IC 4TITLE 4. STATE OFFICES AND ADMINISTRATION
           Art. 1.MISCELLANEOUS PROVISIONS
           Art. 1.5.REPEALED
           Art. 2.STATE OFFICERS GENERALLY
           Art. 3.GOVERNOR
           Art. 4.LIEUTENANT GOVERNOR
           Art. 5.SECRETARY OF STATE
           Art. 6.ATTORNEY GENERAL
           Art. 7.AUDITOR OF STATE
           Art. 8.REPEALED
           Art. 8.1.TREASURER OF STATE
           Art. 9.REPEALED
           Art. 9.1.STATE BOARD OF FINANCE
           Art. 10.STATE FUNDS GENERALLY
           Art. 11.LOANS OF STATE FUNDS AND MORTGAGES TO STATE
           Art. 12.APPROPRIATIONS MANAGEMENT
           Art. 13.ADMINISTRATIVE MANAGEMENT OF STATE SERVICES, EMPLOYEES, PURCHASES, AND PROPERTY
           Art. 13.1.OFFICE OF TECHNOLOGY
           Art. 13.4.REPEALED
           Art. 13.5.CONSTRUCTION OF STATE OFFICE BUILDINGS AND OTHER FACILITIES
           Art. 13.6.STATE PUBLIC WORKS
           Art. 14.REPEALED
           Art. 15.PERSONNEL ADMINISTRATION
           Art. 16.REPEALED
           Art. 17.STATE LANDS─ACQUISITION
           Art. 18.REPEALED
           Art. 19.REPEALED
           Art. 20.REPEALED
           Art. 20.5.STATE REAL PROPERTY
           Art. 21.REPEALED
           Art. 21.5.ADMINISTRATIVE ORDERS AND PROCEDURES
           Art. 22.ADMINISTRATIVE RULES AND PROCEDURES
           Art. 23.BOARDS AND COMMISSIONS
           Art. 24.INSTITUTIONS─GENERAL PROVISIONS
           Art. 25.REPEALED
           Art. 26.REPEALED
           Art. 27.REPEALED
           Art. 28.REPEALED
           Art. 29.TRIBAL GAMING
           Art. 30.INDIANA STATE LOTTERY
           Art. 31.PARI-MUTUEL WAGERING ON HORSE RACES
           Art. 32.REPEALED
           Art. 32.2.CHARITY GAMING
           Art. 33.RIVERBOAT GAMBLING
           Art. 34.INDIANA TECHNOLOGY FUND
           Art. 35.GAMBLING GAMES AT RACETRACKS
           Art. 36.TYPE II GAMING IN ESTABLISHMENTS LICENSED TO SELL ALCOHOLIC BEVERAGES
           Art. 37.STATE MUSEUM AND HISTORIC SITES

 

IC 4-1ARTICLE 1. MISCELLANEOUS PROVISIONS
           Ch. 1.Fiscal Year; Filing of Annual Reports to Governor
           Ch. 2.Office Hours; Employees' Hours of Work
           Ch. 3.State Government Relocation; Enemy Attack
           Ch. 4.Local Government Office Relocation; Enemy Attack
           Ch. 5.Repealed
           Ch. 6.Fair Information Practices; Privacy of Personal Information
           Ch. 7.Repealed
           Ch. 7.1.Expiration of Certain Agencies
           Ch. 8.State Requests for Social Security Number
           Ch. 9.Background Check of Employees of Bodies Corporate and Politic
           Ch. 10.Release of Social Security Number
           Ch. 11.Notice of Security Breach
           Ch. 12.Implementation of the Patient Protection and Affordable Care Act
           Ch. 13.Government Reduction Reports

 

IC 4-1-1Chapter 1. Fiscal Year; Filing of Annual Reports to Governor
           4-1-1-1Dates beginning and ending
           4-1-1-2Reports to governor

 

IC 4-1-1-1Dates beginning and ending

     Sec. 1. The fiscal year for the state of Indiana be, and the same is hereby fixed to begin with the first day of July in each year and to end with the thirtieth day of June of the succeeding year.

Formerly: Acts 1933, c.33, s.1.

 

IC 4-1-1-2Reports to governor

     Sec. 2. Wherever it is now provided by law that any officer, board, commission, department, institution, association, service, agency, or undertaking of state government shall file an annual report with the governor, such report shall be filed covering the fiscal year beginning July 1, and ending June 30, as herein provided for, and such report shall be filed on or before September 1 of each year; Provided, That such reports to be filed during the calendar year of 1933, shall cover the period from October 1, 1932, to June 30, 1933, and shall be filed on or before September 1, 1933.

Formerly: Acts 1933, c.33, s.3.

 

IC 4-1-2Chapter 2. Office Hours; Employees' Hours of Work
           4-1-2-1State employees; working day; holidays; state library
           4-1-2-2Legal action on days state offices closed
           4-1-2-3Supreme court; court of appeals; rules for conduct of business

 

IC 4-1-2-1State employees; working day; holidays; state library

     Sec. 1. It is the intent of this chapter that state offices be open and able to conduct public business at all times during an eight and one-half (8 1/2) hour working day. Each employee shall work for a full seven and one-half (7 1/2) hours each working day and provision for a one (1) hour lunch period shall be provided each employee. Lunch hours of employees shall be staggered to permit the conduct of business at all times during a working day. Breaks shall be provided as set forth in IC 5-10-6-2. It shall be lawful for state offices to close their doors for business from the close of the working day each Friday or in the event Friday is a legal holiday, then from the close of the working day on the Thursday which immediately precedes such legal holiday, until the commencement of the working day on the next following Monday, or in the event Monday is a legal holiday, then until the commencement of the working day on the Tuesday which immediately follows such legal holiday; provided, however, that the state library may be kept open until noon Saturdays in the discretion of the Indiana library and historical board.

Formerly: Acts 1953, c.133, s.1. As amended by P.L.5-1984, SEC.1; P.L.13-2008, SEC.1.

 

IC 4-1-2-2Legal action on days state offices closed

     Sec. 2. Legal action required to be taken at state offices during the time said offices are closed pursuant to the provisions of this chapter can be taken on the next following day said offices are open pursuant to the provisions of this chapter to the same effect as if this chapter had not become law.

Formerly: Acts 1953, c.133, s.2. As amended by P.L.5-1984, SEC.2.

 

IC 4-1-2-3Supreme court; court of appeals; rules for conduct of business

     Sec. 3. Nothing in this chapter contained shall be construed to affect the business of the supreme court or court of appeals of the state of Indiana as regulated by rule or law.

Formerly: Acts 1953, c.133, s.3. As amended by P.L.5-1984, SEC.3.

 

IC 4-1-3Chapter 3. State Government Relocation; Enemy Attack
           4-1-3-1Governor's duties; general assembly establishing location
           4-1-3-2Validity of official acts performed at temporary emergency location
           4-1-3-3Conflicting laws

 

IC 4-1-3-1Governor's duties; general assembly establishing location

     Sec. 1. Whenever, due to any emergency resulting from the effects of enemy attack, or the anticipated effects of a threatened enemy attack, it becomes imprudent, inexpedient, or impossible to conduct the affairs of state government at the normal location of the seat of state government in Indianapolis, Marion County, state of Indiana, the governor shall, as often as the exigencies of the situation require, by proclamation, declare an emergency temporary location, or locations, for the seat of government at the place, or places, within or without this state as the governor may deem advisable under the circumstances, and shall take action and issue orders as may be necessary for an orderly transition of the affairs of state government to the emergency temporary location, or locations. The emergency temporary location, or locations, shall remain as the seat of government until the general assembly shall by law establish a new location, or locations, or until the emergency is declared to be ended by the governor and the seat of government is returned to its normal location.

Formerly: Acts 1959, c.199, s.1. As amended by P.L.215-2016, SEC.1.

 

IC 4-1-3-2Validity of official acts performed at temporary emergency location

     Sec. 2. During such time as the seat of government remains at such emergency temporary location, or locations, all official acts now or hereafter required to be performed at the seat of government by any officer, agency, department or authority of this state, including the convening and meeting of the general assembly in regular or special session, shall be as valid and binding when performed at such emergency temporary location, or locations, as if performed at the normal location of the seat of government.

Formerly: Acts 1959, c.199, s.2.

 

IC 4-1-3-3Conflicting laws

     Sec. 3. This chapter shall control and be supreme in the event it shall be employed notwithstanding the provisions of any other law to the contrary or in conflict with this chapter.

Formerly: Acts 1959, c.199, s.3. As amended by P.L.5-1984, SEC.4.

 

IC 4-1-4Chapter 4. Local Government Office Relocation; Enemy Attack
           4-1-4-1"Political subdivision"
           4-1-4-2Location; establishment by ordinances and resolutions
           4-1-4-3Powers of governing bodies; exercise without regard to formalities; validity of acts
           4-1-4-4Conflicting laws

 

IC 4-1-4-1"Political subdivision"

     Sec. 1. As used in this chapter, the term "political subdivision" shall mean any county, township, city, and town.

Formerly: Acts 1961, c.140, s.1. As amended by P.L.5-1984, SEC.5.

 

IC 4-1-4-2Location; establishment by ordinances and resolutions

     Sec. 2. Whenever, due to an emergency resulting from the effects of enemy attack, or the anticipated effects of a threatened enemy attack it becomes imprudent, inexpedient or impossible to conduct the affairs of local government at the regular or usual place or places thereof, the governing body of any political subdivision of this state may meet at any place within or without the territorial limits of such political subdivision on the call of the presiding officer or any two (2) members of such governing body, and shall proceed to establish and designate by ordinance, resolution or other manner, alternate or substitute sites or places as the emergency temporary location, or locations, of government where all, or any part, of the public business may be transacted and conducted during the emergency situation. Such sites or places may be within or without the territorial limits of such political subdivision and may be within or without this state.

Formerly: Acts 1961, c.140, s.2.

 

IC 4-1-4-3Powers of governing bodies; exercise without regard to formalities; validity of acts

     Sec. 3. During the period when the public business is being conducted at the emergency temporary location, or locations, the governing body and other officers of a political subdivision of this state shall have and possess and shall exercise, at any such temporary location, all of the executive, legislative and judicial powers and functions conferred upon such body and officers by or under the laws of this state. Such powers and functions may be exercised in the light of the exigencies of the emergency situation without regard to or compliance with time consuming procedures and formalities prescribed by law and pertaining thereto, and all acts of such body and officers shall be as valid and binding as if performed within the territorial limits of their political subdivision.

Formerly: Acts 1961, c.140, s.3.

 

IC 4-1-4-4Conflicting laws

     Sec. 4. This chapter shall control and be supreme in the event it shall be employed notwithstanding any provision of a statute or ordinance to the contrary or in conflict with this chapter.

Formerly: Acts 1961, c.140, s.4. As amended by P.L.5-1984, SEC.6.

 

IC 4-1-5Chapter 5. Repealed

Repealed by P.L.2-2007, SEC.390.

 

IC 4-1-6Chapter 6. Fair Information Practices; Privacy of Personal Information
           4-1-6-1Definitions
           4-1-6-2Personal information system
           4-1-6-3Right of inspection by data subject or agent; document search and duplication; standard charges
           4-1-6-4Disclosures limited to business hours; standard charges
           4-1-6-5Challenge of information by data subject; notice; minimum procedures
           4-1-6-6Securing of confidential information protected
           4-1-6-7State agencies maintaining one or more systems; requirements
           4-1-6-8Policy of access; restricted access as condition for receipt of donated materials
           4-1-6-8.5Consistent handling of information among and between agencies; principles and procedures
           4-1-6-8.6Requests for access to confidential records; improper disclosure; actions
           4-1-6-9Annual report to general assembly; specific statutory authorization for confidentiality; recommendations

 

IC 4-1-6-1Definitions

     Sec. 1. As used in this chapter, the term:

     (a) "Personal information system" means any recordkeeping process, whether automated or manual, containing personal information and the name, personal number, or other identifying particulars of a data subject.

     (b) "Personal information" means any information that describes, locates, or indexes anything about an individual or that affords a basis for inferring personal characteristics about an individual including, but not limited to, the individual's education, financial transactions, medical history, criminal or employment records, finger and voice prints, photographs, or the individual's presence, registration, or membership in an organization or activity or admission to an institution.

     (c) "Data subject" means an individual about whom personal information is indexed or may be located under the individual's name, personal number, or other identifiable particulars, in a personal information system.

     (d) "State agency" means every agency, board, commission, department, bureau, or other entity of the administrative branch of Indiana state government, except those which are the responsibility of the auditor of state, treasurer of state, secretary of state, attorney general, superintendent of public instruction, and excepting the department of state police and state educational institutions. After January 10, 2025, "state agency" includes an agency, a board, a commission, a department, a bureau, or another entity under the superintendent of public instruction.

     (e) "Confidential" means information which has been so designated by statute or by promulgated rule or regulation based on statutory authority.

As added by Acts 1977, P.L.21, SEC.1. Amended by Acts 1978, P.L.10, SEC.1; P.L.19-1983, SEC.1; P.L.2-2007, SEC.17; P.L.215-2016, SEC.2; P.L.219-2017, SEC.7.

 

IC 4-1-6-2Personal information system

     Sec. 2. Any state agency maintaining a personal information system shall:

     (a) collect, maintain, and use only that personal information as is relevant and necessary to accomplish a statutory purpose of the agency;

     (b) collect information to the greatest extent practicable from the data subject directly when the information may result in adverse determinations about an individual's rights, benefits and privileges under federal or state programs;

     (c) collect no personal information concerning in any way the political or religious beliefs, affiliations and activities of an individual unless expressly authorized by law or by a rule promulgated by the oversight committee on public records pursuant to IC 4-22-2;

     (d) assure that personal information maintained or disseminated from the system is, to the maximum extent possible, accurate, complete, timely, and relevant to the needs of the state agency;

     (e) inform any individual requested to disclose personal information whether that disclosure is mandatory or voluntary, by what statutory authority it is solicited, what uses the agency will make of it, what penalties and specific consequences for the individual, which are known to the agency, are likely to result from nondisclosure, whether the information will be treated as a matter of public record or as confidential information, and what rules of confidentiality will govern the information;

     (f) insofar as possible segregate information of a confidential nature from that which is a matter of public record; and, pursuant to statutory authority, establish confidentiality requirements and appropriate access controls for all categories of personal information contained in the system;

     (g) maintain a list of all persons or organizations having regular access to personal information which is not a matter of public record in the information system;

     (h) maintain a complete and accurate record of every access to personal information in a system which is not a matter of public record by any person or organization not having regular access authority;

     (i) refrain from preparing lists of the names and addresses of individuals for commercial or charitable solicitation purposes except as expressly authorized by law or by a rule promulgated by the oversight committee on public records pursuant to IC 4-22-2;

     (j) make reasonable efforts to furnish prior notice to an individual before any personal information on such individual is made available to any person under compulsory legal process;

     (k) establish rules and procedures to assure compliance with this chapter and instruct each of its employees having any responsibility or function in the design, development, operation or maintenance of such system or use of any personal information contained therein of each requirement of this chapter and of each rule and procedure adopted by the agency to assure compliance with this chapter;

     (l) establish appropriate administrative, technical and physical safeguards to insure the security of the information system and to protect against any anticipated threats or hazards to their security or integrity; and

     (m) exchange with other agencies official personal information that it has collected in the pursuit of statutory functions when:

(i) the information is requested for purposes authorized by law including a rule promulgated pursuant to IC 4-22-2;

(ii) the data subject would reasonably be expected to benefit from the action for which information is requested;

(iii) the exchange would eliminate an unnecessary and expensive duplication in data collection and would not tangibly, adversely affect the data subject; or

(iv) the exchange of information would facilitate the submission of documentation required for various state agencies and departments to receive federal funding reimbursement for programs which are being administered by the agencies and departments.

As added by Acts 1977, P.L.21, SEC.1. Amended by Acts 1978, P.L.10, SEC.2; Acts 1979, P.L.40, SEC.3.

 

IC 4-1-6-3Right of inspection by data subject or agent; document search and duplication; standard charges

     Sec. 3. Unless otherwise prohibited by law, any state agency that maintains a personal information system shall, upon request and proper identification of any data subject, or a data subject's authorized agent, grant the subject or agent the right to inspect and to receive at reasonable, standard charges for document search and duplication, in a form comprehensible to the subject or agent:

     (a) all personal information about the data subject, unless otherwise provided by statute, whether the information is a matter of public record or maintained on a confidential basis, except in the case of medical and psychological records, where the records shall, upon written authorization of the data subject, be given to a physician or psychologist designated by the data subject;

     (b) the nature and sources of the personal information, except where the confidentiality of the sources is required by statute; and

     (c) the names and addresses of any recipients, other than those with regular access authority, of personal information of a confidential nature about the data subject, and the date, nature, and purpose of the disclosure.

As added by Acts 1977, P.L.21, SEC.1. Amended by P.L.215-2016, SEC.3.

 

IC 4-1-6-4Disclosures limited to business hours; standard charges

     Sec. 4. An agency shall make the disclosures to data subjects required under this chapter during regular business hours. Copies of the documents containing the personal information sought by the data subject shall be furnished to the data subject or the data subject's representative at reasonable, standard charges for document search and duplication.

As added by Acts 1977, P.L.21, SEC.1. Amended by P.L.215-2016, SEC.4.

 

IC 4-1-6-5Challenge of information by data subject; notice; minimum procedures

     Sec. 5. If the data subject gives notice that the data subject wishes to challenge, correct, or explain information about the data subject in the personal information system, the following minimum procedures shall be followed:

     (a) the agency maintaining the information system shall investigate and record the current status of that personal information;

     (b) if, after the investigation, the information is found to be incomplete, inaccurate, not pertinent, not timely or not necessary to be retained, it shall be promptly corrected or deleted;

     (c) if the investigation does not resolve the dispute, the data subject may file a statement of not more than two hundred (200) words setting forth the data subject's position;

     (d) whenever a statement of dispute is filed, the agency maintaining the data system shall supply any previous recipient with a copy of the statement and, in any subsequent dissemination or use of the information in question, clearly mark that it is disputed and supply the statement of the data subject along with the information;

     (e) the agency maintaining the information system shall clearly and conspicuously disclose to the data subject the data subject's rights to make a request;

     (f) following any correction or deletion of personal information the agency shall, at the request of the data subject, furnish to past recipients notification delivered to their last known address that the item has been deleted or corrected and shall require the recipients to acknowledge receipt of the notification and furnish the data subject the names and last known addresses of all past recipients of the uncorrected or undeleted information.

As added by Acts 1977, P.L.21, SEC.1. Amended by P.L.215-2016, SEC.5.

 

IC 4-1-6-6Securing of confidential information protected

     Sec. 6. The securing by any individual of any confidential information which such individuals may obtain through the exercise of any right secured under the provisions of this chapter shall not condition the granting or withholding of any right, privilege, or benefit, or be made a condition of employment.

As added by Acts 1977, P.L.21, SEC.1.

 

IC 4-1-6-7State agencies maintaining one or more systems; requirements

     Sec. 7. (a) Any state agency maintaining one (1) or more personal information systems shall file an annual report on the existence and character of each system added or eliminated since the last report with the governor on or before December 31.

     (b) The agency shall include in such report at least the following information:

(1) The name or descriptive title of the personal information system and its location.

(2) The nature and purpose of the system and the statutory or administrative authority for its establishment.

(3) The categories of individuals on whom personal information is maintained including the approximate number of all individuals on whom information is maintained and the categories of personal information generally maintained in the system including identification of those which are stored in computer accessible records and those which are maintained manually.

(4) All confidentiality requirements, specifically:

(A) those personal information systems or parts thereof which are maintained on a confidential basis pursuant to a statute, contractual obligation, or rule; and

(B) those personal information systems maintained on an unrestricted basis.

(5) In the case of subdivision (4)(A) of this subsection, the agency shall include detailed justification of the need for statutory or regulatory authority to maintain such personal information systems or parts thereof on a confidential basis and, in making such justification, the agency shall make reference to section 8 of this chapter.

(6) The categories of sources of such personal information.

(7) The agency's policies and practices regarding the implementation of section 2 of this chapter relating to information storage, duration of retention of information, and elimination of information from the system.

(8) The uses made by the agency of personal information contained in the system.

(9) The identity of agency personnel, other agencies, and persons or categories of persons to whom disclosures of personal information are made or to whom access to the system may be granted, together with the purposes therefor and the restriction, if any, on such disclosures and access, including any restrictions on redisclosure.

(10) A listing identifying all forms used in the collection of personal information.

(11) The name, title, business address, and telephone number of the person immediately responsible for bringing and keeping the system in compliance with the provisions of this chapter.

As added by Acts 1977, P.L.21, SEC.1. Amended by Acts 1978, P.L.10, SEC.3; P.L.19-1983, SEC.2.

 

IC 4-1-6-8Policy of access; restricted access as condition for receipt of donated materials

     Sec. 8. (a) All state agencies subject to the provisions of this chapter shall adhere to the policy that all persons are entitled to access to information regarding the affairs of government and the official acts of those who represent them as public servants, such access being required to enable the people to freely and fully discuss all matters necessary for the making of political judgments. To that end, the provisions of this chapter shall be construed to provide access to public records to the extent consistent with the due protection of individual privacy.

     (b) Where such assurance is needed to obtain valuable considerations or gifts (which may include information) for the state, any agency, with the prior written approval of the oversight committee on public records, may allow restrictions upon public access to be imposed upon it as a specific condition of a contract, with a time limit not to exceed fifty (50) years or the lifetime of the individual, whichever is less. In order to promote the preservation of historical, cultural, natural, and other irreplaceable resources, the department of natural resources or the Indiana state library may extend, beyond the lifetime of the individual, restrictions upon disclosure of information received, providing that such restrictions do not exceed fifty (50) years from the date of the donation in the case of the Indiana state library.

As added by Acts 1977, P.L.21, SEC.1. Amended by Acts 1978, P.L.10, SEC.4; Acts 1979, P.L.40, SEC.4; P.L.19-1983, SEC.3.

 

IC 4-1-6-8.5Consistent handling of information among and between agencies; principles and procedures

     Sec. 8.5. In order to establish consistent handling of the same or similar personal information within and among agencies, each state agency collecting, maintaining, or transmitting such information shall apply the following principles and procedures:

(1) Information collected after December 31, 1978, which is classified as confidential must be clearly and uniformly designated as confidential in any form or other document in which it appears.

(2) When an agency which holds information classified as confidential disseminates that information to another agency, the receiving agency shall treat it in the same manner as the originating agency.

As added by Acts 1978, P.L.10, SEC.5. Amended by P.L.19-1983, SEC.4.

 

IC 4-1-6-8.6Requests for access to confidential records; improper disclosure; actions

     Sec. 8.6. (a) In cases where access to confidential records containing personal information is desired for research purposes, the agency shall grant access if:

(1) the requestor states in writing to the agency the purpose, including any intent to publish findings, the nature of the data sought, what personal information will be required, and what safeguards will be taken to protect the identity of the data subjects;

(2) the proposed safeguards are adequate to prevent the identity of an individual data subject from being known;

(3) the researcher executes an agreement on a form, approved by the oversight committee on public records, with the agency, which incorporates such safeguards for protection of individual data subjects, defines the scope of the research project, and informs the researcher that failure to abide by conditions of the approved agreement constitutes a breach of contract and could result in civil litigation by the data subject or subjects;

(4) the researcher agrees to pay all direct or indirect costs of the research; and

(5) the agency maintains a copy of the agreement or contract for a period equivalent to the life of the record.

     (b) Improper disclosure of confidential information by a state employee is cause for action to dismiss the employee.

As added by Acts 1978, P.L.10, SEC.6. Amended by Acts 1979, P.L.40, SEC.5; P.L.19-1983, SEC.5.

 

IC 4-1-6-9Annual report to general assembly; specific statutory authorization for confidentiality; recommendations

     Sec. 9. (a) Under the authority of the governor, a report shall be prepared, on or before December 1 annually, advising the general assembly of the personal information systems, or parts thereof, of agencies subject to this chapter, which are recommended to be maintained on a confidential basis by specific statutory authorization because their disclosure would constitute an invasion of personal privacy and there is no compelling, demonstrable and overriding public interest in disclosure. Such recommendations may include, but not be limited to, specific personal information systems or parts thereof which can be categorized as follows:

(1) Personal information maintained with respect to students and clients, patients or other individuals receiving social, medical, vocational, supervisory or custodial care or services directly or indirectly from public bodies.

(2) Personal information, excepting salary information, maintained with respect to employees, appointees or elected officials of any public body or applicants for such positions.

(3) Information required of any taxpayer in connection with the assessment or collection of any income tax.

(4) Information revealing the identity of persons who file complaints with administrative, investigative, law enforcement or penology agencies.

     (b) In addition, such report may list records or categories of records, which are recommended to be exempted from public disclosure by specific statutory authorization for reasons other than that their disclosure would constitute an unwarranted invasion of personal privacy, along with justification therefor.

     (c) A report described in this section must be in an electronic format under IC 5-14-6.

As added by Acts 1977, P.L.21, SEC.1. Amended by P.L.28-2004, SEC.13.

 

IC 4-1-7Chapter 7. Repealed

Repealed, as added by Acts 1977, P.L.22, SEC.1, by Acts 1978, P.L.8, SEC.4. Repealed, as added by Acts 1977, P.L.23, SEC.1, by Acts 1982, P.L.6, SEC.3.

 

IC 4-1-7.1Chapter 7.1. Expiration of Certain Agencies
           4-1-7.1-1"Agency" defined
           4-1-7.1-2Agencies created by resolution
           4-1-7.1-3Agencies created by executive order
           4-1-7.1-4Repealed
           4-1-7.1-5Repealed
           4-1-7.1-6"Accord"

 

IC 4-1-7.1-1"Agency" defined

     Sec. 1. "Agency" means any agency, authority, board, bureau, commission, committee, department, division, institution, or other similar unit created or established by act or resolution of the general assembly or by the executive order of an officer of the state; "agency" does not mean a subunit of an agency created by that agency.

As added by Acts 1982, P.L.6, SEC.2.

 

IC 4-1-7.1-2Agencies created by resolution

     Sec. 2. Every agency created by resolution expires no later than the expiration of the general assembly which created it.

As added by Acts 1982, P.L.6, SEC.2.

 

IC 4-1-7.1-3Agencies created by executive order

     Sec. 3. Every agency created by executive order expires no later than the date the officer who created it ceases to hold office.

As added by Acts 1982, P.L.6, SEC.2.

 

IC 4-1-7.1-4Repealed

As added by Acts 1982, P.L.6, SEC.2. Amended by P.L.12-1983, SEC.3; P.L.15-1988, SEC.1; P.L.13-1989, SEC.1; P.L.9-1991, SEC.1; P.L.2-1992, SEC.27. Repealed by P.L.11-1993, SEC.8.

 

IC 4-1-7.1-5Repealed

As added by P.L.11-1993, SEC.5. Repealed by P.L.2-2005, SEC.131.

 

IC 4-1-7.1-6"Accord"

     Sec. 6. (a) For purposes of this section, "Accord" refers to the Midwest Greenhouse Gas Reduction Accord signed on November 15, 2007.

     (b) Notwithstanding any other law, rule, or regulation, the participation of the state of Indiana in the Accord in any capacity, including as a signatory or an observer to the Accord, terminates not later than the date on which the elected official who signed the Accord on behalf of the state of Indiana ceases to hold office.

As added by P.L.113-2014, SEC.1.

 

IC 4-1-8Chapter 8. State Requests for Social Security Number
           4-1-8-1Prohibition against state agencies requiring individual Social Security numbers; exemptions
           4-1-8-2Forms including request; statement and notification; requisite information; posting
           4-1-8-3Forms including request; requisite statement and notification; printing and appendage
           4-1-8-4Refusal to provide number; obtaining from other source prohibited
           4-1-8-5Refusal to provide number; penalty prohibited
           4-1-8-6Removal of Social Security number from agency records; substitute identification number; notice on forms
           4-1-8-7Exempt agencies to report

 

IC 4-1-8-1Prohibition against state agencies requiring individual Social Security numbers; exemptions

     Sec. 1. (a) No individual may be compelled by any state agency, board, commission, department, bureau, or other entity of state government (referred to as "state agency" in this chapter) to provide the individual's Social Security number to the state agency against the individual's will, absent federal requirements to the contrary. However, the provisions of this chapter do not apply to the following:

(1) Department of state revenue.

(2) Department of workforce development.

(3) The programs administered by:

(A) the division of family resources;

(B) the division of mental health and addiction;

(C) the division of disability and rehabilitative services;

(D) the division of aging; and

(E) the office of Medicaid policy and planning;

of the office of the secretary of family and social services.

(4) Auditor of state.

(5) State personnel department.

(6) Secretary of state, with respect to the registration of broker-dealers, agents, and investment advisors.

(7) The legislative ethics commission, with respect to the registration of lobbyists.

(8) Indiana department of administration, with respect to bidders on contracts.

(9) Indiana department of transportation, with respect to bidders on contracts.

(10) Indiana professional licensing agency.

(11) Department of insurance, with respect to licensing of insurance producers.

(12) The department of child services.

(13) A pension fund administered by the board of trustees of the Indiana public retirement system.

(14) The state police benefit system.

(15) The alcohol and tobacco commission.

(16) The state department of health, for purposes of licensing radiologic technologists under IC 16-41-35-29(c).

     (b) The bureau of motor vehicles may, notwithstanding this chapter, require the following:

(1) That an individual include the individual's Social Security number in an application for an official certificate of title for any vehicle required to be titled under IC 9-17.

(2) That an individual include the individual's Social Security number on an application for registration.

(3) That a corporation, limited liability company, firm, partnership, or other business entity include its federal tax identification number on an application for registration.

(4) That an individual include the individual's Social Security number on an application for a license, a permit, or an identification card.

     (c) The Indiana department of administration, the Indiana department of transportation, and the Indiana professional licensing agency may require an employer to provide its federal employer identification number.

     (d) The department of correction may require a committed offender to provide the offender's Social Security number for purposes of matching data with the Social Security Administration to determine benefit eligibility.

     (e) The Indiana gaming commission may, notwithstanding this chapter, require the following:

(1) That an individual include the individual's Social Security number:

(A) in any application for a riverboat owner's license, supplier's license, or occupational license; or

(B) in any document submitted to the commission in the course of an investigation necessary to ensure that gaming under IC 4-32.2, IC 4-33, and IC 4-35 is conducted with credibility and integrity.

(2) That a sole proprietorship, a partnership, an association, a fiduciary, a corporation, a limited liability company, or any other business entity include its federal tax identification number on an application for a riverboat owner's license or supplier's license.

     (f) Notwithstanding this chapter, the department of education established by IC 20-19-3-1 may require an individual who applies to the department for a license or an endorsement to provide the individual's Social Security number. The Social Security number may be used by the department only for conducting a background investigation, if the department is authorized by statute to conduct a background investigation of an individual for issuance of the license or endorsement.

As added by Acts 1978, P.L.8, SEC.3. Amended by Acts 1979, P.L.16, SEC.1; Acts 1981, P.L.23, SEC.1; P.L.6-1987, SEC.3; P.L.18-1987, SEC.1; P.L.14-1989, SEC.1; P.L.335-1989(ss), SEC.1; P.L.1-1990, SEC.10; P.L.2-1991, SEC.19; P.L.2-1992, SEC.28; P.L.1-1993, SEC.15; P.L.21-1993, SEC.1; P.L.22-1993, SEC.1; P.L.8-1993, SEC.6; P.L.1-1994, SEC.7; P.L.20-1995, SEC.1; P.L.21-1995, SEC.1; P.L.215-2001, SEC.1; P.L.261-2003, SEC.2; P.L.178-2003, SEC.1; P.L.72-2004, SEC.1; P.L.1-2005, SEC.55; P.L.246-2005, SEC.37; P.L.1-2006, SEC.6; P.L.141-2006, SEC.3; P.L.145-2006, SEC.3; P.L.157-2006, SEC.1; P.L.1-2007, SEC.2; P.L.142-2009, SEC.1; P.L.35-2012, SEC.13; P.L.85-2013, SEC.1.

 

IC 4-1-8-2Forms including request; statement and notification; requisite information; posting

     Sec. 2. (a) On any form, application, or other writing prepared by or issued under the authority of any state agency, the following information must be included if the individual is requested to provide the individual's Social Security number:

(1) a brief statement of the reason why the Social Security number is requested by the state agency; and

(2) a notification either:

(A) that the state agency is required by federal law to obtain the individual's Social Security number and that the form or application cannot be processed unless the individual provides the number, if that be the case; or

(B) that the individual has the right to refuse to provide the individual's Social Security number to the agency, if the individual so desires, and that the individual will not be penalized.

     (b) In any location where a form, application, or other writing covered in subsection (a) is taken or filled out, there shall be posted in a conspicuous place a sign in bold print containing information identical to that required on the forms required in subsection (a).

As added by Acts 1978, P.L.8, SEC.3. Amended by P.L.215-2016, SEC.6.

 

IC 4-1-8-3Forms including request; requisite statement and notification; printing and appendage

     Sec. 3. There shall be printed on all forms, applications or other writings which include a request for the social security number produced by or for any state agency on and after January 1, 1978, immediately preceding or following such request, the statement and notification required by section 2 of this chapter. To all forms, applications and other writings which include a request for the social security number already in use, but not yet executed, by a state agency on January 1, 1978, there shall be appended, on or before said date, the statement and notification required by section 2 of this chapter.

As added by Acts 1978, P.L.8, SEC.3.

 

IC 4-1-8-4Refusal to provide number; obtaining from other source prohibited

     Sec. 4. In any case where an individual shall refuse to provide the individual's Social Security number to a state agency in accordance with the provisions of section 2(a)(2)(B) of this chapter, the state agency to which the individual has made the individual's refusal known is prohibited from obtaining the Social Security number from any other source.

As added by Acts 1978, P.L.8, SEC.3. Amended by P.L.215-2016, SEC.7.

 

IC 4-1-8-5Refusal to provide number; penalty prohibited

     Sec. 5. No individual shall be penalized in any manner, by the loss or threat of loss of services or assistance or by the denial or refusal to issue any license or permit, by a state agency for the individual's refusal in accordance with the provisions of section 2(a)(2)(B) of this chapter to provide the individual's Social Security number to the state agency.

As added by Acts 1978, P.L.8, SEC.3. Amended by P.L.215-2016, SEC.8.

 

IC 4-1-8-6Removal of Social Security number from agency records; substitute identification number; notice on forms

     Sec. 6. Each state agency covered by this chapter shall develop a method under which a person who has previously given the person's Social Security number to the state agency at that person's request may have the number removed from the records of the agency and substitute the new identification number to be used by the person. The notice printed on forms and posted in the office of the agency shall include information on the right of the applicant to remove the applicant's Social Security number from existing records.

As added by Acts 1978, P.L.8, SEC.3. Amended by P.L.215-2016, SEC.9.

 

IC 4-1-8-7Exempt agencies to report

     Sec. 7. Each state agency, which is exempt under the provisions of section 1 of this chapter, shall prepare a report, on or before January 1 annually, to the general assembly setting forth any form, application, or other writing required or maintained by it which contains the social security number of any individual. Such report shall also set forth the reason or rationale for requiring such social security number. The report must be in an electronic format under IC 5-14-6.

As added by Acts 1978, P.L.8, SEC.3. Amended by P.L.28-2004, SEC.14.

 

IC 4-1-9Chapter 9. Background Check of Employees of Bodies Corporate and Politic
           4-1-9-1Application
           4-1-9-2Application
           4-1-9-3Policy required
           4-1-9-4Policy not less stringent than state personnel department policy

 

IC 4-1-9-1Application

     Sec. 1. This chapter applies only to a body corporate and politic.

As added by P.L.261-2003, SEC.3.

 

IC 4-1-9-2Application

     Sec. 2. This chapter does not apply to a political subdivision.

As added by P.L.261-2003, SEC.3.

 

IC 4-1-9-3Policy required

     Sec. 3. A body corporate and politic shall establish a policy for conducting background checks of persons for purposes of employment with the body corporate and politic.

As added by P.L.261-2003, SEC.3.

 

IC 4-1-9-4Policy not less stringent than state personnel department policy

     Sec. 4. A policy adopted under this chapter may not be less stringent than a background check policy implemented by the state personnel department for employment with a state agency that is subject to the jurisdiction of the state personnel department.

As added by P.L.261-2003, SEC.3.

 

IC 4-1-10Chapter 10. Release of Social Security Number
           4-1-10-1Applicability
           4-1-10-1.5"Person"
           4-1-10-2"State agency"
           4-1-10-3Nondisclosure of Social Security number
           4-1-10-4Exceptions to nondisclosures of Social Security number
           4-1-10-5Permitted disclosures of Social Security number
           4-1-10-5.5Disclosure of Social Security number by state educational institution
           4-1-10-6State agency compliance
           4-1-10-7Impermissible disclosure of Social Security number; required notice
           4-1-10-8Criminal disclosures of Social Security number; Level 6 felony
           4-1-10-9False representation to obtain Social Security number; Level 6 felony
           4-1-10-10Negligent disclosure of Social Security number; Class A infraction
           4-1-10-11Attorney general investigation of disclosures; notice to county prosecutor and state police
           4-1-10-12Attorney general determination of infraction; report to appointing authority and county prosecutor
           4-1-10-13Attorney general rulemaking authority

 

IC 4-1-10-1Applicability

     Sec. 1. This chapter applies after June 30, 2006.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-1.5"Person"

     Sec. 1.5. As used in this chapter, "person" means an individual, a corporation, a limited liability company, a partnership, or other legal entity.

As added by P.L.160-2007, SEC.1.

 

IC 4-1-10-2"State agency"

     Sec. 2. As used in this chapter, "state agency" means an authority, a board, a branch, a commission, a committee, a department, a division, or another instrumentality of the executive, including the administrative, department of state government. Except as provided in subdivision (4), the term does not include the judicial or legislative department of state government. The term includes the following:

(1) A state elected official's office.

(2) A state educational institution.

(3) A body corporate and politic of the state created by state statute.

(4) The Indiana lobby registration commission established by IC 2-7-1.6-1.

As added by P.L.91-2005, SEC.1. Amended by P.L.2-2007, SEC.18.

 

IC 4-1-10-3Nondisclosure of Social Security number

     Sec. 3. (a) For purposes of this section, disclosure of the last four (4) digits of an individual's Social Security number is not a disclosure of the individual's Social Security number.

     (b) Except as provided in section 4 or 5 of this chapter, a state agency may not disclose an individual's Social Security number.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-4Exceptions to nondisclosures of Social Security number

     Sec. 4. Unless prohibited by state law, federal law, or court order, the following apply:

(1) A state agency may disclose the Social Security number of an individual to a state, local, or federal agency.

(2) A state law enforcement agency may, for purposes of furthering an investigation, disclose the Social Security number of an individual to any individual, state, local, or federal agency, or other legal entity.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-5Permitted disclosures of Social Security number

     Sec. 5. (a) A state agency may disclose the Social Security number of an individual if any of the following apply:

(1) The disclosure of the Social Security number is expressly required by state law, federal law, or a court order.

(2) The individual expressly consents in writing to the disclosure of the individual's Social Security number.

(3) The disclosure of the Social Security number is:

(A) made to comply with:

(i) the USA Patriot Act of 2001 (P.L. 107-56); or

(ii) Presidential Executive Order 13224; or

(B) to a commercial entity for the permissible uses set forth in the:

(i) Drivers Privacy Protection Act (18 U.S.C. 2721 et seq.);

(ii) Fair Credit Reporting Act (15 U.S.C. 1681 et seq.); or

(iii) Financial Modernization Act of 1999 (15 U.S.C. 6801 et seq.).

(4) The disclosure of the Social Security number is for the purpose of administration of a state agency employee's or the state agency employee's dependent's health benefits.

(5) The disclosure of the Social Security number is for the purpose of administration of:

(A) a pension fund administered by the board of trustees of the Indiana public retirement system;

(B) a deferred compensation plan or defined contribution plan established under IC 5-10-1.1;

(C) a pension plan established by the state police department under IC 10-12;

(D) the Uniform Commercial Code (IC 26-1) by the office of the secretary of state; or

(E) Title IV-D of the federal Social Security Act.

     (b) A state agency's disclosure of the Social Security number of an individual in compliance with subsection (a) does not violate IC 5-14-3-4(a)(12).

As added by P.L.91-2005, SEC.1. Amended by P.L.29-2006, SEC.1; P.L.106-2008, SEC.1; P.L.35-2012, SEC.14; P.L.128-2012, SEC.1.

 

IC 4-1-10-5.5Disclosure of Social Security number by state educational institution

     Sec. 5.5. Unless prohibited by state law, federal law, or a court order, the following apply:

(1) A state educational institution may disclose, in addition to the disclosures otherwise permitted by this chapter, a Social Security number of an individual to the following:

(A) A state, local, or federal agency or a person with whom a state, local, or federal agency has a contract to perform the agency's duties and responsibilities.

(B) A person that the state educational institution contracts with to provide goods or services to the state educational institution if:

(i) the disclosure is necessary for the contractor to perform the contractor's duties and responsibilities under the contract; and

(ii) the contract requires adequate safeguards, including any safeguards required by state or federal law, to prevent any use or disclosure of the Social Security numbers for any purpose other than those purposes described in the contract and to require the return or confirmed destruction of any Social Security numbers following termination of the contractual relationship.

(C) Persons to whom the state educational institution may otherwise legally disclose for the permissible purposes of the following:

(i) The Family Education Rights and Privacy Act (20 U.S.C. 1232g et seq.).

(ii) The Health Insurance Portability and Accountability Act (42 U.S.C. 201 et seq.).

(D) The state educational institution's legal counsel, but only to the extent that a state educational institution could disclose a Social Security number to an in-house counsel.

(2) Consent for the authorized disclosure of any individual's Social Security number may be given to a state educational institution by electronic transmission if the state educational institution is reasonably able to verify the authenticity of the consent. A state educational institution may rely on the written consent of an individual given to a third party if the consent expressly permits the disclosure of the individual's Social Security number by the state educational institution.

As added by P.L.160-2007, SEC.2.

 

IC 4-1-10-6State agency compliance

     Sec. 6. A state agency complies with section 3 of this chapter if the agency:

(1) removes; or

(2) completely and permanently obscures;

a Social Security number on a public record before disclosing the public record.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-7Impermissible disclosure of Social Security number; required notice

     Sec. 7. If a state agency releases a Social Security number in violation of this chapter, the agency shall provide notice to the person whose Social Security number was disclosed in the manner set forth in IC 4-1-11.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-8Criminal disclosures of Social Security number; Level 6 felony

     Sec. 8. An employee of a state agency who knowingly, intentionally, or recklessly discloses a Social Security number in violation of this chapter commits a Level 6 felony.

As added by P.L.91-2005, SEC.1. Amended by P.L.158-2013, SEC.57.

 

IC 4-1-10-9False representation to obtain Social Security number; Level 6 felony

     Sec. 9. A person who knowingly, intentionally, or recklessly makes a false representation to a state agency to obtain a Social Security number from the state agency commits a Level 6 felony.

As added by P.L.91-2005, SEC.1. Amended by P.L.158-2013, SEC.58.

 

IC 4-1-10-10Negligent disclosure of Social Security number; Class A infraction

     Sec. 10. An employee of a state agency who negligently discloses a Social Security number in violation of this chapter commits a Class A infraction.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-11Attorney general investigation of disclosures; notice to county prosecutor and state police

     Sec. 11. (a) The attorney general may investigate any allegation that a Social Security number was disclosed in violation of this chapter.

     (b) If the attorney general determines that there is evidence that a state employee committed a criminal act under section 8 or 9 of this chapter, the attorney general shall report the attorney general's findings to:

(1) the prosecuting attorney in the county where the criminal act occurred; and

(2) the state police department.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-12Attorney general determination of infraction; report to appointing authority and county prosecutor

     Sec. 12. If the attorney general determines that there is evidence that a state employee committed an infraction under section 10 of this chapter, the attorney general:

(1) shall report the attorney general's findings to the appointing authority (as defined in IC 4-2-6-1) of the agency that employs the employee; and

(2) may report the attorney general's findings to the local prosecuting attorney in the county where the infraction occurred.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-10-13Attorney general rulemaking authority

     Sec. 13. The attorney general may adopt rules under IC 4-22-2 that the attorney general considers necessary to carry out this chapter.

As added by P.L.91-2005, SEC.1.

 

IC 4-1-11Chapter 11. Notice of Security Breach
           4-1-11-1Applicability
           4-1-11-2"Breach of the security of the system"
           4-1-11-3"Personal information"
           4-1-11-4"State agency"
           4-1-11-5Disclosures of security breach
           4-1-11-6Notification to third party owner of security breach
           4-1-11-7Time requirement for notification
           4-1-11-8Form of notification
           4-1-11-9Alternate form of notification
           4-1-11-10Notification to consumer reporting agencies

 

IC 4-1-11-1Applicability

     Sec. 1. This chapter applies after June 30, 2006.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-2"Breach of the security of the system"

     Sec. 2. (a) As used in this chapter, "breach of the security of the system" means unauthorized acquisition of computerized data that compromises the security, confidentiality, or integrity of personal information maintained by a state or local agency.

     (b) The term does not include the following:

(1) Good faith acquisition of personal information by an agency or employee of the agency for purposes of the agency, if the personal information is not used or subject to further unauthorized disclosure.

(2) Unauthorized acquisition of a portable electronic device on which personal information is stored if access to the device is protected by a password that has not been disclosed.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-3"Personal information"

     Sec. 3. (a) As used in this chapter, "personal information" means:

(1) an individual's:

(A) first name and last name; or

(B) first initial and last name; and

(2) at least one (1) of the following data elements:

(A) Social Security number.

(B) Driver's license number or identification card number.

(C) Account number, credit card number, debit card number, security code, access code, or password of an individual's financial account.

     (b) The term does not include the following:

(1) The last four (4) digits of an individual's Social Security number.

(2) Publicly available information that is lawfully made available to the public from records of a federal agency or local agency.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-4"State agency"

     Sec. 4. As used in this section "state agency" has the meaning set forth in IC 4-1-10-2.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-5Disclosures of security breach

     Sec. 5. (a) Any state agency that owns or licenses computerized data that includes personal information shall disclose a breach of the security of the system following discovery or notification of the breach to any state resident whose unencrypted personal information was or is reasonably believed to have been acquired by an unauthorized person.

     (b) The disclosure of a breach of the security of the system shall be made:

(1) without unreasonable delay; and

(2) consistent with:

(A) the legitimate needs of law enforcement, as described in section 7 of this chapter; and

(B) any measures necessary to:

(i) determine the scope of the breach; and

(ii) restore the reasonable integrity of the data system.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-6Notification to third party owner of security breach

     Sec. 6. (a) This section applies to a state agency that maintains computerized data that includes personal information that the state agency does not own.

     (b) If personal information was or is reasonably believed to have been acquired by an unauthorized person, the state agency shall notify the owner or licensee of the information of a breach of the security of the system immediately following discovery. The agency shall provide the notice to state residents as required under section 5 of this chapter.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-7Time requirement for notification

     Sec. 7. The notification required by this chapter:

(1) may be delayed if a law enforcement agency determines that the notification will impede a criminal investigation; and

(2) shall be made after the law enforcement agency determines that it will not compromise the investigation.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-8Form of notification

     Sec. 8. Except as provided in section 9 of this chapter, a state agency may provide the notice required under this chapter:

(1) in writing; or

(2) by electronic mail, if the individual has provided the state agency with the individual's electronic mail address.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-9Alternate form of notification

     Sec. 9. (a) This section applies if a state agency demonstrates that:

(1) the cost of providing the notice required under this chapter is at least two hundred fifty thousand dollars ($250,000);

(2) the number of persons to be notified is at least five hundred thousand (500,000); or

(3) the agency does not have sufficient contact information;

the state agency may use an alternate form of notice set forth in subsection (b).

     (b) A state agency may provide the following alternate forms of notice if authorized by subsection (a):

(1) Conspicuous posting of the notice on the state agency's web site if the state agency maintains a web site.

(2) Notification to major statewide media.

As added by P.L.91-2005, SEC.2.

 

IC 4-1-11-10Notification to consumer reporting agencies

     Sec. 10. If a state agency is required to provide notice under this chapter to more than one thousand (1,000) individuals, the state agency shall notify without unreasonable delay all consumer reporting agencies (as defined in 15 U.S.C. 1681a) of the distribution and content of the notice.

As added by P.L.91-2005, SEC.2. Amended by P.L.1-2006, SEC.7.

 

IC 4-1-12Chapter 12. Implementation of the Patient Protection and Affordable Care Act
           4-1-12-1"Patient Protection and Affordable Care Act"
           4-1-12-2"Health plan"
           4-1-12-3Prohibition on requiring an individual to purchase health plan coverage
           4-1-12-4Investigation of specified provisions of act; authority to apply for a waiver

 

IC 4-1-12-1"Patient Protection and Affordable Care Act"

     Sec. 1. As used in this chapter, "Patient Protection and Affordable Care Act" refers to the federal Patient Protection and Affordable Care Act (P.L. 111-148), as amended by the federal Health Care and Education Reconciliation Act of 2010 (P.L. 111-152), as amended from time to time, and regulations or guidance issued under those acts.

As added by P.L.160-2011, SEC.1.

 

IC 4-1-12-2"Health plan"

     Sec. 2. As used in the chapter, "health plan" means a policy, contract, certificate, or agreement offered or issued:

(1) by an entity that assumes or carries insurance risk; and

(2) to provide, deliver, arrange for, pay for, or reimburse the costs of health care services.

As added by P.L.160-2011, SEC.1.

 

IC 4-1-12-3Prohibition on requiring an individual to purchase health plan coverage

     Sec. 3. Notwithstanding any other law, a resident of Indiana may not be required to purchase coverage under a health plan. A resident may delegate to the resident's employer the resident's authority to purchase or decline to purchase coverage under a health plan.

As added by P.L.160-2011, SEC.1.

 

IC 4-1-12-4Investigation of specified provisions of act; authority to apply for a waiver

     Sec. 4. The office of the secretary of family and social services and the department of insurance:

(1) shall investigate; and

(2) may apply for a waiver under;

42 U.S.C. 18052 of the Patient Protection and Affordable Care Act.

As added by P.L.160-2011, SEC.1.

 

IC 4-1-13Chapter 13. Government Reduction Reports
           4-1-13-1"State agency"
           4-1-13-2List of unused or unnecessary laws to legislative council

 

IC 4-1-13-1"State agency"

     Sec. 1. (a) As used in this chapter, "state agency" means every agency, board, commission, department, bureau, or other entity of the administrative branch of Indiana state government.

     (b) The term includes every agency, board, commission, department, bureau, or other entity that is the responsibility of the auditor of state, treasurer of state, secretary of state, attorney general, and superintendent of public instruction.

(c) The term includes a state educational institution.

As added by P.L.89-2017, SEC.1.

 

IC 4-1-13-2List of unused or unnecessary laws to legislative council

     Sec. 2. (a) Not later than November 1 of each year, each state agency shall:

(1) compile a list of all state laws administered by the state agency that the state agency considers to be in need of substantive amendment or repeal because the laws are no longer necessary or used; and

(2) report the list compiled under subdivision (1) to the legislative council in an electronic format under IC 5-14-6.

     (b) A list compiled under subsection (a) must include the:

(1) state agency's rationale for each substantive amendment or repeal; and

(2) manner in which the state agency suggests each substantive amendment should be drafted for inclusion in amending legislation.

As added by P.L.89-2017, SEC.1.

 

IC 4-1.5ARTICLE 1.5. REPEALED

Repealed by P.L.4-2005, SEC.148.

 

IC 4-2ARTICLE 2. STATE OFFICERS GENERALLY
           Ch. 1.Salaries of Elected Officers─Office and Mansion Expenses of the Governor
           Ch. 2.Bonds of Certain Officers
           Ch. 3.Salaries of Chief Deputy of Elected Officers
           Ch. 4.Special Deputies for Acknowledgments, Oaths, Affidavits, and Depositions
           Ch. 5.Repealed
           Ch. 6.Ethics and Conflicts of Interest
           Ch. 7.The Inspector General
           Ch. 8.Registration and Reporting of Executive Branch Lobbyists

 

IC 4-2-1Chapter 1. Salaries of Elected Officers─Office and Mansion Expenses of the Governor
           4-2-1-1Governor's salary; adjustment of amount; appropriation for payment of increases
           4-2-1-1.5Salary of state officers other than the governor; adjustment of amounts; appropriation for payment of increases
           4-2-1-2Maintenance expense; appropriation
           4-2-1-3Annual housing maintenance allowance
           4-2-1-4Repealed

 

IC 4-2-1-1Governor's salary; adjustment of amount; appropriation for payment of increases

     Sec. 1. (a) Subject to subsection (b), the salary of the governor is ninety-five thousand dollars ($95,000) per year.

     (b) Beginning January 12, 2009, and on the second Monday of January of each succeeding fourth year, the salary of the governor is increased after any four (4) year period during which the general assembly does not amend this section to increase the governor's salary.

     (c) The percentage by which salaries are increased under this section is equal to the statewide average percentage, as determined by the budget director, by which the salaries of state employees in the executive branch who are in the same or a similar salary bracket exceed, on January 1 of the current state fiscal year, the salaries of executive branch state employees in the same or a similar salary bracket that were in effect on January 1 of the state fiscal year four (4) years before the current state fiscal year.

     (d) The amount of a salary increase under this section is equal to the amount determined by applying the percentage increase for the particular year to the governor's salary, as previously adjusted under this section, that was in effect on January 1 of the state fiscal year four (4) years before the current state fiscal year.

     (e) The governor is not entitled to receive a salary increase under this section if state employees described in subsection (c) have not received a statewide average salary increase during the previous four (4) state fiscal years.

     (f) If a salary increase is required under this section, an amount sufficient to pay for the salary increase is appropriated from the state general fund.

Formerly: Acts 1951, c.216, s.1; Acts 1961, c.128, s.1; Acts 1967, c.182, s.1; Acts 1971, P.L.19, SEC.1. As amended by Acts 1978, P.L.11, SEC.1; P.L.4-1983, SEC.10; P.L.2-1984, SEC.2; P.L.378-1987(ss), SEC.1; P.L.122-1998, SEC.1; P.L.14-2004, SEC.178; P.L.43-2007, SEC.10.

 

IC 4-2-1-1.5Salary of state officers other than the governor; adjustment of amounts; appropriation for payment of increases

     Sec. 1.5. (a) Subject to subsection (b), the salary of each state elected official other than the governor is as follows:

(1) For the lieutenant governor, seventy-six thousand dollars ($76,000) per year. However, the lieutenant governor is not entitled to receive per diem allowance for performance of duties as president of the senate.

(2) For the secretary of state, sixty-six thousand dollars ($66,000) per year.

(3) For the auditor of state, sixty-six thousand dollars ($66,000) per year.

(4) For the treasurer of state, sixty-six thousand dollars ($66,000) per year.

(5) For the attorney general, seventy-nine thousand four hundred dollars ($79,400) per year.

(6) For the state superintendent of public instruction, seventy-nine thousand four hundred dollars ($79,400) per year. This subdivision does not apply after January 10, 2025.

     (b) Beginning January 1, 2008, the part of the total salary of a state elected official is increased on January 1 of each year after a year in which the general assembly does not amend this section to provide a salary increase for the state elected official.

     (c) The percentage by which salaries are increased under this section is equal to the statewide average percentage, as determined by the budget director, by which the salaries of state employees in the executive branch who are in the same or a similar salary bracket exceed, for the current state fiscal year, the salaries of executive branch state employees in the same or a similar salary bracket that were in effect on January 1 of the immediately preceding year.

     (d) The amount of a salary increase under this section is equal to the amount determined by applying the percentage increase for the particular year to the salary of the state elected official, as previously adjusted under this section, that is in effect on January 1 of the immediately preceding year.

     (e) A state elected official is not entitled to receive a salary increase under this section on January 1 of a state fiscal year in which state employees described in subsection (c) do not receive a statewide average salary increase.

     (f) If a salary increase is required under this section, an amount sufficient to pay for the salary increase is appropriated from the state general fund.

As added by P.L.43-2007, SEC.11. Amended by P.L.219-2017, SEC.8.

 

IC 4-2-1-2Maintenance expense; appropriation

     Sec. 2. In addition to the provision of section 1, effective on the second Monday of January 1965, there shall be allowed to the governor the sum of six thousand dollars ($6,000) annually for the other expenses of the office of governor: Provided, That the full maintenance expense, including all utilities and personnel costs for operating the governor's mansion, shall be provided from appropriations made to cover such expenses.

Formerly: Acts 1951, c.216, s.2; Acts 1961, c.128, s.2.

 

IC 4-2-1-3Annual housing maintenance allowance

     Sec. 3. (a) This section does not apply to the governor.

     (b) Each elected official of the state is entitled to a housing maintenance allowance of twelve thousand dollars ($12,000) per year in addition to the salary provided under section 1.5 of this chapter.

As added by P.L.122-1998, SEC.2. Amended by P.L.1-2010, SEC.4.

 

IC 4-2-1-4Repealed

As added by P.L.122-1998, SEC.3. Repealed by P.L.1-1999, SEC.2.

 

IC 4-2-2Chapter 2. Bonds of Certain Officers
           4-2-2-1Amount of bonds

 

IC 4-2-2-1Amount of bonds

     Sec. 1. (a) The bond of the auditor of state shall be fixed at one hundred thousand dollars ($100,000).

     (b) The bond of the secretary of state shall be fixed at fifty thousand dollars ($50,000).

     (c) The bond of the attorney general shall be fixed at fifty thousand dollars ($50,000).

Formerly: Acts 1901, c.177, s.5. As amended by P.L.14-2004, SEC.179.

 

IC 4-2-3Chapter 3. Salaries of Chief Deputy of Elected Officers
           4-2-3-1Amount fixed by appointing authority; approval of budget committee

 

IC 4-2-3-1Amount fixed by appointing authority; approval of budget committee

     Sec. 1. The salaries of chief deputies of elective state officers shall be fixed by the appointing authority, provided such salaries are within the appropriations therefor and approved by the budget committee.

Formerly: Acts 1947, c.168, s.1.

 

IC 4-2-4Chapter 4. Special Deputies for Acknowledgments, Oaths, Affidavits, and Depositions
           4-2-4-1Appointment; revocation
           4-2-4-2Filing certificates of appointments
           4-2-4-3False certification of oath and affirmation
           4-2-4-4Repealed
           4-2-4-5Repealed

 

IC 4-2-4-1Appointment; revocation

     Sec. 1. The head of any state department, division, board, bureau, or commission is hereby authorized to appoint from the personnel serving as employees in the office of such department, division, board, bureau, or commission, special deputies for the purpose of taking acknowledgments, administering oaths, certifying affidavits and depositions without charge in matters pertaining to said office. Such special deputies shall serve subject to the revocation of their appointments with or without cause by the appointing authority.

Formerly: Acts 1947, c.81, s.1.

 

IC 4-2-4-2Filing certificates of appointments

     Sec. 2. It shall be the duty of the appointing authority to file with the secretary of state certificates of all appointments and revocations provided for by section 1 of this chapter and to supply such seal as will stamp upon paper the following: "Special Deputy of (Name of Department, Division, Board, Bureau, or Commission) State of Indiana", to which may be added such other device as may be selected by the appointing authority.

Formerly: Acts 1947, c.81, s.2. As amended by P.L.5-1984, SEC.8.

 

IC 4-2-4-3False certification of oath and affirmation

     Sec. 3. A special deputy who certifies that any person was sworn or affirmed before the special deputy to any affidavit or other instrument or writing when in fact the person was not so sworn or affirmed commits a Class C infraction.

Formerly: Acts 1947, c.81, s.3. As amended by Acts 1978, P.L.2, SEC.401; P.L.215-2016, SEC.10.

 

IC 4-2-4-4Repealed

Formerly: Acts 1947, c.81, s.4. Repealed by Acts 1978, P.L.2, SEC.428.

 

IC 4-2-4-5Repealed

Formerly: Acts 1947, c.81, s.5. Repealed by Acts 1978, P.L.2, SEC.428.

 

IC 4-2-5Chapter 5. Repealed

Repealed by Acts 1978, P.L.12, SEC.9.

 

IC 4-2-6Chapter 6. Ethics and Conflicts of Interest
           4-2-6-0.1Repealed
           4-2-6-1Definitions
           4-2-6-2Commission; creation; membership; vacancies
           4-2-6-2.1Compensation of members
           4-2-6-2.5Jurisdiction of commission
           4-2-6-3Repealed
           4-2-6-4Commission; powers and duties; inspector general; complaints open to public inspection after finding probable cause; exceptions
           4-2-6-4.3Meetings
           4-2-6-4.5Violations reported; report to commission of action taken
           4-2-6-5Repealed
           4-2-6-5.5Conflict of interest; advisory opinion by commission
           4-2-6-6Present or former state officers, employees, and special state appointees; compensation resulting from confidential information
           4-2-6-7State officers and employees; excess compensation for sale or lease; advisory body member exception
           4-2-6-8Financial disclosure; filing false statement; penalty
           4-2-6-9Conflict of economic interests; commission advisory opinions; disclosure statement; written determinations
           4-2-6-10Repealed
           4-2-6-10.5Prohibition against financial interest in contract; exceptions; disclosure statement; penalty for failure to file statement
           4-2-6-11One year restriction on certain employment or representation; advisory opinion; exceptions; waivers; disclosure statements; restrictions on inspector general seeking state office
           4-2-6-11.5Lobbyists prohibited from serving on executive branch boards, commissions, authorities, or task forces; exception for advisory bodies
           4-2-6-12Violations; penalties; sanctions
           4-2-6-13Retaliation against employee or former employee for filing complaint or furnishing information or testimony
           4-2-6-14Prohibitions; criminal penalty
           4-2-6-15Communications paid for with appropriations or from securities division enforcement account; use of state officer's name or likeness prohibited; exceptions
           4-2-6-16Nepotism
           4-2-6-17Use of state property for other than official business; exceptions; violations

 

IC 4-2-6-0.1Repealed

As added by P.L.220-2011, SEC.14. Repealed by P.L.63-2012, SEC.1.

 

IC 4-2-6-1Definitions

     Sec. 1. (a) As used in this chapter, and unless the context clearly denotes otherwise:

(1) "Advisory body" means an authority, a board, a commission, a committee, a task force, or other body designated by any name of the executive department that is authorized only to make nonbinding recommendations.

(2) "Agency" means an authority, a board, a branch, a bureau, a commission, a committee, a council, a department, a division, an office, a service, or other instrumentality of the executive, including the administrative, department of state government. The term includes a body corporate and politic set up as an instrumentality of the state and a private, nonprofit, government related corporation. The term does not include any of the following:

(A) The judicial department of state government.

(B) The legislative department of state government.

(C) A state educational institution.

(D) A political subdivision.

(3) "Appointing authority" means the following:

(A) Except as provided in clause (B), the chief administrative officer of an agency. The term does not include a state officer.

(B) For purposes of section 16 of this chapter, "appointing authority" means:

(i) an elected officer;

(ii) the chief administrative officer of an agency; or

(iii) an individual or group of individuals who have the power by law or by lawfully delegated authority to make appointments.

(4) "Assist" means to:

(A) help;

(B) aid;

(C) advise; or

(D) furnish information to;

a person. The term includes an offer to do any of the actions in clauses (A) through (D).

(5) "Business relationship" includes the following:

(A) Dealings of a person with an agency seeking, obtaining, establishing, maintaining, or implementing:

(i) a pecuniary interest in a contract or purchase with the agency; or

(ii) a license or permit requiring the exercise of judgment or discretion by the agency.

(B) The relationship a lobbyist has with an agency.

(C) The relationship an unregistered lobbyist has with an agency.

(6) "Commission" refers to the state ethics commission created under section 2 of this chapter.

(7) "Compensation" means any money, thing of value, or financial benefit conferred on, or received by, any person in return for services rendered, or for services to be rendered, whether by that person or another.

(8) "Direct line of supervision" means the chain of command in which the superior affects, or has the authority to affect, the terms and conditions of the subordinate's employment, including making decisions about work assignments, compensation, grievances, advancements, or performance evaluation.

(9) "Employee" means an individual, other than a state officer, who is employed by an agency on a full-time, a part-time, a temporary, an intermittent, or an hourly basis. The term includes an individual who contracts with an agency for personal services.

(10) "Employer" means any person from whom a state officer or employee or the officer's or employee's spouse received compensation.

(11) "Financial interest" means an interest:

(A) in a purchase, sale, lease, contract, option, or other transaction between an agency and any person; or

(B) involving property or services.

The term includes an interest arising from employment or prospective employment for which negotiations have begun. The term does not include an interest of a state officer or employee in the common stock of a corporation unless the combined holdings in the corporation of the state officer or the employee, that individual's spouse, and that individual's unemancipated children are more than one percent (1%) of the outstanding shares of the common stock of the corporation. The term does not include an interest that is not greater than the interest of the general public or any state officer or any state employee.

(12) "Information of a confidential nature" means information:

(A) obtained by reason of the position or office held; and

(B) which:

(i) a public agency is prohibited from disclosing under IC 5-14-3-4(a);

(ii) a public agency has the discretion not to disclose under IC 5-14-3-4(b) and that the agency has not disclosed; or

(iii) is not in a public record, but if it were, would be confidential.

(13) "Person" means any individual, proprietorship, partnership, unincorporated association, trust, business trust, group, limited liability company, or corporation, whether or not operated for profit, or a governmental agency or political subdivision.

(14) "Political subdivision" means a county, city, town, township, school district, municipal corporation, special taxing district, or other local instrumentality. The term includes an officer of a political subdivision.

(15) "Property" has the meaning set forth in IC 35-31.5-2-253.

(16) "Relative" means any of the following:

(A) A spouse.

(B) A parent or stepparent.

(C) A child or stepchild.

(D) A brother, sister, stepbrother, or stepsister.

(E) A niece or nephew.

(F) An aunt or uncle.

(G) A daughter-in-law or son-in-law.

For purposes of this subdivision, an adopted child of an individual is treated as a natural child of the individual. For purposes of this subdivision, the terms "brother" and "sister" include a brother or sister by the half blood.

(17) "Represent" means to do any of the following on behalf of a person:

(A) Attend an agency proceeding.

(B) Write a letter.

(C) Communicate with an employee of an agency.

(18) "Special state appointee" means a person who is:

(A) not a state officer or employee; and

(B) elected or appointed to an authority, a board, a commission, a committee, a council, a task force, or other body designated by any name that:

(i) is authorized by statute or executive order; and

(ii) functions in a policy or an advisory role in the executive (including the administrative) department of state government, including a separate body corporate and politic.

(19) "State officer" means any of the following:

(A) The governor.

(B) The lieutenant governor.

(C) The secretary of state.

(D) The auditor of state.

(E) The treasurer of state.

(F) The attorney general.

(G) The superintendent of public instruction.

(20) The masculine gender includes the masculine and feminine.

(21) The singular form of any noun includes the plural wherever appropriate.

     (b) The definitions in IC 4-2-7 apply throughout this chapter.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.13-1987, SEC.4; P.L.5-1988, SEC.18; P.L.9-1990, SEC.1; P.L.15-1992, SEC.1; P.L.8-1993, SEC.7; P.L.22-1995, SEC.1; P.L.5-1996, SEC.1; P.L.44-2001, SEC.1; P.L.222-2005, SEC.1; P.L.89-2006, SEC.1; P.L.2-2007, SEC.19; P.L.105-2012, SEC.1; P.L.114-2012, SEC.7; P.L.123-2015, SEC.21.

 

IC 4-2-6-2Commission; creation; membership; vacancies

     Sec. 2. (a) There is created a state ethics commission.

     (b) The commission is composed of five (5) members appointed by the governor.

     (c) No more than three (3) commission members shall be of the same political party. A person who:

(1) holds an elected or appointed office of the state;

(2) is employed by the state; or

(3) is registered as a lobbyist under IC 4-2-7;

may not be a member of the commission. The governor shall designate one (1) member of the commission as the chairperson. Each appointment to the commission is for a period of four (4) years. A vacancy shall be filled by the governor for the unexpired term.

     (d) The inspector general shall provide rooms and staff assistance for the commission.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.13-1987, SEC.5; P.L.222-2005, SEC.2; P.L.89-2006, SEC.2.

 

IC 4-2-6-2.1Compensation of members

     Sec. 2.1. Each member of the commission is entitled to the minimum salary per diem provided by IC 4-10-11-2.1(b). A member is entitled to reimbursement for travel expenses and other expenses actually incurred in connection with the member's duties, as provided in the state travel policies and procedures established by the department of administration and approved by the budget agency.

As added by P.L.9-1990, SEC.2.

 

IC 4-2-6-2.5Jurisdiction of commission

     Sec. 2.5. The commission has jurisdiction over the following persons:

(1) A current or former state officer.

(2) A current or former employee.

(3) A person who has or had a business relationship with an agency.

(4) A current or former special state appointee.

As added by P.L.9-1990, SEC.3. Amended by P.L.15-1992, SEC.2; P.L.222-2005, SEC.3.

 

IC 4-2-6-3Repealed

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.13-1987, SEC.6. Repealed by P.L.222-2005, SEC.50.

 

IC 4-2-6-4Commission; powers and duties; inspector general; complaints open to public inspection after finding probable cause; exceptions

     Sec. 4. (a) The commission may do any of the following:

(1) Upon a vote of four (4) members, refer any matter within the inspector general's authority to the inspector general for investigation.

(2) Receive and hear any complaint filed with the commission by the inspector general that alleges a violation of:

(A) this chapter;

(B) a rule adopted under this chapter;

(C) IC 4-2-7;

(D) a rule adopted under IC 4-2-7;

(E) IC 4-2-8; or

(F) a rule adopted under IC 4-2-8.

(3) Obtain information and, upon a vote of four (4) members, compel the attendance and testimony of witnesses and the production of pertinent books and papers by a subpoena enforceable by the circuit or superior court of the county where the subpoena is to be issued.

(4) Recommend legislation to the general assembly relating to the conduct and ethics of state officers, employees, special state appointees, and persons who have business relationships with agencies.

(5) Adopt rules under IC 4-22-2 to implement this chapter.

(6) Accept and file information:

(A) voluntarily supplied; and

(B) that exceeds the requirements of this chapter.

(7) Conduct research.

     (b) The commission shall do the following:

(1) Act as an advisory body by issuing advisory opinions to interpret this chapter, IC 4-2-7, or the rules adopted under this chapter or IC 4-2-7, upon:

(A) request of:

(i) a state officer or a former state officer;

(ii) an employee or a former employee;

(iii) a person who has or had a business relationship with an agency;

(iv) a special state appointee or former special state appointee; or

(v) the inspector general; or

(B) motion of the commission.

(2) Conduct its proceedings in the following manner:

(A) When a complaint is filed with the commission, the commission may:

(i) reject, without further proceedings, a complaint that the commission considers frivolous or inconsequential;

(ii) reject, without further proceedings, a complaint that the commission is satisfied has been dealt with appropriately by an agency;

(iii) upon the vote of four (4) members, determine that the complaint does not allege facts sufficient to constitute a violation of this chapter or the code of ethics and dismiss the complaint; or

(iv) forward a copy of the complaint to the attorney general, the prosecuting attorney of the county in which the alleged violation occurred, the state board of accounts, a state officer, the appointing authority, or other appropriate person for action, and stay the commission's proceedings pending the other action.

(B) If a complaint is not disposed of under clause (A), a copy of the complaint shall be sent to the person alleged to have committed the violation.

(C) If the complaint is not disposed of under clause (A), the commission may promptly refer the alleged violation for additional investigation by the inspector general. If the commission finds by a majority vote that probable cause exists to support an alleged violation, it shall set a public hearing on the matter. The respondent shall be notified within fifteen (15) days of the commission's determination. Except as provided in this section, the commission's evidence relating to an investigation is confidential.

(D) A complaint filed with the commission is open for public inspection after the commission finds that probable cause exists. However, a complaint filed by the inspector general that contains confidential information under IC 4-2-7-8 may be redacted to exclude the confidential information. Every hearing and other proceeding in which evidence is received by the commission is open to the public. Investigative reports by the inspector general that are not filed with the commission may be kept confidential.

(E) A:

(i) complaint that is filed with; or

(ii) proceeding that is held by;

the commission before the commission has found probable cause is confidential unless the target of the investigation elects to have information disclosed, or the commission elects to respond to public statements by the person who filed the complaint.

(F) The commission may acknowledge:

(i) the existence and scope of an investigation before the finding of probable cause; or

(ii) that the commission did not find probable cause to support an alleged violation.

(G) If a hearing is to be held, the respondent may examine and make copies of all evidence in the commission's possession relating to the charges. At the hearing, the charged party shall be afforded appropriate due process protection consistent with IC 4-21.5, including the right to be represented by counsel, the right to call and examine witnesses, the right to introduce exhibits, and the right to cross-examine opposing witnesses.

(H) After the hearing, the commission shall state its findings of fact. If the commission, based on a preponderance of the evidence, finds by a majority vote that the respondent has violated this chapter, IC 4-2-7, IC 4-2-8, or a rule adopted under this chapter, IC 4-2-7, or IC 4-2-8, it shall state its findings in writing in a report, which shall be supported and signed by a majority of the commission members and shall be made public.

(I) If the commission, based on a preponderance of the evidence, finds by a majority vote a violation of this chapter, IC 4-2-7, IC 4-2-8, or a rule adopted under this chapter, IC 4-2-7, or IC 4-2-8, the commission may also take any of the actions provided in section 12 of this chapter.

(J) The report required under clause (H) shall be presented to:

(i) the respondent;

(ii) the appointing authority or state officer of the employee, former employee, or special state appointee;

(iii) the appointing authority or state officer of an agency or office that has a business relationship with the person sanctioned; and

(iv) the governor.

(K) The commission may also forward the report to any of the following:

(i) The prosecuting attorney of each county in which the violation occurred.

(ii) The state board of accounts.

(iii) The state personnel director.

(iv) The attorney general.

(v) A state officer.

(vi) The appointing authority of the state employee or agency that has a business relationship with the person sanctioned.

(vii) Any other appropriate person.

(L) If the commission finds the respondent has not violated a code or statutory provision or a rule adopted under this chapter, IC 4-2-7, or IC 4-2-8, it shall dismiss the charges.

(3) Review all conflict of interest disclosures received by the commission under IC 35-44.1-1-4, maintain an index of those disclosures, and issue advisory opinions and screening procedures as set forth in section 9 of this chapter.

     (c) Notwithstanding IC 5-14-3-4(b)(8)(C), the records of the commission concerning the case of a respondent that are not confidential under IC 5-14-3-4(b)(2)(C) shall be available for inspection and copying in accordance with IC 5-14-3.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.12-1983, SEC.4; P.L.13-1987, SEC.7; P.L.5-1988, SEC.19; P.L.9-1990, SEC.4; P.L.15-1992, SEC.3; P.L.44-2001, SEC.2; P.L.222-2005, SEC.4; P.L.89-2006, SEC.3; P.L.126-2012, SEC.1.

 

IC 4-2-6-4.3Meetings

     Sec. 4.3. The commission may not conduct a hearing under section 4(b)(2)(G) of this chapter by using electronic communication under IC 5-14-1.5-3.6.

As added by P.L.89-2006, SEC.4. Amended by P.L.134-2012, SEC.1.

 

IC 4-2-6-4.5Violations reported; report to commission of action taken

     Sec. 4.5. Whenever an appointing authority or a state officer receives a report under section 4(b)(2)(H) of this chapter, the appointing authority or state officer shall report to the commission the action taken in response to the report. The commission may require in the report that the appointing authority or the state officer submit the response required by this section in a reasonable, specified amount of time.

As added by P.L.13-1987, SEC.8. Amended by P.L.9-1990, SEC.5; P.L.89-2006, SEC.5.

 

IC 4-2-6-5Repealed

Formerly: Acts 1974, P.L.4, SEC.2. Repealed by P.L.222-2005, SEC.50.

 

IC 4-2-6-5.5Conflict of interest; advisory opinion by commission

     Sec. 5.5. (a) A current state officer, employee, or special state appointee may not knowingly do any of the following:

(1) Accept other employment involving compensation of substantial value if the responsibilities of that employment are inherently incompatible with the responsibilities of public office or require the individual's recusal from matters so central or critical to the performance of the individual's official duties that the individual's ability to perform those duties would be materially impaired.

(2) Accept employment or engage in business or professional activity that would require the individual to disclose confidential information that was gained in the course of state employment.

(3) Use or attempt to use the individual's official position to secure unwarranted privileges or exemptions that are:

(A) of substantial value; and

(B) not properly available to similarly situated individuals outside state government.

     (b) A written advisory opinion issued by the commission stating that an individual's outside employment does not violate subsection (a)(1) or (a)(2) is conclusive proof that the individual's outside employment does not violate subsection (a)(1) or (a)(2).

As added by P.L.222-2005, SEC.5. Amended by P.L.89-2006, SEC.6; P.L.123-2015, SEC.22.

 

IC 4-2-6-6Present or former state officers, employees, and special state appointees; compensation resulting from confidential information

     Sec. 6. No state officer or employee, former state officer or employee, special state appointee, or former special state appointee shall accept any compensation from any employment, transaction, or investment which was entered into or made as a result of material information of a confidential nature.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.15-1992, SEC.4; P.L.89-2006, SEC.7.

 

IC 4-2-6-7State officers and employees; excess compensation for sale or lease; advisory body member exception

     Sec. 7. (a) This section does not apply to a special state appointee who serves only as a member of an advisory body.

     (b) A state officer, employee, or special state appointee may not receive compensation:

(1) for the sale or lease of any property or service which substantially exceeds that which the state officer, employee, or special state appointee would charge in the ordinary course of business; and

(2) from any person whom the state officer, employee, or special state appointee knows or, in the exercise of reasonable care and diligence should know, has a business relationship with the agency in which the state officer, employee, or special state appointee holds a position.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.9-1990, SEC.6; P.L.89-2006, SEC.8.

 

IC 4-2-6-8Financial disclosure; filing false statement; penalty

     Sec. 8. (a) The following persons shall file a written financial disclosure statement:

(1) The governor, lieutenant governor, secretary of state, auditor of state, treasurer of state, attorney general, and state superintendent of public instruction. This subdivision does not apply to the state superintendent of public instruction after January 10, 2025.

(2) Any candidate for one (1) of the offices in subdivision (1) who is not the holder of one (1) of those offices.

(3) Any person who is the appointing authority of an agency.

(4) The director of each division of the Indiana department of administration.

(5) Any purchasing agent within the procurement division of the Indiana department of administration.

(6) Any agency employee, special state appointee, former agency employee, or former special state appointee with final purchasing authority.

(7) The chief investment officer employed by the Indiana public retirement system.

(8) Any employee of the Indiana public retirement system whose duties include the recommendation, selection, and management of:

(A) the investments of the funds administered by the Indiana public retirement system;

(B) the investment options offered in the annuity savings accounts in the public employees' retirement fund and the Indiana state teachers' retirement fund;

(C) the investment options offered in the legislators' defined contribution plan; or

(D) investment managers, investment advisors, and other investment service providers of the Indiana public retirement system.

(9) An employee required to do so by rule adopted by the inspector general.

     (b) The statement shall be filed with the inspector general as follows:

(1) Not later than February 1 of every year, in the case of the state officers and employees enumerated in subsection (a).

(2) If the individual has not previously filed under subdivision (1) during the present calendar year and is filing as a candidate for a state office listed in subsection (a)(1), before filing a declaration of candidacy under IC 3-8-2 or IC 3-8-4-11, petition of nomination under IC 3-8-6, or declaration of intent to be a write-in candidate under IC 3-8-2-2.5, or before a certificate of nomination is filed under IC 3-8-7-8, in the case of a candidate for one (1) of the state offices (unless the statement has already been filed when required under IC 3-8-4-11).

(3) Not later than sixty (60) days after employment or taking office, unless the previous employment or office required the filing of a statement under this section.

(4) Not later than thirty (30) days after leaving employment or office, unless the subsequent employment or office requires the filing of a statement under this section.

The statement must be made under affirmation.

     (c) The statement shall set forth the following information for the preceding calendar year or, in the case of a state officer or employee who leaves office or employment, the period since a previous statement was filed:

(1) The name and address of any person known:

(A) to have a business relationship with the agency of the state officer or employee or the office sought by the candidate; and

(B) from whom the state officer, candidate, or the employee, or that individual's spouse or unemancipated children received a gift or gifts having a total fair market value in excess of one hundred dollars ($100).

(2) The location of all real property in which the state officer, candidate, or the employee or that individual's spouse or unemancipated children has an equitable or legal interest either amounting to five thousand dollars ($5,000) or more or comprising ten percent (10%) of the state officer's, candidate's, or the employee's net worth or the net worth of that individual's spouse or unemancipated children. An individual's primary personal residence need not be listed, unless it also serves as income property.

(3) The names and the nature of the business of the employers of the state officer, candidate, or the employee and that individual's spouse.

(4) The following information about any sole proprietorship owned or professional practice operated by the state officer, candidate, or the employee or that individual's spouse:

(A) The name of the sole proprietorship or professional practice.

(B) The nature of the business.

(C) Whether any clients are known to have had a business relationship with the agency of the state officer or employee or the office sought by the candidate.

(D) The name of any client or customer from whom the state officer, candidate, employee, or that individual's spouse received more than thirty-three percent (33%) of the state officer's, candidate's, employee's, or that individual's spouse's nonstate income in a year.

(5) The name of any partnership of which the state officer, candidate, or the employee or that individual's spouse is a member and the nature of the partnership's business.

(6) The name of any corporation (other than a church) of which the state officer, candidate, or the employee or that individual's spouse is an officer or a director and the nature of the corporation's business.

(7) The name of any corporation in which the state officer, candidate, or the employee or that individual's spouse or unemancipated children own stock or stock options having a fair market value in excess of ten thousand dollars ($10,000). However, if the stock is held in a blind trust, the name of the administrator of the trust must be disclosed on the statement instead of the name of the corporation. A time or demand deposit in a financial institution or insurance policy need not be listed.

(8) The name and address of the most recent former employer.

(9) Additional information that the person making the disclosure chooses to include.

Any such state officer, candidate, or employee may file an amended statement upon discovery of additional information required to be reported.

     (d) A person who:

(1) fails to file a statement required by rule or this section in a timely manner; or

(2) files a deficient statement;

upon a majority vote of the commission, is subject to a civil penalty at a rate of not more than ten dollars ($10) for each day the statement remains delinquent or deficient. The maximum penalty under this subsection is one thousand dollars ($1,000).

     (e) A person who intentionally or knowingly files a false statement commits a Class A infraction.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.12-1983, SEC.5; P.L.13-1987, SEC.9; P.L.9-1990, SEC.7; P.L.3-1993, SEC.237; P.L.44-2001, SEC.3; P.L.14-2004, SEC.180; P.L.222-2005, SEC.6; P.L.89-2006, SEC.9; P.L.23-2011, SEC.2; P.L.219-2017, SEC.9.

 

IC 4-2-6-9Conflict of economic interests; commission advisory opinions; disclosure statement; written determinations

     Sec. 9. (a) A state officer, an employee, or a special state appointee may not participate in any decision or vote, or matter relating to that decision or vote, if the state officer, employee, or special state appointee has knowledge that any of the following has a financial interest in the outcome of the matter:

(1) The state officer, employee, or special state appointee.

(2) A member of the immediate family of the state officer, employee, or special state appointee.

(3) A business organization in which the state officer, employee, or special state appointee is serving as an officer, a director, a member, a trustee, a partner, or an employee.

(4) Any person or organization with whom the state officer, employee, or special state appointee is negotiating or has an arrangement concerning prospective employment.

     (b) A state officer, an employee, or a special state appointee who identifies a potential conflict of interest shall notify the person's appointing authority and ethics officer in writing and do either of the following:

(1) Seek an advisory opinion from the commission by filing a written description detailing the nature and circumstances of the particular matter and making full disclosure of any related financial interest in the matter. The commission shall:

(A) with the approval of the appointing authority, assign the particular matter to another person and implement all necessary procedures to screen the state officer, employee, or special state appointee seeking an advisory opinion from involvement in the matter; or

(B) make a written determination that the interest is not so substantial that the commission considers it likely to affect the integrity of the services that the state expects from the state officer, employee, or special state appointee.

(2) File a written disclosure statement with the commission that:

(A) details the conflict of interest;

(B) describes and affirms the implementation of a screen established by the ethics officer;

(C) is signed by both:

(i) the state officer, employee, or special state appointee who identifies the potential conflict of interest; and

(ii) the agency ethics officer;

(D) includes a copy of the disclosure provided to the appointing authority; and

(E) is filed not later than seven (7) days after the conduct that gives rise to the conflict.

A written disclosure filed under this subdivision shall be posted on the inspector general's Internet web site.

     (c) A written determination under subsection (b)(1)(B) constitutes conclusive proof that it is not a violation for the state officer, employee, or special state appointee who sought an advisory opinion under this section to participate in the particular matter. A written determination under subsection (b)(1)(B) shall be filed with the appointing authority.

Formerly: Acts 1974, P.L.4, SEC.2. As amended by P.L.9-1990, SEC.8; P.L.15-1992, SEC.5; P.L.22-1995, SEC.2; P.L.222-2005, SEC.7; P.L.123-2015, SEC.23.

 

IC 4-2-6-10Repealed

Formerly: Acts 1974, P.L.4, SEC.2. Repealed by Acts 1978, P.L.2, SEC.428.

 

IC 4-2-6-10.5Prohibition against financial interest in contract; exceptions; disclosure statement; penalty for failure to file statement

     Sec. 10.5. (a) Subject to subsection (b), a state officer, an employee, or a special state appointee may not knowingly have a financial interest in a contract made by an agency.

     (b) The prohibition in subsection (a) does not apply to a state officer, an employee, or a special state appointee who:

(1) does not participate in or have contracting responsibility for the contracting agency; and

(2) files a written statement with the inspector general before the state officer, employee, or special state appointee executes the contract with the state agency.

     (c) A statement filed under subsection (b)(2) must include the following for each contract:

(1) An affirmation that the state officer, employee, or special state appointee does not participate in or have contracting responsibility for the contracting agency.

(2) An affirmation that the contract:

(A) was made after public notice and, if applicable, through competitive bidding; or

(B) was not subject to notice and bidding requirements and the basis for that conclusion.

(3) A statement making full disclosure of all related financial interests in the contract.

(4) A statement indicating that the contract can be performed without compromising the performance of the official duties and responsibilities of the state officer, employee, or special state appointee.

(5) In the case of a contract for professional services, an affirmation by the appointing authority of the contracting agency that no other state officer, employee, or special state appointee of that agency is available to perform those services as part of the regular duties of the state officer, employee, or special state appointee.

A state officer, employee, or special state appointee may file an amended statement upon discovery of additional information required to be reported.

     (d) A state officer, employee, or special state appointee who:

(1) fails to file a statement required by rule or this section; or

(2) files a deficient statement;

before the contract start date is, upon a majority vote of the commission, subject to a civil penalty of not more than ten dollars ($10) for each day the statement remains delinquent or deficient. The maximum penalty under this subsection is one thousand dollars ($1,000).

As added by P.L.222-2005, SEC.8. Amended by P.L.123-2015, SEC.24.

 

IC 4-2-6-11One year restriction on certain employment or representation; advisory opinion; exceptions; waivers; disclosure statements; restrictions on inspector general seeking state office

     Sec. 11. (a) As used in this section, "particular matter" means any of the following:

(1) An application.

(2) A business transaction.

(3) A claim.

(4) A contract.

(5) A determination.

(6) An enforcement proceeding.

(7) An investigation.

(8) A judicial proceeding.

(9) A lawsuit.

(10) A license.

(11) An economic development project.

(12) A public works project.

The term does not include the proposal or consideration of a legislative matter or the proposal, consideration, adoption, or implementation of a rule or an administrative policy or practice of general application.

     (b) A former state officer, employee, or special state appointee may not accept employment or receive compensation:

(1) as a lobbyist;

(2) from an employer if the former state officer, employee, or special state appointee was:

(A) engaged in the negotiation or the administration of one (1) or more contracts with that employer on behalf of the state or an agency; and

(B) in a position to make a discretionary decision affecting the:

(i) outcome of the negotiation; or

(ii) nature of the administration; or

(3) from an employer if the former state officer, employee, or special state appointee made a regulatory or licensing decision that directly applied to the employer or to a parent or subsidiary of the employer;

before the elapse of at least three hundred sixty-five (365) days after the date on which the former state officer, employee, or special state appointee ceases to be a state officer, employee, or special state appointee.

     (c) A former state officer, employee, or special state appointee may not represent or assist a person in a particular matter involving the state if the former state officer, employee, or special state appointee personally and substantially participated in the matter as a state officer, employee, or special state appointee, even if the former state officer, employee, or special state appointee receives no compensation for the representation or assistance.

     (d) A former state officer, employee, or special state appointee may not accept employment or compensation from an employer if the circumstances surrounding the employment or compensation would lead a reasonable person to believe that:

(1) employment; or

(2) compensation;

is given or had been offered for the purpose of influencing the former state officer, employee, or special state appointee in the performance of the individual's duties or responsibilities while a state officer, an employee, or a special state appointee.

     (e) A written advisory opinion issued by the commission certifying that:

(1) employment of;

(2) consultation by;

(3) representation by; or

(4) assistance from;

the former state officer, employee, or special state appointee does not violate this section is conclusive proof that a former state officer, employee, or special state appointee is not in violation of this section.

     (f) Subsection (b) does not apply to the following:

(1) A special state appointee who serves only as a member of an advisory body.

(2) A former state officer, employee, or special state appointee who has:

(A) not negotiated or administered any contracts with that employer in the two (2) years before the beginning of employment or consulting negotiations with that employer; and

(B) any contract that:

(i) the former state officer, employee, or special state appointee may have negotiated or administered before the two (2) years preceding the beginning of employment or consulting negotiations; and

(ii) is no longer active.

     (g) An employee's or a special state appointee's state officer or appointing authority may waive application of subsection (b) or (c) in individual cases when consistent with the public interest. A waiver must satisfy all of the following:

(1) The waiver must be signed by an employee's or a special state appointee's:

(A) state officer or appointing authority authorizing the waiver; and

(B) agency ethics officer attesting to form.

(2) The waiver must include the following information:

(A) Whether the employee's prior job duties involved substantial decision making authority over policies, rules, or contracts.

(B) The nature of the duties to be performed by the employee for the prospective employer.

(C) Whether the prospective employment is likely to involve substantial contact with the employee's former agency and the extent to which any such contact is likely to involve matters where the agency has the discretion to make decisions based on the work product of the employee.

(D) Whether the prospective employment may be beneficial to the state or the public, specifically stating how the intended employment is consistent with the public interest.

(E) The extent of economic hardship to the employee if the request for a waiver is denied.

(3) The waiver must be filed with and presented to the commission by the state officer or appointing authority authorizing the waiver.

(4) The waiver must be limited to an employee or a special state appointee who obtains the waiver before engaging in the conduct that would give rise to a violation of subsection (b) or (c).

The commission may conduct an administrative review of a waiver and approve a waiver only if the commission is satisfied that the information provided under subdivision (2) is specifically and satisfactorily articulated. The inspector general may adopt rules under IC 4-22-2 to establish criteria for post employment waivers.

     (h) Subsection (b) applies, subject to waiver under subsection (g), to a former state officer, employee, or special state appointee who:

(1) made decisions as an administrative law judge; or

(2) presided over information gathering or order drafting proceedings;

that directly applied to the employer or to a parent or subsidiary of the employer in a material manner.

     (i) A former state officer, employee, or special state appointee who forms a sole proprietorship or a professional practice and engages in a business relationship with an entity that would otherwise violate this section must file a disclosure statement with the commission not later than one hundred eighty (180) days after separation from state service. The disclosure must:

(1) be signed by the former state officer, employee, or special state appointee;

(2) certify that the former state officer, employee, or special state appointee is not an employee of the entity; and

(3) state in detail the treatment of taxes, insurance, and any other benefits between the entity and the former state officer, employee, or state appointee.

     (j) The inspector general may not seek a state elected office before the elapse of at least three hundred sixty-five (365) days after leaving the inspector general position.

As added by P.L.9-1990, SEC.9. Amended by P.L.15-1992, SEC.6; P.L.222-2005, SEC.9; P.L.89-2006, SEC.10; P.L.1-2007, SEC.3; P.L.123-2015, SEC.25.

 

IC 4-2-6-11.5Lobbyists prohibited from serving on executive branch boards, commissions, authorities, or task forces; exception for advisory bodies

     Sec. 11.5. (a) This section applies only to a special state appointee appointed after January 10, 2005.

     (b) Except as provided in subsection (c), a lobbyist may not serve as a special state appointee.

     (c) A lobbyist may serve as a member of an advisory body.

As added by P.L.222-2005, SEC.10. Amended by P.L.89-2006, SEC.11.

 

IC 4-2-6-12Violations; penalties; sanctions

     Sec. 12. If the commission finds a violation of this chapter, IC 4-2-7, or IC 4-2-8, or a rule adopted under this chapter IC 4-2-7, or IC 4-2-8, in a proceeding under section 4 of this chapter, the commission may take any of the following actions:

(1) Impose a civil penalty upon a respondent not to exceed three (3) times the value of any benefit received from the violation.

(2) Cancel a contract.

(3) Bar a person from entering into a contract with an agency or a state officer for a period specified by the commission.

(4) Order restitution or disgorgement.

(5) Reprimand, suspend, or terminate an employee or a special state appointee.

(6) Reprimand or recommend the impeachment of a state officer.

(7) Bar a person from future state employment as an employee or future appointment as a special state appointee.

(8) Revoke a license or permit issued by an agency.

(9) Bar a person from obtaining a license or permit issued by an agency.

(10) Revoke the registration of a person registered as a lobbyist under IC 4-2-8.

(11) Bar a person from future lobbying activity with a state officer or agency.

As added by P.L.9-1990, SEC.10. Amended by P.L.15-1992, SEC.7; P.L.222-2005, SEC.11; P.L.89-2006, SEC.12.

 

IC 4-2-6-13Retaliation against employee or former employee for filing complaint or furnishing information or testimony

     Sec. 13. (a) Except as provided in subsection (b), a state officer, an employee, or a special state appointee shall not retaliate or threaten to retaliate against an employee, a former employee, a special state appointee, or a former special state appointee because the employee, former employee, special state appointee, or former special state appointee did any of the following:

(1) Filed a complaint with the commission or the inspector general.

(2) Provided information to the commission or the inspector general.

(3) Testified at a commission proceeding.

     (b) A state officer, an employee, or a special state appointee may take appropriate action against an employee who took any of the actions listed in subsection (a) if the employee or special state appointee:

(1) did not act in good faith; or

(2) knowingly or recklessly provided false information or testimony to the commission.

     (c) A person who violates this section is subject to action under section 12 of this chapter and criminal prosecution under IC 35-44.2-1-2.

As added by P.L.15-1992, SEC.8. Amended by P.L.44-2001, SEC.4; P.L.222-2005, SEC.12; P.L.89-2006, SEC.13; P.L.126-2012, SEC.2.

 

IC 4-2-6-14Prohibitions; criminal penalty

     Sec. 14. (a) A person may not do any of the following:

(1) Knowingly or intentionally induce or attempt to induce, by threat, coercion, suggestion, or false statement, a witness or informant in a commission proceeding or investigation conducted by the inspector general to do any of the following:

(A) Withhold or unreasonably delay the production of any testimony, information, document, or thing.

(B) Avoid legal process summoning the person to testify or supply evidence.

(C) Fail to appear at a proceeding or investigation to which the person has been summoned.

(D) Make, present, or use a false record, document, or thing with the intent that the record, document, or thing appear in a commission proceeding or investigation to mislead a commissioner or commission employee.

(2) Alter, damage, or remove a record, document, or thing except as permitted or required by law, with the intent to prevent the record, document, or thing from being produced or used in a commission proceeding or investigation conducted by the inspector general.

(3) Make, present, or use a false record, document, or thing with the intent that the record, document, or thing appear in a commission proceeding or investigation to mislead a commissioner or commission employee.

     (b) A person who violates subsection (a) is subject to criminal prosecution under IC 35-44.2-1-3.

As added by P.L.44-2001, SEC.5. Amended by P.L.222-2005, SEC.13; P.L.126-2012, SEC.3.

 

IC 4-2-6-15Communications paid for with appropriations or from securities division enforcement account; use of state officer's name or likeness prohibited; exceptions

     Sec. 15. (a) This section does not apply to the following:

(1) A communication made by the governor concerning the public health or safety.

(2) A communication:

(A) that a compelling public policy reason justifies the state officer to make; and

(B) the expenditure for which is approved by the budget agency after an advisory recommendation from the budget committee.

     (b) This section does not prohibit a state officer from using in a communication the title of the office the state officer holds.

     (c) As used in this section, "communication" refers only to the following:

(1) An audio communication.

(2) A video communication.

(3) A print communication in a newspaper (as defined in IC 5-3-1-0.4).

     (d) A state officer may not use the state officer's name or likeness in a communication paid for entirely or in part with appropriations made by the general assembly, regardless of the source of the money.

     (e) A state officer may not use the state officer's name or likeness in a communication paid for entirely or in part with:

(1) money from the securities division enforcement account established under IC 23-19-6-1(f); or

(2) appropriations from the state general fund made under IC 23-19-6-1(f).

As added by P.L.58-2010, SEC.33. Amended by P.L.114-2010, SEC.1.

 

IC 4-2-6-16Nepotism

     Sec. 16. (a) This chapter does not prohibit the continuation of a job assignment that existed on July 1, 2012.

     (b) As used in this section, "employed" refers to all employment, including full-time, part-time, temporary, intermittent, or hourly. The term includes service as a state officer or special state appointee.

     (c) An individual employed in an agency may not hire a relative.

     (d) Except as provided in subsection (e), an individual may not be employed in the same agency in which an individual's relative is the appointing authority.

     (e) An individual may be employed in the same agency in which the individual's relative is the appointing authority, if the individual has been employed in the same agency for at least twelve (12) consecutive months immediately preceding the date the individual's relative becomes the appointing authority.

     (f) Except as provided in subsection (e), an individual may not be placed in a relative's direct line of supervision.

     (g) An individual employed in an agency may not contract with or supervise the work of a business entity of which a relative is a partner, executive officer, or sole proprietor.

     (h) Any person within an agency who knowingly participates in a violation of this chapter is subject to the penalties set forth in section 12 of this chapter.

As added by P.L.105-2012, SEC.2.

 

IC 4-2-6-17Use of state property for other than official business; exceptions; violations

     Sec. 17. (a) Subject to IC 4-2-7-5, a state officer, an employee, or a special state appointee may not use state materials, funds, property, personnel, facilities, or equipment for purposes other than official state business unless the use is expressly permitted by a general written agency, departmental, or institutional policy or regulation that has been approved by the commission. The commission may withhold approval of a policy or rule that violates the intent of Indiana law or the code of ethics, even if Indiana law or the code of ethics does not explicitly prohibit that policy or rule.

     (b) An individual who violates this section is subject to action under section 12 of this chapter.

As added by P.L.123-2015, SEC.26.

 

IC 4-2-7Chapter 7. The Inspector General
           4-2-7-1Definitions
           4-2-7-2Inspector general; powers and duties; appointment and removal; reappointment; compensation
           4-2-7-3Duties; criminal investigation; recommendations; annual report
           4-2-7-4Powers; subpoena and contempt; reports; serving as special prosecuting attorney; civil and criminal actions
           4-2-7-5Code of ethics; use of state property for political purpose; filing ethics complaint
           4-2-7-6Misconduct involving state business; report to attorney general; inspector general's authority to bring civil action
           4-2-7-7Crimes; inspector general's duty to report to prosecuting attorney; governor's recommendation; appointment of special prosecutor by court of appeals judge; selection; powers and limitations; indictment
           4-2-7-8Confidentiality of informant; exceptions; records and disclosure; penalties
           4-2-7-9Statewide code of judicial conduct for administrative law judges

 

IC 4-2-7-1Definitions

     Sec. 1. The following definitions apply throughout this chapter:

(1) "Agency" means an authority, a board, a branch, a commission, a committee, a department, a division, or other instrumentality of the executive, including the administrative, department of state government. The term includes a body corporate and politic established as an instrumentality of the state. The term does not include the following:

(A) The judicial department of state government.

(B) The legislative department of state government.

(C) A political subdivision (as defined in IC 4-2-6-1).

(2) "Business relationship" has the meaning set forth in IC 4-2-6-1.

(3) "Employee" means an individual who is employed by an agency on a full-time, a part-time, a temporary, an intermittent, or an hourly basis. The term includes an individual who contracts with an agency for personal services.

(4) "Ethics commission" means the state ethics commission created by IC 4-2-6-2.

(5) "Lobbyist" means an individual who seeks to influence decision making of an agency and who is registered as an executive branch lobbyist under rules adopted by the Indiana department of administration.

(6) "Person" has the meaning set forth in IC 4-2-6-1.

(7) "Special state appointee" has the meaning set forth in IC 4-2-6-1.

(8) "State officer" has the meaning set forth in IC 4-2-6-1.

As added by P.L.222-2005, SEC.14.

 

IC 4-2-7-2Inspector general; powers and duties; appointment and removal; reappointment; compensation

     Sec. 2. (a) There is established the office of the inspector general. The office of the inspector general consists of the inspector general, who is the director of the office, and an additional staff of deputy inspectors general, investigators, auditors, and clerical employees appointed by the inspector general as necessary to carry out the duties of the inspector general. The inspector general shall provide rooms and staff assistance for the ethics commission.

     (b) The inspector general is responsible for addressing fraud, waste, abuse, and wrongdoing in agencies.

     (c) The governor shall appoint the inspector general. The inspector general:

(1) except as provided in subdivision (2), shall be appointed for a term that expires on the earlier of the date that:

(A) the term of the governor who appointed the inspector general expires; or

(B) the governor leaves office;

(2) may only be removed from office by the governor for:

(A) neglect of duty;

(B) misfeasance;

(C) malfeasance; or

(D) nonfeasance;

(3) must be an attorney licensed to practice law in Indiana; and

(4) is entitled to receive compensation set by the governor and approved by the budget agency.

If the governor is reelected, the governor may reappoint the inspector general for an additional term. The inspector general's compensation may not be reduced during the inspector general's continuance in office.

     (d) Subject to the approval of the budget agency, the inspector general shall fix the salary of all other employees of the office of the inspector general.

     (e) Except for information declared confidential under this chapter, records of the office of the inspector general are subject to public inspection under IC 5-14-3.

     (f) IC 5-14-1.5 (the open door law) applies to public meetings of the office of the inspector general.

As added by P.L.222-2005, SEC.14.

 

IC 4-2-7-3Duties; criminal investigation; recommendations; annual report

     Sec. 3. The inspector general shall do the following:

(1) Initiate, supervise, and coordinate investigations.

(2) Recommend policies and carry out other activities designed to deter, detect, and eradicate fraud, waste, abuse, mismanagement, and misconduct in state government.

(3) Receive complaints alleging the following:

(A) A violation of the code of ethics.

(B) Bribery (IC 35-44.1-1-2).

(C) Official misconduct (IC 35-44.1-1-1).

(D) Conflict of interest (IC 35-44.1-1-4).

(E) Profiteering from public service (IC 35-44.1-1-5).

(F) A violation of the executive branch lobbying rules.

(G) A violation of a statute or rule relating to the purchase of goods or services by a current or former employee, state officer, special state appointee, lobbyist, or person who has a business relationship with an agency.

(4) If the inspector general has reasonable cause to believe that a crime has occurred or is occurring, report the suspected crime to:

(A) the governor; and

(B) appropriate state or federal law enforcement agencies and prosecuting authorities having jurisdiction over the matter.

(5) Adopt rules under IC 4-22-2 to implement IC 4-2-6 and this chapter.

(6) Adopt rules under IC 4-22-2 and section 5 of this chapter to implement a code of ethics.

(7) Ensure that every:

(A) employee;

(B) state officer;

(C) special state appointee; and

(D) person who has a business relationship with an agency;

is properly trained in the code of ethics.

(8) Provide advice to an agency on developing, implementing, and enforcing policies and procedures to prevent or reduce the risk of fraudulent or wrongful acts within the agency.

(9) Recommend legislation to the governor and general assembly to strengthen public integrity laws, including the code of ethics for state officers, employees, special state appointees, and persons who have a business relationship with an agency, including whether additional specific state officers, employees, or special state appointees should be required to file a financial disclosure statement under IC 4-2-6-8.

(10) Annually submit a report to the legislative council detailing the inspector general's activities. The report must be in an electronic format under IC 5-14-6.

(11) Prescribe and provide forms for statements required to be filed under IC 4-2-6 or this chapter.

(12) Accept and file information that:

(A) is voluntarily supplied; and

(B) exceeds the requirements of this chapter.

(13) Inspect financial disclosure forms.

(14) Notify persons who fail to file forms required under IC 4-2-6 or this chapter.

(15) Develop a filing, a coding, and an indexing system required by IC 4-2-6 and IC 35-44.1-1.

(16) Prepare interpretive and educational materials and programs.

(17) Adopt rules under IC 4-22-2 and section 9 of this chapter to implement a statewide code of judicial conduct for administrative law judges. The inspector general may adopt emergency rules in the manner provided under IC 4-22-2-37.1 to implement a statewide code of judicial conduct for administrative law judges.

As added by P.L.222-2005, SEC.14. Amended by P.L.89-2006, SEC.14; P.L.1-2007, SEC.4; P.L.126-2012, SEC.4; P.L.72-2014, SEC.1.

 

IC 4-2-7-4Powers; subpoena and contempt; reports; serving as special prosecuting attorney; civil and criminal actions

     Sec. 4. To carry out the duties described in section 3 of this chapter, the inspector general has the following powers:

(1) As part of an investigation, the inspector general may:

(A) administer oaths;

(B) examine witnesses under oath;

(C) issue subpoenas and subpoenas duces tecum; and

(D) examine the records, reports, audits, reviews, papers, books, recommendations, contracts, correspondence, or any other documents maintained by an agency.

(2) The inspector general may apply to a circuit or superior court for an order holding an individual in contempt of court if the individual refuses to give sworn testimony under a subpoena issued by the inspector general or otherwise disobeys a subpoena or subpoena duces tecum issued by the inspector general.

(3) The inspector general shall prepare a report summarizing the results of every investigation. The report is confidential in accordance with section 8 of this chapter.

(4) If the attorney general has elected not to file a civil action for the recovery of funds misappropriated, diverted, missing, or unlawfully gained, the inspector general may file a civil action for the recovery of the funds in accordance with section 6 of this chapter.

(5) The inspector general may prosecute a criminal matter as a special prosecuting attorney or special deputy prosecuting attorney in accordance with:

(A) section 7 of this chapter; or

(B) IC 33-39-10-3.

As added by P.L.222-2005, SEC.14. Amended by P.L.57-2014, SEC.1.

 

IC 4-2-7-5Code of ethics; use of state property for political purpose; filing ethics complaint

     Sec. 5. (a) The inspector general shall adopt rules under IC 4-22-2 establishing a code of ethics for the conduct of state business. The code of ethics must be consistent with Indiana law.

     (b) The code of ethics must, except as provided in subsection (c), prohibit the following:

(1) A state officer, an employee, or a special state appointee from using state materials, funds, property, personnel, facilities, or equipment for a political purpose.

(2) Adoption of policies or regulations that authorize a state officer, an employee, or a special state appointee to use state materials, funds, property, personnel, facilities, or equipment for a political purpose.

For purposes of this section, "political purpose" does not include the handling or disposing of unsolicited political communications.

     (c) A state officer or an individual designated by the state officer may use state materials, funds, property, personnel, facilities, or equipment for the following:

(1) To coordinate the state officer's official, personal, and political calendars.

(2) To provide transportation and security for:

(A) the state officer; and

(B) any employee or special state appointee who accompanies the state officer.

(3) Incidental or de minimus political communications or activity involving the state officer.

     (d) If the inspector general investigates and determines that there is specific and credible evidence that a current or former employee, a current or former state officer, a current or former special state appointee, or a person who has or had a business relationship with an agency has violated the code of ethics, the inspector general may:

(1) file a complaint with the ethics commission and represent the state in a public proceeding before the ethics commission as prescribed in IC 4-2-6-4; or

(2) file a complaint with the ethics commission and negotiate an agreed settlement for approval by the ethics commission according to its rules.

As added by P.L.222-2005, SEC.14. Amended by P.L.123-2015, SEC.27.

 

IC 4-2-7-6Misconduct involving state business; report to attorney general; inspector general's authority to bring civil action

     Sec. 6. (a) This section applies if the inspector general finds evidence of misfeasance, malfeasance, nonfeasance, misappropriation, fraud, or other misconduct that has resulted in a financial loss to the state or in an unlawful benefit to an individual in the conduct of state business.

     (b) If the inspector general finds evidence described in subsection (a), the inspector general shall certify a report of the matter to the attorney general and provide the attorney general with any relevant documents, transcripts, or written statements. Not later than one hundred eighty (180) days after receipt of the report from the inspector general, the attorney general shall do one (1) of the following:

(1) File a civil action (including an action upon a state officer's official bond) to secure for the state the recovery of funds misappropriated, diverted, missing, or unlawfully gained. Upon request of the attorney general, the inspector general shall assist the attorney general in the investigation, preparation, and prosecution of the civil action.

(2) Inform the inspector general that the attorney general does not intend to file a civil action for the recovery of funds misappropriated, diverted, missing, or unlawfully gained. If the attorney general elects not to file a civil action, the attorney general shall return to the inspector general all documents and files initially provided by the inspector general.

(3) Inform the inspector general that the attorney general is diligently investigating the matter and after further investigation may file a civil action for the recovery of funds misappropriated, diverted, missing, or unlawfully gained. However, if more than three hundred sixty-five (365) days have passed since the inspector general certified the report to the attorney general, the attorney general loses the authority to file a civil action for the recovery of funds misappropriated, diverted, missing, or unlawfully gained and shall return to the inspector general all documents and files initially provided by the inspector general.

     (c) If the inspector general has found evidence described in subsection (a) and reported to the attorney general under subsection (b) and:

(1) the attorney general has elected under subsection (b)(2) not to file a civil action for the recovery of funds misappropriated, diverted, missing, or unlawfully gained; or

(2) under subsection (b)(3) more than three hundred sixty-five (365) days have passed since the inspector general certified the report to the attorney general under subsection (b) and the attorney general has not filed a civil action;

the inspector general may file a civil action for the recovery of funds misappropriated, diverted, missing, or unlawfully gained.

     (d) If the inspector general has found evidence described in subsection (a), the inspector general may institute forfeiture proceedings under IC 34-24-2 in a court having jurisdiction in a county where property derived from or realized through the misappropriation, diversion, disappearance, or unlawful gain of state funds may be located, unless a prosecuting attorney has already instituted forfeiture proceedings against that property.

     (e) The inspector general may directly institute civil proceedings against a person who has failed to pay civil penalties imposed by the ethics commission under IC 4-2-6-12.

As added by P.L.222-2005, SEC.14. Amended by P.L.126-2012, SEC.5; P.L.136-2012, SEC.1.

 

IC 4-2-7-7Crimes; inspector general's duty to report to prosecuting attorney; governor's recommendation; appointment of special prosecutor by court of appeals judge; selection; powers and limitations; indictment

     Sec. 7. (a) If the inspector general discovers evidence of criminal activity, the inspector general shall certify to the appropriate prosecuting attorney the following information:

(1) The identity of any person who may be involved in the criminal activity.

(2) The criminal statute that the inspector general believes has been violated.

In addition, the inspector general shall provide the prosecuting attorney with any relevant documents, transcripts, or written statements. If the prosecuting attorney decides to prosecute the crime described in the information certified to the prosecuting attorney, or any other related crimes, the inspector general shall cooperate with the prosecuting attorney in the investigation and prosecution of the case. Upon request of the prosecuting attorney, the inspector general may participate on behalf of the state in any resulting criminal trial.

     (b) If:

(1) the prosecuting attorney to whom the inspector general issues a certification under subsection (a):

(A) is disqualified from investigating or bringing a criminal prosecution in the matter addressed in the certification;

(B) does not file an information or seek an indictment not later than one hundred eighty (180) days after the date on which the inspector general certified the information to the prosecuting attorney; or

(C) refers the case back to the inspector general; and

(2) the inspector general finds that there may be probable cause to believe that a person identified in a certification under subsection (a)(1) has violated a criminal statute identified in a certification under subsection (a)(2);

the inspector general may request that the governor recommend the inspector general be appointed as a special prosecuting attorney under subsection (h) so that the inspector general may prosecute the matter addressed in the certification.

     (c) The governor may recommend the inspector general be appointed as a special prosecuting attorney if:

(1) one (1) of the conditions set forth in subsection (b)(1) relating to the prosecuting attorney is met; and

(2) the governor finds that the appointment of the inspector general as a special prosecuting attorney is in the best interests of justice.

     (d) If the governor has recommended the appointment of the inspector general as a special prosecuting attorney, the inspector general shall file a notice with the chief judge of the court of appeals, stating:

(1) that the governor has recommended that the inspector general be appointed as a special prosecutor;

(2) the name of the county in which the crime that the inspector general intends to prosecute is alleged to have been committed; and

(3) that the inspector general requests the chief judge to assign a court of appeals judge to determine whether the inspector general should be appointed as a special prosecuting attorney.

Upon receipt of the notice, the chief judge of the court of appeals shall randomly select a judge of the court of appeals to determine whether the inspector general should be appointed as a special prosecuting attorney. The chief judge shall exclude from the random selection a judge who resided in the county in which the crime is alleged to have been committed at the time the judge was appointed to the court of appeals.

     (e) The inspector general shall file a verified petition for appointment as a special prosecuting attorney with the court of appeals judge assigned under subsection (d). In the verified petition, the inspector general shall set forth why the inspector general should be appointed as a special prosecutor. The inspector general may support the verified petition by including relevant documents, transcripts, or written statements in support of the inspector general's position. The inspector general shall serve a copy of the verified petition, along with any supporting evidence, on the prosecuting attorney to whom the case was originally certified under subsection (a).

     (f) The prosecuting attorney shall file a verified petition in support of or opposition to the inspector general's verified petition for appointment as a special prosecuting attorney not later than fifteen (15) days after receipt of the inspector general's verified petition for appointment as a special prosecuting attorney.

     (g) Upon a showing of particularized need, the court of appeals judge may order the verified petitions filed by the inspector general and the prosecuting attorney to be confidential.

     (h) After considering the verified petitions, the court of appeals judge may appoint the inspector general or a prosecuting attorney, other than the prosecuting attorney to whom the case was certified under this section, as a special prosecuting attorney if the judge finds that:

(1) one (1) of the conditions set forth in subsection (b)(1) is met; and

(2) appointment of a special prosecuting attorney is in the best interests of justice.

In making its determination under this subsection, the court of appeals judge shall consider only the arguments and evidence contained in the verified petitions.

     (i) Except as provided in subsection (k), a special prosecuting attorney appointed under this section has the same powers as the prosecuting attorney of the county. However, the court of appeals judge shall:

(1) limit the scope of the special prosecuting attorney's duties as a special prosecuting attorney to include only the investigation or prosecution of a particular case or particular grand jury investigation, including any matter that reasonably results from the investigation, prosecution, or grand jury investigation; and

(2) establish for a time certain the length of the special prosecuting attorney's term.

If the special prosecuting attorney's investigation or prosecution acquires a broader scope or requires additional time to complete, the court of appeals judge may at any time increase the scope of the special prosecuting attorney's duties or establish a longer term for the special prosecuting attorney.

     (j) An inspector general or prosecuting attorney appointed to serve as a special prosecuting attorney may appoint one (1) or more deputies who are licensed to practice law in Indiana to serve as a special deputy prosecuting attorney. A special deputy prosecuting attorney is subject to the same statutory restrictions and other restrictions imposed on the special prosecuting attorney by the court of appeals, but otherwise has the same powers as a deputy prosecuting attorney.

     (k) An inspector general or prosecuting attorney appointed to serve as a special prosecuting attorney under this section may bring a criminal charge only after obtaining an indictment from a grand jury. An inspector general or prosecuting attorney appointed under this section to serve as a special prosecuting attorney may not bring a criminal charge by filing an information.

     (l) The inspector general or a deputy inspector general who is licensed to practice law in Indiana may serve as a special deputy prosecuting attorney under IC 33-39-10-3.

     (m) If the court of appeals appoints a prosecuting attorney to serve as a special prosecuting attorney under this section, the inspector general shall reimburse the prosecuting attorney for the reasonable expenses of investigating and prosecuting the case.

As added by P.L.222-2005, SEC.14. Amended by P.L.57-2014, SEC.2.

 

IC 4-2-7-8Confidentiality of informant; exceptions; records and disclosure; penalties

     Sec. 8. (a) The identity of any individual who discloses in good faith to the inspector general information alleging a violation of a state or federal statute, rule, regulation, or ordinance is confidential and may not be disclosed to anyone other than the governor, the staff of the office of the inspector general, or an authority to whom the investigation is subsequently referred or certified, unless:

(1) the inspector general makes a written determination that it is in the public interest to disclose the individual's identity; or

(2) the individual consents in writing to disclosure of the individual's identity.

     (b) The investigative records of the inspector general may be kept confidential in whole or in part.

     (c) This subsection does not apply to a person who is a party to an action brought by the inspector general. Information received by the inspector general is not required to be produced in the course of discovery unless ordered by a court after a showing of:

(1) particularized need; and

(2) proof that the information requested cannot be obtained from any other source.

     (d) Except as provided in subsection (e), a person who knowingly or intentionally discloses:

(1) confidential information or records; or

(2) the identity of a person whose identity is confidential under subsection (a);

commits unlawful disclosure of confidential information, a Class A misdemeanor.

     (e) A person may disclose confidential information or records or the identity of a person whose identity is confidential under subsection (a) if the governor authorizes the disclosure of this information in the public interest.

As added by P.L.222-2005, SEC.14.

 

IC 4-2-7-9Statewide code of judicial conduct for administrative law judges

     Sec. 9. (a) The inspector general shall adopt rules under IC 4-22-2 establishing a statewide code of judicial conduct for administrative law judges. The statewide code of judicial conduct for administrative law judges must apply to every person acting as an administrative law judge for a state agency.

     (b) The inspector general:

(1) shall review 312 IAC 3-1-2.5 and 315 IAC 1-1-2 in adopting a statewide code of judicial conduct for administrative law judges; and

(2) may base the statewide code of judicial conduct for administrative law judges on 312 IAC 3-1-2.5 and 315 IAC 1-1-2.

     (c) A state agency may adopt rules under IC 4-22-2 to establish a supplemental code of judicial conduct for a person acting as an administrative law judge for that agency, if the supplemental code is at least as restrictive as the statewide code of judicial conduct for administrative law judges.

     (d) The inspector general may adopt emergency rules in the manner provided under IC 4-22-2-37.1 to implement a statewide code of judicial conduct for administrative law judges.

     (e) The statewide code of judicial conduct for administrative law judges shall be enforced under IC 4-21.5. The inspector general is not responsible for enforcing the statewide code of judicial conduct for administrative law judges or for investigating a possible violation of the statewide code.

As added by P.L.72-2014, SEC.2.

 

IC 4-2-8Chapter 8. Registration and Reporting of Executive Branch Lobbyists
           4-2-8-1Application of definitions
           4-2-8-2"Department"
           4-2-8-3Executive branch lobbyists; registration statement; annual report; filing under oath
           4-2-8-4Filing fees; late fees
           4-2-8-5Filing materially incorrect statement or report; referral to inspector general; sanctions
           4-2-8-6Failure to file statement or report; sanctions
           4-2-8-7Rules; consultation with ethics commission and inspector general

 

IC 4-2-8-1Application of definitions

     Sec. 1. The definitions in IC 4-2-6 and IC 4-2-7 apply throughout this chapter.

As added by P.L.89-2006, SEC.15.

 

IC 4-2-8-2"Department"

     Sec. 2. As used in this chapter, "department" refers to the Indiana department of administration created by IC 4-13-1-2.

As added by P.L.89-2006, SEC.15.

 

IC 4-2-8-3Executive branch lobbyists; registration statement; annual report; filing under oath

     Sec. 3. (a) An executive branch lobbyist shall file the following with the department:

(1) A registration statement.

(2) An annual report as required by the department.

     (b) Statements and reports filed under this section must be filed under oath.

As added by P.L.89-2006, SEC.15.

 

IC 4-2-8-4Filing fees; late fees

     Sec. 4. (a) The department shall charge each executive branch lobbyist an initial registration fee and an annual report filing fee set by rules adopted by the department under IC 4-22-2.

     (b) In the rules adopted under this section, the department may provide for late fees for registration statements and annual reports that are filed late.

As added by P.L.89-2006, SEC.15.

 

IC 4-2-8-5Filing materially incorrect statement or report; referral to inspector general; sanctions

     Sec. 5. (a) If the department finds that:

(1) a statement or report required to be filed under this chapter was materially incorrect;

(2) the person filing the statement or report was requested to file a corrected statement or report; and

(3) a corrected statement or report has not been filed;

the department may refer the matter to the inspector general or, after a hearing conducted under IC 4-21.5-3, take action under subsection (b).

     (b) If the department makes a finding under subsection (a), the department may do either or both of the following:

(1) Revoke the registration of the person who has failed to file a corrected statement or report.

(2) For a finding made after June 30, 2007, assess a civil penalty on the person who has failed to file a corrected statement or report of not more than five hundred dollars ($500).

As added by P.L.89-2006, SEC.15.

 

IC 4-2-8-6Failure to file statement or report; sanctions

     Sec. 6. (a) The department may impose either or both of the following sanctions if, after a hearing under IC 4-21.5-3, the department finds that a person has failed to file a registration statement or a report required by this chapter:

(1) Revoke the person's registration.

(2) For a finding made after June 30, 2007, assess a civil penalty on the person of not more than five hundred dollars ($500).

     (b) In imposing sanctions under this section, the department shall consider the following:

(1) Whether the failure to file the statement or report was willful or negligent.

(2) Any mitigating circumstances.

As added by P.L.89-2006, SEC.15.

 

IC 4-2-8-7Rules; consultation with ethics commission and inspector general

     Sec. 7. In consultation with the inspector general and the commission, the department may adopt rules under IC 4-22-2 to accomplish the duties given to the department under this chapter.

As added by P.L.89-2006, SEC.15.

 

IC 4-3ARTICLE 3. GOVERNOR
           Ch. 1.The Governor
           Ch. 2.Repealed
           Ch. 3.Pensions for Former Governors and Surviving Spouses
           Ch. 4.Reports of State Agencies to Governor-Elect
           Ch. 5.State Services and Space Made Available to Governor-Elect
           Ch. 6.Governor Authorized to Present Reorganization Plans for State Agencies to the General Assembly
           Ch. 7.Repealed
           Ch. 7.5.Repealed
           Ch. 8.Repealed
           Ch. 9.Transfer of Land to United States Government for Location of Federal Projects in Indiana
           Ch. 10.Repealed
           Ch. 10.1.Repealed
           Ch. 11.Repealed
           Ch. 12.Repealed
           Ch. 12.5.Repealed
           Ch. 13.Repealed
           Ch. 14.Repealed
           Ch. 15.Repealed
           Ch. 16.Repealed
           Ch. 17.Hoosier Alliance Against Drugs
           Ch. 19.Public Highway Private Enterprise Review Board
           Ch. 20.Repealed
           Ch. 21.Military Base Planning Council
           Ch. 22.Office of Management and Budget
           Ch. 23.Indiana Office of Energy Development
           Ch. 24.Office of State Based Initiatives
           Ch. 25.Indiana Commission to Combat Drug Abuse
           Ch. 26.Indiana Management Performance Hub

 

IC 4-3-1Chapter 1. The Governor
           4-3-1-1Acts and joint resolutions of general assembly
           4-3-1-2Employment of counsel; fugitives from justice; recapture
           4-3-1-3Official bonds; suits
           4-3-1-4Expenses; contingent fund
           4-3-1-5Officers and judges commissioned by governor
           4-3-1-6Location of residence

 

IC 4-3-1-1Acts and joint resolutions of general assembly

     Sec. 1. The governor shall cause all acts and joint resolutions passed by the general assembly to be deposited in the office of the secretary of state, and inform the house in which the same originated, thereof.

Formerly: Acts 1852, 1RS, c.47, s.1.

 

IC 4-3-1-2Employment of counsel; fugitives from justice; recapture

     Sec. 2. The governor may employ counsel to protect the interest of the state in any matter of litigation where the same is involved; and the expenses incurred under this section, and recapturing fugitives from justice, may be allowed by the governor and paid out of any money appropriated for that purpose.

Formerly: Acts 1852, 1RS, c.47, s.2. As amended by P.L.215-2016, SEC.11.

 

IC 4-3-1-3Official bonds; suits

     Sec. 3. For breach of the condition of any official bond, by which the state is injured, the governor shall direct suit to be brought upon the governor's relation, unless otherwise provided by law; and all costs taxed against the relator shall be paid by the state.

Formerly: Acts 1852, 1RS, c.47, s.4. As amended by P.L.215-2016, SEC.12.

 

IC 4-3-1-4Expenses; contingent fund

     Sec. 4. The expenses of the necessary furniture, fuel, stationery, and postage of the governor, and such contingent fund as may be appropriated, shall be paid out of the treasury of the state, on the order of the auditor, as in other cases.

Formerly: Acts 1852, 1RS, c.47, s.6.

 

IC 4-3-1-5Officers and judges commissioned by governor

     Sec. 5. The governor shall commission the following:

(1) All officers designated in the Constitution of the State of Indiana other than members of the general assembly.

(2) All officers elected by the general assembly.

(3) All officers appointed by the governor.

(4) All judges.

(5) All electors and alternate electors for President and Vice President of the United States.

As added by P.L.3-1987, SEC.492. Amended by P.L.3-1993, SEC.238.

 

IC 4-3-1-6Location of residence

     Sec. 6. The governor must reside at the seat of government as provided in Article 6, Section 5 of the Constitution of the State of Indiana.

As added by P.L.3-1987, SEC.493.

 

IC 4-3-2Chapter 2. Repealed

Repealed by Acts 1979, P.L.19, SEC.4.

 

IC 4-3-3Chapter 3. Pensions for Former Governors and Surviving Spouses
           4-3-3-1Repealed
           4-3-3-1.1Retirement benefit of governor; eligibility; elections; limitations; payment
           4-3-3-2Pension of surviving spouse; election; limitations; payment
           4-3-3-3Application of chapter

 

IC 4-3-3-1Repealed

Formerly: Acts 1945, c.6, s.1; Acts 1975, P.L.21, SEC.1. As amended by Acts 1977, P.L.24, SEC.1. Repealed by Acts 1980, P.L.9, SEC.5.

 

IC 4-3-3-1.1Retirement benefit of governor; eligibility; elections; limitations; payment

     Sec. 1.1. (a) An individual who holds the office of governor for any length of time during one (1) term of that office is entitled to receive an annual retirement benefit under subsection (e). However, an individual who succeeds to the office of governor without being elected is not entitled to an annual retirement benefit under this section unless such person serves for more than one (1) year of the term of the office.

     (b) An individual who holds the office of governor for any length of time during each of two (2) separate terms of that office is entitled to receive an annual retirement benefit under subsection (f).

     (c) If an individual who holds the office of governor resigns or is removed from office, during a term of that office, for any reason except a mental or physical disability that renders the individual unable to discharge the powers and duties of the office, then the term during which the individual resigned or was removed may not be considered for determining the individual's annual retirement benefit under this section.

     (d) The retirement benefit shall be paid in equal monthly installments by the treasurer of state on warrant of the auditor of state after a claim has been made for the retirement benefit to the auditor by the governor or a person acting on the governor's behalf. A governor shall choose the date on which the governor will begin receiving the governor's retirement benefit. However, the date must be the first state employee payday of a month. A governor may not receive the retirement benefit as long as the governor holds an elective position with any federal, state, or local governmental unit, and the governor may not receive the retirement benefit until the governor has reached at least age sixty-two (62) years. The governor's choice of initial benefit payment date and the governor's choice of benefit payment amount under subsections (e) and (f) are revocable until the governor receives the first monthly installment of the governor's retirement benefit. After that installment is received, the choice of date and the choice of amount are irrevocable.

     (e) With respect to a governor who is entitled to a retirement benefit under subsection (a):

(1) if the governor chooses to begin receiving the governor's retirement benefit on or after the date the governor reaches age sixty-two (62) years but before the governor reaches age sixty-five (65) years, the governor may choose to receive:

(A) the retirement benefits the governor is entitled to, if any, from the public employees' retirement fund; or

(B) thirty percent (30%) of the governor's annual salary set in IC 4-2-1-1 for the remainder of the governor's life; or

(2) if the governor chooses to begin receiving the governor's retirement benefit on or after the date the governor reaches age sixty-five (65) years, the governor may choose to receive:

(A) the retirement benefits the governor is entitled to, if any, from the public employees' retirement fund; or

(B) forty percent (40%) of the governor's annual salary set in IC 4-2-1-1 for the remainder of the governor's life.

     (f) With respect to a governor who is entitled to a retirement benefit under subsection (b):

(1) if the governor chooses to begin receiving the governor's retirement benefit on or after the date the governor reaches age sixty-two (62) years but before the governor reaches age sixty-five (65) years, the governor may choose to receive:

(A) the retirement benefits the governor is entitled to, if any, from the public employees' retirement fund; or

(B) forty percent (40%) of the governor's annual salary set in IC 4-2-1-1 for the remainder of the governor's life; or

(2) if the governor chooses to begin receiving the governor's retirement benefit on or after the date the governor reaches age sixty-five (65) years, the governor may choose to receive:

(A) the retirement benefits the governor is entitled to, if any, from the public employees' retirement fund; or

(B) fifty percent (50%) of the governor's annual salary set in IC 4-2-1-1 for the remainder of the governor's life.

As added by Acts 1980, P.L.9, SEC.1. Amended by P.L.6-1996, SEC.1; P.L.22-1998, SEC.1; P.L.13-2013, SEC.4.

 

IC 4-3-3-2Pension of surviving spouse; election; limitations; payment

     Sec. 2. (a) The surviving spouse of each individual who:

(1) serves as governor; and

(2) is entitled to a retirement benefit under section 1.1 of this chapter;

is entitled to an annual pension.

     (b) The pension to which a governor's surviving spouse is entitled under this section shall be paid in equal monthly installments by the treasurer of state on warrant of the auditor of state after a claim has been made for the pension to the auditor by:

(1) the surviving spouse; or

(2) a person acting on behalf of the surviving spouse.

     (c) The annual pension to which a governor's surviving spouse is entitled under this section is equal to the following:

(1) For the surviving spouse of a governor who died before July 1, 1998, the greater of:

(A) the annual retirement benefit received by the surviving spouse during the year beginning July 1, 1998; or

(B) ten thousand dollars ($10,000).

(2) For the surviving spouse of a governor who dies after June 30, 1998, the greater of:

(A) fifty percent (50%) of the annual retirement benefit that the governor to whom the surviving spouse was married was receiving or was entitled to receive on the date of the governor's death; or

(B) ten thousand dollars ($10,000).

     (d) The surviving spouse of a governor must make the election required under subsection (c)(1) or (c)(2). Once a surviving spouse has received any pension payment under this section, the election is irrevocable.

     (e) A governor's surviving spouse is entitled to receive the pension provided under this section for life.

     (f) Notwithstanding any other law to the contrary, the pension provided under this section is in addition to any other retirement benefits a governor's surviving spouse is entitled to receive.

As added by Acts 1980, P.L.9, SEC.2. Amended by P.L.195-1999, SEC.6; P.L.97-2004, SEC.13; P.L.177-2014, SEC.1.

 

IC 4-3-3-3Application of chapter

     Sec. 3. This chapter applies to any governor of Indiana regardless of whether the governor's service occurred before, on, or after January 14, 1981, and to the surviving spouse of any governor.

As added by Acts 1980, P.L.9, SEC.3. Amended by P.L.215-2016, SEC.13.

 

IC 4-3-4Chapter 4. Reports of State Agencies to Governor-Elect
           4-3-4-1Contents of reports; plans and estimates for improvements

 

IC 4-3-4-1Contents of reports; plans and estimates for improvements

     Sec. 1. It shall be the duty of every state institution, office, board, bureau, society, commission, or other organization which receives an appropriation from the state, to furnish to the governor elect of the state, upon the governor elect's request, within six (6) days after each general election in November, the information in relation to the management, control, receipts, expenditures, and needs of the state institution, office, board, bureau, society, commission, or other organization as the governor may require and in the form as the governor may prescribe and to furnish plans and reliable estimates for all improvements for which appropriations are to be requested from the next general assembly.

Formerly: Acts 1905, c.64, s.1. As amended by Acts 1979, P.L.17, SEC.1; P.L.215-2016, SEC.14.

 

IC 4-3-5Chapter 5. State Services and Space Made Available to Governor-Elect
           4-3-5-1Office space; equipment; telephone
           4-3-5-2State budget; revenue estimate
           4-3-5-3Successors to heads of state agencies; furnishing information

 

IC 4-3-5-1Office space; equipment; telephone

     Sec. 1. The governor shall direct the property management division of the department of administration to provide a governor-elect with office space, office equipment, and telephone service, for the period between the election and the inauguration.

Formerly: Acts 1963, c.143, s.1.

 

IC 4-3-5-2State budget; revenue estimate

     Sec. 2. The budget agency shall make available to a governor elect and the governor elect's designated representatives information on the following:

(1) All information and reports used in the preparation of the state budget.

(2) All information on projected income and revenue estimates for the state.

Formerly: Acts 1963, c.143, s.2. As amended by P.L.215-2016, SEC.15.

 

IC 4-3-5-3Successors to heads of state agencies; furnishing information

     Sec. 3. The designated department, agency, commission, and/or division heads will supply their successors with all necessary documents and information vital to the continued operation of the department.

Formerly: Acts 1963, c.143, s.3.

 

IC 4-3-6Chapter 6. Governor Authorized to Present Reorganization Plans for State Agencies to the General Assembly
           4-3-6-1Title of act
           4-3-6-2Definitions
           4-3-6-3Purposes of reorganization
           4-3-6-4Governor; preparation of plan; message to general assembly
           4-3-6-5Name of agencies; personnel; transfer of records and property; unexpended balances of appropriation; enumerating statutes repealed
           4-3-6-6Effect of plans
           4-3-6-7Presenting plan to general assembly in form of bill; enactment
           4-3-6-8Effect of reorganization; regulations and other actions; vested functions
           4-3-6-9Survival of actions; time for motion to allow

 

IC 4-3-6-1Title of act

     Sec. 1. This chapter shall be known and may be cited as the "Reorganization Act of 1967".

Formerly: Acts 1967, c.9, s.1. As amended by P.L.5-1984, SEC.9.

 

IC 4-3-6-2Definitions

     Sec. 2. As used in this chapter:

(1) "Agency" means any executive or administrative department, commission, council, board, bureau, division, service, office, officer, administration, or other establishment in the executive or administrative branch of the state government not provided for by the constitution. The term "agency" does not include the secretary of state, the auditor of state, the treasurer of state, the lieutenant governor, the state superintendent of public instruction, and the attorney general, nor the departments of which they are, by the statutes first adopted setting out their duties, the administrative heads. After January 10, 2025, "agency" includes the state superintendent of public instruction.

(2) "Reorganization" means:

(A) the transfer of the whole or any part of any agency, or of the whole or any part of the functions of an agency, to the jurisdiction and control of any other agency;

(B) the abolition of all or any part of the functions of any agency;

(C) the consolidation or coordination of the whole or any part of any agency, or of the whole or any part of the functions of an agency, with the whole or any part of any other agency or the functions of an agency;

(D) the consolidation or coordination of any part of any agency or the functions of an agency, with any other part of the same agency or the functions of the agency;

(E) the authorization of any officer to delegate any of the officer's functions; or

(F) the abolition of the whole or any part of any agency which agency or part does not have, or upon the taking effect of a reorganization plan will not have, any functions.

Formerly: Acts 1967, c.9, s.2. As amended by P.L.5-1984, SEC.10; P.L.215-2016, SEC.16; P.L.219-2017, SEC.10.

 

IC 4-3-6-3Purposes of reorganization

     Sec. 3. (a) The governor shall examine, and from time to time reexamine, the organization of all agencies of the state government, and shall determine what changes therein are necessary to accomplish the following purposes:

(1) To promote the better execution of the laws, the more effective management of the executive and administrative branch of the government and of its agencies and functions, and expeditious administration of the public business.

(2) To reduce expenditures and promote economy to the fullest extent consistent with the efficient operation of the government.

(3) To increase the efficiency of the operations of the government to the fullest extent practicable.

(4) To group, coordinate, and consolidate agencies and functions of the government, as nearly as possible according to major purposes.

(5) To reduce the number of agencies by consolidating those having similar functions under a single head, and to abolish such agencies or functions thereof as may not be necessary for the efficient conduct of the government.

(6) To eliminate overlapping and duplication of effort.

(7) To increase the control of the electorate over the policy making functions of government.

     (b) The general assembly declares that the public interest demands the carrying out of the purposes specified in this section, and that these purposes may be accomplished in great measure by proceeding under the provisions of this chapter.

Formerly: Acts 1967, c.9, s.3. As amended by P.L.5-1984, SEC.11.

 

IC 4-3-6-4Governor; preparation of plan; message to general assembly

     Sec. 4. Whenever the governor, after investigation, finds that:

(1) the transfer of the whole or any part of any agency, or of the whole or any part of the functions thereof, to the jurisdiction and control of any other agency;

(2) the abolition of all or any part of the functions of any agency;

(3) the consolidation or coordination of the whole or any part of any agency, or of the whole or any part of the functions thereof, with the whole or any part of any other agency or the functions thereof;

(4) the consolidation or coordination of any part of any agency or the functions thereof with any other part of the same agency or the functions thereof;

(5) the authorization of any officer to delegate any of that officer's functions; or

(6) the abolition of the whole or any part of any agency which agency or part does not have, or upon the taking effect of the reorganization plan will not have any functions;

is necessary to accomplish one (1) or more of the purposes of this chapter, the governor shall prepare a reorganization plan for accomplishing the changes in government indicated by the governor's findings included in the plan, and shall submit the plan in an electronic format under IC 5-14-6 to the general assembly, together with a declaration that, with respect to each reorganization included in the plan the governor has found that the reorganization is necessary to accomplish one (1) or more of the purposes of this chapter. The governor, in the message submitting a reorganization plan, shall specify, with respect to each abolition of a function included in the plan, the statutory authority for the exercise of the function, and shall specify the reduction of expenditures which it is probable will be brought about by the taking effect of the reorganizations included in the plan.

Formerly: Acts 1967, c.9, s.4. As amended by P.L.5-1984, SEC.12; P.L.17-1985, SEC.1; P.L.28-2004, SEC.15.

 

IC 4-3-6-5Name of agencies; personnel; transfer of records and property; unexpended balances of appropriation; enumerating statutes repealed

     Sec. 5. Any reorganization plan submitted by the governor under this chapter:

(a) shall change, in cases the governor deems necessary, the name of any agency affected by a reorganization, and the title of its head; and shall designate the name of any agency resulting from a reorganization and the title of its head;

(b) may include provisions for the appointment and compensation of the head and one (1) or more other officers of any agency, including an agency resulting from a consolidation or other type of reorganization, if the governor finds, and in the governor's message submitting the plan declares, that by reason of a reorganization made by the plan the provisions are necessary. The head may be an individual, or may be a commission or board with two (2) or more members. The terms of office of any appointee shall not be fixed at more than four (4) years. The compensation shall not be at a rate in excess of that found by the governor to prevail in respect of comparable officers in the executive and administrative branch;

(c) shall make provisions for the transfer or other disposition of the records, property, and personnel affected by any reorganization;

(d) shall make provision for the transfer of the unexpended balances of appropriations, and of other funds, available for use in connection with any function or agency affected by a reorganization, as the governor deems necessary by reason of the reorganization for use in connection with the functions affected by the reorganization, or for the use of the agency which has the functions after the reorganization plan is effective. Unexpended balances transferred shall be used only for the purposes for which the appropriation was originally made;

(e) shall make provision for terminating the affairs of any agency abolished; and

(f) shall enumerate all statutes which may be repealed if the reorganization plan becomes effective.

Formerly: Acts 1967, c.9, s.5. As amended by P.L.5-1984, SEC.13; P.L.215-2016, SEC.17.

 

IC 4-3-6-6Effect of plans

     Sec. 6. No reorganization plan shall provide for, and no reorganization under this chapter shall have the effect of:

(a) abolishing or transferring a constitutional office or the attorney general or the functions thereof, or consolidating any two (2) such offices or the functions provided such offices in the first statute prescribing the functions and duties of such offices;

(b) continuing any agency beyond the period authorized by law for its existence or beyond the time when it would have terminated if the reorganization had not been made;

(c) continuing any function beyond the period authorized by law for its exercise, or beyond the time when it would have terminated if the reorganization had not been made; or

(d) increasing the term of any office beyond that provided by law for the office.

Formerly: Acts 1967, c.9, s.6. As amended by P.L.5-1984, SEC.14.

 

IC 4-3-6-7Presenting plan to general assembly in form of bill; enactment

     Sec. 7. (a) Each reorganization plan shall be presented by the governor to the general assembly in the form of a bill.

     (b) Each reorganization plan so submitted by the governor shall take effect if and when it is enacted as a law by the general assembly in accordance with the constitution of the state of Indiana.

Formerly: Acts 1967, c.9, s.7.

 

IC 4-3-6-8Effect of reorganization; regulations and other actions; vested functions

     Sec. 8. (a) An act and any regulation or other action made, prescribed, issued, granted, or performed in respect of or by any agency or function affected by a reorganization under this chapter, before the effective date of the reorganization, shall, except to the extent rescinded, modified, superseded, or made inapplicable by or under authority of law or by the abolition of a function, have the same effect as if the reorganization had not been made. If any such act, regulation, or other action has vested the function in the agency from which it is removed under the plan, the function shall, insofar as it is to be exercised after the plan becomes effective, be considered as vested in the agency under which the function is placed by the plan.

     (b) As used in this section, "regulation or other action" means any regulation, rule, order, policy, determination, directive, authorization, permit, privilege, requirement, designation, or other action.

Formerly: Acts 1967, c.9, s.8. As amended by P.L.5-1984, SEC.15.

 

IC 4-3-6-9Survival of actions; time for motion to allow

     Sec. 9. No legal action, or other proceeding lawfully commenced by or against the head of any agency or other officer of the state, in the head's or other officer's official capacity or in relation to the discharge of the head's or other officer's official duties, shall abate by reason of the taking effect of any reorganization plan under the provisions of this chapter. The court may, on motion or supplemental petition filed at any time within twelve (12) months after the reorganization plan takes effect, showing a necessity for a survival of the action, or other proceeding to obtain a settlement of the questions involved, allow the same to be maintained by or against the successor of the head or officer under the reorganization effected by the plan or, if there is no successor, against the agency or officer as the governor shall designate.

Formerly: Acts 1967, c.9, s.9. As amended by P.L.5-1984, SEC.16; P.L.215-2016, SEC.18.

 

IC 4-3-7Chapter 7. Repealed

[Pre-Local Government Recodification Citations:

4-3-7-7                  formerly 18-7-1.5-2; 18-7-1.5-3; 18-7-1.5-4; 18-7-1.5-5; 18-7-1.5-6; 18-7-1.5-7.]

Repealed by P.L.12-1983, SEC.24.

 

IC 4-3-7.5Chapter 7.5. Repealed

Repealed by Acts 1980, P.L.74, SEC.434.

 

IC 4-3-8Chapter 8. Repealed

Repealed by Acts 1982, P.L.21, SEC.60.

 

IC 4-3-9Chapter 9. Transfer of Land to United States Government for Location of Federal Projects in Indiana
           4-3-9-1Definitions
           4-3-9-2Location of federal educational, scientific, or research projects within state; transfer of lands to United States
           4-3-9-3Instruments of conveyance; execution; requisites
           4-3-9-4State lands; transfer; valuation; allocation of funds to controlling agencies; revenue bonds; payment; separate sinking fund; damages
           4-3-9-5University lands; transfer to state; allocation of funds
           4-3-9-6Title to land not in state; acquisition
           4-3-9-7Repealed
           4-3-9-8Repealed

 

IC 4-3-9-1Definitions

     Sec. 1. As used in this chapter:

(1) "Agency of the state" means any officer, agency, department, board, bureau, commission, division or institution of the state of Indiana, the trustees or board of directors of any corporation of the state or body politic of the state supported in whole or in part by appropriations from the state, and the trustees of any state-supported university.

(2) "Land" means both unimproved and improved land.

(3) "Title" and "interest in land" means both legal and equitable title and interest in land.

(4) "Transfer" means a gift, grant, conveying, exchange, lease, or sale.

(5) "United States of America" shall include the United States government and any agency or entity thereof.

As added by Acts 1977, P.L.25, SEC.1.

 

IC 4-3-9-2Location of federal educational, scientific, or research projects within state; transfer of lands to United States

     Sec. 2. Whenever the governor of the state of Indiana deems it necessary or desirable for the purposes of securing the location in the state of a proposed educational, scientific, or research project or facility, the governor is authorized to transfer to the United States of America any interest in lands which the state holds if that land is utilized for the proposed project or facility. The state, by its governor, may transfer such interest without consideration, or for a nominal or substantial sum, or for a period of years, or in exchange for lands of the United States, or on such other terms as the governor shall find advantageous to the state of Indiana in obtaining the location of the project or facility within the state of Indiana.

As added by Acts 1977, P.L.25, SEC.1.

 

IC 4-3-9-3Instruments of conveyance; execution; requisites

     Sec. 3. The governor is authorized to execute all deeds or other instruments of conveyance which, in the governor's judgment, are proper or necessary for the transfer of title to land or any interest by the state of Indiana to the United States of America under section 2 of this chapter, in the following form and manner: Every deed or conveyance shall be executed in the name of the state of Indiana, signed by the governor of the state of Indiana, with the seal of the state of Indiana affixed thereto and shall be approved as to legality and form by the attorney general of Indiana.

As added by Acts 1977, P.L.25, SEC.1. Amended by P.L.215-2016, SEC.19.

 

IC 4-3-9-4State lands; transfer; valuation; allocation of funds to controlling agencies; revenue bonds; payment; separate sinking fund; damages

     Sec. 4. (a) When title to land that is to be transferred to the United States of America under this chapter is held in the name of the state of Indiana, and that land has not been declared surplus and is under the jurisdiction and control of any agency of the state, the state budget agency, with approval of the governor, shall allocate and transfer to that agency of the state from any funds which may be appropriated for use to accomplish the purposes of this chapter, an amount of money which equals the value of the land transferred.

     (b) The value shall be determined by three (3) disinterested appraisers appointed by the governor. The appraisers shall be residents of the state of Indiana. The allocation of funds shall be in addition to any other appropriations made to that agency of the state. In the event that revenue from the land described in this section and transferred to the United States of America under this chapter is pledged as security for bonds issued and outstanding, the money appropriated by this section shall be held by the treasurer of the state of Indiana in a separate sinking fund to be used only for the purposes of paying the interest and principal of the bonds as they become due, and for no other purpose, until the time the bonds are retired. The funds shall be deposited by the treasurer of the state of Indiana, under the provisions of IC 5-13, at interest, and interest earned by reason of deposit shall be credited to and belong to the fund. Any person, firm, limited liability company, or corporation who is the holder of any of the bonds at the time the governor announces the governor's intention to transfer the land to the United States of America and who is aggrieved by the amount of money allocated and transferred to a sinking fund created under this section, shall have the right to seek bondholders' damages which may not exceed the face value of the bonds.

As added by Acts 1977, P.L.25, SEC.1. Amended by P.L.19-1987, SEC.1; P.L.8-1993, SEC.8; P.L.215-2016, SEC.20.

 

IC 4-3-9-5University lands; transfer to state; allocation of funds

     Sec. 5. In the event that any land or interest in land which the governor determines necessary or desirable to transfer to the United States of America pursuant to this chapter is in the name of the board of trustees of a state-supported university, the board of trustees of that university may, if not inconsistent with the terms and conditions of the gift, bequest or devise, if any, by which the university received the land or interest in land, transfer such interest to the state of Indiana without consideration, or for a nominal or substantial sum, or for a period of years, or in exchange for lands of the state, or on such other terms as the governor and the board of trustees of the university may agree. The state budget agency, with the approval of the governor, shall allocate and transfer to the university from any funds which may be appropriated for use to accomplish the purposes of this chapter any sum of money agreed upon by the governor and the board of trustees pursuant to this section. The allocation of funds shall be in addition to, and not a part of, any other appropriation made to the university.

As added by Acts 1977, P.L.25, SEC.1.

 

IC 4-3-9-6Title to land not in state; acquisition

     Sec. 6. If the title to any land which the governor determines necessary or desirable to transfer to the United States of America pursuant to this chapter is not in the name of the state of Indiana at the time of the determination, the governor is authorized to acquire that land by gift, bequest, devise, exchange, purchase, or other agreement.

As added by Acts 1977, P.L.25, SEC.1.

 

IC 4-3-9-7Repealed

As added by Acts 1977, P.L.25, SEC.1. Repealed by P.L.17-1986, SEC.15.

 

IC 4-3-9-8Repealed

As added by Acts 1977, P.L.25, SEC.1. Repealed by P.L.17-1986, SEC.15.

 

IC 4-3-10Chapter 10. Repealed

Repealed by Acts 1980, P.L.11, SEC.8.

 

IC 4-3-10.1Chapter 10.1. Repealed

Repealed by P.L.43-1983, SEC.17.

 

IC 4-3-11Chapter 11. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-3-12Chapter 12. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-3-12.5Chapter 12.5. Repealed

Repealed by P.L.15-1989, SEC.12.

 

IC 4-3-13Chapter 13. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-3-14Chapter 14. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-3-15Chapter 15. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-3-16Chapter 16. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-3-17Chapter 17. Hoosier Alliance Against Drugs
           4-3-17-1"Board" defined
           4-3-17-2"Corporation" defined
           4-3-17-3Establishment of corporation; prerequisites
           4-3-17-4Articles of incorporation or bylaws; merger
           4-3-17-5Duties of corporation
           4-3-17-6Debt of corporation not state liability
           4-3-17-7Duration

 

IC 4-3-17-1"Board" defined

     Sec. 1. As used in this chapter, "board" refers to the board of directors of the corporation.

As added by P.L.16-1989, SEC.1.

 

IC 4-3-17-2"Corporation" defined

     Sec. 2. As used in this chapter, "corporation" refers to the Hoosier alliance against drugs established under this chapter.

As added by P.L.16-1989, SEC.1.

 

IC 4-3-17-3Establishment of corporation; prerequisites

     Sec. 3. The governor may request, on behalf of the state, the establishment of a private not-for-profit corporation named the Hoosier alliance against drugs. The corporation may not commence operations or perform the functions listed in section 4 of this chapter until:

(1) articles of incorporation for the corporation have been filed with, and a certificate of incorporation has been issued by, the secretary of state;

(2) the corporation has conducted a public hearing for the purpose of giving all interested parties an opportunity to review and comment upon the articles of incorporation, bylaws, and proposed methods of operation of the corporation; and

(3) the governor has certified to the secretary of state that all requirements set forth in this chapter for the corporation have been satisfied.

Notice of the hearing under subdivision (2) must be given at least fourteen (14) days before the hearing in accordance with IC 5-14-1.5-5(b).

As added by P.L.16-1989, SEC.1.

 

IC 4-3-17-4Articles of incorporation or bylaws; merger

     Sec. 4. (a) The articles of incorporation or bylaws of the corporation, as appropriate, must provide that:

(1) the exclusive purpose of the corporation is to provide grants and serve as a resource for education programs on drug and alcohol abuse, by providing assistance to persons or entities involved with:

(A) coordinating the activities of all parties having a role in drug and alcohol abuse education and prevention; and

(B) educating and assisting local communities in educating Indiana citizens on the problems of drug and alcohol abuse;

(2) the board must include:

(A) the governor or the governor's designee;

(B) the state health commissioner or the commissioner's designee; and

(C) additional persons appointed by the governor, who have knowledge or experience in drug or alcohol education programs;

(3) the governor shall designate a member of the board to serve as chairman of the board;

(4) the board shall select any other officers it considers necessary, such as a vice chairman, treasurer, or secretary;

(5) the chairman of the board may appoint any subcommittees that the chairman considers necessary to carry out the duties of the corporation;

(6) with the approval of the governor, the corporation may appoint a president, who shall serve as the chief operating officer of the corporation and who may appoint staff or employ consultants to carry out the corporation's duties under this chapter, including personnel to receive or disseminate information that furthers the goals of the corporation;

(7) the corporation may receive funds from any source (including state appropriations), may enter into contracts, and may expend funds for any activities necessary, convenient, or expedient to carry out its purposes;

(8) any amendments to the articles of incorporation or bylaws of the corporation must be approved by the board;

(9) the corporation shall submit an annual report to the governor, lieutenant governor, and chairman of the legislative council before December 31 of each year;

(10) the corporation shall conduct an annual public hearing to receive comments from interested parties regarding the annual report, and notice of the hearing shall be given at least fourteen (14) days before the hearing in accordance with IC 5-14-1.5-5(b); and

(11) the corporation is subject to audit by the state board of accounts, and the corporation shall bear the full costs of this audit.

An annual report described in subdivision (9) that is submitted to the chairman of the legislative council must be in an electronic format under IC 5-14-6.

     (b) The corporation may perform other acts necessary, convenient, or expedient to carry out its purposes under this chapter and has all the rights, powers, and privileges granted to corporations by IC 23-17 and by common law.

     (c) With the approval of the governor, the corporation may merge with an entity with similar purposes. If the corporation merges with another entity under this subsection, the governor shall revoke the certification under section 7 of this chapter.

As added by P.L.16-1989, SEC.1. Amended by P.L.12-1990, SEC.1; P.L.179-1991, SEC.5; P.L.23-1995, SEC.1; P.L.28-2004, SEC.21; P.L.181-2015, SEC.1.

 

IC 4-3-17-5Duties of corporation

     Sec. 5. After being certified by the governor under section 3 of this chapter, the corporation shall do the following:

(1) Conduct an ongoing analysis of the educational programs being used by communities to alleviate the problem of drug and alcohol abuse.

(2) Develop, update, and oversee the implementation of a plan to maintain and strengthen communities in educating Indiana citizens of the problems with drug and alcohol abuse.

(3) Cooperate with individuals and organizations from the private sector in developing, implementing, and promoting drug and alcohol abuse education programs.

(4) Cooperate with federal, state, and local government agencies in matters concerning the corporation's purposes.

(5) Advise the governor and lieutenant governor concerning state programs or activities that may affect drug and alcohol education in Indiana.

(6) Conduct marketing and promotional programs necessary to implement its plans.

As added by P.L.16-1989, SEC.1.

 

IC 4-3-17-6Debt of corporation not state liability

     Sec. 6. A debt incurred by the corporation under the authority of this chapter does not represent or constitute a debt of the state within the meaning of the Constitution of the State of Indiana or Indiana law.

As added by P.L.16-1989, SEC.1.

 

IC 4-3-17-7Duration

     Sec. 7. The certification by the governor under section 3 of this chapter remains in effect until:

(1) the governor revokes the certification in writing and transmits a copy of the revocation to the president of the corporation and to the secretary of state; or

(2) the general assembly provides by law for termination of the designation.

As added by P.L.16-1989, SEC.1.

 

IC 4-3-19Chapter 19. Public Highway Private Enterprise Review Board
           4-3-19-1"Board" defined
           4-3-19-2"Department" defined
           4-3-19-3"Person" defined
           4-3-19-4"Public highway" defined
           4-3-19-5Establishment of board
           4-3-19-6Membership; appointment
           4-3-19-7Appointment of voting members; conditions
           4-3-19-8Appointment of voting members; political affiliation
           4-3-19-9Appointment of advisory members by speaker; conditions
           4-3-19-10Appointment of advisory members by president pro tempore; conditions
           4-3-19-11Voting members; term
           4-3-19-12Advisory members; term
           4-3-19-13Voting members; vacancies
           4-3-19-14Advisory members; vacancies
           4-3-19-15Appointments to vacancies
           4-3-19-16Compensation; expense reimbursements
           4-3-19-17Chairman; appointment
           4-3-19-18Meetings
           4-3-19-19Quorum
           4-3-19-20Votes required for action
           4-3-19-21Voting restrictions; advisory members
           4-3-19-22Duties
           4-3-19-23Complaints against a department; filing requirements
           4-3-19-24Transmission of complaint to department
           4-3-19-25Responses; requirements for submission
           4-3-19-26Responses; contents
           4-3-19-27Hearings; issuance of advisory opinions
           4-3-19-28Advisory opinions; requirements
           4-3-19-29Report; contents

 

IC 4-3-19-1"Board" defined

     Sec. 1. As used in this chapter, "board" refers to the public highway private enterprise review board established by section 5 of this chapter.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-2"Department" defined

     Sec. 2. As used in this chapter, "department" means:

(1) the Indiana department of transportation established under IC 8-23-2-1; or

(2) a public highway department that is:

(A) under the political control of a unit (as defined in IC 36-1-2-23); and

(B) involved in the construction, maintenance, or repair of a public highway (as defined in IC 9-25-2-4).

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-3"Person" defined

     Sec. 3. As used in this chapter, "person" means an individual, a corporation, a limited liability company, a partnership, or other legal entity.

As added by P.L.12-1991, SEC.1. Amended by P.L.8-1993, SEC.11.

 

IC 4-3-19-4"Public highway" defined

     Sec. 4. As used in this chapter, "public highway" has the meaning set forth in IC 9-25-2-4.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-5Establishment of board

     Sec. 5. The public highway private enterprise review board is established.

As added by P.L.12-1991, SEC.1. Amended by P.L.1-1994, SEC.8.

 

IC 4-3-19-6Membership; appointment

     Sec. 6. The board consists of fifteen (15) members as follows:

(1) Eleven (11) voting members appointed by the governor.

(2) Two (2) advisory members appointed by the speaker of the house of representatives.

(3) Two (2) advisory members appointed by the president pro tempore of the senate.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-7Appointment of voting members; conditions

     Sec. 7. The members appointed by the governor must include at least the following:

(1) Two (2) representatives of small business.

(2) One (1) representative of the Indiana State Building Trades Council.

(3) One (1) representative from the Indiana State AFL-CIO.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-8Appointment of voting members; political affiliation

     Sec. 8. Not more than six (6) of the board members appointed by the governor may be members of the same political party.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-9Appointment of advisory members by speaker; conditions

     Sec. 9. The members appointed by the speaker of the house of representatives:

(1) must be members of the house of representatives when appointed; and

(2) may not be members of the same political party.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-10Appointment of advisory members by president pro tempore; conditions

     Sec. 10. The members appointed by the president pro tempore of the senate:

(1) must be members of the senate when appointed; and

(2) may not be members of the same political party.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-11Voting members; term

     Sec. 11. A member appointed by the governor serves a term of four (4) years.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-12Advisory members; term

     Sec. 12. The term of an advisory member expires on the date of the next general election following the appointment.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-13Voting members; vacancies

     Sec. 13. A member appointed by the governor vacates the member's seat on the board if the member becomes a member of the general assembly.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-14Advisory members; vacancies

     Sec. 14. A member described under section 9 or 10 of this chapter vacates the member's seat on the board whenever the member ceases to be a member of the chamber of the general assembly that the member represented when the member was appointed.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-15Appointments to vacancies

     Sec. 15. The appointing authority shall fill a vacancy on the board for the unexpired term.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-16Compensation; expense reimbursements

     Sec. 16. Each member of the board who is not an elected official is entitled to the minimum salary per diem provided by IC 4-10-11-2.1(b). Each board member is also entitled to reimbursement for traveling expenses and other expenses actually incurred in connection with the member's duties, as provided in the state travel policies and procedures established by the Indiana department of administration and approved by the budget agency.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-17Chairman; appointment

     Sec. 17. The governor shall appoint the chairman of the board before August 1 of each year.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-18Meetings

     Sec. 18. The board shall meet at the call of the chairman.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-19Quorum

     Sec. 19. A quorum for a meeting of the board consists of six (6) voting members.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-20Votes required for action

     Sec. 20. Eight (8) affirmative votes are required for the board to take action.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-21Voting restrictions; advisory members

     Sec. 21. An advisory member may not vote on a question before the board.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-22Duties

     Sec. 22. The board shall review Indiana statutes, rules, and practices to determine if legislation is desirable to restrict or prohibit governmental competition with private enterprise in the area of:

(1) construction;

(2) maintenance; or

(3) repair;

of a public highway.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-23Complaints against a department; filing requirements

     Sec. 23. A person who believes that a department has violated IC 8-23-9, IC 8-23-11, or IC 36-1-12-3 may file a written complaint with the board. The complaint must set forth the alleged violation.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-24Transmission of complaint to department

     Sec. 24. The board shall transmit a copy of a complaint that complies with section 23 of this chapter to the department.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-25Responses; requirements for submission

     Sec. 25. A department named in a complaint may submit a written response to the board not later than forty-five (45) days after the board transmits a copy of the complaint.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-26Responses; contents

     Sec. 26. A response under section 25 of this chapter may indicate whether the allegation is true or false and whether the department has taken remedial action.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-27Hearings; issuance of advisory opinions

     Sec. 27. The board shall hold a hearing on the complaint and issue an advisory opinion to the department.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-28Advisory opinions; requirements

     Sec. 28. The opinion issued under section 27 of this chapter must:

(1) state whether the department has violated IC 8-23-9, IC 8-23-11, or IC 36-1-12-3; and

(2) be forwarded to the person who filed the complaint and the department not later than sixty (60) days after the hearing is conducted.

As added by P.L.12-1991, SEC.1.

 

IC 4-3-19-29Report; contents

     Sec. 29. The board shall submit a report to the governor and the legislative council before November 1 of each year. The report must include the findings and recommendations of the board. The report submitted to the legislative council must be in an electronic format under IC 5-14-6.

As added by P.L.12-1991, SEC.1. Amended by P.L.28-2004, SEC.22.

 

IC 4-3-20Chapter 20. Repealed

Repealed by P.L.22-2005, SEC.51.

 

IC 4-3-21Chapter 21. Military Base Planning Council
           4-3-21-1"Council"
           4-3-21-2"Military base"
           4-3-21-3Council established
           4-3-21-4Council membership
           4-3-21-5Council per diem and travel expenses
           4-3-21-6Council chairperson
           4-3-21-7Council meetings
           4-3-21-8Council staff
           4-3-21-9Legislators; nonvoting members
           4-3-21-10Council action
           4-3-21-11Council duties
           4-3-21-12Council report

 

IC 4-3-21-1"Council"

     Sec. 1. As used in this chapter, "council" refers to the military base planning council established by section 3 of this chapter.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-2"Military base"

     Sec. 2. As used in this chapter, "military base" means a United States or an Indiana government military installation that:

(1) has an area of at least sixty thousand (60,000) acres and is used for the design, construction, maintenance, and testing of electronic devices and ordnance;

(2) has an area of at least nine hundred (900) acres and serves as an urban training center for military units, civilian personnel, and first responders; or

(3) has an area of at least five thousand (5,000) acres and serves as a joint training center for active and reserve components of the armed forces of the United States.

As added by P.L.5-2005, SEC.1. Amended by P.L.180-2006, SEC.1.

 

IC 4-3-21-3Council established

     Sec. 3. The military base planning council is established.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-4Council membership

     Sec. 4. The council consists of the following members:

(1) Each member of the house of representatives whose house district includes all or part of a county that contains any part of a military base.

(2) Each member of the senate whose senate district includes all or part of a county that contains any part of a military base.

(3) The lieutenant governor or the lieutenant governor's designee.

(4) The adjutant general or the adjutant general's designee.

(5) The commissioner of the department of environmental management or the commissioner's designee.

(6) The commissioner of the Indiana department of transportation or the commissioner's designee.

(7) The executive director of the department of homeland security or the executive director's designee.

(8) The commissioner of the department of workforce development or the commissioner's designee.

(9) The president of the Indiana economic development corporation or the president's designee.

(10) The director of the Indiana office of defense development.

(11) The following local government representatives:

(A) One (1) member of the county executive of each county that contains all or part of a military base, appointed by the county executive.

(B) One (1) member of the county fiscal body of each county that contains all or part of a military base, appointed by the county fiscal body.

(C) One (1) member:

(i) who is the executive of the municipality having the largest population in each county that contains all or part of a military base if that municipality is a city; or

(ii) who is appointed from the membership of the fiscal body of that town, if a town is the municipality having the largest population in the county.

(D) One (1) member of the legislative body of the municipality having the largest population in each county that contains a military base, appointed by the legislative body of that municipality.

(E) One (1) member of the county executive of each county listed in IC 36-7-30.5-10(4) through IC 36-7-30.5-10(6), appointed by the county executive.

As added by P.L.5-2005, SEC.1. Amended by P.L.180-2006, SEC.2; P.L.34-2013, SEC.1.

 

IC 4-3-21-5Council per diem and travel expenses

     Sec. 5. (a) Each member of the council who is not a state employee is not entitled to the minimum salary per diem provided by IC 4-10-11-2.1(b). The member is, however, entitled to reimbursement for traveling expenses as provided under IC 4-13-1-4 and other expenses actually incurred in connection with the member's duties as provided in the state policies and procedures established by the Indiana department of administration and approved by the budget agency.

     (b) Each member of the council who is a state employee but who is not a member of the general assembly is entitled to reimbursement for traveling expenses as provided under IC 4-13-1-4 and other expenses actually incurred in connection with the member's duties as provided in the state policies and procedures established by the Indiana department of administration and approved by the budget agency.

     (c) Each member of the council who is a member of the general assembly is entitled to receive the same per diem, mileage, and travel allowances paid to legislative members of interim study committees established by the legislative council. Per diem, mileage, and travel allowances paid under this subsection shall be paid from appropriations made to the legislative council or the legislative services agency.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-6Council chairperson

     Sec. 6. The governor shall designate a member of the council to serve as chairperson of the council.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-7Council meetings

     Sec. 7. The council shall meet at the call of the chairperson.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-8Council staff

     Sec. 8. The governor shall provide staff assistance as the council may require.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-9Legislators; nonvoting members

     Sec. 9. A member of the council who is a member of the general assembly is a nonvoting member.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-10Council action

     Sec. 10. The affirmative votes of a majority of the voting members of the council are required for the council to take action on any measure, including reports required in section 12 of this chapter.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-21-11Council duties

     Sec. 11. The council shall do the following:

(1) Identify the public infrastructure and other community support necessary:

(A) to improve mission efficiencies; and

(B) for the development and expansion;

of military bases in Indiana.

(2) Identify existing and potential impacts of encroachment on military bases in Indiana.

(3) Identify potential state and local government actions that can:

(A) minimize the impacts of encroachment on; and

(B) enhance the long term potential of;

military bases.

(4) Identify opportunities for collaboration among:

(A) the state, including the military department of the state;

(B) political subdivisions;

(C) military contractors; and

(D) academic institutions;

to enhance the economic potential of military bases and the economic benefits of military bases to the state.

(5) Review state policies, including funding and legislation, to identify actions necessary to prepare for the United States Department of Defense Efficient Facilities Initiative scheduled to begin in 2005.

(6) Study how governmental entities outside Indiana have addressed issues regarding encroachment and partnership formation described in this section.

(7) With respect to a multicounty federal military base under IC 36-7-30.5:

(A) vote to require the establishment of the development authority under IC 36-7-30.5, if necessary; and

(B) advise and submit recommendations to a development authority board appointed under IC 36-7-30.5.

As added by P.L.5-2005, SEC.1. Amended by P.L.203-2005, SEC.1.

 

IC 4-3-21-12Council report

     Sec. 12. The council shall submit a report to the:

(1) governor; and

(2) legislative services agency;

not later than July 1 of each year. The report submitted to the legislative services agency must be in an electronic format under IC 5-14-6.

As added by P.L.5-2005, SEC.1.

 

IC 4-3-22Chapter 22. Office of Management and Budget
           4-3-22-1Legislative findings
           4-3-22-1.5"Continuous process improvement"
           4-3-22-2"Director"
           4-3-22-3Establishment of office; director
           4-3-22-4Responsibilities and authority of budget director
           4-3-22-5OMB director as budget director
           4-3-22-6Repealed
           4-3-22-7Duties; fiscal management
           4-3-22-8Duties; review and development of policies and proposals
           4-3-22-9Duties; coordination of administrative policies
           4-3-22-10Duties; budget decision making and negotiations
           4-3-22-11Duties; analysis of budgets; trends
           4-3-22-12Duties; metrics for measuring performance and efficiency
           4-3-22-13Duties; cost benefit analysis for proposed rules; verified data; confidentiality; analysis prohibited for adoptions of federal law and technical amendments
           4-3-22-13.1Duties; cost benefit analysis for three year period after rule's effective date; contents; verified data; confidentiality
           4-3-22-14Agencies and instrumentalities; required compliance and cooperation
           4-3-22-15Agencies; accountability; compliance with statutory requirements
           4-3-22-16Comments concerning proposed legislation
           4-3-22-17Expired
           4-3-22-18Center for deaf and hard of hearing education; determination of appropriate agency
           4-3-22-18.2Duties; OPEB reports
           4-3-22-19Duties; annual report concerning political subdivision retirement plans

 

IC 4-3-22-1Legislative findings

     Sec. 1. The state will benefit from devoting adequate resources to do the following:

(1) Gather and coordinate data in a timely manner.

(2) Perform comprehensive and detailed budgeting analysis.

(3) Put in place comprehensive and effective budgeting practices.

(4) Coordinate all functions related to budgeting and controlling spending in state government.

(5) Perform comprehensive and detailed financial analysis.

(6) Perform comprehensive financial oversight.

(7) Ensure that effective financial management policies are implemented throughout state government.

(8) Perform comprehensive and detailed performance analysis.

(9) Ascertain whether the burdens imposed by laws and rules are justified by their benefits using a rigorous cost benefit analysis.

(10) Measure the performance of government activities.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-1.5"Continuous process improvement"

     Sec. 1.5. As used in this chapter, "continuous process improvement" means a management methodology that combines tools to improve process speed and reduce waste with data driven project analysis to provide products and services with improved quality at lower cost.

As added by P.L.152-2012, SEC.2.

 

IC 4-3-22-2"Director"

     Sec. 2. As used in this chapter, "director" means the director of the office of management and budget established by this chapter.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-3Establishment of office; director

     Sec. 3. (a) To address the needs set forth in section 1 of this chapter, there is established the office of management and budget, which is referred to in this chapter as the "OMB".

     (b) The OMB shall have a director who is the chief financial officer of the state. The director shall report directly to the governor.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-4Responsibilities and authority of budget director

     Sec. 4. The director is responsible and accountable for and has authority over the following:

(1) All functions performed by the following:

(A) The budget agency.

(B) The department of state revenue.

(C) The department of local government finance.

(D) The Indiana finance authority.

(E) The office of state based initiatives.

(F) The management performance hub.

The directors of these agencies, departments, and offices shall report to the director and administer their offices and agencies in compliance with the policies and procedures related to fiscal management that are established by the OMB and approved by the governor.

(2) All budgeting, accounting, and spending functions within the various agencies, departments, and programs of state government.

As added by P.L.246-2005, SEC.38. Amended by P.L.213-2015, SEC.37; P.L.269-2017, SEC.3.

 

IC 4-3-22-5OMB director as budget director

     Sec. 5. The director may serve as the budget director of the budget agency under IC 4-12-1-3 unless the governor appoints another individual to serve as the budget director. If the director also serves as the budget director, the director is not entitled to receive any salary or other compensation as budget director.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-6Repealed

As added by P.L.246-2005, SEC.38. Amended by P.L.152-2012, SEC.3. Repealed by P.L.269-2017, SEC.4.

 

IC 4-3-22-7Duties; fiscal management

     Sec. 7. The OMB shall assist the governor in the articulation, development, and execution of the governor's policies and programs on fiscal management.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-8Duties; review and development of policies and proposals

     Sec. 8. The OMB shall assist and represent the governor in the development and review of all policy, legislative, and rulemaking proposals affecting capital budgeting, procurement, e-government, and other matters related to fiscal management.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-9Duties; coordination of administrative policies

     Sec. 9. The OMB shall harmonize agency views on legislation and facilitate the negotiation of policy positions for the governor.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-10Duties; budget decision making and negotiations

     Sec. 10. The OMB shall provide expertise to the governor for budget decision making and negotiations.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-11Duties; analysis of budgets; trends

     Sec. 11. The OMB shall analyze trends in and the consequences of aggregate budget policy.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-12Duties; metrics for measuring performance and efficiency

     Sec. 12. The OMB shall establish metrics for measuring state government performance and efficiency.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-13Duties; cost benefit analysis for proposed rules; verified data; confidentiality; analysis prohibited for adoptions of federal law and technical amendments

     Sec. 13. (a) Except as provided in subsection (e), the OMB shall perform a cost benefit analysis upon each proposed rule and provide to:

(1) the governor; and

(2) the legislative council;

an assessment of the rule's effect on Indiana business. The OMB shall submit the cost benefit analysis to the legislative council in an electronic format under IC 5-14-6.

     (b) After June 30, 2005, the cost benefit analysis performed by the OMB under this section with respect to any proposed rule that has an impact of at least five hundred thousand dollars ($500,000) shall replace and be used for all purposes under IC 4-22-2 in lieu of the fiscal analysis previously performed by the legislative services agency under IC 4-22-2.

     (c) In preparing a cost benefit analysis under this section, the OMB shall consider in its analysis any verified data provided voluntarily by interested parties, regulated persons, and nonprofit corporations whose members may be affected by the proposed rule. A cost benefit analysis prepared under this section is a public document, subject to the following:

(1) This subsection does not empower the OMB or an agency to require an interested party or a regulated person to provide any materials, documents, or other information in connection with a cost benefit analysis under this section. If an interested party or a regulated person voluntarily provides materials, documents, or other information to the OMB or an agency in connection with a cost benefit analysis under this section, the OMB or the agency, as applicable, shall ensure the adequate protection of any:

(A) information that is confidential under IC 5-14-3-4; or

(B) confidential and proprietary business plans and other confidential information.

If an agency has adopted rules to implement IC 5-14-3-4, interested parties and regulated persons must submit the information in accordance with the confidentiality rules adopted by the agency to ensure proper processing of confidentiality claims. The OMB and any agency involved in proposing the rule, or in administering the rule upon the rule's adoption, shall exercise all necessary caution to avoid disclosure of any confidential information supplied to the OMB or the agency by an interested party or a regulated person.

(2) The OMB shall make the cost benefit analysis and other related public documents available to interested parties, regulated persons, and nonprofit corporations whose members may be affected by the proposed rule at least thirty (30) days before presenting the cost benefit analysis to the governor and the legislative council under subsection (a).

     (d) If the OMB or an agency is unable to obtain verified data for the cost benefit analysis described in subsection (c), the OMB shall state in the cost benefit analysis which data were unavailable for purposes of the cost benefit analysis.

     (e) If the OMB finds that a proposed rule is:

(1) an adoption or incorporation by reference of a federal law, regulation, or rule that has no substantive effect on the scope or intended application of the federal law or rule; or

(2) a technical amendment with no substantive effect on an existing Indiana rule;

the OMB may not prepare a cost benefit analysis of the rule under this section. The agency shall submit the proposed rule to the OMB with a statement explaining how the proposed rule meets the requirements of this subsection. If the OMB finds that the rule meets the requirements of this subsection, the OMB shall provide its findings to the governor and to the legislative council in an electronic format under IC 5-14-6. If the agency amends or modifies the proposed rule after the OMB finds that a cost benefit analysis may not be prepared for the rule, the agency shall resubmit the proposed rule to the OMB either for a new determination that the rule meets the requirements of this subsection, or for the OMB to prepare a cost benefit analysis of the rule under this section.

As added by P.L.246-2005, SEC.38. Amended by P.L.131-2012, SEC.1; P.L.53-2014, SEC.49; P.L.5-2015, SEC.3.

 

IC 4-3-22-13.1Duties; cost benefit analysis for three year period after rule's effective date; contents; verified data; confidentiality

     Sec. 13.1. (a) This section applies to a rule that:

(1) has been adopted under IC 4-22-2 or IC 13-14-9; and

(2) has taken effect;

after December 31, 2011.

     (b) This section does not apply to a rule for which the OMB has not performed a cost benefit analysis under section 13(e) of this chapter.

     (c) For each rule to which this section applies, the OMB shall perform a cost benefit analysis of the rule with respect to the period encompassing the first three (3) years following the rule's effective date. Except as otherwise required by the governor under subsection (g), the OMB shall submit a cost benefit analysis prepared under this section to:

(1) the governor; and

(2) the legislative council;

not later than six (6) months after the third anniversary of the rule's effective date. The OMB shall submit the cost benefit analysis to the legislative council in an electronic format under IC 5-14-6.

     (d) A cost benefit analysis prepared under this section must include the following with respect to the three (3) year period covered by the analysis:

(1) The cost benefit analysis for the rule prepared under section 13 of this chapter before the rule's adoption, including the following:

(A) The information required by Financial Management Circular #2010-4.

(B) The estimate of the primary and direct benefits of the rule, including the impact on:

(i) consumer protection;

(ii) worker safety;

(iii) the environment; and

(iv) business competitiveness;

as determined before the rule's adoption.

(C) The estimate of the secondary or indirect benefits of the rule and the explanation of how the conduct regulated by the rule is linked to the primary and secondary benefits, as determined before the rule's adoption.

(D) The estimate of any cost savings to regulated persons (including individuals and businesses) as a result of the rule, including any savings from:

(i) a change in an existing requirement; or

(ii) the imposition of a new requirement;

as determined before the rule's adoption.

(2) A statement of the number of regulated persons, classified by industry sector, subject to the rule.

(3) A comparison of:

(A) the cost benefit analysis for the rule prepared under section 13 of this chapter before the rule's implementation, including the information specified in subdivision (1); and

(B) the actual costs and benefits of the rule during the first three (3) years of the rule's implementation, including the following:

(i) Any actual primary and direct benefits of the rule, including the rule's impact on consumer protection, worker safety, the environment, and business competitiveness.

(ii) Any actual secondary or indirect benefits of the rule and an explanation of how the conduct regulated by the rule is linked to the primary and secondary benefits.

(iii) Any actual cost savings to regulated persons (including individuals and businesses) as a result of the rule, including any savings from a change in an existing requirement or from the imposition of a new requirement.

(4) For each element of the rule that is also the subject of restrictions or requirements imposed under federal law, a comparison of:

(A) the restrictions or requirements imposed under the rule; and

(B) the restrictions or requirements imposed under federal law.

(5) Any other information that the governor or the legislative council:

(A) requires with respect to a cost benefit analysis under this section; and

(B) requests in writing.

     (e) In preparing a cost benefit analysis under this section, the OMB shall consider in its analysis any verified data provided voluntarily by interested parties, regulated persons, and nonprofit corporations whose members may be affected by the rule. A cost benefit analysis prepared under this section is a public document, subject to the following:

(1) This subsection does not empower the OMB or an agency to require an interested party or a regulated person to provide any materials, documents, or other information. If an interested party or a regulated person voluntarily provides materials, documents, or other information to the OMB or an agency in connection with a cost benefit analysis under this section, the OMB or the agency, as applicable, shall ensure the adequate protection of any:

(A) information that is confidential under IC 5-14-3-4; or

(B) confidential and proprietary business plans and other confidential information.

If an agency has adopted rules to implement IC 5-14-3-4, interested parties and regulated persons must submit the information in accordance with the confidentiality rules adopted by the agency to ensure proper processing of confidentiality claims. The OMB and any agency involved in administering the rule shall exercise all necessary caution to avoid disclosure of any confidential information supplied to the OMB or the agency by an interested party or a regulated person.

(2) The OMB shall make the cost benefit analysis and other related public documents available to interested parties, regulated persons, and nonprofit corporations whose members may be affected by the rule at least thirty (30) days before presenting the cost benefit analysis to the governor and the legislative council under subsection (c).

     (f) If the OMB or an agency is unable to obtain verified data for the cost benefit analysis described in subsection (d), the OMB shall state in the cost benefit analysis which data were unavailable for purposes of the cost benefit analysis.

     (g) The governor or the legislative council, or both, may prescribe:

(1) the form of a cost benefit analysis; and

(2) the process, deadlines, and other requirements for submitting a cost benefit analysis;

required under this section.

As added by P.L.131-2012, SEC.2. Amended by P.L.53-2014, SEC.50; P.L.5-2015, SEC.4.

 

IC 4-3-22-14Agencies and instrumentalities; required compliance and cooperation

     Sec. 14. All instrumentalities, agencies, authorities, boards, commissions, and officers of the executive, including the administrative, department of state government, and all bodies corporate and politic established as instrumentalities of the state shall:

(1) comply with the policies and procedures related to fiscal management that are established by the OMB and approved by the governor; and

(2) cooperate with and provide assistance to the OMB.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-15Agencies; accountability; compliance with statutory requirements

     Sec. 15. All state agencies (as defined in IC 4-12-1-2) shall, in addition to complying with all statutory duties applicable to state purchasing, be accountable to the OMB for adherence to policies, procedures, and spending controls established by the OMB and approved by the governor.

As added by P.L.246-2005, SEC.38.

 

IC 4-3-22-16Comments concerning proposed legislation

     Sec. 16. (a) As used in this section, "coordinator" means the following:

(1) A small business regulatory coordinator (as defined in IC 4-22-2-28.1(b)).

(2) An ombudsman designated under IC 13-28-3-2.

(3) An ombudsman designated under IC 5-28-17-6.

     (b) Each coordinator may review proposed legislation affecting the small businesses that are regulated by the agency or that would be regulated by the agency under proposed legislation. A coordinator may submit to the OMB written comments concerning the impact of proposed legislation on small business.

     (c) The OMB may review comments received under subsection (b). The OMB may amend the comments. After completing its review, the OMB shall transmit the comments to the legislative services agency for posting on the general assembly's web site. The comments submitted under this section shall be transmitted electronically in a format suitable for posting to the general assembly's web site as determined by the legislative services agency.

As added by P.L.137-2006, SEC.2. Amended by P.L.110-2010, SEC.1; P.L.187-2014, SEC.1; P.L.237-2017, SEC.1.

 

IC 4-3-22-17Expired

As added by P.L.171-2011, SEC.1. Expired 7-1-2013 by P.L.171-2011, SEC.1.

 

IC 4-3-22-18Center for deaf and hard of hearing education; determination of appropriate agency

     Sec. 18. Before July 1, 2013, the office of management and budget, in consultation with the Indiana School for the Deaf, the department of education, the state department of health, and the office of the secretary of family and social services, shall recommend to the general assembly through the budget process an appropriate agency to provide office space and staff support for the center for deaf and hard of hearing education established under IC 20-35-11. Until the center for deaf and hard of hearing education is established and operating, the Indiana School for the Deaf shall continue to provide those services that will be transferred from the Indiana School for the Deaf to the center for deaf and hard of hearing education or local education agencies at the time the center is established and operating.

As added by P.L.109-2012, SEC.1.

 

IC 4-3-22-18.2Duties; OPEB reports

     Sec. 18.2. The OMB shall, not later than December 1 each year, submit to the budget committee the following reports concerning post-employment benefits (as defined in IC 5-10-16-5):

(1) The report prepared by the OMB for state agencies under IC 5-10-16-7.

(2) Reports received from state educational institutions under IC 21-38-3-13.

As added by P.L.138-2012, SEC.1.

 

IC 4-3-22-19Duties; annual report concerning political subdivision retirement plans

     Sec. 19. The OMB shall, not later than October 1 each year, submit to the interim study committee on pension management oversight a written report that summarizes and analyzes the retirement plan information received for the immediately preceding state fiscal year under IC 5-11-20. The report must be in an electronic format under IC 5-14-6.

As added by P.L.241-2015, SEC.1.

 

IC 4-3-23Chapter 23. Indiana Office of Energy Development
           4-3-23-1"Director"
           4-3-23-2"Office"
           4-3-23-3Indiana office of energy development
           4-3-23-4Duties
           4-3-23-5Programs administered
           4-3-23-6Collaboration with the office of lieutenant governor
           4-3-23-7Adoption of rules
           4-3-23-8Transfer of duties and liability

 

IC 4-3-23-1"Director"

     Sec. 1. As used in this chapter, "director" means the director of the office.

As added by P.L.34-2013, SEC.2.

 

IC 4-3-23-2"Office"

     Sec. 2. As used in this chapter, "office" refers to the Indiana office of energy development established by section 3 of this chapter.

As added by P.L.34-2013, SEC.2.

 

IC 4-3-23-3Indiana office of energy development

     Sec. 3. (a) The Indiana office of energy development is established to develop and implement a comprehensive energy policy for the state.

     (b) The governor shall appoint the director of the office. The director is the chief energy officer of the state and shall report directly to the governor.

As added by P.L.34-2013, SEC.2.

 

IC 4-3-23-4Duties

     Sec. 4. The office shall carry out the duties relating to energy policy that were carried out by the following:

(1) The department of commerce (before its abolishment in 2005).

(2) The office of the lieutenant governor under IC 4-4-2.4 (before its repeal).

As added by P.L.34-2013, SEC.2.

 

IC 4-3-23-5Programs administered

     Sec. 5. The office shall administer the following:

(1) The alternative fuel fueling station grant program under IC 4-4-32.2.

(2) The alternative fuel vehicle grant program for local units under IC 4-4-32.3.

(3) The energy development fund under IC 4-23-5.5-10.

(4) A low interest revolving loan program for certain energy efficiency or recycling projects, in consultation with the Indiana recycling market development board.

(5) The coal research grant fund under IC 4-23-5.5-16.

(6) The green industries fund under IC 5-28-34, in consultation with the Indiana economic development corporation.

(7) The office of alternative energy incentives established by IC 8-1-13.1-9 and the alternative energy incentive fund established by IC 8-1-13.1-10.

(8) The center for coal technology research established by IC 21-47-4-1 and the coal technology research fund established by IC 21-47-4-5.

As added by P.L.34-2013, SEC.2. Amended by P.L.109-2015, SEC.4.

 

IC 4-3-23-6Collaboration with the office of lieutenant governor

     Sec. 6. The office shall collaborate with the office of the lieutenant governor regarding the following programs:

(1) Home energy assistance programs, including the Low Income Home Energy Assistance Block Grant under 42 U.S.C. 8621 et seq.

(2) Weatherization programs, including weatherization programs and money received under 42 U.S.C. 6851 et seq.

As added by P.L.34-2013, SEC.2.

 

IC 4-3-23-7Adoption of rules

     Sec. 7. The office may adopt rules under IC 4-22-2 to carry out its responsibilities under this chapter.

As added by P.L.34-2013, SEC.2.

 

IC 4-3-23-8Transfer of duties and liability

     Sec. 8. (a) All powers, duties, liabilities, records, property, appropriations, and employees of the lieutenant governor as of June 30, 2013, that are related to energy or energy development, including the center for coal technology research, are transferred to the office as the successor office.

     (b) Rules of the office of the lieutenant governor related to energy or energy development that were adopted before July 1, 2013, are transferred to the office and shall be treated after June 30, 2013, as though they had been adopted by the office.

As added by P.L.34-2013, SEC.2.

 

IC 4-3-24Chapter 24. Office of State Based Initiatives
           4-3-24-1"Office"
           4-3-24-2"State agency"
           4-3-24-3Office established; appointment of director
           4-3-24-4Duties of the office
           4-3-24-5State agency participation in federal grant opportunities
           4-3-24-6State agency block grant contingency plans; submission and updating of plans
           4-3-24-7Annual report
           4-3-24-8Single point of contact for review and coordination of proposed federal assistance and development

 

IC 4-3-24-1"Office"

     Sec. 1. As used in this chapter, "office" means the office of state based initiatives established by section 3 of this chapter.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-2"State agency"

     Sec. 2. As used in this chapter, "state agency" has the meaning set forth in IC 4-13-1-1.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-3Office established; appointment of director

     Sec. 3. (a) The Indiana office of state based initiatives is established.

     (b) The governor shall appoint the director of the office.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-4Duties of the office

     Sec. 4. In coordination with state agencies, the office shall:

(1) review the state's federal grant opportunities; and

(2) subject each federal grant opportunity to a cost-benefit analysis that will measure the fiscal impact and regulatory impact of the grant to determine whether or not the federal grant opportunity should be pursued.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-5State agency participation in federal grant opportunities

     Sec. 5. A state agency may not participate in a federal grant opportunity unless the state agency has received approval to do so from the office.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-6State agency block grant contingency plans; submission and updating of plans

     Sec. 6. (a) A state agency that receives federal funds must develop, in coordination with the office, a block grant contingency plan that does at least the following:

(1) Evaluates whether and how Indiana could use federal funds more effectively without federal constraints, including an evaluation of opportunities for interagency collaboration.

(2) Identifies specific action items that are significant in solving issues caused by federal mandates and regulations.

     (b) A state agency subject to subsection (a) must:

(1) submit a block grant contingency plan to the office before November 1, 2015, and before November 1 of each odd-numbered year thereafter; and

(2) update the block grant contingency plan regularly and provide any updates to the office.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-7Annual report

     Sec. 7. (a) The office shall before January 1 of each year publish an annual report that includes the following:

(1) A state block grant contingency plan that incorporates each state agency's block grant contingency plan and related findings by the office. The state block grant contingency plan must include options for coordination among state agencies to address issues caused by federal mandates and regulations.

(2) A study of the current impact and projected future impact of federal mandates and regulations on Indiana. The study shall be prepared by studying the data, surveying businesses, and speaking with citizens of Indiana.

     (b) The office shall submit the annual report and any other published reports of the office and any findings of the office to the governor, to the members of the United States Congress representing Indiana, and (in an electronic format under IC 5-14-6) to the legislative council.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-24-8Single point of contact for review and coordination of proposed federal assistance and development

     Sec. 8. In accordance with federal law, the office shall serve as the state's single point of contact to review and coordinate proposed federal financial assistance and direct federal development.

As added by P.L.213-2015, SEC.38.

 

IC 4-3-25Chapter 25. Indiana Commission to Combat Drug Abuse
           4-3-25-1"Commission"
           4-3-25-2"State agency"
           4-3-25-3Commission to combat drug abuse, established
           4-3-25-4Membership
           4-3-25-5Chairperson; vice chairperson
           4-3-25-6Member removal; vacancies
           4-3-25-7Member reimbursement
           4-3-25-8Voting
           4-3-25-9Meeting frequency
           4-3-25-10Staff support
           4-3-25-11Working groups
           4-3-25-12Duties
           4-3-25-13Requests for information and data; grants to the law enforcement training board
           4-3-25-14Annual report
           4-3-25-15Responsibilities of criminal justice institute executive director

 

IC 4-3-25-1"Commission"

     Sec. 1. As used in this chapter, "commission" refers to the Indiana commission to combat drug abuse established by section 3 of this chapter.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-2"State agency"

     Sec. 2. As used in this chapter, "state agency" means an administration, agency, authority, board, bureau, commission, committee, council, department, division, institution, office, officer, service, or other similar body of state government created or established under law.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-3Commission to combat drug abuse, established

     Sec. 3. The Indiana commission to combat drug abuse is established.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-4Membership

     Sec. 4. The commission consists of the following twenty (20) members:

(1) A member of the governor's staff appointed by the governor.

(2) An appellate or trial court judge appointed by the chief justice of the supreme court to serve on the commission for a term of four (4) years.

(3) One (1) legislative member appointed by the president pro tempore of the senate.

(4) One (1) legislative member appointed by the minority leader of the senate.

(5) One (1) legislative member appointed by the speaker of the house of representatives.

(6) One (1) legislative member appointed by the minority leader of the house of representatives.

(7) The superintendent of public instruction.

(8) The director of the department of child services.

(9) The executive director of the Indiana prosecuting attorneys council.

(10) The executive director of the public defender council of Indiana.

(11) The secretary of family and social services.

(12) The state health commissioner.

(13) The commissioner of the department of correction.

(14) The superintendent of the state police department.

(15) The director of the office of management and budget or the budget director, as selected by the governor.

(16) The executive director of the Indiana criminal justice institute.

(17) The executive director of the professional licensing agency.

(18) The attorney general, who shall serve as a nonvoting member.

(19) One (1) member at large appointed by the governor.

(20) The executive director of the Indiana housing and community development authority.

As added by P.L.7-2016, SEC.1. Amended by P.L.205-2017, SEC.1.

 

IC 4-3-25-5Chairperson; vice chairperson

     Sec. 5. (a) The member of the governor's staff appointed under section 4(1) of this chapter shall serve as the chairperson of the commission. The chairperson shall determine the agenda for the commission.

     (b) The member at large appointed under section 4(19) of this chapter shall serve as vice chairperson of the commission. The chairperson shall determine the duties of the vice chairperson.

As added by P.L.7-2016, SEC.1. Amended by P.L.205-2017, SEC.2.

 

IC 4-3-25-6Member removal; vacancies

     Sec. 6. (a) A legislative member of the commission may be removed at any time by the appointing authority who appointed the legislative member.

     (b) If a vacancy exists on the commission, the appointing authority who appointed the member whose position has become vacant shall appoint an individual to fill the vacancy.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-7Member reimbursement

     Sec. 7. (a) Each member of the commission who is not a state employee is not entitled to the minimum salary per diem provided under IC 4-10-11-2.1(b). The member is, however, entitled to reimbursement for traveling expenses as provided under IC 4-13-1-4 and other expenses actually incurred in connection with the member's duties as provided in the state policies and procedures established by the Indiana department of administration and approved by the budget agency.

     (b) Each member of the commission who is a state employee but who is not a member of the general assembly is entitled to reimbursement for traveling expenses as provided under IC 4-13-1-4 and other expenses actually incurred in connection with the member's duties as provided in the state policies and procedures established by the Indiana department of administration and approved by the budget agency.

     (c) Each member of the commission who is a member of the general assembly is entitled to receive the same per diem, mileage, and travel allowances paid to legislative members of interim study committees established by the legislative council. Per diem, mileage, and travel allowances paid under this subsection shall be paid from appropriations made to the legislative council or the legislative services agency.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-8Voting

     Sec. 8. The affirmative votes of a majority of the voting members appointed to the commission are required for the commission to take action on any measure, including final reports.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-9Meeting frequency

     Sec. 9. The commission shall meet at least four (4) times in a calendar year.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-10Staff support

     Sec. 10. The criminal justice institute shall provide staff support for the commission.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-11Working groups

     Sec. 11. To address specific issues, the commission may establish working groups consisting of individuals appointed by the chairperson. The chairperson may appoint individuals who are not members of the commission, including lay members and subject matter experts, to a working group. Section 7 of this chapter applies to a member of a working group regardless of whether the member is also a member of the commission.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-12Duties

     Sec. 12. The commission shall do the following:

(1) Identify ways for state agencies to coordinate with each other on substance abuse prevention, treatment, and enforcement programming and funding.

(2) Promote information sharing throughout Indiana concerning substance abuse prevention, treatment, and enforcement.

(3) Promote best practices concerning substance abuse prevention, treatment, and enforcement.

(4) Cooperate with other commissions, governmental entities, and stakeholders engaged in substance abuse prevention, treatment, and enforcement.

(5) Study local programs that have been proven to be effective in addressing substance abuse.

(6) Seek guidance from local coordinating councils to identify substance abuse issues in local communities and evaluate the resources available to address local needs.

(7) Study and evaluate the following concerning substance abuse treatment and prevention services in Indiana:

(A) The availability of and access to the services.

(B) The duplication of services, if any.

(C) Funding of the services.

(D) Barriers to obtaining the services.

(8) Coordinate the collection of data concerning substance abuse and the needs, programming, and effectiveness of state supported substance abuse treatment and prevention services.

(9) Recommend to the executive director of the Indiana criminal justice institute roles, responsibilities, and performance standards for local coordinating councils.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-13Requests for information and data; grants to the law enforcement training board

     Sec. 13. The commission may do the following:

(1) Request information or presentations from state agencies.

(2) Request and review outcome data from a state agency involved in the prevention and treatment of substance abuse.

(3) Request information from experts concerning substance abuse.

(4) Make grants to the law enforcement training board created by IC 5-2-1-3 to carry out the purposes of the technical assistance center described in IC 5-2-21.2-6.

As added by P.L.7-2016, SEC.1. Amended by P.L.102-2017, SEC.1.

 

IC 4-3-25-14Annual report

     Sec. 14. The commission shall submit a report not later than August 31 each year regarding the commission's work during the previous year. The report shall be submitted to the legislative council, the governor, and the chief justice of Indiana. The report to the legislative council must be in an electronic format under IC 5-14-6.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-25-15Responsibilities of criminal justice institute executive director

     Sec. 15. The executive director of the Indiana criminal justice institute is responsible for the following:

(1) Implementing the commission's recommendations concerning local coordinating councils.

(2) Maintaining a system to provide technical assistance, guidance, and funding support to local coordinating councils.

(3) Assisting in the development of local coordinating councils to identify community drug programs, coordinate community initiatives, design comprehensive, collaborative community strategies, and monitor local antidrug activities.

(4) Approving comprehensive drug free community plans and funding requests submitted by local coordinating councils.

(5) Providing quarterly reports to the commission on the comprehensive drug free community plans.

As added by P.L.7-2016, SEC.1.

 

IC 4-3-26Chapter 26. Indiana Management Performance Hub
           4-3-26-1"Continuous process improvement"
           4-3-26-2"Executive state agency"
           4-3-26-3"MPH"
           4-3-26-4"OMB"
           4-3-26-5"Person"
           4-3-26-6"Political subdivision"
           4-3-26-7"Government information"
           4-3-26-8MPH established
           4-3-26-9Chief data officer duties
           4-3-26-10MPH duties
           4-3-26-11Executive state agency duties
           4-3-26-12Title to government information
           4-3-26-13MPH agent of executive state agency
           4-3-26-14Prescribed form for data sharing
           4-3-26-15Electronically recorded information; MPH powers; title to information
           4-3-26-16OMB report to legislative council

 

IC 4-3-26-1"Continuous process improvement"

     Sec. 1. As used in this chapter, "continuous process improvement" means a management methodology that combines tools to improve process speed and reduce waste with data driven project analysis to provide products and services with improved quality at lower cost.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-2"Executive state agency"

     Sec. 2. (a) As used in this chapter, "executive state agency" refers to any agency, authority, board, bureau, commission, department, division, office, or other unit of state government in the executive, including the administrative, department of state government established by any of the following:

(1) The Constitution of the State of Indiana.

(2) An Indiana statute.

(3) An administrative rule.

(4) An executive order.

     (b) The term does not include the following:

(1) The legislative department of state government.

(2) The judicial department of state government.

(3) The Indiana finance authority created by IC 4-4-11-4.

(4) A political subdivision.

(5) A state educational institution.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-3"MPH"

     Sec. 3. As used in this chapter, "MPH" refers to the management performance hub established by section 8 of this chapter.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-4"OMB"

     Sec. 4. As used in this chapter, "OMB" refers to the office of management and budget established by IC 4-3-22-3.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-5"Person"

     Sec. 5. As used in this chapter, "person" has the meaning set forth in IC 5-22-2-20.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-6"Political subdivision"

     Sec. 6. As used in this chapter, "political subdivision" has the meaning set forth in IC 36-1-2-13.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-7"Government information"

     Sec. 7. As used in this chapter, "government information" refers to any information created, received, maintained, or stored by or otherwise in the control of a governmental entity, regardless of the form or the media on which the information is recorded. The term does not include any of the following:

(1) The investigative records of law enforcement agencies that employ the law enforcement officers listed in IC 35-31.5-2-185.

(2) The confidential advisory opinions requested or given by the office of the inspector general.

(3) Other information made confidential by IC 4-2-6, IC 4-2-7, IC 5-2-4, IC 31-33-18, IC 9-32-16-1, IC 10-13-3, 26 CFR 20, or 28 CFR 23.

(4) Confidential investigative records related to an investigation under IC 4-31, IC 4-33, or IC 4-35 and any other information classified as confidential under IC 4-31, IC 4-33, or IC 4-35.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-8MPH established

     Sec. 8. The management performance hub is established within the OMB.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-9Chief data officer duties

     Sec. 9. (a) The governor shall appoint a chief data officer, who serves at the pleasure of the governor.

     (b) The chief data officer shall do the following:

(1) Serve as the executive head of the MPH.

(2) Advise executive state agencies and political subdivisions regarding state best practices concerning the creation and maintenance of data.

(3) Coordinate data analytics and transparency master planning for the executive state agencies and provide leadership regarding state data analytics and transparency.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-10MPH duties

     Sec. 10. The MPH shall do the following:

(1) Establish and maintain a program to collect, analyze, and exchange government information in carrying out the powers and duties of the OMB and the powers and duties of the executive state agency sharing the data. In carrying out this program, the MPH may, in accordance with IC 4-1-6, obtain government information from each executive state agency.

(2) In accordance with IC 4-1-6 and IC 5-14-3, establish and maintain a program to make government information available to executive state agencies, political subdivisions, educational institutions, researchers, nongovernmental organizations, and the general public, subject to the following:

(A) A request for data subject to IC 4-1-6-8.6 shall be made in conformance with that section.

(B) A program established and maintained under this chapter must include policies governing access to government information held by the MPH under this chapter. Government information may be made available only in accordance with applicable confidentiality and disclosure laws.

(3) Establish privacy and quality policies for government information that comply with all applicable Indiana and federal laws, rules, and policies.

(4) In accordance with standards developed by the office of technology established by IC 4-13.1-2-1, establish and maintain a program to ensure the security of government information under this chapter.

(5) Conduct operational and procedural audits of executive state agencies.

(6) Perform financial planning and design and implement efficiency projects for executive state agencies.

(7) Advise and assist each executive state agency to identify and implement continuous process improvement in state government.

(8) Carry out such other responsibilities as may be designated by the director of the OMB or the chief data officer to carry out the responsibilities of the OMB or the chief data officer.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-11Executive state agency duties

     Sec. 11. Each executive state agency shall do the following:

(1) In a manner determined by the MPH, make available to the MPH the government information the MPH requires under this chapter in a nonproprietary format.

(2) As requested by the MPH, make available personnel with technical expertise to facilitate sharing of government information.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-12Title to government information

     Sec. 12. (a) Title to any government information that is obtained by the MPH under section 11 of this chapter and that is unchanged by the MPH remains with the executive state agency sharing the government information, including an executive state agency's sole authority to license use of government information.

     (b) Title to government information that is obtained by the MPH under section 11 of this chapter and that the MPH has changed in a substantive manner is vested in the MPH.

     (c) Requests made in accordance with IC 5-14-3 for government information to which the MPH does not have title must be directed to the executive state agency sharing the government information. The MPH may not fulfill such a request.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-13MPH agent of executive state agency

     Sec. 13. The MPH is considered to be an agent of the executive state agency sharing government information and is an authorized receiver of government information under the statutory or administrative law that governs the government information. Interagency data sharing under this chapter does not constitute a disclosure or release under any statutory or administrative law that governs the government information.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-14Prescribed form for data sharing

     Sec. 14. (a) The MPH shall prescribe a form to be used to memorialize the sharing of data under this chapter.

     (b) The form prescribed under subsection (a) must be:

(1) completed by the executive state agency or person described in section 15 of this chapter; and

(2) signed by the administrative head of the executive state agency or person.

     (c) A data sharing form completed and signed under subsection (b) constitutes the agreement required by any statutory or administrative law that governs the data. No additional documentation may be required to share data under this chapter.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-15Electronically recorded information; MPH powers; title to information

     Sec. 15. The MPH may accept electronically recorded information from any person. The MPH may analyze and exchange electronically recorded information in carrying out the powers and duties of the OMB and the powers and duties of the entity sharing the electronically recorded information. Title to any electronically recorded information received by the MPH under this section is vested in the MPH.

As added by P.L.269-2017, SEC.5.

 

IC 4-3-26-16OMB report to legislative council

     Sec. 16. (a) The OMB shall submit a report to the legislative council (in an electronic format under IC 5-14-6) that provides recommendations concerning the following:

(1) Policies and practices to ensure the privacy, security, quality, and confidentiality of the government information collected, analyzed, and maintained by the MPH in the course of carrying out the duties of the MPH under section 10 of this chapter, including policies and practices to protect personally identifiable information and other sensitive information.

(2) Organizational structures, policies, and practices for making government information available for public consumption under section 10(2) of this chapter.

(3) Organizational structures, policies, and practices to ensure ongoing and continuous communication and collaboration between the MPH and the educational, nonprofit, and other nongovernmental users of government information collected, analyzed, and maintained by the MPH in the course of carrying out the duties of the MPH under section 10 of this chapter.

(4) Organizational structures, policies, and practices to ensure ongoing and continuous communication and collaboration between the MPH and the governmental users of government information collected, analyzed, and maintained by the MPH in the course of carrying out the duties of the MPH under section 10 of this chapter.

(5) Policies and practices to ensure that the government information collected, analyzed, and maintained by the MPH in the course of carrying out the duties of the MPH under section 10 of this chapter is relevant and readily available to the educational, nonprofit, and other nongovernmental users of the government information.

The report required under this subsection must be submitted before October 1, 2017.

     (b) In preparing the report required by subsection (a), the OMB shall assemble an advisory group comprised of the following individuals:

(1) The OMB director.

(2) The chief data officer.

(3) The chief information officer appointed under IC 4-13.1-2-3.

(4) At least two (2) representatives of nonprofit research entities.

(5) At least two (2) representatives of entities that, in their regular course of business, use the type of data that will be made available by the MPH for public consumption under section 10 of this chapter.

The OMB director shall serve as the chair of the advisory group. The advisory group shall assist the OMB in preparing the report required under subsection (a).

     (c) This section expires January 1, 2018.

As added by P.L.269-2017, SEC.5.

 

IC 4-4ARTICLE 4. LIEUTENANT GOVERNOR
           Ch. 1.Repealed
           Ch. 2.Inability of Lieutenant Governor to Discharge Official Duties
           Ch. 2.3.Lieutenant Governor as Secretary of Agriculture and Rural Development
           Ch. 2.4.Repealed
           Ch. 2.5.Service of Lieutenant Governor and Employees on State Agencies, Boards, and Other Bodies
           Ch. 3.Repealed
           Ch. 3.2.Repealed
           Ch. 3.3.Repealed
           Ch. 3.4.Repealed
           Ch. 3.5.Repealed
           Ch. 3.6.Repealed
           Ch. 3.7.Repealed
           Ch. 3.8.Repealed
           Ch. 4.Repealed
           Ch. 4.5.Repealed
           Ch. 4.6.Repealed
           Ch. 5.Repealed
           Ch. 5.1.Repealed
           Ch. 5.2.Repealed
           Ch. 6.Repealed
           Ch. 6.1.Repealed
           Ch. 7.Repealed
           Ch. 8.Repealed
           Ch. 9.Repealed
           Ch. 9.3.Repealed
           Ch. 9.5.Repealed
           Ch. 9.7.Office of Rural Affairs
           Ch. 10.Repealed
           Ch. 10.1.Repealed
           Ch. 10.9.Indiana Finance Authority Law; Definitions
           Ch. 11.Indiana Finance Authority
           Ch. 11.1.Repealed
           Ch. 11.2.Additional Authority: Underground Petroleum Storage Tank Excess Liability Fund
           Ch. 11.3.Repealed
           Ch. 11.4.Repealed
           Ch. 11.5.State Private Activity Bond Ceiling
           Ch. 11.6.Additional Authority; Substitute Natural Gas Contracts
           Ch. 11.7.Monitoring, Study, and Assessment by Indiana Finance Authority
           Ch. 12.Repealed
           Ch. 13.Repealed
           Ch. 14.Repealed
           Ch. 15.Repealed
           Ch. 16.Indiana Main Street Program
           Ch. 16.5.Repealed
           Ch. 17.Repealed
           Ch. 18.Repealed
           Ch. 19.Repealed
           Ch. 20.Repealed
           Ch. 21.Indiana Finance Authority; Export Promotion
           Ch. 22.Repealed
           Ch. 23.Repealed
           Ch. 24.Repealed
           Ch. 25.Repealed
           Ch. 26.Repealed
           Ch. 27.Repealed
           Ch. 28.Individual Development Accounts
           Ch. 29.Repealed
           Ch. 30.Repealed
           Ch. 31.Repealed
           Ch. 31.4.Repealed
           Ch. 32.Repealed
           Ch. 32.2.Alternative Fuel Fueling Station Grant Program
           Ch. 32.3.Alternative Fuel Vehicle Grant Program for Local Units
           Ch. 32.4.Repealed
           Ch. 33.Miscellaneous Community Development Programs
           Ch. 34.Indiana Office of Defense Development
           Ch. 35.Repealed
           Ch. 36.Expired
           Ch. 37.Historic Preservation and Rehabilitation Grant Program

 

IC 4-4-1Chapter 1. Repealed

Repealed by Acts 1982, P.L.15, SEC.30.

 

IC 4-4-2Chapter 2. Inability of Lieutenant Governor to Discharge Official Duties
           4-4-2-1Repealed
           4-4-2-1.1Self-declaration of inability to discharge office; appointment of acting lieutenant governor; resumption of office
           4-4-2-2Supreme court decision of inability to discharge office; resumption of office; procedures
           4-4-2-3Supreme court decision of inability to discharge office; appointment of acting lieutenant governor

 

IC 4-4-2-1Repealed

Formerly: Acts 1941, c.183, s.1. Repealed by Acts 1979, P.L.19, SEC.4.

 

IC 4-4-2-1.1Self-declaration of inability to discharge office; appointment of acting lieutenant governor; resumption of office

     Sec. 1.1. Whenever the lieutenant governor transmits to the governor the lieutenant governor's written declaration that the lieutenant governor is unable to discharge the powers and duties of the lieutenant governor's office, and until the lieutenant governor transmits to the governor a written declaration to the contrary, the powers and duties shall be discharged by a person appointed by the governor as acting lieutenant governor. Thereafter, when the lieutenant governor transmits to the governor the lieutenant governor's written declaration that no inability exists, the lieutenant governor shall resume the powers and duties of the lieutenant governor's office.

As added by Acts 1979, P.L.19, SEC.1. Amended by P.L.215-2016, SEC.21.

 

IC 4-4-2-2Supreme court decision of inability to discharge office; resumption of office; procedures

     Sec. 2. Whenever the governor, the president pro tempore of the senate, and the speaker of the house of representatives file with the supreme court a written statement suggesting that the lieutenant governor is unable to discharge the powers and duties of the lieutenant governor's office, the supreme court shall, after giving notice to the lieutenant governor of the date, time, and place of their meeting, meet within forty-eight (48) hours to decide the question and the decision shall be final. Whenever the lieutenant governor files with the supreme court the lieutenant governor's written declaration that no inability exists, the supreme court shall meet within forty-eight (48) hours to decide whether no inability exists, and the decision shall be final. Upon a decision that no inability exists, the lieutenant governor shall resume the powers and duties of the lieutenant governor's office.

As added by Acts 1979, P.L.19, SEC.2. Amended by P.L.215-2016, SEC.22.

 

IC 4-4-2-3Supreme court decision of inability to discharge office; appointment of acting lieutenant governor

     Sec. 3. Whenever the supreme court decides that the lieutenant governor is unable to discharge the powers and duties of the lieutenant governor's office, the governor shall appoint a person as acting lieutenant governor to discharge the powers and duties of the office of lieutenant governor until the supreme court decides that no inability exists.

As added by Acts 1979, P.L.19, SEC.3. Amended by P.L.215-2016, SEC.23.

 

IC 4-4-2.3Chapter 2.3. Lieutenant Governor as Secretary of Agriculture and Rural Development
           4-4-2.3-1Lieutenant governor as secretary of agriculture and rural development
           4-4-2.3-2Property tax exemption provisions; enumeration

 

IC 4-4-2.3-1Lieutenant governor as secretary of agriculture and rural development

     Sec. 1. The lieutenant governor serves as secretary of agriculture and rural development by virtue of office.

As added by P.L.83-2005, SEC.1.

 

IC 4-4-2.3-2Property tax exemption provisions; enumeration

     Sec. 2. The secretary is responsible for implementation of the following:

(1) IC 4-4-9.7.

(2) IC 15-11.

As added by P.L.83-2005, SEC.1. Amended by P.L.2-2008, SEC.14.

 

IC 4-4-2.4Chapter 2.4. Repealed

Repealed by P.L.34-2013, SEC.3.

 

IC 4-4-2.5Chapter 2.5. Service of Lieutenant Governor and Employees on State Agencies, Boards, and Other Bodies
           4-4-2.5-1Designee as member

 

IC 4-4-2.5-1Designee as member

     Sec. 1. In all cases where the lieutenant governor is a member of a state agency, committee, division, board, authority, or other organization created by law, the lieutenant governor may designate another individual to serve on the agency, committee, division, board, authority, or organization in place of the lieutenant governor as a member for all purposes. A designation under this section becomes effective when filed in the official records of the agency, committee, division, board, authority, or organization and remains in effect until the designation lapses in accordance with its terms.

As added by Acts 1981, P.L.24, SEC.2. Amended by P.L.17-1989, SEC.1; P.L.1-2006, SEC.8.

 

IC 4-4-3Chapter 3. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-3.2Chapter 3.2. Repealed

Repealed by P.L.187-2014, SEC.2.

 

IC 4-4-3.3Chapter 3.3. Repealed

Repealed by P.L.187-2014, SEC.3.

 

IC 4-4-3.4Chapter 3.4. Repealed

Repealed by P.L.2-2007, SEC.390.

 

IC 4-4-3.5Chapter 3.5. Repealed

Repealed by P.L.229-2005, SEC.18.

 

IC 4-4-3.6Chapter 3.6. Repealed

Repealed by P.L.229-2005, SEC.18.

 

IC 4-4-3.7Chapter 3.7. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-3.8Chapter 3.8. Repealed

Repealed by P.L.187-2014, SEC.4.

 

IC 4-4-4Chapter 4. Repealed

Repealed by Acts 1982, P.L.15, SEC.30.

 

IC 4-4-4.5Chapter 4.5. Repealed

Repealed by P.L.17-1992, SEC.2.

 

IC 4-4-4.6Chapter 4.6. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-5Chapter 5. Repealed

Repealed by Acts 1978, P.L.6, SEC.36.

 

IC 4-4-5.1Chapter 5.1. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-5.2Chapter 5.2. Repealed

Repealed by P.L.237-2017, SEC.2.

 

IC 4-4-6Chapter 6. Repealed

Repealed by Acts 1978, P.L.6, SEC.36.

 

IC 4-4-6.1Chapter 6.1. Repealed

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-7Chapter 7. Repealed

[Pre-Local Government Recodification Citations:

4-4-7-1             formerly 18-7-16.1-1

4-4-7-2             formerly 18-7-16.1-2

4-4-7-3             formerly 18-7-16.1-3

4-4-7-4             formerly 18-7-16.1-4

4-4-7-5             formerly 18-7-16.1-5

4-4-7-6             formerly 18-7-16.1-6

4-4-7-7             formerly 18-7-16.1-7.]

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-8Chapter 8. Repealed

[Pre-Local Government Recodification Citations:

4-4-8-1             formerly 18-7-15-1

4-4-8-2             formerly 18-7-15-2

4-4-8-3             formerly 18-7-15-3

4-4-8-4             formerly 18-7-15-4

4-4-8-5             formerly 18-7-15-5

4-4-8-6             formerly 18-7-15-6

4-4-8-7             formerly 18-7-15-7

4-4-8-8             formerly 18-7-15-8

4-4-8-9             formerly 18-7-15-9

4-4-8-10           formerly 18-7-15-10

4-4-8-11           formerly 18-7-15-11.]

Repealed by P.L.4-2005, SEC.148.

 

IC 4-4-9Chapter 9. Repealed

[Pre-Local Government Recodification Citations:

4-4-9-1             formerly 18-7-20-1

4-4-9-2             formerly 18-7-20-2

4-4-9-3             formerly 18-7-20-3.]

Repealed by P.L.144-2006, SEC.14.

 

IC 4-4-9.3Chapter 9.3. Repealed

Repealed by P.L.144-2006, SEC.14.

 

IC 4-4-9.5Chapter 9.5. Repealed

Repealed by P.L.144-2006, SEC.14.

 

IC 4-4-9.7Chapter 9.7. Office of Rural Affairs
           4-4-9.7-1"Director"
           4-4-9.7-2"Office"
           4-4-9.7-3"Secretary"
           4-4-9.7-4Office of community and rural affairs established
           4-4-9.7-5Director; appointment; chief executive and administrative officer; employees
           4-4-9.7-6Duties of office
           4-4-9.7-7Office may adopt rules
           4-4-9.7-8Repealed
           4-4-9.7-9Rural economic development fund

 

IC 4-4-9.7-1"Director"

     Sec. 1. As used in this chapter, "director" refers to the director of the office of community and rural affairs appointed under section 5 of this chapter.

As added by P.L.83-2005, SEC.5. Amended by P.L.144-2006, SEC.2.

 

IC 4-4-9.7-2"Office"

     Sec. 2. As used in this chapter, "office" refers to the office of community and rural affairs established by section 4 of this chapter.

As added by P.L.83-2005, SEC.5. Amended by P.L.144-2006, SEC.3.

 

IC 4-4-9.7-3"Secretary"

     Sec. 3. As used in this chapter, "secretary" refers to the lieutenant governor as secretary of agriculture and rural development, as provided in IC 4-4-2.3.

As added by P.L.83-2005, SEC.5.

 

IC 4-4-9.7-4Office of community and rural affairs established

     Sec. 4. The office of community and rural affairs is established.

As added by P.L.83-2005, SEC.5. Amended by P.L.144-2006, SEC.4.

 

IC 4-4-9.7-5Director; appointment; chief executive and administrative officer; employees

     Sec. 5. (a) The secretary shall appoint an individual to be the director of the office.

     (b) The director:

(1) serves at the secretary's pleasure;

(2) is entitled to receive compensation in an amount set by the secretary subject to the approval of the budget agency under IC 4-12-1-13; and

(3) is responsible to the secretary.

     (c) The director is the chief executive and administrative officer of the office.

     (d) The director may appoint employees in the manner provided by IC 4-15-2.2 and fix their compensation, subject to the approval of the budget agency under IC 4-12-1-13.

     (e) The director may delegate the director's authority to the appropriate office staff.

As added by P.L.83-2005, SEC.5. Amended by P.L.6-2012, SEC.10.

 

IC 4-4-9.7-6Duties of office

     Sec. 6. The office shall do the following:

(1) Administer the rural economic development fund under section 9 of this chapter.

(2) Administer the Indiana main street program under IC 4-4-16.

(3) Administer the community development block grant program.

As added by P.L.83-2005, SEC.5. Amended by P.L.144-2006, SEC.5.

 

IC 4-4-9.7-7Office may adopt rules

     Sec. 7. The office may adopt rules under IC 4-22-2 to carry out the duties, purposes, and functions of this chapter.

As added by P.L.144-2006, SEC.6.

 

IC 4-4-9.7-8Repealed

As added by P.L.144-2006, SEC.7. Repealed by P.L.133-2012, SEC.3.

 

IC 4-4-9.7-9Rural economic development fund

     Sec. 9. (a) The rural economic development fund is established for the purpose of enhancing and developing rural communities. The fund shall be administered by the office.

     (b) The expenses of administering the fund shall be paid from the money in the fund.

     (c) Notwithstanding IC 5-13, the treasurer of state shall invest the money in the fund not currently needed to meet the obligations of the fund under IC 5-10.3-5. The treasurer of state may contract with investment management professionals, investment advisers, and legal counsel to assist in the management of the fund and may pay the state expenses incurred under those contracts.

     (d) Money in the fund at the end of a state fiscal year does not revert to the state general fund.

     (e) Money in the fund may be used for the following purposes:

(1) To create, assess, and assist a pilot project to enhance the economic and community development in a rural area.

(2) To establish a local revolving loan fund for:

(A) an industrial;

(B) a commercial;

(C) an agricultural; or

(D) a tourist;

venture.

(3) To provide a loan for an economic development project in a rural area.

(4) To provide technical assistance to a rural organization.

(5) To assist in the development and creation of a rural cooperative.

(6) To address rural workforce development challenges.

(7) To assist in addressing telecommunications needs in a rural area.

(8) To provide funding for rural economic development projects concerning the following issues:

(A) Infrastructure, including water, wastewater, and storm water infrastructure needs.

(B) Housing.

(C) Health care.

(D) Local planning.

(E) Land use.

(F) Other rural economic development issues, as determined by the office.

(9) To provide funding for the establishment of new regional rural development groups and the operation of existing regional rural development groups.

     (f) Expenditures from the fund are subject to appropriation by the general assembly and approval by the office.

As added by P.L.144-2006, SEC.8.

 

IC 4-4-10Chapter 10. Repealed

Repealed by Acts 1982, P.L.17, SEC.4.

 

IC 4-4-10.1Chapter 10.1. Repealed

Repealed by P.L.1-1993, SEC.16.

 

IC 4-4-10.9Chapter 10.9. Indiana Finance Authority Law; Definitions
           4-4-10.9-1Application of definitions
           4-4-10.9-1.2"Affected statutes"
           4-4-10.9-1.2"Affected statutes"
           4-4-10.9-1.5"Authority"
           4-4-10.9-2"Bonds"
           4-4-10.9-2.1"Broadband development program"
           4-4-10.9-2.2"Broadband development project"
           4-4-10.9-3Repealed
           4-4-10.9-3.1"Child care facility"
           4-4-10.9-3.2"Child care facility project"
           4-4-10.9-4"Contracting party"
           4-4-10.9-5"Cost of the project"
           4-4-10.9-5.5"Covered taxes"
           4-4-10.9-6"Developer"
           4-4-10.9-6.1"Distressed area"
           4-4-10.9-6.2"Educational facility project"
           4-4-10.9-6.5"Eligible export loan"
           4-4-10.9-7"Equipment"
           4-4-10.9-7.5Repealed
           4-4-10.9-8"Financing agreement"
           4-4-10.9-8.5Repealed
           4-4-10.9-9Repealed
           4-4-10.9-9.5Repealed
           4-4-10.9-10Repealed
           4-4-10.9-11"Industrial development project"
           4-4-10.9-11.5"International exports"
           4-4-10.9-12"Lease"
           4-4-10.9-13"Lender"
           4-4-10.9-14"Loan"
           4-4-10.9-15"Loan agreement"
           4-4-10.9-16Repealed
           4-4-10.9-17Repealed
           4-4-10.9-17.3"Mortgage credit certificates"
           4-4-10.9-18"Mortgage payments"
           4-4-10.9-19"Mortgagee"
           4-4-10.9-20"Mortgagor"
           4-4-10.9-21"Multiple project program"
           4-4-10.9-22"Person"
           4-4-10.9-23"Pollution"
           4-4-10.9-24"Pollution control facility"
           4-4-10.9-24.5"Public finance director"
           4-4-10.9-25"Sale contract"
           4-4-10.9-26Repealed
           4-4-10.9-27"Single project program"
           4-4-10.9-27.3"Taxable bonds"
           4-4-10.9-27.7"Tax-exempt bonds"
           4-4-10.9-28"User"

 

IC 4-4-10.9-1Application of definitions

     Sec. 1. Subject to IC 4-4-11-2.7, the definitions in this chapter apply throughout this chapter, IC 4-4-11, and the affected statutes.

As added by P.L.20-1985, SEC.1. Amended by P.L.224-2003, SEC.271; P.L.1-2007, SEC.5; P.L.162-2007, SEC.1.

 

IC 4-4-10.9-1.2"Affected statutes"

     Note: This version of section effective until 7-1-2017. See also following version of this section, effective 7-1-2017.

     Sec. 1.2. "Affected statutes" means all statutes that grant a power to or impose a duty on the authority, including but not limited to IC 4-4-11, IC 4-4-11.4, IC 4-4-11.6, IC 4-4-21, IC 4-10-19, IC 4-13.5, IC 5-1-16, IC 5-1-16.5, IC 5-1-17.5, IC 8-9.5, IC 8-14.5, IC 8-15, IC 8-15.5, IC 8-16, IC 13-18-13, IC 13-18-21, IC 13-19-5, IC 14-14, and IC 14-28-5.

As added by P.L.235-2005, SEC.1. Amended by P.L.47-2006, SEC.1; P.L.1-2006, SEC.26; P.L.1-2007, SEC.6; P.L.162-2007, SEC.2; P.L.2-2009, SEC.1; P.L.1-2009, SEC.5; P.L.1-2010, SEC.5; P.L.233-2013, SEC.1; P.L.155-2015, SEC.1; P.L.229-2017, SEC.1.

 

IC 4-4-10.9-1.2"Affected statutes"

     Note: This version of section effective 7-1-2017. See also preceding version of this section, effective until 7-1-2017.

     Sec. 1.2. "Affected statutes" means all statutes that grant a power to or impose a duty on the authority, including but not limited to IC 4-4-11, IC 4-4-11.6, IC 4-4-21, IC 4-10-19, IC 4-13.5, IC 5-1-16, IC 5-1-16.5, IC 5-1-17.5, IC 8-9.5, IC 8-14.5, IC 8-15, IC 8-15.5, IC 8-16, IC 13-18-13, IC 13-18-21, IC 13-18-25, IC 13-19-5, IC 14-14, and IC 14-28-5.

As added by P.L.235-2005, SEC.1. Amended by P.L.47-2006, SEC.1; P.L.1-2006, SEC.26; P.L.1-2007, SEC.6; P.L.162-2007, SEC.2; P.L.2-2009, SEC.1; P.L.1-2009, SEC.5; P.L.1-2010, SEC.5; P.L.233-2013, SEC.1; P.L.155-2015, SEC.1; P.L.229-2017, SEC.1; P.L.237-2017, SEC.3; P.L.233-2017, SEC.1.

 

IC 4-4-10.9-1.5"Authority"

     Sec. 1.5. "Authority" refers to the Indiana finance authority established by IC 4-4-11.

As added by P.L.20-1988, SEC.1. Amended by P.L.11-1990, SEC.3; P.L.235-2005, SEC.2.

 

IC 4-4-10.9-2"Bonds"

     Sec. 2. "Bonds" means any bonds, mortgage credit certificates, notes, debentures, interim certificates, revenue anticipation notes, warrants, or any other evidences of indebtedness of the authority and for purposes of a refunding issue, means the same types of evidences of indebtedness of a unit (as defined in IC 36-1-2-23) as well as the authority.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.4; P.L.24-1995, SEC.5.

 

IC 4-4-10.9-2.1"Broadband development program"

     Sec. 2.1. "Broadband development program" refers to the Indiana broadband development program established by IC 8-1-33-15.

As added by P.L.235-2005, SEC.3.

 

IC 4-4-10.9-2.2"Broadband development project"

     Sec. 2.2. "Broadband development project" means a project authorized by the broadband development program under IC 8-1-33.

As added by P.L.235-2005, SEC.4.

 

IC 4-4-10.9-3Repealed

As added by P.L.20-1985, SEC.1. Repealed by P.L.11-1990, SEC.135.

 

IC 4-4-10.9-3.1"Child care facility"

     Sec. 3.1. "Child care facility" means a:

(1) child care center licensed under IC 12-17.2-4;

(2) child care home licensed under IC 12-17.2-5; or

(3) child care ministry licensed under IC 12-17.2-6.

As added by P.L.227-1999, SEC.2 and P.L.273-1999, SEC.192.

 

IC 4-4-10.9-3.2"Child care facility project"

     Sec. 3.2. "Child care facility project" includes the acquisition of land, site improvements, infrastructure improvements, buildings or structures, rehabilitation, renovation, and enlargement of buildings and structures, machinery, equipment, working capital, furnishings, or facilities (or any combination of these):

(1) comprising or being functionally related and subordinate to a child care facility; and

(2) not used or to be used primarily:

(A) for sectarian care;

(B) as a place for devotional activities; or

(C) in connection with any part of the program of a:

(i) church;

(ii) school; or

(iii) department of divinity;

for any religious denomination.

As added by P.L.227-1999, SEC.3 and P.L.273-1999, SEC.193. Amended by P.L.14-2000, SEC.8.

 

IC 4-4-10.9-4"Contracting party"

     Sec. 4. "Contracting party" means any party to a lease, sales contract, or loan agreement other than the authority.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.5.

 

IC 4-4-10.9-5"Cost of the project"

     Sec. 5. "Cost of the project" means the cost or fair market value of construction, equipment, lands, property rights, easements, franchises, patents, financing charges, interest cost during construction, engineering and legal services, plans, specifications, surveys, cost estimates, studies, and other expenses as may be necessary or incident to the development, construction, financing, and placing in operation of an industrial development project.

As added by P.L.20-1985, SEC.1.

 

IC 4-4-10.9-5.5"Covered taxes"

     Sec. 5.5. "Covered taxes" refers to any of the following:

(1) The state gross retail tax imposed under IC 6-2.5-2-1 or the use tax imposed under IC 6-2.5-3-2.

(2) The adjusted gross income tax imposed under IC 6-3-2-1.

As added by P.L.224-2003, SEC.272.

 

IC 4-4-10.9-6"Developer"

     Sec. 6. "Developer" means a person who proposes to enter, or has entered, into a financing agreement with the authority for an industrial development project and who has entered into a separate agreement with some other persons for the substantial use of the facilities financed.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.6.

 

IC 4-4-10.9-6.1"Distressed area"

     Sec. 6.1. "Distressed area" means a county in which:

(1) the average annualized unemployment rate in each of the two (2) calendar years immediately preceding the current calendar year exceeded the statewide average annualized unemployment rate for each of the same calendar years by at least two percent (2%); or

(2) the average annualized unemployment rate in the immediately preceding calendar year was at least double the statewide average annualized unemployment rate for the same period;

as determined by the department of workforce development.

As added by P.L.224-2003, SEC.273. Amended by P.L.1-2007, SEC.7.

 

IC 4-4-10.9-6.2"Educational facility project"

     Sec. 6.2. (a) "Educational facility project" includes:

(1) the acquisition of land, site improvements, infrastructure improvements, buildings, or structures, the rehabilitation, renovation, and enlargement of buildings and structures, machinery, equipment, furnishings, or facilities (or any combination of these):

(A) comprising or being functionally related and subordinate to any aquaria, botanical societies, historical societies, libraries, museums, performing arts associations or societies, scientific societies, zoological societies, and independent elementary, secondary, or postsecondary educational institution (or any combination of these) that engages in the cultural, intellectual, scientific, educational, or artistic enrichment of the people of the state the development or expansion of which serves the purposes set forth in IC 4-4-11-2;

(B) is not used or to be used primarily for sectarian instruction or study or as a place for devotional activities; and

(C) is not used or to be used primarily in connection with any part of the program of a school or department of divinity for any religious denomination; or

(2) funding (including reimbursement or refinancing) by a nonprofit organization described in subsection (b) of:

(A) real property and improvements;

(B) personal property; or

(C) noncapital costs to fund a judgment, a settlement, or other cost or liability, other than an ordinary and recurring operating cost or expenditure.

     (b) For purposes of subsection (a)(2), a nonprofit organization must be:

(1) qualified as tax exempt under Section 501(c)(3) of the Internal Revenue Code; and

(2) have headquarters or a primary educational or exhibit facility located on property owned by or titled in the name of the state of Indiana or an agency, a commission, or an instrumentality of the state of Indiana that serves the purposes set forth in IC 4-4-11-2.

As added by P.L.24-1995, SEC.6. Amended by P.L.4-2002, SEC.1; P.L.2-2007, SEC.21.

 

IC 4-4-10.9-6.5"Eligible export loan"

     Sec. 6.5. "Eligible export loan" has the meaning set forth in IC 4-4-21.

As added by P.L.20-1988, SEC.2.

 

IC 4-4-10.9-7"Equipment"

     Sec. 7. "Equipment" means any capital item.

As added by P.L.20-1985, SEC.1.

 

IC 4-4-10.9-7.5Repealed

As added by P.L.20-1988, SEC.3. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-8"Financing agreement"

     Sec. 8. "Financing agreement" means an agreement between the authority and a developer, user, or lender concerning the financing of, the title to, or possession of an industrial development project and that provides for payments to the authority in an amount sufficient to pay the principal of, premium, if any, and interest on bonds authorized by the authority for the financing of an industrial development project.

As added by P.L.20-1985, SEC.1. Amended by P.L.24-1987, SEC.3; P.L.11-1990, SEC.7.

 

IC 4-4-10.9-8.5Repealed

As added by P.L.20-1988, SEC.4. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-9Repealed

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.8. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-9.5Repealed

As added by P.L.227-1999, SEC.4. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-10Repealed

As added by P.L.20-1985, SEC.1. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-11"Industrial development project"

     Sec. 11. "Industrial development project" includes:

(1) the acquisition of land, site improvements, infrastructure improvements, buildings, or structures, rehabilitation, renovation, and enlargement of buildings and structures, machinery, equipment, furnishings, or facilities (or any combination of these), comprising or being functionally related and subordinate to any project (whether manufacturing, commercial, agricultural, environmental, or otherwise) the development or expansion of which serves the public purposes set forth in IC 4-4-11-2;

(2) educational facility projects;

(3) child care facility projects; and

(4) broadband development projects.

As added by P.L.20-1985, SEC.1. Amended by P.L.10-1986, SEC.1; P.L.25-1987, SEC.1; P.L.15-1991, SEC.1; P.L.13-1993, SEC.3; P.L.24-1995, SEC.7; P.L.227-1999, SEC.5; P.L.273-1999, SEC.194; P.L.14-2000, SEC.9; P.L.4-2005, SEC.3; P.L.235-2005, SEC.5; P.L.162-2007, SEC.3.

 

IC 4-4-10.9-11.5"International exports"

     Sec. 11.5. "International exports" has the meaning set forth in IC 4-4-21.

As added by P.L.20-1988, SEC.5.

 

IC 4-4-10.9-12"Lease"

     Sec. 12. "Lease" when used in connection with the multiple project program means a lease containing an option to purchase the industrial development project for a nominal sum upon payment in full, or provision therefor, of all bonds issued in connection with the industrial development project and all interest thereon and all other expenses in connection with the industrial development project, and a lease containing an option to purchase the industrial development project at any time, as provided therein, upon payment of the purchase price which shall be sufficient to pay all bonds issued in connection with the industrial development project and all interest thereon and all other expenses incurred in connection with the industrial development project, but which payment may be made in the form of one (1) or more rental payments, notes, debentures, or other secured or unsecured debt obligations of the lessee providing for timely payments, including without limitation interest thereon sufficient for such purposes and delivered to the authority or to the trustee under the indenture, if any, pursuant to which the bonds were issued.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.9.

 

IC 4-4-10.9-13"Lender"

     Sec. 13. "Lender" when used in connection with the multiple project program means any federal or state chartered bank, Federal Land Bank, production credit association, bank for cooperatives, savings association, small business investment company, or any other institution qualified within the state to originate and service loans, such as insurance companies, credit unions, and mortgage loan companies.

As added by P.L.20-1985, SEC.1. Amended by P.L.79-1998, SEC.2.

 

IC 4-4-10.9-14"Loan"

     Sec. 14. "Loan" means any lease, loan agreement, or sale contract as defined in this chapter.

As added by P.L.20-1985, SEC.1.

 

IC 4-4-10.9-15"Loan agreement"

     Sec. 15. "Loan agreement" when used in connection with the multiple project program means an agreement providing for the authority, or a lender with which the authority has contracted, to lend the proceeds derived from the issuance of bonds pursuant to IC 4-4-11 to one (1) or more contracting parties to be used to pay the cost of one (1) or more industrial development projects and providing for the repayment of such loan by the contracting party or parties, and which may provide for the loans to be secured or evidenced by one (1) or more notes, debentures, or other secured or unsecured debt obligations of the contracting party or parties, delivered to the authority or to the trustee under the indenture pursuant to which the bonds were issued.

As added by P.L.20-1985, SEC.1. Amended by P.L.20-1988, SEC.6; P.L.11-1990, SEC.10.

 

IC 4-4-10.9-16Repealed

As added by P.L.20-1985, SEC.1. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-17Repealed

As added by P.L.20-1985, SEC.1. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-17.3"Mortgage credit certificates"

     Sec. 17.3. "Mortgage credit certificates" refers to mortgage credit certificates issued under Section 25 of the Internal Revenue Code of 1986, including any later amendments.

As added by P.L.24-1995, SEC.8.

 

IC 4-4-10.9-18"Mortgage payments"

     Sec. 18. "Mortgage payments" means periodic payments called for by the mortgage covering interest, installments of principal, taxes and assessments, mortgage insurance premiums, and hazard insurance premiums.

As added by P.L.20-1985, SEC.1.

 

IC 4-4-10.9-19"Mortgagee"

     Sec. 19. "Mortgagee" means the original lender under a mortgage and the original lender's successors and assigns approved by the authority and may include all insurance companies, trust companies, banks, investment companies, savings banks, executors, trustees, and other fiduciaries, including pensions and retirement funds.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.11; P.L.215-2016, SEC.24.

 

IC 4-4-10.9-20"Mortgagor"

     Sec. 20. "Mortgagor" means the original borrower under a mortgage and the original borrower's successors and assigns.

As added by P.L.20-1985, SEC.1. Amended by P.L.215-2016, SEC.25.

 

IC 4-4-10.9-21"Multiple project program"

     Sec. 21. "Multiple project program" means, among other things, that program of the authority described under IC 4-4-11-18 pursuant to which it acquires from lenders loans made to developers, users, or both, for the financing of industrial development projects, the payment on such loans providing security for the repayment of bonds.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.12.

 

IC 4-4-10.9-22"Person"

     Sec. 22. "Person" means any individual or entity.

As added by P.L.20-1985, SEC.1. Amended by P.L.8-1993, SEC.13; P.L.98-2008, SEC.1.

 

IC 4-4-10.9-23"Pollution"

     Sec. 23. "Pollution" means all forms of environmental pollution, including water pollution, air pollution, sewage, solid and radioactive waste, thermal pollution, radiation contamination, and noise pollution.

As added by P.L.20-1985, SEC.1.

 

IC 4-4-10.9-24"Pollution control facility"

     Sec. 24. "Pollution control facility" means a facility for the abatement, reduction, or prevention of pollution or for the removal or treatment of any substances in materials being processed that otherwise would cause pollution when used. This includes the following:

(1) Coal washing, coal cleaning, or coal preparation facilities designed to reduce the sulfur and ash levels of Indiana coal.

(2) Coal-fired boiler facilities designed to reduce emissions while burning Indiana coal.

(3) Pollution control equipment to allow for the environmentally sound use of Indiana coal.

As added by P.L.20-1985, SEC.1.

 

IC 4-4-10.9-24.5"Public finance director"

     Sec. 24.5. "Public finance director" means the public finance director appointed under IC 4-4-11-9.

As added by P.L.162-2007, SEC.4.

 

IC 4-4-10.9-25"Sale contract"

     Sec. 25. "Sale contract" when used in connection with the multiple project program means a contract providing for the sale of one (1) or more industrial development projects to one (1) or more contracting parties and includes a contract providing for payment of the purchase price in one (1) or more installments. If the sale contract permits title to the industrial development project to pass to the contracting party or parties prior to payment in full of the entire purchase price, it shall also provide for the contracting party or parties to deliver to the authority or to the trustee under the indenture pursuant to which the bonds were issued one (1) or more notes, debentures, or other secured or unsecured debt obligations of the contracting party or parties providing for timely payments, including, without limitation, interest thereon for the balance of the purchase price at or prior to the passage of title.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.13.

 

IC 4-4-10.9-26Repealed

As added by P.L.20-1985, SEC.1. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-10.9-27"Single project program"

     Sec. 27. "Single project program" means, among other things, that program of the authority described in IC 4-4-11-17 pursuant to which it issues bonds, the proceeds of which are used to finance an industrial development project or projects pursuant to a loan between the authority and the developer or user.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.14.

 

IC 4-4-10.9-27.3"Taxable bonds"

     Sec. 27.3. "Taxable bonds" means bonds, the interest on which will not be excluded from the gross income of the owners of the bonds under Section 103 of the Internal Revenue Code.

As added by P.L.25-1987, SEC.2.

 

IC 4-4-10.9-27.7"Tax-exempt bonds"

     Sec. 27.7. "Tax-exempt bonds" means bonds, the interest on which will be excluded from the gross income of the owners thereof under Section 103 of the Internal Revenue Code.

As added by P.L.25-1987, SEC.3.

 

IC 4-4-10.9-28"User"

     Sec. 28. "User" means a person who has entered into a financing agreement with the authority or lender or contract for use with the developer or lender in contemplation of its use of an industrial development project.

As added by P.L.20-1985, SEC.1. Amended by P.L.11-1990, SEC.15.

 

IC 4-4-11Chapter 11. Indiana Finance Authority
           4-4-11-0.1Effect of certain amendments to chapter
           4-4-11-0.3"Entity" defined; transfer of powers, duties, liabilities, property among entities; references to entities in statutes
           4-4-11-0.4Transfer of powers, duties, agreements, liabilities, records, money, and property to authority; bonds; rights of trustee and bondholders
           4-4-11-0.5Transfer of IHEFFA powers, duties, liabilities, records, money, and property to authority; references to IHEFFA; bonds; rights of trustee and bondholders
           4-4-11-1Title
           4-4-11-2Legislative findings of fact; purpose
           4-4-11-2Legislative findings of fact; purposes of the Indiana finance authority
           4-4-11-2.5Legislative findings of fact; purpose
           4-4-11-2.7Construction of article; priority of definitions
           4-4-11-3Repealed
           4-4-11-4Creation; membership
           4-4-11-5Members; terms of office
           4-4-11-6Officers; compensation of members
           4-4-11-7Vesting of powers; quorum; voting
           4-4-11-8Meetings
           4-4-11-9Public finance director; powers and duties
           4-4-11-10Public finance director; attendance; record keeping duties; certification of copies
           4-4-11-11Employment; delegation of administrative duties
           4-4-11-12Members; conflicts of interest; disclosure
           4-4-11-13State officers and employees; nonforfeiture of offices and employment
           4-4-11-14Members; surety bonds
           4-4-11-14.5State debt management plan; requirements
           4-4-11-15Powers of Indiana finance authority
           4-4-11-15.1Repealed
           4-4-11-15.2Guaranteed participating loans; export loans required to be sold; bond issuance
           4-4-11-15.3Prohibited activities
           4-4-11-15.4Issuance of bonds for wastewater revolving loan program, drinking water revolving loan program, and local infrastructure revolving loan program; failure to pay obligations
           4-4-11-15.4Issuance of bonds for purposes of loan and financial assistance programs
           4-4-11-15.5Public offering for sale or lease of property or interests acquired for an industrial development project
           4-4-11-15.6Additional authority powers
           4-4-11-15.7Requirements; establishment of terms governing reserves or funding levels
           4-4-11-16Repealed
           4-4-11-16.1Repealed
           4-4-11-16.2Validity of loan guarantees made by Indiana development finance authority under prior statute
           4-4-11-16.3Repealed
           4-4-11-16.5Repealed
           4-4-11-16.7Validity of Indiana employment development commission guarantee made before January 1, 1985
           4-4-11-16.8Transfer of bond powers, duties, and liabilities of the Indiana employment development commission and the Indiana agricultural development corporation; rights of trustee and bondholders; validity of certain bonds
           4-4-11-16.9Transfer of IHEFFA powers, duties, liabilities, records, money, and property to authority; references to IHEFFA; bonds; rights of trustee and bondholders
           4-4-11-17Industrial development projects; financing; procedure; approval
           4-4-11-17.5Industrial development project financing; bond issuance
           4-4-11-18Certain loans; investment, purchase, or commitments by authority
           4-4-11-19Power to borrow money and issue bonds
           4-4-11-20Refunding bonds; issuance; application of proceeds; terms
           4-4-11-21Bonds; liability of authority; pledges as additional security
           4-4-11-22Bonds; liability of state
           4-4-11-23Bonds; issuance; procedure; terms
           4-4-11-24Bonds; authorized provisions
           4-4-11-25Pledges
           4-4-11-26Bonds; purchase by authority
           4-4-11-27Bonds; trust agreement or indenture
           4-4-11-28Bonds; negotiability
           4-4-11-29Bonds; execution; manual or facsimile signatures
           4-4-11-30Personal liability for acts authorized by affected statutes
           4-4-11-31Funds and accounts; establishment
           4-4-11-32Money; deposit; security; trust funds
           4-4-11-33Money for the payment of bonds; contracts; security
           4-4-11-34State pledge to bondholders
           4-4-11-35Payment of expenses and power to incur indebtedness; limitations; authority budget
           4-4-11-36Repealed
           4-4-11-36.1Property; tax exemption
           4-4-11-36.5Bonds; tax exemption
           4-4-11-37Bonds; legal investments; securities
           4-4-11-38Annual report
           4-4-11-39Application of state laws
           4-4-11-40Income and assets of authority; reversion
           4-4-11-41Bonds and securities; exemption from securities registration laws
           4-4-11-42Repealed
           4-4-11-43Legislative findings; clean coal technology program; financing of clean coal technology projects; procedure; contributions from beneficiaries
           4-4-11-44Repealed
           4-4-11-44.6Program participants may invest funds
           4-4-11-45Repealed
           4-4-11-46Annual report

 

IC 4-4-11-0.1Effect of certain amendments to chapter

     Sec. 0.1. The amendments made to section 15 of this chapter by P.L.2-1987 take effect on January 1, 1987, and apply to taxable years beginning after December 31, 1986.

As added by P.L.220-2011, SEC.15.

 

IC 4-4-11-0.3"Entity" defined; transfer of powers, duties, liabilities, property among entities; references to entities in statutes

     Sec. 0.3. (a) As used in this section, "entity" means the following:

(1) The Indiana development finance authority.

(2) The state office building commission.

(3) The Indiana transportation finance authority.

(4) The recreational development commission.

     (b) On May 15, 2005, all powers, duties, and liabilities of each entity are transferred to the authority, as the successor agency.

     (c) On May 15, 2005, all records and property of each entity, including appropriations and other funds under the control or supervision of the entity, are transferred to the authority, as the successor agency.

     (d) After May 14, 2005, any amounts owed to an entity before May 15, 2005, are considered to be owed to the authority, as the successor agency.

     (e) After May 14, 2005, a reference to an entity in a statute, rule, or other document is considered a reference to the authority, as the successor agency.

     (f) All powers, duties, and liabilities of an entity with respect to bonds issued by that entity in connection with any trust agreement or indenture securing those bonds are transferred to the authority, as the successor agency. The rights of the trustee under any trust agreement or indenture and the rights of the bondholders of an entity remain unchanged, although the powers, duties, and liabilities of the entity have been transferred to the authority, as the successor agency.

As added by P.L.220-2011, SEC.16.

 

IC 4-4-11-0.4Transfer of powers, duties, agreements, liabilities, records, money, and property to authority; bonds; rights of trustee and bondholders

     Sec. 0.4. (a) On May 15, 2005, all powers, duties, agreements, and liabilities of the treasurer of state, the auditor of state, the department of environmental management, and the budget agency with respect to:

(1) the wastewater revolving loan program established by IC 13-18-13-1;

(2) the drinking water revolving loan program established by IC 13-18-21-1; and

(3) the supplemental drinking water and wastewater assistance program established by IC 13-18-21-21;

are transferred to the authority, as the successor agency, for the limited purposes described in subdivisions (1) through (3).

     (b) On May 15, 2005, all records, money, and other property of the treasurer of state, the auditor of state, the department of environmental management, and the budget agency with respect to:

(1) the wastewater revolving loan program established by IC 13-18-13-1;

(2) the drinking water revolving loan program established by IC 13-18-21-1; and

(3) the supplemental drinking water and wastewater assistance program established by IC 13-18-21-21;

are transferred to the authority as the successor agency for the limited purposes described in subdivisions (1) through (3).

     (c) On May 15, 2005, all powers, duties, agreements, and liabilities of the Indiana bond bank, the Indiana department of environmental management, and the budget agency with respect to:

(1) outstanding bonds issued for:

(A) the wastewater revolving loan program established by IC 13-18-13-1; or

(B) the drinking water revolving loan program established by IC 13-18-21-1; and

(2) any trust agreement or indenture, security agreement, purchase agreement, or other undertaking entered into in connection with the bonds described in subdivision (1);

are transferred to the authority, as the successor agency, for the limited purposes described in subdivisions (1) and (2). The rights of the trustee and the bondholders with respect to any bonds or any trust agreement or indenture, security agreement, purchase agreement, or other undertaking described in this subsection remain the same, although the powers, duties, agreements, and liabilities of the Indiana bond bank have been transferred to the authority and the authority shall be considered to have assumed all those powers, duties, agreements, and liabilities as if the authority were the Indiana bond bank for those limited purposes.

     (d) On July 1, 2016, all powers, duties, agreements, and liabilities of the treasurer of state, the auditor of state, the department of natural resources, the natural resources commission, and the budget agency with respect to:

(1) the flood control program established by IC 14-28-5-1; and

(2) the flood control revolving fund created by IC 14-28-5-5;

are transferred to the authority, as the successor agency, for the limited purposes described in subdivisions (1) and (2).

     (e) On July 1, 2016, all records, money, and other property of the treasurer of state, the auditor of state, the department of natural resources, the natural resources commission, and the budget agency with respect to:

(1) the flood control program established by IC 14-28-5-1; and

(2) the flood control revolving fund created by IC 14-28-5-5;

are transferred to the authority as the successor agency for the limited purposes described in subdivisions (1) and (2).

     (f) On July 1, 2017, all powers, duties, agreements, and liabilities of the treasurer of state, the auditor of state, the budget agency, and any other state agency involved with respect to the local infrastructure revolving fund established by IC 4-10-19 are transferred to the authority, as successor agency, for the limited purposes described in IC 4-10-19. In addition, all related records, money, and other property, with respect to the local infrastructure revolving fund established by IC 4-10-19, shall be transferred to the authority on or before July 1, 2017.

As added by P.L.220-2011, SEC.17. Amended by P.L.111-2016, SEC.1; P.L.229-2017, SEC.2.

 

IC 4-4-11-0.5Transfer of IHEFFA powers, duties, liabilities, records, money, and property to authority; references to IHEFFA; bonds; rights of trustee and bondholders

     Sec. 0.5. (a) As used in this section, "IHEFFA" means the Indiana health and educational facility financing authority established by IC 5-1-16-2 (before its repeal).

     (b) On July 1, 2007, all powers, duties, and liabilities of the IHEFFA are transferred to the authority, as the successor entity. The terms of office of the members of the IHEFFA serving on June 30, 2007, terminate on July 1, 2007.

     (c) On July 1, 2007, all records and property of the IHEFFA, including appropriations and other funds under its control or supervision, are transferred to the authority, as the successor entity.

     (d) After July 1, 2007, any amounts owed to the IHEFFA before July 1, 2007, are considered to be owed to the authority, as the successor entity.

     (e) After June 30, 2007, a reference to the IHEFFA in a statute, rule, or other document is considered a reference to the authority, as the successor entity.

     (f) All powers, duties, and liabilities of the IHEFFA with respect to bonds issued by the IHEFFA in connection with any trust agreement or indenture securing those bonds are transferred to the authority, as the successor entity. The rights of the trustee under any trust agreement or indenture and the rights of the bondholders of the IHEFFA remain unchanged, although the powers, duties, and liabilities of the IHEFFA have been transferred to the authority, as the successor entity.

As added by P.L.220-2011, SEC.18.

 

IC 4-4-11-1Title

     Sec. 1. This chapter may be cited as "The Indiana finance authority law".

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.16; P.L.235-2005, SEC.6.

 

IC 4-4-11-2Legislative findings of fact; purpose

     Note: This version of section effective until 7-1-2017. See also following version of this section, effective 7-1-2017.

     Sec. 2. (a) The legislature makes the following findings of fact:

(1) That there currently exists in certain areas of the state critical conditions of unemployment, inadequate drinking water, inadequate wastewater and storm water management, or environmental pollution, including water pollution, air pollution, sewage and solid waste, radioactive waste, thermal pollution, radiation contamination, and noise pollution, and that these conditions may well exist, from time to time, in other areas of the state.

(2) That in some areas of the state such conditions are chronic and of long standing and that without remedial measures they may become so in other areas of the state.

(3) That economic insecurity due to unemployment, inadequate drinking water, inadequate wastewater and storm water management, or environmental pollution is a menace to the health, safety, morals, and general welfare of not only the people of the affected areas but of the people of the entire state.

(4) That involuntary unemployment and its resulting burden of indigency falls with crushing force upon the unemployed worker and ultimately upon the state in the form of public assistance and unemployment compensation.

(5) That security against unemployment and the resulting spread of indigency and economic stagnation in the areas affected can best be provided by:

(A) the promotion, attraction, stimulation, rehabilitation, and revitalization of industrial development projects, rural development projects, mining operations, and agricultural operations that involve the processing of agricultural products;

(B) the promotion and stimulation of international exports; and

(C) the education, both formal and informal, of people of all ages throughout the state by the promotion, attraction, construction, renovation, rehabilitation, and revitalization of and assistance to educational facility projects.

(6) That the present and prospective health, safety, morals, right to gainful employment, and general welfare of the people of the state require as a public purpose the provision of safe drinking water, the provision of wastewater and storm water management, the abatement or control of pollution, the promotion of increased educational enrichment (including cultural, intellectual, scientific, or artistic opportunities) for people of all ages through new, expanded, or revitalized educational facility projects or through assisting educational facility projects, and the promotion of employment creation or retention through development of new and expanded industrial development projects, rural development projects, mining operations, and agricultural operations that involve the processing of agricultural products.

(7) That there is a need to stimulate a larger flow of private investment funds from commercial banks, investment bankers, insurance companies, other financial institutions, and individuals into such industrial development projects, rural development projects, mining operations, international exports, and agricultural operations that involve the processing of agricultural products in the state.

(8) That the authority can encourage the making of loans or leases for creation or expansion of industrial development projects, rural development projects, mining operations, international exports, and agricultural operations that involve the processing of agricultural products, thus putting a larger portion of the private capital available in Indiana for investment to use in the general economic development of the state.

(9) That the issuance of bonds of the authority to create a financing pool for industrial development projects and carrying out the purposes of IC 13-18-13 and IC 13-18-21 promoting a substantial likelihood of opportunities for:

(A) gainful employment;

(B) business opportunities;

(C) educational enrichment (including cultural, intellectual, scientific, or artistic opportunities);

(D) the abatement, reduction, or prevention of pollution;

(E) the provision of safe drinking water;

(F) the provision of wastewater and storm water management;

(G) the removal or treatment of any substances in materials being processed that otherwise would cause pollution when used; or

(H) increased options for and availability of child care;

will improve the health, safety, morals, and general welfare of the people of the state and constitutes a public purpose for which the authority shall exist and operate.

(10) That the issuance of bonds of the authority to create a funding source for the making of guaranteed participating loans will promote and encourage an expanding international exports market and international exports sales and will promote the general welfare of all of the people of Indiana by assisting Indiana businesses through stimulation of the expansion of international exports sales for Indiana products and services, especially those of small and medium-sized businesses, by providing financial assistance through the authority.

     (b) The Indiana finance authority shall exist and operate for the public purposes of:

(1) promoting opportunities for gainful employment and business opportunities by the promotion and development of industrial development projects, rural development projects, mining operations, international exports, and agricultural operations that involve the processing of agricultural products, in any areas of the state;

(2) promoting the educational enrichment (including cultural, intellectual, scientific, or artistic opportunities) of all the people of the state by the promotion, development, and assistance of educational facility projects;

(3) promoting affordable farm credit and agricultural loan financing at interest rates that are consistent with the needs of borrowers for farming and agricultural enterprises;

(4) preventing and remediating environmental pollution, including water pollution, air pollution, sewage and solid waste disposal, radioactive waste, thermal pollution, radiation contamination, and noise pollution affecting the health and well-being of the people of the state by:

(A) the promotion and development of industrial development projects; and

(B) carrying out the purposes of IC 13-18-13 and IC 13-18-21;

(5) promoting the provision of safe and adequate drinking water and wastewater and storm water management to positively affect the public health and well-being by carrying out the purposes of IC 13-18-13 and IC 13-18-21;

(6) otherwise positively affecting the public health and well-being by carrying out the purposes of IC 13-18-13 and IC 13-18-21;

(7) promoting affordable and accessible child care for the people of the state by the promotion and development of child care facilities;

(8) carrying out the purposes of IC 5-1-17.5 concerning a motorsports investment district;

(9) administering a local infrastructure revolving fund established under IC 4-10-19; and

(10) administering a regional development authority infrastructure fund established under IC 36-9-43-9.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1983, SEC.1; P.L.20-1985, SEC.2; P.L.25-1987, SEC.4; P.L.20-1988, SEC.7; P.L.11-1990, SEC.17; P.L.24-1995, SEC.9; P.L.227-1999, SEC.6 and P.L.273-1999, SEC.195; P.L.4-2002, SEC.2; P.L.235-2005, SEC.7; P.L.233-2013, SEC.2; P.L.229-2017, SEC.3.

 

IC 4-4-11-2Legislative findings of fact; purposes of the Indiana finance authority

     Note: This version of section effective 7-1-2017. See also preceding version of this section, effective until 7-1-2017.

     Sec. 2. (a) The legislature makes the following findings of fact:

(1) That there currently exists in certain areas of the state critical conditions of unemployment, inadequate drinking water, inadequate wastewater and storm water management, or environmental pollution, including water pollution, air pollution, sewage and solid waste, radioactive waste, thermal pollution, radiation contamination, and noise pollution, and that these conditions may well exist, from time to time, in other areas of the state.

(2) That in some areas of the state such conditions are chronic and of long standing and that without remedial measures they may become so in other areas of the state.

(3) That economic insecurity due to unemployment, inadequate drinking water, inadequate wastewater and storm water management, or environmental pollution is a menace to the health, safety, morals, and general welfare of not only the people of the affected areas but of the people of the entire state.

(4) That involuntary unemployment and its resulting burden of indigency falls with crushing force upon the unemployed worker and ultimately upon the state in the form of public assistance and unemployment compensation.

(5) That security against unemployment and the resulting spread of indigency and economic stagnation in the areas affected can best be provided by:

(A) the promotion, attraction, stimulation, rehabilitation, and revitalization of industrial development projects, rural development projects, mining operations, and agricultural operations that involve the processing of agricultural products;

(B) the promotion and stimulation of international exports; and

(C) the education, both formal and informal, of people of all ages throughout the state by the promotion, attraction, construction, renovation, rehabilitation, and revitalization of and assistance to educational facility projects.

(6) That the present and prospective health, safety, morals, right to gainful employment, and general welfare of the people of the state require as a public purpose the provision of safe drinking water, the provision of wastewater and storm water management, the abatement or control of pollution, the promotion of increased educational enrichment (including cultural, intellectual, scientific, or artistic opportunities) for people of all ages through new, expanded, or revitalized educational facility projects or through assisting educational facility projects, and the promotion of employment creation or retention through development of new and expanded industrial development projects, rural development projects, mining operations, and agricultural operations that involve the processing of agricultural products.

(7) That there is a need to stimulate a larger flow of private investment funds from commercial banks, investment bankers, insurance companies, other financial institutions, and individuals into such industrial development projects, rural development projects, mining operations, international exports, and agricultural operations that involve the processing of agricultural products in the state.

(8) That the authority can encourage the making of loans or leases for creation or expansion of industrial development projects, rural development projects, mining operations, international exports, and agricultural operations that involve the processing of agricultural products, thus putting a larger portion of the private capital available in Indiana for investment to use in the general economic development of the state.

(9) That the issuance of bonds of the authority to create a financing pool for industrial development projects and carrying out the purposes of IC 13-18-13 and IC 13-18-21 promoting a substantial likelihood of opportunities for:

(A) gainful employment;

(B) business opportunities;

(C) educational enrichment (including cultural, intellectual, scientific, or artistic opportunities);

(D) the abatement, reduction, or prevention of pollution;

(E) the provision of safe drinking water;

(F) the provision of wastewater and storm water management;

(G) the removal or treatment of any substances in materials being processed that otherwise would cause pollution when used; or

(H) increased options for and availability of child care;

will improve the health, safety, morals, and general welfare of the people of the state and constitutes a public purpose for which the authority shall exist and operate.

(10) That the issuance of bonds of the authority to create a funding source for the making of guaranteed participating loans will promote and encourage an expanding international exports market and international exports sales and will promote the general welfare of all of the people of Indiana by assisting Indiana businesses through stimulation of the expansion of international exports sales for Indiana products and services, especially those of small and medium-sized businesses, by providing financial assistance through the authority.

     (b) The Indiana finance authority shall exist and operate for the public purposes of:

(1) promoting opportunities for gainful employment and business opportunities by the promotion and development of industrial development projects, rural development projects, mining operations, international exports, and agricultural operations that involve the processing of agricultural products, in any areas of the state;

(2) promoting the educational enrichment (including cultural, intellectual, scientific, or artistic opportunities) of all the people of the state by the promotion, development, and assistance of educational facility projects;

(3) promoting affordable farm credit and agricultural loan financing at interest rates that are consistent with the needs of borrowers for farming and agricultural enterprises;

(4) preventing and remediating environmental pollution, including water pollution, air pollution, sewage and solid waste disposal, radioactive waste, thermal pollution, radiation contamination, and noise pollution affecting the health and well-being of the people of the state by:

(A) the promotion and development of industrial development projects; and

(B) carrying out the purposes of IC 13-18-13, IC 13-18-21, and IC 13-18-25;

(5) promoting the provision of safe and adequate drinking water, helping to upgrade deteriorating infrastructure, and promoting wastewater and storm water management to positively affect the public health and well-being by carrying out the purposes of IC 13-18-13, IC 13-18-21, and IC 13-18-25;

(6) otherwise positively affecting the public health and well-being by carrying out the purposes of IC 13-18-13, IC 13-18-21, and IC 13-18-25;

(7) promoting affordable and accessible child care for the people of the state by the promotion and development of child care facilities;

(8) carrying out the purposes of IC 5-1-17.5 concerning a motorsports investment district;

(9) administering a local infrastructure revolving fund established under IC 4-10-19; and

(10) administering a regional development authority infrastructure fund established under IC 36-9-43-9.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1983, SEC.1; P.L.20-1985, SEC.2; P.L.25-1987, SEC.4; P.L.20-1988, SEC.7; P.L.11-1990, SEC.17; P.L.24-1995, SEC.9; P.L.227-1999, SEC.6 and P.L.273-1999, SEC.195; P.L.4-2002, SEC.2; P.L.235-2005, SEC.7; P.L.233-2013, SEC.2; P.L.229-2017, SEC.3; P.L.233-2017, SEC.2.

 

IC 4-4-11-2.5Legislative findings of fact; purpose

     Sec. 2.5. (a) The general assembly makes the following findings of fact in addition to those set forth in section 2 of this chapter:

(1) There are currently numerous bodies corporate and politic of the state, with separate decision making and borrowing authority, that may issue bonds, notes, and obligations, and otherwise access the financial markets.

(2) Consolidation of this decision making and borrowing authority may provide economic efficiencies and management synergies and enable the state to communicate, with a single voice, with the various participants in the financial markets, including credit rating agencies, investment bankers, investors, and municipal bond insurers and other credit enhancers.

     (b) In addition to the purposes set forth in section 2 of this chapter, the authority is established for the purpose of permitting the consolidation of certain bodies in a single body of decision making concerning access to the capital and financial markets in the name of, or for the benefit of, the state.

     (c) The authority is authorized to carry out the public purposes provided for in the affected statutes through a single entity in order to achieve the purposes of this section.

As added by P.L.235-2005, SEC.8. Amended by P.L.1-2006, SEC.27.

 

IC 4-4-11-2.7Construction of article; priority of definitions

     Sec. 2.7. (a) This article and the affected statutes shall be liberally construed to effect the purposes of this article and the affected statutes.

     (b) To the extent that the definitions in an affected statute are inconsistent with the definitions in this chapter or IC 4-4-10.9, the definitions in the affected statute prevail.

     (c) Except as otherwise provided by subsection (b), to the extent that the provisions of this article are inconsistent with the provisions of any other general, special, or local law, the provisions of this article are controlling and supersede all other laws.

As added by P.L.235-2005, SEC.9. Amended by P.L.162-2007, SEC.5.

 

IC 4-4-11-3Repealed

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1983, SEC.2. Repealed by P.L.20-1985, SEC.18(b).

 

IC 4-4-11-4Creation; membership

     Sec. 4. (a) There is created for the public purposes set forth in section 2.5 of this chapter a body politic and corporate, not a state agency but an independent instrumentality exercising essential public functions, to be known as the Indiana finance authority. The authority is separate and apart from the state in its corporate and sovereign capacity, and though separate from the state, the exercise by the authority of its powers constitutes an essential governmental, public, and corporate function.

     (b) The authority shall be composed of the following five (5) members:

(1) The budget director, or the budget director's designee, who shall serve as chairman of the authority.

(2) The treasurer of state, or the treasurer of state's designee.

(3) Three (3) members appointed by the governor, no more than two (2) of whom may be from the same political party.

     (c) All members shall be residents of the state.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.18; P.L.235-2005, SEC.10.

 

IC 4-4-11-5Members; terms of office

     Sec. 5. Appointments to the authority under section 4(b)(3) of this chapter are for terms of four (4) years. Each member appointed to the authority under section 4(b)(3) of this chapter:

(1) holds office for the term of this appointment;

(2) continues to serve after expiration of the appointment until a successor is appointed and qualified;

(3) is eligible for reappointment; and

(4) may be removed from office by the governor with or without cause and serves at the pleasure of the governor.

The governor shall fill a vacancy for the unexpired term of any member appointed under section 4(b)(3) of this chapter.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.19; P.L.235-2005, SEC.11.

 

IC 4-4-11-6Officers; compensation of members

     Sec. 6. (a) The members shall elect from among their number a vice chairman and other officers as they may determine.

     (b) The members of the authority are entitled to reimbursement for traveling expenses and other expenses actually incurred in connection with their duties as provided by law. Members are not entitled to the salary per diem provided by IC 4-10-11-2.1(b) or any other compensation while performing their duties.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.20-1985, SEC.3; P.L.11-1990, SEC.20; P.L.235-2005, SEC.12.

 

IC 4-4-11-7Vesting of powers; quorum; voting

     Sec. 7. The powers of the authority are vested in the members. Three (3) members of the authority constitute a quorum for the transaction of business. The affirmative vote of at least three (3) members is necessary for any action to be taken by the authority. Members may vote by written proxy delivered in advance to any other member who is present at the meeting. A vacancy in the membership of the authority does not impair the right of a quorum to exercise all rights and perform all duties of the authority.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.21; P.L.235-2005, SEC.13.

 

IC 4-4-11-8Meetings

     Sec. 8. Meetings of the members of the authority shall be held at the call of the chairman or whenever any three (3) members so request. In any event, the members shall meet at least once every three (3) months to attend to the business of the authority.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.22.

 

IC 4-4-11-9Public finance director; powers and duties

     Sec. 9. The governor shall appoint the public finance director, who shall serve at the pleasure of the governor. The public finance director shall:

(1) administer, manage, and direct the affairs and activities of the authority and the employees of the authority in accordance with the policies and under the control and direction of the members of the authority;

(2) approve all accounts for salaries, allowable expenses of the authority or of any employee or consultant, and expenses incidental to the operation of the authority; and

(3) perform other duties as may be directed by the members of the authority in carrying out the purposes of the affected statutes.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.23; P.L.24-1995, SEC.10; P.L.235-2005, SEC.14.

 

IC 4-4-11-10Public finance director; attendance; record keeping duties; certification of copies

     Sec. 10. The public finance director shall attend the meetings of the members of the authority, shall keep a record of the proceedings of the authority, and shall maintain and be custodian of all books, documents, and papers filed with the authority and its official seal. The public finance director may make copies of all minutes and other records and documents of the authority and may give certificates under seal of the authority to the effect that the copies are true copies. All persons dealing with the authority may rely upon these certificates.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.24; P.L.235-2005, SEC.15.

 

IC 4-4-11-11Employment; delegation of administrative duties

     Sec. 11. (a) The authority may, without the approval of the attorney general or any other state officer, employ bond counsel, other legal counsel, technical experts, and such other officers, agents, and employees, permanent or temporary, as it considers necessary to carry out the efficient operation of the authority, and shall determine their qualifications, duties, compensation, and terms of service. The authority shall fix the compensation of the public finance director.

     (b) The members of the authority may adopt a resolution delegating to:

(1) a member of the authority;

(2) the public finance director; or

(3) one (1) or more agents or employees of the authority;

administrative duties that they consider proper, including the powers of the authority set forth in this section.

     (c) Employees of the authority shall not be considered employees of the state.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.25; P.L.18-1992, SEC.2; P.L.235-2005, SEC.16.

 

IC 4-4-11-12Members; conflicts of interest; disclosure

     Sec. 12. Any member or employee of the authority who has, will have, or later acquires an interest, direct or indirect, in any transaction with the authority shall immediately disclose the nature and extent of the interest in writing to the authority as soon as the member or employee has knowledge of the actual or prospective interest. The disclosure shall be announced in open meeting and entered upon the minutes of the authority. Upon disclosure, the member or employee shall not participate in any action by the authority authorizing the transaction. An interest shall not invalidate actions by the authority with the participation of the disclosing member prior to the time when the member became aware of the interest or should reasonably have become aware of the interest.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.26; P.L.215-2016, SEC.26.

 

IC 4-4-11-13State officers and employees; nonforfeiture of offices and employment

     Sec. 13. Notwithstanding the provisions of any other law, no officer or employee of the state forfeits the officer's or employee's office or employment by reason of the officer's or employee's acceptance of membership in the authority or by reason of the officer or employee providing services to the authority.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.27; P.L.215-2016, SEC.27.

 

IC 4-4-11-14Members; surety bonds

     Sec. 14. (a) Each member of the authority, the public finance director, and any other employee or agent of the authority authorized by resolution of the authority to handle funds or sign checks, before beginning the individual's duties, shall execute a surety bond in the penal sum of fifty thousand dollars ($50,000). To the extent an individual described in this section is already covered by a bond required by state law, the individual need not obtain another bond so long as the bond required by state law is in at least the penal sum specified in this section and covers the individual's activities for the authority. In lieu of a bond, the chairman of the authority may execute a blanket surety bond covering each member and the employees or other officers of the authority. Each surety bond shall be conditioned upon the faithful performance of the individual's duties and shall be issued by a surety company authorized to transact business in this state as surety. At all times after the issuance of any surety bonds, each individual described in this section shall maintain the surety bonds in full force and effect. All costs of the surety bonds shall be borne by the authority.

     (b) The public finance director, before beginning the public finance director's duties, must:

(1) execute a surety bond as provided in subsection (a); or

(2) be included in the coverage of a blanket surety bond described in subsection (a).

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.28; P.L.24-1995, SEC.11; P.L.235-2005, SEC.17.

 

IC 4-4-11-14.5State debt management plan; requirements

     Sec. 14.5. The authority, after consulting with the treasurer of state, the Indiana bond bank, the budget agency, and the commission for higher education, shall establish and periodically update a state debt management plan. The plan must include at least the following provisions with respect to debt issued or to be issued by the authority, other bodies corporate and politic of the state, and state educational institutions:

(1) An inventory of existing debt.

(2) Projections of future debt obligations.

(3) Recommended criteria for the appropriate use of debt as a means to finance capital projects.

(4) Recommended strategies to minimize costs associated with debt issuance.

(5) An analysis of the impact of debt issued by all bodies corporate and politic and state educational institutions on the state budget.

(6) Recommended guidelines for the prudent issuance of debt that creates a moral obligation of the state to pay all or part of the debt.

(7) Recommended policies for the investment of:

(A) proceeds of bonds, notes, or other obligations issued by bodies corporate and politic and state educational institutions; and

(B) other money, funds, and accounts owned or held by a body corporate and politic.

(8) Recommended policies for the establishment of a system of record keeping and reporting to meet the arbitrage rebate compliance requirements of the Internal Revenue Code.

(9) Recommended policies for the preparation of financial disclosure documents, including official statements accompanying debt issues, comprehensive annual financial reports, and continuing disclosure statements. The recommended policies must include a provision for approval by the budget director of any statements or reports that include a discussion of the state's economic and fiscal condition.

(10) Potential opportunities to more effectively and efficiently authorize and manage debt.

(11) Recommendations to the budget director, the governor, and the general assembly with respect to financing of capital projects.

The recommendations to the general assembly under subdivision (11) must be in an electronic format under IC 5-14-6.

As added by P.L.235-2005, SEC.18. Amended by P.L.2-2007, SEC.22.

 

IC 4-4-11-15Powers of Indiana finance authority

     Sec. 15. (a) The authority is granted all powers necessary or appropriate to carry out and effectuate its public and corporate purposes under the affected statutes, including but not limited to the following:

(1) Have perpetual succession as a body politic and corporate and an independent instrumentality exercising essential public functions.

(2) Without complying with IC 4-22-2, adopt, amend, and repeal bylaws, rules, guidelines, and policies not inconsistent with the affected statutes, and necessary or convenient to regulate its affairs and to carry into effect the powers, duties, and purposes of the authority and conduct its business under the affected statutes. These bylaws, rules, guidelines, and policies must be made by a resolution of the authority introduced at one (1) meeting and approved at a subsequent meeting of the authority.

(3) Sue and be sued in its own name.

(4) Have an official seal and alter it at will.

(5) Maintain an office or offices at a place or places within the state as it may designate.

(6) Make, execute, and enforce contracts and all other instruments necessary, convenient, or desirable for the purposes of the authority or pertaining to:

(A) a purchase, acquisition, or sale of securities or other investments; or

(B) the performance of the authority's duties and execution of any of the authority's powers under the affected statutes.

(7) Employ architects, engineers, attorneys, inspectors, accountants, agriculture experts, silviculture experts, aquaculture experts, and financial experts, and such other advisors, consultants, and agents as may be necessary in its judgment and to fix their compensation.

(8) Procure insurance against any loss in connection with its property and other assets, including loans and loan notes in amounts and from insurers as it may consider advisable.

(9) Borrow money, make guaranties, issue bonds, and otherwise incur indebtedness for any of the authority's purposes, and issue debentures, notes, or other evidences of indebtedness, whether secured or unsecured, to any person, as provided by the affected statutes. Notwithstanding any other law, the:

(A) issuance by the authority of any indebtedness that establishes a procedure for the authority or a person acting on behalf of the authority to certify to the general assembly the amount needed to restore a debt service reserve fund or another fund to required levels; or

(B) execution by the authority of any other agreement that creates a moral obligation of the state to pay all or part of any indebtedness issued by the authority;

is subject to review by the budget committee and approval by the budget director.

(10) Procure insurance or guaranties from any public or private entities, including any department, agency, or instrumentality of the United States, for payment of any bonds issued by the authority, including the power to pay premiums on any insurance or reinsurance.

(11) Purchase, receive, take by grant, gift, devise, bequest, or otherwise, and accept, from any source, aid or contributions of money, property, labor, or other things of value to be held, used, and applied to carry out the purposes of the affected statutes, subject to the conditions upon which the grants or contributions are made, including but not limited to gifts or grants from any department, agency, or instrumentality of the United States, and lease or otherwise acquire, own, hold, improve, employ, use, and otherwise deal in and with real or personal property or any interest in real or personal property, wherever situated, for any purpose consistent with the affected statutes.

(12) Enter into agreements with any department, agency, or instrumentality of the United States or this state and with lenders and enter into loan agreements, sales contracts, and leases with contracting parties, including participants (as defined in IC 13-11-2-151.1) for any purpose permitted under IC 13-18-13, IC 13-18-21, or IC 13-18-25, borrowers, lenders, developers, or users, for the purpose of planning, regulating, and providing for the financing and refinancing of any agricultural enterprise (as defined in IC 5-28-31-1), rural development project (as defined in IC 5-28-31-20), industrial development project, purpose permitted under IC 13-18-13, IC 13-18-21, and IC 13-18-25, or international exports, and distribute data and information concerning the encouragement and improvement of agricultural enterprises and agricultural employment, rural development projects, industrial development projects, international exports, and other types of employment in the state undertaken with the assistance of the authority under this chapter.

(13) Enter into contracts or agreements with lenders and lessors for the servicing and processing of loans and leases pursuant to the affected statutes.

(14) Provide technical assistance to local public bodies and to profit and nonprofit entities in the development or operation of agricultural enterprises, rural development projects, and industrial development projects.

(15) To the extent permitted under its contract with the holders of the bonds of the authority, consent to any modification with respect to the rate of interest, time, and payment of any installment of principal or interest, or any other term of any contract, loan, loan note, loan note commitment, contract, lease, or agreement of any kind to which the authority is a party.

(16) To the extent permitted under its contract with the holders of bonds of the authority, enter into contracts with any lender containing provisions enabling it to reduce the rental or carrying charges to persons unable to pay the regular schedule of charges when, by reason of other income or payment by any department, agency, or instrumentality of the United States of America or of this state, the reduction can be made without jeopardizing the economic stability of the agricultural enterprise, rural development project, or industrial development project being financed.

(17) Notwithstanding IC 5-13, but subject to the requirements of any trust agreement entered into by the authority, invest:

(A) the authority's money, funds, and accounts;

(B) any money, funds, and accounts in the authority's custody; and

(C) proceeds of bonds or notes;

in the manner provided by an investment policy established by resolution of the authority.

(18) Fix and revise periodically, and charge and collect, fees and charges as the authority determines to be reasonable in connection with:

(A) the authority's loans, guarantees, advances, insurance, commitments, and servicing; and

(B) the use of the authority's services or facilities.

(19) Cooperate and exchange services, personnel, and information with any federal, state, or local government agency, or instrumentality of the United States or this state.

(20) Sell, at public or private sale, with or without public bidding, any loan or other obligation held by the authority.

(21) Enter into agreements concerning, and acquire, hold, and dispose by any lawful means, land or interests in land, building improvements, structures, personal property, franchises, patents, accounts receivable, loans, assignments, guarantees, and insurance needed for the purposes of the affected statutes.

(22) Take assignments of accounts receivable, loans, guarantees, insurance, notes, mortgages, security agreements securing notes, and other forms of security, attach, seize, or take title by foreclosure or conveyance to any industrial development project when a guaranteed loan thereon is clearly in default and when in the opinion of the authority such acquisition is necessary to safeguard the industrial development project guaranty fund, and sell, or on a temporary basis, lease or rent such industrial development project for any use.

(23) Expend money provided to the authority by the Indiana economic development corporation from the industrial development project guaranty fund created by IC 5-28-30, subject to the terms of any agreement with the Indiana economic development corporation governing the expenditure of that money.

(24) Purchase, lease as lessee, construct, remodel, rebuild, enlarge, or substantially improve industrial development projects, including land, machinery, equipment, or any combination thereof.

(25) Lease industrial development projects to users or developers, with or without an option to purchase.

(26) Sell industrial development projects to users or developers, for consideration to be paid in installments or otherwise.

(27) Make direct loans from the proceeds of the bonds to users or developers for:

(A) the cost of acquisition, construction, or installation of industrial development projects, including land, machinery, equipment, or any combination thereof; or

(B) eligible expenditures for an educational facility project described in IC 4-4-10.9-6.2(a)(2);

with the loans to be secured by the pledge of one (1) or more bonds, notes, warrants, or other secured or unsecured debt obligations of the users or developers.

(28) Lend or deposit the proceeds of bonds to or with a lender for the purpose of furnishing funds to such lender to be used for making a loan to a developer or user for the financing of industrial development projects under this chapter.

(29) Enter into agreements with users or developers to allow the users or developers, directly or as agents for the authority, to wholly or partially construct industrial development projects to be leased from or to be acquired by the authority.

(30) Establish reserves from the proceeds of the sale of bonds, other funds, or both, in the amount determined to be necessary by the authority to secure the payment of the principal and interest on the bonds.

(31) Adopt rules and guidelines governing its activities authorized under the affected statutes.

(32) Use the proceeds of bonds to make guaranteed participating loans.

(33) Purchase, discount, sell, and negotiate, with or without guaranty, notes and other evidences of indebtedness.

(34) Sell and guarantee securities.

(35) Make guaranteed participating loans under IC 4-4-21-26.

(36) Procure insurance to guarantee, insure, coinsure, and reinsure against political and commercial risk of loss, and any other insurance the authority considers necessary, including insurance to secure the payment of principal and interest on notes or other obligations of the authority.

(37) Provide performance bond guarantees to support eligible export loan transactions, subject to the terms of the affected statutes.

(38) Provide financial counseling services to Indiana exporters.

(39) Accept gifts, grants, or loans from, and enter into contracts or other transactions with, any federal or state agency, municipality, private organization, or other source.

(40) Sell, convey, lease, exchange, transfer, or otherwise dispose of property or any interest in property, wherever the property is located.

(41) Cooperate with other public and private organizations to promote export trade activities in Indiana.

(42) Cooperate with the Indiana economic development corporation in taking any actions necessary for the administration of the agricultural loan and rural development project guarantee fund established by IC 5-28-31.

(43) In cooperation with the Indiana economic development corporation, take assignments of notes and mortgages and security agreements securing notes and other forms of security, and attach, seize, or take title by foreclosure or conveyance to any agricultural enterprise or rural development project when a guaranteed loan to the enterprise or rural development project is clearly in default and when in the opinion of the Indiana economic development corporation the acquisition is necessary to safeguard the agricultural loan and rural development project guarantee fund, and sell, or on a temporary basis, lease or rent the agricultural enterprise or rural development project for any use.

(44) Expend money provided to the authority by the Indiana economic development corporation from the agricultural loan and rural development project guarantee fund created by IC 5-28-31, subject to the terms of any agreement with the Indiana economic development corporation governing the expenditure of that money.

(45) Reimburse from bond proceeds expenditures for industrial development projects under this chapter.

(46) Acquire, hold, use, and dispose of the authority's income, revenues, funds, and money.

(47) Purchase, acquire, or hold debt securities or other investments for the authority's own account at prices and in a manner the authority considers advisable, and sell or otherwise dispose of those securities or investments at prices without relation to cost and in a manner the authority considers advisable.

(48) Fix and establish terms and provisions with respect to:

(A) a purchase of securities by the authority, including dates and maturities of the securities;

(B) redemption or payment before maturity; and

(C) any other matters that in connection with the purchase are necessary, desirable, or advisable in the judgment of the authority.

(49) To the extent permitted under the authority's contracts with the holders of bonds or notes, amend, modify, and supplement any provision or term of:

(A) a bond, a note, or any other obligation of the authority; or

(B) any agreement or contract of any kind to which the authority is a party.

(50) Subject to the authority's investment policy, do any act and enter into any agreement pertaining to a swap agreement (as defined in IC 8-9.5-9-4) related to the purposes of the affected statutes in accordance with IC 8-9.5-9-5 and IC 8-9.5-9-7, whether the action is incidental to the issuance, carrying, or securing of bonds or otherwise.

(51) Do any act necessary or convenient to the exercise of the powers granted by the affected statutes, or reasonably implied from those statutes, including but not limited to compliance with requirements of federal law imposed from time to time for the issuance of bonds.

     (b) The authority's powers under this chapter shall be interpreted broadly to effectuate the purposes of this chapter and may not be construed as a limitation of powers. The omission of a power from the list in subsection (a) does not imply that the authority lacks that power. The authority may exercise any power that is not listed in subsection (a) but is consistent with the powers listed in subsection (a) to the extent that the power is not expressly denied by the Constitution of the State of Indiana or by another statute.

     (c) This chapter does not authorize the financing of industrial development projects for a developer unless any written agreement that may exist between the developer and the user at the time of the bond resolution is fully disclosed to and approved by the authority.

     (d) The authority shall work with and assist the Indiana housing and community development authority established by IC 5-20-1-3, the ports of Indiana established under IC 8-10-1-3, and the state fair commission established by IC 15-13-2-1 in the issuance of bonds, notes, or other indebtedness. The Indiana housing and community development authority, the ports of Indiana, and the state fair commission shall work with and cooperate with the authority in connection with the issuance of bonds, notes, or other indebtedness.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1983, SEC.3; P.L.20-1985, SEC.4; P.L.2-1987, SEC.2; P.L.25-1987, SEC.5; P.L.20-1988, SEC.8; P.L.11-1990, SEC.29; P.L.24-1995, SEC.12; P.L.4-2002, SEC.3; P.L.235-2005, SEC.19; P.L.232-2005, SEC.3; P.L.1-2006, SEC.28 and P.L.181-2006, SEC.1; P.L.162-2007, SEC.6; P.L.2-2008, SEC.15; P.L.98-2008, SEC.2; P.L.233-2017, SEC.3.

 

IC 4-4-11-15.1Repealed

As added by P.L.5-1996, SEC.2. Amended by P.L.235-2005, SEC.20. Repealed by P.L.177-2011, SEC.5.

 

IC 4-4-11-15.2Guaranteed participating loans; export loans required to be sold; bond issuance

     Sec. 15.2. (a) Before using the proceeds of bonds to make a guaranteed participating loan, the authority shall require the financial institution to which the authority makes the guaranteed participating loan to make eligible export loans and sell them to the authority within a reasonable period of time.

     (b) Issuance of bonds by the authority to fund the program of the authority under IC 4-4-21 is subject to the general provisions for the issuance of bonds set forth in this chapter, except for the requirements for the issuance of bonds under sections 17 and 17.5 of this chapter.

As added by P.L.20-1988, SEC.9. Amended by P.L.11-1990, SEC.30.

 

IC 4-4-11-15.3Prohibited activities

     Sec. 15.3. The authority:

(1) may not deal in securities within the meaning of or subject to any securities law, securities exchange law, or securities dealers law of the United States of America or of the state or of any other state or jurisdiction, domestic or foreign, except as authorized in the affected statutes;

(2) may not:

(A) emit bills of credit;

(B) accept deposits of money for time or demand deposit;

(C) administer trusts;

(D) engage in any form or manner, or in the conduct of, any private or commercial banking business; or

(E) act as a savings bank, savings association, or any other kind of financial institution; and

(3) may not engage in any form of private or commercial banking business.

As added by P.L.235-2005, SEC.21. Amended by P.L.1-2006, SEC.29.

 

IC 4-4-11-15.4Issuance of bonds for wastewater revolving loan program, drinking water revolving loan program, and local infrastructure revolving loan program; failure to pay obligations

     Note: This version of section effective until 7-1-2017. See also following version of this section, effective 7-1-2017.

     Sec. 15.4. (a) The authority may issue bonds or notes and invest or loan the proceeds of those bonds or notes to a participant (as defined in IC 13-11-2-151.1 or IC 4-10-19-1.8, as applicable) for the purposes of:

(1) the wastewater revolving loan program established by IC 13-18-13-1;

(2) the drinking water revolving loan program established by IC 13-18-21-1; and

(3) the local infrastructure revolving loan funds established under IC 4-10-19-3.

     (b) If the authority loans money to or purchases debt securities of a political subdivision (as defined in IC 13-11-2-164(a) and IC 13-11-2-164(b)), the authority may, by the resolution approving the bonds or notes, provide that subsection (c) is applicable to the political subdivision.

     (c) Notwithstanding any other law, to the extent that any department or agency of the state, including the treasurer of state, is the custodian of money payable to the political subdivision (other than for goods or services provided by the political subdivision), at any time after written notice to the department or agency head from the authority that the political subdivision is in default on the payment of principal or interest on the obligations then held or owned by or arising from an agreement with the authority, the department or agency shall withhold the payment of that money from that political subdivision and pay over the money to the authority for the purpose of paying principal of and interest on bonds or notes of the authority. However, the withholding of payment from the political subdivision and payment to the authority under this section must not adversely affect the validity of the obligation in default.

     (d) This subsection applies to securities of a political subdivision acquired by the authority, or arising from an agreement entered into with the authority, after June 30, 2017. Upon receiving notice from the authority that the political subdivision has failed to pay when due the principal or interest on the obligations of the political subdivision then held or owned by or arising from an agreement with the authority, the fiscal officer (as defined in IC 36-1-2-7) of the county, for any county in which the political subdivision is wholly or partially located, shall do the following:

(1) Reduce the amount of any revenues or other money or property that:

(A) is held, possessed, maintained, controlled, or otherwise in the custody of the county or a department, an agency, or an instrumentality of the county; and

(B) would otherwise be available for distribution to the political subdivision under any other law;

by an amount equal to the amount of the political subdivision's unpaid obligations.

(2) Pay the amount by which the revenues or other money or property is reduced under subdivision (1) to the authority to pay the principal of and interest on bonds or other obligations of the authority.

(3) Notify the political subdivision that the revenues or other money or property, which would otherwise be available for distribution to the political subdivision, has been reduced by an amount necessary to satisfy all or part of the political subdivision's unpaid obligations to the authority.

     (e) This subsection applies to securities of a political subdivision acquired by the authority, or arising from an agreement with the authority, that is covered by subsection (d). A reduction under subsection (d) must be made as follows:

(1) First, from local income tax distributions under IC 6-3.6-9 that would otherwise be distributed to the political subdivision under the schedules in IC 6-3.6-9-12 and IC 6-3.6-9-16.

(2) Second, from any other revenues or other money or property that:

(A) is held, possessed, maintained, or controlled by, or otherwise in the custody of, the county or a department, an agency, or an instrumentality of the county; and

(B) would otherwise be available for distribution to the political subdivision under any other law.

As added by P.L.235-2005, SEC.22. Amended by P.L.229-2017, SEC.4.

 

IC 4-4-11-15.4Issuance of bonds for purposes of loan and financial assistance programs

     Note: This version of section effective 7-1-2017. See also preceding version of this section, effective until 7-1-2017.

     Sec. 15.4. (a) The authority may issue bonds or notes and invest or loan the proceeds of those bonds or notes to a participant (as defined in IC 13-11-2-151.1 or IC 4-10-19-1.8, as applicable) for the purposes of:

(1) the wastewater revolving loan program established by IC 13-18-13-1;

(2) the drinking water revolving loan program established by IC 13-18-21-1;

(3) the local infrastructure revolving loan funds established under IC 4-10-19-3;

(4) the supplemental drinking water and wastewater assistance program established by IC 13-18-21-21; and

(5) the infrastructure assistance program established by IC 13-18-25-1.

     (b) If the authority loans money to or purchases debt securities of a political subdivision (as defined in IC 13-11-2-164(a) and IC 13-11-2-164(b)), the authority may, by the resolution approving the bonds or notes, provide that subsection (c) is applicable to the political subdivision.

     (c) Notwithstanding any other law, to the extent that any department or agency of the state, including the treasurer of state, is the custodian of money payable to the political subdivision (other than for goods or services provided by the political subdivision), at any time after written notice to the department or agency head from the authority that the political subdivision is in default on the payment of principal or interest on the obligations then held or owned by or arising from an agreement with the authority, the department or agency shall withhold the payment of that money from that political subdivision and pay over the money to the authority for the purpose of paying principal of and interest on bonds or notes of the authority. However, the withholding of payment from the political subdivision and payment to the authority under this section must not adversely affect the validity of the obligation in default.

     (d) This subsection applies to securities of a political subdivision acquired by the authority, or arising from an agreement entered into with the authority, after June 30, 2017. Upon receiving notice from the authority that the political subdivision has failed to pay when due the principal or interest on the obligations of the political subdivision then held or owned by or arising from an agreement with the authority, the fiscal officer (as defined in IC 36-1-2-7) of the county, for any county in which the political subdivision is wholly or partially located, shall do the following:

(1) Reduce the amount of any revenues or other money or property that:

(A) is held, possessed, maintained, controlled, or otherwise in the custody of the county or a department, an agency, or an instrumentality of the county; and

(B) would otherwise be available for distribution to the political subdivision under any other law;

by an amount equal to the amount of the political subdivision's unpaid obligations.

(2) Pay the amount by which the revenues or other money or property is reduced under subdivision (1) to the authority to pay the principal of and interest on bonds or other obligations of the authority.

(3) Notify the political subdivision that the revenues or other money or property, which would otherwise be available for distribution to the political subdivision, has been reduced by an amount necessary to satisfy all or part of the political subdivision's unpaid obligations to the authority.

     (e) This subsection applies to securities of a political subdivision acquired by the authority, or arising from an agreement with the authority, that is covered by subsection (d). A reduction under subsection (d) must be made as follows:

(1) First, from local income tax distributions under IC 6-3.6-9 that would otherwise be distributed to the political subdivision under the schedules in IC 6-3.6-9-12 and IC 6-3.6-9-16.

(2) Second, from any other revenues or other money or property that:

(A) is held, possessed, maintained, or controlled by, or otherwise in the custody of, the county or a department, an agency, or an instrumentality of the county; and

(B) would otherwise be available for distribution to the political subdivision under any other law.

As added by P.L.235-2005, SEC.22. Amended by P.L.229-2017, SEC.4; P.L.233-2017, SEC.4.

 

IC 4-4-11-15.5Public offering for sale or lease of property or interests acquired for an industrial development project

     Sec. 15.5. (a) In addition to the powers enumerated in section 15(a) of this chapter, the authority may, in lieu of a private sale or leasing as authorized by section 15(a) of this chapter or a financing of an industrial development project under section 17 of this chapter, decide to hold a public offering under this section for the sale or leasing of any land or interests in land, building improvements, structures, personal property, and franchises and patents acquired by the authority under this chapter for an industrial development project. If the authority decides to hold a public offering for the sale or leasing of any property or interests acquired for an industrial development project, the offering shall be made in accordance with this section.

     (b) Before offering for sale or lease to the public any property or interests acquired for an industrial development project under this section, the authority shall prepare an offering sheet showing the property or interests to be offered and copies of the offering sheets shall be furnished to prospective buyers or lessees. Maps and plats of the property and any additional information considered appropriate by the authority shall also be kept available for inspection at the office of the authority.

     (c) The authority shall publish a notice of the offering in accordance with IC 5-3-1. The notice must state that at a designated time the authority will open and consider written offers for the purchase or lease of the property or interests being offered. In giving the notice, it is not necessary to describe specifically the property or interests or to specify the exact terms of the disposition, but the notice must state the general location of the property or interests and call attention generally to any requirements or limitations that the authority may establish in respect to the industrial development project.

     (d) At the time fixed in the notice, the authority shall open and consider any offers received. All offers received shall be opened at public meetings of the authority and shall be kept open for public inspection.

     (e) The authority may reject any or all bids or may make awards to the highest and best bidder or bidders. In determining the highest and best bids, the authority may take into consideration the following:

(1) The size and character of the improvements for the industrial development project as proposed by the bidder to be made on the property and the terms and conditions of the consideration offered by the bidder.

(2) The bidder's plans and ability to carry out the industrial development project with reasonable promptness.

(3) Whether the property and interests to be acquired by the bidder will be leased or released for the industrial development project.

(4) The nature and extent of any obligations to be undertaken by the authority in conjunction with the improvement of the property or interests to be acquired for the industrial development project as proposed by the bidder.

(5) The potential impact of the bidder's proposal on the creation of new employment or the retention of existing employment resulting from the industrial development project.

(6) The potential impact of the bidder's proposal to attract or establish a major new business enterprise or to retain or expand a significant existing business enterprise that will provide or preserve gainful employment for the citizens of the state.

(7) The economic benefits to the state and its citizens that will result from the industrial development project, as proposed by the bidder, including the dollar volume of new or preserved wages and salaries, increases in or preservation of state and local government tax revenues, the incremental economic benefits to the citizens of the state, the state, and local governmental units potentially resulting from the industrial development project as proposed by the bidder, and any other direct or indirect economic benefit to the state and its citizens resulting from the industrial development project as proposed by the bidder.

(8) The potential impact and benefit to the state and its citizens of the industrial development project as proposed by the bidder from the standpoint of both human and economic welfare.

     (f) In making an award to the highest and best bidder as provided in subsection (e), the authority shall determine whether in its judgment the potential benefits to the state and its citizens of the industrial development project as proposed by the bidder exceed the direct costs to the authority of acquiring the property and interests being offered for sale or lease for the industrial development project less any sums to be paid by the successful bidder pursuant to its bid. The authority's judgment concerning this determination shall be based on the economic studies, analyses, and projections that the authority determines are reasonably necessary. The authority's determination is final and conclusive.

     (g) The authority may contract with a bidder concerning any of the factors listed in subsection (e), and the contract may provide for the deposit of surety bonds, the making of good faith deposits, liquidated damages, the right of reversion or repurchase, or other rights and remedies if the bidder fails to comply with the contract.

     (h) After the opening, consideration, and determination of the written offers filed in response to the notice, the authority may dispose of all or part of the remaining available property or interests for any approved use, either at public sale or by private negotiation carried on by the authority, its regular employees, or real estate experts employed for that purpose. For a period of thirty (30) days after the opening of the written offers and determination on them, no sale, exchange, or lease may be made on terms less than that shown on the offering sheet, but after that period the authority may adjust the offering terms it considers necessary to further the industrial development project.

     (i) An action to contest the validity of any sale or lease awarded and approved by the authority under this section may not be commenced more than thirty (30) days following the authority's adoption of a resolution designating the successful bidder or bidders and stating and approving the basic terms and conditions of the sale or lease.

As added by P.L.24-1987, SEC.4. Amended by P.L.11-1990, SEC.31.

 

IC 4-4-11-15.6Additional authority powers

     Sec. 15.6. In addition to the powers listed in section 15 of this chapter, the authority may:

(1) issue bonds under terms and conditions determined by the authority and use the proceeds of the bonds to acquire obligations issued by any entity authorized to acquire, finance, construct, or lease capital improvements under IC 5-1-17;

(2) issue bonds under terms and conditions determined by the authority and use the proceeds of the bonds to acquire any obligations issued by the northwest Indiana regional development authority established by IC 36-7.5-2-1;

(3) enter into leases and issue bonds under terms and conditions determined by the authority and use the proceeds of the bonds to carry out the purposes of IC 5-1-17.5 within a motorsports investment district; and

(4) perform any other functions determined by the authority to be necessary or appropriate to carry out the purposes of IC 5-1-17.5 within a motorsports investment district.

As added by P.L.214-2005, SEC.1. Amended by P.L.182-2009(ss), SEC.50; P.L.233-2013, SEC.3; P.L.121-2016, SEC.1.

 

IC 4-4-11-15.7Requirements; establishment of terms governing reserves or funding levels

     Sec. 15.7. (a) This section does not apply to any indebtedness issued by the authority if:

(1) the proceeds will be used for a project that has been specifically authorized by the general assembly; or

(2) the indebtedness is authorized under the affected statutes.

     (b) Notwithstanding any other law in effect before:

(1) the authority issues indebtedness that establishes a procedure for the authority or a person acting on behalf of the authority to certify to the general assembly the amount needed to restore a debt service reserve fund or another fund to a required level; or

(2) execution by the authority of any other agreement that creates a moral obligation of the state to pay all or any part of any indebtedness issued by the authority;

the authority is subject to, and shall comply with, to the extent practicable, the requirements set forth in IC 5-1.5-5-4(c) through IC 5-1.5-5-4(g) as if the authority was specifically named in IC 5-1.5-5-4(c) through IC 5-1.5-5-4(g).

     (c) In addition:

(1) indebtedness described in IC 5-1.5-5-4(c) through IC 5-1.5-5-4(g) is considered a reference to an indebtedness or agreement referred to in this section; and

(2) a qualified entity referred to in IC 5-1.5-5-4(c) through IC 5-1.5-5-4(g) is considered a reference to a borrower of any indebtedness and to any other parties referred to in this section.

As added by P.L.229-2011, SEC.42.

 

IC 4-4-11-16Repealed

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1983, SEC.4; P.L.20-1985, SEC.5; P.L.24-1987, SEC.5; P.L.11-1990, SEC.32; P.L.16-1991, SEC.1; P.L.15-1991, SEC.2; P.L.214-2005, SEC.2. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-11-16.1Repealed

As added by P.L.291-2001, SEC.146. Amended by P.L.170-2002, SEC.9. Repealed by P.L.2-2005, SEC.131.

 

IC 4-4-11-16.2Validity of loan guarantees made by Indiana development finance authority under prior statute

     Sec. 16.2. Notwithstanding the expiration of section 16.1 of this chapter on December 31, 2002, a loan guarantee made by the Indiana development finance authority under that section before December 31, 2002, remains a valid and binding obligation of the Indiana development finance authority after December 31, 2002, as if section 16.1 of this chapter had not expired.

As added by P.L.220-2011, SEC.19.

 

IC 4-4-11-16.3Repealed

As added by P.L.18-1992, SEC.3. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-11-16.5Repealed

As added by P.L.16-1991, SEC.2. Amended by P.L.235-2005, SEC.23. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-11-16.7Validity of Indiana employment development commission guarantee made before January 1, 1985

     Sec. 16.7. (a) As used in this section, "Indiana development finance authority" refers to the Indiana development finance authority transferred to the authority by P.L.235-2005, SECTION 213.

     (b) As used in this section, "Indiana employment development commission" refers to the Indiana employment development commission transferred to the Indiana development finance authority by P.L.11-1990, SECTION 139.

     (c) The restrictions on eligibility of any mortgage or security agreement under IC 4-4-11-16 (before its repeal) do not invalidate any guarantee of the Indiana employment development commission made before January 1, 1985.

As added by P.L.220-2011, SEC.20. Amended by P.L.39-2011, SEC.1.

 

IC 4-4-11-16.8Transfer of bond powers, duties, and liabilities of the Indiana employment development commission and the Indiana agricultural development corporation; rights of trustee and bondholders; validity of certain bonds

     Sec. 16.8. (a) All powers, duties, and liabilities of the Indiana employment development commission and the Indiana agricultural development corporation with respect to bonds issued by the commission or the corporation in connection with any trust agreement or indenture securing those bonds are transferred to the authority.

     (b) The rights of the trustee under any trust agreement or indenture and the rights of the bondholders of the Indiana employment development commission and the Indiana agricultural development corporation remain unchanged, although the powers, duties, and liabilities of the commission and the corporation have been transferred to the authority.

     (c) All bonds issued by the Indiana employment development commission and the Indiana agricultural development corporation are hereby legalized and declared valid if these bonds have been delivered and payment for those bonds has been received before July 1, 1990. All proceedings had and actions taken under which the bonds were issued are hereby fully legalized and declared valid.

As added by P.L.220-2011, SEC.21. Amended by P.L.39-2011, SEC.2.

 

IC 4-4-11-16.9Transfer of IHEFFA powers, duties, liabilities, records, money, and property to authority; references to IHEFFA; bonds; rights of trustee and bondholders

     Sec. 16.9. (a) As used in this section, "IHEFFA" means the Indiana health and educational facility financing authority established by IC 5-1-16-2 (before its repeal).

     (b) As used in this section, "IFA" means the Indiana finance authority established by IC 4-4-11-4.

     (c) On July 1, 2007, all powers, duties, and liabilities of the IHEFFA are transferred to the IFA, as the successor entity. The terms of office of the members of the IHEFFA serving on June 30, 2007, terminate on July 1, 2007.

     (d) On July 1, 2007, all records and property of the IHEFFA, including appropriations and other funds under the control or supervision of the authority, are transferred to the IFA, as the successor entity.

     (e) After July 1, 2007, any amounts owed to the IHEFFA before July 1, 2007, are considered to be owed to the IFA, as the successor entity.

     (f) After June 30, 2007, a reference to the IHEFFA in a statute, rule, or other document is considered a reference to the IFA, as the successor entity.

     (g) All powers, duties, and liabilities of the IHEFFA with respect to bonds issued by the IHEFFA in connection with any trust agreement or indenture securing those bonds are transferred to the IFA, as the successor entity. The rights of the trustee under any trust agreement or indenture and the rights of the bondholders of the IHEFFA remain unchanged, although the powers, duties, and liabilities of the IHEFFA have been transferred to the IFA, as the successor entity.

As added by P.L.220-2011, SEC.22.

 

IC 4-4-11-17Industrial development projects; financing; procedure; approval

     Sec. 17. (a) The authority may enter into negotiations with one (1) or more persons concerning the terms and conditions of financing agreements for industrial development projects. The authority shall consider whether a proposed industrial development project may have an adverse competitive effect on similar industrial development projects already constructed or operating in the local governmental unit where the industrial development project will be located. Preliminary expenses in connection with negotiations under this section may be paid from:

(1) money furnished by the proposed user or developer;

(2) money made available by the state or federal government, or by any of their departments or agencies; or

(3) money of the authority.

     (b) The authority shall prepare a report that:

(1) briefly describes the proposed industrial development project;

(2) estimates the number and expense of public works or services that would be made necessary or desirable by the proposed industrial development project, including public ways, schools, water, sewers, street lights, and fire protection;

(3) estimates the total costs of the proposed industrial development project;

(4) for an industrial development project that is not exclusively either a pollution control facility or an educational facility project, estimates the number of jobs and the payroll to be created or saved by the project;

(5) for pollution control facilities, describes the facilities and how they will abate, reduce, or prevent pollution;

(6) for educational facility projects, describes how the project promotes the educational enrichment (including cultural, intellectual, scientific, or artistic opportunities) of the people of the state; and

(7) for child care facility projects, describes the facilities and how the facilities promote accessibility to and increased options for child care for the people of the state.

The report shall be submitted to the executive director or chairman of the plan commission, if any, having jurisdiction over the industrial development project and, if the number of new jobs estimated exceeds one hundred (100), to the superintendent of the school corporation where the industrial development project will be located. The executive director or chairman of the plan commission and the school superintendent may formulate their written comments concerning the report and transmit their comments, if any, to the authority within five (5) days from the receipt of the report.

     (c) The authority shall hold a public hearing, which may be conducted by the authority, or any officer, member, or agent designated thereby, on the proposed financing agreement for the industrial development project, after giving notice by publication in one (1) newspaper of general circulation in the city, town, or county where the industrial development project is to be located at least ten (10) days in advance of this public hearing.

     (d) If the authority finds that the industrial development project will be of benefit to the health, safety, morals, and general welfare of the area where the industrial development project is to be located, and complies with the purposes and provisions of this chapter, it may by resolution approve the proposed financing agreement. This resolution may also authorize the issuance of bonds payable solely from revenues and receipts derived from the financing agreement or from payments made under an agreement to guarantee obligations of the developer, a user, a related person, or the authority by a developer, a user, a related person thereto, or the authority and the Indiana economic development corporation pursuant to the industrial development project guaranty fund under IC 5-28-30. The bonds are not in any respect a general obligation of the state, nor are they payable in any manner from revenues raised by taxation.

     (e) A financing agreement approved under this section must provide for payments in an amount sufficient to pay the principal of, premium, if any, and interest on the bonds authorized for the financing of the industrial development project. However, interest payments for the anticipated construction period, plus a period of not more than one (1) year, may be funded in the bond issue. The term of a financing agreement may not exceed fifty (50) years from the date of any bonds issued under the financing agreement. However, a financing agreement does not terminate after fifty (50) years if a default under that financing agreement remains uncured, unless the termination is authorized by the terms of the financing agreement. If the authority retains an interest in the industrial development project, the financing agreement must require the user or the developer to pay all costs of maintenance, repair, taxes, assessments, insurance premiums, trustee's fees, and any other expenses relating to the industrial development projects, so that the authority will not incur any expenses on account of the industrial development projects other than those that are covered by the payments provided for in the financing agreement.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.20-1985, SEC.6; P.L.24-1987, SEC.6; P.L.11-1990, SEC.33; P.L.24-1995, SEC.13; P.L.227-1999, SEC.7 and P.L.273-1999, SEC.196; P.L.4-2002, SEC.4; P.L.162-2007, SEC.7.

 

IC 4-4-11-17.5Industrial development project financing; bond issuance

     Sec. 17.5. (a) In addition to all other authority granted to the authority under this chapter, including the authority to borrow money and to issue bonds to finance directly or indirectly the acquisition or development of industrial development projects undertaken or initiated by the authority, the authority may initiate programs for financing industrial development projects for developers and users in Indiana through the issuance of bonds under this chapter. In furtherance of this objective, the authority may do any of the following:

(1) Establish eligibility standards for developers and users, without complying with IC 4-22-2. However, these standards have the force of law if the standards are adopted after a public hearing for which notice has been given by publication under IC 5-3-1.

(2) Contract with any entity securing the payment of bonds issued under this chapter and authorizing the entity to approve the developers and users that can finance or refinance industrial development projects with proceeds from the bond issue secured by that entity.

(3) Lease to a developer or user industrial development projects upon terms and conditions that the authority considers proper and, with respect to the lease:

(A) charge and collect rents;

(B) terminate the lease upon the failure of the lessee to comply with any of its obligations under the lease or otherwise as the lease provides; and

(C) include in the lease provisions that the lessee has the option to renew the term of the lease for such periods and at such rents as may be determined by the authority or to purchase any or all of the industrial development projects to which the lease applies.

(4) Lend money, upon such terms and conditions as the authority considers proper, to a developer or user under an installment purchase contract or loan agreement to:

(A) finance, reimburse, or refinance the cost of an industrial development project; and

(B) take back a secured or unsecured promissory note evidencing such a loan or a security interest in the industrial development project financed or refinanced with the loan.

(5) Sell or otherwise dispose of any unneeded or obsolete industrial development project under terms and conditions determined by the authority.

(6) Maintain, repair, replace, and otherwise improve or cause to be maintained, repaired, replaced, and otherwise improved any industrial development project owned by the authority.

(7) Require any type of security that the authority considers reasonable and necessary.

(8) Obtain or aid in obtaining property insurance on all industrial development projects owned or financed, or accept payment if any industrial development project property is damaged or destroyed.

(9) Enter into any agreement, contract, or other instrument with respect to any insurance, guarantee, letter of credit, or other form of credit enhancement, accepting payment in such manner and form as provided in the instrument if a developer or user defaults, and assign any such insurance, guarantee, letter of credit, or other form of credit enhancement as security for bonds issued by the authority.

(10) Finance for eligible developers and users in connection with their industrial development projects:

(A) the cost of their industrial development projects; and

(B) in the case of a program funded from the proceeds of taxable bonds, working capital associated with the operation of such industrial development projects;

in amounts determined to be appropriate by the authority.

(11) Issue bonds to fund a program for financing multiple, identified or unidentified industrial development projects if the authority finds that issuance of the bonds will be of benefit to the health, safety, morals, or general welfare of the state and complies with the purposes and provisions of this chapter by promoting a substantial likelihood for:

(A) creating opportunities for gainful employment;

(B) creating business opportunities;

(C) educational enrichment (including cultural, intellectual, scientific, or artistic opportunities);

(D) the abatement, reduction, or prevention of pollution;

(E) the removal or treatment of any substances in materials being processed that would otherwise cause pollution when used; or

(F) promoting affordable and accessible child care.

The authority may by resolution approve the proposed taxable bond issue. The authority may use appropriations to create a debt service reserve fund for the purpose of allowing the authority to issue pooled bonds, either tax-exempt or taxable, for the construction or renovation of licensed child care facilities (or child care facilities that are in the process of being licensed) under the authority's industrial development project section.

     (b) As each unidentified industrial development project is identified for possible funding from a program under subsection (a)(11), the requirements of sections 17(a), 17(b), 17(c), and 17(e) of this chapter shall be complied with as a condition precedent to entering into a financing agreement for the funding of the industrial development project.

     (c) Bonds issued to fund a program under this section are not in any respect a general obligation of the state, nor are they payable in any manner from revenues raised by taxation.

     (d) Any resolution adopted to authorize the issuance of taxable bonds to fund a program under subsection (a)(11) may provide that the bonds are payable solely from:

(1) revenues and receipts derived from the various financing agreements; or

(2) the payments made under any other agreements to secure the obligations of the developers, users, related persons, or the authority.

As added by P.L.25-1987, SEC.6. Amended by P.L.11-1990, SEC.34; P.L.24-1995, SEC.14; P.L.227-1999, SEC.8; P.L.273-1999, SEC.197; P.L.14-2000, SEC.10; P.L.162-2007, SEC.8.

 

IC 4-4-11-18Certain loans; investment, purchase, or commitments by authority

     Sec. 18. (a) The authority may invest in, purchase or make commitments to invest in or purchase, and take assignments or make commitments to take assignments of, loans made for the acquisition, construction, installation, rehabilitation, or purchase of industrial development projects. Prior to investment, purchase, assignment, or commitment, the lender shall certify that the proceeds of the authority's bonds will be used to make loans to provide financing for industrial development projects, or pending the making of such loans, invested in short term obligations complying with the requirements of this chapter. The authority shall purchase loans at a purchase price equal to the outstanding principal balance, but the authority may require a discount from the principal balance or make a payment of a premium to effect a fair rate of return for the lender, as determined by the rate of return on comparable investments under market conditions existing at the time of purchase. In addition to the payment of the outstanding principal balance, the authority shall pay the accrued interest due thereon, on the date the loan is delivered against payment therefor or on another date as may be established by agreement between the authority and the selling lender. The authority shall comply with section 17(b), 17(c), and 17(d) of this chapter in connection with the multiple project program described in this section.

     (b) Before exercising any of the powers authorized in this section, the authority shall require the lender to certify and agree that:

(1) the loan is, or, if the same has not been made, will be, at the time of making, in all respects a prudent investment; and

(2) the lender will make the loans and sell the same to the authority within a reasonable period of time.

     (c) Before exercising any of the powers conferred by this section, the authority may:

(1) require that the loan involved be insured by a loan insurer or be guaranteed by a loan guarantor;

(2) require any type of security that it deems reasonable and necessary; or

(3) authorize the reservation of funds by lenders in the amount and subject to conditions as the authority considers reasonable and necessary under this chapter.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.25-1987, SEC.7; P.L.11-1990, SEC.35.

 

IC 4-4-11-19Power to borrow money and issue bonds

     Sec. 19. (a) The authority shall have the power to borrow money and to issue its bonds from time to time in such principal amounts as the authority determines shall be necessary to provide sufficient funds to carry out its purposes, including:

(1) carrying out the powers stated in this chapter;

(2) the payment of interest on bonds of the authority;

(3) the establishment of reserves to secure the bonds; and

(4) all other expenditures of the authority incident to, necessary, and convenient to carry out its purposes and powers.

     (b) The authority may also issue bonds in the manner and for the purposes provided by the affected statutes.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.36; P.L.24-1995, SEC.15; P.L.235-2005, SEC.24; P.L.162-2007, SEC.9.

 

IC 4-4-11-20Refunding bonds; issuance; application of proceeds; terms

     Sec. 20. (a) The authority shall have the power to issue, from time to time, bonds to renew or to pay bonds, including the interest thereon, if such bonds have been issued to finance projects that constitute industrial development projects, and whenever it deems refunding expedient, to refund any bonds by the issuance of new bonds, whether the bonds to be refunded have or have not matured, and to issue bonds partly to refund outstanding bonds and partly for any other of its corporate purposes as long as the bonds to be refunded were issued to finance projects that constitute industrial development projects. The refunding bonds may be sold and the proceeds applied to the purchase, redemption, or payment of the bonds to be refunded, or exchanged for the bonds to be refunded. With respect to any bonds issued for an industrial development project under this chapter, the cumulative terms of refunding bonds shall not exceed fifty (50) years for any industrial development project or group of industrial development projects financed at the same time. If issued to refund bonds issued under IC 36-7-12 to finance projects that constitute industrial development projects, the cumulative terms of refunding bonds may not exceed forty (40) years.

     (b) A savings to the authority or to the unit issuing the bonds to be refunded is not required for the issuance of the refunding bonds or the issuance of bonds to refund refunding bonds. Refunding bonds issued under this section are payable solely from revenues and receipts derived from:

(1) financing agreements with the users or developers of the facilities originally financed by the outstanding bonds, or related persons; or

(2) payments made under guaranty agreements by developers, users, or related persons.

The financing agreements or guaranties may be new financing agreements or guaranties or amendments of the original financing agreements or guaranties.

     (c) Refunding bonds issued under this section are not in any respect a general obligation of the authority, nor are the bonds payable in any manner from revenues raised by taxation.

     (d) Section 17(b) and 17(c) of this chapter does not apply to the issuance of refunding bonds under this section.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.37; P.L.24-1995, SEC.16.

 

IC 4-4-11-21Bonds; liability of authority; pledges as additional security

     Sec. 21. Except as may otherwise be expressly provided by the authority, every issue of its bonds shall be obligations of the authority payable solely out of any specified revenue or money of the authority, subject only to any agreements with the holders of particular bonds pledging any particular money or revenue. The bonds may be additionally secured by a pledge of any grant, contribution, or guarantee from the federal government or any corporation, limited liability company, association, institution, or person or a pledge of any money, income, or revenue of the authority from any source.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.38; P.L.8-1993, SEC.14.

 

IC 4-4-11-22Bonds; liability of state

     Sec. 22. No bonds issued by the authority under this chapter shall constitute a debt, liability, or obligation of the state, or a pledge of the faith and credit of the state, but shall be payable solely as provided by section 21 of this chapter. Each bond issued under this chapter shall contain on its face a statement that neither the faith and credit nor the taxing power of the state is pledged to the payment of the principal of or the interest on the bond.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.39.

 

IC 4-4-11-23Bonds; issuance; procedure; terms

     Sec. 23. The bonds shall be authorized by a resolution of the authority, shall bear the date or dates, and shall mature at a time or times as the resolution may provide, except that no bond shall mature more than fifty (50) years from the date of its issue, except as provided in section 20 of this chapter. The bonds shall be in denominations, be in the form, either coupon or registered, carry the conversion or registration privileges, be executed in the manner, be payable in the medium of payment at the place or places inside or outside Indiana, and be subject to the terms of redemption, including redemption prior to maturity, as the resolution or any trust agreement or indenture of the authority securing the bonds may provide. The bonds shall bear interest at a rate or rates that may be fixed, variable, fixed convertible to variable, variable convertible to fixed, or any combination of these rates. Variable rates shall be determined in the manner and in accordance with the provisions set forth in the resolution or the trust agreement or indenture securing the bonds. The interest on the bonds may be payable at the time or times or at the interval or intervals as may be provided in the resolution or the trust agreement or indenture securing the bonds, including the compounding and payment of interest at maturity or at any other time or times as may be specified in the resolution, trust agreement, or indenture. The bonds and their issuance shall not be subject to the provisions of any other statute concerning bonds or the issuance of bonds. Bonds of the authority may be sold by the authority at public or private sale, and at a price or prices as the authority shall determine. No action to contest the validity of any bonds issued or guarantees entered into by the authority under this chapter shall be commenced more than thirty (30) days following the adoption of the resolution approving such bonds or guarantees as provided in this chapter.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.40.

 

IC 4-4-11-24Bonds; authorized provisions

     Sec. 24. Any resolution authorizing the issuance of bonds or trust agreement or indenture pursuant to which the bonds are issued may contain provisions, which shall be a part of the contract or contracts with the holders of the bonds, as to the following:

(1) Pledging all or any part of the revenue of the authority to secure the payment of the bonds, subject to agreements with bondholders as may then exist.

(2) Pledging all or any part of the assets of the authority, including loans and obligations securing the same, to secure the payment of the bonds, subject to agreements with bondholders as may then exist.

(3) The use and disposition of the gross income from loans owned by the authority and payment of the principal of loans owned by the authority.

(4) The setting aside of reserves or sinking funds and the regulation and disposition thereof.

(5) Limitations on the purposes to which the proceeds from the sale of bonds may be applied and pledging the proceeds to secure the payment of the bonds.

(6) Limitations on the issuance of additional bonds, the terms upon which additional bonds may be issued and secured, and the refunding of outstanding or other bonds.

(7) The procedure, if any, by which the terms of any contract with bondholders may be amended or abrogated, the amount of bonds the holders must consent to, and the manner in which the consent may be given.

(8) Limitations on the amount of money to be expended by the authority for operating expenses of the authority.

(9) Vesting in a trustee or trustee property, rights, powers, and trust as the authority may determine, and limiting or abrogating the right of the bondholders to appoint a trustee or limiting the rights, powers, and duties of the trustee.

(10) Defining the acts or omissions which shall constitute a default and the obligations or duties of the authority to the holders of the bonds, and providing for the rights and remedies of the holders of the bonds in the event of default, including as a matter of right the appointment of a receiver. However, the rights and remedies shall not be inconsistent with the general laws of this state and other provisions of this chapter.

(11) Any other matter, of like or different character, which in any way affects the security or protection of the holders of the bonds.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.41.

 

IC 4-4-11-25Pledges

     Sec. 25. Any pledge made by the authority shall be valid and binding from the time when the pledge is made. The revenue, money, or properties so pledged and thereafter received by the authority shall immediately be subject to the lien of the pledge without any physical delivery or further act, and the lien of any pledge shall be valid and binding as against all parties having claims of any kind in tort, contract, or otherwise against the authority, irrespective of whether the parties have notice. The resolution or any other instrument by which a pledge is created does not need to be recorded.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.42.

 

IC 4-4-11-26Bonds; purchase by authority

     Sec. 26. The authority, subject to any agreements with bondholders as may then exist, shall have power out of any funds available to purchase bonds of the authority, which shall thereupon be cancelled, at any reasonable price which, if the bonds are then redeemable, shall not exceed the redemption price then applicable plus accrued interest to the next interest payment on the bond.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.43.

 

IC 4-4-11-27Bonds; trust agreement or indenture

     Sec. 27. The bonds may be secured by a trust agreement or indenture by and between the authority and a corporate trustee, which may be a bank having the power of a trust company or any trust company within or without the state. The trust agreement or indenture may contain provisions for protecting and enforcing the rights and remedies of the bondholders as may be reasonable and proper and not in violation of law, including covenants setting forth the duties of the authority in relation to the exercise of its powers and the custody, safekeeping, and application of all money related to the particular bond financing for which said trust agreement or indenture exists. The authority may provide by the trust agreement or indenture for the payment of the proceeds of the bonds and the revenue to the trustee under the trust agreement or indenture or other depository, and for the method of disbursement thereof, with safeguards and restrictions as the authority may determine. All expenses incurred in carrying out the trust agreement or indenture may be treated as a part of the operating expenses of the authority. If the bonds are secured by a trust agreement or indenture, the bondholders shall have no authority to appoint a separate trustee to represent them.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.44.

 

IC 4-4-11-28Bonds; negotiability

     Sec. 28. Whether the bonds are in the form and character of negotiable instruments, the bonds are hereby made negotiable instruments, subject only to provisions of the bonds relating to registration.

As added by Acts 1982, P.L.16, SEC.1.

 

IC 4-4-11-29Bonds; execution; manual or facsimile signatures

     Sec. 29. Any bonds issued by the authority under this chapter shall be executed by the manual or facsimile, except as otherwise provided in this chapter, signatures of such officers or agents of the authority as the authority shall designate. In the event bonds are issued pursuant to a trust indenture, the manual authentication of each bond by the trustee shall be required. In the event that bonds are issued without a trust indenture or trustee, at least one (1) of the officers or agents of the authority shall manually execute each bond. In the event that any of the members or officers of the authority shall cease to be members or officers of the authority prior to the delivery of any bonds or coupons signed by them, their signatures or facsimiles shall nevertheless be valid and sufficient for all purposes the same as if the members or officers had remained in office until the delivery.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.45.

 

IC 4-4-11-30Personal liability for acts authorized by affected statutes

     Sec. 30. The members of the authority, the officers and employees of the authority, the public finance director, any agents of the authority, and any other persons executing bonds issued under the affected statutes are not subject to personal liability or accountability by reason of any act authorized by the affected statutes, including without limitation the issuance of bonds, the failure to issue bonds, the execution of bonds, and the making of guarantees.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1987, SEC.7; P.L.11-1990, SEC.46; P.L.235-2005, SEC.25.

 

IC 4-4-11-31Funds and accounts; establishment

     Sec. 31. The authority may create and establish any funds and accounts necessary or desirable for its purposes.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.47; P.L.162-2007, SEC.10.

 

IC 4-4-11-32Money; deposit; security; trust funds

     Sec. 32. All money received by the authority, except as provided in the affected statutes, shall be deposited as soon as practical in a separate account or accounts in banks or trust companies organized under the laws of this state or in national banking associations. The money in these accounts shall be paid out on checks signed by the chairman or other officers or employees of the authority as the authority shall authorize or by wire transfer or other electronic means authorized by the authority. All deposits of money shall, if required by the authority, be secured in a manner that the authority determines to be prudent, and all banks or trust companies are authorized to give security for the deposits. Notwithstanding any other provisions of law to the contrary, all money received pursuant to the authority of the affected statutes are trust funds to be held and applied solely as provided in the affected statutes. The resolution authorizing any obligations, or trust agreement or indenture securing the same, may provide that any of the money may be temporarily invested pending the disbursement thereof, and shall provide that any officer with whom or any bank or trust company with which the money shall be deposited shall act as trustee of the money and shall hold and apply the same for the authorized purposes of the authority, subject to regulations as the affected statutes, the authority's investment policy, and the resolution or trust agreement or indenture may provide.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.48; P.L.235-2005, SEC.26.

 

IC 4-4-11-33Money for the payment of bonds; contracts; security

     Sec. 33. Notwithstanding section 32 of this chapter, the authority shall have the power to contract with the holders of any of its bonds as to the custody, collection, securing, investment, and payment of any money of the authority and of any money held in trust or otherwise for the payment of bonds, and to carry out the contract. Money held in trust or otherwise for the payment of bonds or in any way to secure bonds and deposits of money may be secured in the same manner as money of the authority, and all banks and trust companies are authorized to give security for the deposits.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.49.

 

IC 4-4-11-34State pledge to bondholders

     Sec. 34. The state does hereby pledge to and agree with the holder of any bonds issued under this chapter that the state will not limit or alter the rights vested in the authority to fulfill the terms of any agreements made with such holders or in any way impair the rights or remedies of such holders until the bonds, together with the interest, with interest on any unpaid installments of interest, and all costs and expenses in connection with any action or proceeding by or on behalf of such holders, are fully met and discharged. The authority is authorized to include this pledge and agreement of the state in any agreement with the holders of the bonds.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.50.

 

IC 4-4-11-35Payment of expenses and power to incur indebtedness; limitations; authority budget

     Sec. 35. (a) All expenses incurred by the authority in carrying out the affected statutes shall be payable solely from funds provided under the affected statutes, and nothing in the affected statutes shall be construed to authorize the authority to incur indebtedness or liability of the state or any political subdivision of it.

     (b) The authority shall annually prepare a budget that allocates the expenses incurred by the authority in an equitable manner among the various financing programs administered by the authority.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.51; P.L.235-2005, SEC.27.

 

IC 4-4-11-36Repealed

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.24-1987, SEC.8; P.L.11-1990, SEC.52; P.L.21-1990, SEC.2. Repealed by P.L.1-1991, SEC.6.

 

IC 4-4-11-36.1Property; tax exemption

     Sec. 36.1. (a) Except as provided in subsections (b) through (c), all property, both tangible and intangible, acquired or held by the authority under the affected statutes is declared to be public property used for public and governmental purposes, and all such property and income therefrom shall at all times be exempt from all taxes imposed by this state, any county, any city, or any other political subdivision of this state, except for the financial institutions tax imposed under IC 6-5.5.

     (b) Property owned by the authority and leased to a person for an industrial development project is not public property. The property and the industrial development project are subject to all taxes of the state or any county, city, or other political subdivision of the state in the same manner and subject to the same exemptions as are applicable to all persons.

     (c) Any industrial development project financed by a loan under the authority of this chapter shall not be considered public property and shall not be exempt from any taxes of this state, or any county, city, or other political subdivision thereof, except for pollution control equipment.

     (d) An agricultural enterprise or rural development project financed by a loan under the authority of this chapter or IC 5-28-31 shall not be considered public property and shall not be exempt from Indiana taxes or any county, city, or other political subdivision of the state.

As added by P.L.1-1991, SEC.7. Amended by P.L.254-1997(ss), SEC.1; P.L.235-2005, SEC.28; P.L.162-2007, SEC.11; P.L.79-2017, SEC.1.

 

IC 4-4-11-36.5Bonds; tax exemption

     Sec. 36.5. Bonds issued under this chapter and:

(1) proceeds received from their sale by a holder, to the extent of the holder's costs of acquisition;

(2) proceeds received on their redemption before maturity;

(3) proceeds received at their maturity; and

(4) interest received on them;

are exempt from state taxes as provided by IC 6-8-5.

As added by P.L.25-1987, SEC.8.

 

IC 4-4-11-37Bonds; legal investments; securities

     Sec. 37. The bonds issued by and under the authority of this chapter by the authority are declared to be legal investments in which all public officers or public bodies of this state, its political subdivisions, all municipalities and municipal subdivisions, all insurance companies and associations and other persons carrying on insurance business, all banks, bankers, banking associations, trust companies, savings associations, including savings and loan associations, building and loan associations, investment companies, and other persons carrying on a banking business, all administrators, guardians, executors, trustees and other fiduciaries, and all other persons who are now or may later be authorized to invest in bonds or in other obligations of this state, may invest funds, including capital, in their control or belonging to them. The bonds are also made securities which may be deposited with and received by all public officers and bodies of this state or any agency or political subdivisions of this state and all municipalities and public commissions for any purpose for which the deposit of bonds or other obligations of this state is now or may be later authorized by law.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.53.

 

IC 4-4-11-38Annual report

     Sec. 38. The authority shall, following the close of each fiscal year, submit an annual report of its activities under the affected statutes for the preceding year to the governor, the budget committee, and the general assembly. A report submitted to the general assembly must be in an electronic format under IC 5-14-6. Each report shall set forth a complete operating and financial statement for the authority during the fiscal year it covers.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.54; P.L.235-2005, SEC.29.

 

IC 4-4-11-39Application of state laws

     Sec. 39. The issuance of bonds and the promulgation of rules under the affected statutes need not comply with the requirements of any other state laws applicable thereto. No proceedings, notice, or approval shall be required for the issuance of any bonds or any instrument or the security therefor, except as provided in the affected statutes. All agricultural enterprises, rural development projects, and industrial development projects for which funds are advanced, loaned, or otherwise provided by the authority under this chapter or IC 5-28-31 must be in compliance with any land use, zoning, subdivision, and other laws of this state applicable to the land upon which the agricultural enterprise, rural development project, or industrial development project is located or is to be constructed, but a failure to comply with these laws does not invalidate any bonds issued to finance an agricultural enterprise, rural development project, or industrial development project.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.55; P.L.235-2005, SEC.30; P.L.162-2007, SEC.12.

 

IC 4-4-11-40Income and assets of authority; reversion

     Sec. 40. Except as provided in IC 13-18-13, IC 13-18-21, or IC 13-18-25, all income and assets of the authority are for its own use without appropriation, but shall revert to the state general fund if the authority by resolution transfers money to the state general fund or if the authority is dissolved.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.56; P.L.235-2005, SEC.31; P.L.233-2017, SEC.5.

 

IC 4-4-11-41Bonds and securities; exemption from securities registration laws

     Sec. 41. Any bonds issued by the authority pursuant to this chapter and any other securities issued in connection with a financing under this chapter shall be exempt from the registration and other requirements of IC 23-19 and any other securities registration laws.

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.11-1990, SEC.57; P.L.27-2007, SEC.1; P.L.162-2007, SEC.13.

 

IC 4-4-11-42Repealed

As added by Acts 1982, P.L.16, SEC.1. Amended by P.L.3-1990, SEC.14. Repealed by P.L.11-1990, SEC.135.

 

IC 4-4-11-43Legislative findings; clean coal technology program; financing of clean coal technology projects; procedure; contributions from beneficiaries

     Sec. 43. (a) In addition to the findings of fact set forth in section 2 of this chapter, the general assembly finds that:

(1) the federal Clean Air Act, as implemented, will have a harmful and injurious effect on the state's coal industry, resulting in critical and chronic conditions of unemployment affecting the unemployed workers and their families and communities and, ultimately, the state;

(2) there exists clean coal technology that, if successfully implemented, will increase the fortunes of the coal industry and, as a result, workers in the industry and their families and communities and, ultimately, the state; and

(3) implementation of clean coal technology consistent with the findings of fact set forth in subdivisions (1) and (2) serves the public purposes of public health, welfare, safety, and economic development.

     (b) For purposes of this section, "political subdivision" has the meaning set forth in IC 36-1-2-13.

     (c) There is created within the authority a clean coal technology program. The authority shall manage the clean coal technology program with the advice of the lieutenant governor.

     (d) Subject to subsection (i), the authority is authorized and directed to issue revenue bonds, or to guarantee its revenue bonds, in an amount not to exceed forty million dollars ($40,000,000), under this chapter to finance clean coal technology projects, including all costs related to the financing. Subject to subsection (i), as an alternative to issuing revenue bonds, and notwithstanding any other law, the authority may guarantee revenue bonds issued by another body politic and corporate of the state or a political subdivision for these purposes. Revenue bonds or guarantees are payable solely from or secured by:

(1) revenues from the clean coal technology projects;

(2) contributions made by and to the authority for the clean coal technology program;

(3) appropriations made by the general assembly; and

(4) appropriations or pledges made by other bodies corporate and politic of the state and political subdivisions.

     (e) Notwithstanding any other law or provisions of this chapter, revenue bonds may be issued or guaranteed under this section by resolution of the authority. Subject to subsection (i), no other procedures or findings, including procedures or findings required under this chapter for revenue bonds or guarantees, are required to be followed. The terms of the revenue bonds or the guarantee must be set forth in the resolution in the discretion of the authority.

     (f) Bodies corporate and politic of the state and political subdivisions, including cities, towns, and counties, may make appropriations to the clean coal technology program and clean coal technology projects and, notwithstanding any other law, may pledge county option and economic development income tax revenues to the clean coal technology program or one (1) or more clean coal technology projects or to revenue bonds issued or guaranteed for the program or projects, whether by the authority or otherwise.

     (g) Revenue bonds and guarantees of the authority under this section do not constitute debt of the state, and the general assembly shall not be obligated to make appropriations to the authority for such purposes.

     (h) In addition to other powers granted to the authority or a political subdivision under this chapter, the authority or a political subdivision may lease clean coal technology projects under this section from a lessor corporation or authority and sublease the project to any entity. Bonds issued by any lessor corporation or authority shall be considered revenue bonds of a body politic and corporate of the state or a political subdivision for all purposes of this section.

     (i) The authority may not issue revenue bonds to finance a clean coal technology project, guarantee revenue bonds issued by another body corporate and politic of Indiana or a political subdivision to finance a clean coal technology project, or enter into a lease in connection with a clean coal technology project unless and until:

(1) the lieutenant governor evaluates in writing the technical merits and feasibility of the clean coal technology project and the lieutenant governor presents the evaluation with a recommendation to proceed to the budget committee for review;

(2) the authority, in cooperation with the budget agency, evaluates the financial merits and feasibility of the clean coal technology project (including a plan of finance for the project and appropriate assurances that the project will be constructed as contemplated) and the authority presents the evaluation with a recommendation to proceed to the budget committee for review;

(3) the budget committee completes the reviews described in this subsection and makes a recommendation to proceed to the state board of finance; and

(4) the state board of finance approves the undertaking of the clean coal technology project and plan of finance.

     (j) In evaluating the technical merits and feasibility of the clean coal technology project, the lieutenant governor may rely upon the written testimony of outside experts retained for this purpose.

     (k) The plan of finance described in subsection (i) must indicate whether, in the authority's opinion, state appropriations will be needed to support the project and if so, the anticipated times and amounts of the appropriations.

     (l) In creating the clean coal technology program and in authorizing the financing of clean coal technology projects, the general assembly expects that the plan of finance for each project will take into account revenues from the project and contributions from the beneficiaries of the program. For purposes of this section, "beneficiaries" means corporate and individual sponsors and proponents of projects, the coal industry and coal users, and employees of the coal industry and coal users, and political subdivisions whose economies are dependent in whole or in part on the coal industry. Contributions may be in cash, in kind, or in any combination of in cash and in kind, and may include real and personal property and interests in real and personal property and in technology, patents, licenses, franchises, marketing agreements, and shares and other interests in any of the foregoing. In evaluating and reviewing projects and plans of finance under this section, the authority, the lieutenant governor, the budget agency, the budget committee, and the state board of finance shall be guided by the general assembly's expectation as to contributions from the beneficiaries of the program as described in this subsection. However, failure of any particular beneficiary to contribute to a project shall not in itself disqualify a project.

     (m) This section only applies to the clean coal technology program and clean coal technology projects and not to any other programs or projects undertaken by the authority.

As added by P.L.28-1995, SEC.1. Amended by P.L.1-2006, SEC.30.

 

IC 4-4-11-44Repealed

As added by P.L.25-2005, SEC.1. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-11-44.6Program participants may invest funds

     Sec. 44.6. (a) For purposes of this section, "program" refers to:

(1) a program defined in IC 13-11-2-172(a) through IC 13-11-2-172(b);

(2) the supplemental drinking water and wastewater assistance program established by IC 13-18-21-21; or

(3) the infrastructure assistance program established by IC 13-18-25-1.

     (b) Notwithstanding any statute applicable to or constituting any limitation on the investment or reinvestment of funds by or on behalf of political subdivisions:

(1) a participant receiving financial assistance in connection with a program may invest and reinvest funds that constitute, replace, or substitute for the proceeds of bonds or other evidence of indebtedness sold to the authority under the program, together with any account or reserves of a participant not funded with the proceeds of the bonds or other evidence of indebtedness purchased by the authority but which secure or provide payment for those bonds or other evidence of indebtedness, in any instrument or other investment authorized under a resolution of the authority; and

(2) a participant that is obligated to make payments on bonds or other evidence of indebtedness purchased in connection with the operation of a program may invest and reinvest funds that constitute, replace, or substitute for the proceeds of those bonds or other evidence of indebtedness, together with any account or reserves of a participant not funded with the proceeds of the bonds or other evidence of indebtedness purchased under the program but which secure or provide payment for those bonds or other evidence of indebtedness, in any instrument or other investment authorized under a resolution of the authority.

As added by P.L.235-2005, SEC.32. Amended by P.L.233-2017, SEC.6.

 

IC 4-4-11-45Repealed

As added by P.L.25-2005, SEC.2. Amended by P.L.1-2006, SEC.31. Repealed by P.L.162-2007, SEC.42.

 

IC 4-4-11-46Annual report

     Sec. 46. Not later than August 1 of each year, the public finance director shall prepare for the interim study committee on roads and transportation a report that includes the following:

(1) Updates on transportation projects in which the authority is involved, including public-private agreements under IC 8-15.5 or public-private partnerships under IC 8-15.7.

(2) Any other information requested by the study committee.

The report must be submitted in an electronic format under IC 5-14-6.

As added by P.L.16-2014, SEC.2. Amended by P.L.53-2014, SEC.51.

 

IC 4-4-11.1Chapter 11.1. Repealed

Repealed by P.L.24-1995, SEC.29.

 

IC 4-4-11.2Chapter 11.2. Additional Authority: Underground Petroleum Storage Tank Excess Liability Fund
           4-4-11.2-1"Authority"
           4-4-11.2-2"Bonds"
           4-4-11.2-3"Financial institution"
           4-4-11.2-4"Holder"
           4-4-11.2-5"Person"
           4-4-11.2-6"Reserve fund"
           4-4-11.2-7Bonds; issuance; purposes; liability of authority; pledges as additional security
           4-4-11.2-8Bonds; state exemption; statement; pledge of state
           4-4-11.2-9Bonds; negotiability
           4-4-11.2-10Bonds; issuance; terms; proceedings; interest; redemption
           4-4-11.2-11Bonds; sale; notice
           4-4-11.2-12Bonds; use of proceeds and funds in accordance with contract
           4-4-11.2-13Bonds; trust agreement or resolution; contents; expenses
           4-4-11.2-14Bonds; purchase by authority; presumption of holding for resale or transfer
           4-4-11.2-15Debt service fund; reserve fund; deposits or transfers; reserve fund disbursements and transfers
           4-4-11.2-16Reserve fund; investments authorized
           4-4-11.2-17Reserve fund investments; valuation
           4-4-11.2-18Debt service appropriation; deposits; nonliability of state; holding and application of funds; transfer of excess funds
           4-4-11.2-19Reserve funds; combining
           4-4-11.2-20Funds, reserves, and accounts; establishment
           4-4-11.2-21Payment or retirement of bonds; use of funds or accounts
           4-4-11.2-22Limitation of actions; contesting validity of bonds; presumption; applicability of chapter
           4-4-11.2-23Property; exemption from execution and process; judgment lien; bondholder remedy
           4-4-11.2-24Pledge of revenues; liens; records
           4-4-11.2-25Funds of federal or state authorities; receipt and credit
           4-4-11.2-26Financial institutions; deposits of funds; undertaking
           4-4-11.2-27Financial institutions; agreements or contracts for services; security
           4-4-11.2-28Bonds; legal investments; fiduciaries
           4-4-11.2-29Tax exemption; bonds and property of authority
           4-4-11.2-30Bonds; exemption; securities registration laws
           4-4-11.2-31Application of chapter

 

IC 4-4-11.2-1"Authority"

     Sec. 1. As used in this chapter, "authority" refers to the Indiana finance authority.

As added by P.L.13-1990, SEC.1. Amended by P.L.235-2005, SEC.33.

 

IC 4-4-11.2-2"Bonds"

     Sec. 2. As used in this chapter, "bonds" means any bonds, notes, debentures, interim certificates, revenue anticipation notes, warrants, or any other evidences of indebtedness of the authority.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-3"Financial institution"

     Sec. 3. As used in this chapter, "financial institution" means a financial institution (as defined in IC 28-1-1).

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-4"Holder"

     Sec. 4. As used in this chapter, "holder" means a person who is:

(1) the bearer of any outstanding bond or note registered to bearer or not registered; or

(2) the registered owner of any outstanding bond or note that is registered other than to bearer.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-5"Person"

     Sec. 5. As used in this chapter, "person" means any individual, partnership, firm, association, joint venture, limited liability company, or corporation.

As added by P.L.13-1990, SEC.1. Amended by P.L.8-1993, SEC.16.

 

IC 4-4-11.2-6"Reserve fund"

     Sec. 6. As used in this chapter, "reserve fund" means a reserve fund established under section 15 of this chapter.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-7Bonds; issuance; purposes; liability of authority; pledges as additional security

     Sec. 7. (a) The authority may issue its bonds in principal amounts that it considers necessary to provide funds for any purposes under this chapter, including the following:

(1) Providing a source of money for the underground petroleum storage tank excess liability trust fund established by IC 13-23-7-1.

(2) Payment, funding, or refunding of the principal of, or interest or redemption premiums on, bonds issued by it under this chapter whether the bonds or interest to be paid, funded, or refunded have or have not become due.

(3) Establishment or increase of reserves to secure or to pay bonds or interest on bonds and all other costs or expenses of the authority incident to and necessary or convenient to carry out the authority's corporate purposes and powers.

     (b) Every issue of bonds shall be obligations of the authority payable solely out of the revenues or funds of the authority under section 15 of this chapter, subject to agreements with the holders of a particular series of bonds pledging a particular revenue or fund. Bonds may be additionally secured by a pledge of a grant or contributions from the United States, a political subdivision, or a person, or by a pledge of income or revenues, funds, or money of the authority from any source.

As added by P.L.13-1990, SEC.1. Amended by P.L.1-1996, SEC.21; P.L.9-1996, SEC.1.

 

IC 4-4-11.2-8Bonds; state exemption; statement; pledge of state

     Sec. 8. (a) A bond of the authority:

(1) is not a debt, liability, loan of the credit, or pledge of the faith and credit of the state or of any political subdivision;

(2) is payable solely from the money pledged or available for its payment under this chapter, unless funded or refunded by bonds of the authority; and

(3) must contain on its face a statement that the authority is obligated to pay principal and interest, and redemption premiums if any, and that the faith, credit, and taxing power of the state are not pledged to the payment of the bond.

     (b) The state pledges to and agrees with the holders of the bonds issued under this chapter that the state will not:

(1) limit or restrict the rights vested in the authority to fulfill the terms of any agreement made with the holders of its bonds; or

(2) in any way impair the rights or remedies of the holders of the bonds;

until the bonds, together with the interest on the bonds, and interest on unpaid installments of interest, and all costs and expenses in connection with an action or proceeding by or on behalf of the holders, are fully met, paid, and discharged.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-9Bonds; negotiability

     Sec. 9. The bonds of the authority are negotiable instruments for all purposes of the Uniform Commercial Code (IC 26-1), subject only to the provisions of the bonds for registration.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-10Bonds; issuance; terms; proceedings; interest; redemption

     Sec. 10. (a) Bonds of the authority must be authorized by resolution of the authority, may be issued in one (1) or more series, and must:

(1) bear the date;

(2) mature at the time or times;

(3) be in the denomination;

(4) be in the form;

(5) carry the conversion or registration privileges;

(6) have the rank or priority;

(7) be executed in the manner;

(8) be payable from the sources in the medium of payment at the place inside or outside the state; and

(9) be subject to the terms of redemption;

as the resolution of the authority or the trust agreement securing the bonds provides.

     (b) Bonds may be issued under this chapter without obtaining the consent of any agency of the state and without any other proceeding or condition other than the proceedings or conditions specified in this chapter.

     (c) The rate or rates of interest on the bonds may be fixed or variable. Variable rates shall be determined in the manner and in accordance with the procedures set forth in the resolution authorizing the issuance of the bonds. Bonds bearing a variable rate of interest may be converted to bonds bearing a fixed rate or rates of interest, and bonds bearing a fixed rate or rates of interest may be converted to bonds bearing a variable rate of interest, to the extent and in the manner set forth in the resolution pursuant to which the bonds are issued. The interest on bonds may be payable semiannually or annually or at any other interval or intervals as may be provided in the resolution, or the interest may be compounded and paid at maturity or at any other times as may be specified in the resolution.

     (d) The bonds may be made subject to mandatory redemption by the authority at the times and under the circumstances set forth in the authorizing resolution.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-11Bonds; sale; notice

     Sec. 11. Bonds of the authority may be sold at public or private sale at the price the authority determines. If bonds of the authority are to be sold at public sale, the authority shall publish notice of the sale for two (2) weeks in two (2) newspapers published and of general circulation in the city of Indianapolis.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-12Bonds; use of proceeds and funds in accordance with contract

     Sec. 12. The authority may periodically issue its bonds under this chapter and pay and retire the principal of the bonds or pay the interest due thereon or fund or refund the bonds from proceeds of bonds, or from other funds or money of the authority available for that purpose in accordance with a contract between the authority and the holders of the bonds.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-13Bonds; trust agreement or resolution; contents; expenses

     Sec. 13. (a) In the discretion of the authority, any bonds issued under this chapter may be secured by a trust agreement by and between the authority and a corporate trustee, which may be any trust company or bank having the powers of a trust company within or outside the state.

     (b) The trust agreement or the resolution providing for the issuance of the bonds may contain provisions for protecting and enforcing the rights and remedies of the holders of any such bonds as are reasonable and proper and not in violation of law.

     (c) The trust agreement or resolution may set forth the rights and remedies of the holders of any bonds and of the trustee and may restrict the individual right of action by the holders.

     (d) In addition to the provisions of subsections (a), (b), and (c), any trust agreement or resolution may contain other provisions the authority considers reasonable and proper for the security of the holders of any bonds.

     (e) All expenses incurred in carrying out the trust agreement or resolution may be paid from revenues or assets pledged or assigned to the payment of the principal of and the interest on bonds or from any other funds available to the authority.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-14Bonds; purchase by authority; presumption of holding for resale or transfer

     Sec. 14. The authority may purchase bonds of the authority out of its funds or money available for the purchase of its own bonds. The authority may hold, cancel, or resell the bonds subject to, and in accordance with, agreements with holders of its bonds. Unless cancelled, bonds so held are considered to be held for resale or transfer and the obligation evidenced by the bonds shall not be considered to be extinguished.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-15Debt service fund; reserve fund; deposits or transfers; reserve fund disbursements and transfers

     Sec. 15. (a) The authority may establish and maintain a debt service fund, and if necessary, a reserve fund, for each issue of bonds in which there shall be deposited or transferred:

(1) all money appropriated by the general assembly for the purpose of the fund in accordance with section 18(a) of this chapter;

(2) all proceeds of bonds required to be deposited in the fund by terms of a contract between the authority and its holders or a resolution of the authority with respect to the proceeds of bonds;

(3) all other money appropriated by the general assembly to the funds; and

(4) any other money or funds of the authority that it decides to deposit in either fund.

     (b) Subject to section 18(b) of this chapter, money in any reserve fund shall be held and applied solely to the payment of the interest on and principal of bonds of the authority as the interest and principal become due and payable and for the retirement of bonds.

     (c) Money in any reserve fund in excess of the required debt service reserve, whether by reason of investment or otherwise, may be withdrawn at any time by the authority and transferred to another fund or account of the authority, subject to the provisions of any agreement with the holders of any bonds.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-16Reserve fund; investments authorized

     Sec. 16. Money in any reserve fund may be invested in the manner provided in the trust agreement or the resolution authorizing issuance of the bonds.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-17Reserve fund investments; valuation

     Sec. 17. For purposes of valuation, investments in the reserve fund shall be valued at par, or if purchased at less than par, at cost unless otherwise provided by resolution or trust agreement of the authority. Valuation on a particular date shall include the amount of interest then earned or accrued to that date on the money or investments in the reserve fund.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-18Debt service appropriation; deposits; nonliability of state; holding and application of funds; transfer of excess funds

     Sec. 18. (a) In order to assure the payment of debt service on bonds of the authority issued under this chapter or maintenance of the required debt service reserve in any reserve fund, the general assembly may annually or biannually appropriate to the authority for deposit in one (1) or more of the funds the sum including particularly sums from the underground petroleum storage tank excess liability trust fund established by IC 13-23-7-1, that is necessary to pay the debt service on the bonds or to restore one (1) or more of the funds to an amount equal to the required debt service reserve. This subsection does not create a debt or liability of the state to make any appropriation.

     (b) All amounts received on account of money appropriated by the state to any fund shall be held and applied in accordance with section 15(b) of this chapter. However, at the end of each fiscal year, if the amount in any fund exceeds the debt service or required debt service reserve, any amount representing earnings or income received on account of any money appropriated to the funds that exceeds the expenses of the authority for that fiscal year may be transferred to the underground petroleum storage tank excess liability trust fund.

As added by P.L.13-1990, SEC.1. Amended by P.L.1-1996, SEC.22; P.L.9-1996, SEC.2.

 

IC 4-4-11.2-19Reserve funds; combining

     Sec. 19. Subject to any agreement with its holders, the authority may combine a reserve fund established for an issue of bonds into one (1) or more reserve funds.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-20Funds, reserves, and accounts; establishment

     Sec. 20. The authority may establish additional reserves or other funds or accounts as the authority considers necessary, desirable, or convenient to further the accomplishment of its purposes or to comply with any of its agreements or resolutions.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-21Payment or retirement of bonds; use of funds or accounts

     Sec. 21. Unless the resolution or trust agreement authorizing the bonds provides otherwise, money or investments in a fund or account of the authority established or held for the payment of bonds shall be applied to the payment or retirement of the bonds, and to no other purpose.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-22Limitation of actions; contesting validity of bonds; presumption; applicability of chapter

     Sec. 22. (a) No action to contest the validity of any bonds of the authority to be sold at public sale may be brought after the fifteenth day following the first publication of notice of the sale of the bonds. No action to contest the validity of any bond sale under this chapter may be brought after the fifth day following the bond sale.

     (b) If bonds are sold at private sale, no action to contest the validity of such bonds may be brought after the fifteenth day following the adoption of the resolution authorizing the issuance of the bonds.

     (c) If an action challenging the bonds of the authority is not brought within the time prescribed by subsection (a) or (b), whichever is applicable, all bonds of the authority are conclusively presumed to be fully authorized and issued under the laws of the state, and a person or a qualified entity is estopped from questioning their authorization, sale, issuance, execution, or delivery by the authority.

     (d) If this chapter is inconsistent with any other law (general, special, or local), this chapter controls.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-23Property; exemption from execution and process; judgment lien; bondholder remedy

     Sec. 23. All property of the authority is exempt from levy and sale by virtue of an execution and no execution or other judicial process may issue against the property. A judgment against the authority may not be a charge or lien upon its property. However, this section does not apply to or limit the rights of the holder of bonds to pursue a remedy for the enforcement of a pledge or lien given by the authority on its revenues or other money.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-24Pledge of revenues; liens; records

     Sec. 24. A pledge of revenues or other money made by the authority is binding from the time the pledge is made. Revenues or other money so pledged and thereafter received by the authority are immediately subject to the lien of the pledge without any further act, and the lien of a pledge is binding against all parties having claims of any kind in tort, contract, or otherwise against the authority, regardless of whether the parties have notice of the lien. Neither the resolution nor any other instrument by which a pledge is created needs to be filed or recorded except in the records of the authority.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-25Funds of federal or state authorities; receipt and credit

     Sec. 25. The chairman of the authority may receive from the United States of America or any department or agency thereof, or any state agency, including the department of environmental management, any amount of money as and when appropriated, allocated, granted, turned over, or in any way provided for the purposes of the authority or this chapter, and those amounts shall, unless otherwise directed by the federal authority, be credited to and be available to the authority.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-26Financial institutions; deposits of funds; undertaking

     Sec. 26. A financial institution may give to the authority a good and sufficient undertaking with such sureties as are approved by the authority to the effect that the financial institution shall faithfully keep and pay over to the order of or upon the warrant of the authority or its authorized agent all those funds deposited with it by the authority and agreed interest under or by reason of this chapter, at such times or upon such demands as may be agreed with the authority or instead of these sureties, deposit with the authority or its authorized agent or a trustee or for the holders of bonds, as collateral, those securities as the authority may approve. The deposits of the authority may be evidenced by an agreement in the form and upon the terms and conditions that may be agreed upon by the authority and the financial institution.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-27Financial institutions; agreements or contracts for services; security

     Sec. 27. The authority may enter into agreements or contracts with a financial institution inside or outside the state as the authority considers necessary, desirable, or convenient for rendering services in connection with the care, custody, or safekeeping of securities or other investments held or owned by the authority, for rendering services in connection with the payment or collection of amounts payable as to principal or interest, and for rendering services in connection with the delivery to the authority of securities or other investments purchased by or sold by the authority, and to pay the cost of those services. The authority may also, in connection with any of the services to be rendered by a financial institution as to the custody and safekeeping of its securities or investments, require security in the form of collateral bonds, surety agreements, or security agreements in such form and amount as, the authority considers necessary or desirable.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-28Bonds; legal investments; fiduciaries

     Sec. 28. Notwithstanding the restrictions of any other law, all financial institutions, investment companies, insurance companies, insurance associations, executors, administrators, guardians, trustees, and other fiduciaries may legally invest sinking funds, money, or other funds belonging to them or within their control in bonds issued under this chapter.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.2-29Tax exemption; bonds and property of authority

     Sec. 29. All property of the authority is public property devoted to an essential public and governmental function and purpose and is exempt from all taxes and special assessments, direct or indirect, of the state or a political subdivision of the state. All bonds issued under this chapter are issued by a body corporate and public of the state, but not a state agency, and for an essential public and governmental purpose and the bonds, the interest thereon, the proceeds received by a holder from the sale of the bonds to the extent of the holder's cost of acquisition, proceeds received upon redemption prior to maturity, and proceeds received at maturity and the receipt of the interest and proceeds shall be exempt from taxation in the state for all purposes.

As added by P.L.13-1990, SEC.1. Amended by P.L.254-1997(ss), SEC.2; P.L.79-2017, SEC.2.

 

IC 4-4-11.2-30Bonds; exemption; securities registration laws

     Sec. 30. Any bonds issued by the authority under this chapter are exempt from the registration and other requirements of IC 23-19 and any other securities registration laws.

As added by P.L.13-1990, SEC.1. Amended by P.L.27-2007, SEC.2.

 

IC 4-4-11.2-31Application of chapter

     Sec. 31. This chapter is supplemental to all other statutes governing the authority.

As added by P.L.13-1990, SEC.1.

 

IC 4-4-11.3Chapter 11.3. Repealed

Repealed by P.L.2-1989, SEC.56.

 

IC 4-4-11.4Chapter 11.4. Repealed

Repealed by P.L.237-2017, SEC.4.

 

IC 4-4-11.5Chapter 11.5. State Private Activity Bond Ceiling
           4-4-11.5-1"Bond"
           4-4-11.5-2"Carryforward election"
           4-4-11.5-3Repealed
           4-4-11.5-4Repealed
           4-4-11.5-4.5Repealed
           4-4-11.5-4.7Repealed
           4-4-11.5-5Repealed
           4-4-11.5-6"IFA"
           4-4-11.5-6.3"IHCDA"
           4-4-11.5-6.7Repealed
           4-4-11.5-7"Internal Revenue Code"
           4-4-11.5-7.2"ISMEL"
           4-4-11.5-7.5"Issuer"
           4-4-11.5-8"Local unit"
           4-4-11.5-8.3"Mortgage credit certificate"
           4-4-11.5-8.5"NAICS Manual"
           4-4-11.5-9Repealed
           4-4-11.5-10Repealed
           4-4-11.5-11Repealed
           4-4-11.5-11.5Repealed
           4-4-11.5-12Repealed
           4-4-11.5-13"SIC Manual"
           4-4-11.5-13.5"Special volume cap"
           4-4-11.5-14"Volume cap"
           4-4-11.5-15Repealed
           4-4-11.5-16"Year"
           4-4-11.5-16.5Purpose
           4-4-11.5-17Federal allocation formula supplanted; allocation and assignment of volume cap
           4-4-11.5-18Categories of bonds
           4-4-11.5-19Volume cap; allocation among bond categories; alteration of allocation
           4-4-11.5-19.5Determination of special volume cap
           4-4-11.5-20Repealed
           4-4-11.5-21Repealed
           4-4-11.5-22Repealed
           4-4-11.5-23Repealed
           4-4-11.5-24Repealed
           4-4-11.5-25Repealed
           4-4-11.5-26Repealed
           4-4-11.5-27Repealed
           4-4-11.5-28Repealed
           4-4-11.5-29Repealed
           4-4-11.5-30Repealed
           4-4-11.5-31Elimination of categories; granting and priority of applications
           4-4-11.5-32Repealed
           4-4-11.5-33Repealed
           4-4-11.5-34Repealed
           4-4-11.5-35Public finance director; delegation of duties
           4-4-11.5-36Repealed
           4-4-11.5-37Repealed
           4-4-11.5-38Repealed
           4-4-11.5-39Forms; guidelines
           4-4-11.5-40Qualifications for grant of volume cap
           4-4-11.5-41Written procedures for applications and carryforward elections
           4-4-11.5-42Written criteria for selection of grant applications
           4-4-11.5-43Conditions for termination of grant of volume cap

 

IC 4-4-11.5-1"Bond"

     Sec. 1. As used in this chapter, "bond" means any:

(1) bond or mortgage credit certificate for which it is necessary to procure volume under the volume cap under Section 146 of the Internal Revenue Code; or

(2) bond or other obligation for which a special volume cap is authorized under a federal act.

As added by P.L.20-1985, SEC.7. Amended by P.L.2-1987, SEC.3; P.L.25-1987, SEC.9; P.L.24-1995, SEC.17; P.L.10-1996, SEC.1; P.L.182-2009(ss), SEC.49.

 

IC 4-4-11.5-2"Carryforward election"

     Sec. 2. As used in this chapter, "carryforward election" means a carryforward election of a part of the volume cap made under the authority of Section 146(f) of the Internal Revenue Code.

As added by P.L.20-1985, SEC.7. Amended by P.L.2-1987, SEC.4; P.L.25-1987, SEC.10; P.L.10-1996, SEC.2.

 

IC 4-4-11.5-3Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.2-1987, SEC.5; P.L.25-1987, SEC.11. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-4Repealed

As added by P.L.20-1985, SEC.7. Repealed by P.L.25-1987, SEC.60.

 

IC 4-4-11.5-4.5Repealed

As added by P.L.10-1986, SEC.2. Amended by P.L.11-1990, SEC.73. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-4.7Repealed

As added by P.L.25-1987, SEC.12. Amended by P.L.11-1990, SEC.74. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-5Repealed

As added by P.L.20-1985, SEC.7. Repealed by P.L.11-1990, SEC.135.

 

IC 4-4-11.5-6"IFA"

     Sec. 6. As used in this chapter, "IFA" refers to the Indiana finance authority established by IC 4-4-11.

As added by P.L.20-1985, SEC.7. Amended by P.L.11-1990, SEC.75; P.L.235-2005, SEC.34.

 

IC 4-4-11.5-6.3"IHCDA"

     Sec. 6.3. As used in this chapter, "IHCDA" refers to the Indiana housing and community development authority established by IC 5-20-1.

As added by P.L.25-1987, SEC.13. Amended by P.L.1-2006, SEC.34 and P.L.181-2006, SEC.2.

 

IC 4-4-11.5-6.7Repealed

As added by P.L.25-1987, SEC.14. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-7"Internal Revenue Code"

     Sec. 7. As used in this chapter, "Internal Revenue Code" has the meaning set forth in IC 6-3-1-11.

As added by P.L.20-1985, SEC.7.

 

IC 4-4-11.5-7.2"ISMEL"

     Sec. 7.2. As used in this chapter, "ISMEL" refers to the Indiana secondary market for education loans, incorporated, designated by the governor under IC 20-12-21.2-2 (before its repeal) or IC 21-16-5-1.

As added by P.L.291-2001, SEC.113. Amended by P.L.2-2007, SEC.23.

 

IC 4-4-11.5-7.5"Issuer"

     Sec. 7.5. As used in this chapter, "issuer" means IFA, IHCDA, ISMEL, a local unit, or any other issuer of bonds that must procure volume under the volume cap.

As added by P.L.25-1987, SEC.15. Amended by P.L.11-1990, SEC.76; P.L.10-1996, SEC.3; P.L.291-2001, SEC.114; P.L.235-2005, SEC.35; P.L.1-2006, SEC.35 and P.L.181-2006, SEC.3.

 

IC 4-4-11.5-8"Local unit"

     Sec. 8. As used in this chapter, "local unit" means a city, town, or county.

As added by P.L.20-1985, SEC.7.

 

IC 4-4-11.5-8.3"Mortgage credit certificate"

     Sec. 8.3. As used in this chapter, "mortgage credit certificate" refers to a mortgage credit certificate issued under Section 25 of the Internal Revenue Code of 1986, including any later amendments.

As added by P.L.24-1995, SEC.18.

 

IC 4-4-11.5-8.5"NAICS Manual"

     Sec. 8.5. As used in this chapter, "NAICS Manual" refers to the current edition of the North American Industry Classification System Manual - United States published by the National Technical Information Service of the United States Department of Commerce.

As added by P.L.291-2001, SEC.115.

 

IC 4-4-11.5-9Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.16. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-10Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.17; P.L.11-1990, SEC.77. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-11Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.18; P.L.11-1990, SEC.78. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-11.5Repealed

As added by P.L.25-1987, SEC.19. Amended by P.L.11-1990, SEC.79. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-12Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.11-1990, SEC.80. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-13"SIC Manual"

     Sec. 13. As used in this chapter, "SIC Manual" refers to the current edition of the Standard Industrial Classification Manual of the United States Office of Management and Budget.

As added by P.L.20-1985, SEC.7. Amended by P.L.24-1995, SEC.19.

 

IC 4-4-11.5-13.5"Special volume cap"

     Sec. 13.5. As used in this chapter, "special volume cap" means the maximum dollar amount of bonds that may be allocated to the state under the authority of a federal act. The special volume cap is in addition to the volume cap as defined in section 14 of this chapter.

As added by P.L.182-2009(ss), SEC.51.

 

IC 4-4-11.5-14"Volume cap"

     Sec. 14. As used in this chapter, "volume cap", as it relates to a year, means the maximum dollar amount of bonds that may be issued by issuers within that year under Section 146 of the Internal Revenue Code.

As added by P.L.20-1985, SEC.7. Amended by P.L.2-1987, SEC.6; P.L.25-1987, SEC.20; P.L.10-1996, SEC.4.

 

IC 4-4-11.5-15Repealed

As added by P.L.20-1985, SEC.7. Repealed by P.L.25-1987, SEC.60.

 

IC 4-4-11.5-16"Year"

     Sec. 16. As used in this chapter, "year" means a calendar year.

As added by P.L.20-1985, SEC.7.

 

IC 4-4-11.5-16.5Purpose

     Sec. 16.5. The purpose of this chapter is to allocate the volume cap under Section 146 of the Internal Revenue Code.

As added by P.L.10-1996, SEC.5.

 

IC 4-4-11.5-17Federal allocation formula supplanted; allocation and assignment of volume cap

     Sec. 17. (a) The allocation formula established by Section 146(b) and Section 146(c) of the Internal Revenue Code for the volume cap established for Indiana is supplanted under the authority granted by Section 146(e) of the Internal Revenue Code.

     (b) All amounts of the volume cap are annually allocated to the state. Thereafter all amounts of the volume cap are assigned from the state to other issuers as provided in this chapter.

As added by P.L.20-1985, SEC.7. Amended by P.L.2-1987, SEC.7; P.L.25-1987, SEC.21; P.L.10-1996, SEC.6.

 

IC 4-4-11.5-18Categories of bonds

     Sec. 18. (a) The volume cap shall be allocated annually among categories of bonds in accordance with section 19 of this chapter. Those categories are as follows:

(1) Bonds issued by the IFA.

(2) Bonds issued by the IHCDA.

(3) Bonds issued by the ISMEL.

(4) Bonds issued by local units or any other issuers not specifically referred to in this section whose bonds are or may become subject to the volume cap for projects described in:

(A) Division A - Agricultural, Forestry, and Fishing;

(B) Division B - Mining;

(C) Division C - Construction;

(D) Division D - Manufacturing;

(E) Division E - Transportation; and

(F) Division F - Wholesale Trade;

of the SIC Manual (or corresponding sector in the NAICS Manual), and any projects described in Section 142(a)(3), 142(a)(4), 142(a)(5), 142(a)(6), 142(a)(8), 142(a)(9), or 142(a)(10) of the Internal Revenue Code.

(5) Bonds issued by local units or any other issuers not specifically referred to in this section whose bonds are or may become subject to the volume cap for projects described in:

(A) Division G - Retail Trade;

(B) Division H - Finance, Insurance, and Real Estate;

(C) Division I - Services;

(D) Division J - Public Administration; and

(E) Division K - Miscellaneous;

of the SIC Manual (or corresponding sector in the NAICS Manual), and any projects described in Section 142(a)(7) or 144(c) of the Internal Revenue Code.

     (b) For purposes of determining the SIC category of a facility, the determination shall be based upon the type of activity engaged in by the user of the facility within the facility in question, rather than upon the ultimate enterprise in which the developer or user of the facility is engaged.

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.3; P.L.2-1987, SEC.8; P.L.25-1987, SEC.22; P.L.11-1990, SEC.81; P.L.10-1996, SEC.7; P.L.291-2001, SEC.116; P.L.235-2005, SEC.36; P.L.1-2006, SEC.36 and P.L.181-2006, SEC.4.

 

IC 4-4-11.5-19Volume cap; allocation among bond categories; alteration of allocation

     Sec. 19. (a) On or before January 1 of each year, the IFA shall determine the dollar amount of the volume cap for that year.

     (b) Each year the volume cap shall be allocated among the categories specified in section 18 of this chapter as follows:

                                                                                         Percentage of

                             Type of Bonds                                       Volume Cap

            Bonds issued by the IFA                                                   9%

            Bonds issued by the IHCDA                                          28%

            Bonds issued by the ISMEL                                             1%

            Bonds issued by local units or other

            issuers under section 18(a)(4)

            of this chapter                                                                  42%

            Bonds issued by local units or other

            issuers under section 18(a)(5)

            of this chapter                                                                  20%

     (c) Except as provided in subsection (d), the amount allocated to a category represents the maximum amount of the volume cap that will be reserved for bonds included within that category.

     (d) The IFA may adopt a resolution to alter the allocations made by subsection (b) for a year if it determines that the change is necessary to allow maximum usage of the volume cap and to promote the health and well-being of the residents of Indiana by promoting the public purposes served by the bond categories then subject to the volume cap.

     (e) The governor may, by executive order, establish for a year a different dollar amount for the volume cap, different bond categories, and different allocations among the bond categories than those set forth in or established under this section and section 18 of this chapter if it becomes necessary to adopt a different volume cap and bond category allocation system in order to allow maximum usage of the volume cap among the bond categories then subject to the volume cap and to promote the health, welfare, and well-being of the residents of Indiana by promoting the public purposes served by the bond categories then subject to the volume cap.

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.4; P.L.25-1987, SEC.23; P.L.11-1990, SEC.82; P.L.27-1993, SEC.2; P.L.10-1996, SEC.8; P.L.291-2001, SEC.117; P.L.235-2005, SEC.37; P.L.1-2006, SEC.37 and P.L.181-2006, SEC.5; P.L.1-2009, SEC.6.

 

IC 4-4-11.5-19.5Determination of special volume cap

     Sec. 19.5. The IFA shall determine the allocation of any special volume cap in accordance with the federal act authorizing the special volume cap.

As added by P.L.182-2009(ss), SEC.52.

 

IC 4-4-11.5-20Repealed

As added by P.L.20-1985, SEC.7. Repealed by P.L.10-1986, SEC.14.

 

IC 4-4-11.5-21Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.5; P.L.25-1987, SEC.24; P.L.11-1990, SEC.83. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-22Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.25; P.L.11-1990, SEC.84. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-23Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.6; P.L.11-1990, SEC.85. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-24Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.7; P.L.25-1987, SEC.27; P.L.11-1990, SEC.86. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-25Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.28; P.L.11-1990, SEC.87. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-26Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.8; P.L.25-1987, SEC.29. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-27Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.30; P.L.11-1990, SEC.88. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-28Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.31; P.L.11-1990, SEC.89. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-29Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.9; P.L.25-1987, SEC.32; P.L.11-1990, SEC.90. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-30Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.10; P.L.25-1987, SEC.33; P.L.17-1989, SEC.2; P.L.11-1990, SEC.91. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-31Elimination of categories; granting and priority of applications

     Sec. 31. (a) At 5 p.m. on December 20 of each year, all categories established by section 18 of this chapter are eliminated and any remaining amounts in those categories shall be placed in a single noncategorized state pool.

     (b) After 5 p.m. on December 20 of the year applications for a grant of volume cap shall be granted from the single noncategorized state pool. These applications shall be granted in the order of priority established in the guidelines adopted under section 39 of this chapter.

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.11; P.L.25-1987, SEC.34; P.L.11-1990, SEC.92; P.L.10-1996, SEC.9.

 

IC 4-4-11.5-32Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.12; P.L.2-1987, SEC.9; P.L.25-1987, SEC.35; P.L.17-1989, SEC.3; P.L.11-1990, SEC.93; P.L.18-1992, SEC.4. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-33Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.36; P.L.11-1990, SEC.94. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-34Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.37; P.L.11-1990, SEC.95. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-35Public finance director; delegation of duties

     Sec. 35. The public finance director appointed under IC 4-4-11-9 may delegate any of the duties prescribed by this chapter to any employees of the IFA.

As added by P.L.20-1985, SEC.7. Amended by P.L.11-1990, SEC.96; P.L.10-1996, SEC.10; P.L.235-2005, SEC.38.

 

IC 4-4-11.5-36Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.38; P.L.11-1990, SEC.97; P.L.16-1991, SEC.3. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-37Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.10-1986, SEC.13; P.L.25-1987, SEC.39. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-38Repealed

As added by P.L.20-1985, SEC.7. Amended by P.L.25-1987, SEC.40. Repealed by P.L.10-1996, SEC.17.

 

IC 4-4-11.5-39Forms; guidelines

     Sec. 39. (a) Notwithstanding IC 5-15-5.1, the IFA has the sole authority to prescribe and furnish forms used in the administration of this chapter.

     (b) The IFA may adopt guidelines, without complying with IC 4-22-2, to govern the administration of this chapter. The guidelines may establish procedures, criteria, and conditions for each category of bonds identified in sections 18 and 19 of this chapter. However, the guidelines may not be inconsistent with the requirements of Section 146 of the Internal Revenue Code.

As added by P.L.20-1985, SEC.7. Amended by P.L.11-1990, SEC.98; P.L.10-1996, SEC.11; P.L.235-2005, SEC.39.

 

IC 4-4-11.5-40Qualifications for grant of volume cap

     Sec. 40. To qualify for a grant of volume cap, an applicant must do the following:

(1) Apply for the grant in conformity with the procedures established by the IFA.

(2) Provide the information reasonably requested by the IFA to carry out this chapter.

(3) Meet the criteria established by the IFA for the category of bond for which the application is filed.

(4) Pay the fees established by the IFA.

As added by P.L.10-1996, SEC.12. Amended by P.L.235-2005, SEC.40.

 

IC 4-4-11.5-41Written procedures for applications and carryforward elections

     Sec. 41. The IFA shall establish a written:

(1) application procedure for the granting of a portion of the volume cap to an applicant; and

(2) procedure for filing carryforward elections.

As added by P.L.10-1996, SEC.13. Amended by P.L.235-2005, SEC.41.

 

IC 4-4-11.5-42Written criteria for selection of grant applications

     Sec. 42. The IFA shall establish written criteria for the selection of grant applications from among the applicants that qualify for the grant under section 40 of this chapter. The criteria must promote the health and well-being of the residents of Indiana by promoting the public purposes served by each of the bond categories subject to the volume cap.

As added by P.L.10-1996, SEC.14. Amended by P.L.235-2005, SEC.42.

 

IC 4-4-11.5-43Conditions for termination of grant of volume cap

     Sec. 43. The IFA may establish conditions for the termination of a grant of volume cap. The conditions may include requirements such as the following:

(1) That the amount of volume cap granted may not be substantially higher than the amount of actual bonds issued.

(2) That the issuer issue bonds within the time specified by the IFA.

As added by P.L.10-1996, SEC.15. Amended by P.L.235-2005, SEC.43.

 

IC 4-4-11.6Chapter 11.6. Additional Authority; Substitute Natural Gas Contracts
           4-4-11.6-0.5"2011 order"
           4-4-11.6-1"Account"
           4-4-11.6-2"Authority"
           4-4-11.6-2.5"Business day"
           4-4-11.6-3"Coal gasification facility"
           4-4-11.6-4"Commission"
           4-4-11.6-5"Energy utility"
           4-4-11.6-6"Management contract"
           4-4-11.6-7"Purchase contract"
           4-4-11.6-8"Regulated energy utility"
           4-4-11.6-9"Related contract"
           4-4-11.6-10"Retail end use customer"
           4-4-11.6-10.5"Savings"
           4-4-11.6-11"Substitute natural gas" or "SNG"
           4-4-11.6-12Findings
           4-4-11.6-13Powers of authority
           4-4-11.6-14Ability of authority to enter into purchase contracts; approval of purchase contracts, amendments, and other agreements by commission
           4-4-11.6-14.5Approval, rejection, or modification of purchase contract by commission; findings; final order; expedited appeal; adoption of rules by commission
           4-4-11.6-15Ability of authority to enter into management and related contracts
           4-4-11.6-16Procurement requirements
           4-4-11.6-17Consultation with consumer counselor
           4-4-11.6-18Taking title to and selling SNG
           4-4-11.6-19Cost recovery; adoption of rules
           4-4-11.6-20Payments for SNG
           4-4-11.6-21Financial obligations of authority
           4-4-11.6-22Mandatory management contracts
           4-4-11.6-23Authority is not energy utility
           4-4-11.6-24Impairment of contracts
           4-4-11.6-25Limits on power of authority
           4-4-11.6-26Energy utilities obligated to provide energy service
           4-4-11.6-27Substitute natural gas account
           4-4-11.6-28Adoption of rules
           4-4-11.6-29Customer choice programs
           4-4-11.6-30Third party contracts

 

IC 4-4-11.6-0.5"2011 order"

     Sec. 0.5. As used in this chapter, "2011 order" refers to the order of the commission issued on November 22, 2011, approving a purchase contract entered into on January 14, 2011.

As added by P.L.228-2013, SEC.1.

 

IC 4-4-11.6-1"Account"

     Sec. 1. As used in this chapter, "account" refers to the substitute natural gas account established by section 27 of this chapter.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-2"Authority"

     Sec. 2. As used in this chapter, "authority" refers to the Indiana finance authority.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-2.5"Business day"

     Sec. 2.5. As used in this chapter, "business day" means a day other than a Saturday, Sunday, or legal holiday (as defined in IC 1-1-9-1).

As added by P.L.228-2013, SEC.2.

 

IC 4-4-11.6-3"Coal gasification facility"

     Sec. 3. As used in this chapter, "coal gasification facility" means a facility that:

(1) uses a manufacturing process that converts coal into substitute natural gas; and

(2) not later than June 30, 2009, has applied for a federal loan guarantee through the United States Department of Energy Loan Guarantee Program Office, Solicitation Number DE-FOA-0000008 for the financing of the facility.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-4"Commission"

     Sec. 4. As used in this chapter, "commission" refers to the Indiana utility regulatory commission created by IC 8-1-1-2.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-5"Energy utility"

     Sec. 5. As used in this chapter, "energy utility" has the meaning set forth in IC 8-1-2.5-2.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-6"Management contract"

     Sec. 6. As used in this chapter, "management contract" means a contract that:

(1) is entered into by the authority and a regulated energy utility; and

(2) provides for:

(A) the delivery, billing, collection, and remittance of monies received for SNG delivered in the service area of the regulated energy utility; and

(B) reasonable compensation for services provided by the regulated energy utility under the terms of the contract.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-7"Purchase contract"

     Sec. 7. As used in this chapter, "purchase contract" means a contract that:

(1) is entered into by the authority and a producer of SNG for the sale and purchase of SNG;

(2) has a thirty (30) year term;

(3) provides a guarantee of savings for retail end use customers; and

(4) contains other terms and conditions determined necessary by the authority.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-8"Regulated energy utility"

     Sec. 8. As used in this chapter, "regulated energy utility" means an energy utility that is subject to IC 8-1-2-42.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-9"Related contract"

     Sec. 9. As used in this chapter, "related contract" means a contract for services that the authority determines are necessary and appropriate for the delivery of SNG to the city gate point of a regulated energy utility.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-10"Retail end use customer"

     Sec. 10. As used in this chapter, "retail end use customer" means a customer who acquires energy at retail for the customer's own consumption:

(1) from a gas utility that must apply to the commission under IC 8-1-2-42 for approval of gas cost changes; or

(2) under a program approved by the commission through which the customer purchases gas that would be subject to price adjustments under IC 8-1-2-42 if the gas were sold by a gas utility.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-10.5"Savings"

     Sec. 10.5. As used in this chapter, a "savings" occurs, with respect to a purchase contract subject to review by the commission under section 14.5 of this chapter, when the purchase price of SNG paid by the authority under the purchase contract is less than the average market price of natural gas during intervals determined by the commission as set forth in section 14.5(b)(4) of this chapter.

As added by P.L.228-2013, SEC.3.

 

IC 4-4-11.6-11"Substitute natural gas" or "SNG"

     Sec. 11. As used in this chapter, "substitute natural gas" or "SNG" means pipeline quality gas produced by a facility that uses a gasification process to convert coal into a gas capable of being used by a utility to supply gas utility service to retail end use customers in Indiana.

As added by P.L.2-2009, SEC.2.

 

IC 4-4-11.6-12Findings

     Sec. 12. (a) The general assembly makes the following findings:

(1) The furnishing of reliable supplies of rea