reglab/statecodes huggingface dataset:
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 4 - Ethics › Section 4-9 - Consequences of violation

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 9.
Violation of this rule may constitute cause for removal of a
				  member from the commission or result in disciplinary action, including
				  termination, for an employee. Violation of this rule does not create a private
				  cause of action in favor of any person.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 5 - Internal Audit › Section 5-1 - Definitions

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 1.
(a) The
				definitions in this section apply to this rule.
(b) "Audit programs" means detailed lists of
				audit procedures or questionnaires to be completed or considered in the
				performance of an audit, inquiry, or examination.
(c) "GAAP" means generally accepted
				accounting principles.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 5 - Internal Audit › Section 5-4 - Standards of performance

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 4.
Audits shall be conducted in compliance with GAAP and
				  generally accepted auditing standards, where appropriate.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 5 - Internal Audit › Section 5-5 - Audit programs

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 5.
(a) On an
				annual basis, the director or the director's designee shall at a minimum:
(1) review and evaluate relevant internal
				controls necessary to ensure the fiscal accountability of the
				commission;
(2) conduct a risk
				assessment of operating functions;
(3) review and evaluate controls necessary to
				ensure compliance with the operating standards of MUSL or any other similar and
				applicable multi-jurisdictional lottery association;
(4) make a risk-weighted recommendation to
				the commission regarding an audit plan, which shall include:
(A) whether to perform an audit;
(B) when to perform an audit; and
(C) the appropriate scope of any proposed
				audit; and
(5) develop
				audit programs for use during any proposed audit.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 7 - Promotional Activities › Section 7-1 - General provisions

Current through July 10, 2024
Authority: IC
				  4-30-3-7
Affected: IC
				  4-30-3-8; IC
				  4-30-13-1
Sec. 1.
(a) The
				commission may promote and advertise the lottery and individual lottery
				games.
(b) A commission authorized
				promotion may include any generally accepted consumer and trade sales
				promotion, including, but not limited to, the following:
(1) Permanent and temporary point of purchase
				materials.
(2) Drawings, contests,
				or sweepstakes.
(3) "Buy X, get Y
				free" promotions.
(4) Consumer or
				trade incentives including without limitation bonus payments and Nth
				transaction awards.
(5) Product
				samples or free tickets.
(6)
				Supplemental prizes or "second chance" promotions.
(7) Product bundles.
(8) Retailer and sales clerk
				incentives.
(9) "Ask for the sale"
				promotions.
(10) Retail clerk
				training.
(11) Functional
				discounts.
(12) Customer reward or
				loyalty programs.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 7 - Promotional Activities › Section 7-4 - Promotional drawings

Current through July 10, 2024
Authority: IC 4-30-3-7
Affected: IC 4-30-3-8
Sec. 4.
(a)
				"Promotional drawing" means, for purposes of this section, a drawing or other
				event involving the random selection of winners that either:
(1) does not require participants to purchase
				or hold a lottery ticket in order to win; or
(2) may be entered into for the chance to win
				consolation or supplemental prizes by holders of scratch-off game or draw game
				tickets, whether or not such tickets are otherwise eligible for
				prizes.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 1 - THE COMMISSION › Rule 7 - Promotional Activities › Section 7-6 - Promoting ticket donations to a nonprofit corporation

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 6.
(a) A person
				promoting the purchase of lottery tickets as donations to a nonprofit
				corporation must obtain the prior written approval of the director in the
				manner and form as determined by the director.
(b) The director may place restrictions or
				conditions on the conduct of promotional activities approved under this section
				or revoke approval for any reason by giving the promoter written notice of the
				revocation, restrictions, or conditions. A promoter so notified shall
				immediately:
(1) incorporate all restrictions
				and conditions into its promotion in accordance with the directives of the
				director; or
(2) cease the
				promotion.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-1 - Procurement authority

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 1.
(a) The
				director shall have the full and complete authority to enter into all contracts
				on behalf of the commission for the procurement of goods and
				services.
(b) The director may
				appoint one (1) person employed by the commission to supervise and manage:
(1) the procurement of goods and services;
				and
(2) the enforcement and
				oversight of commission contracts and subcontracts.
This person shall have the authority set forth in this
				  article or as may be delegated by the director in
				  writing.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-2 - Procurement policy

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 2.
(a) In making
				decisions under this article, the director shall take into account the
				requirements of IC 4-30, the desirability of an efficient and effective
				procurement process, and the legislative finding that the operation of a
				lottery is a unique activity for state government and that policies and
				procedures appropriate for the performance of other governmental functions are
				not necessarily appropriate for the operation of a lottery.
(b) All decisions made under this article are
				actions concerning the acquisition, leasing, or disposition of property or
				procurement of goods or services by the commission. All decisions by the
				director shall be final except as otherwise specifically set forth in this
				article.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-3 - Applicability

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 3.
(a) This
				article applies to every expenditure of commission funds under any contract for
				goods or services except for the following:
(1) Any contract with a state agency, state
				official, or any other body corporate and politic of this state.
(2) Employment contracts with
				individuals.
(3) Contracts for
				investment or related financial services.
(4) Contracts relating to the retail sales of
				lottery tickets.
(5) Contracts for
				goods or services provided as part of, or related to, a lease of real
				property.
(6) Amendments,
				modifications, or extensions of existing contracts, unless the predominate
				purpose of an amendment or modification is to avoid the applicability of this
				article.
(7) Contracts for personal
				or professional services.
(8)
				Contracts for employee benefits and related services.
(9) Contracts for market studies and research
				related services.
(10) Contracts
				for sponsorships, promotions, and advertising placement.
(11) The acquisition of electricity, gas,
				water, or other goods and services from utilities.
(12) Subcontracts entered into by commission
				contractors.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-4 - Procurement methods

Current through July 10, 2024
Authority: IC 4-30-3-7; IC 4-30-3-9
Affected: IC 4-30-3-16; IC 4-30-8
Sec. 4.
The director or the director's designee shall procure goods
				  or services either through the Indiana department of administration procurement
				  division, or the use of one (1) or any combination of the following procurement
				  methods, which are further described in this article:
(1) Invitation to bid.
(2) Request for proposals.
(3) Special procurement.
(4) Small purchase.
(5) State procurement.
(6) Sole source procurement.
(7) Any other method or process which is
				approved by the director pursuant to
				65 IAC 2-4-1.
(8) Any other method or process which is
				approved by the commission for a specific contract, or series of contracts, for
				goods or services.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-5 - Invitation to bid

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 5.
(a) The
				procedure in this section shall be followed in awarding contracts by invitation
				to bid as follows:
(1) An invitation to bid
				shall include the terms determined by the director to be in the best interests
				of the commission and may include the following:
(A) A description of the goods and services
				to be purchased, including the time and place for delivery of the goods and
				services.
(B) The contractual terms
				and conditions, if any, applicable to the procurement.
(C) A statement of the evaluation criteria to
				be used to determine the winning bid.
(D) The date and time by which bids are to be
				submitted to the commission for consideration.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-7 - Request for proposals

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8-2
Sec. 7.
(a) The
				director may award a contract using the procedure in this section.
(b) Proposals shall be solicited through a
				request for proposals, shall include the terms determined by the director to be
				in the best interests of the commission, and may include the following:
(1) A description of the fundamental
				qualities of the goods and services being sought.
(2) A statement concerning the criteria that
				will be used to determine the winning proposal and relative importance of price
				and the other evaluation factors.
(3) The date and time by which proposals are
				to be submitted to the commission for consideration.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-8 - Special procurement

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 8.
(a)
				Notwithstanding any other provision of this article, the director may make, or
				authorize others to make, special procurements:
(1) when there exists a threat to public
				health, welfare, or safety, or the integrity or operation of the
				lottery;
(2) when there exists a
				unique opportunity to obtain supplies or services at a substantial savings,
				including an opportunity to obtain supplies or services at reduced cost or no
				cost;
(3) when the market structure
				requires the commission to inspect and bid on the supplies to be
				procured;
(4) for the procurement
				of data processing contracts or license agreements for:
(A) software programs;
(B) hardware; or
(C) software and hardware maintenance
				contracts;
(5) for any
				services, provided that an announcement of the contracting opportunity is made
				in a manner that the director determines will have the potential to receive
				expressions of interest from multiple vendors and is additionally posted on the
				commission's website;
(6) when the
				compatibility of equipment, accessories, or replacement parts is a substantial
				consideration in the procurement and only a limited number of sources meet the
				commission's requirements;
(7) when
				procurement of the required supplies or services under another section of this
				rule would impair the functioning of the lottery;
(8) when a contract has been solicited for a
				procurement under another section of this rule and the commission has not
				received a reasonable, responsive offer;
(9) when the time periods for performance as
				determined by the director would be impaired by competitive bidding, so long as
				at least two (2) price quotes are obtained.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-9 - Small purchases

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 9.
A contract in an amount that does not exceed three hundred
				  thousand dollars ($300,000) may be made under any practice or procedure that
				  the director desires subject to the following restrictions:
(1) When practicable, at least three (3)
				price quotes are obtained for any procurement valued in excess of fifty
				thousand dollars ($50,000).
(2) If
				a series of contracts awarded under this section for a single classification of
				goods or services are awarded to one (1) vendor and these contracts are all
				awarded within a period of six (6) months or less and the total contract price
				on these contracts exceeds four hundred thousand dollars ($400,000), then any
				of the contracts in this series which would cause the total contract price to
				be in excess of four hundred thousand dollars ($400,000), shall not be deemed
				to be a small purchase qualifying under this section.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-10 - State procurement

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 10.
The director may procure supplies or services from a vendor
				  based on prices set by a contract between the state of Indiana and that
				  vendor.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-10.1 - Sole source procurement

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 10.1.
A contract may be awarded for a supply or service without
				  competition when the director, or the director's designee, states in writing
				  the determination that there is only one (1) known or available source for the
				  required supply or service and its procurement furthers the best interests of
				  the commission. A copy of such determination shall be made a part of the
				  contract file.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-11.1 - Cancellation; rejection; amendment of solicitations

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9; IC
				  4-30-8-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 11.1.
(a) When
				the director determines that it is not in the best interests of the commission,
				any solicitation, including an invitation for a bid or proposal, may be
				cancelled or rejected in whole or in part at any time prior to the effective
				date of the resulting contract.
(b)
				The reasons for a cancellation or rejection of a solicitation must be made a
				part of the contract file.
(c) The
				director may amend any solicitation in any manner provided that notice is given
				in a manner reasonably calculated by the director to provide fair and equitable
				notice to the potential vendors.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-12 - Manner of giving notice

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 12.
(a) Whenever
				public notice is required by this rule, the notice shall be given in the manner
				prescribed by this section.
(b) If
				the ultimate expenditure involved in a procurement is estimated by the
				director, or the director's designee, to exceed three hundred thousand dollars
				($300,000), a notice shall be published at least once.
(c) The director, or the director's designee,
				may provide for publication of additional notices, even if no publication is
				required by this subsection. Whenever publication of notice is required by this
				section, the notice shall be published at least in one (1) newspaper of general
				circulation in Marion County, Indiana. If any of the services or supplies being
				procured are for a specific use located outside Marion County, Indiana, the
				notice may also be published in one (1) or more newspapers of general
				circulation in the area in which the services or supplies are to be used. The
				director, or the director's designee, may designate additional newspapers for
				the publication of notice according to the nature of the procurement.
(d) The director, or the director's designee,
				may send notices, invitations to bid, requests to bid, requests for offers, or
				requests for proposals to prospective bidders or offerors known to the
				director, or the director's designee, to be reasonably disposed to bid on a
				procurement. However, failure to give notice to a particular bidder or offeror
				does not invalidate a procurement under this rule.
(e) In lieu of publication of notice as
				otherwise provided in this rule, the director, or the director's designee, may
				post any notice on the website of the commission in the event the director
				determines such would not be contrary to the best interests of the
				commission.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-13 - Disclosure requirements for major procurements

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-2-5
Sec. 13.
(a) All
				offerors for a major procurement as defined in IC
				4-30-2-5 shall submit the
				information required by IC 4-30 at the time required by the director.
				Immediately prior to execution of a contract by a vendor, the commission may
				require the vendor to update the disclosures. The vendor shall be under a
				continuous duty to correct any information that is later found to have been
				incorrect or incomplete when submitted. The vendor shall be under a duty to
				update and revise its disclosures in accordance with the provisions of the
				vendor's contract and as required by the director.
(b) The director may require additional
				disclosures for the purpose of enforcing, auditing, investigating, or
				confirming the accuracy of the disclosures or for another proper
				purpose.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-15 - Contract terms

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 15.
No contract shall obligate the commission for a period in
				  excess of four (4) years without the prior approval of the commission. A
				  contract may contain one (1) or more option periods or provisions for
				  extensions of the contract term, but only if an individual option period or
				  extension:
(1) does not exceed two (2)
				years in duration; and
(2) becomes
				effective only upon the specific, affirmative exercise of the option, or the
				specific, affirmative agreement to the extension, by the director.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-16 - Contract clauses

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 16.
A contract with the commission may contain any terms and
				  conditions and any contract clauses that are not prohibited by IC 4-30 or
				  federal law.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-20.1 - Contracts to be in writing; provisions required by statute

Current through July 10, 2024
Authority: IC 4-30-3-7; IC 4-30-3-9; IC 4-30-8-9
Affected: IC 4-30-3-16; IC 4-30-8
Sec. 20.1.
(a) Except
				as provided in subsection (b), a contract to which the commission is a party
				must be in writing.
(b) A contract
				is not required to be in writing if the contract is created under
				65 IAC 2-1-9. However, the
				commission is required to maintain on file invoices, bills, or other writings
				that show the contract was performed and the amount of payment due.
(c) If a statute or rule requires a provision
				to be part of a contract to which the commission is a party, the provision
				shall be construed to be part of the contract even though:
(1) the contract is not in writing;
				or
(2) the contract is in writing
				but the provision is omitted.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 1 - Procurement Procedures; General › Section 1-21 - Penalty for late payments

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 21.
(a) Any
				contract to which the commission is a party shall not require a late payment
				penalty at a rate in excess of one percent (1%) per month whenever the
				commission fails to make timely payment.
(b) For the purposes of this section, payment
				is timely if a check or payment is mailed or delivered on the date specified
				for the amount specified in the applicable contract documents, or if no date is
				specified, within thirty-five (35) days receipt of a properly completed claim
				or invoice.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 2 - Leases of Real Property › Section 2-1 - Authority to lease real property

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 1.
(a) The
				director shall have the authority to lease real property that is necessary for
				the efficient operation of the lottery and for the conducting of the business
				of the commission and the director, including, but not limited to, office
				space, warehouse facilities, parking facilities, and fixtures and improvements
				related thereto and services related to the use and occupancy of the
				property.
(b) The term of the lease
				may not exceed four (4) years without the prior approval of the
				commission.
(c) The lease may
				contain option periods or extensions of the lease term if:
(1) no individual option period or extension
				period is more than two (2) years in duration; and
(2) the option period or extension period
				becomes effective only upon the specific, affirmative exercise of the option
				period, or the specific, affirmative agreement to the extension, by the
				director.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 3 - Contracts with State Agencies › Section 3-1 - Authority to contract with state agencies

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 1.
The director may contract with any state agency or official
				  for any purpose. If the director concludes that the state agency, whether for
				  reasons of economy, convenience, or otherwise, should supply goods or services
				  to the commission which the agency procures from a third party other than a
				  state employee, then the commission's contract with the agency may include an
				  obligation by the agency to use a competitive bidding process aimed at
				  procuring the highest quality goods and services at the lowest reasonable
				  price.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 2 - PROCUREMENT › Rule 4 - Other Contracts › Section 4-1.1 - Consideration by director

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9; IC
				  4-30-8-9
Affected: IC
				  4-30-3-16; IC
				  4-30-8
Sec. 1.1.
The director may procure all goods and services not
				  otherwise covered by this article in any manner in which the director deems
				  desirable. In making such procurements, the director shall consider the
				  following:
(1) the efficient and
				effective operations of the lottery;
(2) the sensitive nature of the lottery;
				and
(3) the competence, quality of
				product, experience, and timely performance of the persons or entities
				providing such goods and services.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 2 - General Provisions › Section 2-1 - Certificate of authority required

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 1.
(a) A person
				must hold a valid certificate of authority issued by the commission in order to
				enter into a contract as a retailer of lottery products in any
				capacity.
(b) A certificate of
				authority is a revocable privilege and not a legal right. A certificate of
				authority issued by the commission does not entitle a person to enter into a
				contract to sell lottery products.
(c) No person shall sell lottery products
				without:
(1) a certificate of authority
				issued by the commission; and
(2)
				an executed written retailer contract between the person and the commission;
				where neither has been terminated, suspended, cancelled, or
				revoked.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 2 - General Provisions › Section 2-2 - Courier services

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9-3; IC
				  4-30-9-5
Sec. 2.
(a) Unless
				authorized by the commission, a retailer may not:
(1) sell a ticket to a person who is not
				physically present at the location identified on the retailer's certificate of
				authority; or
(2) knowingly sell a
				ticket in a transaction involving a ticket courier service.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-1 - Eligibility

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9-3
Sec. 1.
(a) The
				commission shall not issue a certificate of authority to any person:
(1) prohibited from becoming a retailer under
				IC 4-30-9-3, except that the
				requirement found in IC
				4-30-9-3(1) 
				applies only to a natural person or sole proprietor;
(2) not registered or duly qualified to do
				business in Indiana;
(3) who is a
				director, officer, or employee of a major procurement vendor;
(4) related to any employee or member of the
				commission as husband, wife, or child; or
(5) who is a corporation, partnership, or
				limited partnership that has an officer, member, director, or partner that is
				related to any employee or member of the commission in any capacity set forth
				in subdivision (4).
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-2 - Application for certificate of authority

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 2.
(a) Any
				person interested in obtaining a certificate of authority for the sale of
				lottery products shall first file an application on such form or forms as may
				be approved by the director.
(b) An
				applicant for a certificate of authority accepts any and all risk of adverse
				publicity, notoriety, embarrassment, criticism, or other action or financial
				loss that may occur in relation to the application process or the disclosure of
				public records. The applicant expressly waives any claim for damages against
				the commission that may result from the application process.
(c) A single applicant may apply for
				certificates of authority for multiple selling locations using one (1)
				application as long as each selling location is identified in the
				application.
(d) Each applicant
				shall submit, in conjunction with its application, payment of a nonrefundable
				application fee, as specified in section 2.2 of this rule.
(e) Any person that seeks a certificate of
				authority or retailer contract shall secure approval or authorization from any
				person, board, commission, agency, agent, or instrumentality which may have
				controlling authority over the applicant.
(f) An applicant must comply with all
				requests for information, documents, or other materials that may be necessary
				to determine the eligibility of the applicant to receive a certificate of
				authority.
(g) All applicants and
				retailers are under a continuing duty to disclose any material change in
				information submitted in its application to the commission or other information
				provided to the commission.
(h) Any
				misrepresentation or omission made by an applicant or retailer may be grounds
				for denial of an application or revocation or suspension of a certificate of
				authority held by a retailer.
(i)
				An applicant bears the burden of demonstrating that the applicant is eligible
				to receive or hold a certificate of authority and must continue to meet all
				conditions or restrictions relating to possession of a certificate of authority
				after issuance or any subsequent renewal.
(j) An application for a certificate of
				authority will be considered active for only one (1) year after it is submitted
				and will be closed without action by the commission if the applicant has not
				provided all fees or information necessary for the commission to make a
				determination of eligibility within that time. An applicant whose application
				has been closed must reapply by completing a new application and paying all
				necessary application fees.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-2.2 - Retailer fees

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-3-15; IC
				  4-30-9
Sec. 2.2.
An applicant for:
(1) a certificate of authority;
(2) the renewal of an existing certificate of
				authority; or
(3) a duplicate or
				amended certificate of authority; shall pay a nonrefundable application fee in
				an amount to be determined by the director in accordance with IC
				4-30-3-15.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-2.5 - Selection of retailers

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9-2
Sec. 2.5.
(a) In the
				selection of retailers, the commission may consider any information relevant to
				maximizing revenues in a manner that is consistent with the dignity of the
				state and the welfare of its citizens, including, but not limited to, the
				following:
(1) The considerations provided in
				IC 4-30-9-2.
(2) The average number of customers who visit
				the potential retailer.
(3) The
				locations and hours of operations of the potential retailer.
(4) The proximity to other lottery
				retailers.
(5) The capability and
				willingness to sell all, or any variety of, currently available lottery
				products as deemed appropriate by the commission.
(6) The capability and willingness to pay
				prizes up to the maximum amount payable by retailers at various times during
				the day.
(7) The capability and
				willingness to promote the sale of lottery products independently or in
				cooperation with the commission.
(8) The capability and willingness to comply
				with the provision of IC 4-30 and this title.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-2.7 - Temporary certificate of authority

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 2.7.
(a) The
				director may issue a temporary certificate of authority to a retailer or an
				applicant for a certificate of authority for any purpose deemed useful by the
				director, including without limitation the sale of lottery products at a
				special event or location in accordance with procedures prescribed by the
				director.
(b) A temporary
				certificate of authority issued by the director shall be valid for a maximum of
				ninety (90) days.
(c) The director
				may do the following regarding a temporary certificate of authority:
(1) Renew it prior to its
				expiration.
(2) Place restrictions
				or conditions upon it.
(3) Revoke
				it at any time.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-2.8 - Expiration or renewal of certificate of authority

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 2.8.
(a) Upon
				expiration of a retailer's certificate of authority at a selling location, any
				retailer contract entered into between the retailer and the commission for that
				selling location terminates.
(b)
				Prior to expiration of a certificate of authority, a retailer may apply to
				renew the certificate of authority by filing an application for renewal on such
				form or forms as may be approved by the director.
(c) A certificate of authority may be renewed
				at the discretion of the director upon a determination that the retailer
				remains in compliance with the eligibility and selection standards provided in
				IC 4-30 and this title.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-5 - Notice of changes

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 5.
(a) A
				retailer shall notify the commission in writing at least thirty (30) calendar
				days in advance of the occurrence of any of the following changes:
(1) Voluntary cancellation or termination of
				the retailer contract by the retailer or otherwise ceasing business operations
				or the sale of lottery products, either permanently or temporarily.
(2) A change in the designated bank account
				in which the retailer has deposited funds from the sale of lottery products or
				from which payments are made.
(3)
				Any proposed change in a selling location for which a certificate of authority
				is issued.
(4) Any proposed change
				in the controlling ownership interest of the retailer, whether through an asset
				purchase, stock purchase, merger, or acquisition.
(5) Any change in the form of a retailer's
				business organization, such as, but not limited to, a sole proprietorship,
				partnership, corporation, or limited liability company.
(6) Any change in the taxpayer identification
				number of the retailer.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-5.5 - Change of location

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 5.5.
(a) Unless
				authorized by the commission to temporarily sell lottery products at a special
				event or location under section 2.7 of this rule, each lottery ticket sales
				location of a retailer must be a fixed location.
(b) If a retailer's selling location changes,
				the retailer shall obtain an amended certificate of authority prior to selling
				lottery products at the new location.
(c) The commission must determine whether the
				new selling location continues to meet the selection and eligibility criteria
				in IC 4-30 and this article prior to issuing an amended certificate of
				authority to change the selling location of a retailer.
(d) A retailer who is otherwise authorized to
				sell lottery products may be temporarily authorized by the director under
				section 2.7 of this rule to sell products at a new location prior to issuance
				of an amended certificate of authority at the new location.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-5.7 - Change of ownership or entity structure

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 5.7.
(a) A
				retailer may not sell, assign, or transfer a certificate of authority. A
				certificate of authority is only valid as to the person to whom the certificate
				of authority was issued by the commission.
(b) If a retailer's form of business
				association changes, the retailer must obtain a temporary or amended
				certificate of authority that reflects the change prior to selling any lottery
				products under the new business organization.
(c) If a controlling ownership interest in a
				retailer is acquired or transferred, whether in one (1) transaction or a series
				of transactions, the successor to the controlling interest must obtain a new
				certificate of authority, prior to completing the transaction or series of
				transactions, for each selling location acquired in accordance with the
				provisions of this article.
(d) The
				director may adopt, from time to time, any appropriate and necessary procedures
				to verify the ownership of a retailer and/or any retailer selling location to
				ensure that lottery products are in fact sold only by retailers under an
				approved certificate of authority and retailer contract and in accordance with
				IC 4-30 and this title.
(e) The
				director may issue a temporary certificate of authority to a retailer or
				applicant while an application for a new or amended certificate of authority is
				pending as a result of:
(1) a change of a
				controlling ownership interest in an existing retailer; or
(2) a change in the form of business
				association of an existing retailer; prior to the issuance of the new or
				amended certificate of authority.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-7 - Revocation or suspension of certificate of authority

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30; IC
				  35-45-5
Sec. 7.
(a) The
				director may:
(1) revoke a certificate of
				authority;
(2) suspend a
				certificate of authority for a period of time, as specified by the
				director;
(3) refuse to renew a
				certificate of authority; or
(4)
				reject any later-filed application for a new or amended certificate of
				authority; for any of, but not limited to, the reasons contained in subsection
				(b).
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 3 - Requirements for Certificate of Authority › Section 3-7.5 - Deactivation of draw terminal

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 7.5.
The commission may limit or deactivate the draw terminal or
				  other lottery equipment of a retailer if the commission determines that any of
				  the following is occurring:
(1) The
				retailer is using the equipment to purchase, sell, or redeem tickets in a
				manner contrary to IC 4-30 or this title.
(2) The retailer is using the equipment to
				generate tickets for a drawing which has already taken place.
(3) The equipment is
				malfunctioning.
(4) The retailer is
				using the equipment improperly.
(5)
				The retailer is engaging in any activity with the equipment which may
				compromise the operation or integrity of the lottery, is prejudicial to the
				public confidence in the lottery, is contrary to the best interests of the
				lottery, or constitutes activity that is illegal under local, state, or federal
				laws.
(6) The retailer fails to
				hold money received by the retailer from the sale of lottery products in trust
				or fails to deliver or transfer payment to the commission under IC 4-30 and
				this title.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 4 - Retailer Operations › Section 4-4 - Procedure for awarding prizes

Current through July 10, 2024
Authority: IC 4-30-3-7; IC 4-30-3-9
Affected: IC 4-30-9
Sec. 4.
(a) Upon the
				presentation of a lottery ticket to a retailer with validation capabilities for
				prize payment, the retailer shall verify that it is visually consistent with
				the features of a winning ticket and examine it for any alteration. A retailer
				shall not make any payment on a ticket that does not meet the validation
				requirements of this title.
(b)
				Each scratch-off, draw, and pull-tab ticket shall contain a unique bar code. A
				winning scratch-off, draw, or pull-tab ticket shall be further validated and
				redeemed by a retailer with validation capabilities in the following manner:
(1) If a scratch-off ticket, draw ticket, or
				pull-tab ticket is entitled to a prize of less than or equal to twenty-five
				dollars ($25), a retailer shall validate the scratch-off ticket, draw ticket,
				or pull-tab ticket as a winning lottery ticket with the bar code reader and
				shall redeem a valid winning scratch-off ticket, draw ticket, or pull-tab
				ticket notwithstanding the location at which the ticket was
				purchased.
(2) If a scratch-off
				ticket, draw ticket, or pull-tab ticket is entitled to a prize of less than or
				equal to five hundred ninety-nine dollars ($599) but greater than twenty-five
				dollars ($25), a retailer may, only upon validating the scratch-off ticket,
				draw ticket, or pull-tab ticket as a winning lottery ticket with the bar code
				reader, redeem the valid winning scratch-off ticket, draw ticket, or pull-tab
				ticket notwithstanding the location at which the ticket was
				purchased.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 3 - RETAILERS › Rule 4 - Retailer Operations › Section 4-5 - Compensation

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC
				  4-30-9
Sec. 5.
(a) Unless
				otherwise agreed to by a retailer via contract with the commission, a retailer
				shall be entitled to compensation of at least five percent (5.0%) of the valid
				lottery ticket price of each scratch-off ticket or draw ticket sold by such
				retailer, subject to deduction for returns or cancellations as may be allowed
				under this article.
(b) In addition
				to the compensation under subsection (a), the commission may, from time to
				time, establish retailer incentive programs whereby retailers are entitled to
				bonus payments by satisfying designated criteria which may include, but not be
				limited to, volume of lottery product sales, number of lottery tickets
				redeemed, or the sale of winning lottery tickets.
(c) Any compensation or incentive payment
				made under this section may be supplemented or reduced in exchange for the
				provision of other supplemental services provided by the commission or the
				retailer as provided in a retailer's contract with the commission.
(d) No retailer or employee of a retailer
				shall request, demand, or accept gratuities or similar compensation in exchange
				for the performance of duties authorized pursuant to the retailer's
				contract.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 7 - LOTTERY GAMES › Rule 1 - General Provisions › Section 1-1 - Applicability

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 1.
This article applies to all lottery games unless the game
				  rules for a specific lottery game are in conflict with this article, in which
				  case the game rules for the specific lottery game shall control for that
				  game.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 7 - LOTTERY GAMES › Rule 1 - General Provisions › Section 1-2 - Compliance with law and procedures

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 2.
A person who purchases a ticket agrees thereby to comply
				  with and abide by IC 4-30, this title, and the procedures, instructions, and
				  final decisions of the director in connection with the conduct of the lottery
				  game for which the ticket is purchased.
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 7 - LOTTERY GAMES › Rule 1 - General Provisions › Section 1-3 - Game rules

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 3.
(a) The
				director, or the director's designee, is authorized to develop and determine
				game rules for specific lottery games on behalf of the commission.
(b) Game rules shall:
(1) include, at minimum, the:
(A) sales price of a ticket;
(B) number of prizes, if
				applicable;
(C) size of available
				prizes or, in instances where size is variable, the method for determining the
				size of prizes;
(D) method of
				selecting or identifying winning tickets;
(E) manner of payment of prizes, including
				whether prizes are payable in a lump sum or installments;
(F) frequency of selection events, if
				applicable; and
(G) approximate
				odds of winning; and
Indiana Administrative Code › Title 65 - STATE LOTTERY COMMISSION › Article 7 - LOTTERY GAMES › Rule 1 - General Provisions › Section 1-4 - Availability of instant tickets

Current through July 10, 2024
Authority: IC
				  4-30-3-7; IC
				  4-30-3-9
Affected: IC 4-30
Sec. 4.
The availability of tickets for sale in a scratch-off game
				  depends on retailer orders for tickets. Not all scratch-off tickets may be made
				  available for sale prior to game closing.