The United States BUDGET Department of the Interior

JUSTIFICATIONS

and Performance Information

Fiscal Year 2022 

NATIONAL INDIAN

GAMING COMMISSION

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.

Printed on

Recycled Paper

NIGC - iii

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

FY 2022 Budget Justification 

Table of Contents

Item

Page 

Number

Executive Summary

Executive Summary 1 

Mission, Vision, and General Statement 2 

The Indian Gaming Regulatory Act of 1988 4 

Commission Structure 5 

Organization Chart 6 

Budget Priorities 8 

Background 8 

Annual Fees for Operations 9 

2022 Budget

Narrative Summary Statement 10 

Summary of the FY 2022 Budget 11 

Reimbursable Expenses 12 

Fee Regulation 13 

Authorization, Objectives and Program Activities 14 

Employee Count by Grade 16 

Government Performance and Results Act (GPRA) Information 17 

Summary and Highlights of Commission Activities 18 
NIGC - 1 

National Indian Gaming Commission (NIGC) 

Executive Summary

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

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

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

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

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

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

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

tribal revenue.”1

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

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

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

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

the Department of Justice, and the Department of the Treasury all implement and enforce laws 

that serve to ensure that tribes are the primary beneficiaries of Indian gaming. The NIGC 

coordinates closely with all of these governmental entities to fulfill the mandates of IGRA. 

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

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

Commission to collect up to 0.080 percent of the gross gaming revenue, but also links NIGC’s fee 

collections to the growth or contraction of the Indian gaming industry so that the agency’s 

funding reflects the financial status of the industry. Importantly, the Act also identified training 

and technical assistance as agency functions. As in the past, the FY 2022 budget will continue to 

include expanding tribal consultation and improving intergovernmental coordination, providing 

training and technical assistance to tribal gaming commissions and operations, conducting a 

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

and enhancing the information technology infrastructure. 

 

1 25 U.S.C. § 2702(3).
NIGC - 2 

Mission

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

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

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

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

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

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

entrepreneurial spirit of tribes.

Vision

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

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

ensure that regulatory compliance and gaming integrity respect the capabilities and 

responsibilities of each sovereign tribe. 

General Statement

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

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

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

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

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

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

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

527 gaming establishments owned, operated, or licensed by 251 federally-recognized tribes 

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

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

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

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

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

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

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

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

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

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

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

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

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

and state entities. As the NIGC fulfills these responsibilities, the Commission closely reviews 
NIGC - 3 

any indications of corrupting influences, such as gamesmanship by non-tribal governmental 

entities.

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

agency operating costs. The NIGC also conducts background investigations, including 

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

responsibility for, potential management contracts. These investigations are conducted to 

determine whether the management contracts can be approved. The Commission is reimbursed 

periodically by the potential contractors for performing these investigative services. The 

Commission is also reimbursed for fingerprint processing costs.

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

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

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

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

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

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

nations. The Commission is committed to meaningful consultation with tribes prior to making 

changes to regulations or policies having tribal implications. Additionally, the Commission 

endeavors to provide tribes, states, sister Federal agencies, and stakeholders with courteous and 

timely responses to issues as they arise. 
NIGC - 4 

The Indian Gaming Regulatory Act (IGRA) of 1988 

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

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

gaming. California v. Cabazon Band of Indians, 480 U.S. 202 (1987). The following year, 

Congress enacted the Indian Gaming Regulatory Act. Embodied in IGRA was a compromise 

between state and tribal interests. The drafters “balance[d] the need for sound enforcement of 

gaming laws and regulations, with a strong Federal interest in preserving the sovereign rights of 

tribal governments to regulate activities and enforce laws on Indian lands.”2

 IGRA fully 

preserved tribal regulatory authority over Class II gaming without state intervention. However, 

IGRA gave the states a role in determining the scope and extent of tribal gaming by requiring 

tribal-state compacts for Class III gaming. 

IGRA establishes the jurisdictional framework that governs Indian gaming. IGRA establishes 

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

• Class I gaming is defined as traditional and social Indian gaming for minimal prizes. 

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

• Class II gaming is defined as the game of chance commonly known as bingo (whether or 

not electronic, computer, or other technological aids are used in connection therewith) 

and (if played in the same location) pull-tabs, lotto, punchboards, tip jars, instant bingo 

and other games similar to bingo. Class II gaming also includes non-banked card games. 

IGRA specifically excludes slot machines or electronic facsimiles of any game of chance 

from the definition of Class II games. Tribes retain their authority to conduct, license and 

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

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

by the Commission. Tribal governments are responsible for regulating Class II gaming, 

with Commission oversight. 

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

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

the Class III category. Class III gaming is often referred to as full-scale casino-style 

gaming. As a compromise among tribal, state and Federal interests, IGRA restricts tribal 

authority to conduct Class III gaming. Before a tribe may lawfully conduct Class III 

gaming, the following conditions must be met: (1) the facility must be located in a State 

that permits such gaming for any purpose by any person, organization or entity; (2) the 

tribe and the state must have negotiated a compact that has been approved by the 

Secretary of the Interior, or the Secretary must have approved regulatory procedures; and 

(3) the tribe must have adopted a tribal gaming ordinance that has been approved by the 

Chair of the Commission. State and tribal governments are primarily responsible for 

regulating Class III gaming. 

 

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

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

compacts, IGRA did not make this mandatory, and many states accordingly rely upon continued 

tribal and Federal oversight by the NIGC to address their regulatory concerns regarding Class III 

tribal gaming under IGRA. Additionally, IGRA tasks the NIGC with a number of specific 

regulatory functions, such as: approving tribal ordinances for Class II and Class III gaming; 

approving management contracts; promulgating and implementing regulations; and ensuring 

tribes and management contractors comply with IGRA and Commission rules and regulations. 

Accordingly, the Commission plays a key role in the oversight and regulation of both Class II and 

Class III gaming.

Commission Structure

The Commission is composed of a Chair, appointed by the President and confirmed by the 

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

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

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

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

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

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

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

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

The Commission provides Federal oversight to approximately 527 tribally owned, operated or 

licensed gaming establishments operating in 29 states. The Commission maintains its 

headquarters in Washington, DC, and has eight regional offices and one satellite office. The 

Commission had a combined staff of 114 full-time employees as of the end of 2020. 

Approximately half of the Commission staff is assigned to headquarters in Washington, DC, with 

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

California; Phoenix, Arizona; St. Paul, Minnesota; Rapid City, South Dakota; Tulsa, Oklahoma; 

Washington, DC; and Oklahoma City, Oklahoma; and a satellite office in Temecula, California. 
NIGC - 6 

NATIONAL INDIAN GAMING COMMISSION ORGANIZATIONAL CHART 

Vice Chair Chair Associate 

Commissioner 

Office of General 

Counsel 

Office of Chief

of Staff

Office of SelfRegulation Diversity, EEO & 

Inclusion Office 

Division of 

Compliance 

Region 

Offices (8) 

Training 

Program 

Audit 

Program 

Human 

Resources 

Division of 

Technology 

IT Audit Technology 

Management 

Information 

Technology 

Records 

Management/FOIA 

Fingerprint 

Investigations 

Internal 

Audit 

Division of 

Finance 

Background 

Investigations 

Financial 

Services 

Management 

Contracts 

Procurement 

Accounting 

Executive 

Administration 

Division of 

Public Affairs 

Internal and External 

Communications 

Legislative & 

Intergovernmental Affairs 

Current as of 12/09/2020 
NIGC - 7 

National Indian Gaming Commission

Regions 

Regional Office Area Served

Portland Alaska, Washington, Oregon and Idaho

Sacramento California. and northern Nevada

Phoenix Arizona, New Mexico, Colorado, and southern Nevada

St. Paul Nebraska, Minnesota, Iowa, Wisconsin, Michigan and Indiana

Rapid City Montana, Wyoming North Dakota and South Dakota

Tulsa Kansas and eastern Oklahoma

Oklahoma City Texas and western Oklahoma

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

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

distribution of gaming activity or market considerations but to improve the level and quality of 

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

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

out the statutory responsibilities of the Commission. By having auditors and compliance officers 

close to tribal gaming facilities, the Commission seeks to facilitate compliance with the Act and 

foster better relationships with tribal leaders, officials and regulatory personnel. In addition to 

auditing and investigative activities, the field staff provides technical assistance and training to 
NIGC - 8 

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

cooperation and compliance to ensure the integrity of gaming operations. 

Budget Priorities

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

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

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

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

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

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

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

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

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

Background 

Prior to 1997, the Commission was legislatively prohibited from collecting fees in excess of $1.5 

million annually. The 1998 Interior Appropriations Act (P.L. 105-83) expanded the fee base to 

include Class III (casino style) gaming and raised the limitation on annual fee collections to $8 

million. In the 2003, 2004, 2005, and 2006 Interior Appropriations Acts, the Congress enacted a 

general provision raising this limitation to $12 million for fiscal years 2004, 2005, 2006, and 

2007 respectively. On May 12, 2006, Congress enacted the Native American Technical 

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

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

This amendment allowed the Commission to maintain a fee collection level in proportion to the 

size of the industry it oversees. With fees now capped at 0.080 percent of the industry's gross 

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

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

fee rate well below the statutory limit, but due to the pandemic, it may be necessary to utilize the 

full limit in FY 2022. 

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

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

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

assistance to tribal gaming operations.4 In accordance with this mandate, the NIGC submitted its 

GPRA Strategic Plan for Fiscal Years 2018 to 2022 to Congress and the Office of Management 

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

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

 

3 25 U.S.C. 2717(a)(2)(B). 4 25 U.S.C. 2706(d)(1)-(2).
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Annual Fees for Operations

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

set forth in 25 C.F.R. Part 514. On January 22, 2018, the Commission published changes to the 

fees regulations in the Federal Register (83 FR 2903). The new regulations became effective on 

February 21, 2018. The new regulations are intended to improve the efficiency of the 

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

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

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

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

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

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

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

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

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

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

operations that cease operations. The fee rate must be sufficient to generate income to fund the 

annual operation of the Commission, and to maintain a transition balance for the upcoming year’s 

operation. Each gaming operation within the jurisdiction of the Commission must self-administer 

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

quarterly.

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

because the unique statutory provisions governing the Commission’s funding subject it to 

significant cash flow variations. Unlike other Federal agencies, the Commission’s authorizing 

legislation does not provide for full funding at the beginning of each fiscal year. Instead, the 

Commission receives quarterly payments equal to one fourth of each gaming operation’s reported 

annual fee assessment. The carryover transition balance is necessary to cover the first and second 

quarter of operation until the fees are actually received and credited to the operating account. For 

example, fees collected on or before the December 31, 2021 due date will provide the operational 

capital for the first three months of calendar year 2022. The Commission attempts to maintain a 

transition balance to fund the first two quarters of the new year in order to absorb any cash flow 

variations that may occur.
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DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement 

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

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

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

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

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

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

fees on tribal gaming revenues to cover agency operating costs.
NIGC - 11 

Summary of the Fiscal Year 2022 Budget

NIGC Gaming Activity Fees

2020 

Actual

2021 

Enacted

2022 

Request

Permanent Budget Authority ($ Million) 21 21 17 

FTEs* 113 121 121 

*Total Compensable full-time equivalents

Permanent Appropriation

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

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

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

regulated by the Commission. Fees are paid quarterly, based on each gaming operation’s 

assessable gross revenue. This system often results in cash flow variations, and therefore a 

transition balance, derived from prior year funds carried forward to the new fiscal year. A 

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

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

budget. 

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

annual Gaming Activity Fees are determined by the fee rate adopted by November 1st each year 

in accordance with procedures set forth in 25 C.F.R. Part 514. The estimated FY 2022 Gaming 

Activity Fees of $17 million reflects the preliminary forecast of the COVID-19 pandemic impact 

on the gaming industry operating on Indian lands. The Commission continues to analyze the 

industry’s gaming revenue and plans to adopt a new fee rate to finalize the FY 2022 Gaming 

Activity Fees by November 1, 2021. As part of the Commission’s plans for ongoing outreach, 

the Commission started a new Quarterly Operations Briefing with tribal leaders in FY 2020 to 

increase tribes’ access to information and opportunities to influence and inform the NIGC’s 

planning processes. The Commission will continue its efforts to enhance coordination with 

tribes during the annual budget planning process as the Commission finalizes its FY 2022 

operating budget. 

The Commission reduced its original FY 2021 FTE estimate of 135 submitted in last year’s 

Budget Justification to 121 by planning to fill only mission-critical positions in FY 2021. In 

addition, the NIGC has reduced spending in nearly all functional areas with the exception of 

capital technological expenditures which are required to meet statutory requirements. During the 

pandemic, the Commission continued to fulfill its statutory duties and provide necessary services 

while being mindful of how fees are utilized. Since April 2020, NIGC has taken proactive 

measures to reduce spending, which include: instituting hiring restrictions for non-statutory 

required positions, limiting promotion increases for employees, embargoing professional 

development allowances for employees, canceling the majority of in-person regional training 

conferences and moving to an all virtual format, and limiting travel and purchase expenditures to 
NIGC - 12 

mission critical. However, the considerations around the impact of cost savings have been and 

continue to be part of the agency’s decision making. Those considerations include the impact of 

cost savings on the NIGC’s ability to provide services, maintain public confidence, respond to 

unique requests during a dynamic and unprecedented shutdown/reopening, and call to monitor 

and assist tribes with enhancing public health and safety measures. Moreover, ensuring the 

Commission is appropriately staffed and able to function at the necessary capacity to carry out its 

statutory requirements will bring additional certainty to the industry and the public at large. For 

FY 2022, the Commission is dedicated to recruiting and retaining talented employees along with

identifying professional development opportunities and competitive salaries. The pandemic has 

changed the way we have conducted business over the last year, however, the level of activity has 

increased. NIGC employees have shown great resiliency and dedication to keeping up with the 

additional demands brought on by the pandemic. 

Reimbursable Expenses

The National Indian Gaming Commission conducts background investigations of individuals and 

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

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

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

cards on behalf of the Tribes. The Commission is reimbursed from the potential contractors to 

conduct these background investigations and also for fingerprint processing costs. 
NIGC - 13 

Fee Regulation 

The regulations implementing the legislative provisions governing the collection of fees allow the 

Commission to collect the statutory maximum allowed by Congress: 

§514.14 Annual Fees 

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

maximum imposed by Congress. The Commission shall credit pro-rata any fees collected in 

excess of this amount against amounts otherwise due.

Additionally, in January 2018, NIGC regulations were amended to specifically address the

collection of fees for fingerprint processing: 

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

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

Investigation (FBI) and the Commission may charge a fee to process fingerprint cards on behalf 

of the tribes.

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

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

by a vote of not less than two of its members, shall adopt the fingerprint processing fee no later 

than November 1st of each year.

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

Register.

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

Investigation and costs incurred by the Commission. Commission costs include Commission 

personnel, supplies, equipment costs, and postage to submit the results to the requesting tribe. 

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

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

during the prior month. Tribes shall pay the amount billed within forty-five (45) days of the date 

of the bill.

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

for more than forty-five (45) days.

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

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

Register.
NIGC - 14 

Authorization:

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

Objectives:

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

means of generating tribal revenues. 

Program Activities:

The Commission’s mission is to work within the framework created by the Indian Gaming 

Regulatory Act (IGRA) for the regulation of gaming activities conducted by sovereign Indian 

tribes on Indian lands to fully realize IGRA’s goals: (1) promoting tribal economic development, 

self-sufficiency and strong tribal governments; (2) maintaining the integrity of the Indian gaming 

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

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

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

violation, assessment of civil fines, and issuance of closure orders; approve management 

contracts; and issue such regulations as necessary to meet its responsibilities under the Act.

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

• issue temporary closure orders5

• levy civil fines, of up to $54,157 per violation per day, against a tribe, management 

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

ordinance6

• approve tribal gaming ordinances7

• approve gaming management contracts8

• appoint and supervise staff9

The Commission as a whole is empowered to: 

• monitor gaming activities10

• inspect gaming premises11

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

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

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

8 25 U.S.C. § 2705(a)(4).

9 25 U.S.C. § 2707.

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

• conduct background investigations12

• inspect records relating to gaming13

• approve the annual budget14

• adopt regulations for the assessment and collection of civil fines15

• adopt a schedule of annual fees16

• issue permanent closure orders17

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

• issue subpoena and conduct depositions19

• issue and rescind certificates of self-regulation20

In carrying out its responsibilities, the Commission also: 

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

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

regulatory requirements

• assists tribes with background investigations and fingerprint processing

• receives and processes appeals21

• conducts formal and informal hearings 

• consults with Indian tribes 

• engages with states and the regulated community 

• defends against lawsuits challenging the Commission’s actions

• issues advice and guidance through bulletins, advisory opinions and other publications 

• provides audits and other evaluative services 

 

12 25 U.S.C. § 2706(b)(3).

13 25 U.S.C. § 2706(b)(4). 14 25 U.S.C. § 2706(a)(1).

15 25 U.S.C. § 2706(a)(2).

16 25 U.S.C. § 2706(a)(3).

17 25 U.S.C. § 2706(a)(5).

18 25 U.S.C. § 2706(b)(10).

19 25 U.S.C. § 2715.

20 25 U.S.C. § 2710(c). 21 25 U.S.C. §§ 2705(a),2706(a)(5), 2713(a)(2).
NIGC - 16 

National Indian Gaming Commission

Employee Count by Grade 

(Total Employment)

Employee Count by Grade 2020 

Actuals

2021 

Estimate

2022 

Estimate

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

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

Subtotal ............................................. 2 2 2 

SL - 00 .............................................. 0 1 1 

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

Subtotal ............................................. 0 1 1 

GS/GM -15 ........................................ 17 16 16 

GS/GM -14 ........................................ 19 23 23 

GS/GM -13 ........................................ 51 53 53 

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

GS -11 ............................................... 3 4 4 

GS -10 ............................................... 1 1 1 

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

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

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

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

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

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

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

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

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

Subtotal ............................................. 112 118 118 

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

Total employment (actuals & estimates) 114 121 121 
NIGC - 17 

Government Performance and Results Act Information

In 2006, Congress amended the Indian Gaming Regulatory Act, 25 U.S.C. §§ 2701 – 2721, Pub. 

L. 100-497, and for the first time made the National Indian Gaming Commission subject to the 

Government Performance and Results Act of 1993 (GPRA), Pub. L. 103-62. That obligation is set 

out at 25 U.S.C. § 2706(d)(1), which states: “In carrying out any action under this chapter, the 

Commission shall be subject to the Government Performance and Results Act of 1993.” 

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

years.” 5 U.S.C. § 306(b). Consistent with this obligation and the Commission’s vision of 

adhering to principles of good government, including transparency to promote agency 

accountability and fiscal responsibility, the NIGC followed the consultation requirements set 

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

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

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

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

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

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

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

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

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

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

taken into consideration in the strategic plan. 

The strategic plan for fiscal years 2018-2022 was published in February 2018. The strategic plan

focuses on sustained support of the goals and intent of the IGRA through continuous collaborative

partnerships, communication, training efforts, outreach, technical assistance and sound decision

making with Federal agencies, tribal leaders, and regulators in the industry. This strategic plan 

updates and supersedes the fiscal years 2014 – 2018 plan. 
NIGC - 18 

Summary and Highlights of Commission Activities

During FY 2020, the Commission’s five primary goals arising from its 2018 Strategic Plan 

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

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

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

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

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

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

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

• The Commission continued its emphasis on working with tribal, state, and Federal regulators 

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

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

necessary. 

• The agency implemented appropriate steps to address employee engagement. Based on the 

most recent Federal Employee Viewpoint Survey results, 46 areas were identified as strengths 

and one area as a challenge. The agency has identified opportunities to improve such as: 

cross-agency communication from management, meaningful recognition of differences in 

individual pay and performance, and accurate assessment of employee training needs. 

• The agency met National Archives and Records Administration standards for electronic 

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

• The Office of General Counsel advised the Chair and Commission on 2 management 

contracts, 41 tribal ordinance submissions, and litigation. Additionally, the Office of General 

Counsel assisted and brought stability to the tribal gaming industry by offering opinions on a 

variety of matters including 4 game classifications, 1 Indian land status, and 60 financing or 

other agreements to ensure they do not implicate management or sole proprietary interest 

concerns. 

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

regarding regulatory changes.

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

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

to more effectively reach intended audiences. The Commission completed 53 training events, 

including instruction at 8 professional organization events, 2 Regional Training Conferences 

(6 events postponed due to COVID-19), 20 site-specific trainings, 1 CJIS training video, 13 

employee trainings and deployment of an online CJIS learning management system. These 

events provided instruction to 7,843 individuals including stakeholders and NIGC employees. 

• The Commission held 8 COVID-19 Outreach, Guidance and Information sessions that

included over 1,000 participants, with representatives from 143 tribes, and 8 Indian gaming 

associations.
NIGC - 19 

• Commission auditors performed 51 reviews and evaluations for FY 2020: four Internal 

Control Assessments (ICA), two Internal Audit Reviews (IAR), two Investigative Audits 

(IVA), one GAAP Audit Review (GAR), 40 ICA Follow-ups, 1 IAR Follow-up, and 1 GAR 

Follow-up, and 522 reviews on audited financial statements. The audit findings were included 

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

the tribes in identifying and implementing remedial action. 

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

contract was approved by the Chairman in FY 2020. 

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

entities associated with management contractors. The Commission received 11 applications 

for background investigations in FY 2020. 

• The Commission processed approximately 222,518 background and licensing actions 

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

gaming commissions. 

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

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

compliance plan that included one site visit at each tribal gaming facility. In-person site 

visits were suspended in March and replaced with remote site visits due to the pandemic. The 

Compliance Division completed 250 site visits, 47 internal audit checklists, 155 licensing 

reviews and 55 Criminal Justice Information Services (CJIS) audits. 

• The Commission, through its Technology Division, completed 1 Information Technology 

Vulnerability Assessment in FY 2020, developed and distributed a Cyber Security Awareness 

paper to tribal regulators and operators, implemented updated antivirus security and installed 

a modern backup system for agency file backups and disaster recovery. 

• To help tribes combat the COVID-19 Pandemic the Commission made available various 

resources which included public health and safety assessment checklists, a running list of 

answers to frequently asked questions, a model infectious disease and preparedness and 

response plan, and a weekly publication of statistics outlining the effects of the pandemic. 

During FY 2021, the Commission will continue its five strategic plan initiatives with an

additional emphasis on Upholding Integrity, Committing to Accountability, Promoting 

Preparedness, and Cultivating Outreach. 

• The Commission plans to hold quarterly and ongoing meetings with tribes regarding NIGC 

Operational Updates, Budget Development Process and Regional Summits. 

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

necessary, to help facilitate compliance throughout all regions. 

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

COVID-19 Pandemic. 
NIGC - 20 

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

regulatory and/or law enforcement agencies.

• Rural outreach and protecting against gamesmanship on the backs of tribes continue to be a 

focus for the agency’s various divisions. 

• The Commission continues to review and update its regulations to maintain the integrity of 

Indian gaming. The Commission will continue to consult with tribes as part of its regulatory 

review. 

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

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

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

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

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

concerns. 

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

agency policies. 

• The Commission continues to respond to requests from tribes for technical assistance and

increases 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 eight NIGC regions. The Commission continues to update the training 

catalog as necessary.

• The Commission is continuing efforts to modernize the NIGC Information Technology (IT) 

network to improve and maintain reliability and manageability. This includes continuing to 

update the website to provide the end user with ease of navigation and searchability of NIGC 

resources. Also, the Technology Division plans to redesign the current NIGC Fingerprint 

program and Tribal Access Portal (TAP) application to provide better security and usability 

for our tribal partners. 

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

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

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

management processes. 

• The Commission will continue to track technological 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.

• The Commission continues to work on its everyday tasks, including:

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

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

protect against IT threats.
NIGC - 21 

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

gaming related training and technical assistance.

- working with tribes on the Tribal Access Portal, 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 helps 

tribes 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 Agreed Upon Procedures (AUP) report filings. The 

Commission establishes fee rates 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 tribal governments and 

tribal regulators, in particular, assisting tribes that are considering entering the Indian 

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

As part of its program objectives for FY 2022, the Commission plans to:

• Continue to hold quarterly and ongoing meetings with tribes regarding NIGC Operational 

Updates, Budget Development Process and Regional Summits. 

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

Preparedness, and Cultivating Outreach.

• Continue building relationships with partner governments and sister agencies. 

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

Plan.

• Continue efforts to modernize the NIGC IT network to improve and maintain reliability and 

security for information systems and data. This includes increasing cyber security protocols 

to protect agency data and enhancing budget tracking tools. 

• Monitor strategic plan performance measures.

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

training to tribes on compliance with any new requirements. 

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

appropriate changes to process and staffing levels. 
NIGC - 22 

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

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

implicate management or sole proprietary interest concerns.

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

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

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

initiatives and training resources. 

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

through virtual platforms or in person settings. 

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

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

necessary. 

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

Commission and tribal financial resources. 

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

achieving and maintaining compliance. 

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

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

• Continue to implement the requirements of GPRA. 

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

of personal identifiable information and criminal history record information. 

• Maintain a consistently high level of compliance for the submission of gaming activity fees 

and external year-end audits through continued monitoring and contact with gaming tribes, 

with an emphasis on compliance. 

• Continue to enhance internal records management. 

• Continue to monitor the training and employee development program in order to attract and 

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

and provide necessary training. 

• Continue to track technological 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.

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

law’s self-regulation provisions. 

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

public health and safety priorities and preparedness. 

• Continue to identify appropriate opportunities for the NIGC to support Tribes’ response 

and/or recovery efforts from the impact of the pandemic on Indian gaming.