**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 §             | # Yes  | # No   |
| 537.1(a)(4), does the application include:         |        |        |
+----------------------------------------------------+--------+--------+
| 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).          |        |        |
+----------------------------------------------------+--------+--------+
| 2.  For each entity identified in Number1 above:   |        |        |
|                                                    |        |        |
|     a.  Copies of documentation establishing the   |        |        |
|         existence of the entity, such as the       |        |        |
|         partnership agreement, the trust           |        |        |
|         agreement, or the articles of              |        |        |
|         incorporation.                             |        |        |
+----------------------------------------------------+--------+--------+
| b.  Copies of documents designating the person who |        |        |
|     is charged with acting on behalf of the        |        |        |
|     entity.                                        |        |        |
+----------------------------------------------------+--------+--------+
| c.  Copies of bylaws or other documents that       |        |        |
|     provide the day-to-day operating rules for the |        |        |
|     entity.                                        |        |        |
+----------------------------------------------------+--------+--------+
| d.  If applicable, a description of any previous   |        |        |
|     business relationships with Indian tribes,     |        |        |
|     including ownership interest in those          |        |        |
|     businesses.                                    |        |        |
+----------------------------------------------------+--------+--------+
| e.  If applicable, a description of any previous   |        |        |
|     business relationships with the gaming         |        |        |
|     industry generally, including ownership        |        |        |
|     interest in those businesses.                  |        |        |
+----------------------------------------------------+--------+--------+
| f.  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.                            |        |        |
+----------------------------------------------------+--------+--------+
| g.  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. |        |        |
+----------------------------------------------------+--------+--------+
| h.  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.     |        |        |
+----------------------------------------------------+--------+--------+
| i.  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.                                   |        |        |
+----------------------------------------------------+--------+--------+
| j.  Complete financial statements for the previous |        |        |
|     3 years.                                       |        |        |
+----------------------------------------------------+--------+--------+
| k.  A signed Notice Regarding False Statements for |        |        |
|     each entity.                                   |        |        |
+----------------------------------------------------+--------+--------+

Rev. 1/11/99