CHECKLIST FOR MANAGEMENT CONTRACTS

ENTITY BACKGROUND INVESTIGATION

Tribe:

Management Contractor:

Class(es) of Gaming:

Reviewer:

Date Received:Date of Review:

For each entity identified in 25 CFR § 537.1(a)(4), does the application include: /

Yes

/

No

  1. A list of the ten (10) largest beneficiaries and trustees when the entity is a trust; or
A list of the ten (10) largest partners when the entity is a partnership; or
Each person who is a director or who is one of the ten (10) largest holders if the issues and outstanding stock alone or in combination with another stockholder who is a spouse, parent, child, sibling when the entity is a corporation (25 CFR § 537.1(c)(1).
  1. The information required in 25 CFR 537.1(b)(1)(i) for each individual listed in Number 1 above (25 CFR § 537.1(c)(2).

  1. For each entity identified in Number1 above:
  1. Copies of documentation establishing the existence of the entity, such as the partnership agreement, the trust agreement, or the articles of incorporation.

  1. Copies of documents designating the person who is charged with acting on behalf of the entity.

  1. Copies of bylaws or other documents that provide the day-to-day operating rules for the entity.

  1. If applicable, a description of any previous business relationships with Indian tribes, including ownership interest in those businesses.

  1. If applicable, a description of any previous business relationships with the gaming industry generally, including ownership interest in those businesses.

  1. If applicable, the name and address of any licensing or regulatory agency with which the person has filed for a license or permit relating to gaming.

  1. If applicable, for each gaming offense and for each felony for which there is an ongoing prosecution or a conviction, the name and address of the court involved, the charge, and the date of the charge and of the disposition.

  1. If applicable, for each misdemeanor conviction or ongoing misdemeanor prosecution within 10 years of the date of the application, the name and address of the court involved, the dates of the prosecution and of the disposition.

  1. If applicable, for each criminal charge regardless of whether or not it resulted in a conviction, if such charge is within 10 years of the date of the application, the name and address of the court involved, the charges and the dates of the charges and of the disposition.

  1. Complete financial statements for the previous 3 years.

  1. A signed Notice Regarding False Statements for each entity.

Rev. 1/11/99