Chapter 3769-12 Administrative Rules

3769-12-01 The commission, right to search.

(A) Members of the commission and its representatives shall have the right of full and complete entry to any and all parts of the grounds and mutuel plants of permit holders.

(B) The Ohio state racing commission and its representatives or the state judge investigating for violations of law or of the rules and regulations of the commission, shall have the authority to permit persons authorized by them to search certain persons and areas as follows:

(1) All persons licensed by the commission or persons engaged in activities that require a license by the commission when such persons are within the race track premises or those who have gained access by special permission;

(2) Vendors licensed by the commission when they are within the race track premises;

(3) Stables, rooms, vehicles and any other place within the race track premises used by those persons who may be searched pursuant to this rule;

(4) Stables, rooms and vehicles used or maintained by persons licensed by the commission and which are located in areas outside of the race track premises where horses eligible to race at the race meeting are stabled.

(C) If a person refuses to consent to such searches as described above, such person shall be automatically suspended by the judges and referred to the commission who may revoke said licensee's Ohio state racing commission license and rule said licensee off all Ohio tracks for the remainder of the calendar year and/or assess any other penalty provided for in rule 3769-12-99 of the Administrative Code.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 6/1/76, 1/1/85

3769-12-02 May engage auditor.

The commission may engage auditors of its own choosing to examine the books and records of any permit holder. The cost of such audit, when ordered by the commission, shall be borne by the commission.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-03 Procedure for adoption of rules.

(A) A majority of the members of the Ohio state racing commission shall concur to adopt, amend, or rescind a rule. Any member of the Ohio state racing commission may record his opposition to a proposed rule or amendment in the resolution adopting such rule, rescission, or amendment.

(B) A copy of each proposed rule, amendment, or rescission shall be filed with the secretary of state, the director of the legislative service commission, the joint committee on agency rule review, and the office of small business as provided by section 119.03 of the Revised Code, at least thirty days prior to any public hearing on the proposed rule, rescission, or amendment.

(C) Prior to the proposed adoption, amendment or rescission of any rule by the Ohio state racing commission, public notice thereof shall be given at least thirty days prior to the date set for the public hearing thereon, by advertising in the register of Ohio in accordance with applicable state law.

(D) The commission shall furnish the public notice required under section 119.03 of the Revised Code and as detailed by paragraph (A) of this rule to any person who requests notice in writing and who supplies an addressed, stamped envelope.

Replaces: 3769-12-03

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85, 1/1/03, 2/2/08

3769-12-04 Public notice of commission meetings.

(A) The time and place of all regularly scheduled meetings or special meetings of the Ohio state racing commission may be obtained by:

(1) Written request sent to the commission office; or

(2) Telephoning the commission office; or

(3) Checking the commission's public website.

(B) Any representative of the news media may obtain notice of all special meetings by requesting in writing that notice be provided and supplying a regular mail or electronic mail address. In the event of a special meeting not of an emergency nature, the commission shall notify all media representatives who have requested notice of the meeting by doing at least one of the following:

(1) Sending written notice, by regular mail or electronic mail no later than twenty-four hours prior to the special meeting;

(2) Notifying media representatives by telephone no later than twenty-four hours prior to the special meeting. Telephone notice shall be complete if a message has been left for the media representative, or if, after reasonable effort, the commission has been unable to provide telephone notice;

(3) Informing the media representative personally no later than twenty-four hours prior to the special meeting.

(C) In the event of a special meeting of an emergency nature requiring immediate official action, the commission shall notify all media representatives who have requested notice of such meeting of the time, place and purpose of the meeting by providing notice as described in paragraphs (B)(1), (B)(2) and (B)(3) of this rule or by notifying the clerk of the state house press room. In such an event, the notice need not be given twenty-four hours prior to the meeting, but shall be given immediately upon completion of the meeting agenda.

(D) All persons who have requested, in writing, advance notification of all meetings of the commission at which specific public matters designated by those persons are scheduled to be discussed shall be placed on the commission's agenda mailing list. The commission shall, within a reasonable time prior to each meeting, post on the commission's public website, or send by electronic mail, or fax, or send by regular mail to those who have requested in writing an agenda of the meeting.

Replaces: 3769-12-04

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 6/1/75, 5/1/76, 1/1/85, 2/2/08

3769-12-05 Jurisdiction.

All harness racing in Ohio over which the commission has jurisdiction and supervision shall be conducted under the rules and regulations which the commission has set forth for such racing. If any case occurs which is not provided for in the rules of the Ohio state racing commission, the matter shall be determined by the judges or by the commission as the case may be.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85

3769-12-06 Commission rules supersede.

Except for Ohio sires stakes conditions approved by the commission, these rules and regulations or any other rule adopted by the commission supersedes the conditions of a race or the regulations of a permit holder when they conflict.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85, 4/1/88, 2/2/08

3769-12-07 Gifts forbidden.

No permit holder or any member, officer, director or employee thereof shall give or offer to any member, employee or representative of the commission or to any member of the family of any such member, employee or representative, any gift, money, property, entertainment or any other thing of value with intent to influence, or which may appear to be intended to influence the member, employee or representative of the commission in the performance of their official duties and responsibilities.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-08 Applicants for permit to conduct a horse race meeting.

(A) Any person, group of persons, association, corporation or trust desiring to hold or conduct a horse racing meeting, wherein the parimutuel system of wagering is permitted shall make application to the commission for a permit in the manner provided by section 3769.04 of the Revised Code.

(B) In addition to the requirements of that section, the application shall state, or there shall be attached thereto, the following information:

(1) The full names and addresses of the person, persons, association, corporation or trust, making application;

(2) If the applicant is an association, the names and home addresses of all members of the association;

(3) If the applicant is a corporation, the name of the state where it is incorporated, the location of its principal place of business and the names and addresses of its directors and stockholders;

(4) If the applicant is a trust, the location of its principal place of business, and the names and addresses of its trustees and beneficiaries;

(5) If the applicant is a partnership, the names and home addresses of each partner;

(6) If the applicant is a limited partnership, the name, home addresses, and percentage of ownership of each limited or general partner;

(7) The dates and exact location where the applicant will conduct race meetings and the proposed hours of each racing day;

(8) The proposed hours of operation on each racing day;

(9) A statement whether or not the racing plant is owned or leased, and if leased, the name and residence of the fee owner, or the names and home addresses of the directors if the lessee is a corporation; and

(10) Such Any other information as the commission may require.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85, 2/2/08

3769-12-09 Application for racing dates.

(A) Applications for permits for each succeeding year shall be made in writing to the secretary of the commission not later than August fifteenth. The commission shall meet as soon as practicable for the purpose of acting on said applications. Permits issued shall cover only such dates as the commission shall grant. The applicant, however, may file with its application a brief, setting forth reasons for desiring the dates sought.

(B) Applications for commercial permits shall be accompanied by a permit fee of ten dollars and a registration charge of one thousand dollars. In the case of a county agriculture society or independent agriculture society fair permit, a registration charge of one hundred dollars must accompany each application. In addition, the applications shall be accompanied by cash, bond, bank draft, or certified check payable to the order of "Ohio State Racing Commission" in an amount equal to one hundred dollars for each day petitioned for in the application. Such deposit shall be held by the commission for purpose provided for in section 3769.05 of the Revised Code.

(C) Each applicant for a commercial permit shall, prior to the opening of its racing season, request an inspection of the race track and receive a certificate from the state fire marshal indicating the premises of the applicant are in compliance with all of the safety requirements of the Ohio state racing commission.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/1/74, 1/1/85, 5/1/85, 8/1/91, 2/2/08

3769-12-10 File list of officials.

(A) Each applicant for a commercial permit shall, at the time of making application or not less than thirty days prior to the first day of the racing meeting for which a permit is granted, filed with the commission a list of the names of the associate judges, identifier, starters, racing secretary, assistant racing secretary, handicapper, clerk of course, paddock judge, patrol judge, track veterinarian, track physician, mutuel manager, simulcast coordinator, outrider and director of security it proposes to engage or employ during the racing meeting. In addition, the general manager of each commercial track shall submit certification that each racing official listed is competent to hold that position. No permit shall be issued unless this list of officials is approved by the commission. Any changes in officials during the racing meeting shall be reported promptly to the commission for approval.

(B) Before an individual is approved by the commission to serve as a judge, he or she must demonstrate possession of the mental and physical qualifications to perform the duties required. In addition, the applicant shall have completed the appropriate training. The commission may also consider a person's character, reputation, and temperment prior to approval.

Replaces: 3769-12-10

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/1/74, 1/1/85, 8/1/91, 2/2/08

3769-12-11 Permit to race.

(A) No permit shall be issued under the provisions of the Ohio Revised Code to any person, association, firm or corporation engaged in the conducting of horse racing on a commercial basis solely with a view to profit unless and until such person, association, firm or corporation shall have filed with the commission:

(1) A current accurate financial statement, prepared and certified by an independent certified public accountant, stating that all financial statements were made in accordance with generally accepted auditing standards and, accordingly, included tests of the accounting records and other auditing procedures as considered necessary. A statement shall show the net worth of the applicant for such permit and indicate the applicant can reasonably be expected to meet all financial obligations incurred in conducting the racing meeting.

(2) A statement as to when salaries, wages and purses that are or may be owed by the applicant shall become due and payable.

(B) If, upon examination of a financial statement, the commission should entertain reasonable doubt as to the financial ability of the applicant to meet and discharge all financial obligations, the commission may require the filing of a surety bond with the commission as hereinafter provided. In no event shall a person, association, firm or corporation having a net worth of less than five hundred thousand dollars be issued such a permit under the Ohio Revised Code unless the applicant has filed a surety bond with the commission as hereinafter provided.

(C) In the event that the commission shall determine, that a surety bond as herein provided shall be filed with the commission, such bond shall be in favor of the Ohio state racing commission as obligee, for the use and benefit of all aggrieved parties, as hereinafter defined, shall have sureties to the satisfaction of the commission, in an amount not to exceed one million dollars, and shall be conditioned upon payment by the permit holder of all financial obligations (provided, however, that no bond shall be required under the provisions of this rule in the case of an applicant who has filed a bond with a nationally recognized association of horsemen for substantially equivalent coverage to that herein provided, said bond being in favor of the association as obligee for the use and benefit of substantially the same categories of persons as are defined herein as "aggrieved parties").

The term "aggrieved parties" is hereby defined as:

(1) Agents and employees of the permit holder holding licenses issued to them by the commission pursuant to the provisions of rules 3769-12-24 and 3769-12-25 of the Administrative Code(excluding corporate officers in their capacity as such), with reference to amounts of salaries and wages owed to them which, if promptly requested when due and payable, are not paid by the permit holder forthwith, together with such amounts of any and all salaries and wages owed to them as may not be due and payable at the time of such failure to pay.

(2) Owners of horses and their agents holding licenses issued to them by the commission pursuant to the provisions of rules 3769-12-24 and 3769-12-25 of the Administrative Code with reference to:

(a) Amounts of purses owed to them which, if promptly requested when due and payable, are not paid by the permit holder forthwith, together with the amounts of any and all purses owed to them as may not be due and payable at the time of such failure to pay;

(b) Entry fees, nominating fees, eligibility fees and sustaining fees, paid for races not run; and

(c) Money owed to owners by the horsemens' bookkeeper for horses claimed.

(3) The state of Ohio and any of its departments or agencies for parimutuel taxes or any other obligations owed to the state of Ohio.

(4) The holders of all winning uncashed parimutuel tickets.

(5) A testing laboratory which has outstanding fees owed to them.

(D) All horsemens' bookkeeper funds shall be held as a separate interest trust fund and there shall be no commingling of these funds with any other funds and the money in such fund and all interest accrued therein shall be held for benefit of the horsemen. This language shall not be construed to prohibit the use of said trust funds to purchase certificates of deposit or United States treasury notes.

(E) Ohio sires stakes monies shall be kept in a separate fund which shall be used exclusively for payment of purse money to parties entitled thereto in Ohio sires stake fund races.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 2/28/75, 1/1/85, 6/6/88, 2/2/08

3769-12-11.1 Claims upon a surety bond.

(A) The racing commission shall be the sole decision maker in determining if funds are due an aggrieved party as defined in rule 3769-2-11 of the Administrative Code. The racing commission may give the executive secretary authority to make this decision pending ratification at the next regularly scheduled or special meeting.

(B) The racing commission shall gather any information it believes is necessary to determine (1) who an aggrieved party is; (2) how much money is owed the aggrieved party; and (3) why the money is owed to the aggrieved party.

(C) Once the racing commission determines how much money, if any, an aggrieved party is due, the racing commission may contact the permit holder in writing concerning the aggrieved party. The permit holder may be given ten business days to make the aggrieved party whole. Continuances may be granted at the discretion of the racing commission.

(D) If the permit holder fails to make the aggrieved party whole in the time frame prescribed by the racing commission, the racing commission may submit a claim on the bond.

(E) The racing commission shall not submit a claim on a bond that expired more than twelve months earlier.

Effective: 07/02/2009
R.C. 119.032 review dates: 06/15/2014
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03

3769-12-11.2 Financial ability of permit holder.

(A) If, at any time regardless of the filing of a bankruptcy petition, a permit holder finds themselves in a situation where they are unable to make any payments or fulfill any financial obligations that are required under the permit, including but not limited to payments due to an aggrieved party as defined under paragraph (C) of rule 3769-12-11 of the Administrative Code, the permit holder shall immediately notify the racing commission in writing of its situation.

(B) If, in the racing commission's discretion the permit holder lacks the financial ability to continue its day to day operations; threatens the integrity of pari-mutuel wagering; threatens the health, safety, or welfare of the public, horse racing participants or other participants; and/or puts the wagering public at risk, the racing commission shall:

(1) Immediately suspend the permit holder's permit until such time that the racing commission determines that the permit holder has the financial ability to continue its day to day operations; or

(2) Require the permit holder to:

(a) Have a person approved in advance by the racing commission sign a guarantee of performance; or

(b) Set up a trust account, under terms and conditions as approved by the racing commission, for the benefit of the Ohio state racing commission for the benefit of aggrieved parties as defined by paragraph (C) of rule 3769-12-11 of the Administrative Code. The amount in such account shall be determined by the racing commission; or

(c) Obtain a bond in an amount prescribed by the racing commission, in favor of the Ohio state racing commission as obligee, the use and benefit of all aggrieved parties as defined by paragraph (C) of rule 3769-12-11 of the Administrative Code. This bond may be in addition to any bond provided in accordance with paragraph (B) of rule 3769-12-11 of the Administrative Code.

(C) The filing of a bankruptcy petition by a permit holder does not relieve the permit holder of any of the minimum requirements necessary to be issued and hold a permit to conduct pari-mutuel horse racing if, in the racing commission's discretion, it threatens the integrity of pari-mutuel wagering; threatens the health, safety, or welfare of the public, horse racing participants or other participants; and/or puts the wagering public at risk.

(D) For purposes of determining the amount payable on any bond, should the racing commission believe it may make a claim upon a bond, the racing commission shall notify the permit holder that it shall immediately but no more than ten days from the date of the notice provide the racing commission with the following information in writing:

(1) The amount of any unpaid salaries or wages earned or due to the permit holder's employees that are licensed by the commission. The permit holder must provide a schedule detailing all unpaid wages and salaries by employee, by time period.

(2) The amount of any purse money that is unpaid or owed to any licensed owners by the permit holder. The permit holder must provide a schedule detailing such unpaid amounts by owner, by race, and by date.

(3) The amount of any entry fees, nominating fees, eligibility fees, or sustaining fees paid by licensed owners that the permit holder has or should have in it possession. The permit holder must provide a schedule detailing such amounts by owner.

(4) The amounts owed by the permit holder to licensed owners by the horsemen's bookkeeper for horses claimed. The permit holder must provide a schedule detailing such amounts by owner.

(5) The amount the permit holder owes to the holders of winning uncashed pari-mutuel tickets. The permit holder must provide a schedule detailing these unpaid amounts, listed by date and race.

(6) All horsemen's bookkeeper funds, including purse money, should be held as separate interest bearing trust funds. The permit holder must verify that this has been done, that the amounts have not been commingled with other funds, and that the accounts holding such funds will not be subjected to the permit holder's claims of creditors, The permit holder must attach a detailed schedule of all such funds held, and the amounts, by the permit holder on the date prior to the date of filing of the bankruptcy petition, as well as any other amounts that were deposited into those funds after such date.

(7) All Ohio sires stakes monies shall be kept in a separate fund which shall be used exclusively for payment of purse money to parties entitled thereto in Ohio sires stake fund races. The permit holder must verify that this has been done, that the amounts have not been commingled with other funds, and that the accounts holding such funds will not be subjected to the permit holder's claims of creditors. The permit holder must attach a detailed schedule of all such funds held, and the amounts by the permit holder on the date prior to the date of bankruptcy, as well as any other amounts that were deposited into those funds after such date.

(8) The amounts of the "Combined Simulcast Horse Racing Purse Fund" due under section 3769.089 of the Revised Code and payments due to the collection and settlement agent under section 3769.0810 of the Revised Code. The permit holder must provide a detailed schedule.

(9) The amounts due and unpaid to any government authority in Ohio, including, but not limited to, state and local income taxes; commercial activity taxes; sales taxes; use taxes; excise taxes; horse racing taxes; employee withholding for federal, state, and local taxes; net profits taxes; school district income taxes; property taxes; workers' compensations premiums; unemployment compensations; etc. The permit holder must attach a schedule detailing such liabilities by jurisdiction and time period.

(10) A detailed list of any other amounts that are due or owed by the permit holder to any other aggrieved party as defined by rule 3769-12-11 of the Administrative Code.

(11) A schedule detailing each bank account held in the name of or on behalf of the permit holder. This shall include the name of the bank, the account number, the balance in the account as of the day of filing of the bankruptcy petition, and a detailed description of what the account is used for.

(12) Any other information the racing commission believes is necessary.

(E) The failure of the permit holder to provide the information listed in paragraph (D) of this rule in the prescribed time may result in an immediate suspension of the permit holder's permits. The permit shall remain suspended until the permit holder has satisfied the racing commission that it should re-open and continue to operate and that the health, safety, or welfare of the public, horse racing participants or other participants will be protected; and/or integrity of pari-mutuel wagering and the wagering public will be protected.

(F) Upon receipt of the information requested in paragraph (D) of this rule, the permit holder and any necessary representatives shall appear before the racing commission no later than the racing commission's next regularly scheduled monthly meeting. The racing commission may set a special meeting for the permit holder and its representatives to appear at.

(G) If the racing commission is concerned that the financial condition of the permit holder threatens the integrity of pari-mutuel wagering; threatens the health, safety, or welfare of the public, horse racing participants or other participants; and/or puts the wagering public at risk, then the failure of the permit holder to appear before the racing commission as directed in paragraph (F) of this rule may result in an immediate suspension of the permit holder's permit. The permit shall remain suspended until the permit holder has satisfied the racing commission that it should re-open and continue to operate.

(H) All of the above mentioned immediate suspensions may occur without a hearing.

(1) The racing commission shall issue a written order of suspension by certified mail or in person in accordance with section 119.07 of the Revised Code. If the permit holder subject to the immediate suspension requests and adjudicatory hearing by the racing commission, the date set for the hearing shall be within fifteen days, but not earlier than seven days, after the permit holder requests the hearing, unless otherwise, agreed to by both the racing commission and the permit holder.

(2) Any immediate suspension imposed under this division shall remain in effect, unless reversed on appeal, until a final adjudicative order issued by the racing commission becomes effective. The racing commission shall issue its final adjudicative order within seventy-five days after completion of its hearing. A failure to issue the order within seventy-five days shall result in dissolution of the summary suspension order but shall not invalidate any subsequent, final adjudicative order.

Effective: 07/02/2009
R.C. 119.032 review dates: 06/15/2014
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03

3769-12-12 Permits, agriculture societies, totalizator licenses.

(A) The commission may grant a permit to county or independent agricultural society, as defined by law, to conduct a parimutuel horse racing meeting during its annual fair, provided the dates of the fair have been approved by the Ohio director of agriculture.

(B) An application for a permit must be made by each agricultural society on a form the commission shall prescribe. The agricultural society shall be charged with the same duties and responsibilities as are commercial permit holders with respect to observance and enforcement of the Horse Racing Act, Revised Code, the rules of racing, and any orders issued by the commission, under penalties provided for in rule 3769-12-99 of the Administrative Code.

(C) No totalizator company may conduct parimutuel wagering during a fair until it has been licensed by the commission. Applications for licenses shall be made on a form prepared by the commission and shall be accompanied by the required fee contained in rule 3769-12-24 of the Administrative Code. Said application shall include, but shall not be limited to, the following:

(1) A copy of the contract between each county or independent agricultural society and the totalizator company that will conduct parimutuel wagering during the fair.

(2) A balance sheet setting forth the applicant's current net worth verified in writing under oath by the chief operating officer of the applicant.

(3) The wagering formats available for each race.

(4) A statement describing in detail the type of totalizator equipment to be used in conducting parimutuel wagering at the fair. This statement must include a description of the program capabilities of the equipment and its ability to generate any necessary calculations as required by Chapter 3769-13 of the Administrative Code.

(5) Any such other information as the commission may require.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85, 6/6/88

3769-12-13 Place, time and number of races.

The permit shall set forth the name of the permit holder, the place where the races or race meetings are to be held, the kind of races, running or harness, the days and time during which racing may be conducted by said permit holder, and the number of races to held daily, not to exceed eleven. Any such permit issued shall not be transferable or assignable. Upon application the commission may grant special permission for races in excess of eleven per day, and may grant special permission for race cards lost because of inclement weather or other emergencies, to be made upon on subsequent dates at the rate of one race per date or any additional dates within the limitations of section 3769.07 of the Revised Code. This rule applies to commercial tracks and not to county or independent fairs.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85, 8/1/91, 10/5/98

3769-12-14 Permit holders enforcement obligations.

It shall be the duty of each and every permit holder and the officers, officials and employees of said permit holder to observe and enforce the provisions of the Horse Racing Act, the rules of racing and such orders as may, from time to time, be issued by the commission. Every permit to hold a race meeting is granted upon the condition that the permit holder therein named accepts and agrees to observe and enforce the provisions of the Horse Racing Act, the rules of racing and such orders as may from time to time be issued by the commission.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-15 Post permit.

Every permit holder shall post in a prominent place, in the principal office at the race track during the horse racing meeting, the permit granted by the commission. Such permit shall be available to be observed at all reasonable times to any authorized person requesting to see it.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-16 Security.

(A) A permit holder shall ensure that the public areas of the permit grounds are designed and maintained for the comfort and safety of the patrons and licensees and are accessible to all persons with disabilities as required by federal law.

(B) A permit holder conducting a race meeting shall maintain security controls over its premises. Security controls are subject to the approval of the commission.

(C) On request by the commission, a permit holder shall provide a list of the security personnel, including the name, qualifications, training, duties, duty station and area supervised by each such person.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85, 8/1/91, 1/1/04

3769-12-17 Must furnish records.

(A) Every permit holder shall, upon demand in writing by the commission, furnish the commission a full and complete statement of receipts, expenditures, attendance and such other information as the commission shall require, with respect to any meeting, or with respect to any accounting period specified by the commission.

(B) Every commercial permit holder which does not own the real property at the place where a race meeting is to be conducted, at the time the application is filed for a permit, shall file a copy of the current lease with the commission unless there is one on file with the commission.

(C) The owner of the real estate shall, at the time the application for a racing permit is filed by its lessee, provide the following to the commission:

(1) A current financial statement showing assets and liabilities;

(2) Its latest operating statement showing its income and expenses relating to the real estate;

(3) A list containing the names and addresses, and occupations of all officers, directors, owners, shareholders, or partners. In case of a corporation whose stock is publicly traded, this information need only be supplied as to all officers and directors, and those stockholders owning or controlling ten per cent or more of the stock of the corporation;

(4) Any other pertinent information requested by the commission. If any other corporation or partnership owns ten per cent or more of the stock of the corporate owner of the real estate, such corporation or partnership shall be required to file the same information.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 9/1/73, 1/1/85

3769-12-18 Applications for licenses.

(A) Applications for licenses or reciprocal validations shall be made on a form prepared by the commission. The form shall be available on request and when submitted, fully completed, shall be accompanied by the required fee as stipulated in rule 3769-2-24 of the Administrative Code. No one shall be employed in any capacity unless they have been licensed. Each such license, unless revoked or suspended for cause, shall be for the period of one year from January first of the year in which the same shall be issued; except that, the commission may, through the presiding judge, cause a temporary license to be issued which will be valid for entering and racing pending administrative processing and final action by the commission on such license application. In no event shall such temporary license be considered valid later than thirty days after its issuance.

During the racing season, all applications shall be submitted to the judge for approval, except that all employees of the permit holder and concessions must have their applications approved by their department head prior to submittal to the judge. When approved by the judges and signed by at least one of them, the application shall be forwarded to the commission representative for licensing. If the judges reject or table any applications, they shall report such actions to the commission.

(1) All applications for licenses shall carry the full name and permanent address of the applicant with street or rural route number and zip code. No temporary address of any kind will be acceptable, unless the applicant shall affirm that they have no permanent address.

(2) If a licensee changes his/her address or telephone number at any time during the licensing year, it shall be the licensee's responsibility to notify the Ohio state racing commission of said change within fifteen days of the change.

(3) Any person who violates paragraph (A)(1) of this rule shall be subject to the penalties as provided in rule 3769-2-99 of the Administrative Code.

(B) A corporation, association, partnership or a trust when it files an application for a license shall also provide the following:

(1) A list of all officers, directors and stockholders or partners (both general and limited) with their names, addresses and occupations. If the stock is publicly traded, then only the names, addresses and occupations of the officers, directors and owners of ten per cent or more of the stock need be given;

(2) Any other pertinent information requested by the commission. If any other corporation or partnership owns ten per cent or more of the licensee, it shall file the same information. If the licensee is a concessionaire of the permit holder, it shall file a copy of its current lease or concession agreement.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 12/1/75, 1/1/85, 5/1/85, 9/5/86, 3/19/87, 10/4/92, 1/1/99

3769-12-19 Fingerprinting.

(A) Applicants for licenses issued by the commission shall submit their fingerprints to the commission once every five years. It shall be the responsibility of commercial permit holders to have fingerprints taken of all such persons for submission to the commission prior to such persons being approved for admission to the racing premises. Persons not appearing at racing premises shall submit their fingerprints in such manner as the commission shall prescribe. Said fingerprints shall be taken by competent and qualified personnel approved by the commission, and submitted on forms prescribed by the commission.

(B) The commission may forward to the federal bureau of investigation or any other agency for processing all fingerprints submitted by license applicants in compliance with section 3769.03 of the Revised Code. The commission shall maintain a file of such fingerprints.

(C) This rule shall not apply to harness horse owners who are currently and properly licensed as a harness horse owner in any other state or racing jurisdiction which has reciprocity with the Ohio state racing commission, provided said other state or racing jurisdiction requires the fingerprinting of owners for the purpose of a criminal record check at least once every three years.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 12/1/75, 1/1/85, 10/4/92

3769-12-20 Written testimony.

The commission may require any person making application for the first time to secure written testimony from two reputable persons that they are personally known to them, are of good reputation and are familiar with the duties of the position they seek.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-21 License restrictions, limitations and conditions.

(A) An applicant for a license must be sixteen years of age or older, however, the commission may grant a license to a person younger than sixteen years of age who is working on a permit holder's premises for his or her parents, or legal guardian, only. Any such license application for a person under the age of sixteen must be signed by his or her parent or legal guardian in the presence of one or more track judges.

(B) The application for an owner's license by a person under the age of eighteen must be accompanied by a notarized statement from their parent or guardian indicating said parent or guardian assumes responsibility for meeting all financial, contractual or other obligations relating to all racing activities of said applicant.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-23 License qualifications for drivers, trainer, second trainer and horseshoer.

(A) Each driver-trainer, trainer without driving rights or horseshoer desiring a license shall make application for same in writing on a form provided by the commission (see appendix A of this rule). All applicants shall state their full name and address, age, and whether or not they, at time of application are under suspension, revoked, ruled off or otherwise debarred from training or driving in any jurisdiction. They shall also set forth in said application such other information or data concerning their past record, their experience and qualifications, as may be required by the commission. All applicants shall sign the application and may be required to affirm the truth of all statements therein before a notary public.

(B) No trainer or assistant trainer license will be issued to an applicant until said applicant is designated by the owner or trainer as the trainer of a horse eligible and entered to race in a parimutuel race in Ohio.

(C) A licensed second trainer shall assume the same duties and responsibilities as imposed on the holder of a trainer's license. The licensed trainer shall be jointly responsible with his or her assistants for all acts and omissions of such assistant and involving a racing matter.

(D) Any person who trains horses solely owned by himself and/or wife who engages catch drivers to drive said horses may make application for A license as a trainer without driving rights. After passing any test the presiding judge may require. Such applicant may perform all duties of a licensed driver-trainer except drive in races and will be the absolute insurer of and responsible for the condition of the horses entered in a race as outlined in rule 3769-18-02 of the Administrative Code.

(E) An applicant for a horseshoer's license who has not been previously licensed in this state must have a written statement of two reputable persons to the effect that the applicant is personally known to them; that he or she is a person of good reputation and capable of performance of the vocation he or she seeks to follow. Said applicant shall be tested by a board consisting of a veterinarian, trainer and a licensed horseshoer or other qualified person appointed by the board of judges.

(F) An applicant for a horseshoer license may be issued an Ohio license without being tested in the manner provided in paragraph (E) of this rule, providing he/she has a current valid horseshoer license from another state or racing jurisdiction, which requires competency testing or similar qualifications for horseshoer applicants in that state, or from which racing jurisdiction the applicant obtains a written statement of his/her competence from a presiding judge in said state or jurisdiction.

(G) Each trainer, assistant trainer, or horseshoer must provide workers' compensation coverage in accordance with Ohio law for all of his or her employees who are connected with racing and upon request of the commission the applicant for such licenses must provide satisfactory proof of such coverage.

Appendix A - To obtain the appendix, table, image, etc. please call LSC's ERF Helpdesk at 614-387-2078 or send an email to erfhelpdesk@lsc.state.oh.us.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/16/70, 5/1/79, 1/1/85, 1/1/87, 12/5/94, 10/5/98

3769-12-24 License fees.

(A) All persons in the list below shall procure an annual license from the commission, and the fees shall be as follows:

Admission employee $ 15.00

Announcer (race or track) 50.00

Assistant trainer 50.00

Authorized agent 50.00

Assistant racing secretary 50.00

Assistant starter 50.00

Chief of security 50.00

Clerical 15.00

Clerk of course 50.00

Concession employee 15.00

Concession manager 50.00

Doctor 50.00

Driver-trainer 50.00

Duplicate 15.00

Eligibility to claim 25.00

General manager (other management positions) 100.00

Groom 10.00

Horsemen's bookkeeper 50.00

Horseshoer 50.00

Identifier 50.00

Maintenance 15.00

Medical and first aid 15.00

Mutuel employee 15.00

Mutuel manager 50.00

Outrider 15.00

Owner 50.00

Owner's reciprocal validation 50.00

Paddock judge 50.00

Parking lot employee 15.00

Partnership 25.00

Patrol judge 50.00

Photographer 50.00

Placing judge 50.00

Presiding judge 100.00

Racing secretary 100.00

Security 15.00

Stable name (primary) 50.00

Stable name (secondary) 25.00

Starter 50.00

Judge 50.00

Supply sales (owner) 100.00

Supply sales 15.00

Telephone operator 15.00

Timer 15.00

Trainer only 50.00

Veterinarian 100.00

Veterinarian's assistant $ 15.00

Special A (professional) 100.00

Special B (technical) 50.00

Special C (clerical/miscellaneous) 15.00

(B) Totalizator companies

(1) No corporation, partnership, association, trust, sole proprietorship, or any other entity that is responsible for the equipment and software used in connection with the conducting and/or servicing of pari-mutuel wagering at a racetrack or other authorized pari-mutuel wagering facility may conduct said pari-mutuel wagering until it has been licensed by the commission. Applications for annual licenses shall be made on a form prepared by the commission, which shall be available upon request, and when submitted, fully completed, shall be accompanied by the required fee of one thousand dollars. Said application shall include, but shall not be limited to, the following:

(a) A copy of the contract (excluding information relative to proprietary trade secret information) between each racetrack or other authorized pari-mutuel wagering facility and the corporation, partnership, association, trust, sole proprietorship, or any other entity that is responsible for the conducting of and/or servicing of pari-mutuel wagering during the race meeting or at the authorizing pari-mutuel wagering facility;

(b) Certified financial statement setting forth the applicant's current net worth, verified in writing under oath by the chief operating officer of the applicant;

(c) A detailed statement of the wagering formats available for each race;

(d) A statement describing in detail the type of totalizator equipment to be used in the conducting of pari-mutuel wagering at the racetrack or at the authorized pari-mutuel wagering facility. This statement must include, but is not limited to, a description of the program capabilities of the equipment and its ability to generate any necessary calculations, its ability to interface where applicable, as well as a procedures manual which specifically identifies a reasonable audit procedure;

(e) Any such other information as the commission may require.

(2) Any totalizator company which is involved in the computerized calculation of mutuel payoffs and/or mutuel totals for any Ohio permit holder must have the computer equipment performing such work physically located within the state of Ohio except as provided in paragraph (B)(5) of this rule . Such computer equipment may be located at a racetrack in Ohio, at a computer hub or a regional computer center or any other facility located in the state of Ohio and approved by the Ohio state racing commission. This portion of this rule does not necessarily apply when a permit holder in Ohio is receiving a simulcast from a racetrack located outside of the state of Ohio.

(3) All persons employed in or by any totalizator company or facility, as described in paragraph (B)(2) of this rule, must be individually licensed by the Ohio state racing commission. The license fee for any totalizator management supervisory employee shall be one hundred dollars and the license fee for all other employees shall be fifty dollars.

(4) This rule shall not apply to restricted totalizator companies which work only county and/or independent fairs.

(5) A totalizator company which is involved in the computerized calculation of mutuel payoffs and/or mutuel totals for any Ohio permit holder may have the computer equipment performing such work physically located outside the state of Ohio only for an Ohio permit holder whose ownership has racing facilities outside of the state of Ohio and who utilize the same totalizator company. A totalizator company who maintains their computer equipment outside of the state of Ohio shall timely provide the Ohio state racing commission with all data that is required to be reported by a totalizator company who maintains their computer equipment in the state of Ohio. All persons employed by an out-of-state totalizator company or facility doing work for an Ohio permit holder must be individually licensed by the Ohio state racing commission. The license fee for any totalizator management supervisory employee shall be one hundred dollars and the license fee for all other employees shall be fifty dollars.

(C) Restricted license, county fairs:

Totalizator $ 100.00

All quarter horse participants 10.00

Driver-trainer 10.00

Groom 5.00

Mutuel employee 10.00

Owner 10.00

Racing official 10.00

Special D (miscellanous) 10.00

(D) As part of the licensing fee, and in addition to those amounts listed in paragraphs (A) and (B) of this rule, all applicants shall be charged the necessary fees, to cover all fingerprinting costs once every five years.

(E) Any person who has lost his or her license shall be required to acquire a duplicate license from the commission for a fee of fifteen dollars. Should the original license be found, the licensee shall return the duplicate license to the judges or to the commission.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/76, 1/1/84, 1/1/85, 8/1/85, 10/15/85, 1/1/88, 10/14/88, 10/4/92, 1/1/93, 12/5/94, 6/1/95, 10/1/06

3769-12-25 One license requirement.

Except for owners, trainers or other classifications where the breed of horse could have a direct bearing on a person's qualifications for a license, only one license is required of licensees who are performing the same function at thoroughbred, harness or quarterhorse meetings.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/76, 1/1/84, 1/1/85. 9/5/86

3769-12-26 License refused, revoked, suspended.

(A) The commission may refuse to grant, may revoke or may suspend any license, or may otherwise penalize, under the provisions of rule 3769-12-99 of the Administrative Code, a person to whom any of the following apply:

(1) The applicant or licensee has been convicted of a felony within the preceding ten years;

(2) The applicant or licensee has had a license of the legally constituted racing authority of any state, province or nation, denied, suspended or revoked for cause within the preceding five years;

(3) The applicant or licensee is presently under suspension for cause of any license by the legally constituted racing authority of any state, province or nation;

(4) The applicant or licensee has violated or attempted to violate any provision of Chapter 3769. of the Revised Code or the Ohio rules of racing;

(5) The applicant or licensee has perpetrated or attempted to perpetrate any fraud or misrepresentation in connection with the racing or breeding of horses;

(6) The applicant or licensee has demonstrated financial irresponsibility by accumulating unpaid obligations, defaulting in obligations or issuing drafts or checks that are dishonored or payment refused;

(7) The applicant or licensee has made any material misrepresentation in his or her application for license;

(8) The applicant or licensee has engaged in bookmaking, touting, or similar pursuits or has consorted with persons engaged in such activities;

(9) The applicant or licensee has abandoned, mistreated, abused, neglected or engaged in an act of cruelty to a horse;

(10) The applicant or licensee has engaged in conduct which is against the best interest of horse racing;

(11) The applicant or licensee has failed to comply with a written order or ruling of the commission or judges, pertaining to a racing matter;

(12) The applicant or licensee has failed to answer correctly under oath to the best of his/her knowledge all questions asked by the commission, or its representatives, pertaining to a racing matter;

(13) The applicant or licensee fails to return to the permit holder any purse monies, trophies and/or awards paid in error and/or ordered redistributed by the commission;

(14) The applicant or licensee shall not have in his/her possession on a permit premises any alcoholic beverage other than a beverage legally sold to them through the permit holder's concession operation;

(15) The applicant or licensee in any way interferes with or obstructs any member of the Ohio state racing commission, any commission employee or any racing official while said commissioner, commission employee or racing official is performing his/her duties.

(B) In any proceeding on the question of whether a licensee should be penalized under the provisions of this rule, the commission may consider its own prior formal actions as to the applicant or licensee as indicated by its own records. In cases where the same applicant or licensee has previously had a hearing conducted at his/her request in accordance with Chapter 119. of the Revised Code at which such applicant was present either in person or by counsel, the commission may consider all or any part of the evidence presented at such previous hearing. Where the subsequent proceeding is also a public hearing in accordance with Chapter 119. of the Revised Code, all or any part of the transcript of such previous hearing and all or any part of any relevant evidence received therein may be received in evidence upon submission by either party and considered by the commission as may be appropriate in the determination of the question before it in such subsequent hearing.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 2/12/73, 1/1/84, 1/1/85, 9/5/86

3769-12-27 License required.

(A) Persons participating or attempting to participate in racing, or any other person employed or working in any other capacity on the race track premises, without first applying for a license, shall be denied admission to the premises, and their failure to apply shall be considered grounds for denial of such license if subsequently applied for.

(B) Any licensee who employs any unlicensed person in any capacity may be suspended by the judges and may be fined not more than one thousand dollars.

(C) The commission may fine any permit holder which employs any unlicensed person in any capacity an amount not in excess of the maximum permitted by law.

(D) Persons participating or attempting to participate in racing after having been denied a license to participate, may be ruled off by the commission.

(E) Paragraph (A) of this rule shall not apply to sworn law enforcement officers with arrest powers or members of the working press or media assigned to cover events at the race track.

(F) Any licensee who signs in a guest or "special permission" person who is not licensed will be held accountable for their guests actions.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85, 10/15/85, 9/5/86, 10/5/98

3769-12-28 Conduct by licensee.

All persons licensed pursuant to the provisions of rules 3769-12-24 and 3769-12-25 of the Administrative Code shall, while in attendance at racing meetings, conduct themselves in a respectful and temperate manner. With the exception of officers and employees of permit holders whose duties include the entertainment of patrons, and then only to the extent of drinking at public bars with patrons so entertained, no officers or employees of any permit holder shall consume any alcoholic beverages while in attendance during racing hours at racing meetings conducted by such permit holder. Reasonable care shall be exercised by officers of permit holders to assure that these provisions are not violated.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-29 Fraudulent or improper practice.

(A) Any license issued by the commission may, after a proceeding before the commission and in compliance with Chapter 119. of the Revised Code, be revoked for corrupt, fraudulent or improper practice on the part of the holder, or for conduct detrimental to the best interest of racing.

(B) Any licensee who by any act intentionally attempts to or actually corruptly affects the outcome of a horse race shall be fined one thousand dollars and suspended for one year by the judges, and be referred to the commission for any additional penalty. Upon finding a licensee has committed such an act, the commission may revoke any Ohio state racing commission license(s) held by the licensee for life and/or rule off such licensee from all Ohio race tracks for life.

(C) Any licensee who, even though not directly involved in the act, has knowledge of any act which corruptly affects or attempts to corruptly affect the outcome of a horse race and fails to report said knowledge to the judges shall be fined one thousand dollars and suspended for one year by the judges and be referred to the commission for any additional penalty. Upon finding a licensee has failed to properly report knowledge of such an act, the commission may revoke any Ohio state racing commission license(s) held by the licensee for life and/or rule off such licensee from all Ohio race tracks for life.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85, 9/16/88, 10/5/98

3769-12-30 Conduct, partnership, corporate.

(A) In addition to the causes for any penalty to be assessed against a permit holder or licensee elsewhere set out in the rules of the Ohio state racing commission, any permit holder or licensee employed in any capacity at a permit holder's track, may be penalized under the provisions provided for in rule 3769-12-99 of the Administrative Code for any of the following reasons:

(1) The intentional making of any materially false statement in connection with an application for a permit or license;

(2) Conduct by an applicant, licensee, or permit holder in violation of section 2915.06 of the Revised Code.

(B) If a license issued to any member of a partnership should be revoked by the commission pursuant to the foregoing provisions of this rule, any permit thereafter applied for by such partnership may be denied. If such partnership be a permit holder and the remaining members of such partnership shall fail to arrange, upon gaining knowledge of such revocation, that such member thereof whose license has been revoked shall thereafter be denied access to the grounds of such permit holder and be prevented from participating thereafter in the conducting of such partnership of the racing meeting for which such permit is issued, the permit issued to such partnership may be penalized under the provisions of rule 3769-12-99 of the Administrative Code.

(C) If a license issued to the holder of ten per cent of the voting shares of capital stock of a corporate permit holder should be revoked by the commission, such revocation shall constitute grounds for any penalty provided for in rule 3769-12-99 of the Administrative Code to be levied against such corporation during such period as the person whose license shall have been revoked continues to be the holder of ten per cent of the voting shares of capital stock of such corporate permit holder.

(D) If a license issued to a person who is an officer, or director of a corporate permit holder should be revoked, and such permit holder should fail with reasonable promptness to take the corporate action required to remove such person as an officer or director, such revocation shall constitute grounds for any penalty provided for in rule 3769-12-99 of the Administrative Code to be levied against the permit holder so long as the person whose license shall have been revoked continues to be an officer or director of such corporation.

(E) The provisions of the three preceding paragraphs of this rule concerning corporate permit holders and permit holders which are partnerships, shall cease to be applicable in every case at such time as the commission may thereafter issue a license to the member of such partnership whose license shall have been revoked, or may thereafter issue a license to the officer, director, or holder of the aforementioned proportion of the voting shares of capital stock of such corporate permit holder whose license shall have been revoked.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 3/15/66, 1/1/85

3769-12-31 Proved unconstitutional.

Should any rule or any part of any rule of the Ohio state racing commission be found to be unconstitutional, the remaining part of the rule and/or the remaining rules will not be invalidated.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85

3769-12-32 Financial responsibility action fee.

Any individual, company or other entity who requests the commission to take action against a licensee under the financial responsibility rule shall submit the request in writing indicating the debt owed was horse race related. The request must be accompanied by a certified copy of the court judgment against the licensee and a non-returnable fee of one hundred dollars by certified check or money order made payable to the "Ohio State Racing Commission."

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85

3769-12-33 Unrestricted competitive bidding procedure.

(A) For purposes of section 3769.20 and division (G) of section 3769.08 of the Revised Code, unrestricted competitive bidding procedures, shall include the following:

(1) Notice shall be given to the public that bids are being accepted on the project.

Notice shall be given in at least two daily newspapers of general circulation for a minimum period of seven days, and generally describe the type of work to be performed. Proof of publication shall be provided to the commission with the application for tax abatement.

(2) Identical definite specifications and plans describing the work to be done shall be presented to all interested bidders. The notice shall give the location and person from whom the specifications can be obtained.

(3) The notice and specifications shall set a deadline before which bids shall be submitted and the date as to when the bids will be opened. The bids shall be submitted sealed and not opened until after the deadline.

(4) No contract shall be awarded a bidder unless a minimum of three bids have been received before the deadline. If three bids have not been received, notice shall again be given in accordance with paragraph (A) of this rule, the deadline shall be extended, and the bids that have been submitted shall remain sealed until the new deadline has passed and a total of at least three bids have been submitted.

(5) The bids shall be submitted on such forms as the commission shall prescribe (see appendix A of this rule).

(6) The commission may approve the application and find that the contract was let under unrestricted competitive bidding even though the contract was not granted to the lowest responsive and responsible bidder, if the applicant presents sufficient reasons to the commission which justify their choice. Such reasons may include but are not limited to the reputation and reliability of the bidder, the bidder's experience in the type of work involved, and the comparative quality of the different materials offered for the cost, as well as their adaptability.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 9/5/86, 8/1/91

3769-12-35 Simulcasting of races.

All simulcast races on which pari mutuel wagering is conducted by a permit holder shall be in accordance with the following conditions and/or restrictions:

(A) All simulcast races must be conducted in full compliance with section 3769.089 of the Revised Code.

(B) Except by special permission of the commission no permit holder may simulcast more than two races per race day.

(C) A copy of the simulcast contract, between a permit holder and the originating track, must be in the commission office prior to the simulcasting of a race by a permit holder, unless otherwise waived by the commission.

(D) When simulcasting any race, other than those races on which there is a common pari-mutuel wagering pool that is processed and priced by other than the permit holder's totalizator system, the permit holder must prominently display the amounts wagered, as well as the wagering odds at the permit holder's track, on each horse participating in the simulcast race(s). After the race has been made official, this display device will also show the pay offs of all wagers accepted on the race. In all races in which there is a common pari-mutuel pool, the permit holder must prominently display the total amount wagered in the common pool at all tracks.

(E) When simulcasting a race the permit holder must provide telephone communications between the stewards' stand, tote room or other approved location at the originating track and the stewards' stand, tote room or other approved located at the permit holders track. The telephone equipment shall be used, for a reasonable time, prior to the scheduled post time, of the race to be simulcasted and until the results of the simulcast race are declared official by the stewards at the originating track.

(F) Wagering on a simulcast race, other than those races on which there is a common pari-mutuel pool that is processed and priced by other than the permit holder's totalizator system, will close and the pari-mutuel machines of the permit holder will be locked by the mutual manager or designee at the permit holder's track at the time the stewards at the originating track indicate the race has started or at the time the mutuel manager or designee at the permit holder's track see the start of the race on television. On those races on which there is a common pari-mutuel pool that is processed and priced by other than the permit holder's totalizator system, the permit holder's mutuel manager or his designated representative shall be responsible for closing wagering if the host track fails to close wagering at the permit holder's facility.

(G) If technical problems cause a loss of either/or the audio or visual signal of a simulcast race, wagering can continue as long as the officials have communication with the host track and wagering is stopped at the proper time when the simulcast race begins.

(H) The violation of any part of this rule shall subject the person and/or permit holder, in violation of the rule, to the penalties provided in rule 3769-2-99 of the Administrative Code.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 8/1/91, 3/1/96

3769-12-36 Satellite facilities.

(A) Unless a rule is specifically exempt from enforcement on the premises of a satellite facility, all applicable Ohio State Racing Commission rules shall apply to any satellite facility in the same manner such rules apply to a commercial permit holder.

(B) As used in this rule, "Applicable Ohio State Racing Commission rules" shall mean all rules which pertain in any way to a commercial permit holder.

(C) Once a permit holder has filed an application for a license to operate a satellite wagering facility, the commission shall conduct a background investigation of the owners or stockholders of land, space or premises used for the proposed construction or operation of the satellite wagering facility. The commission shall require a complete disclosure of all owners or stockholders of the land, space or premises in question in an application submitted to the commission within thirty days of receipt of permit holder's satellite wagering facility application.

The potential lessor shall state in the application whether he has ever been convicted of a felony or pled guility to a felony charge and provide any applicable exhibits. The applicant shall submit a set of fingerprints taken at a law enforcement agency and provide complete authorization to release any criminal records to the commission.

Such application will be unnecessary if the permit holder proposing to operate the satellite wagering facility provides documentation of complete ownership of the land and premises within thirty days of receipt of permit holder's satellite wagering facility application.

(1) The commission shall collect from permit holders any and all costs for materials, personnel and the conduct of a hearing as the result of any submission by a potential lessor containing any falsification of information contained in any application or exhibit.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 9/1/95, 1/1/99

3769-12-37 Definitions.

As used in rules 3769-2-37 to 3769-2-41 of the Administrative Code, unless the context requires otherwise:

(A) "Access" as a noun means an instance of copying, viewing, or otherwise perceiving whereas "access" as a verb means to copy, view, or otherwise perceive.

(B) "Acquisition of a new computer system" means the purchase of a "computer system,"as defined in this rule, that is not a computer system currently in place nor one for which the acquisition process has been initiated as of the effective date of the commission rule addressing requirements in section 1347.15 of the Revised Code.

(C) "Computer system" means a "system," as defined by section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

(D) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the commission in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the commission confidential.

(E) "Employee of the commission" means each employee of a commission regardless of whether he/she holds an elected or appointed office or position within the commission. "Employee of the commission" is limited to the specific employing commission.

(F) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(G) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian, or legal guardian.

(H) "Information owner" means the individual appointed in accordance with division (A) of section 1347.05 of the Revised Code to be directly responsible for a system.

(I) "Person" means a natural person.

(J) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(K) "Personal information system" means a "system" that "maintains" "personal information" as those terms are defined in section 1347.01 of the Revised Code. "System" includes manual and computer systems.

(L) "Research" means a methodical investigation into a subject.

(M) "Routine" means commonplace, regular, habitual, or ordinary.

(N) "Routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person" as that phrase is used in division (F) of section 1347.01 of the Revised Code means personal information relating to employees and maintained by the commisison for internal administrative and human resource purposes.

(O) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(P) "Upgrade" means a substantial redesign of an existing computer system for the purpose of providing a substantial amount of new application functionality, or application modifications that would involve substantial administrative or fiscal resources to implement, but would not include maintenance, minor updates and patches, or modifications that entail a limited addition of functionality due to changes in business or legal requirements.

Effective: 02/01/2011
R.C. 119.032 review dates: 09/15/2015
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03 , 1347.15

3769-12-38 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the commission shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the commission are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the commission to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The commission shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.

(B) Individual's request for a list of confidential personal information. Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the commission, the commission shall do all of the following:

(1) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(2) Provide to the individual the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and

(3) If all information relates to an investigation about that individual, inform the individual that the commission has no confidential personal information about the individual that is responsive to the individual's request.

(C) Notice of invalid access.

(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the commission shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the commission shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, the commission may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.

"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the commission determines that notification would not delay or impede an investigation, the commission shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the commission shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.

(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(D) Appointment of a data privacy point of contact. The executive director shall designate an employee of the commission to serve as the data privacy point of contact. The data privacy point of contact shall work with the chief privacy officer within the office of information technology to assist the commission with both the implementation of privacy protections for the confidential personal information that the commission maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The executive director shall designate an employee of the commission to serve as the data privacy point of contact who shall timely complete the privacy impact assessment form developed by the office of information technology.

Effective: 02/01/2011
R.C. 119.032 review dates: 09/15/2015
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03 , 1347.15

3769-12-39 Valid reasons for accessing confidential person information.

(A) Performing the following functions constitute valid reasons for authorized employees of the commission to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of CPI the commission maintains on that individual;

(3) Administering a constitutional provision or duty;

(4) Administering a statutory provision or duty;

(5) Administering an administrative rule provision or duty;

(6) Complying with any state or federal program requirements;

(7) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;

(8) Auditing purposes;

(9) Licensure [or permit, eligibility, filing, etc.] processes;

(10) Investigation or law enforcement purposes;

(11) Administrative hearings;

(12) Litigation, complying with an order of the court, or subpoena;

(13) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);

(14) Complying with an executive order or policy;

(15) Complying with a commission policy or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar commission; or

(16) Complying with a collective bargaining agreement provision.

(17) Any other reason the executive director documents is necessary for the commission to carry out its duties to regulate the horse racing industry.

Effective: 02/01/2011
R.C. 119.032 review dates: 09/15/2015
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03 , 1347.15

3769-12-40 Confidentiality statutes.

The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the commission confidential and identify the confidential personal information within the scope of rules promulgated by this commission in accordance with section 1347.15 of the Revised Code:

(A) Social security numbers: 5 U.S.C. 552a . , unless the individual was told that the number would be disclosed.

(B) "Bureau of Criminal Investigation and Information" criminal records check results: section 4776.04 of the Revised Code.

Effective: 02/01/2011
R.C. 119.032 review dates: 09/15/2015
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03 , 1347.15

3769-12-41 Restricting and logging access to confidential personal information in computerized personal information systems.

For personal information systems that are computer systems and contain confidential personal information, the commission shall do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(B) Acquisition of a new computer system. When the commission acquires a new computer system that stores, manages or contains confidential personal information, the commission shall include a mechanism for recording specific access by employees of the commission to confidential personal information in the system.

(C) Upgrading existing computer systems. When the commission modifies an existing computer system that stores, manages or contains confidential personal information, the commission shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by employees of the commission to confidential personal information in the system.

(D) Logging requirements regarding confidential personal information in existing computer systems.

(1) The commission shall require employees of the commission who access confidential personal information within computer systems to maintain a log that records that access.

(2) Access to confidential information is not required to be entered into the log under the following circumstances:

(a) The employee of the commission is accessing confidential personal information for official commission purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The employee of the commission is accessing confidential personal information for routine office procedures and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(c) The employee of the commission comes into incidental contact with confidential personal information and the access of the information is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(d) The employee of the commission accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(i) The individual requests confidential personal information about himself/herself.

(ii) The individual makes a request that the commission takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(3) For purposes of this paragraph, the commission may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The commission shall issue a policy that specifies the following:

(1) Who shall maintain the log;

(2) What information shall be captured in the log;

(3) How the log is to be stored; and

(4) How long information kept in the log is to be retained.

Nothing in this rule limits the commission from requiring logging in any circumstance that it deems necessary.

Effective: 02/01/2011
R.C. 119.032 review dates: 09/15/2015
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03 , 1347.15

3769-12-99 Penalties commission may impose.

(A) For a violation of any rule in this chapter and unless a rule specifically precludes the judges from doing so, the judges, upon the concurrence of two such officials, may fine a licensee an amount not in excess of the amount permitted by section 3769.091 of the Revised Code and/or suspend licenses, upon the concurrence of two such officials, for a period not to exceed the length of time permitted by section 3769.091 of the Revised Code and/or refer the licensee to the commission for further action.

Any fine or suspension may be appealed to the commission. Such appeal shall stay the fine or suspension until further action by the commission.

(B) In addition to any other penalty provided, or in the event no penalty has been provided, the commission, may, upon finding a licensee has violated a rule of this chapter, fine the licensee an amount not in excess of the amount prescribed by law and/or deny, suspend or revoke any Ohio state racing commission license held by the licensee and/or rule off any such licensee from all Ohio race tracks.

(C) Should the commission find a permit holder, or a representative of the permit holder has violated a rule in this chapter, they may fine said permit holder or the representative of the permit holder an amount not in excess of the amount prescribed by law and/or deny, suspend or revoke any license and/or permit held by said permit holder or representative of the permit holder and/or rule off any such permit holder's representative.

(D) Each day during which any violation of a rule in this chapter continues to occur shall be considered a separate offense and any person and/or permit holder continuing to violate said rule or rules may be penalized separately for each day the violation occurs.

(E) Any person who violates any provisions of the Horse Racing Act or any of the Ohio rules of racing for which no penalty is otherwise provided, may be denied a license under such rules. A licensee under such rules may be fined, may have his/her license suspended or revoked or may be ruled off. Any permit holder who violates any of the provisions of the Horse Racing Act or any of the Ohio rules of racing for which a penalty is not otherwise provided, may have the permit suspended or revoked, or may be denied a permit upon subsequent application therefor.

R.C. 119.032 review dates: 11/21/2013 and 11/21/2018
Promulgated Under: 119.03
Statutory Authority: 3769.03
Rule Amplifies: 3769.03
Prior Effective Dates: 1/1/85