Authority: IC 4-33-4; IC 4-33-14-10; IC 4-35-4; IC 4-35-11-10

Affected: IC 4-13-16.5; IC 4-33; IC 4-35

Sec. 9. (a) Within thirty (30) days after a casino licensee determines that it will not attain an established goal, or that it will not reach utilization consistent with capacity as determined by the most recent disparity study conducted under IC 4-33-14-5(b) or IC 4-35-11- 6(b), the casino licensee shall submit a report to the commission that includes a detailed description of its efforts to attain the established goal or capacity, including, but not limited to, the following:

1. (1) Documentation of direct contact or negotiations with minority and women's business enterprises for specific contracting or transacting opportunities. The actions taken shall be reported in a manner that will include the following items:

   1. (A) A detailed statement of the efforts made to negotiate with minority and women's business enterprises, including the following:

      1. (i) The names, business addresses, and business telephone numbers of the minority and women's business enterprises contacted.
      2. (ii) A detailed statement of the reason why prospective agreements were not reached.
   2. (B) A detailed statement of the efforts, if any, to be undertaken by the licensee that may reasonably be expected to increase the likelihood of achieving the established goal.
2. (2) Documentation of any advertising performed in the search for prospective minority and women's business enterprises for the contract or transaction.
3. (3) Documentation of any notifications provided to minority business assistance agencies for the purpose of locating prospective minority and women's business enterprises for the contract or transaction.
4. (4) Documentation of efforts taken to research other possible areas of participation.
5. (5) Documentation regarding the contractor's policies or programs as they pertain to the utilization of minority and women's business enterprises. This documentation should also provide an explanation of the methods used to carry out those policies or programs.
6. (6) Documentation relevant to any other efforts made to assist minority and women's business enterprises in overcoming any traditional barriers of participation in the industry affected by the contract or transaction.

(b) The casino licensee and contractor shall maintain adequate records of all relevant data with respect to the utilization and attempted utilization of minority and women's business enterprises and shall provide full access to these records to the executive director or commission upon request to inspect them. The commission shall make the records required by this article available to the department of administration, minority business development upon the direction of the executive director. The records shall include, but not be limited to, the following information:

1. (1) The degree of achievement of the goals the casino licensee believes possible, and the time frame for achieving the established goals.
2. (2) The plan devised by the casino licensee regarding the utilization of minority and women's business enterprises.
3. (3) The resources being devoted toward attainment of the established goal and any changes in that level during the past year.
4. (4) Any problems encountered by contractors in complying with the provisions of a participation plan, the casino licensee's reaction to these problems, and the efforts made to anticipate the problems and adjust the efforts accordingly.

(Indiana Gaming Commission; 68 IAC 3-3-9; filed Jul 3, 1996, 5:00 p.m.: 19 IR 3037; readopted filed Nov 25, 2002, 10:11 a.m.: 26 IR 1261; filed Oct 1, 2008, 4:17 p.m.: 20081029-IR-068080075FRA; readopted filed Nov 24, 2014, 10:49 a.m.: 20141224-IR-068140402RFA; readopted filed Nov 24, 2020, 2:41 p.m.: 20201223-IR-068200446RFA)