and Performance Information

Fiscal Year 2011

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 2011 Budget Justification 

Table of Contents

 Page 

Item Number 

Executive Summary 1 

General Statement 2 

The Indian Gaming Regulatory Act of 1988 3 

The Commission and its Operations 4 

Organizational Structure 5 

Recent Changes Affecting Budget Priorities 8 

Annual Fees for Operations 9 

Fiscal Year 2011 Budget

Appropriation Summary Statement 11 

Summary of the Fiscal Year 2011 Budget 13 

Fee Regulation 14 

Gaming Activity Fees – Program and Financing Schedules 16 

Gaming Activity Fees – Object Classification Schedule 17 

Salary and Expenses – Programming and Financing Schedule (Reimb) 18 

Salary and Expenses – Object Classification Schedule (Reimb) 19 

Miscellaneous Data

Employee Count by Grade 20 

NIGC Summary of Employment 21 

Indian Gaming Industry Growth – Chart 22 

Growth in Indian Gaming Operations – Chart 23 

NIGC Fee Revenue – Chart 24 

NIGC Expenditures – Chart 25 

Staffing Levels – Chart 26 

Government Performance and Results Act (GPRA) Information

Summary of Highlights of Commission Activities 27 

Overview of Planned Objectives by Strategic Goal 32 

Division of Enforcement 44 

Division of Management Contracts and Investigations 47 

Division of Audits 50 

Office of the General Counsel 53 

Division of Training 56 

Division of Administration 58 

Division of Congressional Affairs and Media Relations 60 

Executive Summary
NIGC - 1 

National Indian Gaming Commission (NIGC) 

Executive Summary 

When the National Indian Gaming Commission (NIGC or “Commission”) began 

operations in February 1992, the Indian gaming industry generated revenue of about $3 

billion per year. The Commission itself operated on an appropriation of $2.2 million with 

33 full-time employees and with oversight responsibilities over approximately 200 

gaming operations. Since that time, the Indian gaming industry has grown dramatically. 

In 2008, the Indian gaming industry reported $26.7 billion in revenue. Today, there are 

over 400 Indian gaming operations in 29 states, and the NIGC has over 100 full-time 

employees and annual expenditures in excess of $16 million. 

The growth of the industry led to enactment in May 2006 of the Native American 

Technical Corrections Act of 2006 (P.L. 109-22). The Act enables the NIGC to tie its fee 

collections to the growth, or contraction, of the Indian gaming industry. Specifically, the 

Act authorizes the Commission to collect up to 0.080% of the gross gaming revenue, 

allowing the NIGC’s authorized funding to keep pace with industry growth and enabling 

the agency to provide needed technical assistance and essential oversight. The fiscal year 

2011 budget will focus primarily on hiring additional personnel, opening/expanding field 

office operations, enhancing the information technology infrastructure, and providing 

internal and external training. 

Vision 

An Indian gaming industry in which Indian tribes are the primary beneficiaries of gaming 

revenues; gaming is conducted fairly and honestly by both operators and players; and 

tribes and gaming operations are free from organized crime and other corrupting 

influences. 

Mission 

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. 
NIGC - 2 

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. The Commission was created to fulfill the mandates of IGRA in 

fostering economic development of Indian tribes by ensuring the integrity of Indian tribal 

government gaming on Indian lands and ensuring that the tribes are the primary 

beneficiaries of their gaming revenues. 

The Commission monitors gaming activity, inspects gaming premises, conducts 

background investigations, audits and reviews financial records of gaming operations, 

and when necessary, undertakes enforcement actions. Its purpose, as set forth in IGRA, 

is to ensure that adequate safeguards are in place to shield the tribal gaming industry from 

organized crime and other corrupting influences, to assure that Indian tribes are the 

primary beneficiaries of the gaming operation, and that gaming is conducted fairly and 

honestly. 

This is accomplished by: 

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

regulation with tribal and other regulatory agencies through the review and 

approval of tribal gaming ordinances and 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; 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. 
NIGC - 3 

The Commission is mindful of the trust relationship the United States bears to the 

Indian nations it serves, and of the importance of prompt and efficient administration of 

IGRA to foster the economic development so urgently needed by Indian tribes. In all 

phases of its regulatory performance, the Commission and its staff observe due process 

rights of those who come before it, and extend to all individuals the courtesy they are 

entitled to expect from their government. The Commission strives to be responsive to 

tribes seeking guidance as they enter the dynamic Indian gaming industry, monitors 

trends in tribal government gaming, and reports its findings to Congress and the 

Administration. 

The Indian Gaming Regulatory Act (IGRA) of 1988 

In the early 1980’s, Congress took up the issue of tribal gaming and conducted a series of 

hearings, ultimately culminating in the passage of IGRA in 1988. Embodied in IGRA 

was a compromise between state and tribal interests. IGRA gave the states a role in 

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

Class III gaming. However, IGRA fully preserved tribal regulatory authority over Class 

II gaming without state intervention. 

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, played in the same location as bingo, pull-tabs, 

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

gaming also includes non-banked card games - that is, games that are played 

exclusively against other players rather than against the house or a player acting 

as a bank. 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, as well as wagering games and electronic 

facsimiles of any games of chance. 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 
NIGC - 4 

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

met: (1) the particular form of Class III gaming that the tribe wants to conduct 

must be permitted in the state in which the tribe is located; (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. 

The regulatory scheme for Class III gaming is more complex than a casual reading of 

IGRA might suggest. Although Congress clearly intended states to address their 

regulatory issues in tribal-state compacts, IGRA did not make this mandatory, and many 

states accordingly rely upon continued federal oversight by the NIGC to address their 

regulatory concerns regarding Class III tribal gaming under IGRA, including the approval 

of management contracts and tribal ordinances. Thus, the extent of a state’s participation 

in the regulation of Class III gaming varies from state to state. In addition, IGRA 

expressly assigned 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 became operational in 1992. It is comprised of a Chairman and two 

Commissioners, each of whom are appointed to three-year terms. The Commission 

establishes policy, and is responsible for carrying out the formal 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 four satellite offices. 

The Commission is divided into seven separate divisions with a combined staff of over 

100 full-time employees as of September 30, 2009. 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; Bellingham, WA; and Flowood, MS. 

In fiscal year 2010, to address the rapid growth of Indian gaming, the Commission is 

considering plans to convert the satellite office in Rapid City, SD to a regional office, and 

opening a new satellite office in the Buffalo, NY area. 

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 and securing industry compliance with the 

IGRA. The Commission’s efficiency and effectiveness have improved as a result of 
NIGC - 5 

locating auditors and field investigators closer to tribal gaming facilities. Regular visits 

enable better oversight of tribal compliance with regulations and allow for timely 

intervention where warranted. 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. 

Organizational Structure 

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

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

Vice Chairman 

Chairman 

Commissioner 

General 

Counsel 

Chief of 

Staff 

Deputy 

General 

Counsel 

Associate 

General 

Counsel, 

Litigation 

and 

Enforcement

Associate 

General 

Counsel, 

General 

Law 

Director, 

Division of 

Audits

Deputy 

Chief of 

Staff

Director, 

Division of 

Administration

Director, 

Division of 

Management 

Contracts and 

Investigations 

Director, 

Division of 

Congressional 

Affairs and 

Media 

Relations

Director, 

Division of 

Training 

Director, 

Division of 

Enforcement

Executive 

Secretary 

National Indian Gaming Commission 
NIGC - 6 

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 six divisions 

which include: Division of Management Contracts and Investigations; Division of 

Enforcement; Division of Congressional Affairs and Media Relations; Division of 

Audits; Division of Training; and Division of Administration. 

The Division of Management Contracts and Investigations works with all 

interested parties, including tribal officials, management contractors, attorneys, 

accountants, and tribal gaming regulatory authorities to ensure that all proposed 

management contracts meet the requirements established by IGRA. The Division 

conducts required background investigations to ensure the satisfaction of related 

suitability criteria as it relates to management contractors. The Division has the 

primary responsibility for evaluating and ensuring compliance with the National 

Environmental Policy Act as it relates to projects proposed by the terms of 

proposed management contracts. The Division also 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. 

The Division of Enforcement 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 four satellite offices. The 

Commission is considering making the Rapid City satellite office a regional office 

in fiscal year 2010. A satellite office may be created in the Buffalo, New York 

area as well. 

Regional Office – Portland, OR Satellite Office – Bellingham, WA 

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 Enforcement regularly visit Indian gaming 

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

regulations. Given the vastness of Indian gaming, education and outreach are 

among the Division’s best tools in achieving compliance. As such, the Division 

offers monthly training programs covering a wide range of issues. 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 
NIGC - 7 

cards to the FBI. The Division processes thousands of investigative reports, 

fingerprint cards, and employee applications on an annual basis. 

The Division of Congressional Affairs and Media Relations is responsible for 

the planning, coordination, and management of agency programs and activities 

relating to both legislative and public affairs. Among its principal duties, the 

Division 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, and also 

prepares agency press releases, speeches, reports, and policy statements. 

The Division of Audits 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 that have proven essential in protecting the integrity of Indian 

gaming, given the cash-intensive nature of the business. 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 to the Commission’s Enforcement Division in the investigation of alleged 

financial irregularities. Based on an analysis of financial filings with the 

Commission, trends are identified that will better aid the agency in the 

administration of its regulatory responsibilities. Consultation with the tribes, 

particularly their gaming regulatory authorities, is an ongoing process geared 

toward identifying best practices that warrant codification in the NIGC 

regulations. 

The Division of Training was established in fiscal year 2008 to provide both 

external and internal training. The Division supports the implementation of Public 

Law No. 109-221 and assists in attaining the strategic goal of organizational 

excellence. Externally, the Division of Training, among other responsibilities, 

coordinates numerous course offerings presented in the Commission’s Training 

Catalog. The Division works with tribal governments, gaming regulators, law 

enforcement, members of the state and federal families, and other constituencies 

to identify needed areas of training. Internally, the Division coordinates training 

to ensure that employees have the skills necessary to perform their work 

effectively. 

The Division of Administration 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 Administration Division. 

The Division also is responsible for accounting of fees, network management and 

internet services, records management, and Freedom of Information Act requests. 
NIGC - 8 

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 attorneys handling the case. 

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. 

Recent Changes Affecting Budget Priorities 

When IGRA was enacted in 1988, Indian gaming was a $100 million per year industry, 

and the agency operated on a $2.5 million budget. The years since the enactment of 

IGRA have seen a tremendous growth in the Indian gaming industry. 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 $26.7 billion of gross gaming revenues in 2008, an increase of over 2.3% from 

2007. 

In addition to the tremendous increase in Indian gaming revenues, the technology of 

games is changing and financial resources must be directed to training Commission 

officials, or contracting with technical experts, to assure proper audit and review of 

individual gaming operations. Training must also be offered to tribal gaming operators 

and regulators to assure their ability to regulate their operations.

The Commission plans to continue meeting and consulting with individual tribes and 

their governmental leaders and gaming regulators to address gaming regulatory and other 

issues of concern. In 2009, the Commission engaged in government-to-government 

consultations with 98 individual tribes across the country, in which 428 tribal 

representatives attended. 
NIGC - 9 

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. 

The newly enacted fee limitation allows the Commission to maintain a fee collection 

level that is 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 No. 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 2009, the Commission promulgated 

changes to these regulations that became effective on December 31, 2009. Per the new 

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

If necessary, changes to the fee rate will be published no later than July 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 payments for fees assessed by March 1st and August 

1st of each calendar 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 semi-annual payments equal to 

approximately 1/2 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 August 1st, 2010 due date will provide the operational 

capital for the first five months of fiscal year 2011. The Commission attempts to 

maintain a transition balance to fund the first two quarters of the new fiscal year in order 

to absorb any cash flow variations that may occur. 

2011 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, and provided it 

with independent Federal regulatory authority. The Commission monitors and regulates 

gaming activities conducted on Indian lands. 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 2011 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 2011 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 2011 

will assure funding to address the full-year impact of new hires. The Commission will 

continue to maintain a carryover balance sufficient to ensure that cash flow variations do 

not negatively impact ongoing operations. As previously noted, fees are now paid semiannually, based on each gaming Tribe’s projected annual assessment. 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 to continuity of operations. 

With a projected FTE utilization of 107 FTE in 2009 to 112 FTE in 2010 and 119 FTE in 

2011, the NIGC is forecasting full-year obligations of $17 million in fiscal year 2010, and 

$18 million in 2011. This will allow the Commission to hire additional local and field 

personnel to address the demands of the expanding Indian gaming industry. These funds 

will also be used to upgrade and improve the NIGC’s information management system, 

open new field offices, and expand training. This forecast excludes expenditures for 

oversight of class III gaming, as limited by the decision in Colorado River Indian Tribes 

v. National Indian Gaming Commission, 466 F. 3d 134 (D.C. Cir. 2006). 

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 $1.0 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 $1.2 million annually. 
NIGC - 14 

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: 

§514.1 Annual Fees 

(d) 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 by March 1st and August 1st of each calendar year. 

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. 

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. 

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. 
NIGC - 15 

• 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. 
NIGC - 16 
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Charts and Graphs
NIGC - 21 

NIGC Summary of Employment 

 Number of Positions 

 

2009 

Actual 

2010 

Estimate 

2011 

Estimate 

Enforcement 

HQ - Washington, DC 2 3 3 

Portland Region 4 5 6 

Sacramento Region 5 6 6 

Phoenix Region 5 6 6 

St. Paul Region 4 5 5 

Tulsa Region 4 4 4 

Washington, DC Region 1 2 2 

Oklahoma City Region 4 5 6 

Satellite - Rapid City, SD 2 3 3 

Satellite - Temecula, CA 2 3 4 

Satellite - Bellingham, WA 1 1 1 

Satellite - Flowood, MS 1 1 1 

Total Enforcement 35 44 47 

Management Contracts & Investigations 

HQ - Washington, DC 6 6 6 

Various 8 8 8 

Total Management Contracts & Investigations 14 14 14 

Audits 

HQ - Washington, DC 1 1 1 

Region 1 - Portland, OR 5 5 5 

Region 2 - Sacramento, CA 3 3 4 

Region 3 - Phoenix, AZ 2 2 2 

Region 4 - St. Paul, MN 2 2 2 

Region 5 - Tulsa, OK 2 2 3 

Region 6 - Washington, DC 1 1 1 

Satellite - Rapid City, SD 1 1 1 

Satellite - Temecula, CA 1 1 1 

Satellite - Flowood, MS 2 2 3 

Total Audits 20 20 23 

Office of the General Counsel 20 21 21 

Training 1 1 2 

Administration 

Administration 14 14 15 

Information Technology 5 5 5 

Total Administration 19 19 20 

Congressional Affairs and Media Relations 1 1 1 

Commission Staff 5 6 7 

 

Total 115 126 135 

Utilization rate 93% 89% 88% 

FTE Utilization 107 112 119 
NIGC - 22 

0

40302010

1999 2000 2001 2002 2003 2004 2005 2006 2007 2008

Indian Gaming Industry 

Growth ($ Billions)
NIGC - 23 

Growth in Indian Gaming Operations

310 331 330 349 359 375 392 394 391 405

0

50

450400350300250200150100

1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
NIGC - 24 8

40

201612

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010* 2011*

NIGC Fee Revenue

($ Millions)

* Forecast
NIGC - 25 8

40

201612

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010* 2011*

NIGC Expenditures ($ Millions)

* Forecast
NIGC - 26 73 74 67 63 71 80

88

103 108

115

126

135

80604020

140120100

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010* 2011*

Staffing Levels

(Number of Positions)

* Forecast
GPRA Information
NIGC - 27 

Government Performance and Results Act Information 

Summary and Highlights of Commission Activities 

The Commission’s accomplishments during the past fiscal year include the 

following: 

• In 2009, the NIGC hired a full time machine expert who is responsible for 

monitoring compliance with NIGC technical standards and for providing training 

to NIGC employees and tribal governments. 

• Conducted an internal audit of past Commission financial records to confirm the 

accuracy and reliability of cash receipts for gaming fees, fingerprint processing 

charges, background investigation reimbursements, and penalty/fine assessments. 

Deposit records from past years were audited and a report of exceptions was 

produced. In conjunction therewith, Commission fund balances were verified. 

• Account receivables were examined and adjustments identified. Both 

underpayments and overpayments were revealed and remedial actions were 

initiated to rectify inaccurate entries or incorrect payments. 

• Implemented an enhanced budgeting process that will facilitate greater 

involvement by Division and regional office heads in budget development and 

monitoring of expenditures. This enhanced budgeting process is anticipated to aid 

greatly in the projection of cash receipts and disbursements, thereby enabling the 

identification of a more reliable gaming fee rate tied to the Commission’s 

operational needs. 

• Improved and streamlined the system through which fee payments may be tracked 

at the regional level, and distributed updated fee statements to individual gaming 

operations. 

• In response to the need to develop a comprehensive set of regulations specific to 

Class II gaming that would be commensurate with the 25 CFR Part 542 MICS 

regulations, Commission personnel worked with an advisory committee 

composed of tribal representatives to establish a new set of MICS specific to 

Class II gaming. 

• Responded to a request from 12 tribes in California conducting Class III gaming 

to assume responsibility for monitoring compliance with the NIGC Minimum 

Internal Control Standards (MICS). 

• In 2009, the NIGC instituted a quarterly conference call with the Environmental 

Protection Agency (EPA) to improve communication between the two agencies 

regarding Indian country issues. 

• Worked with tribes and private financial institutions to address complex issues 

related to the financing of tribal gaming operations in a challenging economic 

environment. 

• Performed MICS audits specific to Class II gaming operations. The audit findings 

were produced in reports that were provided to the audited tribes and, thereafter, 

gaming operations management had six months to effectuate remedial actions to 

achieve compliance. The Commission often provided advice and training, as 
NIGC - 28 

requested, to assist the gaming operations in identifying and implementing a 

remedial action plan. 

• The Division of Management Contracts and Investigations completed over 7,200 

hours of billable time for background investigations related to the review and 

approval of gaming management contracts. When Class II gaming is included in 

the management contracts, management contractors are required to reimburse the 

Commission for the time and expenses it incurs in conducting the required 

background investigations. 

• Improved the administrative process for annually distributing fee statements to 

Indian gaming operations. 

• Conducted an internal review of the Fingerprint Card Processing program and the 

Commission’s associated costs. As a result of this review, the Commission was 

able to lower the rate it charges for each card from $35 to $24 as of October 1, 

2009. 

• Continued to work with Tribes and financial institutions to provide guidance on 

the restructuring of debt for gaming facilities that have been impacted by a weak 

economy. 

• Established a Regional office in Oklahoma City, OK, in response to the rapid 

growth in that state of Indian gaming and the resulting increase in operational 

commitments to the Commission. 

• Completed development of the Tribal Access Portal (TAP), a new system that 

enables tribal gaming regulators who are engaged in issuing gaming licenses to 

check whether a license applicant has a 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. 

• Increased the amount of formal training offered in all seven NIGC regional 

offices. The subjects of the courses offered were in direct response to tribal 

requests for specific training. 

In addition to the above, as part of its ongoing activities, the Commission: 

• Continues to provide training to tribes within all six Commission regions, 

continues to facilitate voluntary compliance throughout all regions, and continues 

to maintain good working relationships with tribes, federal and state law 

enforcements agencies, and state regulatory agencies. 

• Continues to work with the Indian Gaming Working Group (IGWG) to better 

coordinate law enforcement and investigative activities in the Indian gaming 

industry. 

• Continues to implement and maintain a database in response to the need to 

facilitate the financial analysis of Indian gaming operations’ annual audited 

financial statements and Agreed Upon Procedures Report. 

• Continues to populate a database within the Office of the General Counsel, which 

includes litigation tracking, tracking of Indian lands, and a uniform assignment 

system. 
NIGC - 29 

• Continues to review and approve Indian gaming management contracts and tribal 

gaming ordinances, pursuant to IGRA. 

• Continues to perform MICS audits specific to Class II gaming operations. 

• Continues to respond to requests from tribal gaming operators and regulators for 

training on the MICS and other Commission regulations specific to fees, audited 

financial statements, and Agreed Upon Procedures Reports. Commission 

personnel conducts training that is generally held at a tribal gaming operation, and 

consists of one-to-three days of instruction. 

• Continues to work with the MICS Advisory Committee to develop a 

comprehensive set of regulations for Class II gaming that would be commensurate 

with the 25 CFR Part 542 Minimum Internal Control Standards (MICS). 

• Continues to respond to invitations from various trade organizations or other 

governmental entities (such as the Institute of Internal Auditors, National Indian 

Gaming Association, etc.) seeking a presenter to speak regarding Commission 

regulations. 

• Continues to populate a database containing lands records for a significant 

number of tribal gaming facilities. This included 22 new facility license reviews 

and 150 Indian lands compliance reviews of existing facilities. 

• Continues to perform audits to confirm that net revenues from a tribal gaming 

operation are used in accordance with IGRA. 

• Through the streamlining of the review process, continues to improve its response 

time to tribal requests for advice on contracts that are submitted for legal review, 

as well as to notice of violation referrals. 

• Continues streamlining several administrative processes, including the submission 

by tribes of administrative fees, as well as the process regarding background 

checks and licensing of primary management officials and key employees. 

• Continues to cooperate with the Department of the Interior on implementing 

“section 20” regulations. 

• Continues the implementation of a database to accumulate financial data from the 

gaming operations’ audited financial statements and Agreed-Upon-Procedures 

Report filings; the database is intended to enhance agency decision making. 

• Continues to work to authorize fingerprint checks and criminal history checks for 

vendors through the Federal Bureau of Investigation. 

• Continues developing and distributing a wide range of internal 

Commission administrative and personnel policy chapters, including manuals for 

the individual Divisions/Offices. 

• Continues the development and population of the Indian lands database. 

• Continues the implementation of the NIGC EEO program. 

As part of its program objectives for fiscal years 2010 & 2011, the Commission 

plans to: 

• Evaluate the need for and, if necessary, establish an additional regional office in 

Rapid City, SD and a satellite office in the Buffalo, NY area. 
NIGC - 30 

• Conduct EPHS training sessions in each region and participate with the regional 

offices in at least 10 EPHS site visits. 

• Conduct at least six regional training events per year. A training curriculum has 

been developed and presenters will be trained to implement the program. 

• Develop procedures to improve response time to requests for providing technical 

assistance to tribes, and increase the amount of technical assistance provided. 

• Continue to improve the amount and quality of the information used to populate 

the Indian lands database. 

• Continue to perform MICS and other types of compliance audits for the purpose 

of ensuring the internal controls of Tribal gaming operations are commensurate 

with that of the gaming industry. 

• Initiate/enhance a workflow to respond to Class III gaming tribes located in 

California that have amended their respective gaming ordinances to delegate to 

the Commission the authority to regulate their Class III gaming activities. 

Currently 12 tribes have amended their gaming ordinances accordingly. 

• Continue the development of the Commission’s internal administrative and 

personnel manual, and develop and implement training programs for it. 

• Implement submission of fees and worksheets on a semi-annual basis, rather than 

quarterly basis, per the regulatory changes to 25 C.F.R. §514 that became 

effective December 31, 2009. 

• Continue to populate the Commission website with up-to-date Commission 

material, data and training videos. 

• Continue to implement the requirements of GPRA. Publish a performance report 

for fiscal year 2010 and develop and implement a performance measurement 

system. 
NIGC - 31 

Summary of NIGC Vision, Mission, Goals, Outcomes

Vision 

An Indian gaming industry in which Indian tribes are the primary beneficiaries of gaming revenues; gaming 

is conducted fairly and honestly by both operators and players; and tribes and gaming operations are free 

from organized crime and other corrupting influences. 

Mission 

To effectively monitor and participate in the regulation of Indian gaming pursuant to the Indian Gaming 

Regulatory Act in order to promote the integrity of the Indian gaming industry.

Strategic Goal One 

Increase compliance with gaming laws and regulations 

Objectives 

1.1 Effectively monitor compliance with gaming laws and regulations 

1.2 Expand the knowledge and implementation of gaming laws and regulations throughout the industry 

Strategic Goal Two 

Increase service to tribal governments and gaming operations 

Objectives 

2.1 Improve technical assistance to tribal governments and gaming operations 

2.2 Improve inter-agency relationships and communications 

Strategic Goal Three 

Maximize the use of NIGC resources 

Objectives 

3.1 Improve agency administration 

3.2 Develop human resource programs that support the Commission’s mission, goals and objectives 
NIGC - 32 

Overview of Planned Objectives by Strategic Goal 

Introduction 

The Indian gaming industry has experienced tremendous growth since the enactment of 

IGRA in 1988. Currently, the industry consists of over 400 gaming operations in 29 

states. These operations are owned, operated, or licensed by more than 240 tribal 

governments. The industry generated $26.7 billion of gross gaming revenues in 2008, an 

increase of 2.3% from 2007. The Commission’s mission is to effectively monitor and 

participate in the regulation of Indian gaming pursuant to IGRA in order to promote the 

integrity of the Indian gaming industry. 

The Commission anticipates outlays of $18 million in fiscal year 2011 to fund its efforts 

towards its three strategic goals: 

STRATEGIC 

GOAL ONE: 

Increase 

compliance with 

gaming laws and 

regulations

STRATEGIC 

GOAL THREE: 

Maximize the use 

of NIGC resources

STRATEGIC 

GOAL TWO: 

Increase service to 

tribal governments 

and gaming 

operations

To achieve the planned objectives for fiscal year 2011, the Commission will allocate the 

$18 million request among eight functional areas: Enforcement, Management Contracts 

and Investigations, Auditing, Office of the General Counsel, Training, Administration, 

Congressional and Public Affairs, and Commission Staff. 

Enforcement

Commission Staff

Congressional 

Affairs & Media 

Relations

Administration

Training

Office of General 

Counsel

Audits

Management 

Contracts & 

Investigations
NIGC - 33 

Strategic Goal One: 

Increase compliance with gaming laws and regulations

Increasing compliance with gaming laws and regulations is a core component of the 

Commission’s mission. Detecting and eliminating issues of noncompliance will 

ultimately enhance the integrity of Indian gaming, as well as facilitate the Commission’s 

organizational vision. In support of Strategic Goal # 1, the Commission has identified 

two primary objectives: (1) effectively monitor compliance with gaming laws and 

regulations; and (2) expand the knowledge and implementation of Indian gaming laws 

and regulations throughout the industry. These objectives are key to not only 

accomplishing the Commission’s primary mission of monitoring and participating in the 

regulation of Indian gaming, but also of assisting tribes and tribal regulatory agencies in 

self-regulation. 

Objective 1.1: Effectively monitor compliance with Indian gaming laws and 

regulations. 

Monitoring, and when necessary, enforcing gaming laws and regulations is an essential 

function of the Commission. In the past, some tribes have been subjected to findings and 

enforcement actions by the Commission, including: 

• Operational compliance audits that have resulted in hundreds of findings of noncompliance with required minimum internal control standards relative to cash 

handling and revenue accountability; and 

• The issuance of numerous notices of violations, facility closure orders, and the 

imposition of substantial monetary fines totaling millions of dollars. 

The Commission also works with other federal agencies to ensure the integrity of the 

Indian gaming industry. Stemming from NIGC investigations, other agencies have 

brought public corruption investigations, prosecutions, convictions, and fines for a 

variety of gaming-related offenses including (but not limited to): 

• Misappropriation of Indian gaming revenues, or unlawful receipt of funds from 

gaming contractors; 

• Internal theft or embezzlement of funds in Indian gaming operations; and 

• Tax-related violations for not reporting gambling winnings, and for non-compliance 

with the Title 31 money laundering statutes. 

These findings and enforcement actions directly affect the profitability of the Indian 

gaming operation, and in relation to the Commission’s vision and mission, the integrity 

of the Indian gaming industry and ensuring that tribe’s are the primary beneficiaries of 

Indian gaming revenue. 

The Commission will utilize three strategies in order to effectively monitor compliance 

with gaming laws and regulations. 
NIGC - 34 

First, the Commission will ensure that tribes meet IGRA’s prerequisites for conducting 

gaming by making timely determinations on tribal gaming ordinances, management 

contracts, and other statutorily-required activities. 

Second, the Commission will conduct monitoring activities of Indian gaming operations 

in a uniform and consistent manner. Routine site visits will consist of compliance reviews 

and the use of standardized audit checklists. The Commission will, through its various 

field offices, develop and maintain positive working relationships with tribal gaming 

regulatory authorities. The Commission will also publish annual compliance reports and 

annual Indian gaming revenue reports. 

Finally, the Commission will conduct prudent regulatory enforcement actions as 

necessary. Working with tribal gaming regulatory authorities, the Commission will 

provide advice and assistance, as well as assessments, warnings, and recommendations 

for observed compliance weaknesses. As a last resort, or in cases of imminent jeopardy, 

the Commission will initiate enforcement actions. Most enforcement actions will result in 

a settlement agreement between the tribe and the Commission; thus, the Commission will 

monitor compliance with the provisions in these settlement agreements. 

Objective 1.2: Expand the knowledge and implementation of Indian gaming laws 

and regulations throughout the industry. 

The gaming industry as a whole, and the Indian gaming industry in particular, is a highly 

fluid and ever-changing environment. A constantly shifting economic landscape, 

combined with technological changes, results in continually changing regulatory 

requirements. As the laws and regulations change, it is incumbent on the Commission to 

ensure those changes are disseminated throughout the industry as quickly and completely 

as possible.1

Expanding the knowledge and implementation of Indian gaming laws and regulations 

will involve two basic strategies. 

First, the Commission will draft and publish new or revised regulations as necessary. 

Whenever possible, the Commission will utilize tribal advisory committees to assess 

either the need for new regulations or the need to revise existing regulations. In doing so, 

the tribes’ primary role in enforcement will be continually emphasized. 

Second, the Commission will provide technical assistance through formal and informal 

regulatory guidance to tribes. This is, in fact, the Commission’s most desired approach to 

achieving this objective. By publishing informative bulletins which address “frequently 

asked questions” and “best practices,” the Commission will provide the tribes with 

education and guidance. In addition, the Commission will conduct voluntary compliance 

audits, and provide timely responses to inquiries from tribes, including recommendations 

 

1

 The amendment of IGRA in May 2006 specifically mandated the Commission to provide technical 

assistance to tribes engaged in Indian gaming. The types of technical assistance that the Commission 

provides can take many forms, including formal and informal guidance. 
NIGC - 35 

for regulatory improvement. Initial and follow-up reviews in order to monitor progress 

will be made as necessary. 

Performance Outcomes for Strategic Goal # 1 

With regard to Strategic Goal # 1, the Commission will expend approximately $7.823 

million in fiscal year 2010, and $8.323 million in fiscal year 2011, which represents a 

funding increase of approximately 6.39%. These resources, collectively used to 

implement the strategies outlined above, will enable the Commission and tribal 

regulatory authorities to detect and eliminate issues of noncompliance, increase the 

gaming tribes’ knowledge of Indian gaming laws and regulations, and enhance and 

augment the integrity of Indian gaming.

Specific outcomes associated with Strategic Goal # 1 include: 

• An increase in the timeliness of agency determinations and/or responses to tribal 

submissions; 

• An increase in the number and breadth of site visits and compliance audits 

performed by Commission personnel; 

• An increase in the level of satisfaction of tribal gaming regulatory authorities and 

other governmental authorities in Commission regulatory activities; 

• An increase in the number of tribes who indicate or demonstrate that they are 

familiar with IGRA and Commission regulatory requirements; 

• A decrease in the number and breadth of enforcement actions and notices of 

violation, including monetary penalties ordered and collected; and 

• A decrease in criminal investigations and law enforcement proceedings related to 

Indian gaming. 

Breakout of Strategic Goal One Request by Objective

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

 FY 2010 FY 2011 

 $ (000) FTE $ (000) FTE 

Objectives 

 

1.1 Effectively monitor compliance with 

gaming laws and regulations $4,025 30.75 $4,216 32.00 

 

1.2 Expand the knowledge and implementation 

of Indian gaming laws and regulations 

throughout the industry 3,798 27.50 4,107 30.25 

 

Total Strategic Goal One $7,823 58.25 $8,323 62.25 
NIGC - 36 

Breakout of Strategic Goal One Request by Division

 

 FY 2010 FY 2011 

 $ (000) FTE $ (000) FTE 

 

 Enforcement $2,956 25.00 $3,164 27.00 

 

 Management Contracts & Investigations 603 4.75 639 4.75 

 

 Audits 1,465 10.75 1,537 12.25 

 

 Office of the General Counsel 1,977 13.00 2,092 13.00 

 

 Administration 297 2.50 298 2.50 

 

 Congressional Affairs & Media Relations 43 0.25 45 0.25 

 

 Commission Staff 482 2.00 548 2.50 

 

Total Strategic Goal One $7,823 58.25 $8,323 62.25 

Strategic Goal Two: 

Increase service to tribal governments and gaming operations 

Improving the services that the Commission provides to tribal governments and gaming 

operations is crucial to accomplishing its mission. To be effective, the Commission must 

work as a partner with tribal gaming regulatory authorities. Without this partnership, the 

Commission will be hindered in its ability to regulate Indian gaming effectively. In 

support of Strategic Goal # 2, the Commission has identified two primary objectives: (1) 

improve technical assistance to tribal governments and gaming operations; and (2) 

improve inter-agency relationships and communications. Achieving these objectives will 

help to enhance and protect the integrity of Indian gaming and to ensure that the industry 

remains fair, honest, and protected from negative influences. 

Objective 2.1: Improve technical assistance to tribal governments and gaming 

operations. 

The 2006 IGRA amendment mandated the Commission to provide technical assistance to 

tribes engaged in Indian gaming. The manner of technical assistance can take many 

forms, including consultations and training. While consultation sessions are not 

necessarily technical assistance, they are often the occasion for specific discussions in 

which tribal representatives seek technical guidance on casino operations, regulatory 

issues, or other matters affecting their gaming operations. The Commission has had a 

formal consultation policy since 2003, and currently invests a considerable amount of 

time and resources in conducting consultations with tribal gaming leaders. Despite these 
NIGC - 37 

efforts, many tribal leaders and tribal gaming organizations have communicated that they 

believe the process to be inadequate and unsatisfactory to their needs for consultation and 

guidance. The Commission recognizes that there is room for improvement. 

With regards to training, there are two main factors that drive the need for continuous 

training of tribal governmental and regulatory officials: (1) there is the enormous 

complexity of the legal and regulatory compliance requirements associated with Indian 

gaming; and (2) there is a consistent, relatively-high turnover rate of tribal gaming 

leadership, resulting in a continual loss of knowledge and expertise in Indian gaming 

regulatory compliance and enforcement requirements. 

Improving technical assistance to tribes will involve two strategic approaches, both of 

which will require the collaboration and cooperation of tribal governing and regulatory 

authorities, coupled with mutual respect for the government-to-government relationship. 

First, the Commission will work to improve the government-to-government consultation 

process. To accomplish this, the Commission will: reach out to the tribes and tribal 

organizations to work collaboratively with the Commission to establish a mutually 

agreeable and beneficial consultation process; annually publish upcoming consultation 

calendars; and actively seek and focus on issues most important to tribes, while informing 

them of federal issues that may have an impact on them. 

Second, the Commission will establish and implement effective training programs that 

will focus on expressed or perceived tribal needs. These tribal needs will be met by 

accommodating specific requests or identified weaknesses in areas of compliance. This 

strategy will require the dedication of significant resources, and will consequently require 

adequate budgetary planning. However, the resulting benefits from this strategy will far 

outweigh the costs. The Commission will also encourage tribes to increase their 

participation in the Indian Gaming Working Group training. 

Objective 2.2: Improve inter-agency relationships and communications. 

Protecting tribal gaming revenues, ensuring that gaming is conducted fairly, and 

safeguarding the industry from criminal or undesirable elements, all require a high level 

of cooperation and interaction among all levels of regulatory bodies. Communication 

amongst the Commission and tribal governments and gaming operations will only 

augment the quality of regulatory oversight of Indian gaming. Additionally, because 

many tribal regulatory bodies rely on the Commission to assist in background 

investigative procedures, the need exists for an improved system of support and 

cooperation. 

To achieve this objective, the Commission will first improve and expand its external 

communication. This will require publishing Commission bulletins and quarterly 

newsletters with valuable regulatory information and guidelines. These bulletins and 

newsletters will be disseminated as widely as possible throughout the industry, including 

posting to the Commission’s website (www.nigc.gov). The website will also be updated 
NIGC - 38 

frequently with pertinent regulatory information and guidelines, and with Commission 

actions and organizational changes. The Commission will also improve its practice of 

maintaining an accurate list of names and tribal contact information to ensure that the 

information is current. 

Second, the Commission will improve response time to external tribal inquiries and 

submissions. To accomplish this, the Commission will implement a more efficient 

document tracking and reporting system, and establish and monitor response time goals. 

In addition, we will expand the ability for tribes to make electronic submissions. 

Third, the Commission will improve the methodology and timeliness of providing tribal 

gaming regulatory authorities with applicant background information. The Commission 

will implement a more efficient system for the timely acknowledgement of receipt of 

fingerprint submissions and fees, and respond with the results of the fingerprint checks 

within the required regulatory deadlines. In addition, the Commission will improve the 

timely distribution of monthly invoices and statements, and provide applicant background 

information as a routine use. 

Performance Outcomes for Strategic Goal # 2 

With regard to Strategic Goal # 2, the Commission will expend approximately $6.193 

million in fiscal year 2010, and $6.375 million in fiscal year 2011, which represents a 

funding increase of approximately 2.94%. This increase in funds reflects the 

Commission’s ongoing efforts to improve the technical assistance that the Commission 

provides to gaming tribes in accordance with the 2006 IGRA amendment, as well as its 

continued efforts to reinforce the partnership relationship that exists between the 

Commission and the tribal regulatory authorities. This partnership is essential in 

ensuring that the Indian gaming industry remains fair, honest, and protected from 

negative influences. 

Specific outcomes associated with Strategic Goal # 2 include: 

• An increase in the timeliness and effectiveness of the Commission’s responses to 

requests from tribal regulatory bodies for regulatory assistance; 

• An increase in the level of satisfaction of tribal leaders with the consultation 

process and schedule; 

• An increase in the number of consultations completed in fiscal year 2011 from 

fiscal year 2010; 

• An increase in the number and breadth of training programs conducted for tribal 

officials; 

• Maintaining the Commission’s participation in the Indian Gaming Working 

Group; 

• An increase in the level of satisfaction of tribal leaders with the Commission’s 

training program; 

• A decrease in the Commission’s response time, and an increase in service with 

regard to processing external requests and background information. 
NIGC - 39 

Breakout of Strategic Goal Two Request by Objective

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

 FY 2010 FY 2011 

 $ (000) FTE $ (000) FTE 

Objectives 

 

2.1 Improve technical assistance to tribal 

governments and gaming operations $3,754 27.375 $3,892 29.25 

 

2.2 Improve inter-agency relationships and 

communications 2,439 17.375 2,483 18.00 

 

Total Strategic Goal Two $6,193 44.75 $6,375 47.25 

Breakout of Strategic Goal Two Request by Division

 

 FY 2010 FY 2011 

 $ (000) FTE $ (000) FTE 

 

 Enforcement $1,892 16.00 $1,875 16.00 

 

 Management Contracts & Investigations 984 7.75 1,042 7.75 

 

 Audits 1,056 7.75 1,097 8.75 

 

 Office of the General Counsel 912 6.00 967 6.00 

 

 Training 231 1.00 245 2.00 

 

 Administration 327 2.75 358 3.00 

 

 Congressional Affairs & Media Relations 127 0.75 135 0.75 

 

 Commission Staff 664 2.75 656 3.00 

 

Total Strategic Goal Two $6,193 44.75 $6,375 47.25 
NIGC - 40 

Strategic Goal Three: Maximize the use of Commission resources 

The Commission’s third strategic goal is challenging, yet critical to the organization’s 

mission accomplishment. Compared to most federal agencies, the Commission is a 

relatively new entity. In the past, the Commission was subject to funding limitations that 

hindered its ability to develop and keep pace with the rapidly-growing Indian gaming 

industry. Specifically, these funding limitations: 

• prohibited the Commission from procuring the necessary resources to provide 

adequate services to the tribes engaged in gaming, and from providing the appropriate 

regulatory oversight; 

• prevented the Commission from hiring and retaining highly-qualified personnel to 

focus on correcting organizational and procedural weaknesses; and 

• required the Commission to routinely turn to Congress in order to raise the cap on 

funding. 

When IGRA was amended in 2006, the Commission was able to realize a more adequate 

and stable source of funding. The Commission’s funding is now based on fee assessments 

on a limited percentage of industry-wide Indian gaming revenues. The continued growth 

of Indian gaming requires the Commission to ensure that the necessary infrastructure is in 

place for the agency to maintain a well-qualified workforce that will better serve the 

industry. 

Objective 3.1: Improve agency administration. 

Due to the relatively small size of the Commission and its very limited resources, the 

Commission has, in the past, contracted with the Department of the Interior for its 

administrative services. At times, the lack of in-house capabilities, planning, and 

resources has prevented the Commission staff from providing adequate support to the 

Commissioners and personnel. The continued growth of the Commission requires a new 

focus on developing the necessary infrastructure for appropriate agency administration. 

The Commission recognizes that effective and efficient internal operations are critical to 

success in accomplishing its strategic goals and fulfilling its mission. 

First, the Commission will improve fiscal discipline and provide transparency to affected 

stakeholders by establishing a justifiable and fiscally-sound budget. This budget will be 

effectively managed and tracked by closely monitoring budgeted-to-actual expenses. The 

Commission will also procure and implement updated financial accounting systems, and 

establish and comply with appropriate internal controls and funds management practices. 

Second, the Commission will improve and expand internal communications by 

developing an intranet, as well as continuing to develop the tribal information 

management systems. The Commission will also hold regularly-scheduled meetings or 

conference calls with field personnel in the Commission’s regional and satellite offices to 

better understand the tribal concerns in the regions. 
NIGC - 41 

Finally, the Commission will develop and/or procure the appropriate technological 

advances to enhance internal communication. The Commission will perform reasonable 

assessments of its technological needs, and make the necessary budget allocations with 

the appropriate justifications supported by sound cost/benefit analyses. 

Objective 3.2: Develop human resource programs that support the Commission’s 

mission, goals and objectives. 

The Commission’s staff is its most valuable resource in accomplishing its mission. The 

unique skill sets and qualifications that are necessary in Indian gaming regulation make 

human capital development a priority in achieving our strategic goals. The highly fluid 

nature of the industry combined with an ever-changing regulatory environment requires 

continuous training and development. Additionally, the distinctive history and cultures of 

the numerous tribes across the county provide exceptional challenges in fostering mutual 

respect between the Commission, tribal government officials, and tribal members. Only 

with an ambitious and comprehensive human resource development program will the 

Commission be able to maximize the use of its human capital. 

First, the Commission will focus on developing and implementing internal agency 

policies and procedures. The Commission will assess and identify the areas of procedural 

weaknesses, or non-compliance with existing federal administrative regulations, and 

work to correct them. The Commission will also issue an employee handbook and an 

updated agency policy manual, both of which will be expanded or updated as necessary. 

Next, the Commission will establish an employee development program in order to 

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

skills of its employees and provide the necessary training to address identified skill gaps 

or performance weaknesses. The Commission will enable employees to attend job-related 

professional training opportunities through appropriate budget allocations. In addition, 

the Commission will update its incentive and award program, which will contribute to a 

higher rate of employee retention. 

The Commission will implement a tribal cultural awareness training program for all 

agency personnel. This approach is grounded on the belief that the tribes will appreciate 

and value interacting with an agency whose personnel have a solid understanding and 

awareness of the widely-varied Native American cultures. The Commission believes that 

such a program provides a better foundation for mutual respect and understanding, and 

more effective communication. The Commission will instill a proactive cultural 

awareness training program to educate Commission employees in the numerous and 

varied tribal customs and traditions, as well as the diversity of tribal governmental 

structures. The Commission believes that this type of knowledge will be mutually 

beneficial to both the Commission and the tribes. 

Finally, the Commission is in the process of developing an Indian preference policy. In 

the meantime, the Commission will continue its efforts to assure that it hires employees 

who have experience in and knowledge and understanding of Native American culture. 
NIGC - 42 

Performance Outcomes for Strategic Goal # 3 

With regard to Strategic Goal # 3, the Commission will expend approximately $2.984 

million in fiscal year 2010, and $3.302 million in fiscal year 2011, which represents a 

funding increase of approximately 10.66%. These funds will be utilized as part of the 

Commission’s continuing efforts towards efficient agency operations, financial 

transparency and accountability, and maintaining a qualified workforce. Additionally, 

the funds spent on Strategic Goal # 3 will contribute to the Commission’s ongoing tribal 

cultural awareness programs. 

 

Specific outcomes associated with Strategic Goal # 3 include: 

• The establishment and effective management of a fiscally sound budget, with a 

low variance between budgeted and actual expenditures; 

• The adherence of Commission personnel to internal compliance programs; 

• The publication and updating of employee manuals and Commission policies and 

procedures; 

• An increase in the amount of formal training for Commission personnel; 

• The identification and implementation of agency technological needs; and 

• An increase in the number and breadth of cultural awareness training programs. 

Breakout of Strategic Goal Three Request by Objective

 

STRATEGIC GOAL THREE: Maximize the use of NIGC resources 

 

 FY 2010 FY 2011 

 $ (000) FTE $ (000) FTE 

Objectives 

 3.1 Improve agency administration $2,345 18.125 $2,570 20.00 

 

3.2 Develop human resource programs that 

support the Commission's mission, goals and 

objectives 639 4.875 732 5.50 

 

Total Strategic Goal Three $2,984 23.00 $3,302 25.50 
NIGC - 43 

Breakout of Strategic Goal Three Request by Division

 

 FY 2010 FY 2011 

 $ (000) FTE $ (000) FTE 

 

 Enforcement $355 3.00 $469 4.00 

 

 Management Contracts & Investigations 190 1.50 201 1.50 

 

 Audits 204 1.50 251 2.00 

 

 Office of the General Counsel 304 2.00 322 2.00 

 

 Administration 1,630 13.75 1,731 14.50 

 

 Commission Staff 301 1.25 328 1.50 

 

Total Strategic Goal Three $2,984 23.00 $3,302 25.50 
NIGC - 44 

Division of Enforcement

The primary focus of the Division of Enforcement is to ensure tribal compliance with the 

fundamental statutory and regulatory requirements of IGRA. The Division’s oversight 

activities are concentrated into six critical functions. These include: 

• Monitoring Indian gaming operations for compliance with Commission 

regulations. Such monitoring activities range from reviews of gaming operation 

books and records, to on-site inspection of steps taken by a gaming operation to 

ensure the health and safety of the public; 

• Assisting tribes in developing a regulatory structure to comply with IGRA and 

Commission regulations. This includes offering advice on how to best structure a 

tribal gaming commission, and reviewing operating procedures with tribal gaming 

commissions and gaming operation managers; 

• Investigating matters relating to violations of IGRA. These investigations may 

result in the issuance of Notices of Violation, Closure Orders, and Civil Fine 

Assessments by the NIGC, as well as the referral to, and initiation of, criminal 

investigations by various laws enforcement authorities; 

• Functioning as liaison to federal, state, and tribal law enforcement officials. Field 

investigators facilitate the flow of information between various regulatory 

authorities, and help coordinate investigative and monitoring activities related to 

Indian gaming operations, and individuals and companies employed by Indian 

gaming operations; 

• Mediating disputes that threaten the integrity of the tribal gaming operations. 

These disputes may involve factional divisions within tribes, as well as disputes 

between tribes and management contractors; and 

• Assisting the Division of Management Contracts and Investigations in conducting 

background investigations of individuals and companies seeking approval of 

management contracts. The field investigators review pertinent documents and 

records, conduct interviews, and verify the accuracy of information submitted by 

applicants. 

Working with tribal regulatory authorities, the Division of Enforcement provides advice, 

assistance, assessments, warnings, and recommendations for observed compliance 

weakness. In most cases, the Commission prefers to resolve violations through voluntary 

compliance. This may be achieved by issuing a warning notice and giving a tribe the 

opportunity to correct the practice in question. This approach usually results in improved 

gaming practices. Enforcement actions, while a necessary part of the Commission’s 

oversight responsibilities, are only initiated as a last resort or in cases of imminent 

jeopardy. In spite of the tribe’s best intentions, experience, and/or training, there are 
NIGC - 45 

times when enforcement action is required. During 2009, the Commission issued 39 

Notices of Violation. 

Training is an important part of the Commission’s oversight role of Indian gaming, as 

well-trained tribal gaming officials will better protect the integrity of Indian gaming and 

assist the Commission in its regulatory oversight efforts. The Division of Enforcement 

plays an integral part in the overall training and technical assistance offered by the 

Commission to all tribes. The Division coordinates continually with the Division of 

Training, as training and technical assistance is a combined effort by all Divisions at the 

NIGC. The Enforcement Division is responsible for training on the following subjects: 

• Introduction to the NIGC; 

• Tribal Background Investigations and Licensing (TBIS); 

• Slot Machine Compliance; 

• Tribal Gaming Commissioners – Duties and Responsibilities; 

• Surveillance; and 

• Basic IGRA. 

Training and technical assistance may be provided in the forms of site visits and/or 

formal sessions. 

The Enforcement Division continues to be an active participant in the Indian Gaming 

Working Group (“IGWG”). The IGWG was established in 2003 to enhance cooperation 

between federal agencies and to enable more effective investigation and prosecution of 

criminal activity at Indian gaming operations. The Division of Enforcement participates 

in regular working group conferences and is actively involved in ongoing investigative 

activities of the working group. 
NIGC - 46 

Enforcement Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance 

with gaming laws and regulations $2,246 

 

19.00 $2,344 

 

20.00 $98 

 

1.00 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the 

industry 710 

 

6.00 820 

 

7.00 110 

 

1.00 

Subtotal Strategic Goal One $2,956 

 

25.00 $3,164 

 

27.00 $208 

 

2.00 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to 

tribal governments and gaming 

operations $1,182 10.00 $1,172 

 

10.00 ($10) - 

2.2 Improve inter-agency 

relationships and communications 710 6.00 703 

 

6.00 (7) - 

Subtotal Strategic Goal Two $1,892 

 

16.00 $1,875 

 

16.00 ($17) - 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $237 2.00 $352 

 

3.00 $115 1.00 

3.2 Develop human resource 

programs that support the 

Commission's mission, goals and 

objectives 118 1.00 117 

 

1.00 (1) - 

Subtotal Strategic Goal Three $355 

 

3.00 $469 

 

4.00 $114 

 

1.00 

 

TOTAL $5,203 

 

44.00 $5,508 

 

47.00 $305 

 

3.00 
NIGC - 47 

Division of Management Contracts & Investigations 

Pursuant to IGRA and Commission regulations, an Indian tribe may enter into a 

management contract for the operation and management of its gaming activity subject to 

the approval of the NIGC Chairman. Inherent considerations in the approval of a 

management contract include that a gaming tribe: (1) is the primary beneficiary of the 

gaming revenues; (2) maintains sole proprietary interest in the gaming operation; and (3) 

is shielded from organized crime when contracting with a management 

contractor. Management contracts that have not been approved by the Commission are 

void. The approval or disapproval of management contracts may have significant 

impacts on the financial viability of certain tribes. It is essential that management 

contracts submitted to the Commission are reviewed and approved pursuant to those 

regulations. 

 

The Division of Management Contracts & Investigations endeavors to timely review, and 

recommend approval or disapproval of, management contracts and contract modifications 

submitted by tribes and management contractors, in compliance with 25 C.F.R. Parts 531, 

533, and 537. Among other things, this includes: 

• Determining that the Commission has a complete submission; 

• Communicating with the parties during the approval process, and when necessary, 

requiring contract changes; 

• Assuring that National Environment Protection Act (“NEPA”) compliance 

requirements are met; and 

• Conducting background investigations to determine the suitability of contractor, 

when applicable. 

Each year, the Division tracks and reports on actions taken, letters issued, and 

meetings/training held. The results are analyzed and recommendations made, when 

needed, to improve the process, reduce the costs, and increase effectiveness. 

Recommendations may also include changes to Commission regulations and/or the 

publishing of Commission bulletins, as well as changes to staffing levels. Limitations on 

reporting may be incurred due to inadequacies with the current database. The proposed 

database that is being tested should alleviate the reporting limitations. 

The Commission does not control the submission of gaming management contracts and 

modifications. Rather, tribes decide if and when they wish to enter into management 

contracts and modifications. The Commission must be prepared to handle unexpected 

influxes in submissions. In addition, the timing for final agency action may be delayed 

due to conditions beyond the Commission’s control. For example, a tribe may decide to 

have a management contract on a specific site and submit a land application to the 

Department of the Interior to have that site taken into trust for gaming purposes. Until 

that site qualifies as Indian lands upon which the tribe may game, the Commission may 

not approve the gaming management contract. 
NIGC - 48 

In addition, the Division provides financial analysis capabilities in support of other 

Commission activities. Among other things, this includes: 

• Review of tribal submissions to determine the existence of management functions 

in various agreements between tribes and outside parties (“R-files”); 

• Establishing files for gaming ordinance and R-file submissions; 

• Tracking all incoming independently audited financial statements from the tribal 

gaming operations; 

• Annually reporting the consolidated financial results from the audited financial 

statements; 

• Providing and preparing financial information/reports for the Commission; and 

• Upon request, providing financial analysis or investigative assistance to the Office 

of the General Counsel and Enforcement, Audit, and Administration Divisions. 

 

The Division is also responsible for the electronic processing of fingerprint cards for 

tribal gaming operations’ key employees and primary management officials, and for 

notifying the tribal gaming agencies of the results. 
NIGC - 49 

Management Contracts & Investigations Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance with 

gaming laws and regulations $159 

 

1.25 $168 

 

1.25 $9 

 

- 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the industry 444 

 

3.50 471 

 

3.50 27 

 

- 

Subtotal Strategic Goal One $603 

 

4.75 $639 

 

4.75 $36 

 

- 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to tribal 

governments and gaming operations $603 4.75 $639 

 

4.75 $36 - 

2.2 Improve inter-agency relationships 

and communications 381 3.00 403 

 

3.00 22 - 

Subtotal Strategic Goal Two $984 

 

7.75 $1,042 

 

7.75 $58 

 

- 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $127 1.00 $134 

 

1.00 $7 - 

3.2 Develop human resource programs 

that support the Commission's mission, 

goals and objectives 63 0.50 67 

 

0.50 4 - 

Subtotal Strategic Goal Three $190 

 

1.50 $201 

 

1.50 $11 

 

- 

 

TOTAL $1,777 

 

14.00 $1,882 

 

14.00 $105 

 

- 
NIGC - 50 

Division of Audits 

The Audit Division is primarily responsible for performing compliance audits at tribal 

casinos conducting Class II gaming and, as requested or otherwise authorized, Class III 

gaming facilities. There are approximately 300 gaming operations that 

conduct some form of Class II gaming. Because the tribal gaming regulatory authorities 

have primary responsibility for the regulation of Indian gaming, the audit selection 

process is generally founded upon a risk-based analysis. Essentially, based on the 

examination of the financial data submitted annually to the Commission, and other 

information that may be developed or become public, the Division schedules audit 

assignments, which generally result in the performance of 8 to 10 comprehensive MICS 

audits per year. Additionally, another 12 to 15 audits of an abbreviated nature are 

performed; for example, evaluating the Internal Audit function, confirming the accuracy 

of NIGC fee payments, confirming compliance with the requirement that accounting 

records be maintained in accordance with Generally Accepted Accounting Principles, and 

confirming that net gaming revenues were used in a manner consistent with the Indian 

Gaming Regulatory Act. 

The Audit Division currently has a professional staff of 23 authorized positions located in 

Washington, DC; St. Paul, MN; Rapid City, SD; Portland, OR; Sacramento, CA; 

Temecula, CA; Phoenix, AZ; Tulsa, OK; and Flowood, MS. All personnel are required 

to have had at least 3 years of gaming-related experience and an accounting or related 

degree. Although professional certification is not required to obtain employment with the 

Audit Division, it is highly desirable. Currently, all staff members hold one or more 

certifications or are working towards one. The majority of personnel are either Certified 

Public Accountants or Certified Fraud Examiners, or both. Other professional 

certifications include Certified Internal Auditor, Certified Government Audit 

Professional, or Certified on Financial Forensics. The Information Technology (IT) 

Auditors also possess one or more professional certifications specific to the field of 

information systems. The Commission recognizes the benefit of continued professional 

education and appropriates funds annually to facilitate such training. 

The IT function is growing in significance to the operational integrity of casino 

workflows. Most keno operations, and all off-track betting revenue centers, are 

computerized. Additionally, the use of gaming machines linked to an on-line computer 

monitoring system has become pervasive within the industry. The review of these 

systems by the Audit Division has become a high priority. Therefore, personnel that 

possess the relevant technical expertise to evaluate these systems have been hired in 

recent years. These auditors have added value to the Division and the Commission by 

providing general guidance relevant to vulnerability testing and the recognition of 

control/process weaknesses. 

As the complexity of the gaming industry has evolved, at times dramatically, it has 

become increasingly important that more reliable data be available to make informed 

decisions. Therefore, the Division accumulates and analyzes data reflecting on the 
NIGC - 51 

gaming operations’ financial position and internal control systems. The analyses are used 

to project trends in the industry that might foreshadow issues warrant regulatory 

attention. 

At the conclusion of an audit assignment, Audit staff will meet with tribal officials to 

review the findings in the form of a written report and request that a remedial action plan 

be prepared and submitted to the NIGC within 30 days. The target date for correcting the 

findings of noncompliance is six months but often takes longer. Upon request from the 

audited tribe, Division personnel will assist casino management in the identification and 

implementation of the remedial actions, which may include on-site training. At the end 

of the implementation period, a final determination is made as to whether the facility has 

been effective in remedying the findings, internal control weaknesses, in all material 

respects. If the determination is unfavorable, consideration will be given to extending the 

period or to initiating an enforcement action. Over the past decade, the Division has been 

exceedingly successful in its work with casino management and tribal regulators in 

achieving compliance with NIGC regulations relevant to casino internal control systems, 

payment of NIGC fees, gaming financial records consistent with Generally Accepted 

Accounting Principles and uses of gaming revenues by tribal governments. 

Furthermore, the Division consultation with tribal gaming regulators and operators is 

ongoing. Maintaining the regulations establishing the minimum internal control 

standards with which tribal casinos should comply or consider is a continuous process 

due to the ever-changing gaming industry. Much attention and resources are devoted to 

this initiative, which can have profound significance to the overall quality of tribal 

gaming. 
NIGC - 52 

Audits Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance 

with gaming laws and regulations $136 

 

1.00 $125 

 

1.00 ($11) - 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the industry 1,329 

 

9.75 1,412 

 

11.25 83 

 

1.50 

Subtotal Strategic Goal One $1,465 

 

10.75 $1,537 

 

12.25 $72 

 

1.50 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to 

tribal governments and gaming 

operations $681 5.00 $721 

 

5.75 $40 0.75 

2.2 Improve inter-agency relationships 

and communications 375 2.75 376 

 

3.00 1 0.25 

Subtotal Strategic Goal Two $1,056 

 

7.75 $1,097 

 

8.75 $41 

 

1.00 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $136 1.00 $157 

 

1.25 $21 0.25 

3.2 Develop human resource programs 

that support the Commission's mission, 

goals and objectives 68 0.50 94 

 

0.75 26 0.25 

Subtotal Strategic Goal Three $204 

 

1.50 $251 

 

2.00 $47 

 

0.50 

 

TOTAL $2,725 

 

20.00 $2,885 

 

23.00 $160 

 

3.00 
NIGC - 53 

Office of the General Counsel 

The Office of the General Counsel (“OGC”) serves as the Commission’s in-house legal 

counsel on all matters related to the regulation of Indian gaming pursuant to IGRA, as 

well as on a wide variety of other legal matters. 

When the Chairman determines that formal enforcement actions must be pursued, OGC 

attorneys serve as the Commission’s prosecutorial arm, representing the Chairman in 

formal enforcement actions, and representing the full Commission in administrative 

appeals. In addition, before the Commission takes any proposed agency action, the 

Commissioners rely on OGC attorneys to ensure that the proposed agency action 

complies with all applicable IGRA requirements. To accomplish this task, OGC attorneys 

review the proposed agency action in light of IGRA’s legislative history and subsequent 

interpretations, both administrative and judicial. The OGC attorneys represent the 

Commission by advocating Commission positions and interests, and by coordinating the 

participation of Commission members and staff in the administrative litigation and appeal 

process. In addition, OGC attorneys assist the U.S. Department of Justice with litigation 

matters in Federal courts in which the positions and actions of the Commission have been 

challenged. 

Working with the Commissioners, OGC attorneys help draft and analyze proposed 

Commission regulations. During the rulemaking process, OGC attorneys review and 

analyze comments submitted on the proposed regulations, and respond to the comments 

that are made during the public comment period. Where appropriate, OGC attorneys 

recommend modifications or amendments to the proposed regulations. The OGC 

attorneys also help develop methods for reviewing and evaluating compliance with 

Commission regulations. 

In 2009, OGC attorneys helped the Commission implement technical standards for class 

II gaming systems. The OGC also helped the Commission implement Section 20 of 

IGRA, including application of Section 20 regulations that were promulgated by the U.S. 

Department of the Interior. Section 20 and its implementing regulations deal with 

whether tribes may conduct gaming on Indian lands that were acquired into trust after 

IGRA’s enactment date of October 17, 1988. 

In the upcoming fiscal year, the OGC will help the Commission develop guidance on the 

application of IGRAs “sole proprietary interest” requirement— i.e., that Indian tribes 

shall have the “sole proprietary interest” and responsibility for the conduct of any gaming 

activity. In addition, OGC attorneys will assist tribes and lending institutions with the 

restructuring of debt due to a downturn in the economy. In fiscal years 2010 and 2011, 

OGC will help the Commission implement new regulations that will streamline several 

administrative processes. For example, Indian tribes are currently required to submit 

administrative fees to the Commission four times per year. Changes to these regulations 

will reduce the submission requirement to twice per year. Additionally, other changes 

regarding background checks and licensing of individuals will allow tribes to maintain 
NIGC - 54 

the materials in their respective offices rather than requiring them to submit the materials 

to the Commission. 

The OGC also provides formal and informal legal advice on difficult Indian land 

questions. Indian tribes may conduct gaming only on “Indian lands” as defined by IGRA. 

For the purposes of reviewing management contracts, approving site-specific tribal 

gaming ordinances, or merely deciding whether the Commission has the jurisdiction to 

regulate gaming on a particular tract of land, OGC attorneys provide opinions to the 

Commission on the status of said lands. The OGC maintains a database to input 

information regarding research that has been performed on the Indian lands status of 

existing and proposed gaming sites. The Indian lands database is a central repository for 

tribal land documentation, and it generates reports on information pertaining to OGC’s 

review of the lands status. In the upcoming years, the OGC will work on improving the 

amount and quality of the information used to populate the Indian lands database. 

The Commission Chairman has directed the OGC to work cooperatively with the tribes to 

ensure, as much as possible, that proposed tribal gaming ordinances and management 

contracts meet IGRA requirements for approval when they are officially presented to the 

Chairman for review and approval. Currently, OGC attorneys routinely respond to 

numerous requests to preview (before official submission) proposed tribal gaming 

ordinances and management contracts, and to provide feedback or advice. In addition, 

OGC attorneys review other types of agreements to determine whether the agreements 

are, for all intents and purposes, management contracts and therefore subject to IGRA’s 

approval requirements. The OGC attorneys also review transactional documents 

submitted with management contracts, such as loan agreements, security agreements, 

promissory notes, and consulting agreements, to determine their effect on the 

management contract and whether they cause a violation of IGRA. As a result of OGC 

attorneys working cooperatively with the tribes, the number of gaming ordinances and 

management contracts that are currently disapproved has been greatly reduced from 

previous years. In the upcoming fiscal years, the OGC plans to improve its response time 

as to the delivery of advice on management contracts and tribal gaming ordinances that 

are submitted for review. 

One of the Commission’s current priorities is to increase technical assistance to the tribes. 

In the upcoming fiscal years, the OGC will be responding to this priority by providing 

technical assistance to the tribes through continued and increased training programs, 

participation in working groups, and the provision of informal and formal advice. 

Because the Commission is a relatively new and small agency, the Commission’s past 

priorities and resources were concentrated heavily on its critical regulatory oversight 

functions. Thus, development of the Commission’s internal administrative and personnel 

policies had been given less attention. In recent years, OGC attorneys helped formulate 

and develop internal personnel and administrative policies for the Commission, including 

the development of an EEO program. In the upcoming fiscal years, OGC attorneys will 

continue to formulate policies to populate the Commission’s employee manual, and will 

develop and conduct training to Commission personnel regarding these policies. 
NIGC - 55 

Office of the General Counsel Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance 

with gaming laws and regulations $1,065 

 

7.00 $1,126 

 

7.00 $61 - 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the industry 912 

 

6.00 966 

 

6.00 54 - 

Subtotal Strategic Goal One $1,977 

 

13.00 $2,092 

 

13.00 $115 - 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to 

tribal governments and gaming 

operations $532 3.50 $564 

 

3.50 $32 - 

2.2 Improve inter-agency relationships 

and communications 380 2.50 403 

 

2.50 23 - 

Subtotal Strategic Goal Two $912 

 

6.00 $967 

 

6.00 $55 - 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $152 1.00 $161 

 

1.00 $9 - 

3.2 Develop human resource programs 

that support the Commission's mission, 

goals and objectives 152 1.00 161 

 

1.00 9 - 

Subtotal Strategic Goal Three $304 

 

2.00 $322 

 

2.00 $18 - 

 

TOTAL $3,193 

 

21.00 $3,381 

 

21.00 $188 - 
NIGC - 56 

Division of Training 

To meet the mandate of the Native American Technical Corrections Act of 2006 (P.L. 

109-22), the Commission established a Division of Training. The Training Division is 

responsible for implementing and administering external and internal training activities 

and programs. 

The Training Division will capture and accurately report training-related data required for 

compliance with the Government Performance and Results Act, and other internal 

evaluations. The Division will prepare, or direct the preparation of, materials/aids needed 

for each training activity; create and evaluate curricula; and update training activities, as 

necessary, for compliance with regulations, laws, and policies. 

The Training Division currently works with the Division of Enforcement, Division of 

Audits, Division of Management Contracts and Investigations, and the Office of the 

General Counsel to coordinate internal and external training. This coordination includes 

ensuring that instructors are available to prepare and teach curriculum as requested by the 

tribes and that the training subjects are beneficial to those who participate. The Division 

tracks training data and statistics of the training completed. The Training Division will 

also work with Commission Division Directors to develop employee training plans and 

provide (either directly or through contracting vendors) training for employees: 

transitioning into new roles; on performance improvement plans; or experiencing changes 

in business processes. 

The Division of Training is an essential component of the Commission’s efforts to 

comply with the requirements of IGRA to provide technical assistance and training to 

tribes participating in gaming. Technical assistance and training will be provided either 

directly or through contracting vendors. The training budget will include: 

• Contracting for training on server-based gaming, and other topics as needed; 

• Production of training DVD’s so that tribes may participate in training without the 

necessity of travel; 

• Production of live training via satellite to tribes through existing technologies; 

• Obtaining and renting training facilities for training; 

• Travel expenses to and from training events; 

• Training equipment and materials to produce and provide training; and 

• Approved training for Commission personnel at external venues. 
NIGC - 57 

Training Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance 

with gaming laws and regulations $0 - $0 - $0 - 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the industry 0 - 0 - 0 - 

Subtotal Strategic Goal One $0 - $0 - $0 - 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to 

tribal governments and gaming 

operations $173 0.75 $184 1.50 $11 0.75 

2.2 Improve inter-agency relationships 

and communications 58 0.25 61 0.50 3 0.25 

Subtotal Strategic Goal Two $231 1.00 $245 2.00 $14 1.00 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $0 - $0 - $0 - 

3.2 Develop human resource programs 

that support the Commission's mission, 

goals and objectives 0 - 0 - 0 - 

Subtotal Strategic Goal Three $0 - $0 - $0 - 

 

TOTAL $231 1.00 $245 2.00 $14 1.00 
NIGC - 58 

Division of Administration 

The Division of Administration provides the financial, personnel, IT, Freedom of 

Information Act (FOIA), and customer solution services to the Commission. The 

Division of Administration is the liaison to the Department of the Interior (DOI), Office 

of Management and Budget (OMB), and the General Services Administration (GSA). 

The Division of Administration consists of a Director, five supervisory personnel, and 13 

support staff. 

The finance section oversees the collection and processing of fees, prepares quarterly 

reports that indicate compliance with fee payments for use by the region directors, 

procurement, budget forecasts, reconciliations, financial reports, and cash flow 

statements. This section works with the National Business Center at DOI on procurement 

issues, with DOI and OMB on budget issues, and with GSA on facility issues. 

The finance section is also responsible for the full complement of financial management 

services to include: disbursements for Commission-wide purchases; payroll; settlements; 

revenue collections; check processing; and travel management. This section also plans 

and administers the financial accounting program for the entire Commission which, in 

addition to the Washington, DC headquarters, encompasses regional and satellite offices. 

The finance section also conducts regular cost analysis and reporting to provide a basis 

for measurement of accomplishment of the Commission’s substantive operations. In 

addition, it reports financial data to OMB through the DOI’s Office of the Secretary. 

This information includes detailed financial analysis that constitutes a direct basis for 

program and budgetary proposals and decisions requisite to the fulfillment of the 

Commission’s mission. 

The personnel section provides Commission-wide guidance on time and attendance, 

employee regulations, policies and procedures, and serves as the point of contact for the 

Commission’s servicing personnel office to ensure a smooth transition for new 

employees entering federal service. 

The IT section oversees the daily operation of the Commission’s networks, recommends 

and maintains various hardware and software packages, monitors, diagnoses, and 

maintains the network infrastructure, maintains databases, oversees video conferencing, 

and performs help desk duties as needed. 

The FOIA/Records section is responsible for addressing all requests received by the 

Commission in accordance with federal and Commission regulations, and for the 

retention of all Commission records. 

The customer solutions section is responsible for the overall day to day administrative 

functions of the Commission. This includes providing receptionist support, recording 

and distributing incoming correspondence, maintaining inventory control, creating and 
NIGC - 59 

maintaining a Commission intranet, and monitoring and updating the Commission 

internet website. 

Administration Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance 

with gaming laws and regulations $178 

 

1.50 $179 

 

1.50 $1 - 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the 

industry 119 

 

1.00 119 

 

1.00 0 - 

Subtotal Strategic Goal One $297 

 

2.50 $298 

 

2.50 $1 - 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to 

tribal governments and gaming 

operations $208 1.75 $239 

 

2.00 $31 0.25 

2.2 Improve inter-agency 

relationships and communications 119 1.00 119 

 

1.00 0 - 

Subtotal Strategic Goal Two $327 

 

2.75 $358 

 

3.00 $31 

 

0.25 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $1,422 12.00 $1,492 

 

12.50 $70 0.50 

3.2 Develop human resource 

programs that support the 

Commission's mission, goals and 

objectives 208 1.75 239 

 

2.00 31 0.25 

Subtotal Strategic Goal Three $1,630 

 

13.75 $1,731 

 

14.50 $101 

 

0.75 

 

TOTAL $2,254 

 

19.00 $2,387 

 

20.00 $133 

 

1.00 
NIGC - 60 

Division of Congressional Affairs & Media Relations 

The Division of Congressional and Media Relations is responsible for the daily 

coordination of Commission programs and activities with regard to the Congress, other 

governmental affairs, and media relations. 

The Division is responsible for planning, coordinating, and managing agency programs 

and activities relating to both legislative and public affairs. Among its principal duties, 

the Office of Congressional and Public Affairs monitors legislation affecting the 

Commission, and advises on any necessary policy action. The Office of Congressional 

and Public Affairs coordinates submission of bills, resolutions, reports, testimony, and 

other statements on legislation to Congress, and also prepares agency press releases, 

speeches, and newsletters. This Division also serves as the liaison with Congressional 

Committees and individual Members of Congress by communicating with them on 

matters affecting the regulation of gaming activities on Indian lands. 

The Division is also responsible for contact with the media. The Division responds to 

inquiries from the press seeking information on local casinos, and the Indian gaming 

industry in general. The Division explains the role of the Commission, regulatory and 

enforcement efforts, the consultation process, and other agency decisions to the press. 

With the coordination of the Division, the Commission has recently been featured in 

publications such as Casino Enterprise Management, Indian Gaming Magazine, and 

Global Gaming Magazine. 
NIGC - 61 

Congressional Affairs & Media Relations Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance with 

gaming laws and regulations $0 $0 $0 

 

- 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the industry 43 

 

0.25 45 

 

0.25 2 

 

- 

Subtotal Strategic Goal One $43 

 

0.25 $45 

 

0.25 $2 

 

- 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to tribal 

governments and gaming operations $43 0.25 $45 

 

0.25 $2 - 

2.2 Improve inter-agency relationships 

and communications 84 0.50 90 

 

0.50 6 - 

Subtotal Strategic Goal Two $127 

 

0.75 $135 

 

0.75 $8 

 

- 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $0 $0 $0 - 

3.2 Develop human resource programs 

that support the Commission's mission, 

goals and objectives 0 0 0 - 

Subtotal Strategic Goal Three $0 - $0 - $0 

 

- 

 

TOTAL $170 

 

1.00 $180 

 

1.00 $10 

 

- 
NIGC - 62 

Commission Staff Request by Strategic Goal 

 

 FY 2010 FY 2011 Change 

 $ (000) FTE $ (000) FTE $ (000) FTE 

 

STRATEGIC GOAL ONE: Increase compliance with gaming laws and regulations 

 

Objectives 

1.1 Effectively monitor compliance 

with gaming laws and regulations $241 

 

1.00 $274 

 

1.25 $33 

 

0.25 

1.2 Expand the knowledge and 

implementation of Indian gaming laws 

and regulations throughout the industry 241 

 

1.00 274 

 

1.25 33 

 

0.25 

Subtotal Strategic Goal One $482 

 

2.00 $548 

 

2.50 $66 

 

0.50 

 

STRATEGIC GOAL TWO: Increase service to tribal governments and gaming operations 

 

Objectives 

2.1 Improve technical assistance to 

tribal governments and gaming 

operations $332 

 

1.375 $328 

 

1.50 ($4) 

 

0.125 

2.2 Improve inter-agency relationships 

and communications 332 

 

1.375 328 

 

1.50 (4) 

 

0.125 

Subtotal Strategic Goal Two $664 

 

2.75 $656 

 

3.00 ($8) 

 

0.25 

 

STRATEGIC GOAL THREE: Maximize the use of commission resources 

 

Objectives 

3.1 Improve agency administration $271 

 

1.125 $274 

 

1.25 $3 

 

0.125 

3.2 Develop human resource programs 

that support the Commission's mission, 

goals and objectives 30 

 

0.125 54 

 

0.25 24 

 

0.125 

Subtotal Strategic Goal Three $301 

 

1.25 $328 

 

1.50 $27 

 

0.25 

 

TOTAL $1,447 

 

6.00 $1,532 

 

7.00 $85 

 

1.00