and Performance Information

Fiscal Year 2017

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

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NATIONAL INDIAN

GAMING COMMISSION

NIGC - iii 

DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION 

FY 2017 Budget Justification 

Table of Contents 

 Page 

Item Number 

Executive Summary 

Executive Summary 1 

Mission, Vision, and General Statement 3 

The Indian Gaming Regulatory Act of 1988 5 

Commission Structure 6 

Organization Chart 7 

Budget Priorities 9 

Background 9 

Annual Fees for Operations 11 

2017 Budget 

Narrative Summary Statement 12 

Summary of the FY 2017 Budget 13 

Reimbursable Expenses 13 

Fee Regulation 14 

Authorization, Objectives and Program Activities 15 

Gaming Activity Fees – Program and Financing Schedules 17 

Gaming Activity Fees – Object Classification Schedule 18 

Reimbursable Activity – Program and Financing Schedule 19 

Reimbursable Activity – Object Classification Schedule 20 

Employee Count by Grade 21 

President’s Management Agenda 22 

Government Performance and Results Act (GPRA) Information 23 

Summary and Highlights of Commission Activities 24 

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 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.” 

The Chairman’s four principles for achieving regulatory compliance and gaming 

integrity is to act within appropriate agency authority to address and mitigate activity 

that jeopardizes the integrity of Indian gaming and, by extension, the valuable selfdetermination tool that it represents; engage in sound regulation without unnecessarily 

stymieing the entrepreneurial spirit of tribes; swiftly act on anything that jeopardizes the 

health and safety of the public at gaming establishments, including employees and 

patrons; and protect against anything that amounts to gamesmanship on the backs of 

tribes. In addition to these principles, the Chairman’s five foundational priorities are 

active performance of regulatory duties; engaging in ongoing meaningful tribal 

consultations; staying ahead of the technology curve; supporting a strong workforce 

both in-house and among our regulatory partners; and strengthening dialogue and 

relationships with all relevant stakeholders. 

In line with these principles and priorities, the NIGC has implemented the following: 

(1) Developed a Technology Division to support the growing technology in Indian 

gaming; 

(2) Created a “Legislative and Intergovernmental Affairs Coordinator” position to 

enhance relationships with governmental partners and other stakeholders; 

(3) Implemented outreach and special program planning to rural tribal governments 

through its Rural Outreach Coordinator position. 

In addition to these principles and priorities supported by the Commission’s regulatory 

obligations, there are over 5,400 Tribal Gaming Regulators serving as the primary 

regulators of Indian gaming. Further, each of the 28 states involved in Indian gaming 
NIGC - 2 

provides regulatory support to implement their respective responsibilities under IGRA 

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

Department of the Interior, the Department of Justice, the Federal Bureau of 

Investigation, the Internal Revenue Service, and the Department of the Treasury all 

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

of Indian gaming. The NIGC coordinates closely with all of these governmental entities 

to fulfill 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 (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. As in the past, the 

FY 2017 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. 

 
NIGC - 3 

Mission 

To work within the framework created by the Indian Gaming Regulatory Act (IGRA) for 

the regulation of gaming activities conducted by sovereign Indian tribes on Indian lands 

to fully realize IGRA’s goals: (1) promoting tribal economic development, selfsufficiency and strong tribal governments; (2) maintaining the integrity of the Indian 

gaming industry; and (3) ensuring that tribes are the primary beneficiaries of their gaming 

activities. 

Vision 

The Commission’s vision is to adhere to the principles of good government, including 

transparency and agency accountability; to promote fiscal responsibility; to operate with 

consistency and clarity to ensure fairness in the administration of IGRA; and to respect 

the capabilities and responsibilities of each sovereign Indian tribe in order to fully 

promote tribal economic development, self-sufficiency and strong tribal governments. 

General Statement 

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

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

Interior. IGRA was enacted to support and promote tribal economic development, selfsufficiency and strong tribal governments through the operation of gaming on Indian 

lands. The Act provides a regulatory framework for the Commission to protect Indian 

gaming from corruption, ensure that the games offered are fair and honest, and enforce 

against activity that would prevent tribes from being the primary beneficiaries of their 

gaming operations. 

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

background investigations and internal control assessments of Class II gaming operations 

(and Class III gaming operations, upon request or as provided by applicable law, such as 

tribal gaming ordinances and tribal-state compacts). The Commission also provides 

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

appropriate, undertakes enforcement actions. 

The Commission fulfills its responsibilities under IGRA by: 

 regulating and monitoring certain aspects of Indian gaming; 

 coordinating its regulatory responsibilities with tribal regulatory agencies through 

the review and approval of tribal gaming ordinances and management 

agreements; 

 reviewing the backgrounds of individuals and entities to ensure the suitability of 

those seeking to engage or invest in Indian gaming; 

 overseeing and reviewing the conduct and regulation of Indian gaming operations; 

 referring law enforcement matters to appropriate tribal, Federal and state entities; 
NIGC - 4 

and 

 when necessary, undertaking enforcement actions for violations of IGRA, NIGC’s 

regulations and tribal gaming ordinances, including imposing appropriate 

sanctions for such violations. 

As the Commission fulfills these responsibilities, it pays close attention to any 

indications of corrupting influences, such as those posed by persons and entities 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 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. In addition, consistent with Executive Order 

13175, 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. 
NIGC - 5 

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.” IGRA fully preserved tribal regulatory authority over 

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

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

Class III gaming. 

IGRA establishes the jurisdictional framework that governs Indian gaming. IGRA 

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

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

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

governments. 

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

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

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

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

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

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

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

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

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

the Commission. Tribal governments are responsible for regulating Class II 

gaming, with Commission oversight. 

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

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

roulette, fall in the Class III category. Class III gaming is often referred to as fullscale casino-style gaming. As a compromise among tribal, state and Federal 

interests, IGRA restricts tribal authority to conduct Class III gaming. Before a 

tribe may lawfully conduct Class III gaming, the following conditions must be 

met: (1) the facility must be located in a State that permits such gaming for any 

purpose by any person, organization or entity; (2) the tribe and the state must have 

negotiated a compact that has been approved by the Secretary of the Interior, or 

the Secretary must have approved regulatory procedures; and (3) the tribe must 

have adopted a tribal gaming ordinance that has been approved by the Chair of the 

Commission. State and tribal governments are primarily responsible for 

regulating Class III gaming. 
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Although Congress clearly intended states to address Class III regulatory issues in tribalstate compacts, IGRA did not make this mandatory, and many states accordingly rely 

upon continued tribal and Federal oversight by the NIGC to address their regulatory 

concerns regarding Class III tribal gaming under IGRA. Additionally, IGRA tasks the 

NIGC with a number of specific regulatory functions, such as: approving tribal 

ordinances for Class II and Class III gaming; approving management contracts; ensuring 

tribes and management contractors comply with IGRA and Commission rules and 

regulations; and implementing regulations. Accordingly, the Commission plays a key 

role in the oversight and regulation of both Class II and Class III gaming. 

Commission Structure 

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

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

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 460 tribally owned, 

operated or licensed gaming establishments operating in 28 states. The Commission 

maintains its headquarters in Washington, DC, and has seven regional offices and two 

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

staff of 103 full-time employees, as of the end of 2014. Approximately half of the 

Commission staff is assigned to headquarters in Washington, DC, with the remaining 

staff assigned to regional offices located in Portland, Oregon; Sacramento, California; 

Phoenix, Arizona; St. Paul, Minnesota; Tulsa, Oklahoma; Washington, DC; and 

Oklahoma City, Oklahoma; and satellite offices in Rapid City, South Dakota and 

Temecula, California. 
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NATIONAL INDIAN GAMING COMMISSION 

ORGANIZATIONAL CHART 
NIGC - 8 

National Indian Gaming Commission 

Region

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. 
NIGC - 9 

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 training Commission staff and 

providing 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, 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. The NIGC strategic plan is 

posted on the NIGC website. 

Currently, the industry consists of approximately 460 Indian gaming operations in 28 

states. These operations are owned, operated, or licensed by more than 242 tribal 

governments. Indian gaming generated $28.5 billion in gross gaming revenues in 2014. 
NIGC - 10 

 
NIGC - 11 

Annual Fees for Operations 

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

procedures set forth in 25 C.F.R. Part 514. In 2012, the Commission promulgated 

changes to these regulations that became effective on October 1, 2012. Per the new 

regulation, on or before March 1, the Commission will publish a preliminary fee rate. If 

necessary, changes to the fee rate will be published no later than June 1 of that year. The 

rate must be sufficient to generate income to fund the annual operation of the 

Commission, and to maintain a transition balance for the upcoming year’s operation. 

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, 2016 due date will provide the operational 

capital for the first three months of calendar year 2017. 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 2017 Budget 

NIGC - 12 

DEPARTMENT OF THE INTERIOR 

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement 

The Indian Gaming Regulatory Act (Public Law 100-497) established the National Indian 

Gaming Commission as an independent agency within the Department of the Interior. 

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 on Indian Lands 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 - 13 

Summary of the Fiscal Year 2017 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 2017 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 2017 

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 98 at the end of 2015 and projected to be 121 in 

2016 and 2017. NIGC is forecasting full-year obligation of $18 million for both fiscal 

year 2016 and 2017. 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 NIGC conducts background investigations of individuals and entities with a financial 

interest in, or management responsibility for, potential management contracts. Pursuant 

to the 25 U.S.C § 2711(e), these investigations are conducted to determine whether the 

contracts can be approved. In accordance with § 2711(i), the Commission is reimbursed 

from the potential contractors to conduct these background investigations and also for 

fingerprint processing costs. 
NIGC - 14 

Fee Regulation 

The regulations implementing the legislative provisions governing the collection of fees 

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

§514.14 Annual Fees 

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

the statutory maximum imposed by Congress. The Commission shall credit 

pro-rata any fees collected in excess of this amount against amounts otherwise 

due according to §514.4. 

Additionally, in 2012, NIGC regulations were amended to specifically address the 

collection of fees for fingerprint processing: 

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

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

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

fingerprint cards on behalf of the tribes. 

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

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

cards and, by a vote of not less than two of its members, shall adopt preliminary rates for 

each calendar year no later than March 1st of that year, and, if considered necessary, shall 

modify those rates no later than June 1st of that year. 

(b) The fingerprint fee charge shall be based on fees charged by the Federal Bureau of 

Investigation and costs incurred by the Commission. Commission costs include 

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

the requesting tribe. 

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

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

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

(45) days of the date of the bill. 

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

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

(c) Fingerprint fees shall be sent to the following address: Finance, National Indian 

Gaming Commission, c/o Department of Interior, 1849 C Street, N.W., Mail Stop #1621, 

Washington, DC 20240. Checks should be made payable to the National Indian Gaming 

Commission (do not remit cash). 
NIGC - 15 

Authorization: 

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

Objectives: 

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

as a means of generating tribal revenues. 

Program Activities: 

The Commission’s mission is to effectively monitor and participate in the regulation of 

Indian gaming pursuant to the Indian Gaming Regulatory Act (IGRA) in order to 

promote the integrity of the Indian gaming industry. To affect these goals, the 

Commission is authorized to conduct investigations, undertake enforcement actions 

including the issuance of notices of violation, assessment of civil fines, issuance of 

closure orders, approve management contracts, and issue such regulations as necessary to 

meet its responsibilities under the Act. 

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

 issue temporary closure orders 

 levy civil fines, of up to $25,000 per violation per day, against a tribe, management 

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

gaming ordinance 

 approve tribal gaming ordinances 

 approve gaming management contracts 

 appoint and supervise staff 

The Commission as a whole is empowered to: 

 monitor gaming activities 

 inspect gaming premises 

 conduct background investigations 

 inspect records relating to gaming 

 approve the annual budget 

 adopt regulations for the assessment and collection of civil fines 

 adopt a schedule of annual fees 

 issue permanent closure orders 

 adopt regulations as deemed appropriate to implement the provisions of IGRA 

Together the Commission serves as an appellate body. Aggrieved parties may appeal 

decisions of the Chair to the full Commission. 
NIGC - 16 

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 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 
NIGC - 17 

Identification code 14-5141-0-2-806 2015 2016 2017

Actual Estimate Estimate

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

 Receipts: 

02.00 NIGC, Gaming activity fees.................................... 19 18 17

02.99 Total receipts and collections................................ 19 18 17

04.00 Total: Balances and Collections............................ 19 18 17

 Appropriations:

 National Indian Gaming Commission

05.00 NIGC, Gaming activity fees.................................... -19 -18 -17

05.99 Total appropriations............................................... -19 -18 -17

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

 Program and Financing (in millions of dollars)

Obligations by program activity:

00.01 Direct Program Activity 13 18 18

09.00 Total new obligations................................................. 13 18 18

Budgetary Resources:

 Unobligated balance:

10.00 Unobligated balance brought forward, 

Oct 1....................................................................... 9 17 17

10.21 Recoveries of prior year unpaid obligations (missing lin 1

10.50 Unobligated balance (total) 10 17 17

Appropriations mandatory:

12.01 Appropriation (special or trust fund):.......................... 19 18 17

12.03 Appropriation (previously unavailable):....................... 211

12.32 Appropriations and/or unobligated balance of 

appropriations temporarily reduced............................. -1 -1

12.60 Appropriations, mandatory (total).......................... 20 18 18

19.30 Total budgetary resources available....................... 30 35 35

Memorandum (non-add) entries:

19.41 Unexpired unobligated balance, end of year........... 17 17 17

Unpaid obligations:

30.00 Unpaid obligations, brought forward, Oct 1........... 3 3 3

30.10 Obligations incurred, unexpired accounts............... 13 18 18

30.20 Outlays (gross)....................................................... -12 -18 -18

30.40 Recoveries of prior year unpaid obligations, unexpired -1

30.50 Unpaid obligations, end of year ................................. 333

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

31.00 Obligated balance, start of year................................... 333

32.00 Obligated balance, end of year .............................. 3 3 3

Budget authority and outlays, net\:

 Mandatory:

40.90 Budget authority, gross........................................... 20 18 18

Outlays, gross:

41.00 Outlays from new mandatory authority................... 3 3 3

41.01 Outlays from mandatory balances........................... 9 15 15

41.10 Outlays, gross (total).............................................. 12 18 18

41.60 Budget authority, net (mandatory)........................... 20 18 18

41.70 Outlays, net (mandatory)......................................... 12 18 18

41.80 Budget authority, net (total).................................... 20 18 18

41.90 Outlays, net (total).................................................. 12 18 18

 Obligated balance, end of year (net):

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

 Budget Authority

 Change in obligated balance:

Note:

FY15 obligations for Direct Program Activity reflected prior-year retroactive adjustments and timing of spending.

The Unexpired Unobligated Balance represents short-term forecast only.
NIGC - 18 

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Identification code 14-5141-0-2-806 2015 2016 2017

Actual Estimate Estimate

Direct obligations

11.11 Personnel compensation: Full-time 

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

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

12.10 Travel and transportation of persons..... 0 1 1

12.31 Rental payments to GSA......................... 0 1 1

12.52 Other Services........................................ 0 2 2

0

19.90 Subtotal, direct obligations................... 13 18 18

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

99.99 Total new obligations............................. 13 18 18

Personnel Summary

 Total compensable workyears

 Full-time equivalent employment ................... 98 121 121

 Object Classification (in millions of dollars)

Special Fund Receipt/Expenditure Account

Gaming Activity Fees
NIGC - 19 
NIGC - 20 

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

General and Special Funds: Salaries and Expenses

Identification code 14-0118-0-4-806 2015 2016 2017

Actual Estimate Estimate

Reimbursable obligations

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

Object Classification (in millions of dollars)
NIGC - 21 

2015 2016 2017

Actual Estimate Estimate

EX-IV 1 1 1

EX-V 0 2 2

AD-00 0 0 0

ES-4 0 0 0

ES-3 0 0 0

ES-1 0 0 0

GS-15 14 16 16

GS-14 16 17 17

GS-13 35 38 38

GS-12 15 22 22

GS-11 2 8 8

GS-10 3 4 4

GS-09 2 2 2

GS-08 0 0 0

GS-07 0 0 0

GS-06 9 10 10

GS-05 1 1 1

Total FTE 98 121 121

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

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. 
President’s Management Agenda 

NIGC - 22 

President’s Management Agenda 

The Commission supports the President’s Management Agenda to build a better 

government, one that delivers continually improving results for the American people and 

renews their faith in government. The Commission is actively involved in the 

government-wide effort to bring forward the most promising ideas to improve 

government effectiveness, efficiency, spur economic growth, and promote people and 

culture. The Commission supports achievement of the President’s Management Agenda 

objectives in these four pillars as described below: 

 Developed and implemented Information Technology enhancements in FY 2014 and 

FY 2015.

 Updated the NIGC website in FY 2015. With improved functionality, design and 

navigation, the new NIGC.gov is more user-friendly and intuitive and uses the latest 

in design and technology to offer users more information, greater flexibility and an 

enhanced search feature.

 Created a Technology Division in FY 2015 to better leverage technology and 

telecommunications products, services and solutions in a coordinated, focused 

manner to meet our regulatory responsibilities.

 In support of the Commission’s real property cost savings effort, the Commission 

completed a review of office space in FY 2014 and FY 2015. Space was disposed of, 

redesigned, and consolidated in order to provide the move of the Headquarters’ 

office.

 Expanded the use of strategic sourcing solutions to provide increased buying power 

and decrease the amount of work required for purchases.

 Implemented appropriate steps to address employee engagement. Based on the 

Federal Employee Viewpoint Survey results, historical areas for improvement 

remain, including performance management, recognition and employee training and 

development. Despite these areas of concern, the 2015 results when compared with 

previous results do show that the agency is working to improve agency concerns and 

needs. 

 

GPRA Information 

NIGC - 23 

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 Commission 

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

Plan and published the final strategic plan for years 2014-2018. 
NIGC - 24 

Summary and Highlights of Commission Activities 

During FY 2015, the Commission’s four primary initiatives arising from its 2014 

Strategic Plan consisted of consulting and building relationships with tribal governments, 

providing technical assistance and training, continuing its regulatory review, and 

reviewing its internal operations. As such, during the past fiscal year, the Commission 

accomplished the following goals and tasks. 

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

 Training and technical assistance continued to be offered to gaming tribes regarding 

the regulatory changes. 

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

country. Courses were offered in direct response to tribal requests for training. 

During FY 2015, the NIGC conducted approximately 1,042 training events 

comprising approximately 1,120 training hours, and attended by approximately 3,493 

training participants. 

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

resources by identifying partnerships, improving training offerings, and utilizing 

technology to more effectively reach target audiences. During FY 2015, the NIGC 

offered more site specific and telephonic training conferences than it has in the past. 

 Commission auditors performed seven internal control assessments (MICS audit), six 

Internal Audit/ NIGC fee reviews, and one self-regulation review, and one 

investigative audit. The audit findings were included in reports delivered to the 

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

identifying and implementing remedial action. 

 The Commission continued to conduct financial background investigations on 

persons and entities associated with the management contractors. The Commission 

received 64 applications for background investigations in FY 2015. 

 The Commission processed approximately 220,139 actions including dissemination 

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

commissions. 

 The Commission completed 626 site visits to 486 tribal gaming facilities, completing 

243 surveillance reviews, 281 Tribal Background Investigation Section (TBIS) onsite reviews and 183 site specific training hours. 

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

the tribal gaming facilities in order to enhance communication and compliance. 
NIGC - 25 

 Completed IT upgrades including: increased bandwidth of T1 line to the DS3 

connection; improved communication speed with field offices and tribes; and 

virtualized server environment for improved network availability, redundancy, and 

easy upgrade of servers, operating systems and line of business applications without 

organizational impact including down-time to the organization. 

 The Commission implemented the use of Pay.gov for receiving tribal fee payments. 

During FY 2016, the Commission will continue its four primary initiatives by 

working on the following goals and tasks. 

 The Commission continues its initiative to offer technical assistance, and enforcement 

when necessary, to help facilitate compliance throughout all regions. 

 The Commission continues 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. 

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

internal agency policies related to the following subjects: (i) standards of ethical 

conduct; (ii) loss or damage to employee’s personal property; (iii) release of 

information to news and information media; and (iv) social media and social 

networking. 

 The Commission continues to respond to requests from tribes for technical assistance, 

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

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

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

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

to update the training catalog as necessary. 

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

and maintain reliability and manageability. This included a website redesign to 

provide the end user with ease of navigation and search ability of NIGC resources. 

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

electronic records with the hiring of a records manager and ongoing staff efforts. 

 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. 
NIGC - 26 

- 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 (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 Agreed Upon Procedures (AUP) 

report filings. The Commission establishes a preliminary and final rate 

utilizing this data. 

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

efficiency, effectiveness, and compliance with Federal regulations. 

- reviewing management contracts and amendments to management contracts. 

- 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 2017, the Commission plans to: 

 Enhance relationships with partner governments and sister agencies. 

 Continue to take steps to achieve the NIGC High Priority Performance Goals as 

identified in the Strategic Plan. 

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

reliability and manageability. 

 Monitor strategic plan performance measures. 

 Continue its regulatory review which it began during FY 2011 and implement its new 

and/or revised regulations, and to provide training to tribes on compliance with any 

new requirements. 

 Continue the development of the Commission’s internal administrative and personnel 

manual, and develop and implement corresponding training programs. 

 Continue to inform the public about the Commission’s activities through various 

media and training resources. 
NIGC - 27 

 Coordinate and provide training events to tribal entities in each of the seven regions. 

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

the amount and breadth of technical assistance provided. Utilize all forms of training 

forums and locations to better reach targeted audiences being mindful of Commission 

and tribal financial resources. The Commission continues to update the training 

catalog as necessary. 

 Continue to perform 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, including the development and 

implementation of a performance measurement system. 

 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 voluntary compliance. 

 Improve operational efficiency through enhanced records management that includes 

the electronic conversion of documents, forms and manuals. 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.