CHAPTER 5. PERMITS TO CONDUCT RECOGNIZED MEETINGS
IC 4-31-5
Chapter 5. Permits to Conduct Recognized Meetings
IC 4-31-5-1
Recognized meeting permit; issuance limitations
Sec. 1. (a) A person may not conduct, assist, or aid or abet inconducting a horse racing meeting in which the pari-mutuel systemof wagering is permitted unless that person secures a recognizedmeeting permit under this chapter.
(b) The commission may not issue a recognized meeting permitfor:
(1) an activity other than horse racing meetings; or
(2) horse racing meetings conducted at:
(A) the state fairgrounds during a state fair; or
(B) a county fairgrounds.
However, subdivision (2) does not prohibit the commission fromissuing a recognized meeting permit for races to be conducted at thestate fairgrounds at times when a fair is not in session.
(c) The commission may not issue more than two (2) recognizedmeeting permits under this chapter.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,SEC.8; P.L.233-2007, SEC.5.
IC 4-31-5-2
Application for permit
Sec. 2. (a) An application for renewal of an existing recognizedmeeting permit must be filed with the commission no later thanNovember 1 of the year preceding the year in which the horse racingmeeting is to be conducted. The timing for filing an initialapplication for a recognized meeting permit shall be established bythe rules of the commission.
(b) The commission shall prescribe the forms to be used inmaking an application under this section. The application mustinclude the following:
(1) The full name of the person making the application.
(2) If the applicant is an association, the names and addressesof the members of the association.
(3) If the applicant is a corporation, the name of the state inwhich it is incorporated, the location of its principal place ofbusiness, and the names and addresses of its directors andstockholders.
(4) If the applicant is a trust, the location of its principal placeof business and the names and addresses of its trustees andbeneficiaries.
(5) If the applicant is a partnership, the names and addresses ofthe partners.
(6) If the applicant is a limited partnership, the names,addresses, and percentages of ownership of each general partnerand each limited partner.
(7) If the applicant is a limited liability company, the name of
the state where it is organized, the location of its principal placeof business, and the names and addresses of the managers andmembers.
(8) The dates on which the applicant intends to conduct horseracing meetings, which must be successive days (includingSundays) unless otherwise authorized by the commission. Theapplicant may submit a written statement setting forth thereasons certain dates are sought.
(9) The proposed hours of each racing day.
(10) The location of the place, track, or enclosure where theapplicant proposes to conduct horse racing meetings.
(11) A statement of whether the racing plant is owned or leasedby the applicant.
(12) A statement of whether the racing plant will include afacility, either physically connected to the clubhouse or in closeproximity, that will:
(A) display for public inspection trophies, memorabilia, andinstructional material depicting the history of horse racing;and
(B) be made available as a repository for the collections ofthe Indiana Harness Horse Hall of Fame.
(13) Any other information that the commission requires.
(c) An application under this section must be signed and verifiedas follows:
(1) An application by an individual must be signed and verifiedunder oath by that individual.
(2) An application by two (2) or more individuals or by apartnership must be signed and verified under oath by one (1)of those individuals or by a member of the partnership.
(3) An application by an association, a trust, or a corporationmust be:
(A) signed by its president and vice president;
(B) attested by its secretary; and
(C) verified under oath.
(4) An application by a limited liability company, must besigned and verified under oath by two (2) managers or membersof the limited liability company.
(d) At the time an application is filed, the applicant must:
(1) pay a permit fee and an investigation fee for an initial permitapplication as required by the rules of the commission;
(2) file a cash bond, certified check, or bank draft in the mannerprovided by section 4 of this chapter; and
(3) file a copy of an ordinance adopted under IC 4-31-4.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,SEC.9; P.L.8-1993, SEC.39.
IC 4-31-5-3
Repealed
(Repealed by P.L.24-1992, SEC.64.)
IC 4-31-5-4
Repealed
(Repealed by P.L.24-1992, SEC.64.)
IC 4-31-5-5
List of personnel to be employed
Sec. 5. Each applicant for a recognized meeting permit must filewith the commission a list of the personnel to be employed duringthe racing meeting. The list must include the names of the:
(1) identifier;
(2) starters;
(3) racing secretary;
(4) handicapper;
(5) clerk of the course;
(6) paddock judge;
(7) patrol judges;
(8) track veterinarian;
(9) track physician;
(10) mutuel manager;
(11) director of security; and
(12) other positions designated by the rules of the commission;
that the applicant proposes to employ during the racing meeting. Theapplicant must promptly report any changes in the personnel on thelist to the commission for its approval.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,SEC.10.
IC 4-31-5-6
Filing requirements
Sec. 6. (a) The commission may not issue a recognized meetingpermit unless the applicant has filed with the commission:
(1) a financial statement prepared and certified by a certifiedpublic accountant in accordance with sound accountingpractices, showing the net worth of the applicant;
(2) a statement from the department of state revenue and thetreasurer of state that there are no pari-mutuel taxes or otherobligations owed by the applicant to the state or any of itsdepartments or agencies;
(3) a statement from the county treasurer of the county in whichthe applicant proposes to conduct horse racing meetings thatthere are no real or personal property taxes owed by any of theprincipals seeking the permit; and
(4) a statement of obligations that are owed or being contested,including salaries, purses, entry fees, laboratory fees, and debtsowed to vendors and suppliers.
(b) In addition to the requirements of subsection (a), thecommission may not issue a recognized meeting permit for arecognized meeting to occur in a county unless IC 4-31-4 has beensatisfied.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,
SEC.11; P.L.24-1996, SEC.7.
IC 4-31-5-6.5
Bonds
Sec. 6.5. At least sixty (60) days before the commencement of ahorse racing meeting, a permit holder shall post a bond in an amountnot to exceed one million dollars ($1,000,000), as determined by thecommission. The bond, which is subject to the approval of thecommission, must be payable to the commission as obligee for usein payment of the applicant's financial obligations to the commissionor the state and other aggrieved parties, as determined by the rules ofthe commission.
As added by P.L.24-1992, SEC.12.
IC 4-31-5-7
Racing plant leased by applicant; filing of copy of current lease;disclosure of information
Sec. 7. (a) If the racing plant is leased by the applicant, the ownerof the racing plant must file a copy of the current lease with theapplication unless a copy is already on file with the commission.
(b) If the racing plant is leased by the applicant, the owner of theracing plant must provide the following to the commission at thetime the application is filed:
(1) A current financial statement showing assets and liabilities.
(2) Its latest operating statement showing income and expensesrelated to the racing plant.
(3) A list of the names, addresses, and occupations of all of itsofficers, directors, owners, shareholders, or partners. However,in the case of a corporation whose stock is publicly traded, thisinformation is required only for the corporation's officers anddirectors and for those stockholders owning or controlling fivepercent (5%) or more of the stock of the corporation.
(4) Any other information requested by the commission.
(c) If another business entity owns or controls five percent (5%)or more of the stock of a corporation or five percent (5%) or more ofthe capital or profits of a partnership that files the informationrequired by subsection (a) or (b), the other business entity is requiredto file the same information.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,SEC.13.
IC 4-31-5-8
Decision by commission on permit application; issuance or denial
Sec. 8. (a) Except as provided in subsection (c), the commissionmay issue or deny a permit to an applicant to conduct a horse racingmeeting after the proper filing of:
(1) an application for a permit; and
(2) the other information required by this chapter.
The commission shall meet as soon as practicable after the filing ofthe application and other information for the purpose of acting on the
application.
(b) The commission may deny a permit to:
(1) any applicant if denial of the permit is in the public interest;
(2) a permit holder that has defaulted in payments to the publicor an employee, a vendor, a supplier, an owner, or a trainer; or
(3) the purchaser of a track from a permit holder described insubdivision (2) if defaults at that track have not been satisfiedby either the seller or the purchaser.
(c) The commission shall deny a permit to:
(1) a permit holder that has defaulted in payments to the state;
(2) the purchaser of a track from a permit holder described insubdivision (1), if defaults at that track have not been satisfiedby either the seller or the purchaser; or
(3) a person, an association, a trust, a limited liability company,or a corporation that owns, or has one (1) or more members orstockholders who own, an interest in any other permit issued bythe commission in the same year for any other racetrack inIndiana.
(d) The commission may not issue a permit that would allowpari-mutuel racing to be conducted at the same hour at two (2) ormore locations in the same county or adjacent counties.
(e) A permit issued under this section is valid from January 1 toDecember 31 of the year for which it is issued. An application mustbe made for a renewal of a permit.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,SEC.14; P.L.8-1993, SEC.40.
IC 4-31-5-9
Dates and number of racing days
Sec. 9. (a) The commission shall determine the dates and (if thecommission adopts a rule under subsection (c)) the number of racingdays authorized under each recognized meeting permit. Except forracing at winterized tracks, a recognized meeting may not beconducted after December 10 of a calendar year.
(b) Except as provided in subsection (c), the commission shallrequire at least one hundred forty (140) but not more than onehundred sixty-five (165) live racing days each calendar year at theracetrack designated in a permit holder's permit, as follows:
(1) At least eighty (80) but not more than ninety (90) live racingdays must be for standardbreds.
(2) At least sixty (60) but not more than seventy-five (75) liveracing days must be for horses that are:
(A) mounted by jockeys; and
(B) run on a course without jumps or obstacles.
The requirements of this subsection are a continuing condition formaintaining the permit holder's permit. However, the requirementsdo not apply if the commission determines that the permit holder isprevented from conducting live horse racing as a result of a naturaldisaster or another event over which the permit holder has no control.
(c) The commission may by rule adjust any of the following: (1) The total required number of live racing days undersubsection (b).
(2) The number of live racing days required under subsection(b)(1).
(3) The number of live racing days required under subsection(b)(2).
(d) A permit holder may not conduct more than fourteen (14)races on a particular racing day.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.233-2007,SEC.6.
IC 4-31-5-10
Granting of special permission
Sec. 10. Upon receipt of an application from a recognized meetingpermit holder, the commission may grant special permission for:
(1) more than nine (9) races each day; or
(2) race cards lost because of inclement weather or otheremergencies, to be made up at the rate of one (1) race each dayor on additional dates as granted by the commission.
As added by P.L.341-1989(ss), SEC.2.
IC 4-31-5-10.5
Variance of racing days
Sec. 10.5. Upon a petition filed by a permit holder, thecommission may increase or decrease the number of racing dayspreviously granted by the commission to that permit holder for aracing meeting.
As added by P.L.24-1992, SEC.15.
IC 4-31-5-11
Scheduling one or more races on each racing day
Sec. 11. The commission may require each permit holder toschedule one (1) or more races on each racing day:
(1) solely for Indiana owned horses;
(2) solely for Indiana sired horses;
(3) solely for Indiana bred horses; or
(4) for a combination of Indiana owned horses, Indiana siredhorses, and Indiana bred horses.
As added by P.L.341-1989(ss), SEC.2.
IC 4-31-5-12
Permit; contents
Sec. 12. A permit issued under this chapter must:
(1) state the name of the permit holder;
(2) specify the place where the horse racing meeting is to beconducted;
(3) specify the types of racing that are permitted;
(4) specify the days on which the permit holder may conductraces, subject to section 9 of this chapter;
(5) specify the hours during which the permit holder may
conduct races;
(6) specify the number of races to be conducted daily, whichmay not exceed nine (9), except as provided in section 10 ofthis chapter; and
(7) state that the permit is granted upon the condition that thepermit holder agrees to observe and enforce this article and therules and orders issued by the commission.
As added by P.L.341-1989(ss), SEC.2. Amended by P.L.24-1992,SEC.16.
IC 4-31-5-13
Transfer of permits
Sec. 13. A permit issued under this chapter is not transferable andapplies only to the racetrack specified in the permit.
As added by P.L.341-1989(ss), SEC.2.
IC 4-31-5-14
Posting of permits
Sec. 14. A permit holder shall post the permit in a prominent placein the permit holder's principal office at the racetrack during thehorse racing meeting. The permit holder shall show the permit to aperson requesting to see it at a reasonable time.
As added by P.L.341-1989(ss), SEC.2.
IC 4-31-5-15
Deposit of fees and penalties
Sec. 15. Any fees or penalties collected by the commission underIC 4-31-3-9(1)(E) through IC 4-31-3-9(1)(G) shall be paid into thestate general fund.
As added by P.L.24-1992, SEC.17.