NIGC Commission Next Steps Update

TOPICS PUBLISHED DATE / ACTIONS

*More information is available by clicking the drop down arrow on the left hand side of each topic

Series A TOPIC- NIGC Consultation Policy 

The Commission is currently drafting new features into the existing Consultation policy. The new 

features will achieve the following: institute virtual video conference as well as in person elements 

in all future consultation sessions, establish a requirement for the NIGC to update tribal leaders 

within a set time period following the conclusion of consultation session, and initiate an effort to 

coordinate NIGC’s consultation planning with other federal agencies involved in aspects of Indian 

gaming. A memorandum implementing these updates is forthcoming.

NIGC Consultation 

Policy

Series Anticipate DTL Letter 

Early June 2022
Series A TOPIC- NIGC Strategic Plan

The Chair will create an NIGC employee committee initiative organized around the four goals. The 

committee membership will be led by the Chief of Staff, represent a cross section of staff 

perspectives, and be responsible for advising on the efficacy of formal and internal measures to 

monitor and assess achievement of the strategic plan goals in daily operations. In addition, the 

Chair will supplement his current commitment to periodic tribal leader briefings from NIGC senior 

officials on Agency operations with an extended periodic presentation on the Agency achievements 

according to the four goals. An internal memorandum and a Dear Tribal Leader Letter outlining 

these commitments in forthcoming and will be shared in this Next Steps Chart.

Series A TOPIC- KE & PMO

The Commission discussion with tribes on this provision included two areas of consideration. First, 

the need to address questions about authorities for tribal background and licensing programs’ 

access to criminal history records information via the NIGC fingerprint program. Second, the least

disruptive approach to reconcile any NIGC regulatory changes with tribal gaming authorities' 

respective practices for assessing the eligibility of operation and TGRA employees’ licensure. 

NIGC Strategic Plan

Series

Anticipate DTL Letter 

Early June 2022

25 C.F.R §§ 502.14; 502.19 –

Definitions of Key Employee 

and 

Official

Series

Anticipate DTL Letter

Early June 2022
Series A TOPIC- NIGC Facility License 

The Commission raised the Chair’s concern with the existing requirements for submissions 

received by the Chair for a facility notice when circumstances are beyond a tribe’s control. 

Specifically, the existing regulations require a street address for any new facility in addition to a 

physical description of the operation’s location. The regulation’s requirement for a street 

address must be met 180 days before opening. The address requirement exists even when the 

timing of the address designation is beyond a tribe’s control because assigning a street address 

requires assistance from a neighboring non-tribal government.

The Commission published a Notice of Proposed Rule Making in November 2021. The Federal 

Register’s publication notice is available HERE. The Commission anticipates promulgating a final 

rule modifying the street address notification requirement. This new rule would ensure the 

NIGC is able to balance two objectives related to the facility license submission process. First, to 

maintain an accurate accounting of all operations and the operations’ locations—an objective 

articulated by a 2005 OIG report. And second, avoid subjecting an operation’s opening date to 

an address designation that is beyond the tribe’s control--an unrealistic burden given the often 

time intensive and extensive responsibilities a tribe bares during the lead up to a facility 

opening.

25 C.F.R. § 559.2(b) –

Facility License 

Notifications and 

Submissions

Series

Published Nov 2021 

DTL Letter
Series A TOPIC- Submission of Gaming Ordinance 

The Commission raised the Chair’s concern with the implementation of existing requirements 

for submitting an ordinance for the Chair’s review. Specifically, the existing regulations require 

for approval that a tribe has implemented regulations under which a tribe’s regulatory body 

may operate. This presents a problem when an initial ordinance must be approved before a 

tribe’s regulatory body adopts its regulations. 

The Commission published a Notice of Proposed Rule Making in November 2021. The Federal 

Register’s publication notice is available HERE. The Commission anticipates promulgating a final 

rule in line with the NPRM. The Final Rule would address the circumstance when an inaugural 

ordinance is seeking approval and therefore a tribe’s regulatory body has not yet established 

regulations. In addition, and based on tribal representatives’ comments during consultation, 

the Commission anticipates adopting language to address a concern raised by tribes with the 

NIGC regulations' current assumption that every tribe would have a tribal constitution and not 

operate under another valid authority.

Series A TOPIC- Fee Requirements

25 C.F.R. Part 552 –

Submission of Gaming 

Ordinance or Resolution

Series

Published Nov 2021 

DTL Letter

25 C.F.R. § 514.4(c) – Fees 

requirements regarding 

“Free Play”

Series

Published Nov 2021 DTL 

Letter
Commission discussions during late Spring 2020 resulted in broader Agency outreach around 

the industry’s adoption of changing audit standards. This outreach led to the Commission 

identifying the need to clarify NIGC’s expectation regarding whether free play should be 

included in annual revenue calculations. 

The Commission published a Notice of Proposed Rule Making in November 2021. The Federal 

Register’s publication notice is available HERE. The Commission anticipates that it will move 

forward with language like that found in the NPRM in order to differentiate the NIGC’s 

Assessable Gross Revenue calculation from net and gross revenue calculations. The language 

will also aim to let each tribe choose whether to include free play in its calculation and it will 

ensure the NIGC’s ability to verify the accuracy of a tribe’s AGR submission.

Series A TOPIC- Reducing the Number of Background Investigations

 

The Commission published a Notice of Proposed Rule Making in November 2021. The Federal 

Register’s publication notice is available HERE. The Commission anticipates it will promulgate 

regulations to adopt the new rule and thereby reduce the number of investigations required to 

only those individuals or entities with a ten percent or greater interest, a change from existing 

NIGC practice of investigating the top ten individuals with a financial interest. 

25 C.F.R. § 537.1(a)(3) –

Reducing the number of 

background investigations

Series

Published Nov 2021 DTL

Letter
Series B TOPIC- Audit Standards for S&C Gaming

In past years, the Agency has made clear the IGRA’s expectation for all gaming operations on 

Indian land--including small and charitable operations--will be regulated. Recognizing the 

existing tools within IGRA, the Commission in recent years has sought to recognize the 

difference in risk and operational capacity of small and charitable operations when compared 

to other types of Indian gaming. 

The Commission published a Notice of Proposed Rule Making to maximize available tools to 

reduce finical costs of auditing the financial activity of a small and charitable operation while 

maintaining a standard of oversight commensurate with the risk of non-compliance associated 

with a small and charitable operation. 

Series B TOPIC- Audit Requirement Disclaimed/Adverse

The Commission consulted with tribes to explore the acceptability of disclaimed and adverse 

audits given the NIGC’s reliance on such audits as part of the NIGC’s approach to compliance. 

The feedback from tribes provided an understanding of the circumstances that give rise to such 

audits as well as a tribe’s potential considerations when engaging an independent audit such as 

25 C.F.R. § 571.12-

Audit standards for 

Small and Charitable 

Operations

Series

Published NOV 2021 DTL 

Letter

25 C.F.R. § 571.12(b) and 

571.13 – Audit 

requirements regarding 

disclaimed or adverse 

audits

Series

NPRM & Bulletin
the selection of an acceptable industry audit framework and decisions to consolidate multiple 

operations audits.

The Commission published a Notice of Proposed Rule Making to begin the practice of not 

accepting adverse audits. It will continue to accept unqualified, qualified, and disclaimed audits 

in satisfaction of IGRA’s requirements. Based on comments received during the NPRM process 

stemming from the earlier consultation sessions and regardless of whether a Final Rule is 

published on this topic, the Agency will likely publish a bulletin on the topic of audits during the 

2022 year. 

Series B TOPIC- Self-Regulation

In recent years, the Commission has brought attention to its authority to issue certificates of 

self-regulation to those tribes demonstrating an adequate regulatory capacity. The Commission 

now wants to increase tribes’ access to the petitioning process for a certificate and to bring 

awareness to this provision in the IGRA. The Commission’s consultation sought tribes’ views on 

the existing regulations governing the Office of Self-Regulation, and the petitioning process 

including the timeframes associated with the Commission's review. 

The Commission published a Notice of Proposed Rule Making on April 7, 2022. The Federal 

Register’s publication notice is available HERE. In addition, the Agency published two new 

bulletins related to the reduced scope of self-regulated tribes’ ongoing responsibilities and 

providing further information about the petitioning process. These bulletins can be found HERE. 

In addition, the Commission has announced its plans to expand its annual summer series 

among the eight NIGC administrative regions to now include a summer 2022 summit discussion 

25 C.F.R. Part 518 –

Self-Regulation of 

Class II Gaming

Series

NPRM, Bulletin(s), Policy
dedicated to tribes with a certificate of a self-regulation and tribes interested in petitioning the 

Commission for a certificate. Finally, the Agency consolidated its resources around selfregulation related topics onto a dedicated part of the NIGC web page. That portion of the NIGC 

website can be accessed HERE.

Series B TOPIC- Fees Assessments & Reporting

The Chair’s emphasis areas include a commitment to enhancing good governance practices by 

instituting practices to increase agency accountability. The NIGC’s funding source—which is 

based solely on fees collected from Indian gaming operations—is a topic around which the 

NIGC can innovate based on the NIGC commitment to Agency accountability. This opportunity 

was made even more necessary during the industry-wide closures due to the pandemic. During 

the start of 2020, the NIGC and tribes alike managed historic budget uncertainty--and the NIGC 

throughout this uncertainty never received additional sources of funding.

The Commission continues to deliberate the concepts presented to tribes during the 

consultation. The ongoing discussion centers around increasing forward planning through more 

communication and collaboration between the Agency and tribes, as well as more responsive 

NIGC tools to address unforeseen national and regional industry changes. At this point, the 

Commission may institute a series of policy changes that do not require regulatory updates in 

order to establish new practices for how the Commission reports fee and budget related 

information.

25 C.F.R. Part 514– Fees 

Assessment and Reporting 

Processes

Series

Under Discussion –

TBA
Series B TOPIC- Powers of the Commission Regarding Background Investigations

The Indian Gaming Regulatory Act enumerates Commission authorities the Commission may 

exercise by a majority vote. These authorities are separate from the Chair’s distinct authorities 

and include commonly used powers such as the power to set fees and the power to promulgate 

regulations. A less commonly used authority is the authority to cause a background 

investigation to be conducted.

The Commission discussed with tribes the potential to use its authority to cause a background 

investigation to occur in order to resolve questions about the authority under which tribes 

utilize the NIGC fingerprint program to conduct tribal background and licensing. The 

Commission is likely to implement regulations in order to clarify and make defensible its use of 

this statutory authority as the basis for tribes' access to criminal history records information. 

The Commission continues to draft regulations that it will likely publish as a proposed rule.

Series C TOPIC- MICS and Tech Standards Technology Review

25 U.S.C. § 2706(b)(3) –

Powers of the Commission 

Regarding Background 

Investigations to be 

Conducted

Series

Under Discussion –

TBA

25 C.F.R. Parts 543 & 547 –

Minimum internal control 

standards & minimum 

technical standards 

regarding technological 

enhancements and threats

Series

Under Discussion –

TBA
The Commission's focus on supporting cybersecurity in the Indian gaming industry has included 

a review of any NIGC requirements with the potential to discourage sound cybersecurity 

practices. 

The Commission does not anticipate that it will propose any regulatory changes in this area 

without further discussion with tribal representatives and believes the existing regulations 

currently do not interfere with tribes' adoption of cybersecurity mitigation measures such as 

cashless systems and cloud-based data storage. There does exist the opportunity to modernize 

these areas of the regulations in a way that would provide an incentive for tribes. The industry 

as well as individual operations would benefit from operation’s implementing and maintaining 

strong cybersecurity practices. The Commission remains aware that any industry-wide action 

must be wary of the diversity of tribal operation’s long-term planning, individual risk profiles, 

and investment ability to enhance capacity around cybersecurity. 

Series C TOPIC- Temporary Closure Provisions for EPHS Violations

The Commission sought a conversation with tribes on the broad topic of cybersecurity and how 

to build on lessons learned from the NIGC’s interpretation of existing environment, health and 

public safety (EPHS) requirements for all operations in the context of the public health 

pandemic. Specifically, the Commission sought to explore how the regulations current 

deference to tribal gaming regulatory authorities' attestation to the applicability and 

enforcement of EPHS standards could provide a framework for how gaming operations assess 

potential risk and respond to a cyber-event. This framework would also provide the NIGC with a 

25 C.F.R. § 522.4(b)(7) and 25 

C.F.R. § 573.4(a)12 — Ordinance 

Approval &Temporary Closure 

Provisions Applicability to 

Existing EPHS matters related to 

technology threats

Series

Bulletin
proven approach to a quickly emerging threat upon which the NIGC can participate, and the 

public can rely.

The Commission does not intend to promulgate any regulatory changes that would bind the 

Agency to making an association between a cyber-security threat at a gaming operation and 

public safety responsibility under IGRA. However, the Commission at this time sees an 

opportunity to develop a bulletin to highlight NIGC resources related to preparation for and the 

possible implications of the imminent jeopardy created by a cyber-security threat at an 

operation including automated physical security infrastructure. In addition, the Commission 

intends to continue to establish agency-wide expertise in safety and health matters across its 

Compliance division and Training program. This effort will rely in part on the recently 

established NIGC Safety and Health Manger position as well as the NIGC Technology division’s 

auditing expertise. You may access the portion of NIGC website dedicated to the NIGC 

Technology Divisions HERE.

Series C TOPIC- Adding Misuse of Revenue to the Substantial Violations List

For any substantial violation, the Chair may bring a temporary closure order that would be 

appealable to the full Commission. The Commission consulted with tribes to understand 

potential implications for expanding this list to include the misuse of net gaming revenue. This

proposed change would emphasize the importance of this explicit requirement in IGRA. Also, 

the potential temporary closure tool would provide an additional remediation measure that 

could avoid a prolonged financial burden on a tribe that flows from a Civil Fine Assessment for 

such a violation--these assessments are typically upheld per a settlement agreement that 

25 C.F.R § 573.4(a) –

Adding Misuse of Gaming 

Revenue to the Existing 

Substantial Violations List

Series

Bulletin
includes multiple years of civil fine payments, thus binding future tribal councils. A list and brief 

description of the existing temporary closure orders can be found HERE. It was also discussed 

that use of a temporary closure order by a Chair resulting from one of the existing enumerated 

violations occurred approximately 12 times in the Agency’s history nearly 30-year history. The 

Commission continues to view the protection of tribal assets as a core part of its regulatory role 

and the misuse of net gaming revenue as a potentially significant attack on the IGRA measures 

that lawmakers set out to protect those assets. Those views, however, were tempered by tribal 

concerns with the risk of over-zealous enforcement that a Chair may exercise. Such an 

excessive use of the Chair’s authority may infringe on a tribe’s own sovereign role in managing 

and protecting its assets in accordance with IGRA. Some tribes’ comments also held the view 

that the Chair’s existing enforcement tool of a Civil Fine Assessment was an appropriate 

deterrent to the threat a misuse of net gaming revenues posed to a specific tribe and to 

national Indian gaming industry’s overall reputation. Currently the Commission does not intend 

to promulgate regulations on this topic without further consultation with tribes. The Chair 

continues to prioritize significant misuses of gaming revenues as a key area for the NIGC’s 

enforcement and monitoring.

Series C TOPIC- Background Investigations Process Enhancements

The Commission consulted with tribes on the impact of promulgating regulations to modernize 

and harmonize its current regulations with the NIGC’s existing practices for conducting 

background investigations. These investigations are needed as part of the Chair’s management 

agreement review process in order to determine the suitability of a potential management 

agreement. While there have been improvements in the efficiency of the background process, 

25 C.F.R. Part 537 –

Background investigations 

process enhancements to 

improve efficiency and 

predictability

Series

Bulletin
the regulations do not currently reflect those practices or obligate the NIGC via the regulations 

to follow those processes.