and Performance Information

Fiscal Year 2018

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

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Recycled Paper

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

FY 2018 Budget Justification

Table of Contents

 Page

Item Number

Executive Summary

Executive Summary 1

Mission, Vision, and General Statement 3

The Indian Gaming Regulatory Act of 1988 5

Commission Structure 6

Organization Chart 7

Budget Priorities 9

Background 9

Annual Fees for Operations 10

2018 Budget

Narrative Summary Statement 11

Summary of the FY 2018 Budget 12

Reimbursable Expenses 12

Fee Regulation 13

Authorization, Objectives and Program Activities 14

Gaming Activity Fees – Program and Financing Schedules 16

Gaming Activity Fees – Object Classification Schedule 17

Reimbursable Activity – Program and Financing Schedule 18

Reimbursable Activity – Object Classification Schedule 19

Employee Count by Grade 20

Government Performance and Results Act (GPRA) Information 21

Summary and Highlights of Commission Activities 22

Executive Summary

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National Indian Gaming Commission (NIGC)

Executive Summary

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

active performance of regulatory duties; engaging in ongoing meaningful tribal 

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

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

relationships with all relevant stakeholders.

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

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

gaming;

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

enhance relationships with governmental partners and other stakeholders; 

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

through its Rural Outreach Coordinator position.

 1 25 U.S.C. § 2702(3).
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In addition to the NIGC, there are approximately 6,000 Tribal Gaming Regulators serving 

as the primary regulators of Indian gaming. Further, each of the 28 states involved in 

Indian gaming provides regulatory support to implement their respective responsibilities 

under IGRA and tribal-state compacts. Besides NIGC, tribal and state regulatory 

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

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

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

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

to fulfill the mandates of IGRA. 

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

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

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

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

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

industry. Secondarily, the Act identified training and technical assistance as an agency 

function. As in the past, the FY 2018 budget will continue to include expanding tribal 

consultation and improving intergovernmental coordination, providing training and 

technical assistance to tribal gaming commissions and operations, conducting a 

regulatory review, examining and assessing the efficiency and effectiveness of the 

Commission, and enhancing the information technology infrastructure.
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Mission

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

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

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

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

activities.

Vision

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

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

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

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

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

General Statement

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

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

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

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

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

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

gaming operations. 

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

background investigations and internal control assessments of Class II gaming operations 

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

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

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

appropriate, undertakes enforcement actions. 

The Commission fulfills its responsibilities under IGRA by: 

• regulating and monitoring certain aspects of Indian gaming; 

• coordinating its regulatory responsibilities with tribal regulatory agencies through 

the review and approval of tribal gaming ordinances and management 

agreements;

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

those seeking to engage or invest in Indian gaming; 

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

• referring law enforcement matters to appropriate tribal, Federal and state entities; 

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

regulations and tribal gaming ordinances, including imposing appropriate 

sanctions for such violations. 

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

indications of corrupting influences, such as those posed by persons and entities known 

to be attracted to cash-intensive industries such as gaming.

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

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

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

management responsibility for, potential management contracts. These investigations 

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

Commission is reimbursed periodically by the potential contractors for performing these 

investigative services. The Commission is also reimbursed for fingerprint processing 

costs.

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

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

trust relationship with Indian nations. In addition, consistent with Executive Order 

13175, the Commission is committed to meaningful consultation with tribes prior to 

making changes to regulations or policies having tribal implications. Additionally, the 

Commission endeavors to provide tribes, states, sister Federal agencies, and 

stakeholders with courteous and timely responses to issues as they arise. 
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The Indian Gaming Regulatory Act (IGRA) of 1988

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

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

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

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

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

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

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

enforce laws on Indian lands.”2

 IGRA fully preserved tribal regulatory authority over 

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

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

Class III gaming. 

IGRA establishes the jurisdictional framework that governs Indian gaming. IGRA 

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

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

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

governments.

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

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

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

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

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

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

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

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

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

the Commission. Tribal governments are responsible for regulating Class II 

gaming, with Commission oversight.

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

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

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

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

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

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

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

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

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

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

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

regulating Class III gaming. 

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

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

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

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

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

tribes and management contractors comply with IGRA and Commission rules and 

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

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

Commission Structure

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

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

IGRA established the NIGC as a bipartisan agency, permitting only two of the three 

Commissioners to be from the same political party. The NIGC’s organizational structure 

is composed of two main branches, the Office of General Counsel which handles legal 

affairs, and the Office of the Chief of Staff, which manages day-to-day activities and 

includes the Division of Compliance, Division of Finance, Division of Public Affairs, and 

the Division of Technology. 

The Commission provides Federal oversight to approximately 470 tribally owned, 

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

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

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

staff of 105 full-time employees, as of the end of 2016. Approximately half of the 

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

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

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

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

Temecula, California.
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NIGC - 8

National Indian Gaming Commission

Region

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

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

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

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

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

Commission. By having auditors and compliance officers close to tribal gaming facilities, 

the Commission seeks to facilitate compliance with the Act and foster better relationships 

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

investigative activities, the field staff provides technical assistance and training to 

promote a better understanding of gaming controls within the regulated industry, and to 

enhance cooperation and compliance to ensure the integrity of gaming operations.
NIGC - 9

Budget Priorities

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

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

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

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

technology, financial resources will be directed to training Commission staff and 

providing training to tribal gaming operators and regulators to assure their ability to 

regulate and safeguard the integrity of Indian gaming. Strategic flexibility will ensure that 

adequate resources are available to meet the growing needs for technical assistance and 

training in Indian gaming enterprises large and small.

Background

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

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

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

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

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

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

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

providing a new basis for determining the fee limitation to no more than 0.080 percent of 

the gross gaming revenues of all gaming operations.

3

 

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

to the size of the industry it oversees. With fees now capped at 0.080% of the industry's 

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

growth or contraction of the Indian gaming industry. 

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

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

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

include technical assistance to tribal gaming operations.

4

 The NIGC strategic plan is 

posted on the NIGC website. 

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

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

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

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

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

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

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

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

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

Each gaming operation must submit quarterly payments for fees assessed by three, six, 

nine, and twelve months after the end of their fiscal year.

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

Commission because the unique statutory provisions governing the Commission’s 

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

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

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

approximately 1/4 of each gaming operation’s projected annual fee assessment. The 

carryover transition balance is necessary to cover the first and second quarter of operation 

until the fees are actually received and credited to the operating account. For example, 

fees collected on or before the December 31, 2017 due date will provide the operational 

capital for the first three months of calendar year 2018. The Commission attempts to 

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

absorb any cash flow variations that may occur.
FY 2018 Budget

NIGC - 11

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Narrative Summary Statement

The Indian Gaming Regulatory Act (P. L. 100-497) established the National Indian 

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

Interior. The Commission monitors and regulates gaming activities conducted on Indian 

lands. The Commission fosters the economic development of Indian tribes by ensuring 

the integrity of Indian gaming on Indian Lands and ensuring that the tribes are the 

primary beneficiaries of their gaming revenues. Operating costs of the Commission are 

financed through annual assessments of gaming operations regulated by the Commission

consistent with provisions of the Native American Technical Corrections Act of 2006 (P. 

L. 109-221).
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Summary of the Fiscal Year 2018 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 2018 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 2018

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

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

not impact ongoing operations. Fees are paid quarterly, based on each gaming 

operation’s assessable gross revenue. This system often results in cash flow variations, 

and therefore a transition balance, derived from prior year funds carried forward to the 

new fiscal year, is essential for continuity of operations.

The agency’s actual employee count was 105 at the end of 2016 (102 total compensable 

full-time equivalents) and projected to be 131 at the end of 2017 and 2018. NIGC is 

forecasting full-year obligation for its gaming activity of $22 million for fiscal year 2017

and $23 million for fiscal year 2018. This will allow the Commission to hire additional 

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

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

and expand technical assistance and training. 

Reimbursable Expenses

The NIGC conducts background investigations of individuals and entities with a financial 

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

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

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

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

fingerprint processing costs.
NIGC - 13

Fee Regulation

The regulations implementing the legislative provisions governing the collection of fees 

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

§514.14 Annual Fees

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

the statutory maximum imposed by Congress. The Commission shall credit 

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

due according to §514.4.

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

collection of fees for fingerprint processing:

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

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

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

fingerprint cards on behalf of the tribes.

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

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

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

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

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

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

Investigation and costs incurred by the Commission. Commission costs include 

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

the requesting tribe.

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

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

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

(45) days of the date of the bill.

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

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

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

Gaming Commission, 1849 C Street, N.W., Mail Stop #1621, Washington, DC 20240. 

Checks should be made payable to the National Indian Gaming Commission (do not 

remit cash).
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Authorization:

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

Objectives:

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

as a means of generating tribal revenues.

Program Activities:

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

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

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

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

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

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

authorized to conduct investigations, undertake enforcement actions including the 

issuance of notices of violation, assessment of civil fines, issuance of closure orders, 

approve management contracts, and issue such regulations as necessary to meet its 

responsibilities under the Act.

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

• issue temporary closure orders5

• levy civil fines, of up to $50,276 per violation per day, against a tribe, management 

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

gaming ordinance6

• approve tribal gaming ordinances7

• approve gaming management contracts8

• appoint and supervise staff9 

The Commission as a whole is empowered to: 

• monitor gaming activities10

• inspect gaming premises11

• conduct background investigations12

• inspect records relating to gaming13

 5 25 U.S.C. 2705(a)(1). 6 25 U.S.C. § 2705(a)(2). Pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements 

Act of 2015 (Sec. 701 of P. L. 114-74), the original civil penalty amount of $25,000 is adjusted annually. 7 25 U.S.C. § 2705(a)(3). 8 25 U.S.C. § 2705(a)(4). 9 25 U.S.C. § 2707.

10 25 U.S.C. § 2706(b)(1). 11 25 U.S.C. § 2706(b)(2). 12 25 U.S.C. § 2706(b)(3). 13 25 U.S.C. § 2706(b)(4).
NIGC - 15

• approve the annual budget14

• adopt regulations for the assessment and collection of civil fines15

• adopt a schedule of annual fees16

• issue permanent closure orders17

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

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

decisions of the Chair to the full Commission.19

In carrying out its responsibilities, the Commission also:

• maintains and enhances relationships with other Federal agencies and partner 

governments

• provides education, training and technical assistance regarding applicable regulatory 

requirements

• assists tribes with background investigations and fingerprint processing

• receives and processes appeals

• conducts formal and informal hearings 

• consults with Indian tribes, states and the regulated community

• defends against lawsuits challenging the Commission’s actions

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

publications

• provides audits and other evaluative services

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

19 25 U.S.C. § 2705(a).
NIGC - 16

Identification code 14-5141-0-2-806 2016 2017 2018

Actual Estimate Estimate

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

 Receipts: 

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

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

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

 Appropriations:

 National Indian Gaming Commission

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

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

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

 Program and Financing (in millions of dollars)

Obligations by program activity:

00.01 Direct Program Activity 19 22 23

09.00 Total new obligations................................................. 19 22 23

Budgetary Resources:

 Unobligated balance:

10.00 Unobligated balance brought forward,

Oct 1....................................................................... 16 15 11

Appropriations mandatory:

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

12.03 Appropriation (previously unavailable):....................... 1 1

12.32 Appropriations and/or unobligated balance of 

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

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

19.30 Total budgetary resources available....................... 34 33 31

Memorandum (non-add) entries:

19.41 Unexpired unobligated balance, end of year........... 15 11 8

Unpaid obligations:

30.00 Unpaid obligations, brought forward, Oct 1........... 2 3 3

30.10 Obligations incurred, unexpired accounts............... 19 22 23

30.20 Outlays (gross)....................................................... -18 -22 -23

30.50 Unpaid obligations, end of year ................................. 3 3 3

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

31.00 Obligated balance, start of year................................... 2 3 3

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

Budget authority and outlays, net\:

 Mandatory:

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

Outlays, gross:

41.00 Outlays from new mandatory authority................... 4 7 12

41.01 Outlays from mandatory balances........................... 14 15 11

41.10 Outlays, gross (total).............................................. 18 22 23

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

41.70 Outlays, net (mandatory)......................................... 18 22 23

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

41.90 Outlays, net (total).................................................. 18 22 23

 Change in obligated balance:

 Obligated balance, end of year (net):

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

(in millions of dollars)

 Budget Authority
NIGC - 17

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Identification code 14-5141-0-2-806 2016 2017 2018

Actual Estimate Estimate

Direct obligations

11.11 Personnel compensation: Full-time 

permanent............................................. 11 13 13

11.21 Civilian personnel benefits..................... 3 3 4

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

12.31 Rental payments to GSA......................... 3 1 1

12.52 Other Services........................................ 1 4 4

19.90 Subtotal, direct obligations................... 19 22 23

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

99.99 Total new obligations............................. 19 22 23

Personnel Summary

 Total compensable workyears

 Full-time equivalent employment ................... 102 115 131

Special Fund Receipt/Expenditure Account

Gaming Activity Fees

 Object Classification (in millions of dollars)
NIGC - 18

Identification code 14-0118-0-2-806 2016 2017 2018

Actual Estimate Estimate

 Obligations by program activity:

08.01 Reimbursable Program Activity 2 2 2

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

Budgetary resources:

 Unobligated balance:

10.00 Unobligated balance brought forward,

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

Budget authority:

Spending authority from offsetting collections, discretionary

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

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

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

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

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

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

Unpaid obligations:

30.00 Unpaid obligations, brought forward, Oct 1 (gross)............ 2 2 2

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

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

30.50 Unpaid obligations, end of year ........................................... 2 2 2

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

31.00 Obligated balance, start of year:............................................. 2 2 2

32.00 Obligated balance, end of year:............................................. 2 2 2

Budget authority and outlays, net:

 Discretionary

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

Outlays, gross:

40.10 Outlays from new discretionary authority............................. 1 1 1

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

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

 Offsets against gross budget authority and outlays:

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

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

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

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

Program and Financing

(in millions of dollars)

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

Reimbursable Activity
NIGC - 19

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

General and Special Funds: Salaries and Expenses

Identification code 14-0118-0-4-806 2016 2017 2018

Actual Estimate Estimate

Reimbursable obligations

22.52 Other services from non-Federal sources.......... 2 2 2

Object Classification (in millions of dollars)
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2016 2017 2018

Actual Estimate Estimate

EX-IV 1 1 1

EX-V 2 2 2

AD-00 0 0 0

ES-4 0 0 0

ES-3 0 0 0

ES-1 0 0 0

GS-15 16 16 16

GS-14 16 22 22

GS-13 37 46 46

GS-12 16 25 25

GS-11 4 5 5

GS-10 4 4 4

GS-09 0 0 0

GS-08 0 0 0

GS-07 1 0 0

GS-06 7 7 7

GS-05 1 3 3

Total Employee Count 105 131 131

In accordance with the Act, appointments are made without regard to the provisions of 

U.S. Code governing appointments in the competitive services 

DEPARTMENT OF THE INTERIOR

NATIONAL INDIAN GAMING COMMISSION

EMPLOYEE COUNT BY GRADE OR GRADE EQUIVALENT

In accordance with the Act, appointments are made without regard to the provisions of 

Title 5, U.S. Code governing appointments in the competitive services. 
GPRA Information

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Government Performance and Results Act Information

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

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

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

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

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

Government Performance and Results Act of 1993.”

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

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

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

transparency to promote agency accountability and fiscal responsibility, the Commission 

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

Plan and published the final strategic plan for years 2014-2018. 
NIGC - 22

Summary and Highlights of Commission Activities

During FY 2016, the Commission’s four primary initiatives arising from its 2014 

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

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

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

accomplished the following goals and tasks.

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

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

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

for violations of IGRA when necessary.

• The agency increased its focus on rural outreach and protecting against 

gamesmanship on the backs of tribes.

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

Federal Employee Viewpoint Survey results, historical areas for improvement 

remain, including performance management, recognition and employee training and 

development. Despite these areas of concern, the 2016 results when compared with 

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

needs.

• Met NARA standards for electronic record management and is on schedule to meet 

records management priorities.

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

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

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

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

status, and whether financing or other agreements implicate management or sole 

proprietary interest concerns.

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

the regulatory changes.

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

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

During FY 2016, the NIGC conducted approximately 33 training events comprising 

approximately 420.5 training hours, and attended by approximately 1,662 training 

participants.

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

resources by identifying partnerships, improving training offerings, and utilizing 

technology to more effectively reach target audiences. 

• Commission auditors performed six internal control assessments (MICS audit), two

onsite Internal Audit/ NIGC fee reviews, and 474 reviews on audited financial 

statements. The audit findings were included in reports delivered to the audited tribes. 
NIGC - 23

The Commission will offer technical assistance to the tribes in identifying and 

implementing remedial action.

• Commission staff continued to work diligently on the management contract review. 

Two management contracts and five amendments to management contract were 

approved by the Chairman in FY 2016.

• The Commission continued to conduct financial background investigations on 

persons and entities associated with management contractors. The Commission 

received 21 applications for background investigations in FY 2016.

• The Commission processed approximately 226,857 actions including dissemination

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

commissions. 

• The Commission through its Compliance Division analyzed tribal gaming facilities 

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

completed at all tribal gaming facilities. The Compliance Division completed 599 

site visits, 185 surveillance reviews, 314 licensing on site reviews and 94.5 site 

specific training hours. Additionally, the Compliance Division staff trained 367.5 

hours at NIGC and national training events.

• The Commission continued to maintain and update its data systems by tracking each 

of the tribal gaming facilities in order to enhance communication and compliance.

• The Commission completed IT upgrades including: increased bandwidth of T1 line to 

the DS3 connection; improved communication speed with field offices and tribes; and 

continued to upgrade and improve virtualized server environment for network 

availability, redundancy, and easy upgrade of servers, operating systems and line of 

business applications without organizational impact including down-time to the 

organization.

During FY 2017, the Commission will continue its four primary initiatives by 

working on the following goals and tasks. 

• The Commission began consulting with tribes on seven important topics including: 

Rural Outreach, Developing a Strong Tribal Workforce through Training, 

Management Contract Regulations and Procedures, Technical Standards for Mobile 

Gaming Devices, Regulatory Changes to Fees, and Class III MICS guidance, and 25 

C.F.R. Part 547 Grandfathered Class II Gaming Systems.

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

when necessary, to help facilitate compliance throughout all regions.

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

regulatory and/or law enforcement agencies.

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

to be the focused priorities of the agency.
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• The Commission continues to review and update its regulations to maintain the 

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

part of its regulatory review. 

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

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

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

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

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

or sole proprietary interest concerns.

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

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

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

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

networking.

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

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

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

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

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

to update the training catalog as necessary.

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

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

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

resources. 

• Continue to improve operational efficiency through enhanced records management 

that includes the electronic conversion of documents, forms and manuals.

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

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

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

mandates.

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

- performing internal control assessments specific to Class II gaming 

operations.

- performing IT vulnerability assessments as a service for tribal gaming 

operations to protect against IT threats.

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

and gaming related training and technical assistance.

- working with tribes on the Tribal Access Portal (TAP), a database that enables 

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

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

tribe. Along with information provided by the NIGC/FBI fingerprint 
NIGC - 25

submission service, the TAP system assists tribes to complete their own 

comprehensive background investigation of prospective license applicants.

- updating its database with accumulated financial data from the gaming 

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

report filings. The Commission establishes a preliminary and final rate 

utilizing this data.

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

efficiency, effectiveness, and compliance with Federal regulations.

- reviewing management contracts and amendments to management contracts.

- processing fingerprint cards for tribal gaming employees as they are submitted 

by the tribal gaming commissions and tracking payment for fingerprint

processing.

- continuing to respond to technical assistance requests from tribal governments 

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

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

facility.

As part of its program objectives for FY 2018, the Commission plans to:

• Enhance relationships with partner governments and sister agencies.

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

identified in the Strategic Plan.

• Continue rural outreach and protecting against gamesmanship on the backs of tribes 

as the focused priorities of the agency.

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

reliability and manageability. This includes increasing cyber security protocols to 

protect agency data.

• Monitor strategic plan performance measures.

• Continue its regulatory review, which it began during FY 2011, and implement its 

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

any new requirements.

• Continue to review management contracts, tribal ordinance submissions.

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

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

other agreements implicate management or sole proprietary interest concerns.

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

manual, and develop and implement corresponding training programs.

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

media and training resources.
NIGC - 26

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

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

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

as necessary. 

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

and save Commission and tribal financial resources. 

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

agency’s training program is to achieve compliance.

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

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

• Continue to implement the requirements of GPRA, including the development of the 

2018 – 2022 strategic plan, and the development and implementation of a 

performance measurement system.

• Continue to update information systems to ensure compliance with the receipt of 

personal identifiable information.

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

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

with gaming tribes, with an emphasis on voluntary compliance.

• Continue to enhance internal records management. Monitor the training and 

employee development program in order to attract and retain highly-qualified 

personnel. The agency will annually assess the skills of its employees and provide 

necessary training.

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

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

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

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

of the law’s self-regulation provisions.