and Performance Information

Fiscal Year 2021

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

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NOTICE: These budget

justifications are prepared

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and Related Agencies 

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release of the justifications 

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Department of the Interior.

NATIONAL INDIAN

GAMING COMMISSION

NIGC - iii

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

FY 2021 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 6

Budget Priorities 8

Background 8

Annual Fees for Operations 9

2021 Budget

Narrative Summary Statement 10

Summary of the FY 2021 Budget 11

Reimbursable Expenses 11

Fee Regulation 12

Authorization, Objectives and Program Activities 13

Employee Count by Grade 15

Government Performance and Results Act (GPRA) Information 16

Summary and Highlights of Commission Activities 17

Executive Summary

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National Indian Gaming Commission (NIGC)

Executive Summary

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

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

Gaming Regulatory Act (IGRA) is, in part, to promote tribal economic development and 

self-determination; support the integrity of the Indian gaming industry; and ensure that 

tribes are the primary beneficiaries of their gaming activities. To ensure those purposes 

of IGRA are carried out, IGRA created the NIGC as an “independent Federal regulatory

authority for gaming on Indian lands... to meet congressional concerns regarding gaming 

and to protect such gaming as a means of generating tribal revenue.”1

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

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

appropriate regulatory support to implement their respective responsibilities under IGRA 

and tribal-state compacts. Besides the NIGC, tribal and state regulatory agencies, the 

Department of the Interior, the Department of Justice, and the Department of the 

Treasury all implement and enforce laws that serve to ensure that tribes are the primary 

beneficiaries of Indian gaming. The NIGC coordinates closely with all of these 

governmental entities to fulfill the mandates of IGRA. 

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

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

Act authorizes the Commission to collect up to 0.080 percent of the gross gaming 

revenue, but also links NIGC’s fee collections to the growth or contraction of the Indian 

gaming industry so that the agency’s funding reflects the financial status of the industry. 

Importantly, the Act also identified training and technical assistance as agency functions. 

As in the past, the FY 2021 budget will continue to include expanding tribal consultation

and improving intergovernmental coordination, providing training and technical 

assistance to tribal gaming commissions and operations, conducting a regulatory review, 

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

enhancing the information technology infrastructure.

 1 25 U.S.C. § 2702(3).
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Mission

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

strong tribal governments; (2) maintain the integrity of the Indian gaming industry; and 

(3) ensure that Tribes are the primary beneficiaries of their gaming activities. To fulfill 

its mission and achieve compliance, the NIGC works within the framework created by 

the IGRA by providing sound guidance, removing unnecessary roadblocks, and sensibly 

regulating gaming activities conducted by sovereign Indian tribes on Indian lands without 

stymieing the economic development and entrepreneurial spirit of tribes.

Vision

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

technical assistance, public education, and enforcement, to empower and partner with 

tribal governments to ensure that regulatory compliance and gaming integrity respect the 

capabilities and responsibilities of each sovereign tribe.

General Statement

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

Commission as an independent federal regulatory agency within the Department of the 

Interior. IGRA created the NIGC to protect tribal gaming as a means of generating 

revenue for tribal governance and tribal communities. IGRA further provides a legal 

framework structured to safeguard tribes as the primary beneficiaries of their gaming 

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

conducted fairly and honestly by both the operators and players. 

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

ordinances with 520 gaming establishments owned, operated, or licensed by 247

federally-recognized tribes located within 29 states. To do so, the Commission regulates 

and monitors tribal gaming activity, inspects gaming premises, conducts background 

investigations, analyzes audits of Class II and certain aspects of Class III gaming 

operations, and investigates violations of IGRA. The NIGC also coordinates its 

regulatory responsibilities with tribal regulatory agencies through the review and 

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

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

tribal gaming commissions and operators. The Commission may issue guidance to 

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

Commission considers its Office of Self-Regulation’s recommendations when a tribe 

petitions for a certificate of self-regulation.

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

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

action, which may include imposing appropriate sanctions for such violations, such as 

civil penalties and orders for temporary closure as well as referring criminal matters to 

appropriate tribal, Federal and state entities. As the NIGC fulfills these responsibilities, 
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the Commission closely reviews any indications of corrupting influences, such as 

gamesmanship by non-tribal governmental entities.

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

to cover agency operating costs. The NIGC also conducts background investigations, 

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

management responsibility for, potential management contracts. These investigations 

are conducted to determine whether the management contracts can be approved. The 

Commission is reimbursed periodically by the potential contractors for performing these 

investigative services. The Commission is also reimbursed for fingerprint processing 

costs.

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

stakeholders. The Commission, as an agency of the Federal government, maintains a 

trust relationship with Indian nations. The Commission is committed to meaningful 

consultation with tribes prior to making changes to regulations or policies having tribal 

implications. Additionally, the Commission endeavors to provide tribes, states, sister 

Federal agencies, and stakeholders with courteous and timely responses to issues as 

they arise. 
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The Indian Gaming Regulatory Act (IGRA) of 1988

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

and regulate gaming facilities on Indian lands free from state regulation if the state did 

not prohibit gaming. California v. Cabazon Band of Indians, 480 U.S. 202 (1987). The 

following year, Congress enacted the Indian Gaming Regulatory Act. Embodied in 

IGRA was a compromise between state and tribal interests. The drafters “balance[d] the 

need for sound enforcement of gaming laws and regulations, with a strong Federal 

interest in preserving the sovereign rights of tribal governments to regulate activities and 

enforce laws on Indian lands.”2

 IGRA fully preserved tribal regulatory authority over 

Class II gaming without state intervention. However, IGRA gave the states a role in 

determining the scope and extent of tribal gaming by requiring tribal-state compacts for 

Class III gaming. 

IGRA establishes the jurisdictional framework that governs Indian gaming. IGRA 

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

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

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

governments.

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

(whether or not electronic, computer, or other technological aids are used in 

connection therewith) and (if played in the same location) pull-tabs, lotto, 

punchboards, tip jars, instant bingo and other games similar to bingo. Class II 

gaming also includes non-banked card games. IGRA specifically excludes slot 

machines or electronic facsimiles of any game of chance from the definition of 

Class II games. Tribes retain their authority to conduct, license and regulate Class 

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

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

the Commission. Tribal governments are responsible for regulating Class II 

gaming, with Commission oversight.

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

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

roulette, fall in the Class III category. Class III gaming is often referred to as 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 

 2 134 Cong. Rec. S12649 (daily ed. Sept. 15, 1988).
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Commission. State and tribal governments are primarily responsible for 

regulating Class III gaming. 

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; 

promulgating and implementing regulations; and ensuring tribes and management 

contractors comply with IGRA and Commission rules and regulations. Accordingly, the 

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

gaming.

Commission Structure

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

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

after a public notice and comment period. The Commission selects a Vice Chair by 

majority vote. IGRA established the NIGC as a bipartisan agency, permitting only two of 

the three Commissioners to be from the same political party. In addition, at least two 

members of the Commission must be enrolled tribal members. The NIGC’s 

organizational structure is composed of two main branches, the Office of General 

Counsel which handles legal affairs, and the Office of the Chief of Staff, which manages 

day-to-day activities and includes the Division of Compliance, Division of Finance, 

Division of Public Affairs, and the Division of Technology. 

The Commission provides Federal oversight to approximately 520 tribally owned, 

operated or licensed gaming establishments operating in 29 states. The Commission 

maintains its headquarters in Washington, DC, and has eight regional offices and one

satellite office. The Commission has a combined staff of 110 full-time employees as of 

the end of 2019. Approximately half of the Commission staff is assigned to headquarters 

in Washington, DC, with the remaining staff assigned to regional offices located in 

Portland, Oregon; Sacramento, California; Phoenix, Arizona; St. Paul, Minnesota; Rapid 

City, South Dakota; Tulsa, Oklahoma; Washington, DC; and Oklahoma City, Oklahoma; 

and a satellite office in Temecula, California.
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National Indian Gaming Commission

Regions

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

reflect the distribution of gaming activity or market considerations but to improve the 

level and quality of services it provides to tribes, and to enhance its ability to 

communicate, collaborate, and interact with tribes located within each office’s 

geographic region. The field offices are vital to carrying out the statutory responsibilities 

of the Commission. By having auditors and compliance officers close to tribal gaming 

facilities, the Commission seeks to facilitate compliance with the Act and foster better 

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

auditing and investigative activities, the field staff provides technical assistance and 

training to 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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Budget Priorities

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

governments and tribal gaming commissions while finding a stable balance in its fee rate 

collections. Technology in the gaming industry continues to evolve, resulting in both 

greater efficiencies and new challenges. In order to keep pace with changes in

technology, financial resources will be directed to providing technical training to the

Commission staff and updating technology platforms. In addition, the agency will 

continue to provide up-to-date technical training to tribal gaming operators and regulators 

to assure their ability to regulate and safeguard the integrity of Indian gaming. Strategic 

flexibility will ensure that adequate resources are available to meet the growing needs for 

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

Background

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

of $1.5 million annually. The 1998 Interior Appropriations Act (P.L. 105-83) expanded 

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

fee collections to $8 million. In the 2003, 2004, 2005, and 2006 Interior Appropriations 

Acts, the Congress enacted a general provision raising this limitation to $12 million for 

fiscal years 2004, 2005, 2006, and 2007 respectively. On May 12, 2006, Congress 

enacted the Native American Technical Corrections Act of 2006 (P.L. 109-221) 

providing a new limit to the fees of no more than 0.080 percent of the gross gaming 

revenues of all gaming operations.

3

 

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

to the size of the industry it oversees. With fees now capped at 0.080 percent of the 

industry's gross revenue, the Commission’s funding expands or contracts in proportion to 

the growth or contraction of the Indian gaming industry. The Commission works to 

maintain a fee rate well below the statutory limit. 

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

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

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

include technical assistance to tribal gaming operations.

4 In accordance with this 

mandate, the NIGC submitted its GPRA Strategic Plan for Fiscal Years 2018 to 2022 to 

Congress and the Office of Management and Budget (OMB). The NIGC strategic plan is 

posted on the NIGC website. 

 3 25 U.S.C. 2717(a)(2)(B).

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

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

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

published changes to the fees regulations in the Federal Register (83 FR 2903). The new 

regulations became effective on February 21, 2018. The new regulations are intended to 

improve the efficiency of the Commission’s fee rate analysis and publication process, 

coincide the fee rate announcement with the annual release of the Gross Gaming Revenue 

numbers and the completion of the Commission’s budget for the upcoming year, and 

mitigate the confusion that may arise from changing the fee rate twice a year. Under the 

prior regulations published in 2012, the Commission adopted a preliminary fee rate by

March 1 and a final fee rate by June 1 of every year. The new regulations simplify this 

process by providing that the Commission will adopt a final fee rate no later than 

November 1 of each year. The new regulations also define the fiscal year used in 

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

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

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

gaming operations that cease operations. The fee rate must be sufficient to generate 

income to fund the annual operation of the Commission, and to maintain a transition 

balance for the upcoming year’s operation. Each gaming operation within the 

jurisdiction of the Commission must self-administer the provisions of 25 C.F.R. Part 514, 

and report and pay any fees that are due to the Commission quarterly.

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

Commission because the unique statutory provisions governing the Commission’s 

funding subject it to significant cash flow variations. Unlike other Federal agencies, the 

Commission’s authorizing legislation does not provide for full funding at the beginning 

of each fiscal year. Instead, the Commission receives quarterly payments equal to 

approximately one quarter 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, 2020 due date will provide the 

operational capital for the first three months of calendar year 2021. 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.

FY 2021 Budget

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DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement

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

Commission (NIGC) as an independent Federal regulatory agency within the Department 

of the Interior. The purpose of the IGRA and the NIGC is to support and promote tribal 

economic development, self-sufficiency and strong tribal governments through the 

operation of gaming on Indian lands. The Commission collaborates with Tribes to 

monitor and regulate gaming activities conducted on Indian Lands to ensure that gaming 

operations are conducted with integrity and that Tribes are the primary beneficiaries of 

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

gaming revenues to cover agency operating costs.
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Summary of the Fiscal Year 2021 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 2021 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 2021

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.

The agency’s actual employee count was 110 at the end of 2019 (113 total compensable 

full-time equivalents) and projected to be 135 at the end of 2020 and 2021. NIGC is 

forecasting full-year obligation for its gaming activity of $25 million for both fiscal year 

2020 and 2021. 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. 

Reimbursable Expenses

The National Indian Gaming Commission conducts background investigations of 

individuals and entities with a financial interest in, or management responsibility for, 

potential management contracts. Tribes may also submit fingerprint cards to the 

Commission for processing by the Federal Bureau of Investigation and the Commission 

may charge a fee to process fingerprint cards on behalf of the Tribes. The Commission is 

reimbursed from the potential contractors to conduct these background investigations and 

also for fingerprint processing costs.
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Fee Regulation

The regulations implementing the legislative provisions governing the collection of fees 

allow the Commission to collect the statutory maximum allowed by Congress:

§514.14 Annual Fees

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

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

collected in excess of this amount against amounts otherwise due.

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

collection of fees for fingerprint processing:

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

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

Bureau of Investigation (FBI) and the Commission may charge a fee to process 

fingerprint cards on behalf of the tribes.

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

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

cards and, by a vote of not less than two of its members, shall adopt the fingerprint 

processing fee no later than November 1st of each year.

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

Register.

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

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

Commission personnel, supplies, equipment costs, and postage to submit the results to 

the requesting tribe.

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

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

processed during the prior month. Tribes shall pay the amount billed within forty-five 

(45) days of the date of the bill.

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

remaining unpaid for more than forty-five (45) days.

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

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

the Federal Register.
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Authorization:

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

Objectives:

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

as a means of generating tribal revenues.

Program Activities:

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

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

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

economic development, self-sufficiency and strong tribal governments; (2) maintaining 

the integrity of the Indian gaming industry; and (3) ensuring that tribes are the primary 

beneficiaries of their gaming activities. To effect these goals, the Commission is 

authorized to carry out training and technical assistance; conduct investigations;

undertake enforcement actions, including the issuance of notices of violation, assessment 

of civil fines, and issuance of closure orders; approve management contracts; and issue 

such regulations as necessary to meet its responsibilities under the Act.

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

• issue temporary closure orders5

• levy civil fines, of up to $53,524 per violation per day, against a tribe, management 

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

gaming ordinance6

• approve tribal gaming ordinances7

• approve gaming management contracts8

• appoint and supervise staff9

 

The Commission as a whole is empowered to: 

• monitor gaming activities10

• inspect gaming premises11

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

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

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

8 25 U.S.C. § 2705(a)(4).

9 25 U.S.C. § 2707.

10 25 U.S.C. § 2706(b)(1). 11 25 U.S.C. § 2706(b)(2).
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• conduct background investigations12

• inspect records relating to gaming13

• approve the annual budget14

• adopt regulations for the assessment and collection of civil fines15

• adopt a schedule of annual fees16

• issue permanent closure orders17

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

• issue subpoena and conduct depositions19

• issue and rescind certificates of self-regulation20

 

In carrying out its responsibilities, the Commission also:

• maintains and enhances relationships with other Federal agencies and partner 

governments

• provides education, training and technical assistance regarding applicable statutory 

and regulatory requirements

• assists tribes with background investigations and fingerprint processing

• receives and processes appeals21

• conducts formal and informal hearings 

• consults with Indian tribes

• engages with states and the regulated community

• defends against lawsuits challenging the Commission’s actions

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

publications

• provides audits and other evaluative services

 12 25 U.S.C. § 2706(b)(3). 13 25 U.S.C. § 2706(b)(4). 14 25 U.S.C. § 2706(a)(1). 15 25 U.S.C. § 2706(a)(2). 16 25 U.S.C. § 2706(a)(3). 17 25 U.S.C. § 2706(a)(5). 18 25 U.S.C. § 2706(b)(10).

19 25 U.S.C. § 2715. 20 25 U.S.C. § 2710(c). 21 25 U.S.C. §§ 2705(a),2706(a)(5), 2713(a)(2).
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2019 2020 2021

Actual Estimate Estimate

EX-IV 0 1 1

EX-V 2 2 2

AD-00 0 0 0

ES-4 0 0 0

ES-3 0 0 0

ES-1 0 0 0

GS-15 15 18 18

GS-14 20 24 24

GS-13 47 59 59

GS-12 13 12 12

GS-11 3 5 5

GS-10 1 2 2

GS-09 1 2 2

GS-08 0 0 0

GS-07 8 10 10

GS-06 0 0 0

GS-05 0 0 0

Total Employee Count 110 135 135

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 

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

EMPLOYEE COUNT BY GRADE OR GRADE EQUIVALENT
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 of 1993.”

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

every four years.” 5 U.S.C. § 306(b). Consistent with this obligation and the 

Commission’s vision of adhering to principles of good government, including 

transparency to promote agency accountability and fiscal responsibility, the NIGC 

followed the consultation requirements set forth in the GPRA, Executive Order 13175 

“Consultation and Coordination with Indian Tribal Governments,” the National Indian 

Gaming Commission Policy on Consultation with Indian Tribes, and guidance from the 

Office of Management and Budget (OMB). The NIGC recognizes the importance of 

tribal consultation in formulating policy and maintaining the government-to-government 

relationship with tribal nations. To engage with tribal leaders in formulating the strategic 

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

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

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

to the subject matter was taken into consideration. The NIGC also engaged with the 

public by posting the draft strategic plan for comment to the NIGC website. All relevant 

comments and feedback received during the webinar, in-person tribal consultations 

sessions, and from the public were taken into consideration in the strategic plan.

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

strategic plan focuses on sustained support of the goals and intent of the IGRA through

continuous collaborative partnerships, communication, training efforts, outreach, technical

assistance and sound decision making with Federal agencies, tribal leaders, and regulators

in the industry. This strategic plan updates and supersedes the fiscal years 2014 – 2018 

plan.
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Summary and Highlights of Commission Activities

During FY 2019, the Commission’s five primary goals arising from its 2018 Strategic 

Plan consisted of (1) protecting against gamesmanship; (2) maintaining a strong 

workforce both within the agency as well as with NIGC’s tribal regulatory partners; (3) 

leveraging reliable and emerging industry technology trends to support tribal economic 

development and self-sufficiency; (4) developing and executing a rural outreach plan;

and (5) achieving operational excellence. As such, during the past fiscal year, the 

Commission accomplished the following goals and tasks.

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

regulators to ensure effective coordination in the regulation of Indian gaming, 

working with tribes to ensure compliance with IGRA, and taking enforcement action 

for violations of IGRA when necessary.

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

on the Federal Employee Viewpoint Survey results, 46 areas were identified as 

strengths and one area as a challenge. The agency has identified opportunities to 

improve such as: cross-agency communication from management, meaningful 

recognition of differences in individual pay and performance, and accurate 

assessment of employee training needs.

• The agency met National Archives and Records Administration standards for 

electronic record management and is on schedule to meet records management 

priorities.

• The Office of General Counsel advised the Chair and Commission on 3 management 

contracts, 50 tribal ordinance submissions, and litigation. Additionally, the Office of 

General Counsel assisted and brought stability to the tribal gaming industry by 

offering opinions on a variety of matters including 10 game classifications, 9 Indian 

land status, and 42 financing or other agreements to ensure they do not implicate 

management or sole proprietary interest concerns.

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

regarding regulatory changes.

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

resources by identifying partnerships, improving training offerings, and utilizing 

technology to more effectively reach intended audiences. The Commission saw a 

263% increase in training participants in 2019 with the continued implementation and 

expansion of virtual training class rooms for most of the trainings offered at Regional 

and National Training events.

• Commission auditors performed ten Internal Control Assessments (ICA) of gaming 

operation’s Minimum Internal Control Standards (MICS) audits, twenty-two ICA 

follow-ups, two onsite Internal Audit/NIGC fee reviews, and 501 reviews on audited 

financial statements. The audit findings were included in reports delivered to the 
NIGC - 18

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

identifying and implementing remedial action.

• Commission staff continued to diligently review management contracts. Three

management contracts were approved by the Chairman in FY 2019.

• The Commission continued to conduct financial background investigations on 

persons and entities associated with management contractors. The Commission 

received 34 applications for background investigations in FY 2019.

• The Commission processed approximately 298,370 actions including dissemination

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

commissions. 

• The Commission, through its Compliance Division, addressed potential noncompliance through its standardized regulatory processes, analyzed tribal gaming 

facilities and created a compliance plan that in part ensured at least one site visit was 

completed at every tribal gaming facility. The Compliance Division completed 569 

site visits, 135 internal audit checklists, 391 licensing on site reviews and completed 

63 trainings events with 355 courses to 13,496 participants.

• The Commission, through its Technology Division, completed 13 Information 

Technology Vulnerability Assessments in FY 2019, implemented updated antivirus 

security and installed a modern backup system for agency file backups and disaster 

recovery. 

During FY 2020, the Commission will continue its five goals by working on the 

following tasks. 

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

enforcement when necessary, to help facilitate compliance throughout all regions.

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

regulatory and/or law enforcement agencies.

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

to be a focus for the agency’s various divisions.

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

integrity of Indian gaming. The Commission will continue to consult with tribes as 

part of its regulatory review. 

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

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

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

industry by offering opinions on a variety of matters including game classifications, 

Indian land status, and whether financing or other agreements implicate management 

or sole proprietary interest concerns.

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

internal agency policies.
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• The Commission continues to respond to requests from tribes for technical assistance 

and increases both the amount and breadth of technical assistance provided. It utilizes 

all forms of training forums and locations to better reach targeted audiences being 

mindful of Commission and tribal financial resources. The Commission continues to 

provide training to tribes within all eight NIGC regions. The Commission continues 

to update the training catalog as necessary.

• The Commission is continuing efforts to modernize the NIGC IT network to improve 

and maintain reliability and manageability. This includes continuing to update the 

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

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

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

security and usability for our tribal partners. 

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

toward fully transitioning to newly approved electronic record schedules and by 

leveraging its ongoing IT upgrades to further enhance the stability, security and 

efficiency of the Commission’s records management processes. 

• The Commission will continue to track technological developments in the industry to 

ensure the Commission provides up-to-date technical assistance, maintains current 

regulations, meets its oversight responsibilities, and otherwise performs its statutory 

mandates.

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

- performing internal control assessments specific to Class II gaming 

operations.

- performing IT vulnerability assessments as a service for tribal gaming 

operations to protect against IT threats.

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

and gaming related training and technical assistance.

- working with tribes on the Tribal Access Portal, a database that enables tribal 

gaming regulators who are engaged in issuing gaming licenses to check 

whether a license applicant has a licensing history with any other gaming 

tribe. Along with information provided by the NIGC/FBI fingerprint 

submission service, the TAP system helps tribes complete their own 

comprehensive background investigation of prospective license applicants.

- updating its database with accumulated financial data from the gaming 

operations’ audited financial statements and Agreed Upon Procedures (AUP)

report filings. The Commission establishes fee rates utilizing this data.

- performing internal audits of NIGC departments to increase the Commission’s 

efficiency, effectiveness, and compliance with Federal regulations.

- reviewing management contracts and amendments to management contracts.
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- processing fingerprint cards for tribal gaming employees as they are submitted 

by the tribal gaming commissions and tracking payment for fingerprint 

processing.

- continuing to respond to technical assistance requests from tribal governments 

and tribal regulators, in particular, assisting tribes that are considering entering 

the Indian gaming arena or have recently opened a new Indian gaming 

facility.

As part of its program objectives for FY 2021, the Commission plans to:

• Enhance relationships with partner governments and sister agencies.

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

Strategic Plan.

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

reliability and manageability. This includes increasing cyber security protocols to 

protect agency data and enhancing budget tracking tools.

• Monitor strategic plan performance measures.

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

provide training to tribes on compliance with any new requirements.

• Continue to review management contracts and tribal ordinance submissions.

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

matters including game classifications, Indian land status, and whether financing or 

other agreements implicate management or sole proprietary interest concerns.

• Continue 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 eight regions.

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

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

as necessary. 

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

and save Commission and tribal financial resources. 

• Continue to perform and grow knowledge reviews to examine how effective the 

agency’s training program is to achieve compliance.

• Continue to perform internal control assessments, IT vulnerability assessments, and 

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

• Continue to implement the requirements of GPRA.
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• Continue to update information systems to ensure compliance with the receipt of 

personal identifiable information.

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

activity fees and external year-end audits through continued monitoring and contact 

with gaming tribes, with an emphasis on compliance.

• Continue to enhance internal records management. 

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

attract and retain highly-qualified personnel. The agency will annually assess the 

skills of its employees and provide necessary training.

• Continue to track technological developments in the industry to ensure the 

Commission provides up-to-date technical assistance, maintains current regulations, 

meets its oversight responsibilities, and otherwise performs its statutory mandates.

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

of the law’s self-regulation provisions. 

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

safety priorities.