reglab/statecodes huggingface dataset:
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-2 - Application fees

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 2.
(a) All fees
				shall be submitted to the commission in the form of a certified check or
				cashier's check made payable to the state of Indiana.
(b) An applicant for an owner's license must
				pay a nonrefundable application fee in the amount of fifty thousand dollars
				($50,000) with Part I of the casino owner's license application.
(c) The commission shall use the application
				fee to conduct the background investigation of an applicant. An investigation
				fee may be assessed to the extent that the cost of the background investigation
				relating to the applicant exceeds the application fee set forth in this rule.
				The applicant shall be advised by the executive director in writing that an
				investigation fee is required. The letter shall direct the applicant to remit
				an amount that the executive director has determined is necessary to complete
				the investigation. Once an applicant is directed to submit an investigation fee
				in excess of the fifty thousand dollar ($50,000) fee set forth in this rule,
				the investigative team conducting the investigation on that applicant shall not
				finalize the report on the applicant's suitability for licensure nor submit
				that report to the commission for consideration until the investigation fee is
				paid by the applicant.
(d) In the
				event an assessed investigation fee exceeds the final cost of the
				investigation, the excess investigation fee shall be refunded to the applicant.
				In no event shall a portion of a remitted application fee be
				refunded.
(e) If an applicant is
				allowed to withdraw its application or its application is denied before the
				background investigation is completed, the balance of the nonrefundable
				application fee shall be applied to the overall cost of the investigative
				process.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-3 - Casino owner's license fees

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 3.
(a) All fees
				shall be submitted to the commission in the form of a certified check or
				cashier's check made payable to the state of Indiana.
(b) The casino licensee shall remit the
				initial license fee of twenty-five thousand dollars ($25,000) after complying
				with the conditions set forth in section 5(e) of this rule. The owner's license
				will not be issued until the twenty-five thousand dollar ($25,000) license fee
				has been received by the commission. The initial owner's license is valid for a
				period of five (5) years. After the expiration of the initial owner's license,
				the license may be renewed annually upon compliance with section 9 of this
				rule.
(c) If the commission revokes
				the initial owner's license during the first four (4) years after issuance of
				the license, a pro rata share of the initial license fee may be credited toward
				any penalty assessed against the casino licensee for a violation of IC 4-33, IC
				4-35, or this title that resulted in the revocation of the casino owner's
				license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-4 - Applications

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 4.
(a) An
				applicant for a casino owner's license must complete and submit the appropriate
				forms prescribed by the commission.
(b) Application procedures shall be as
				follows:
(1) An applicant is seeking a
				privilege and assumes and accepts any and all risk of adverse publicity,
				notoriety, embarrassment, criticism, or other action or financial loss that may
				occur in connection with the application process or the public disclosure of
				information requested. The applicant expressly waives any claim for damages
				that may result from the application process.
(2) A misrepresentation or omission made with
				respect to an application may be grounds for denial of the
				application.
(3) An applicant must
				submit a fully-executed original of Parts I and II of the casino owner's
				license application.
(4) An
				applicant must submit a Personal Disclosure Form 1 for a substantial owner, key
				person, or other person that the commission deems necessary to allow the
				commission to ensure that the applicant meets the statutory criteria for
				licensure set forth in IC 4-33, IC 4-35, and this title.
(5) An application is deemed filed when the
				commission has received the completed application forms, including the
				information that the commission has required.
(6) The completed applications must be filed
				as follows:
(A) In the commission's office in
				Indianapolis, Indiana.
(B) Prior to
				the expiration of appropriate deadlines established and published by the
				commission.
(7) An
				applicant is under a continuing duty to disclose any changes in the information
				submitted to the commission.
(8) An
				applicant may make only clerical corrections to the application after the
				deadline date for filing Part II of the casino owner's license application has
				passed. After that date, the applicant must submit a request to the commission
				to make a substantive amendment along with the exact substantive amendment. The
				commission shall then determine whether the proposed substantive amendment will
				be allowed.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-5 - Licensing procedures

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33-6-1; IC 4-35; IC 5-3
Sec. 5.
(a) Except
				to the extent the commission may require different or additional procedures, an
				applicant for a casino owner's license shall be subject to the following
				procedures prior to licensing:
(1)
				Application.
(2) Background
				investigation, including economic development analysis of the applicant by the
				commission.
(3) Public
				hearing.
(4) Action by the
				commission.
(5) Issuance of
				certificate of suitability.
(6)
				Interim compliance period.
(7)
				Issuance of casino owner's license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-6 - Casino owner's license requirements; display of license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 6.
(a) The
				certificate of suitability and permanent casino owner's license shall be on
				forms prescribed by the commission that display the following requirements:
(1) The applicant's name and business
				address.
(2) If applicable, the:
(A) dock at which the riverboat is based;
				and
(B) navigable waterway on which
				the riverboat will operate.
(3) The casino owner's license number or
				certificate of suitability number assigned by the commission.
(4) The signature of the chair and executive
				director of the commission.
(5) The
				date the certificate of suitability or the casino owner's license was issued
				and the date that the certificate or license will expire.
(6) Display any other information the
				commission deems necessary to identify the casino licensee, the dock site, if
				applicable, and any conditions or restrictions that are placed on the casino
				owner's license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-7 - Bond

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC
				  4-33-6-9; IC
				  4-35-5-2.6
Sec. 7.
(a) A casino
				licensee must follow IC
				4-33-6-9(b)
				 or IC
				4-35-5-2.6(b)
				 regarding bonds.
(b) The bond shall meet the following
				requirements:
(1) If the casino licensee
				furnishes a bond in an irrevocable letter of credit, the bond must be issued,
				held, and negotiated under the "Uniform Custom and Practice for Documentary
				Credits", 2007 Revision, International Chamber of Commerce Publication No.
				600.
(2) If the casino licensee
				plans to post a surety bond, negotiable securities, or irrevocable letter of
				credit, the licensee must submit the bond proposal at least thirty (30) days
				prior to the time the bond will be posted to allow the commission sufficient
				time to investigate the surety company, guarantor, or banking
				institution.
(3) The bond must be
				in an amount that the commission determines adequately reflects the amount that
				a local community will expend for infrastructure and any other facilities
				associated with casino gambling. The commission may request input from the
				appropriate local community regarding the amount the local community will
				expend.
(4) The bond shall state
				that it:
(A) may be exercised by the
				commission if the casino licensee fails to comply with its obligation under IC
				4-33, IC 4-35, or this title; and
(B) shall run continuously and remain in full
				force and effect during the period for which the casino owner's license was
				awarded under IC
				4-33-6-9 or IC
				4-35-5-2.6.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-8 - Insurance

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 8.
(a) A casino
				licensee must obtain and maintain insurance in a minimum amount determined by
				the commission. The casino licensee shall obtain and maintain the following
				types of insurance:
(1) Liability.
(2) Casualty.
(3) Capital loss.
(4) Fire.
(5) Theft.
(6) Worker's compensation
				insurance.
(7) Any other type of
				insurance the commission deems necessary to ensure the casino licensee is
				adequately insured to conduct a casino gambling operation.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-9 - Renewal of license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC
				  4-33-6-12;
				  IC
				  4-35-5-4
Sec. 9.
(a) A casino
				owner's license shall be renewed in accordance with IC
				4-33-6-12
				or IC
				4-35-5-4,
				as applicable to the casino licensee.
(b) The casino licensee shall submit its
				renewal fee with a statement indicating its intent to continue the casino
				gambling operation at least thirty (30) days before the expiration of the
				license.
(c) The commission may
				refuse to renew a casino owner's license if the casino licensee no longer meets
				the requirements set forth in this rule and IC 4-33 or IC 4-35.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-10 - Duty to maintain suitability; duty to disclose; transfer of ownership interest

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 10.
(a) Casino
				licensees have a continuing duty to maintain suitability for licensure. A
				casino owner's license does not create a property right, but is a revocable
				privilege granted by the state contingent upon continuing suitability for
				licensure.
(b) Casino licensees
				shall notify the commission of a material change in the information submitted
				in the application, or a matter that renders the licensee ineligible to hold a
				casino owner's license.
(c) An
				ownership interest in the casino owner's license shall not be transferred
				unless the transfer complies with 68 IAC 5.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-11 - Restriction, revocation, or suspension

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 11.
(a) The
				commission may revoke, restrict, or suspend a casino owner's license at any
				time that the commission determines:
(1) the
				casino licensee is in violation of IC 4-33, IC 4-35, or this title;
				or
(2) revocation of the casino
				owner's license is in the best interest of Indiana and will protect and enhance
				the credibility and integrity of casino gambling operations.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 1 - Casino Owner's License › Section 1-12 - Request for hearing on notice of denial or nonrenewal

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 12.
(a) Unless
				specifically stated to the contrary, a notice of denial of a casino owner's
				license application shall not constitute a finding that the applicant is not
				suitable for licensure.
(b) An
				applicant who is served with a notice of denial or a casino licensee who is
				served with a notice of nonrenewal under this rule may request a hearing under
				68 IAC 7.
(c) If the applicant or
				casino licensee does not request a hearing, the notice of denial or nonrenewal
				becomes the final order of the commission.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-1 - Supplier's license required

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33-6; IC 4-33-6.5; IC 4-35-5
Sec. 1.
(a) The
				following definitions apply throughout this rule:
(1) "Applicant" means an applicant for a
				supplier's license.
(2) "Casino
				license applicant" means a person who has submitted an application for one (1)
				of the following:
(A) A riverboat license
				under IC 4-33-6.
(B) An operating
				agent contract under IC 4-33-6.5.
(C) A gambling game license under IC
				4-35-5.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-2 - Application fees

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 2.
(a) All fees
				shall be submitted to the commission in the form of a certified check or
				cashier's check made payable to the state of Indiana.
(b) An applicant for a supplier's license
				must pay a nonrefundable application fee in the amount of five thousand dollars
				($5,000). The application fee must be submitted with the supplier's license
				application.
(c) The application
				fee shall be utilized to conduct the background investigation of an applicant.
				If the cost of the background investigation relating to the applicant exceeds
				the application fee set forth in this rule, the executive director shall inform
				the applicant that it must pay an additional fee. Once an applicant is directed
				to submit an application fee in excess of the five thousand dollar ($5,000) fee
				set forth in this rule, the investigative team conducting the investigation on
				that applicant shall not finalize the report on the applicant's suitability for
				licensure nor submit that report to the commission for consideration until the
				applicant has paid the additional fee.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-3 - Supplier's license fees

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC
				  4-33-7-1;
				  IC 4-35
Sec. 3.
(a) All fees
				shall be submitted to the commission in the form of a certified check or
				cashier's check made payable to the state of Indiana.
(b) The supplier licensee shall remit the
				supplier's license fee described in IC
				4-33-7-1(a)
				 upon notification by the commission of
				suitability for licensure.
(c) The
				supplier's license:
(1) is valid for a period
				of one (1) year; and
(2) may be
				renewed annually upon compliance with section 8 of this
				rule.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-4 - Applications

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 4.
(a) An
				applicant must complete and submit the information and written documents that
				the commission requires on its application forms.
(b) Application procedures shall be as
				follows:
(1) An applicant must submit one (1)
				bound and one (1) electronic copy of the supplier's license application and
				requested attachments.
(2)
				Submission of all necessary occupational license forms as required by section
				6.1 of this rule.
(3) An
				application shall be deemed filed when the completed application forms,
				including all required documents, all personal disclosure forms, materials,
				photographs, and application fee have been submitted. The commission will not
				begin its background investigation until the application is filed.
(4) The applicant must file its completed
				supplier's license and occupational license applications in the commission's
				office in Indianapolis, Indiana.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-5 - Licensing process

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 5.
An application for a supplier's license shall be subject to
				  the following process:
(1) Applicant
				must submit a complete application, including an application fee and all
				required attachments.
(2) The
				commission shall begin investigating the applicant.
(3) The commission may issue a temporary
				supplier's license in accordance with section 5.1 of this rule.
(4) Upon completing its investigation of the
				applicant, the commission shall vote to grant or deny the
				application.
(5) If the commission
				grants the application, it shall issue a permanent supplier's
				license.
(6) The commission may
				require different or additional licensing procedures to ensure compliance with
				IC 4-33, IC 4-35, and this title.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-5.1 - Temporary license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC
				  4-33-7-3;
				  IC 4-35
Sec. 5.1.
(a) After
				the commission receives a completed application, an application fee, and an
				agreement or statement of intent indicating that a casino licensee or casino
				license applicant will utilize the applicant for the provision of goods and
				services listed in section 1 of this rule, the commission shall obtain the
				applicant's fingerprints at a time and place directed by the executive
				director.
(b) If the application or
				a criminal history check completed by an enforcement agent, or both, does not
				reveal that the applicant:
(1) has been
				convicted of a felony under Indiana law, the laws of any other state, or the
				laws of the United States; or
(2)
				fails to meet the statutory criteria set forth in IC
				4-33-7-3;
				the commission may issue the applicant a temporary license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-5.2 - Insurance

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 5.2.
A supplier licensee must obtain or maintain, or both,
				  insurance in a minimum amount determined by the commission. The supplier
				  licensee shall obtain or maintain, or both, the following types of
				  insurance:
(1) Liability.
(2) Casualty.
(3) Capital loss.
(4) Fire.
(5) Theft.
(6) Worker's compensation
				insurance.
(7) Any other type of
				insurance the commission deems necessary to ensure the supplier licensee is
				adequately insured. After the commission issues a temporary supplier's license
				to the applicant, the commission shall direct the executive director to advise
				the applicant, in writing, of the amount of insurance that the applicant must
				obtain or maintain, or both. The supplier licensee is under a continuing duty
				to maintain the prescribed amount of insurance. Failure to comply with this
				section may result in the revocation of a temporary supplier's license or the
				denial of the issuance of a permanent supplier's license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-5.3 - Issuance of a permanent license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33-7-3; IC 4-33-8; IC 4-35
Sec. 5.3.
(a) The
				applicant shall meet the following standards, qualifications, or criteria to be
				issued a permanent supplier's license:
(1) The
				applicant must qualify to receive a supplier's license under IC
				4-33-7-3.
(2) The applicant's key
				persons and substantial owners must qualify to receive Level 1 occupational
				licenses under IC 4-33-8 and 68 IAC 2-3.
(3) The applicant, in the case of an
				individual, or the applicant's substantial owners must be twenty-one (21) years
				of age.
(4) The applicant must
				demonstrate a level of:
(A) skill;
(B) experience;
(C) knowledge; and
(D) ability; necessary to supply the goods or
				services that the applicant seeks to provide.
(5) The applicant must not have been
				convicted of any offense for a violation of a gaming law in any
				jurisdiction.
(6) The applicant
				must not appear on the exclusion list of any jurisdiction for having violated a
				rule of gaming.
(7) An applicant
				who will supply a casino with alcoholic beverages or other goods or services
				requiring an additional permit or certificate from any state government or the
				federal government must hold the appropriate permit or certificate from the
				appropriate governmental entity.
(8) The applicant or the applicant's
				substantial owners must be in substantial compliance with all state and federal
				tax laws.
(9) An applicant must
				meet any other standard that the commission deems necessary to ensure
				compliance with IC 4-33, IC 4-35, and this title.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-6 - Supplier's license requirements

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 6.
(a) The
				temporary and permanent supplier's licenses shall be on forms prescribed by the
				commission and shall display the following:
(1) The applicant's name and business
				address.
(2) The supplier's license
				number assigned by the commission.
(3) The signature of the executive director
				of the commission.
(4) The date the
				supplier's license was issued.
(5)
				The date that the license will expire.
(6) Any other information the commission
				deems necessary to identify the supplier licensee, and any conditions or
				restrictions that are placed on the supplier license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-6.1 - Occupational licensing

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 6.1.
(a) All
				key persons and substantial owners of supplier licensees and supplier license
				applicants must obtain a Level 1 occupational license.
(b) An employee, independent contractor,
				agent, or subagent of a supplier licensee shall obtain a Level 2 occupational
				license under 68 IAC 2-3 if the executive director or the executive director's
				designee determines it is necessary. In making that determination, the
				executive director or the executive director's designee shall consider the:
(1) frequency and duration of the
				individual's work in a casino or access to devices or systems that relate to
				the conduct or integrity of gaming; and
(2) tasks that the individual will perform as
				part of the individual's job duties in a casino or while accessing devices or
				systems that relate to the conduct or integrity of gaming.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-7 - Reapplication for denied license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 7.
A person whose application for a supplier's license has been
				  denied may not reapply for a supplier's license for a period of one (1) year
				  from the date on which the commission voted to deny his or her application,
				  unless the commission grants leave. The commission may grant leave for
				  reapplication if the applicant can demonstrate that the reason the original
				  application was denied no longer exists or bars suitability for licensure.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-8 - Renewal

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC
				  4-33-7-8;
				  IC 4-35
Sec. 8.
(a) A
				supplier licensee must renew its license annually. If a supplier licensee fails
				to request renewal of the license before the expiration of one (1) year from
				issuance, then the license expires.
(b) A supplier licensee must:
(1) request renewal of the license on a form
				prescribed by the commission; and
(2) complete the form and provide the
				commission with any information or documents that the commission deems
				necessary. The form requesting renewal of the supplier's license must be
				submitted with the annual renewal fee under IC
				4-33-7-8.
				The commission may perform a background investigation on any supplier licensee
				seeking renewal of the license. The cost of any investigation shall be charged
				to the supplier licensee.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-9 - Duty to maintain suitability; duty to disclose; transfer of supplier's license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33-7; IC 4-35-6
Sec. 9.
(a) All
				supplier licensees have a continuing duty to maintain suitability for
				licensure. A supplier's license does not create a property right, but is a
				revocable privilege granted by the state contingent upon continuing suitability
				for licensure.
(b) Casino licensees
				shall notify the commission that a supplier licensee is in violation of the
				requirements of IC 4-33, IC 4-35, or this rule if the casino licensee is aware
				of a violation.
(c) A supplier
				licensee must notify the commission of any changes in the information submitted
				in the application or any condition that renders the supplier licensee
				ineligible to hold a supplier's license.
(d) A supplier licensee must notify the
				executive director or the executive director's designee within ten (10) days of
				any change, to the extent known, in its relationship with or the employment
				status of its employees, independent contractors, agents, or subagents who are
				subject to occupational licensing under section 6.1 of this rule.
(e) The commission shall not transfer a
				supplier's license unless the transfer complies with 68 IAC 5.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-9.5 - Records

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 9.5.
(a) This
				rule applies to all supplier licensees and applicants.
(b) All supplier licensees and applicants
				shall maintain, in a place secure from theft, loss, or destruction, adequate
				records of business operations. These records shall be held for at least five
				(5) years and shall include, but not be limited to, the following:
(1) All correspondence with or reports to the
				commission or to any local, state, or federal government agency.
(2) All financial statements or financial
				records of the supplier licensee or applicant.
(3) All records pertaining to products or
				services supplied by the supplier licensee or applicant to casino licensees or
				casino license applicants.
(4) All
				correspondence with casinos licensed under IC 4-33 or IC 4-35.
(5) Documentation relating to order,
				shipment, or receipt or provision of merchandise or services sold or provided
				under IC 4-33, IC 4-35, or this title.
(6) Personnel files on each employee of the
				supplier licensee or applicant, including sales representatives.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-10 - Disciplinary action

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 10.
The commission may take any action against a supplier
				  licensee at any time, including, but not limited to:
(1) revocation;
(2) restriction; or
(3) suspension; of a supplier's license at
				any time that the commission determines the supplier licensee is in violation
				of IC 4-33, IC 4-35, or this rule.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 2 - Supplier's License › Section 2-11 - Request for hearing on notice of denial or nonrenewal of supplier's license

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 11.
(a) An
				applicant or supplier licensee who is served with a notice of denial or
				nonrenewal under this rule may request a hearing under 68 IAC 7.
(b) If the applicant does not request a
				hearing, the notice of denial or nonrenewal becomes the final order of the
				commission denying the application for a supplier's license or not renewing the
				supplier's license.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-1 - Occupational license required

Current through July 10, 2024
Authority: IC 4-33-4-1; IC 4-33-4-2
Affected: IC 4-33-8-1
Sec. 1.
(a) The
				following definitions apply throughout this rule:
(1) "Applicant" means an applicant for an
				occupational license.
(2)
				"Riverboat license applicant" means an applicant for a riverboat owner's
				license that has been issued a certificate of suitability under
				68 IAC
				2-1-5.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-1.1 - Surveillance department requirements

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3;
				  IC
				  4-33-8-4
Affected: IC 4-33-6
Sec. 1.1.
(a)
				Members of the surveillance department shall report to the surveillance
				manager. The surveillance manager must report to a corporate office.
(b) The surveillance manager shall not be
				responsible for overseeing any other department.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-1.5 - Management of riverboat gambling operations

Current through July 10, 2024
Authority: IC 4-33-4-1; IC 4-33-4-2; IC 4-33-4-3; IC 4-33-8-4
Affected: IC 4-33-6
Sec. 1.5.
(a) An
				individual applying for an occupational license, Level 1, to manage a riverboat
				gambling operation is subject to background inquiries and requirements similar
				to those required for an applicant for a riverboat owner's license under IC
				4-33-6 and 68 IAC 2-1.
(b) Each
				individual applying for an occupational license, Level 1, to manage a riverboat
				gambling operation may manage gambling operations for only one (1) riverboat
				licensee.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-2 - Application fees

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC
				  4-33-8-2
Sec. 2.
(a) The
				riverboat licensee or a riverboat license applicant must pay a nonrefundable
				application fee for its potential riverboat employees in the following amounts:
(1) Occupational license, Level 1, one
				thousand dollars ($1,000).
(2)
				Occupational license, Level 2, two hundred dollars ($200).
(3) Occupational license, Level 3,
				seventy-five dollars ($75).
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-3 - Occupational license fees

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC
				  4-33-4-2
Sec. 3.
(a) The
				following annual occupational license fees must be submitted by the riverboat
				licensee for whom the occupational licensee shall be employed prior to the
				issuance of the permanent occupational license:
(1) Occupational license, Level 1, one
				hundred dollars ($100).
(2)
				Occupational license, Level 2, fifty dollars ($50).
(3) Occupational license, Level 3,
				twenty-five dollars ($25).
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-4 - Applications

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2
Affected: IC
				  4-33-8-5
Sec. 4.
(a) An
				applicant for an occupational license must complete and submit the appropriate
				form prescribed by the commission. The applicant must complete and submit the
				requisite number of copies set forth in subsections (d) through (f).
(b) Application procedures shall be as
				follows:
(1) An applicant is seeking a
				privilege and assumes and accepts any and all risk of adverse publicity,
				notoriety, embarrassment, criticism, or other action or financial loss that may
				occur in connection with the application process or the public disclosure of
				information requested. The applicant expressly waives any claim for damages
				that may result from the application process.
(2) Any misrepresentation or omission made
				with respect to an application may be grounds for denial of the
				application.
(3) An applicant for
				an occupational license, Level 1 must submit three (3) bound and two (2)
				unbound copies of the Personal Disclosure Form 1 and requested materials to the
				commission office in Indianapolis, Indiana.
(4) An applicant for an occupational license,
				Level 2 or 3 must submit the original application and all requested materials
				to the commission agent at the commission office located at the appropriate
				riverboat's dock site.
(5) An
				applicant for any level of occupational license must submit a photograph taken
				within three (3) months of its submission and must be fingerprinted at a time
				and place designated by the executive director.
(6) An application shall be deemed filed when
				the completed application form, including all required documents, materials,
				photograph, and the application fee have been submitted. To constitute a
				completed application, the riverboat licensee or the riverboat license
				applicant that will hire the applicant must stamp the front page of an
				application with the riverboat licensee's or riverboat license applicant's logo
				and the riverboat licensee, riverboat license applicant, or its authorized
				agent must sign the front page of the application. The front page of an
				occupational license must not be stamped and signed by a riverboat licensee or
				riverboat license applicant unless the riverboat licensee or riverboat license
				applicant has offered the applicant for an occupational license employment
				aboard the riverboat. A background investigation will not be initiated by the
				commission until a completed application is received by the
				commission.
(7) An applicant is
				under a continuing duty to disclose any changes in the information submitted to
				the commission.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-5 - Licensing procedures

Current through July 10, 2024
Authority: IC 4-33-4-1; IC 4-33-4-2
Affected: IC 4-33-8-3
Sec. 5.
(a) An
				applicant for an occupational license shall be subject to the following
				procedures before licensing:
(1)
				Application.
(2) Issuance of a
				temporary identification badge. The temporary identification badge shall serve
				as the temporary occupational license until the permanent occupational license
				has been issued or denied.
(3)
				Investigation of the applicant.
(4)
				If an applicant for an occupational license, Level 1, 2, or 3 has been
				convicted of a felony under Indiana law, the laws of any other state, or the
				laws of the United States, the application is automatically denied in
				accordance with IC 4-33-8-3(2). The:
(A)
				executive director shall issue the applicant a notice of denial by certified
				mail; or
(B) enforcement agent who
				receives the completed application may personally deliver a notice of denial to
				the applicant.
(5) Action
				by the commission.
(6) Issuance of
				a permanent identification badge. The permanent identification badge shall
				serve as the permanent occupational license.
(7) Different or additional licensing
				procedures the commission requires of the applicant to ensure the applicant is
				in compliance with the Act and this title.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-6 - Identification badge

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC 4-33-8
Sec. 6.
The identification badge shall be a card of the appropriate
				  color that meets the following requirements:
(1) The front side of the identification
				badge shall:
(A) be a card bearing the name
				and logo of the riverboat gambling operation;
(B) display the applicant's
				photograph;
(C) display the
				applicant's first name and job title;
(D) display the occupational license number
				assigned by the commission;
(E)
				display the level of the occupational license; and
(F) display the date the identification badge
				and occupational license were issued and the date that the identification badge
				and occupational license will expire.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-7 - Reapplication for denied license

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC
				  4-33-8-3
Sec. 7.
(a) A person
				whose application for an occupational license has been denied may not reapply
				for an occupational license of the same or higher level for a period of one (1)
				year from the date on which the commission voted to deny the application
				without leave of the commission.
(b) A person whose application for an
				occupational license was denied may seek leave of the commission to reapply
				within the one (1) year period by addressing the request to the commission
				through the executive director. The commission may require the applicant to
				present oral or written argument to the commission outlining why an exception
				should be made.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-8 - Annual renewal

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC
				  4-33-8-2
Sec. 8.
(a) An
				occupational license must be renewed annually.
(b) An occupational licensee must request
				renewal of the license on a form prescribed by the commission no less than
				thirty (30) days before the expiration of the occupational license. The
				occupational licensee must complete the form and provide the commission with
				any information or documents which the commission deems necessary. The form
				requesting renewal of an occupational license must be submitted with the annual
				fee under section 3 of this rule. The commission may perform a background
				investigation on any occupational licensee seeking renewal of the license. The
				commission may require that all or part of the investigation cost be charged to
				the occupational licensee.
(c) The
				commission may refuse to renew an occupational license if the occupational
				licensee no longer meets the requirements set forth in this rule and IC 4-33-8.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9 - Duty to maintain suitability; duty to disclose

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2
Affected: IC 4-33
Sec. 9.
(a) All
				occupational licensees have a continuing duty to maintain suitability for
				licensure. An occupational license does not create a property right, but is a
				revocable privilege granted by the state contingent upon continuing suitability
				for licensure.
(b) Riverboat
				licensees shall notify the commission that an occupational licensee is in
				violation of the requirements of this rule or IC 4-33 if the riverboat licensee
				is aware of the violation.
(c)
				Occupational licensees shall do the following:
(1) Notify the commission of any changes in
				the information submitted in the application or any information that could
				render the licensee ineligible to hold an occupational license.
(2) Cooperate with and provide truthful
				information to enforcement agents and staff during any investigation regarding
				criminal activity or regulatory violations, or both.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9.1 - Duty to update information

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC 4-33
Sec. 9.1.
(a) All
				occupational licensees must submit, in writing, to the enforcement agent the
				following information:
(1) Name
				changes.
(2) Change of home
				address.
(3) Change of home
				telephone number.
(4) The filing of
				a bankruptcy by the occupational licensee.
(5) That the occupational licensee has been
				arrested for, indicted of, charged with, convicted of, or plead guilty to any
				felony or misdemeanor offense.
(6)
				Any other information that would affect the occupational licensee's suitability
				to maintain a license under the Act or this rule.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9.2 - Riverboat licensee's duty to update commission

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC 4-33
Sec. 9.2.
(a) This
				rule applies to all riverboat licensees.
(b) Riverboat licensees must advise the
				enforcement agent, on a form prescribed or approved by the commission, when one
				(1) of the following events occurs with an occupational licensee:
(1) The occupational licensee's employment
				with the riverboat licensee is terminated for any reason.
(2) The occupational licensee:
(A) is suspended by the riverboat
				licensee;
(B) is on a leave of
				absence; or
(C) transfers to
				another position with the riverboat licensee.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9.3 - Prohibited activities

Current through July 10, 2024
Authority: IC
				  4-33-4-1;
				  IC
				  4-33-4-2; IC
				  4-33-4-3
Affected: IC 4-33
Sec. 9.3.
No occupational licensee may:
(1) loan money to a patron;
(2) purchase an item from a patron;
(3) pawn an item for a patron;
(4) cash a check for a patron; or
(5) assist the patron; in any manner not
				authorized by this title, in obtaining chips, cash, or cash equivalents with
				which the patron may place a wager.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9.4 - Restrictions on gaming by persons associated with a casino licensee

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 9.4.
(a) For
				purposes of subsection (b), a person has an ownership interest if the person
				holds an ownership interest of:
(1) one
				percent (1%) or more of a casino licensee that is publicly traded as defined in
				68 IAC
				5-1-1(b)(2); or
(2) any percentage in a casino licensee that
				is not publicly traded. (b) No:
(1) key
				person of;
(2) person holding an
				ownership interest in;
(3) employee
				of; or
(4) occupational licensee
				associated with; a casino licensee may participate in a game conducted by the
				casino licensee that is the subject of the person's association; purchase or
				redeem chips for any other person at a casino that is the subject of the
				person's association; or give another individual chips, cash, or cash
				equivalents to have the other individual place a wager on his or her
				behalf.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9.5 - Restrictions on gaming by persons associated with a supplier licensee

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 9.5.
No occupational licensee employed by or associated with a
				  supplier licensee may play any game at any casino.
Indiana Administrative Code › Title 68 - INDIANA GAMING COMMISSION › Article 2 - LICENSES AND APPROVAL OF ASSOCIATED EQUIPMENT › Rule 3 - Occupational Licenses › Section 3-9.6 - Restrictions on promotional events for immediate family of occupational licensees

Current through July 10, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35
Sec. 9.6.
(a) For
				purposes of this section, "promotion-related" means that a person is employed
				in one (1) of the following departments:
(1)
				Information technology.
(2)
				Marketing.
(3) Promotions
				administration.
(4)
				Surveillance.
(5) Any other
				department that the commission determines may affect the outcome of a
				promotional event.