This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and
universities.
| Rule |
Rule 3769-2-01 | The commission, right to search.
Effective:
March 21, 2024
(A) Members of the commission and its
representatives 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,
its representatives, the state steward or judge investigating for violations of
law or of the rules and regulations of the commission, 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 need a license by the
commission when such persons are within the racetrack premises or those who
have gained access by special permission; (2) Vendors licensed by the
commission when they are within the racetrack premises; (3) Stables, rooms, vehicles and any
other place within the racetrack 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 racetrack 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, they will be automatically suspended by the
stewards and referred to the commission who may revoke the licensee's Ohio
state racing commission license and rule the licensee off all Ohio tracks for
the remainder of the calendar year and/or assess any other penalty provided for
in rule 3769-2-99 of the Administrative Code.
Last updated March 21, 2024 at 8:53 AM
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Rule 3769-2-02 | May engage auditor.
Effective:
March 21, 2024
The commission may at any time 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 will be borne by the
commission.
Last updated March 21, 2024 at 8:54 AM
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Rule 3769-2-03 | Procedure for adoption of rules.
Effective:
March 21, 2024
(A) A majority of the members of the Ohio
state racing commission will concur to adopt, amend, or rescind a rule. Any
member of the Ohio state racing commission may record their 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 will 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 will 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 will furnish the
public notice needed 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 and/or an electronic
address.
Last updated March 21, 2024 at 8:54 AM
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Rule 3769-2-04 | Public notice of commission meetings.
Effective:
March 21, 2024
(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 during normal business hours; 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 will
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 is complete if a message has been left for
the media representative, or with reasonable effort, the commission has been
unable to provide telephone notice; (3) Informing the media
representative personally no later than twenty-four hours to the special
meeting. (C) In the event of a special meeting of
an emergency nature needing immediate official action, the commission will
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
paragraph (B)(1), (B)(2) or (B)(3) of this rule or by notifying the clerk of
the state house press room. In such event, the notice need not be given
twenty-four hours prior to the meeting, but will 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 will be placed on the commission's agenda mailing list. The
commission will, within a reasonable time prior to each meeting, send by
regular mail, electronic mail, or fax an agenda of the meeting to those
persons. The commission may assess a reasonable fee, not to exceed the cost of
copying and mailing for notices sent to persons in accordance with this
rule.
Last updated March 21, 2024 at 8:54 AM
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Rule 3769-2-05 | Jurisdiction.
Effective:
March 21, 2024
All racing in Ohio over which the commission has
jurisdiction and supervision will 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
will be determined by the stewards, judges, or the commission as the case may
be.
Last updated March 21, 2024 at 8:54 AM
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Rule 3769-2-06 | Commission rules supersede.
Effective:
March 21, 2024
Except for Ohio sires stakes, Ohio sired,
Ohio-foaled, or Ohio accredited races where the conditions are approved by the
commission, this chapter or any other rule adopted by the commission supersede
the conditions of a race or the regulations of a permit holder when they
conflict.
Last updated March 21, 2024 at 8:54 AM
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Rule 3769-2-07 | Gifts forbidden.
Effective:
March 21, 2024
No permit holder, member, officer, director, or
employee of a permit holder will give or offer to any member, employee,
representative of the commission, or to any relative of any member, employee,
or representative, any 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.
Last updated March 21, 2024 at 8:55 AM
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Rule 3769-2-08 | Applicants for permit to conduct a horse race meeting.
Effective:
March 21, 2024
(A) Any person, group of persons,
association, corporation, or trust desiring to hold or conduct a horseracing
meeting, wherein the parimutuel system of wagering is permitted, will 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 will state, or there will be attached the
following information: (1) The full names and
address of the person, persons, association, corporation, or trust making
application; (2) If the applicant is
an association, the names and mailing 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 mailing addresses of all 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 all its trustees and beneficiaries; (5) If the applicant is a
partnership, the names and mailing addresses of each partner; (6) If the applicant is a
limited partnership, the name, mailing addresses, and percentage of ownership
of each limited or general partner; (7) The dates and exact
location where the applicant will conduct race meetings; (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 home
address of the owner, or the names and home addresses of the directors if the
lessee is a corporation; and (10) Any other information the commission
may need.
Last updated March 21, 2024 at 8:55 AM
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Rule 3769-2-09 | Application for racing dates.
Effective:
March 21, 2024
(A) Applications for permits for each
succeeding year will be made in writing to the secretary of the commission not
later than August fifteenth. The commission will meet as soon as practicable
for the purpose of acting on said applications. Permits issued will cover only
such dates as the commission grants. The applicant may file with its
application a brief setting forth reasons for desiring the dates
sought. (B) Applications for commercial permits
are to 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 has to accompany each application. In addition, the
applications will 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 will be held by the commission for purpose provided for in section
3769.05 of the Revised Code. (C) Each applicant for a commercial
permit will, 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.
Last updated March 21, 2024 at 8:55 AM
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Rule 3769-2-10 | File list of officials.
Effective:
March 21, 2024
(A) Each applicant for a commercial
permit will at the time of making such application, or not less than thirty
days prior to the first day of the racing meeting for which a permit is
granted, file with the commission a listing of the names of each associate
steward, associate judge, identifier, starters, racing secretary, assistant
racing secretary, handicapper, clerk of scales, clerk of course, jockey room
custodian, paddock judge, patrol judges, placing judges, 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 will submit
certification that each official listed is competent to hold that position. No
permit will be issued unless this list of officials is approved by the
commission. Any changes in officials during the race meeting will be reported
promptly to the commission for approval. (B) Before an individual is approved by
the commission to serve as a steward, they have to demonstrate possession of
the mental and physical qualifications to perform the duties of a steward or
judge. In addition, the applicant needs to have experience, knowledge of the
horse racing industry, and completed the appropriate training. The commission
may also consider a person's character, reputation, and temperament prior
to approval.
Last updated March 21, 2024 at 8:55 AM
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Rule 3769-2-11 | Permit to race.
Effective:
March 21, 2024
(A) No permit will 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 has 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 will 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 are
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 instruct the filing of a surety bond with the commission as
hereinafter provided. In no event may a person, association, firm or
corporation having a net worth of less than five hundred thousand dollars be
issued 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
determines that a surety bond as will be filed with the commission, such bond
will be in favor of the Ohio state racing commission as obligee, for the use
and benefit of all aggrieved parties, as defined, will have sureties to the
satisfaction of the commission in an amount not to exceed one million dollars,
and will be conditioned upon payment by the permit holder of all financial
obligations (provided, however, that no bond will be compelled 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 3769-2-24 and 3769-2-25 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 might 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 3769-2-24 and 3769-2-25 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 might 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. (6) Jockeys or drivers
which have outstanding fees owed to them. (D) All horsemens' bookkeeper funds
will be held as a separate interest bearing trust fund and there will be no
commingling of these funds with any other funds. The money the fund and all
interest accrued will be held for benefit of the horsemen. This language is not
be construed to ban the use of trust funds to purchase certificates of deposit
or U.S. treasury notes. (E) Ohio sires stakes monies will be kept
in a separate fund which will be used exclusively for payment of purse money to
entitled parties in Ohio sires stake fund races.
Last updated March 21, 2024 at 8:56 AM
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Rule 3769-2-11.1 | Claims upon a surety bond.
Effective:
March 21, 2024
(A) The racing commission is 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 will 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 cannot submit a
claim on a bond that expired more than twelve months earlier.
Last updated March 21, 2024 at 8:56 AM
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Rule 3769-2-11.2 | Financial ability of permit holder.
Effective:
March 21, 2024
(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 mandated under the permit, including but not limited to
payments due to an aggrieved party as defined under paragraph (C) of rule
3769-2-11 of the Administrative Code, the permit holder will 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
will: (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) The permit holder has
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 3769-2-11 of the Administrative Code. The amount in such account is
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, for the
use and benefit of all aggrieved parties as defined by paragraph (C) of rule
3769-2-11 of the Administrative Code. This bond may be in addition to any bond
provided in accordance with paragraph (B) of rule 3769-2-11 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 will notify the permit holder that the
permit holder will 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 has to 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 has to 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 has to 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 has to 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 has to provide a schedule detailing these unpaid amounts, listed by date
and race. (6) The amount of
outstanding fees that the permit holder owes to jockeys and/or drivers. The
permit holder has to provide a schedule detailing such amounts by jockey and/or
driver. (7) All horsemen's
bookkeeper funds, including purse money, should be held as separate
interest-bearing trust funds. The permit holder has to 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 will 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 that
date. (8) All Ohio sires stakes
monies will be kept in a separate fund which will be used exclusively for
payment of purse money to entitled parties in Ohio sires stake fund races. The
permit holder has to verify that this has been done, that the amounts have not
been commingled with other funds, and the accounts holding such funds will not
be subjected to the permit holder's claims of creditors. The permit holder
has to 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 that
date. (9) 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 has to provide a
detailed schedule. (10) 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 has
to attach a schedule detailing such liabilities by jurisdiction and time
period. (11) 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 3769-2-11 of the Administrative Code. (12) A schedule detailing each bank
account held in the name of or on behalf of the permit holder. This will
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. (13) 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 is to 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 the 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 will 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 will 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
will 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 an adjudicatory hearing by the
racing commission, the date set for the hearing will 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 the division remains in effect, unless reversed on
appeal, until a final adjudicative order issued by the racing commission
becomes effective. The racing commission will issue its final adjudicative
order within seventy-five days after completion of its hearing. A failure to
issue the order within seventy-five days results in dissolution of the summary
suspension order but does not invalidate any subsequent, final adjudicative
order.
Last updated March 21, 2024 at 8:56 AM
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Rule 3769-2-12 | Permits, agriculture societies, totalizator licenses.
Effective:
March 21, 2024
(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 will be
made by each agricultural society on a form as the commission prescribes. The
agricultural society is charged with the same duties and responsibilities as
are commercial permit holders with respect to observance and enforcement of the
Revised Code, Horse Racing Act, the rules of racing, and any orders issued by
the commission under penalties provided for in rule 3769-2-99 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 will be made on a form prepared by the commission,
and will be accompanied by the fee contained in rule 3769-2-24 of the
Administrative Code. The application will include, but is 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 has to include a description of
the program capabilities of the equipment and its ability to generate any
necessary calculations referred to in Chapter 3769-3 of the Administrative
Code. (5) Any such other
information as the commission may request.
Last updated March 21, 2024 at 8:56 AM
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Rule 3769-2-13 | Place, time and number of races.
Effective:
March 21, 2024
The permit will set forth the name of the permit
holder, the place where the races or race meetings are to be held, the days and
time during which racing may be conducted by said permit holder, and the number
of parimutuel wagering races to be held daily, not to exceed eleven. Any such
permit issued is not transferable or assignable. Upon application the
commission may grant special permission for parimutuel wagering 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 up 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. The permit holder has to immediately
notify the commission of cancellations of race cards or races for any reason.
This rule applies to commercial tracks and not to county or independent
fairs.
Last updated March 21, 2024 at 8:57 AM
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Rule 3769-2-14 | Permit holders enforcement obligations.
Effective:
March 21, 2024
(A) It is the duty of each and every
permit holder as well as the officers, directors, officials, and employees of
the permit holder to observe and enforce the provisions of the Ohio Revised
Code, the rules of racing and such orders and regulations as may from time to
time be issued by the commission. Every permit to hold a race meeting is
granted upon the express condition that the permit holder named accepts and
agrees to observe and enforce the provisions of the Ohio Revised Code, the
rules of racing, and such orders and regulations as may from time to time be
issued by the commission. (B) The permit holder will employ a
person to only one official position. In case of an emergency a person may hold
more than one official position if approved by the commission. The
commission's approval will not last for more than thirty days. For the
purposes of this rule, the following are considered an official: stewards,
judges, race secretary, assistant race secretary, starter, assistant starters,
state veterinarian, track veterinarian, veterinarian assistants, identifier,
clerk of scales, jockey room custodian, clerk of the course, paddock judge,
placing judges, mutuel manger, outrider, director of security, blacksmith, and
valet.
Last updated March 21, 2024 at 8:57 AM
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Rule 3769-2-15 | Post permit.
Effective:
March 21, 2024
Every permit holder will post the permit granted by
the commission in a prominent place in the principal office at the race track
during the horseracing meeting. The permit shall be available to be observed at
all reasonable times to any authorized person requesting to see it.
Last updated March 21, 2024 at 8:57 AM
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Rule 3769-2-16 | Security.
Effective:
March 21, 2024
(A) A permit holder will 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 will 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 will provide a list of the security personnel, including the
name, qualifications, training, duties, duty station, and area supervised by
each person.
Last updated March 21, 2024 at 8:57 AM
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Rule 3769-2-17 | Must furnish records.
Effective:
March 21, 2024
(A) Every permit holder will, 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 might request 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, will file a copy
of the current lease with the commission. (C) The owner of the real estate
will, at the time the application for a racing permit is filed by the 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 (both general and limited). 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, the
corporation or partnership has to file the same information.
Last updated March 21, 2024 at 8:57 AM
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Rule 3769-2-18 | Applications for licenses.
Effective:
March 21, 2024
(A) Applications for licenses or
reciprocal validations will be made on a form prepared by the commission. The
form will be available on request and when submitted, fully completed, will be
accompanied by the required fee as stipulated in rule 3769-2-24 of the
Administrative Code. No one will be employed in any capacity unless they have
been licensed. Each license, unless revoked or suspended for cause, is for the
period of one year from January first through December thirty-first of the year
in which the license was issued; except that, the commission may, through the
state steward or 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 will any
temporary license be considered valid later than thirty days after its
issuance. During the racing season, all applications have
to be submitted to the steward or judge for approval, except that all employees
of the permit holder and concessions have to have their applications approved
by their department head prior to submittal to the steward or judge. When
approved by the stewards or judges and signed by at least one of them, the
application will be forwarded to the commission representative for licensing.
If the stewards or judges reject or table any applications, they will report
these actions to the commission. (1) All applications for licenses
will 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 affirms that they have no permanent
address. (2) If a licensee changes their
address or telephone number at any time during the licensing year, it is the
licensee's responsibility to notify the ohio state racing commission of
any change within fifteen days of the change. (3) Any person who violates paragraph
(A)(1) of this rule is 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 will 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 will file the same information. If the
licensee is a concessionaire of the permit holder, it will file a copy of its
current lease or concession agreement.
Last updated March 21, 2024 at 8:59 AM
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Rule 3769-2-19 | Fingerprinting.
Effective:
March 21, 2024
(A) Applicants for licenses issued by
the commission are to submit their fingerprints to the commission once every
five years. It is 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 will submit their fingerprints in such manner
as the commission prescribes. Fingerprints will 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 will maintain a file of such
fingerprints. (C) This rule does not apply to
thoroughbred, quarter horse, or standardbred owners who are currently and
properly licensed as a thoroughbred, quarter horse, or standardbred owner in
any other state or racing jurisdiction which has reciprocity with the Ohio
state racing commission, provided the other state or racing jurisdiction
fingerprints owners for the purpose of a criminal record check at least once
every three years.
Last updated March 21, 2024 at 9:00 AM
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Rule 3769-2-20 | Written testimony.
Effective:
March 21, 2024
The commission may request any person making
application for the first time to secure written testimony from two reputable
persons that they are personally known to the applicant, and that the applicant
is of good reputation and is familiar with the duties of the position they
seek.
Last updated March 21, 2024 at 9:00 AM
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Rule 3769-2-21 | License restrictions, limitations and conditions.
Effective:
March 21, 2024
(A) 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 the parent or
guardian assumes responsibility for meeting all financial, contractual, or
other obligations relating to all racing activities of the
applicant. (B) The commission or its designee, for
cause, may restrict, limit, or place conditions on any license, including
probationary status. (C) All other applicants for a license
have to be sixteen years of age or older; provided, 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 their parents or legal guardian only. Any
license application for a person under the age of sixteen has to be signed by
their parent or legal guardian in the presence of one or more of the track
stewards or judges. (D) Thoroughbred (1) An applicant for an
apprentice jockey license, an assistant trainer license, a jockey license, or a
trainer license has to be at least eighteen years of age or older. (2) An applicant for an
exercise rider license has to be at least sixteen years of age, and if under
eighteen years of age, has to have written consent of a parent or guardian.
Before any license is granted, the commission or a board of stewards acting in
its behalf will ascertain that the applicant has suitable qualifications and
aptitude to hold an exercise rider's license. (E) All other applicants for a license
have to 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 their parents or legal guardian only. Any
license application for a person under the age of sixteen has to be signed by
their parent or legal guardian in the presence of one or more of the track
stewards or judges.
Last updated March 21, 2024 at 9:00 AM
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Rule 3769-2-23 | License qualifications for trainer and assistant trainer and horseshoer.
Effective:
March 21, 2024
(A) Thoroughbred (1) Each trainer,
assistant trainer, or horseshoer desiring a license will make application for a
license in writing on a form provided by the commission. The assistant trainer
will have the same qualifications as a trainer. Upon satisfactory completion of
this application form, all trainer or assistant trainer applicants have to
provide written proof they have worked as a groom or in some other type of
apprentice capacity for a minimum of two years prior to applying for a trainer
or assistant trainer license. After providing proof of the necessary two years
of groom or apprentice training and after having satisfactorily completed the
application form, each trainer and assistant trainer will take the examinations
and/or tests needed by the Ohio state racing commission. Satisfactory passing
of the test qualifies the applicant to be licensed. (2) No trainer or
assistant trainer license will be issued to an applicant until the applicant is
designated by the owner or trainer as the trainer of a horse eligible to race
in a parimutuel race in Ohio. (3) The applicant will
state their full name, address, age, and whether or not they are at the time of
application under suspension, set down, ruled off, or are otherwise ineligible
for licensing in any jurisdiction. The applicant will also set forth in the
application any other information or data concerning their past record,
experience, and qualifications as may be needed by the commission. The
applicant will sign the application and may be requested to affirm the truth of
all statements. (4) An applicant for a
trainer or assistant trainer license may be issued an Ohio license without
complying with paragraph (A) of this rule provided they have held a valid
license in the same category from another state or other racing jurisdiction
which has competency testing or similar qualifications, or from another state
or other racing jurisdiction where the applicant obtains a written statement of
their competence from a state steward in that state or
jurisdiction. (5) A licensed assistant
trainer assumes the same duties and responsibilities as imposed on the holder
of a trainer's license. The licensed trainer is jointly responsible with
their assistant trainer involving a racing matter. (6) An applicant for a
horseshoer license will provide written proof they have completed an
apprenticeship lasting a minimum of one year and pass any test or examination
needed by the commission. These may be waived by the commission, provided the
applicant has held a valid license issued in any jurisdiction that has
competency testing or similar qualifications for horseshoer applicants; or
obtained from a state steward in another jurisdiction a written statement
certifying the applicant's competence as a horseshoer. (7) Each trainer,
assistant trainer, or horseshoer has to provide workers' compensation
coverage in accordance with Ohio law for all of their employees who are
connected with racing. Upon request of the commission the applicant for these
licenses have to provide satisfactory proof of coverage. (B) Standardbred (1) Each driver-trainer,
trainer without driving rights, or horseshoer desiring a license will make
application for a license in writing on a form provided by the commission. All
applicants will state their full name, address, age, and whether or not they,
at time of their application are under suspension, revoked, ruled off or
otherwise debarred from training or driving in any jurisdiction. They will also
set forth in their application other information or data concerning their past
record, their experience and qualifications, as may be needed by the
commission. All applicants have to sign the application and may have to affirm
the truth of all statements. (2) No trainer or
assistant trainer license will be issued to an applicant until the applicant is
designated by the owner or trainer as the trainer or assistant trainer of a
horse eligible and entered to race in a parimutuel race in Ohio. (3) A licensed second
trainer assumes the same duties and responsibilities as imposed on the holder
of a trainer's license. The licensed trainer is jointly responsible with
their assistants for all acts and omissions of their assistant and involving a
racing matter. (4) Any person who trains
horses solely owned by themself or their spouse who engages catch drivers to
drive their horses may make application for a license as a trainer without
driving rights after passing any test the presiding judge may need. This
applicant may perform all duties of a licensed driver-trainer except drive in
races and is 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. (5) An applicant for a
horseshoer's license who has not been previously licensed in this state
has to have a written statement of two reputable persons to the effect that the
applicant is personally known to them, that they are a person of good
reputation, and capable of performance of the vocation they seek to follow. The
applicant will be tested by a board consisting of a veterinarian, trainer, and
a licensed horseshoer, or other qualified person appointed by the board of
judges. (6) An applicant for a
horseshoer license may be issued an Ohio license without being tested in the
manner provided in paragraph (B)(5) of this rule, providing he/she has a
current valid horseshoer license from another state or racing jurisdiction,
which has 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
that state or jurisdiction. (7) Each trainer,
assistant trainer, or horseshoer has to provide workers' compensation
coverage in accordance with Ohio law for all of their employees who are
connected with racing. Upon request of the commission the applicant for these
licenses has to provide satisfactory proof of coverage.
Last updated March 21, 2024 at 9:00 AM
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Rule 3769-2-24 | License fees.
Effective:
March 21, 2024
(A) All persons in the list below will procure an annual license from the commission, and the fees are as follows: | License Type | Cost in Dollars | | Announcer | 50 | | Apprentice Jockey | 50 | | Assistant Starter | 50 | | Assistant Trainer | 50 | | Associate Judge | 50 | | Association Steward | 50 | | Authorized Agent | 50 | | Bookkeeper | 50 | | Breeder | 10 | | Chief of Security | 50 | | Clerical | 15 | | Clerk of Course | 50 | | Clerk of Scales | 50 | | Clocker | 15 | | Concession Employee | 15 | | Concession Manager | 50 | | Doctor | 50 | | Driver | 50 | | Driver/Trainer | 50 | | Duplicate license | 15 | | Eligibility to Claim | 25 | | Exercise Rider | 15 | | General Manager (other management positions also) | 100 | | Groom | 10 | | Horseshoer | 50 | | Identifier | 50 | | Jockey | 50 | | Jockey Agent | 50 | | Jockey Room Custodian | 50 | | Maintenance | 15 | | Medical and First Aid | 15 | | Mutuel Employee | 15 | | Mutuel Manager | 50 | | Outrider | 15 | | Owner | 50 | | Paddock Judge | 50 | | Patrol Judge | 50 | | Photographer | 50 | | Placing Judge | 50 | | Pony Person | 15 | | Presiding Judge | 100 | | Racing Secretary | 100 | | Security | 15 | | Special A (Professional) | 100 | | Special B (Technical) | 50 | | Special C (Clerical/miscellaneous) | 15 | | Special D | 10 | | Stable Name | 25 | | Starter | 50 | | State Steward | 100 | | Supply Sales (Employee) | 15 | | Supply Sales (Owner) | 100 | | Timer | 15 | | Trainer | 50 | | Valet | 15 | | Veterinarian | 100 | | Veterinarian Assistant | 15 | | Video | 1 |
(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 parimutuel 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 will be made on a form prepared by the commission, which are available upon request and when fully completed and submitted, will be accompanied by the required fee of one thousand dollars. This application will include, but is not 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 an/or servicing of pari-mutuel wagering during the racing 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 includes, 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 request. (2) Any totalizator company which is involved in the computerized calculation of mutuel payoffs and/or mutuel totals for any Ohio permit holder has to 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 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, have to be individually licensed by the Ohio state racing commission. The license fee for any totalizator management supervisory employee is one hundred dollars and the license fee for all other employees is fifty dollars. (4) This rule does 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 will timely provide the Ohio state racing commission with all data that is mandated to be reported by a totalizator company who maintains their computer equipment in the state of Ohio. (C) Any breeder who wishes to participate in the Ohio thoroughbred race fund program as defined in section 3769.083 of the Revised Code has to receive a breeders license in the amount of ten dollars. Breeders may have to submit an additional amount to cover the cost of fingerprinting if the executive director determines the breeder should be fingerprinted. (D) Restricted license, county fairs: | License Type | Cost in Dollars | | Driver/Trainer | 10 | | Groom | 5 | | Mutuel Employee | 10 | | Owner | 10 | | Quarterhorse Participants | 10 | | Racing Official | 10 | | Special D (miscellaneous) | 10 | | Totalizator | 100 |
(E) As part of the licensing fee, and in addition to those amounts listed in paragraphs (A) and (B) of this rule, all applicants will be charged the necessary fees, to cover all fingerprinting costs once every five years. (F) Any person who has lost their license has to acquire a duplicate license from the commission for a fee of fifteen dollars. Should the original license be found, the licensee will return the duplicate license to the stewards, judges, or to the commission.
Last updated March 21, 2024 at 9:00 AM
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Rule 3769-2-25 | One license requirement.
Effective:
March 21, 2024
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 needed for
licensees who are performing the same function at thoroughbred, harness, or
quarterhorse meetings.
Last updated March 21, 2024 at 9:01 AM
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Rule 3769-2-26 | License refused, revoked, suspended.
Effective:
March 21, 2024
(A) The commission may refuse to
grant, revoke, suspend, or may otherwise penalize any license under the
provisions of rule 3769-2-99 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 on their 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, stewards, or
judges pertaining to a racing matter; (12) The applicant or licensee has
failed to answer correctly under oath to the best of their 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 will
not have in their 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 any
commissioner, commission employee, or racing official is performing their
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 their 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.
Last updated March 21, 2024 at 9:01 AM
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Rule 3769-2-27 | License required.
Effective:
March 21, 2024
(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, will be denied admission to the premises, and their failure to apply
can 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 does
not apply to sworn law enforcement officers with arrest powers or members of
the working press or media assigned to cover events at the
racetrack. (F) Any licensee who signs in a guest
or "special permission" person who is not licensed will be held
accountable for the actions of their guest(s).
Last updated March 21, 2024 at 9:01 AM
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Rule 3769-2-28 | Conduct by licensee.
Effective:
March 21, 2024
All persons licensed pursuant to the provisions of
rules 3769-2-24 and 3769-2-25 of the Administrative Code will, 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 will consume any alcoholic beverages while in attendance
during racing hours at racing meetings conducted by such permit holder.
Reasonable care will be exercised by officers of permit holders to assure that
these provisions are not violated.
Last updated March 21, 2024 at 9:01 AM
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Rule 3769-2-29 | Fraudulent or improper practice.
Effective:
March 21, 2024
(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 will be fined one thousand dollars, suspended for one year by the stewards
or 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 racetracks 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 stewards or judges will be fined one thousand dollars,
suspended for one year by the stewards or 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 racetracks for life.
Last updated March 21, 2024 at 9:01 AM
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Rule 3769-2-30 | Conduct, partnership, corporate.
Effective:
March 21, 2024
(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 3769-2-99 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 fails to arrange, upon gaining knowledge of such
revocation, that such member whose license has been revoked is 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 3769-2-99 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 constitutes grounds
for any penalty provided for in rule 3769-2-99 of the Administrative Code to be
levied against such corporation during such period as the person whose has 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 corporate
action to remove such person as an officer or director, such revocation will
constitute grounds for any penalty provided for in rule 3769-2-99 of the
Administrative Code, to be levied against the permit holder so long as the
person whose license has 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, will 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 has 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 has been revoked.
Last updated March 21, 2024 at 9:01 AM
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Rule 3769-2-31 | Unconstitutionality.
Effective:
January 1, 1985
Promulgated Under:
Ch 119.
Should any rule or any part of any rule contained in the Ohio state racing commission rules and regulations be found to be unconstitutional, the remaining part of the rule and/or the remaining rules will not be invalidated.
Last updated February 6, 2024 at 2:59 PM
Supplemental Information
Authorized By:
–
Amplifies:
–
Five Year Review Date:
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Rule 3769-2-32 | Financial responsibility action fee.
Effective:
March 21, 2024
Any individual, company or other entity who
requests the commission to take action against a licensee under the financial
responsibility rule will submit the request in writing indicating the debt owed
was horseracing related. The request has to 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."
Last updated March 21, 2024 at 9:02 AM
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Rule 3769-2-33 | Unrestricted competitive bidding procedure.
Effective:
March 21, 2024
(A) For purposes of section 3769.20
and division (G) of section 3769.08 of the Revised Code, unrestricted
competitive bidding procedures, will include the following: (1) Notice will be given to the
public that bids are being accepted on the project. Notice will 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 will
be provided to the commission with the application for tax abatement. (2) Identical definite specifications
and plans describing the work to be done has to be presented to all interested
bidders. The notice will give the location and person from whom the
specifications can be obtained. (3) The notice and specifications
will set a deadline before which bids will be submitted and the date as to when
the bids will be opened. The bids will be submitted sealed and not opened until
after the deadline. (4) No contract will be awarded to a
bidder unless a minimum of three bids have been received before the deadline.
If three bids have not been received, notice will again be given in accordance
with paragraph (A) of this rule, the deadline will be extended, and the bids
that have been submitted will remain sealed until the new deadline has passed
and a total of at least three bids have been submitted. (5) The bids will be submitted on
such forms as the commission shall prescribe. (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. 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.
Last updated March 21, 2024 at 9:02 AM
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Rule 3769-2-35 | Simulcasting of races.
Effective:
March 21, 2024
All simulcast races on which pari mutuel wagering
is conducted by a permit holder will be in accordance with the following
conditions and/or restrictions: (A) All simulcast races have to 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, has to 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 will 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 will
prominently display the total amount wagered in the common pool at all
tracks. (E) When simulcasting a 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 has to provide telephone communications between the
stewards' stand, judges' stand, tote room or other approved location
at the originating track and the stewards' stand, judges' stand, tote
room, or other approved located at the permit holders track. The telephone
equipment will 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 or judges 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
mutuel manager or designee at the permit holder's track at the time the
stewards or judges 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 their
designated representative will 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 will subject the person and/or permit holder to the penalties provided in
rule 3769-2-99 of the Administrative Code.
Last updated March 21, 2024 at 9:02 AM
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Rule 3769-2-36 | Satellite facilities.
Effective:
March 21, 2024
(A) Unless a rule is specifically
exempt from enforcement on the premises of a satellite facility, all applicable
Ohio state racing commission rules 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" means 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 will 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 will need 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 will state in the
application whether they have ever been convicted of a felony or pled guility
to a felony charge and provide any applicable exhibits. The applicant will
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. The commission will 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.
Last updated March 21, 2024 at 9:02 AM
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Rule 3769-2-37 | Definitions.
Effective:
March 21, 2024
As used in rules 3769-2-37 to 3769-2-41, unless the
context necessitates 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 obligations 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 they
hold 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 obligations.
Last updated March 21, 2024 at 9:03 AM
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Rule 3769-2-38 | Procedures for accessing confidential personal information.
Effective:
March 21, 2024
For personal information systems, whether manual or
computer systems, that contain confidential personal information, the
commission will 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 needed for an employee of the commission to
fulfill their job duties. The determination of access to confidential personal
information will 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 will
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 need access to confidential personal
information in a personal information system, the employee's access to
confidential personal information will 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 will 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 will notify the
person whose information was invalidly accessed as soon as practical and to the
extent known at the time. However, the commission will 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 will disclose the access to
confidential personal information made for an invalid reason to the
person. (2) Notification provided
by the commission will 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 will designate an employee of the commission
to serve as the data privacy point of contact. The data privacy point of
contact will 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 will designate an employee of the commission
to serve as the data privacy point of contact who will timely complete the
privacy impact assessment form developed by the office of information
technology.
Last updated March 21, 2024 at 9:03 AM
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Rule 3769-2-39 | Valid reasons for accessing confidential person information.
Effective:
March 21, 2024
(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 obligations; (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. (B) [Reserved]
Last updated March 21, 2024 at 9:03 AM
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Rule 3769-2-40 | Confidentiality statutes.
Effective:
February 1, 2011
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.
Last updated February 6, 2024 at 2:59 PM
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Rule 3769-2-41 | Restricting and logging access to confidential personal information in computerized personal information systems.
Effective:
March 21, 2024
For personal information systems that are computer
systems and contain confidential personal information, the commission will do
the following: (A) Access restrictions. Access to
confidential personal information that is kept electronically will need 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 will 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 will make a
determination whether the modification constitutes an upgrade. Any upgrades to
a computer system will include a mechanism for recording specific access by
employees of the commission to confidential personal information in the
system. (D) Logging obligations regarding
confidential personal information in existing computer systems. (1) Employees of the
commission who access confidential personal information within computer systems
have to maintain a log that records that access. (2) Access to
confidential information is not needed 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 needed 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 will
issue a policy that specifies the following: (1) Who maintains the
log; (2) What information is
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
mandating logging in any circumstance that it deems necessary.
Last updated March 21, 2024 at 9:03 AM
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Rule 3769-2-42 | Video lottery sales agent employee license; application on reciprocal validation.
Effective:
March 21, 2024
(A) No one will be employed in any
capacity unless they have been licensed. Applicants for video lottery sales
agent employee licenses on reciprocal validation will apply in a manner
determined by the commission. Each such license, unless revoked or suspended
for cause, will automatically renew each January first in which the applicant
is licensed by the lottery commission. (1) All applications for
licenses will 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 affirms they have no permanent
address. (2) If a licensee or
applicant changes their address or telephone number at any time during the
licensing year, it is the licensees responsibility to notify the
commission of the change within fifteen days. (B) A corporation, association,
partnership, limited liability company, or trust, when it files an application
for a license on reciprocal validation will 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; and (2) Any other pertinent
information requested by the commission. If any other corporation or
partnership owns ten per cent or more of the applicant, it will file the same
information as needed in paragraph (B)(1) of this rule. (C) Each application submitted under this
rule is exempt from the licensing fees assessed pursuant to rule 3769-2-24 of
the Administrative Code, except as otherwise agreed to by the commission and
the lottery commission through a license fee sharing agreement. (D) For purposes of this rule, an
applicant who has submitted fingerprints to the lottery commission for a video
lottery sales agent employee license pursuant to Chapter 3770:2-4 of the
Administrative Code is deemed to have complied with rule 3769-2-19 of the
Administrative Code.
Last updated March 21, 2024 at 9:04 AM
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Rule 3769-2-43 | Commission to determine distribution percentage of video lottery terminal income.
Effective:
August 13, 2017
(A) Permit holders licensed by the state racing commission who are video lottery sales agents of the Ohio lottery who have not entered into an agreement with the applicable state racing commission recognized horseman's association in accordance with division (C) of section 3769.087 of the Revised Code shall pay not less than nine per cent or more than eleven per cent of the video lottery terminal income for the benefit of breeding and racing in Ohio. The percentage so determined shall not be less than nine per cent or more than eleven per cent of the video lottery terminal income, and shall be a sliding scale based upon capital expenditures necessary to build the video lottery sales agent's master facility plan that was submitted and approved pursuant to Chapter 3770:2-12 of the Administrative Code. The determination of the amount of the allowable expenditure under the master facility plan will be determined by the Ohio facilities construction commission, unless previously determined by the state architect's office. The incremental adjustments of the sliding scale are set forth in the following table: | Total Investment ($MM) Inclusive of assumed credit of $25mm given for the value of existing land & facilities | Effective Horse Rate at 0.15% Buy Down Increment | | Excluding License Fee | Including License Fee | 11% Rate | | $150.00 | $200.00 | 11% | | $160.00 | $210.00 | 10.85% | | $170.00 | $220.00 | 10.70% | | $180.00 | $230.00 | 10.55% | | $190.00 | $240.00 | 10.40% | | $200.00 | $250.00 | 10.25% | | $210.00 | $260.00 | 10.10% | | $220.00 | $270.00 | 9.95% | | $230.00 | $280.00 | 9.80% | | $240.00 | $290.00 | 9.65% | | $250.00 | $300.00 | 9.50% | | $260.00 | $310.00 | 9.35% | | $270.00 | $320.00 | 9.20% | | $280.00 | $330.00 | 9.05% | | $290.00 | $340.00 | 9.00% | | | |
(B) The percentage of video lottery terminal income identified in paragraph (A) of this rule shall be paid and distributed consistent with industry practices.
Last updated February 6, 2024 at 2:59 PM
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Rule 3769-2-99 | Penalties commission may impose.
Effective:
March 21, 2024
(A) For a violation of any rule in
this chapter and unless a rule specifically precludes the stewards or judges
from doing so, the stewards or 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.
Last updated March 21, 2024 at 9:04 AM
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