NIGC Strategic Plan 2014 -2018 Performance Measures

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Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Number of voluntary audit technical assistance requests.1 165 403 29 N/A

Number of technical assistance sessions provided to tribal 

gaming commissions to enhance success in maintaining 

compliance with IGRA.2 N/A N/A N/A N/A

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Percent of NIGC staff compliance with informing, assisting, 

and providing technical assistance to Tribes within 

established internal deadlines in regard to audit findings and 

compliance issues.1 92% 93% 18%* 90%

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Number of audits and evaluations of tribal gaming facilities 

completed annually. 13 14 11 12

Number of IGRA/NIGC regulation compliance reviews 

completed annually to assist in voluntary compliance by tribal 

gaming operations.1 N/A N/A N/A N/A

Number of tribal gaming facility site visits completed annually. 465 596 537 500

Goal 1: Continue the Assistance, Compliance and Enforcement (“ACE”) initiative.

Strategy: Increase the availability of technical assistance available and provided to tribes, gaming commissions, and gaming operations.

Strategy: Provide timely responses to Tribes on audit findings and IGRA violations to allow adequate time for corrective action and 

voluntary compliance.

Strategy: Conduct site visits, audits and evaluations, with particular focus on improvements in tribal internal control systems to maintain the 

integrity of the gaming industry.

1This data is the total phone technical assistance provided by NIGC staff which includes audit related questions. Other forms of technical assistance data is provided in 

other measures. This data is no longer collected as this was not an effective measure. 

2This data was a factor in the measure on number of site visit technical assistance events. This data is presented under that measure and thus not reported separately.

1This data is the percent of Internal Control Assessments and other audit reports provided within internal timelines and percent of Letters of Concern provided within 

internal timelines. 

*In fiscal year 2016, nine audit reports issued by NIGC staff were delivered to the tribe passed the internal deadline.
NIGC Strategic Plan 2014 -2018 Performance Measures

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Percent of MICS audit exceptions satisfactorily resolved by 

tribal gaming operations as a result of an audit or evaluation 

conducted by the NIGC. 100% 78%* TBD* 70%

Percent of tribal gaming facility audited financial statements 

and management letters received in compliance within 

timelines. 92% 93% TBD** 99%

Percent of quarterly fees worksheets received in compliance 

with timelines. 80%*** 84% 87% 99%

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Proactively respond to tribal needs and industry changes by 

modifying course offerings, and methods of providing 

technical assistance.

Survey results 

reviewed and 

discussions on 

changes to 

training catalog

Training Catalog 

updated

Training course 

on Preventing 

Gamesmanship 

was added

Feedback 

Reviewed

Percent of respondents who “agree” or “strongly agree” that 

the training they have received from the NIGC has assisted 

them with the work they do.1 N/A N/A N/A N/A

Number of trainings offered that provide cost-saving 

measures for tribes and the regulated community, such as an 

agency web portal or online training.2 N/A N/A N/A N/A

1This data was a factor in the measure on number of site visits completed annually as NIGC staff perform compliance reviews of various areas during a site visit. This 

data is presented under that measure and thus not reported separately. 

*To Be Determined: Follow-up by NIGC staff is still being conducted for audits completed in fiscal years 2015 and 2016. 

**To Be Determined: Audited financial statements and management letters are still being received for 2016. 

***The NIGC office move occurred in fiscal year 2014 which resulted in mail problems. In fiscal year 2014, the NIGC implemented an electronic payment system through 

Pay.gov for annual fees payments and submission of worksheets.

Goal 2: Improve technical assistance and training for stakeholders.

Strategy: Provide guidance, technical assistance, training, and other forms of assistance to tribes to build and sustain the capability to 

prevent, respond to, and recover from weaknesses in internal controls and violations of IGRA and NIGC regulations.

1Satisfaction surveys were eliminated for this measure as data did not capture efforts and is therefore not useful. Instead, this data is presented under the measure of 

percent of attendees satisfied with training and thus not reported separately. The NIGC also began conducting knowledge reviews at the end of the training course and 

will expand on this area. 

2The NIGC is continuing to seek ways to provide online and/or web portal trainings. At this time, the NIGC provided site-specific trainings and the data is presented under 

the measure of number of site visit technical assistance events provided annually and is thus not reported separately.

Strategy: Provide opportunities for tribes located within all NIGC regions to participate in trainings.
NIGC Strategic Plan 2014 -2018 Performance Measures

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Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Number of training events held annually. 70 52 33* 70

Percent of tribes who attended annual training events. 83% 91% 61% 70%

Number of site visit technical assistance events provided 

annually. 51 31 12 12

Number of attendees attending training events annually. 2,330 2,148 1,662 2,000 

Percent of attendees satisfied with training (indicating such by 

surveys at training events). 99% 99% 98% 85%

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Number of Tribal Advisory Committee meetings held 

annually. 0 0 0 As needed

Continue to inform Tribes of new regulations through the use 

of NIGC’s website and other media outlets, including social 

media.1 1 15* 3

Annually 

Reviewed

Percent of trainings provided to agency staff and Tribes to 

enhance understanding of new and revised regulations. 100% 100% 100% 100%

Conduct ongoing evaluations of regulations to determine the 

need for regulatory updates and changes through 

consultations, Tribal Advisory Committee meetings, Tribal 

Gaming Working Group meetings, and input received from 

agency staff and Tribes.

Annually 

Reviewed**

Annually 

Reviewed**

Annually 

Reviewed**

Annually 

Reviewed

*In fiscal year 2016, there was a 61% decrease in site-specific training events.

Goal 3: Improve and update the NIGC’s regulations.

Strategy: Finalize and implement new and revised regulations developed through the regulatory review process.

Goal 4: Improve consultation, communication and relationship building with tribal regulatory authorities, and federal 

and state agencies.

1This data is the number of regulations that are new or amended during the fiscal year that were posted to the agency website and the Federal Register. 

*In fiscal year 2015, 14 regulations were amended for minor changes to correct the mailing address, grammatical errors, and outdated references. 

**Since the Notice of Inquiry issued in November 2010, the NIGC has reviewed 20 regulations or potential regulations. From fiscal years 2014 - 2016, there were nine 

consultations held that covered a variety of topics such as updating the NIGC Privacy Act regulations, the proposed NEPA Manual, Class III MICS guidance, and the Buy 

Indian Goods & Services drafted policy.
NIGC Strategic Plan 2014 -2018 Performance Measures

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Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Percent of gaming tribes and their officials, and employees 

attending consultations.1 N/A N/A N/A N/A

Adoption and full implementation of the NIGC’s tribal 

consultation policy.2 N/A N/A N/A N/A

Conduct meaningful tribal consultations in conjunction with 

national and widely attended meetings to conserve tribal and 

Agency resources. 4 4 1 4

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Number of increased opportunities for tribes to engage and 

collaborate with the agency through a forum for feedback 

through the NIGC website and social media platforms.

social media fully 

implemented

web re-design 

survey; employee 

BETA website 

testing, new NIGC 

website

hired Rural 

Outreach and 

Intergovernmental 

Affairs 

Coordinators

Annually 

Reviewed

Continue to improve the quality, quantity and timeliness of 

information made available to Tribes through the Tribal 

Access Portal (TAP). Ongoing Ongoing Ongoing Ongoing

Regularly inform tribes of Agency financial resources (Gross 

Gaming Revenue, Agency Budget, etc.).

Posted on agency 

website and 

media advisory

Posted on agency 

website and 

media advisory

Posted on agency 

website and 

media advisory

Posted on agency 

website and 

media advisory

Percent of users satisfied with the amount and type of 

information available on the agency’s website.1 N/A N/A N/A N/A

Strategy: Conduct meaningful consultations with tribes on NIGC proposals for regulations, rulemaking, legislation, guidance, policy 

formulation or actions that may have a substantial, direct effect on one or more tribes, on the relationship between tribes and the Federal 

government, or on the distribution of power and responsibilities between tribes and the Federal government.

1This data is no longer collected as this was not an effective measure. A Dear Tribal Leader letter is sent notifying Tribes of upcoming consultations. A press release is 

issued on topics for discussion and dates of consultations. A consultation briefing is prepared on the summary of each topic and posted to the agency website. 

Consultation transcripts and comments received are posted to the agency website. 

2The NIGC Consultation policy was adopted by the Commission in February 2013.

Strategy: Implement the NIGC’s responsibilities under the Open Government Initiative as defined by the Office and Management Budget’s 

Open Government Directive of 2009 and improve the NIGC website to provide information about the agency and its work.
NIGC Strategic Plan 2014 -2018 Performance Measures

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Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Develop a system for referrals to and from relevant federal 

regulatory authorities and agencies. Ongoing Ongoing Ongoing Ongoing

Continue to develop partnerships via MOUs with tribal 

regulatory authorities, and federal and state agencies to 

promote efficiency. Ongoing Ongoing Ongoing Ongoing

Percent of tribal regulatory authorities who said that the NIGC 

was doing a “good” or “very good” job of fulfilling its mission 

of improving and building relationships (indicating such by 

surveys).1 N/A N/A N/A N/A

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Percent of employees receiving trainings on new policies and 

employee awareness programs. 100% 100% 100% 100%

Percent compliant with mandatory staff training. 100% 100% 100% 100%

Maintain up-to-date human resource policies and procedures.

2 policies 

approved 1 policy approved 1 policy approved

Annually 

Reviewed

Develop an Action Plan to respond to employee feedback 

generated by the Employee Viewpoint Survey.

Action Plan 

reviewed

Action Plan 

reviewed

Action Plan 

results included in 

fiscal year 2017

Action Plan 

created

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Implement new performance measurement system.1 N/A N/A N/A N/A

Implement new career development policy.2 N/A N/A N/A N/A

Percent of employees who received training regarding 

individual performance management responsibilities.3 N/A N/A N/A N/A

Strategy: Coordinate and collaborate with tribal regulatory authorities, and federal and state agencies using a variety of mechanisms.

1Statisfaction surveys were eliminated for this measure as data does not capture efforts and is therefore not useful.

1Statisfaction surveys were eliminated for this measure as data does not capture efforts and is therefore not useful.

Goal 5: Increase efficiency, transparency and accountability.

Strategy: Update and further develop policies that enhance Agency employees’ ability to perform their jobs effectively.

Strategy: Implement and monitor a performance measurement system to enhance employee performance.
NIGC Strategic Plan 2014 -2018 Performance Measures

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Number of performance management goals achieved within 

their set timeline.

Measured in 

employee EPAP

Measured in 

employee EPAP

Measured in 

employee EPAP

Measured in 

employee EPAP

Measure 2014 Actual 2015 Actual 2016 Actual 2017 Plan

Meet all federally required IT security regulations.

Upgraded NIGC 

infrastructure

Continued 

upgrades

Reviewed for 

security patches

Annually 

Reviewed

Implement and realize Agency cost savings and increased IT 

resources with DOI IT integration agreement.1 N/A N/A N/A N/A

Increase the number of communication forums for all users.

monthly NIGC all 

staff conference 

calls started

1Strategic sourcing was used when purchasing upgrades and completing the office move of its IT infrastructure in fiscal year 2014 and continuation of the upgrades into 

fiscal year 2015. In fiscal year 2015, upgrades included increased bandwidth of the T1 line to the DS3 connection, improved communication speed with field offices and 

tribes, and a virtualized server environment.

Strategy: Develop and maintain more integrated information systems and processes that support the NIGC staff and functions.

1The Performance Appraisal System and associated policy was approved by the Commission in July 2013. 

2The Training & Employee Development policy was approved by the Commission in July 2013. 

3The NIGC employees and supervisors received training on the new perfomance appraisal system in September 2013.