Section 370-300-309 - DISCLOSURE FORM FOR LOTTERY VENDORS309.01 Disclosure required All persons desiring to submit a bid, proposal, or offer to the Division for any major procurement, must file a disclosure form with the Division.
309.01A The disclosure form will contain the information necessary to allow the Division to review and evaluate the competence, integrity, background, character, and the nature of the ownership and control of Lottery Vendors for major procurements.309.01B The Division shall determine which vendors have to complete the disclosure form and provide the information.309.01C The disclosure form and information must be provided to the Division only once. 309.01C(1) Whenever information that is required to be provided under this regulation changes, the Lottery Vendor shall notify the Division and provide the updated information within thirty (30) days of the change.309.01C(2) Each year, prior to August 1, every Lottery Vendor will file a statement indicating that the information on file with the Division, as updated, is correct.309.01C(3) The Division may require any proposal or bid for a major procurement contain a statement on the accuracy of the information on file.309.02 The following information must be provided to the Division: 309.02A The name, address, type of business entity;309.02B The identity of the owners and those in control of the Lottery Vendor as required in sections 309.03 and 309.04 of this regulation;309.02C The place of incorporation, if any;309.02D The states and jurisdictions in which the Lottery Vendor is qualified to do business, the states and jurisdictions in which the Lottery Vendor does business, and the nature of the business in each state or jurisdiction;309.02E The states and jurisdictions in which the Lottery Vendor has contracts to supply goods or services related to lottery games or other gambling scheme, and the nature of the goods and services involved in each state. Vendors must also disclose the names of the companies or entities they supply these goods and services to;309.02F The states and jurisdictions in which the Lottery Vendor has applied for, sought renewal of, received, been denied, or had suspended, canceled, or revoked a contract or license of any kind in connection with any lottery game or other gambling scheme: 309.02F(1) The status of such application, license or contract in each state;309.02F(2) All of the facts and circumstances underlying any of the following situations: 309.02F(2)(I) Any contract or license that has been suspended, canceled, terminated, revoked, or not renewed; or 309.02F(2)(ii) Any license application that was denied or which has been pending for six months or more;309.02G The name, address, and telephone number of each of the following: 309.02G(1) The resident agent to contact regarding matters of the Lottery Vendor and for service of process;309.02G(2) Each attorney and law firm representing the Lottery Vendor in this state;309.02G(3) Each accountant or accounting firm representing the Lottery Vendor in this state or preparing information for use by the Division;309.02G(4) Each person engaged by the Lottery Vendor or involved in aiding the Lottery Vendor's efforts to obtain the contract or procurement at the time of the disclosure or during the prior year. Include each accountant, accounting firm, attorney, law firm, consultant, lobbyist, public relations firms, sales agent, or any other person. 309.02H The details of any bankruptcy, insolvency, reorganization, or pending litigation involving the Lottery Vendor;309.02I The identity of any entity with which the Lottery Vendor furnishes goods or services related to lottery games or other gambling scheme in any state or jurisdiction through any of the following: 309.02I(1) A joint venture with another entity;309.02I(2) An entity jointly owned by the Lottery Vendor and the other entity; or309.02I(3) Other contractual agreement. 309.02J The Lottery Vendor's audited financial statements for the three years prior to disclosure. Vendors must also disclose any liens filed against the vendor or any person with a substantial interest in the vendor;309.02K The Lottery Vendor's federal and state income tax returns for the three years prior to disclosure;309.02L The Lottery Vendor's registered lobbyists as well as all monetary accounts managed by those lobbyists; and309.02M Any additional disclosures determined by the Division to be appropriate for the major procurement involved.309.03 The Lottery Vendor must provide information regarding those who own or have an interest in the Lottery Vendor. The information depends upon the type of business organization used by the Lottery Vendor. The Lottery Vendor must provide information for each person as specified in this section. For natural persons, the Lottery Vendor must provide the name, address, date of birth, and social security number. For all other entities, the Lottery Vendor must provide the name, address and Federal Employer Identification Number. 309.03A If the Lottery Vendor is a corporation, the officers, directors, and shareholders. 309.03A(1) If the Lottery Vendor is a subsidiary, the officers, directors, and shareholders of the parent corporation.309.03A(2) For publicly-traded corporations, shareholders owning less than 10% of the publicly held equity securities do not need to be disclosed. 309.03B If the Lottery Vendor is a trust, the trustee, beneficiaries, and any other person entitled to receive income or benefit from the trust.309.03C If the Lottery Vendor is a partnership or joint venture, the general partners, limited partners, or joint venturers.309.03D If the Lottery Vendor is an association, the members, officers, and directors.309.03E If the Lottery Vendor is a limited liability company, the members of such company.309.03F For any subcontractor performing a substantial portion of the work, all of the information required in subsections 309.03 and 309.04 of this regulation must be provided for the subcontractor.309.03G If the parent company, general partner, limited partner, or joint venturer of the Lottery Vendor is itself a corporation, trust, association, subsidiary, partnership, or joint venture, all of the information for such other entity as if it were itself the Lottery Vendor. 309.03G(1) In a chain of ownership, the disclosures will continue until the ultimate ownership is fully disclosed.309.04 The identity, including name, address, social security number, and date of birth, of any past or present Director, past or present employee of the Division, or any parent, child, brother, sister, or spouse of the Lottery Vendor who holds any direct or indirect financial interest with respect to the Lottery Vendor, including any of the following: 309.04A Such person is a director, employee, officer, owner, partner, or stockholder of the Lottery Vendor;309.04B Such person is a consultant, debt holder, independent contractor, principal, or subcontractor; or309.04C Such person holds any interest or has a relationship from which or as a result of which the person has received, is receiving, or will be entitled to receive more than one thousand dollars ($1,000) over any five-year period beginning not more than five (5) years prior to the disclosure or ending more that five (5) years after the disclosure.309.05 Background and informational statements Lottery Vendors may be required to submit to checks or investigations of criminal history, fingerprints, background, financial responsibility, or integrity of any person with a substantial interest, or of any key personnel as determined by the Nebraska Lottery or the Investigations Division who will be involved with the products or services in the lottery procurement.
309.05A The Lottery Vendor will pay all expenses incurred by the Division in completing the checks and investigations, including any and all subsequent background investigations throughout the term of the contract.370 Neb. Admin. Code, ch. 300, § 309