Authority: IC 4-31-3-9; IC 4-35-7-12

Affected: IC 2-7-1-9; IC 4-31; IC 4-35

Sec. 3. In addition to the information described in section 2(b) of this rule, the registration of a horsemen's association to receive monies allocated pursuant to IC 4-35-7-12 shall include, but not be limited to, the following information:

1. (1) A proposed budget for the calendar year (or, in the case of a registration under section 1(c) of this rule, the calendar years) to which the registration applies that separately identifies general categories for the expenditure of funds anticipated to be paid by the permit holders to the horsemen's association for:

   1. (A) equine promotion or welfare under IC 4-35-7-12(d)(1);
   2. (B) backside benevolence under IC 4-35-7-12(d)(2); and
   3. (C) the purposes provided for in IC 4-35-7-12(f) in the amount provided for by IC 4-35-7-12(f)(1)(A)(ii) and IC 4-35-7-12(f)(1)(A)(iii), IC 4-35-7-12(f)(2)(C)(ii), or IC 4-35-7-12(f)(3)(A)(ii).
2. (2) A specific description of the accounting, auditing, internal control, and reporting procedures that will be maintained by the horsemen's association with respect to the three (3) separate accounts required by section 8(a)(7) of this rule during the calendar year for which payments will be made, as well as the name and contact information of the individuals responsible for each function.
3. (3) A certification by the board of directors of the horsemen's association that the expenditures from funds paid by the permit holders for subdivision (1)(A) and (1)(B) are in the best interests of horse racing in Indiana for the breed represented by the horsemen's association.
4. (4) A conflict of interest policy approved by the commission that has been executed by all of the officers, directors, and employees of the horsemen's association.

5. (5) Certification by an officer of the horsemen's association that no monies distributed under IC 4-35-7-12 have been used in either the current year or will be used from the budget year for either:

   1. (A) a contribution to a candidate or committee; or
   2. (B) lobbying, as defined in IC 2-7-1-9.
6. (6) Any other information requested by the commission or its executive director.

(Indiana Horse Racing Commission; 71 IAC 13-1-3; emergency rule filed Jul 11, 2008, 2:13 p.m.: 20080723-IR- 071080595ERA; emergency rule filed Sep 10, 2012, 2:01 p.m.: 20120912-IR-071120525ERA; emergency rule filed Apr 4, 2013, 1:05 p.m.: 20130410-IR-071130134ERA; emergency rule filed Oct 22, 2014, 3:01 p.m.: 20141029-IR-071140446ERA; readopted filed Aug 28, 2019, 1:23 p.m.: 20190925-IR-071190319RFA; emergency rule filed Jun 1, 2020, 1:57 p.m.: 20200610- IR-071200295ERA; readopted filed Jul 6, 2023, 1:50 p.m.: 20230802-IR-071230371RFA; readopted filed Aug 3, 2023, 12:49 p.m.: 20230830-IR-071230428RFA)