CHECKLIST FOR NEW MANAGEMENT CONTRACTS

**TRIBE:**

**MANAGEMENT CONTRACTOR:**

**CLASS(ES) OF GAMING:**

**DATE RECEVIED:**

**DATE OF REVIEW:**

+-----------------------------------------------------------+----+-----+
| Content requirements for new gaming management contracts. | *  | **N |
|                                                           | *Y | O** |
|                                                           | ES |     |
|                                                           | ** |     |
+-----------------------------------------------------------+----+-----+
| 1.  Does the contract contain the original signatures of  |    |     |
|     an authorized tribal official and management          |    |     |
|     contractor (25 C.F.R. § 533.3(a)(1))?                 |    |     |
|                                                           |    |     |
| Page:                                                     |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 1.  Does the contact contain a representation that the    |    |     |
|     contract is the entirety of the agreement (25 C.F.R.  |    |     |
|     § 533.3(a)(2))?                                       |    |     |
|                                                           |    |     |
| > Page and §:                                             |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 2.  Does the contract provide that all gaming covered by  |    |     |
|     the contract will be conducted in accordance with     |    |     |
|     IGRA and governing tribal ordinances (25 C.F.R. §     |    |     |
|     531.1(a))?                                            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 3.  Does the contract enumerate the responsibilities of   |    |     |
|     each of the parties concerning (25 C.F.R. 531.1(b)):  |    |     |
|                                                           |    |     |
| Maintenance and improvement of the gaming facility (25    |    |     |
| C.F.R. § 531.1(b)(1))?                                    |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| The provision of operating capital (25 C.F.R. §           |    |     |
| 531.1(b)(2))?                                             |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Establishment of operating days and hours (25 C.F.R. §    |    |     |
| 531.1(b)(3))?                                             |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Hiring, firing, training and promoting employees (25      |    |     |
| C.F.R. § 531.1(b)(4))?                                    |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Maintenance of the operation's books and records (25      |    |     |
| C.F.R. § 531.1(b)(5))?                                    |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Preparation of the operation's financial statements and   |    |     |
| reports (25 C.F.R. § 531.1(b)(6))?                        |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Payment for the services of the independent auditor       |    |     |
| engaged pursuant to 25 C.F.R. § 571.12 (25 C.F.R. §       |    |     |
| 531.1(b)(7))?                                             |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Hiring and supervision of the security personnel (25      |    |     |
| C.F.R. § 531.1(b)(8))?                                    |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| The provision of fire protection services (25 C.F.R. §    |    |     |
| 531.1(b)(9))?                                             |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Setting the advertising budget and placing advertising    |    |     |
| (25 C.F.R. § 531.1(b)(10))?                               |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Paying bills and expenses (25 C.F.R. § 531.1(b)(11))?     |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Establishing and administering employment practices (25   |    |     |
| C.F.R. § 531.1(b)(12))?                                   |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Obtaining and maintaining insurance coverage, including   |    |     |
| coverage of public liability and property loss or damage  |    |     |
| (25 C.F.R. § 531.1(b)(13))?                               |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Complying with all applicable provisions of the Internal  |    |     |
| Revenue Code (25 C.F.R. § 531.1(b)(14)?                   |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Paying the costs of any increased public safety services  |    |     |
| (25 C.F.R. § 531.1(b)(15)?                                |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| If applicable, supplying the necessary information        |    |     |
| regarding compliance with NEPA (25 C.F.R. § 531.1(b)(16)? |    |     |
|                                                           |    |     |
| The Tribe or Contractor will need to contact the NIGC     |    |     |
| NEPA Compliance Officer.                                  |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 4.  Does the contract provide for the establishment and   |    |     |
|     maintenance of satisfactory accounting systems and    |    |     |
|     procedures that at a minimum (25 C.F.R. § 531.1(c))?  |    |     |
|                                                           |    |     |
| Include an adequate system of internal accounting         |    |     |
| controls (25 C.F.R. § 531.1(c)(1))?                       |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Permit the preparation of financial statements in         |    |     |
| accordance with GAAP (25 C.F.R. § 531.1(c)(2))?           |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Are susceptible to audit (25 C.F.R. § 531.1(c)(3))?       |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Allow the gaming operation, the tribe and the Commission  |    |     |
| to calculate annual fees under 25 C.F.R. § 514.1 (25      |    |     |
| C.F.R. § 531.1(c)(4))?                                    |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Permit the calculation and payment of manager's fees (25  |    |     |
| C.F.R. § 531.1(c)(5))?                                    |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| Provide for the allocation of operating expenses or       |    |     |
| overhead expenses among the tribe, tribal gaming          |    |     |
| operation, the contractor, and any other user of shared   |    |     |
| facilities and services (25 C.F.R. § 531.1(c)(c))?        |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 5.  Does the contract require the contractor to provide   |    |     |
|     the tribal gaming body, not less frequently than      |    |     |
|     monthly, financial reports or all of the information  |    |     |
|     necessary to prepare such reports (25 C.F.R. §        |    |     |
|     531.1(d))?                                            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 6.  Does the contract require the contractor to provide   |    |     |
|     immediate access to the gaming operation, including   |    |     |
|     the books and records, by the appropriate tribal      |    |     |
|     officials who have the right to verify daily gross    |    |     |
|     revenues and income from the operation and who have   |    |     |
|     access to any other gaming related information the    |    |     |
|     tribe deems appropriate (25 C.F.R. § 531.1(e))?       |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 7.  Does the contract provide for a minimum guaranteed    |    |     |
|     monthly payment to the tribe in a sum certain that    |    |     |
|     has preference over the retirement of development and |    |     |
|     construction costs (25 C.F.R. § 531.1(f))?            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 8.  Does the contract provide for an agreed upon maximum  |    |     |
|     dollar amount for the recoupment of development and   |    |     |
|     construction costs (25 C.F.R. § 531.1(g))?            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 9.  A. Is the contract for a term limit of 5 years or     |    |     |
|     less (25 C.F.R. § 531.1(h))?                          |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| > B. Is the contract term limit greater than 5 years but  |    |     |
| > less than 7 years?                                      |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 10. Does the contract detail the method of compensation   |    |     |
|     and reimbursement to the management contractor (25    |    |     |
|     C.F.R. § 531.1(i))?                                   |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 11. Does the contract provide for a percentage fee, and   |    |     |
|     if so, what is the percentage fee (25 C.F.R. §        |    |     |
|     531.1(i))?                                            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 12. Does the contract provide grounds and mechanisms for  |    |     |
|     modifying and terminating the contract (25 C.F.R. §   |    |     |
|     531.1(j))?                                            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 13. Does the contract contain dispute resolution          |    |     |
|     mechanisms for disputes between (25 C.F.R. §          |    |     |
|     531.1(k)(1-3):                                        |    |     |
|                                                           |    |     |
| ```{=html}                                                |    |     |
| <!-- -->                                                  |    |     |
| ```                                                       |    |     |
| A.  The management contractor and the customers;          |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| A.  The management contractor and the tribe; and          |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| > Comment:                                                |    |     |
+-----------------------------------------------------------+----+-----+
| B.  The management contractor and the gaming operation    |    |     |
|     employees?                                            |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 14. Does the contract indicate whether and to what extent |    |     |
|     contract assignments and subcontracting are           |    |     |
|     permissible (25 C.F.R. § 531.1(l))?                   |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 15. Does the contract indicate whether and to what extent |    |     |
|     changes in the ownership interest in the contract     |    |     |
|     require the advance approval of the tribe (25 C.F.R.  |    |     |
|     § 531.1(m))?                                          |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 16. Does the contract state that the effective date of    |    |     |
|     the contract is conditional upon the approval by the  |    |     |
|     NIGC Chairman (25 C.F.R. § 531.1(n))?                 |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+
| 17. Does the contract provide for the transfer or         |    |     |
|     conveyance of any interest in land or other real      |    |     |
|     property (25 C.F.R. § 531.2)? If so, there must be a  |    |     |
|     specific statutory authority for such transfer and    |    |     |
|     conveyance so stated in the contract, otherwise such  |    |     |
|     provisions are prohibited.)                           |    |     |
|                                                           |    |     |
| Page and §:                                               |    |     |
|                                                           |    |     |
| Comment:                                                  |    |     |
+-----------------------------------------------------------+----+-----+

Rev. 8/15/96