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 in
conducting a horse racing meeting in which the pari-mutuel system
of wagering is permitted unless that person secures a recognized
meeting permit under this chapter.
(b) The commission may not issue a recognized meeting permit
for:
(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 from
issuing a recognized meeting permit for races to be conducted at the
state fairgrounds at times when a fair is not in session.
(c) The commission may not issue more than two (2) recognized
meeting 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 recognized
meeting permit must be filed with the commission no later than
November 1 of the year preceding the year in which the horse racing
meeting is to be conducted. The timing for filing an initial
application for a recognized meeting permit shall be established by
the rules of the commission.
(b) The commission shall prescribe the forms to be used in
making an application under this section. The application must
include the following:
(1) The full name of the person making the application.
(2) If the applicant is an association, the names and addresses
of the members of the association.
(3) If the applicant is a corporation, the name of the state in
which it is incorporated, the location of its principal place of
business, and the names and addresses of its directors and
stockholders.
(4) If the applicant is a trust, the location of its principal place
of business and the names and addresses of its trustees and
beneficiaries.
(5) If the applicant is a partnership, the names and addresses of
the partners.
(6) If the applicant is a limited partnership, the names,
addresses, and percentages of ownership of each general partner
and 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 place
of business, and the names and addresses of the managers and
members.
(8) The dates on which the applicant intends to conduct horse
racing meetings, which must be successive days (including
Sundays) unless otherwise authorized by the commission. The
applicant may submit a written statement setting forth the
reasons certain dates are sought.
(9) The proposed hours of each racing day.
(10) The location of the place, track, or enclosure where the
applicant proposes to conduct horse racing meetings.
(11) A statement of whether the racing plant is owned or leased
by the applicant.
(12) A statement of whether the racing plant will include a
facility, either physically connected to the clubhouse or in close
proximity, that will:
(A) display for public inspection trophies, memorabilia, and
instructional material depicting the history of horse racing;
and
(B) be made available as a repository for the collections of
the Indiana Harness Horse Hall of Fame.
(13) Any other information that the commission requires.
(c) An application under this section must be signed and verified
as follows:
(1) An application by an individual must be signed and verified
under oath by that individual.
(2) An application by two (2) or more individuals or by a
partnership 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 corporation
must 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 be
signed and verified under oath by two (2) managers or members
of 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 permit
application as required by the rules of the commission;
(2) file a cash bond, certified check, or bank draft in the manner
provided 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 file
with the commission a list of the personnel to be employed during
the 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. The
applicant must promptly report any changes in the personnel on the
list 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 meeting
permit unless the applicant has filed with the commission:
(1) a financial statement prepared and certified by a certified
public accountant in accordance with sound accounting
practices, showing the net worth of the applicant;
(2) a statement from the department of state revenue and the
treasurer of state that there are no pari-mutuel taxes or other
obligations owed by the applicant to the state or any of its
departments or agencies;
(3) a statement from the county treasurer of the county in which
the applicant proposes to conduct horse racing meetings that
there are no real or personal property taxes owed by any of the
principals seeking the permit; and
(4) a statement of obligations that are owed or being contested,
including salaries, purses, entry fees, laboratory fees, and debts
owed to vendors and suppliers.
(b) In addition to the requirements of subsection (a), the
commission may not issue a recognized meeting permit for a
recognized meeting to occur in a county unless IC 4-31-4 has been
satisfied. 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 a
horse racing meeting, a permit holder shall post a bond in an amount
not to exceed one million dollars ($1,000,000), as determined by the
commission. The bond, which is subject to the approval of the
commission, must be payable to the commission as obligee for use
in payment of the applicant's financial obligations to the commission
or the state and other aggrieved parties, as determined by the rules of
the 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 owner
of the racing plant must file a copy of the current lease with the
application unless a copy is already on file with the commission.
(b) If the racing plant is leased by the applicant, the owner of the
racing plant must provide the following to the commission at the
time the application is filed:
(1) A current financial statement showing assets and liabilities.
(2) Its latest operating statement showing income and expenses
related to the racing plant.
(3) A list of the names, addresses, and occupations of all of its
officers, directors, owners, shareholders, or partners. However,
in the case of a corporation whose stock is publicly traded, this
information is required only for the corporation's officers and
directors and for those stockholders owning or controlling five
percent (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 of
the capital or profits of a partnership that files the information
required by subsection (a) or (b), the other business entity is required
to 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 commission
may issue or deny a permit to an applicant to conduct a horse racing
meeting 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 of
the 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 public
or an employee, a vendor, a supplier, an owner, or a trainer; or
(3) the purchaser of a track from a permit holder described in
subdivision (2) if defaults at that track have not been satisfied
by 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 in
subdivision (1), if defaults at that track have not been satisfied
by 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 or
stockholders who own, an interest in any other permit issued by
the commission in the same year for any other racetrack in
Indiana.
(d) The commission may not issue a permit that would allow
pari-mutuel racing to be conducted at the same hour at two (2) or
more locations in the same county or adjacent counties.
(e) A permit issued under this section is valid from January 1 to
December 31 of the year for which it is issued. An application must
be 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 the
commission adopts a rule under subsection (c)) the number of racing
days authorized under each recognized meeting permit. Except for
racing at winterized tracks, a recognized meeting may not be
conducted after December 10 of a calendar year.
(b) Except as provided in subsection (c), the commission shall
require at least one hundred forty (140) but not more than one
hundred sixty-five (165) live racing days each calendar year at the
racetrack designated in a permit holder's permit, as follows:
(1) At least eighty (80) but not more than ninety (90) live racing
days must be for standardbreds.
(2) At least sixty (60) but not more than seventy-five (75) live
racing 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 for
maintaining the permit holder's permit. However, the requirements
do not apply if the commission determines that the permit holder is
prevented from conducting live horse racing as a result of a natural
disaster 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 under
subsection (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 meeting
permit 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 other
emergencies, to be made up at the rate of one (1) race each day
or 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, the
commission may increase or decrease the number of racing days
previously granted by the commission to that permit holder for a
racing 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 to
schedule 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 sired
horses, 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 be
conducted;
(3) specify the types of racing that are permitted;
(4) specify the days on which the permit holder may conduct
races, 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, which
may not exceed nine (9), except as provided in section 10 of
this chapter; and
(7) state that the permit is granted upon the condition that the
permit holder agrees to observe and enforce this article and the
rules 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 and
applies 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 place
in the permit holder's principal office at the racetrack during the
horse racing meeting. The permit holder shall show the permit to a
person 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 under
IC 4-31-3-9(1)(E) through IC 4-31-3-9(1)(G) shall be paid into the
state general fund. As added by P.L.24-1992, SEC.17.
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 in
conducting a horse racing meeting in which the pari-mutuel system
of wagering is permitted unless that person secures a recognized
meeting permit under this chapter.
(b) The commission may not issue a recognized meeting permit
for:
(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 from
issuing a recognized meeting permit for races to be conducted at the
state fairgrounds at times when a fair is not in session.
(c) The commission may not issue more than two (2) recognized
meeting 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 recognized
meeting permit must be filed with the commission no later than
November 1 of the year preceding the year in which the horse racing
meeting is to be conducted. The timing for filing an initial
application for a recognized meeting permit shall be established by
the rules of the commission.
(b) The commission shall prescribe the forms to be used in
making an application under this section. The application must
include the following:
(1) The full name of the person making the application.
(2) If the applicant is an association, the names and addresses
of the members of the association.
(3) If the applicant is a corporation, the name of the state in
which it is incorporated, the location of its principal place of
business, and the names and addresses of its directors and
stockholders.
(4) If the applicant is a trust, the location of its principal place
of business and the names and addresses of its trustees and
beneficiaries.
(5) If the applicant is a partnership, the names and addresses of
the partners.
(6) If the applicant is a limited partnership, the names,
addresses, and percentages of ownership of each general partner
and 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 place
of business, and the names and addresses of the managers and
members.
(8) The dates on which the applicant intends to conduct horse
racing meetings, which must be successive days (including
Sundays) unless otherwise authorized by the commission. The
applicant may submit a written statement setting forth the
reasons certain dates are sought.
(9) The proposed hours of each racing day.
(10) The location of the place, track, or enclosure where the
applicant proposes to conduct horse racing meetings.
(11) A statement of whether the racing plant is owned or leased
by the applicant.
(12) A statement of whether the racing plant will include a
facility, either physically connected to the clubhouse or in close
proximity, that will:
(A) display for public inspection trophies, memorabilia, and
instructional material depicting the history of horse racing;
and
(B) be made available as a repository for the collections of
the Indiana Harness Horse Hall of Fame.
(13) Any other information that the commission requires.
(c) An application under this section must be signed and verified
as follows:
(1) An application by an individual must be signed and verified
under oath by that individual.
(2) An application by two (2) or more individuals or by a
partnership 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 corporation
must 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 be
signed and verified under oath by two (2) managers or members
of 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 permit
application as required by the rules of the commission;
(2) file a cash bond, certified check, or bank draft in the manner
provided 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 file
with the commission a list of the personnel to be employed during
the 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. The
applicant must promptly report any changes in the personnel on the
list 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 meeting
permit unless the applicant has filed with the commission:
(1) a financial statement prepared and certified by a certified
public accountant in accordance with sound accounting
practices, showing the net worth of the applicant;
(2) a statement from the department of state revenue and the
treasurer of state that there are no pari-mutuel taxes or other
obligations owed by the applicant to the state or any of its
departments or agencies;
(3) a statement from the county treasurer of the county in which
the applicant proposes to conduct horse racing meetings that
there are no real or personal property taxes owed by any of the
principals seeking the permit; and
(4) a statement of obligations that are owed or being contested,
including salaries, purses, entry fees, laboratory fees, and debts
owed to vendors and suppliers.
(b) In addition to the requirements of subsection (a), the
commission may not issue a recognized meeting permit for a
recognized meeting to occur in a county unless IC 4-31-4 has been
satisfied. 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 a
horse racing meeting, a permit holder shall post a bond in an amount
not to exceed one million dollars ($1,000,000), as determined by the
commission. The bond, which is subject to the approval of the
commission, must be payable to the commission as obligee for use
in payment of the applicant's financial obligations to the commission
or the state and other aggrieved parties, as determined by the rules of
the 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 owner
of the racing plant must file a copy of the current lease with the
application unless a copy is already on file with the commission.
(b) If the racing plant is leased by the applicant, the owner of the
racing plant must provide the following to the commission at the
time the application is filed:
(1) A current financial statement showing assets and liabilities.
(2) Its latest operating statement showing income and expenses
related to the racing plant.
(3) A list of the names, addresses, and occupations of all of its
officers, directors, owners, shareholders, or partners. However,
in the case of a corporation whose stock is publicly traded, this
information is required only for the corporation's officers and
directors and for those stockholders owning or controlling five
percent (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 of
the capital or profits of a partnership that files the information
required by subsection (a) or (b), the other business entity is required
to 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 commission
may issue or deny a permit to an applicant to conduct a horse racing
meeting 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 of
the 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 public
or an employee, a vendor, a supplier, an owner, or a trainer; or
(3) the purchaser of a track from a permit holder described in
subdivision (2) if defaults at that track have not been satisfied
by 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 in
subdivision (1), if defaults at that track have not been satisfied
by 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 or
stockholders who own, an interest in any other permit issued by
the commission in the same year for any other racetrack in
Indiana.
(d) The commission may not issue a permit that would allow
pari-mutuel racing to be conducted at the same hour at two (2) or
more locations in the same county or adjacent counties.
(e) A permit issued under this section is valid from January 1 to
December 31 of the year for which it is issued. An application must
be 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 the
commission adopts a rule under subsection (c)) the number of racing
days authorized under each recognized meeting permit. Except for
racing at winterized tracks, a recognized meeting may not be
conducted after December 10 of a calendar year.
(b) Except as provided in subsection (c), the commission shall
require at least one hundred forty (140) but not more than one
hundred sixty-five (165) live racing days each calendar year at the
racetrack designated in a permit holder's permit, as follows:
(1) At least eighty (80) but not more than ninety (90) live racing
days must be for standardbreds.
(2) At least sixty (60) but not more than seventy-five (75) live
racing 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 for
maintaining the permit holder's permit. However, the requirements
do not apply if the commission determines that the permit holder is
prevented from conducting live horse racing as a result of a natural
disaster 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 under
subsection (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 meeting
permit 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 other
emergencies, to be made up at the rate of one (1) race each day
or 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, the
commission may increase or decrease the number of racing days
previously granted by the commission to that permit holder for a
racing 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 to
schedule 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 sired
horses, 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 be
conducted;
(3) specify the types of racing that are permitted;
(4) specify the days on which the permit holder may conduct
races, 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, which
may not exceed nine (9), except as provided in section 10 of
this chapter; and
(7) state that the permit is granted upon the condition that the
permit holder agrees to observe and enforce this article and the
rules 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 and
applies 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 place
in the permit holder's principal office at the racetrack during the
horse racing meeting. The permit holder shall show the permit to a
person 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 under
IC 4-31-3-9(1)(E) through IC 4-31-3-9(1)(G) shall be paid into the
state general fund. As added by P.L.24-1992, SEC.17.
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 in
conducting a horse racing meeting in which the pari-mutuel system
of wagering is permitted unless that person secures a recognized
meeting permit under this chapter.
(b) The commission may not issue a recognized meeting permit
for:
(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 from
issuing a recognized meeting permit for races to be conducted at the
state fairgrounds at times when a fair is not in session.
(c) The commission may not issue more than two (2) recognized
meeting 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 recognized
meeting permit must be filed with the commission no later than
November 1 of the year preceding the year in which the horse racing
meeting is to be conducted. The timing for filing an initial
application for a recognized meeting permit shall be established by
the rules of the commission.
(b) The commission shall prescribe the forms to be used in
making an application under this section. The application must
include the following:
(1) The full name of the person making the application.
(2) If the applicant is an association, the names and addresses
of the members of the association.
(3) If the applicant is a corporation, the name of the state in
which it is incorporated, the location of its principal place of
business, and the names and addresses of its directors and
stockholders.
(4) If the applicant is a trust, the location of its principal place
of business and the names and addresses of its trustees and
beneficiaries.
(5) If the applicant is a partnership, the names and addresses of
the partners.
(6) If the applicant is a limited partnership, the names,
addresses, and percentages of ownership of each general partner
and 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 place
of business, and the names and addresses of the managers and
members.
(8) The dates on which the applicant intends to conduct horse
racing meetings, which must be successive days (including
Sundays) unless otherwise authorized by the commission. The
applicant may submit a written statement setting forth the
reasons certain dates are sought.
(9) The proposed hours of each racing day.
(10) The location of the place, track, or enclosure where the
applicant proposes to conduct horse racing meetings.
(11) A statement of whether the racing plant is owned or leased
by the applicant.
(12) A statement of whether the racing plant will include a
facility, either physically connected to the clubhouse or in close
proximity, that will:
(A) display for public inspection trophies, memorabilia, and
instructional material depicting the history of horse racing;
and
(B) be made available as a repository for the collections of
the Indiana Harness Horse Hall of Fame.
(13) Any other information that the commission requires.
(c) An application under this section must be signed and verified
as follows:
(1) An application by an individual must be signed and verified
under oath by that individual.
(2) An application by two (2) or more individuals or by a
partnership 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 corporation
must 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 be
signed and verified under oath by two (2) managers or members
of 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 permit
application as required by the rules of the commission;
(2) file a cash bond, certified check, or bank draft in the manner
provided 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 file
with the commission a list of the personnel to be employed during
the 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. The
applicant must promptly report any changes in the personnel on the
list 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 meeting
permit unless the applicant has filed with the commission:
(1) a financial statement prepared and certified by a certified
public accountant in accordance with sound accounting
practices, showing the net worth of the applicant;
(2) a statement from the department of state revenue and the
treasurer of state that there are no pari-mutuel taxes or other
obligations owed by the applicant to the state or any of its
departments or agencies;
(3) a statement from the county treasurer of the county in which
the applicant proposes to conduct horse racing meetings that
there are no real or personal property taxes owed by any of the
principals seeking the permit; and
(4) a statement of obligations that are owed or being contested,
including salaries, purses, entry fees, laboratory fees, and debts
owed to vendors and suppliers.
(b) In addition to the requirements of subsection (a), the
commission may not issue a recognized meeting permit for a
recognized meeting to occur in a county unless IC 4-31-4 has been
satisfied. 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 a
horse racing meeting, a permit holder shall post a bond in an amount
not to exceed one million dollars ($1,000,000), as determined by the
commission. The bond, which is subject to the approval of the
commission, must be payable to the commission as obligee for use
in payment of the applicant's financial obligations to the commission
or the state and other aggrieved parties, as determined by the rules of
the 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 owner
of the racing plant must file a copy of the current lease with the
application unless a copy is already on file with the commission.
(b) If the racing plant is leased by the applicant, the owner of the
racing plant must provide the following to the commission at the
time the application is filed:
(1) A current financial statement showing assets and liabilities.
(2) Its latest operating statement showing income and expenses
related to the racing plant.
(3) A list of the names, addresses, and occupations of all of its
officers, directors, owners, shareholders, or partners. However,
in the case of a corporation whose stock is publicly traded, this
information is required only for the corporation's officers and
directors and for those stockholders owning or controlling five
percent (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 of
the capital or profits of a partnership that files the information
required by subsection (a) or (b), the other business entity is required
to 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 commission
may issue or deny a permit to an applicant to conduct a horse racing
meeting 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 of
the 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 public
or an employee, a vendor, a supplier, an owner, or a trainer; or
(3) the purchaser of a track from a permit holder described in
subdivision (2) if defaults at that track have not been satisfied
by 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 in
subdivision (1), if defaults at that track have not been satisfied
by 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 or
stockholders who own, an interest in any other permit issued by
the commission in the same year for any other racetrack in
Indiana.
(d) The commission may not issue a permit that would allow
pari-mutuel racing to be conducted at the same hour at two (2) or
more locations in the same county or adjacent counties.
(e) A permit issued under this section is valid from January 1 to
December 31 of the year for which it is issued. An application must
be 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 the
commission adopts a rule under subsection (c)) the number of racing
days authorized under each recognized meeting permit. Except for
racing at winterized tracks, a recognized meeting may not be
conducted after December 10 of a calendar year.
(b) Except as provided in subsection (c), the commission shall
require at least one hundred forty (140) but not more than one
hundred sixty-five (165) live racing days each calendar year at the
racetrack designated in a permit holder's permit, as follows:
(1) At least eighty (80) but not more than ninety (90) live racing
days must be for standardbreds.
(2) At least sixty (60) but not more than seventy-five (75) live
racing 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 for
maintaining the permit holder's permit. However, the requirements
do not apply if the commission determines that the permit holder is
prevented from conducting live horse racing as a result of a natural
disaster 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 under
subsection (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 meeting
permit 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 other
emergencies, to be made up at the rate of one (1) race each day
or 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, the
commission may increase or decrease the number of racing days
previously granted by the commission to that permit holder for a
racing 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 to
schedule 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 sired
horses, 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 be
conducted;
(3) specify the types of racing that are permitted;
(4) specify the days on which the permit holder may conduct
races, 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, which
may not exceed nine (9), except as provided in section 10 of
this chapter; and
(7) state that the permit is granted upon the condition that the
permit holder agrees to observe and enforce this article and the
rules 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 and
applies 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 place
in the permit holder's principal office at the racetrack during the
horse racing meeting. The permit holder shall show the permit to a
person 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 under
IC 4-31-3-9(1)(E) through IC 4-31-3-9(1)(G) shall be paid into the
state general fund. As added by P.L.24-1992, SEC.17.
