and Performance Information

Fiscal Year 2014

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

NIGC - iii 

DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION 

Fiscal Year 2014 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 9 

Background 9 

Annual Fees for Operations 9 

2014 Budget 

Narrative Summary Statement 11 

Summary of the Fiscal Year 2014 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 

Tab:Executive Summary 

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 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. 
NIGC - 2 

The fiscal year 2014 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 
NIGC - 3 

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. 
NIGC - 4 

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. 
NIGC - 5 

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 three satellite 

offices. The Commission is divided into four separate divisions with a combined staff of 

over 100 full-time employees, as of 2012. 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; Temecula, California; and Flowood, 

Mississippi. 
NIGC - 6 

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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NIGC - 9 

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 $27.2 billion of gross gaming revenues in 2011. 

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, on January 8, 2009, 

the NIGC submitted its GPRA Strategic Plan for Fiscal Years 2009 to 2014 to Congress 

and the Office of Management and Budget (OMB). 

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. 
NIGC - 10 

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, 2013 due date will provide the operational 

capital for the first three months of calendar year 2014. 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. 
Tab:2014 Budget 

NIGC - 11 

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 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). 
NIGC - 12 

Summary of the Fiscal Year 2014 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 2014 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 2014 

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. 

With an actual employee count of 97 at the end of 2012 to the projected 115 in 2013 and 

2014, the NIGC is forecasting full-year obligations of $19 million in fiscal year 2013 and 

$20 million in fiscal year 2014. This will allow the Commission to hire additional local 

and field personnel to implement its responsibilities under the Act. These funds will also 

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. 

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. 
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 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: Comptroller, 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). 
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 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. 
NIGC - 15 

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 

Identification code 14-5141-0-2-806 2012 2013 2014

Actual Estimate Estimate

01.99 Balance, start of year................................................ - - - 

 Receipts: 

02.00 NIGC, Gaming activity fees..................................... 19 19 19

02.99 Total receipts and collections................................... 19 19 19

04.00 Total: Balances and Collections.............................. 19 19 19

 Appropriations:

 National Indian Gaming Commission

05.00 NIGC, Gaming activity fees..................................... -19 -19 -19

05.99 Total appropriations................................................. -19 -19 -19

07.99 Balance, end of year................................................. - - - 

 Program and Financing (in millions of dollars)

Obligations by program activity:

00.01 Direct Program Activity 16 19 20

09.00 Total new obligations....................................................... 16 19 20

Budgetary Resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1......................................................................... 5 8 8

Appropriations mandatory:

12.01 Appropriation (special or trust fund):............................. 19 19 19

12.60 Appropriations, mandatory (total)............................ 19 19 19

19.30 Total budgetary resources available......................... 24 27 27

Memorandum (non-add) entries:

19.41 Unexpired unobligated balance, end of year............ 8 8 7

Obligated balance, start of year (net):

30.00 Unpaid obligations, brought forward, Oct (gross)... 1 1 1

30.10 Obligations incurred, unexpired accounts................ 16 19 20

30.20 Outlays (gross)......................................................... -16 -19 -20

30.50 Unpaid obligations, end of year ...................................... 11 1

32.00 Obligated balance, end of year ................................ 1 1 1

Budget authority and outlays, net\:

 Mandatory:

40.90 Budget authority, gross............................................. 19 19 19

Outlays, gross:

41.00 Outlays from new mandatory authority................... 16 18 18

41.01 Outlays from mandatory balances............................ --- 1 2

41.10 Outlays, gross (total)................................................ 16 19 20

41.60 Budget authority, net (mandatory)........................... 19 19 19

41.70 Outlays, net (mandatory).......................................... 16 19 20

41.80 Budget authority, net (total)..................................... 19 19 19

41.90 Outlays, net (total).................................................... 16 19 20

 Obligated balance, end of year (net):

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

 Budget Authority

 Change in obligated balance:

NIGC - 17
DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Identification code 14-5141-0-2-806 2012 2013 2014

Actual Estimate Estimate

Direct obligations

11.11 Personnel compensation: Full-time 

permanent............................................. 10 11 12

11.21 Civilian personnel benefits...................... 33 3

12.10 Travel and transportation of persons....... 11 1

12.31 Rental payments to GSA.......................... 11 1

12.52 Other Services.......................................... 12 2

19.90 Subtotal, direct obligations.................... 16 18 19

99.95 Below reporting threshold........................ --- 1 1

99.99 Total new obligations............................... 16 19 20

Personnel Summary

 Total compensable workyears

 Full-time equivalent employment ........................... 100 115 115

 Object Classification (in millions of dollars)

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

NIGC - 18
Identification code 14-0118-0-2-806 2012 2013 2014

Actual Estimate Estimate

 Obligations by program activity:

08.01 Reimbursable Program Activity 2 2 2

09.00 Total new obligations....................................................................... 22 2

Budgetary resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1......................................................................................... 2 2 2

Budget authority: 

Spending authority from offsetting collections, discretionary

17.00 Collected............................................................................... 2 2 2

17.50 Spending authority from offsetting collections, disc (total). 2 2 2

19.30 Total budgetary resources available........................................ 4 4 4

Memorandum (non-add) entries:.............................................

19.41 Unexpired unobligated balance, end of year......................... 2 2 2

Change in obligated balance:...................................................

 Obligated balance, start of year (net):

30.00 Unpaid obligations, brought forward, Oct 1 (gross).............. --- --- ---

30.10 Obligations incurred, unexpired accounts............................. 2 2 2

30.20 Outlays (gross)....................................................................... -2 -2 -2

Obligated balance, end of year (net):

30.50 Unpaid obligations, end of year ............................................. --- --- ---

Memorandum (non-add) entries:.............................................

31.00 Obligated balance, start of year:............................................. --- --- ---

32.00 Obligated balance, end of year:............................................. --- --- ---

Budget authority and outlays, net:

 Discretionary

40.00 Budget authority, gross....................................................... 22 2

Outlays, gross:

40.10 Outlays from new discretionary authority.............................. 22 2

40.11 Outlays from discretionary balances....................................... --- --- ---

40.20 Outlays, gross (total)......................................................... 22 2

 Offsets against gross budget authority and outlays:

 Offsetting collections (collected) from:.................................

40.33 Non-federal sources............................................................... -2 -2 -2

40.70 Budget authority, net (discretionary)....................................... --- --- ---

40.80 Outlays, net (discretionary) ..................................................... --- --- ---

Program and Financing

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Reimbursable Activity

NIGC - 19
DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

General and Special Funds: Salaries and Expenses

Identification code 14-0118-0-4-806 2012 2013 2014

Actual Estimate Estimate

Reimbursable obligations

22.52 Other services from non-Federal sources............ 222

Object Classification (in millions of dollars)

NIGC - 20
2012 2013 2014

Actual Estimate Estimate

EX-IV 1 1 1

EX-V 2 2 2

ES-4 0 1 1

ES-3 0 0 0

ES-1 0 0 0

GS-15 11 13 13

GS-14 15 17 17

GS-13 30 37 37

GS-12 20 22 22

GS-11 2 5 5

GS-10 2 3 3

GS-09 4 4 4

GS-08 0 0 0

GS-07 0 0 0

GS-06 10 10 10

GS-05 0 0 0

Total FTE 97 115 115

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

NIGC - 21

Tab:Graphs 

NIGC - 23 
NIGC - 24 
NIGC - 25 
NIGC - 26 
NIGC - 27 

Tab:GPRA Information 

NIGC - 29 

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 off 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 three 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 

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

Strategic Plan for years 2014-2018. 
NIGC - 30 

Summary and Highlights of Commission Activities

During FY 2012, 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 when necessary, taking enforcement action for 

violations of IGRA. 

 The Commission conducted 17 tribal consultations as part of its regulatory review. 

 The Commission has published 25 C.F.R. Subchapter H; Part 559; Part 502; Part 573; 

Part 571; and Part 537. The Commission has repealed obsolete regulation 25 C.F.R. 

Part 523. 

 In response to the need to develop a comprehensive set of regulation specific to Class 

II Gaming, the agency allocated personnel to work with an advisory committee 

composed of tribal representatives to create 25 C.F.R. Part 543 and Part 547. Both 

regulations have become final rules. 

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

worksheets on a quarterly basis, pursuant to the regulatory changes to 25 C.F.R. §514. 

Training and technical assistance is being offered to gaming tribes regarding the 

changes to this regulation. 

 During FY 2011, the Agency began the process of conducting a reorganization of the 

Commission to better utilize existing resources and promote efficiency. The 

Commission continues to implement its reorganization to ensure effective approaches 

to carry out its obligations under IGRA. 

 Completed a GSA Request for Proposal for office space to prepare for NIGC 

Headquarters relocation. 

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

United States. The topics of the courses offered were in direct response to tribal 

requests for specific training. During FY 2012, the NIGC conducted approximately 

84 training events comprising approximately 748.3 training hours, and attended by 

approximately 2,013 training participants. 

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

agency resources by identifying partnerships, improving training offerings, and 

utilizing technology to more effectively reach target audiences. 

 During FY 2010, the NIGC established and implemented a program to perform 

abbreviated audits to approximately 13 California tribes conducting Class III gaming 

to assess compliance with NIGC Minimum Internal Control Standards (MICS). 
NIGC - 31 

During FY 2012, the NIGC conducted 13 abbreviated Class III MICS audits and 1 

comprehensive MICS audit. 

 Commission auditors also performed 3 comprehensive MICS audits and 4 cursory 

MICS audits specific to class II 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. 

 The NIGC Chair approved: one management contract; six amendment(s) to an 

approved management contract; and three modifications to the List of Individuals and 

Entities with a direct or indirect financial interest in, or management responsibility for 

contracts with nine Tribes involving 30 individuals. The Commission also conducted 

financial background investigations on certain persons and entities associated with the 

management contractors. 

 The Commission processed approximately 67,421 fingerprint cards for tribal gaming 

commissions. 

 The Commission began the update of its strategic plan to cover FY 2014 – 2018. 

Four consultation meetings were conducted to review the plan and for the public to 

provide comments on the plan. 

 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) performance appraisal system; (ii) transportation subsidies; 

(iii) special pay entitlements; (iv) awards and employee recognition program; and (v) 

travel policy. A review of position descriptions was conducted and will continue to be 

better aligned with job duties. 

 The Commission completed a draft consultation policy that will be posted for tribal 

comment. 

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

the tribal gaming facilities to enhance communication. 

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

utilization of financial resources. 

Continuing with its four primary initiatives, during FY 2013, 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. 
NIGC - 32 

 During FY 2011, the Agency began the process of conducting a reorganization of the 

Commission to better utilize existing resources and promote efficiency. The 

Commission continues to implement its reorganization to ensure effective approaches 

to carry out its obligations under IGRA. 

 Continue planning for upcoming NIGC headquarters office move that includes 

working with GSA on space allocation and lease options. 

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

internal agency policies related to the following subjects: (i) procedures for providing 

reasonable accommodation for individuals with disabilities; (ii) standards of ethical 

conduct; (iii) telework program; (iv) training and employee development; (v) 

promotion; (vi) time, attendance, and leave policies; (vii) government charge card 

programs; and (viii) nursing mothers program. 

 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. 

 The Commission will finalize its strategic plan covering FY 2014 – 2018. 

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

electronic records. 

 During FY 2013, 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. 

- 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. 
NIGC - 33 

- 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. 

As part of its program objectives for fiscal year 2014, the Commission plans to: 

 Continue support of 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. 

 Implement updated strategic plan. 

 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. 

 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. 

 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. 

 Establish a 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.