this area was contracted to the Bureau of Indian Affairs (“BIA”). A review of 

position descriptions was conducted and will continue to be better aligned with job 

duties. 

 The Commission amended its tribal consultation policy. 

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

the tribal gaming facilities to enhance communication and compliance. 

 Completed an IT assessment of need and will continue to research options for best 

utilization of financial resources. 

 The Commission added social media to improve communication and transparency. 

 The Commission sought and received a National Archives Records and 

Administration determination that audited financial statements of Indian gaming 

operations are temporary not permanent records. 

 The Commission conducted office space utilization and efficiency review which 

resulted in decreasing the NIGC's square footage. 
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Continuing with its four primary initiatives, during FY 2014, the Commission is 

working on the following goals and tasks: 

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

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

regulatory and/or law enforcement agencies. 

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

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

part of its regulatory review. 

 The Commission continues planning for upcoming NIGC headquarters office move 

that includes working with GSA. 

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

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

conduct; (ii) promotion; (iii) loss or damage to employee’s personal property; (iv) 

release of information to news and information media; and (v) social media and social 

networking. 

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

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

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

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

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

to update the training catalog as necessary. 

 The Commission is coordinating efforts to modernize the NIGC IT network to 

improve and maintain reliability and manageability. This will include a website 

redesign to provide the end user with ease of navigation and search ability of NIGC 

resources. 

 The Commission will implement its updated strategic plan. 

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

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

 The Commission will continue to evaluate the use of Pay.gov for receiving tribal fee 

payments. This evaluation will include a trial period to fully assess data, payment 

collection and reporting. 

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

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

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

 During FY 2014, the Commission continues to work on its everyday tasks, including: 

- performing MICS audits specific to Class II gaming operations. 

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

and gaming related training and technical assistance. 
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- working with tribes on the Tribal Access Portal (TAP), a database that enables 

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

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

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

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

comprehensive background investigation of prospective license applicants. 

- updating its database with accumulated financial data from the gaming 

operations’ audited financial statements and AUP report filings. The 

Commission establishes a preliminary and final rate utilizing this data. 

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

efficiency, effectiveness, and compliance with Federal regulations. 

- reviewing management contracts and amendments to management contracts. 

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

by the tribal gaming commissions and tracking payment for fingerprint 

processing. 

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

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

recently opened a new Indian gaming facility. 

As part of its program objectives for fiscal year 2015, the Commission plans to: 

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

identified in the Strategic Plan. 

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

reliability and manageability. 

 Monitor strategic plan performance measures. 

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

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

new requirements. 

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

manual, and develop and implement corresponding training programs. 

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

media and training resources. 

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

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

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

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

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

catalog as necessary. 
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 Continue to perform MICS and other types of compliance audits to maintain the 

integrity of gaming industry. 

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

implementation of a performance measurement system. 

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

personal identifiable information. 

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

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

with gaming tribes, with an emphasis on voluntary compliance. 

 Improve operational efficiency through enhanced records management that includes 

the electronic conversion of documents, forms and manuals. 

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

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

employees and provide necessary training. 

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

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

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