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Compilation of Codes, Rules and Regulations of the State of New York. Title 9. Executive Department. Subtitle T. New York State Racing and Wagering Board. Chapter I. Racing. Subchapter A. State Racing Commission. Article 1. Administration. Part 4002. Occupational Licenses. Section 4002.1. Occupational licenses



Country of Origin: United States - New York

Agency of Origin: NEW YORK STATE RACING AND WAGERING BOARD

National Citation: N.Y. Comp. Codes R. & Regs. tit. 9, 4002.1

Agency Citation:

Printable Version 9 NY ADC 4002.1


Last checked by Web Center Staff: 06/2013


Summary:   Sect. 4002.1 requires that anyone participating in any thoroughbred race meet as a managing owner, racing owner, trainer, assistant trainer, jockey, apprentice jockey, jockey agent, veterinarian, farrier, stable employee, track supplier, equipment supplier, salesman, agent or operator of any concession to have an occupational license issued by the New York State Racing and Wagering Board.
Material in Full:

(a) No person shall participate in the affairs of any association or corporation licensed or franchised by the board to conduct thoroughbred race meetings at which pari-mutuel betting is permitted as director, agent, or employee of such track, unless such person shall have received an occupational license from the board.

(b) No person shall participate in or at any thoroughbred race meet as a managing owner, racing owner, trainer, assistant trainer, jockey, apprentice jockey, jockey agent, veterinarian, farrier, stable employee, track supplier, equipment supplier, salesman, agent or be the holder or operator of any concession, or perform any service, including, but without limiting, the generality thereof, the conduct of negotiations on behalf of any person or persons who engage in any racing activities or perform any services in connection with the conduct of any thoroughbred race meet, or engage in any occupation or employment at any thoroughbred race meet unless such person shall have received an occupational license from the board, with the following exceptions:

(1) public officers and public employees engaged in the performance of their official duties; and

(2) persons exempted by the board from the occupational license requirement.

(c) Every such license shall provide that the license shall comply with this Subchapter and that violation thereof may be punished by suspension or revocation of such license. Such licenses shall be issued only to natural persons.

(d) It shall be the responsibility of each track to prevent any person not holding an occupational license from doing or performing any act or acts at its track.

(e) An application for an occupational license shall be made upon a form supplied by the board and shall be executed in the manner prescribed by the board. The board may issue instructions as to the preparation and execution of applications for occupational licenses, which instructions may be a part of or separate from the application form. Failure to comply with any such instructions shall be grounds for denial, suspension or revocation of an occupational license. When so instructed by the board, the applicant shall file with the application fingerprints and photographs in requisite number. The fingerprints so obtained shall be transmitted by the board to the New York State Identification and Intelligence System, the Federal Bureau of Investigation Identification Division, and any other government agency of any state or country selected by the board, for the purpose of establishing identity and previous criminal record, if any, of the applicant.

(f) Should a licensee lose a license or should a license in some manner be destroyed, such licensee may apply for a duplicate license by filing an affidavit on a form supplied by the board and the payment of a fee of $5.

(g) Each applicant for an occupational license shall pay an annual license fee at the time of the filing of the application. The license fees to be paid shall be as follows: original owner-- $100; owner renewal, jockey--$50; trainer, assistant trainer, veterinarian--$30; jockey agent, farrier, track management-- $20; mutuel--$10; stable employees (grooms, etc.) cleaning and food service workers, exercise rider, authorized agent--$5; all others--$10. Such fees shall be multiplied by two for two-year terms and by three for three-year terms.

(h) It shall be the responsibility of the trainer to determine that every person employed by him at a track and every assistant trainer, groom, clerk, assistant or other person working regularly in his stable at a track is licensed by the board. It shall be the responsibility of the trainer to refuse to represent any participant at a licensed track under circumstances in which the trainer, by the exercise or reasonable discretion, has reason to believe that said participant has not been licensed by the board and to report said circumstances to the track steward.

(i) No unlicensed person shall enter or be present in the stable area, paddock, racing strip, infield, or mutuel area of a track without permission from the board and each track shall use all practicable measures to enforce the above restrictions.

(j) Upon the board's request, an applicant for an occupational license or a licensee holding such license shall furnish the board records or information pertaining to his service in the Armed Forces, to treatment for any physical or mental condition, including confinement in any institution, to his past or present financial condition, to his past or present employment or any other information or records which may be deemed necessary by the board. Failure to furnish such records and information if available, and if not available to cooperate with and assist the board in obtaining such records and information, shall be grounds for denial, suspension, or revocation or fine by the board.

(k) Before the board issues or reinstates an occupational license, it may require as a condition for issuing or reinstating such license, that the person involved produce proof:

(1) that if he is to be employed, that his proposed employer intends to so employ him upon issuance or reinstatement of the license; or

(2) that if he is to be otherwise engaged in thoroughbred racing that he is able, financially or otherwise, to so participate upon licensing.

(l) Video lottery gaming employee license.

(1) Definitions. As used in this Subchapter, the following definitions are applicable:

(i) Division. Division means the Division of the Lottery.

(ii) Video lottery gaming employee. Video lottery gaming employee is any natural person who will be employed in the operation of or at a video lottery gaming facility, as such terms are defined by 21 NYCRR Part 2836.

(2) Video lottery gaming employee license. Notwithstanding any inconsistent provision of rule or regulation, the board shall deem an individual licensed as a video lottery gaming employee upon written notification from the division that said individual will be issued a video lottery gaming license pursuant to 21 NYCRR Part 2836 if licensed as a video lottery gaming employee by the board. Such written notification by the division shall include applicant identifiers, a request for the issuance of a board video lottery gaming employee license and confirmation that a release of information to the board has been executed by the applicant. The board shall grant such license unless information existing and immediately available in records maintained by the board indicate that the applicant's financial responsibility, experience, character and general fitness are such that the participation of such person will not be consistent with the public interest, convenience or necessity and with the best interests of racing. This rule shall apply to those engaged exclusively in the employ of a video lottery gaming operation, provided, however, no employee engaged in the preparation, service and handling of food and beverages in the operation of a restaurant or a food or beverage dispensing facility at a track shall be required to hold an independent racing license for employment outside the video lottery gaming operation unless employed in the backstretch, stable area, paddock, racing strip, infield, mutuel area of a track, or other restricted area of the racetrack as designated by the board.

(3) Duration of license. Each such video lottery gaming employee license granted by the board, unless revoked for cause, shall be effective for a period equal to that of the license issued by the division; provided that a licensed gaming employee who has timely and properly applied for a license renewal may continue to be employed under the expired license until such time as final action is taken on the renewal application. Such license shall also terminate upon the end of a licensee's video lottery gaming employment.

(4) Fees. Each applicant for a video lottery gaming employee license shall pay no annual license or renewal fee.

CREDIT(S)

Sec. added by renum. 3.1, Title 19, filed Sept. 5, 1974; amds. filed: Dec. 30, 1983; Dec. 28, 1984; April 29, 1987; Oct. 31, 1988 as emergency measure; Dec. 27, 1988 as emergency measure; Jan. 31, 1989; July 1, 1992; Jan. 23, 2004 as emergency measure, expired 90 days after filing; April 23 2004 as emergency measure, expired 90 days after filing; July 23, 2004 as emergency measure, expired 90 days after filing; Oct. 25, 2004 as emergency measure; Dec. 27, 2004 eff. Jan. 12, 2005. Added (l).



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