and Performance Information

Fiscal Year 2013

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 2013 Budget Justification 

Table of Contents

 Page 

Item Number 

Executive Summary

Executive Summary 1 

General Statement 2 

The Indian Gaming Regulatory Act of 1988 4 

The Commission and its Operations 5 

Budget Priorities 9 

Annual Fees for Operations 9 

2013 Budget

Appropriation Summary Statement 11 

Summary of the Fiscal Year 2013 Budget 12 

Fee Regulation 13 

Gaming Activity Fees – Program and Financing Schedules 15 

Gaming Activity Fees – Object Classification Schedule 16 

Reimbursable Activity – Programming and Financing Schedule 17 

Reimbursable Activity – Object Classification Schedule 18 

Employee Count by Grade 19 

Graphs

Indian Gaming Industry Growth – Chart 21 

Growth in Indian Gaming Operations – Chart 22 

NIGC Fee Revenue – Chart 23 

NIGC Expenditures – Chart 24 

Staffing Levels – Chart 25 

Government Performance and Results Act (GPRA) Information

Highlights of Commission Activities 27 

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 29 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 29 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 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 2013 budget will focus primarily 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. 

Vision 

A fundamental principle of this Commission’s vision is that we are committed to 

strengthening government-to-government relations by engaging in meaningful 

consultation with Tribes to fulfill the intent of IGRA. Our vision is to adhere to the 

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

and fiscal responsibility, to operate consistently to ensure fairness and clarity in the 

administration of IGRA, and to respect the responsibilities of each sovereign in order to 

fully promote tribal economic development, self-sufficiency and strong tribal 

governments. 

Mission 

To work within the framework created by the Act for the regulation of gaming activities 

on Indian lands, and thereby fully promoting tribal economic development, selfsufficiency, strong tribal governments, and the integrity of the Indian gaming industry. 

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 as a means of supporting tribal economic 

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

statutory basis for the operation of gaming on Indian lands. It provides a regulatory 

framework to shield Indian gaming from corruption, to ensure the games are fair and 

honest, and to ensure that Tribes are the primary beneficiaries of the gaming operation. 

The Commission was created to address these congressional concerns regarding gaming 

and to protect such gaming as a means of generating tribal revenue. 

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

background investigations, audits and reviews financial records 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), provides technical 

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

appropriate, undertakes enforcement actions. 
NIGC - 3 

This is accomplished by: 

• Direct regulation of certain aspects of Indian gaming, and coordinating 

regulation with tribal and other regulatory agencies through 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; 

• Maintaining oversight and reviewing the conduct of Indian gaming operations 

and their financial performance; 

• Referring matters to appropriate Federal, tribal and state entities; and 

• When necessary, undertaking enforcement actions for violations of IGRA, the 

Commission’s regulations and tribal gaming ordinances, including the 

imposition of appropriate sanctions on those committing such violations. 

As it fulfills these responsibilities, the Commission is particularly vigilant of any 

indications of corrupting influences, such as those posed by organized criminal 

elements, 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 Chairman 

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 to the NIGC, 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. 

The Commission and its Operations 

The Commission is comprised of a Chair and two associate Commissioners, each of 

whom are appointed to three-year terms. The Commission establishes policy, and is 

responsible for carrying out the duties assigned to it by IGRA. 

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

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

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

The Commission is divided into four separate divisions with a combined staff of 100 

full-time employees as of 2012. Approximately half of the Commission staff are 

assigned to headquarters in Washington, DC, with the remaining assigned among its 

regional offices located in: Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; 

Tulsa, OK; Washington, DC; and Oklahoma City, OK, and among its satellite offices in 

Rapid City, SD; Temecula, CA; and Flowood, MS. 

The Commission established its field structure to increase effectiveness and improve the 

level and quality of services it provides. The field offices are vital to carrying out the 

statutory responsibilities of the Commission, providing technical assistance and training, 

and securing industry compliance with the IGRA. Tribal compliance with the Act has 

improved as a result of locating auditors and field investigators closer to tribal gaming 

facilities. In addition to auditing and investigative activities, the field staff provides 

technical assistance, education, and training to promote a better understanding of gaming 

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

order to prevent violations thus ensuring the integrity of the gaming operations. 
NIGC - 6 

Organizational Structure 

The Commission’s organizational structure is composed of two main branches, the Office 

of the General Counsel and the Office of the Chief of Staff. 

The Office of the General Counsel provides legal advice and counsel to the 

Commission on all matters relating to IGRA and Commission compliance with all 

applicable laws and regulations. The Office represents the Chairman in all enforcement 

actions and, as needed, coordinates with the U.S. Department of Justice to implement the 

Commission’s enforcement actions. The Office also plays an important role in handling 

appeals before the full Commission, and where Commission action results in litigation, 

the Office works directly with the Department of Justice. 

The Office of the General Counsel also manages the day-to-day legal affairs of the 

Commission, providing counsel and legal support to each division. The Office reviews 

tribal gaming ordinances and proposed management contracts, provides legal advisory 

opinions on the appropriate classification of games played in Indian gaming facilities, on 

Indian land issues, contract issues, and general law questions. The Office also 

coordinates opinions and other specific matters with the Department of the Interior’s 

Office of the Solicitor, and other Federal agencies as necessary. 

Chair 

General Counsel Chief of Staff 

Associate 

General Counsel 

Deputy 

Chief of Staff

Division of Public 

Affairs 

Division of 

Compliance

Division of Finance 

Executive 

Administrator

National Indian Gaming Commission 

Counsel to the Chair 

Associate 

General Counsel 

Associate Commissioner Vice Chair 
NIGC - 7 

The Office of the Chief of Staff implements the policies of the Commission and is 

responsible for the direction, supervision, and evaluation of the work of all Commission 

employees outside of the Office of the General Counsel. It is divided into three divisions 

which include: Division of Compliance; Division of Public Affairs; and Division of 

Finance. 

The Division of Compliance serves as the Commission’s main tool in monitoring 

Tribal compliance with all applicable laws and regulations. The Division consists 

of seven regional offices and three satellite offices. 

Regional Office – Portland, OR 

Regional Office – Sacramento, CA Satellite Office – Temecula, CA 

Regional Office – Phoenix, AZ 

Regional Office – St. Paul, MN Satellite Office – Rapid City, SD 

Regional Office – Tulsa, OK 

Regional Office – Washington, DC Satellite Office – Flowood, MS 

Regional Office – Oklahoma City, OK 

Employees from the Division of Compliance routinely visit Indian gaming 

facilities in their region, evaluating compliance with relevant Federal laws and 

regulations, providing training and technical assistance, and, where indicated, 

facilitating the activities of other Federal agencies responsible for implementing 

the IGRA’s provisions. Education and outreach are among the Division’s best 

tools in achieving compliance. As such, the Division offers training and technical 

assistance on a wide range of matters. The Division also plays a critical role in 

processing background investigations at Indian gaming facilities. IGRA requires 

tribes to conduct background investigations on key employees and primary 

management officials, including submission of fingerprint cards to the FBI. 

The Division of Compliance also provides both external and internal training. 

The Division supports the implementation of Public Law 109-221 and assists in 

attaining the strategic goal of organizational excellence. Externally, the training 

program, among other responsibilities, provides numerous course offerings 

related to gaming. The Division works with tribal governments, gaming 

regulators, law enforcement, and members of the state and Federal agencies to 

identify needed areas of training. 

The Division of Compliance monitors compliance with the Commission’s 

minimum internal control standards and other regulations specific to the 

operational workflows of the gaming enterprises. The internal control regulations 

establish uniform standards for protecting the integrity of Indian gaming. The 

result of these reviews provides valuable feedback to tribal governments 

regarding regulatory compliance but, most importantly, how they can better 

safeguard their investments. The Division is also called upon from time to time to 

provide support in examining alleged financial irregularities. Based on an 

analysis of financial filings with the Commission, the Division identifies trends in 
NIGC - 8 

an effort to better aid the Commission in the administration of its regulatory 

responsibilities. 

The Division of Public Affairs is responsible for planning, coordinating, and 

managing activities related to both legislative and public affairs, and media 

relations. This Division works with various media outlets for the purpose of 

informing the public of the Commission's mission, policies, and activities through 

press releases, media alerts, newsletters, and guest columns. The Division also 

monitors legislation affecting the Commission and advises on any necessary 

policy action. The Division coordinates submission of bills, resolutions, reports, 

testimony, and other statements on legislation to the Congress. 

The Division of Finance provides administrative, technical, and support services 

to the Commission, including its regional and satellite offices. All daily office 

support functions including personnel management, procurement activities, travel, 

and information technology are provided by the Division. The Division is also 

responsible for accounting for fees, network management and internet services, 

and records management. 

The Division of Finance works with all interested parties, including tribal 

officials, management contractors, attorneys, accountants, and tribal gaming 

regulatory authorities to ensure that proposed management contracts meet the 

requirements established by IGRA. The Division conducts required background 

investigations to ensure the satisfaction of suitability criteria as it relates to 

management contractors. The Division manages the submission and distribution 

of results from the processing of fingerprint identification and background 

investigations through a Memorandum of Understanding (MOU) with the FBI. 

The Division is also responsible for tracking and reporting annual Indian gaming 

industry gross revenue. 
NIGC - 9 

Budget Priorities 

Currently, the industry consists of over 400 Indian gaming operations in 29 states. These 

operations are owned, operated, or licensed by more than 240 tribal governments. The 

industry generated $26.5 billion of gross gaming revenues in 2010 and 2009. 

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 will become 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, 2012 due date will provide the operational 

capital for the first three months of calendar year 2013. 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. 
2013 Budget 

NIGC - 11 

DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION

Appropriation 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 2013 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 2013 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 2013 

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 a projected FTE utilization of 103 FTE in 2011 to 115 FTE in 2012 and 107 FTE in 

2013, the NIGC is forecasting full-year obligations of $18 million in fiscal years 2012 

and 2013. 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 ordinance 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 

approximately $1 million annually from the potential contractors to conduct these 

background investigations. In addition, the Commission is reimbursed for fingerprint 

processing costs in the approximate amount of $1,200,000 annually. 
NIGC - 13 

Fee Regulation 

The regulations implementing the legislative provisions governing the collection of fees 

have been revised to allow the Commission to collect the statutory maximum allowed by 

Congress. The revised regulations are as follows: 

§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. 

Supplementary Information: 

The Commission has changed its regulations to reflect changes in the statutory fee 

limitation. This regulation has been amended so that the amount of fees imposed by the 

Commission is directly related to Congressional action. The change allows the 

Commission to collect up to the statutory maximum and eliminates the need to regularly 

amend this regulation as Congress raises or lowers the fee level. The change was 

effective December 31, 2009. 

Additionally, the regulation was further amended to allow the collection of fees for 

fingerprint processing. 

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 Indian 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. 
NIGC - 14 

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

Chairman 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 Chairman to the full Commission. 

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 2011 2012 2013

Actual Estimate Estimate

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

 Receipts: Actual for 2009 and Estimated 2010 and 2011

02.00 NIGC, Gaming activity fees..................................... 17 17 18

04.00 Total: Balances and Collections.............................. 17 17 18

 Appropriations:

 National Indian Gaming Commission

05.00 NIGC, Gaming activity fees..................................... -17 -17 -18

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

 Program and Financing (in millions of dollars)

Obligations by program activity:

00.01 Direct Program Activity 16 18 18

Budgetary Resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1......................................................................... 4 5 4

Appropriations mandatory:

12.01 Appropriation (special or trust fund):............................. 17 17 18

12.60 Appropriations, mandatory (total)............................ 17 17 18

19.30 Total budgetary resources available......................... 21 22 22

Memorandum (non-add) entries:

19.41 Unexpired unobligated balance, end of year............ 5 4 4

Obligated balance, start of year (net):

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

30.30 Obligations incurred, unexpired accounts................ 16 18 18

30.40 Outlays (gross)......................................................... -16 -18 -18

30.90 Unpaid obligations, end of year (gross)........................... 11 1

31.00 Obligated balance, end of year (net)........................ 1 1 1

Budget authority and outlays, net:

 Mandatory:

40.90 Budget authority, gross............................................ 17 17 18

Outlays, gross:

41.00 Outlays from new mandatory authority................... 15 15 16

41.01 Outlays from mandatory balances............................ 1 3 2

41.10 Outlays, gross (total)................................................ 16 18 18

 Budget Authority

 Change in obligated balance:

 Obligated blanace, end of year (net):

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

NIGC - 15
DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Identification code 14-5141-0-2-806 2011 2012 2013

Actual Estimate Estimate

Direct obligations

11.10 Personnel compensation: Full-time 

permanent............................................. 11 11 11

12.10 Civilian personnel benefits....................... 33 3

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

23.10 Rental payments to GSA.......................... --- 1 1

25.20 Other Services.......................................... --- 1 1

99.00 Subtotal, direct obligations..................... 15 17 17

99.50 Below reporting threshold........................ 11 1

99.90 Total new obligations............................... 16 18 18

Employment Summary

10.01 Full-time equivalent employment ........... 112 123 123

 Object Classification (in millions of dollars)

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

NIGC - 16
Identification code 14-0118-0-2-806 2011 2012 2013

Actual Estimate Estimate

 Obligations by program activity:

08.01 Reimbursable Program Activity 3 3 3

09.00 Total new obligations........................................................................ 33 3

Budgetary resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1.......................................................................................... 3 2 2

Budget authority: 

Spending authority from offsetting collections, discretionary

17.00 Collected................................................................................ 2 3 3

17.50 Spending authority from offsetting collections, disc (total).. 2 3 3

19.30 Total budgetary resources available......................................... 5 5 5

Memorandum (non-add) entries:

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

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

30.30 Obligations incurred, unexpired accounts.............................. 3 3 3

30.40 Outlays (gross)........................................................................ -3 -3 -3

Budget authority and outlays, net:

 Discretionary

40.00 Budget authority, gross....................................................... 2 3 3

Outlays, gross:

40.10 Outlays from new discretionary authority............................... 23 3

40.11 Outlays from discretionary balances........................................ 1 --- ---

40.20 Outlays, gross (total).......................................................... 33 3

 Offsets against gross budget authority and outlays:

 Offsetting collections (collected) from:

40.33 Non-federal sources................................................................ -2 -3 -3

41.90 Outlays, net (total).................................................................... 1 --- ---

Program and Financing

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Reimbursable Activity

Salaries and Expenses

NIGC - 17
Identification code 14-0118-0-4-806 2011 2012 2013

Actual Estimate Estimate

Reimbursable obligations

99.00 Other services from non-Federal sources............ 333

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Salaries and Expenses

Reimbursable Activity

Object Classification (in millions of dollars)

NIGC - 18
DEPARTMENT OF THE INTERIOR

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DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION NATIONAL INDIAN GAMING COMMISSION

EMPLOYEE FTE COUNT BY GRADE OR GRADE EQUIVALENT EMPLOYEE FTE COUNT BY GRADE OR GRADE EQUIVALENT

2011 2012 2013

Actual Estimate Estimate

EX IV- 1 1 1

EX V- 1 2 2

ES 4- 1 1 1

ES-3 1 1 1

ES 1- 0 0 0

GS 15- 13 13 14

GS 14- 13 15 19

GS-13 33 36 32

GS-12 20 24 18

GS 11- 3 4 1

GS 10- 3 4 3

GS 09- 4 4 5

GS 08- 0 0 0

GS-07 0 0 0

GS-06 9 9 10

GS-05 1 1 0

T t l FTE Total FTE ota 103 115 107

In accordance with the Act appointments are made without regard to the provisions of Title 5 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 U.S. Code governing appointments in the competitive services 

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Graphs 

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0

40302010

2006 2007 2008 2009 2010

Indian Gaming Industry 

Growth ($ Billions)
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422 419 405 391 394

0

500400300200100

2006 2007 2008 2009 2010

Growth in Indian Gaming Operations
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40

201612

2007 2008 2009 2010* 2011 2012** 2013**

NIGC Fee Revenue

($ Millions)

* Fiscal Year 2010 included only 3⁄4 of a year’s payments** Forecast
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40

201612

2007 2008 2009 2010 2011 2012* 2013*

NIGC Expenditures ($ Millions)

* Forecast
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103 108

115 116

124 124 127

80604020

140120100

2007 2008 2009 2010 2011 2012* 2013*

Staffing Levels

(Number of Positions)

* Forecast

GPRA Information 

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Government Performance and Results Act Information 

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

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

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

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

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

Government Performance and Results Act 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 

is in the process of reviewing, revising, updating, and improving its strategic plan. 
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Summary and Highlights of Commission Activities

During FY 2011, 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 implemented 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 numerous tribal consultations as part of its regulatory 

review. The Commission established a regulatory review agenda and is in the process 

of updating its regulations to maintain the integrity of Indian gaming. 

• 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 2011, the NIGC conducted approximately 

80 training events comprising of approximately 632.5 training hours, and attended by 

approximately 2,031 training participants. 

• The Commission conducted a survey of tribes regarding its training and technical 

assistance efforts. In the survey, tribes identified several issues, including: (i) barriers 

to participation, such as cost and distance; (ii) the need for advanced, practical, and 

refresher courses; (iii) a shift away from certain areas and into audit and IT topics; 

and (iv) the need for the NIGC to make increased use of available technology to offer 

training. As a result, the Commission began the process of better targeting its training 

activities and agency resources by identifying partnerships, improving offerings, and 

reducing the burden on limited resources. 

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

abbreviated audits to approximately 15 California tribes conducting class III gaming 

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

During FY 2011, the NIGC conducted nine abbreviated class III MICS audits and two 

comprehensive MICS audit. 

• Commission auditors also performed MICS audits specific to class II gaming 

operations. The audit findings were included in reports delivered to the audited tribes, 

and Commission auditors thereafter provided technical assistance to the tribes in 

identifying and implementing remedial action. 
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• The NIGC Chairwoman approved: 2 management contracts; 4 amendment(s) to an 

approved management contract; and 5 modifications to the List of Individuals and 

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

contracts with 9 Tribes involving 19 individuals. The Commission also conducted 

financial background investigations on certain persons and entities associated with the 

management contractors. 

• The Commission has worked with other Federal agencies participating in the Indian 

Gaming Working Group to develop a Declaration of Intent that will assist to facilitate 

information sharing and training among the member agencies, and to continue to 

provide a network of resources to share ideas and assist with problem solving on 

various aspects of Indian gaming. 

• The Commission processed approximately 67,747 fingerprint cards for tribal gaming 

commissions. 

• Finally, the Commission drafted (or revised) and adopted internal agency policies 

related to the following subjects: (i) prevention and elimination of harassing conduct 

in the workplace; (ii) progressive discipline and suggested table of penalties; (iii) 

alternative dispute resolution; (iv) administrative grievance procedures; (v) telework; 

(vi) alternative work schedules; and (vii) a dress code. 

Continuing with its four primary initiatives, during FY 2012, 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. 

• 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. 

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

internal agency policies related to the following subjects: (i) awards and employee 

recognition program; (ii) standards of ethical conduct; (iii) performance appraisal 

system; (iv) internal training program; (v) temporary duty travel; and (vi) premium 

pay. 

• Using the results from its FY 2011 survey, the Commission continues to work on 

better targeting its training activities and agency resources by identifying 

partnerships, improving offerings, and reducing the burden on limited resources. The 

Commission continues to provide training to tribes within all seven NIGC regions. 
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• The Commission continues to work with the other member agencies of the Indian 

Gaming Working Group and anticipates that the Declaration of Intent will be 

finalized during FY2012. 

• During FY 2012, 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. 

- 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. 

- 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. 

As part of its program objectives for fiscal year 2013, the Commission plans to: 

• Re-implement the submission of fees and worksheets on a quarterly basis, pursuant to 

the regulatory changes to 25 C.F.R. §514 that become effective October 1, 2012 with 

full implementation on January 1, 2013. 

• Update its IT infrastructure. 

• Update its strategic plan for agency operations. 

• Complete 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 populate the Commission website with up-to-date Commission material, 

data and training videos. 

• Conduct training events in each of the seven regions. 
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• Continue to respond to requests from tribes for technical assistance, and increase both 

the amount and breadth of technical assistance provided. The Commission also plans 

to continue reaching out to gaming tribes with which it has very little contact to 

provide technical assistance. 

• 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 the electronic conversion of documents, forms 

and manuals.