CHAPTER 5. DISCLOSURE OF RECORDS
IC 4-33-5
Chapter 5. Disclosure of Records
IC 4-33-5-1
License and operator agent contract applicants; disclosure ofinformation
Sec. 1. An applicant for a license or an operating agent contractunder this article must provide the following information to thecommission:
(1) The name, business address, and business telephone numberof the applicant.
(2) An identification of the applicant.
(3) The following information for an applicant that is not anindividual:
(A) The state of incorporation or registration.
(B) The names of all corporate officers.
(C) The identity of the following:
(i) Any person in which the applicant has an equityinterest of at least one percent (1%) of all shares. Theidentification must include the state of incorporation orregistration if applicable. However, an applicant that hasa pending registration statement filed with the Securitiesand Exchange Commission is not required to provideinformation under this item.
(ii) The shareholders or participants of the applicant. Anapplicant that has a pending registration statement filedwith the Securities and Exchange Commission is requiredto provide only the names of persons holding an interest ofmore than one percent (1%) of all shares.
(4) An identification of any business, including the state ofincorporation or registration if applicable, in which an applicantor the spouse or children of an applicant has an equity interestof more than one percent (1%) of all shares.
(5) If the applicant has been indicted, been convicted, pleadedguilty or nolo contendere, or forfeited bail concerning acriminal offense other than a traffic violation under the laws ofany jurisdiction. The applicant must include the followinginformation under this subdivision:
(A) The name and location of the following:
(i) The court.
(ii) The arresting agency.
(iii) The prosecuting agency.
(B) The case number.
(C) The date and type of offense.
(D) The disposition of the case.
(E) The location and length of incarceration.
(6) If the applicant has had a license or certificate issued by alicensing authority in Indiana or any other jurisdiction denied,restricted, suspended, revoked, or not renewed. An applicantmust provide the following information under this subdivision: (A) A statement describing the facts and circumstancesconcerning the denial, restriction, suspension, revocation, ornonrenewal.
(B) The date each action described in clause (A) was taken.
(C) The reason each action described in clause (A) wastaken.
(7) If the applicant has:
(A) filed or had filed against the applicant a proceeding inbankruptcy; or
(B) been involved in a formal process to adjust, defer,suspend, or work out the payment of a debt;
including the date of filing, the name and location of the court,and the case and number of the disposition.
(8) If the applicant has filed or been served with a complaint ornotice filed with a public body concerning:
(A) a delinquency in the payment of; or
(B) a dispute over a filing concerning the payment of;
a tax required under federal, state, or local law, including theamount, type of tax, the taxing agency, and times involved.
(9) A statement listing the names and titles of public officials orofficers of units of government and relatives of the publicofficials or officers who directly or indirectly:
(A) have a financial interest in;
(B) have a beneficial interest in;
(C) are the creditors of;
(D) hold a debt instrument issued by; or
(E) have an interest in a contractual or service relationshipwith;
an applicant.
(10) If an applicant for an operating agent contract or anowner's or a supplier's license has directly or indirectly made apolitical contribution, loan, donation, or other payment to acandidate or an office holder in Indiana not more than five (5)years before the date the applicant filed the application. Anapplicant must provide information concerning the amount andmethod of a payment described in this subdivision.
(11) The name and business telephone number of the attorneywho will represent the applicant in matters before thecommission.
(12) A description of a proposed or an approved riverboatgaming operation, including the following information:
(A) The type of boat.
(B) The home dock location.
(C) The expected economic benefit to local communities.
(D) The anticipated or actual number of employees.
(E) Any statements from the applicant concerningcompliance with federal and state affirmative actionguidelines.
(F) Anticipated or actual admissions.
(G) Anticipated or actual adjusted gross gaming receipts. (13) A description of the product or service to be supplied bythe applicant if the applicant has applied for a supplier's license.
(14) The following information from each licensee or operatingagent involved in the ownership or management of gamblingoperations:
(A) An annual balance sheet.
(B) An annual income statement.
(C) A list of the stockholders or other persons having at leasta one percent (1%) beneficial interest in the gamblingactivities of the person who has been issued the owner'slicense or operating agent contract.
(D) Any other information the commission considersnecessary for the effective administration of this article.
As added by P.L.277-1993(ss), SEC.124. Amended by P.L.92-2003,SEC.25; P.L.97-2004, SEC.15.
IC 4-33-5-1.5
Confidential information
Sec. 1.5. (a) The following information submitted, collected, orgathered as part of an application to the commission for a license isconfidential for purposes of IC 5-14-3-4:
(1) Any information concerning a minor child of an applicant.
(2) The Social Security number of an applicant or the spouse ofan applicant.
(3) The home telephone number of an applicant, or the spouseor children of an applicant.
(4) An applicant's birth certificate.
(5) An applicant's or applicant's spouse's driver's licensenumber.
(6) The name or address of a previous spouse of the applicant.
(7) The date of birth of the spouse of an applicant.
(8) The place of birth of the spouse of an applicant.
(9) The personal financial records of an applicant or the spouseor minor child of an applicant.
(10) Any information concerning a victim of domestic violence,sexual assault, or stalking.
(11) The electronic mail address of an applicant or spouse orfamily member of the applicant.
(b) Except as provided in subsections (c) and (d), in addition toinformation that is confidential under subsection (a), all informationmaintained by the commission concerning an individual who holds,held, or has applied for an occupational license under this article:
(1) is confidential for purposes of IC 5-14-3; and
(2) may be released by the commission only for lawenforcement purposes or to a state or local public agency.
(c) The following information concerning an individual whoholds, held, or has applied for an occupational license under thisarticle is not confidential:
(1) The individual's name.
(2) The individual's place of employment. (3) The individual's job title.
(4) The individual's gaming experience.
(5) The reason for denial or revocation of a license or fordisciplinary action against the individual.
(6) Information submitted by the individual for a felony waiverrequest under IC 4-33-8-11.
(d) An individual who holds, held, or has applied for anoccupational license under this article may waive the confidentialityrequirements of subsection (b).
As added by P.L.125-2006, SEC.1. Amended by P.L.104-2008,SEC.2.
IC 4-33-5-2
Commission records
Sec. 2. Notwithstanding any other law, upon written request froma person, the commission shall provide the following information tothe person:
(1) Except as provided in section 1.5 of this chapter, theinformation provided under section 1 of this chapter concerninga licensee or an applicant.
(2) The amount of the wagering tax and admission tax paiddaily to the state by a licensed owner or an operating agent.
(3) A copy of a letter providing the reasons for the denial of anowner's license or an operating agent's contract.
(4) A copy of a letter providing the reasons for thecommission's refusal to allow an applicant to withdraw theapplicant's application.
As added by P.L.277-1993(ss), SEC.124. Amended by P.L.92-2003,SEC.26; P.L.125-2006, SEC.2.
IC 4-33-5-3
Fees
Sec. 3. The commission may assess fees for the copying ofinformation provided by the commission.
As added by P.L.277-1993(ss), SEC.124.