810 KAR 1:025. Licensing thoroughbred racing.
RELATES TO: KRS 230.260, 230.280, 230.290, 230.300, 230.310, 230.320
STATUTORY AUTHORITY: KRS 230.215(2), 230.225, 230.240(2), 230.260(4), 230.290(2), 230.310(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 230.215(2) grants the commission the authority to regulate conditions under which thoroughbred racing shall be conducted in Kentucky. KRS 230.310(1) authorizes the commission to establish licensing requirements for participation in thoroughbred racing. This administrative regulation establishes licensing procedures and requirements for participation in thoroughbred racing.
Section 1. Definitions. (1) "Person" means an individual, proprietorship, firm, partnership, joint venture, joint stock company, syndicate, business, trust, estate, company, corporation, association, club, committee, organization, lessor, lessee, racing stable, farm name, or other group of persons acting in concert.
(2) "Restricted area" means a portion of association grounds to which access is limited to licensees whose occupation or participation requires access, and to those individuals accompanying a licensee as permitted by the association.
Section 2. Persons Required to Be Licensed. (1) A person shall not participate in pari-mutuel racing under the jurisdiction of the commission without a valid license issued by the commission pursuant to KRS 230.310. License categories shall include:
(a) Racing participants and personnel including owner, trainer, owner/trainer, assistant trainer, claiming, jockey, jockey agent, veterinarian, farrier, jockey apprentice, equine therapist, veterinary technologist or technician, veterinary assistant, mutuel clerk, occupational employee, stable employee, exercise rider, steeplechase jockey, farm manager or agent, vendor, and any employee listed in Section 5 of this administrative regulation;
(b) Racing officials;
(c) Persons employed by the association, or employed by a person or concern contracting with or approved by the association or commission to provide a service or commodity associated with racing or racing patrons, with job duties which require their presence anywhere on association grounds;
(d) Sole proprietors, independent contractors, and all partners of a partnership contracting with or approved by the association or commission to provide a service or commodity on association grounds;
(e) Commission employees with job duties which require their presence anywhere on association grounds; and
(f) Commission members.
(2) A person working at a licensed racing association in the Commonwealth shall obtain a valid license issued by the commission. The executive director, chief racing steward, or their designee may refuse entry or scratch any horse involving any person who, after being requested to obtain a valid license, fails or is unable to obtain a license.
(3)(a) A person required to be licensed shall submit:
1. A completed written application on the form Licensing Application, (KHRC 25-01 (4/10)), or the Multi-jurisdictional License Form pursuant to Section 7 of this administrative regulation; and
2. The fee required by Section 5 of this administrative regulation.
(b) A temporary license may be obtained by an authorized representative of an owner in accordance with Section 17 of this administrative regulation.
(c) A conditional license may be issued by the commission or its designee upon submission of a written application.
Section 3. General License Application Requirements for All Applicants. (1) Any person required to be licensed by Section 2 of this administrative regulation and desiring to participate in thoroughbred racing in the Commonwealth may apply to the commission for a license.
(2)(a) An application may be submitted on or after November 1 of the calendar year preceding the calendar year in which the license is to be in force.
(b) An application shall be submitted no later than twenty-four (24) hours after an applicant has arrived on association grounds, unless a temporary license is obtained in accordance with Section 17 of this administrative regulation.
(c) The license application shall be reviewed and the license issued by commission personnel.
(3) Information provided on or with a license application shall be complete and correct. Material misrepresentation by a license applicant or his or her agent shall result in an immediate license suspension, revocation, refusal, or denial, or imposition of a fine by the commission or the chief racing steward.
(4)(a) An applicant for licensing shall be a minimum of sixteen (16) years of age except as provided by paragraph (b) of this subsection. An applicant may be required to submit a certified copy of his or her birth certificate or work permit.
(b) The commission may grant an owner’s license to a person less than sixteen (16) years of age if the person’s parent or legal guardian is licensed by the commission. An application under this subsection shall be signed by the applicant's parent or legal guardian in the presence of one (1) or more of the stewards.
(5) An application from a person or other entity consisting of more than one (1) individual person desiring to race horses in the Commonwealth shall, upon request, in addition to designating the person or persons representing the entire ownership of the horses, be accompanied by documents which fully disclose the identity, degree, and type of ownership held by all individual persons who own or control a present or reversionary interest in the horses.
(6) The commission shall provide notice to an applicant that the license has been issued or denied. If all requirements for licensure are met, a license shall be issued to the license applicant.
Section 4. Additional Licensing Requirements for Specific Licenses. (1) Veterinary personnel.
(a) An application from a person desiring to treat, prescribe for, or attend to any horse on association grounds as a practicing veterinarian shall be accompanied by evidence that the person is currently licensed as a veterinarian by the Commonwealth of Kentucky.
(b) An application from a person desiring to work on association grounds as a veterinary technologist or veterinary technician shall be accompanied by:
1. Evidence that the person is currently registered as a veterinary technologist or veterinary technician by the Commonwealth of Kentucky; and
2. A "Veterinarian Approval Form" (KHRC 25-04 (04/10)) signed by a licensed veterinarian certifying that the applicant is working for the veterinarian as required by KRS 321.443.
(c) An application from a veterinary assistant shall be accompanied by a "Veterinarian Approval Form" (KHRC 25-04 (04/10)) signed by a licensed veterinarian certifying that the applicant works for him or her as required by KRS 321.443.
(d) Equine therapist. An application from an equine therapist not defined by KRS Chapter 321 shall be accompanied by a "Veterinarian Approval Form" (KHRC 25-04 (04/10)) signed by a licensed veterinarian and the chief state veterinarian attesting to the skill and integrity of the applicant.
(2) Farriers. An application from a person not previously licensed in the capacity of farrier shall submit a diploma or other document signifying successful completion of a farrier course or examination recognized by the American Farrier’s Association, or submit a letter of recommendation from a licensed farrier.
(3) Stable employee, occupational employee, or vendor employee. In order to obtain a stable employee, occupational employee, or vendor employee license, the license applicant shall submit a KHRC 25-04 from his or her employer verifying employment and workers’ compensation coverage.
(4) Special event licensees.
(a) A special event license shall be:
1. Issued to employees who are employed by an association only for the duration of a special event; and
2. Valid for the days of the event only.
(b) The duration of the license shall not exceed three (3) calendar days.
Section 5. Licensing Fees. (1) The following annual fees shall accompany the application and shall not be refundable.
(a) $150 - trainer, owner, owner/trainer, assistant trainer, claiming, jockey, jockey agent, veterinarian, steeplechase jockey, and temporary license;
(b) $100 - farrier, racing official, jockey apprentice, assistant racing secretary, director of racing, starter, assistant starter, paddock judge, patrol judge, placing judge, timer, steward, testing laboratory employee, racing department employee, valet, and outrider;
(c) Fifty (50) dollars - equine therapist, veterinary technician, veterinary technologist, veterinary assistant, mutuel clerk, farm manager, farm agent, and vendor;
(d) Twenty-five (25) dollars - association employee, occupational employee, vendor employee, any person employed by a concern contracting with the association to provide a service or commodity and which employment requires that person’s presence on association grounds during a race meeting, horse identifier, photo finish operator, film patrol crew member, television production employee, member of an association security department (including a policeman, watchman, fireman, ambulance driver, or emergency medical technician), track superintendent, member of maintenance department staff, admissions department manager and employee, association concessions manager and employee, parking manager and employee, and all other persons employed by the association; and
(e) Ten (10) dollars - stable employee, including stable foreman, exercise personnel, hotwalker, groom watchman, and pony person, exercise rider, special event mutuel, special event occupational, and special event vendor employee.
(2) A replacement fee for a duplicate license shall be ten (10) dollars, except that this fee shall be waived for the first duplicate license issued during any calendar year.
Section 6. Fingerprinting. (1) If requested, a license applicant shall furnish to the commission a set of fingerprints or submit to fingerprinting prior to issuance of a license.
(2) If the license applicant has been fingerprinted in the Commonwealth or another racing jurisdiction within the five (5) years preceding the date of the license application, then the commission may accept the previous fingerprints or require new fingerprints.
(3) The cost of fingerprinting and fingerprint analysis shall be paid by the license applicant.
Section 7. Multi-state/National Licenses. (1) In lieu of a license application as required by this administrative regulation, an applicant may submit an ARCI Multi-State License and Information Form or the National Racing Compact License and Information Form.
(2) It shall be accepted if the commission determines that it ensures compliance with all licensing requirements in this administrative regulation and KRS Chapter 230.
Section 8. Consent to Investigate by License Applicants and Licensees. After an applicant files a license application, the commission may:
(1) Investigate the criminal background, employment history, and racing history record of the applicant;
(2) Engage in research and interviews to determine the applicant's character and qualifications; and
(3) Verify information provided by the applicant.
Section 9. Search and Seizure. (1) The commission or designee may search any location described in KRS 230.260(7).
(2) The commission or designee may seize any medication, drug, substance, paraphernalia, object, or device in violation or suspected violation of KRS Chapter 230 or KAR Title 810 or 811.
(3) A licensee shall:
(a) Cooperate with the commission or designee during an investigation; and
(b) Respond correctly to the best of the licensee’s knowledge if questioned by the commission or designee about a racing matter.
(4) A licensee shall consent to out-of-competition testing in accordance with 810 KAR 1:110.
Section 10. Employer Responsibility. (1)(a) An employer shall not employ an unlicensed person for a position that requires a license under KRS 230.300 or 230.310 or this administrative regulation.
(b) If an employer does so, the employer may be subjected to license suspension, denial, or revocation under KRS Chapter 230, or KAR Title 810 or 811.
(2) Every employer shall report in writing to the commission or its designee, within twenty-four (24) hours, the discharge of any licensed employee, including the employee's name, occupation, and reason for the discharge.
(3) Every employer shall be responsible for ensuring compliance with all applicable employment laws.
(4) The license application of an employee shall be signed by the employer.
(5) A licensed employer shall carry workers' compensation insurance covering his or her employees as required by KRS Chapter 342.
Section 11. Financial Responsibility. (1) A licensee shall maintain financial responsibility during the period for which the license is issued.
(2) A licensee's failure to satisfy a final judgment rendered against him or her by a Kentucky court, or a domesticated judgment from another jurisdiction, for goods, supplies, services, or fees used in the course of any occupation for which a license is required by this administrative regulation shall constitute a failure to meet the financial responsibility requirements of KRS 230.310.
(3) If the licensee fails to show just cause for his or her failure to satisfy the judgment, then his or her license may be suspended or revoked until the licensee provides written documentation of satisfaction of the judgment.
(4) An applicant for a license may be required to submit evidence of financial responsibility to the commission if a judgment has been rendered against him or her.
Section 12. Voluntary Withdrawal of License Application. (1) A license applicant may with the approval of the license review committee voluntarily withdraw his or her license application from the license review process.
(2) If the applicant chooses to voluntarily withdraw his or her application, then the withdrawal shall not constitute a denial or suspension of a license and shall be without prejudice.
(3) The stewards shall issue a ruling noting a withdrawal, and the ruling shall be communicated to the Association of Racing Commissioners International.
Section 13. License Review Committee. (1) The executive director, chief racing steward, or director of licensing may refer a license application to the license review committee in lieu of denying.
(2) The license review committee shall be composed of the executive director or designee, the director of licensing or designee, the chief state steward or designee, and at least one (1) other commission member or commission staff member as designated by the executive director. At least three (3) members of the committee shall participate in any license review committee meeting.
(3) If a referral to the committee is made, then a license shall not be issued until the committee makes a favorable ruling on the license application. The applicant may be required by the committee to appear personally. If the committee is unable to make a favorable ruling on the license application, then the committee may give the license applicant the opportunity to voluntarily withdraw his or her license application in accordance with Section 12 of this administrative regulation. If the license applicant does not wish to voluntarily withdraw his or her application, then the committee shall deny the application.
(4) The denial of the application may be appealed in accordance with KRS Chapter 13B.
(5) In the alternative, the commission, the license review committee, or the executive director may refer the case directly to the commission without denial or approval of the application.
Section 14. License Denial, Revocation, or Suspension. (1) The commission, executive director, chief racing steward, or director of licensing may deny a license application, and the commission or chief state steward may suspend or revoke a license, or otherwise penalize in accordance with KRS 230.320(1) a licensee, or other person participating in horse racing, for any of the following reasons:
(a) The public interest, for the purpose of maintaining proper control over horse racing meetings or pari-mutuel wagering, may be adversely affected if the license is issued;
(b) The licensee or applicant has any felony or misdemeanor criminal conviction from any jurisdiction, including having entered into any form of diversionary program, within fifteen (15) years preceding the date of submission of a license application;
(c) The licensee or applicant has pending criminal charges or is criminally charged during the license period in any jurisdiction;
(d) The licensee or applicant has had a license issued by the legally constituted racing or gaming commission of a state, province, or country denied, suspended, or revoked;
(e) The licensee or applicant has had a license issued by the Commonwealth revoked, suspended, or denied;
(f) The licensee or applicant has applied for and received a license at less than sixteen (16) years of age, except as permitted in Section 3 of this administrative regulation;
(g) The licensee or applicant has made a material misrepresentation, falsification, or omission of information in an application for a license;
(h) The licensee or applicant has been ejected, ruled off, or excluded from racing association grounds in the Commonwealth of Kentucky or a racetrack in any jurisdiction;
(i) The licensee or applicant has violated or attempted to violate a statute, administrative regulation, or similar rule respecting horse racing in any jurisdiction;
(j) The licensee or applicant has perpetrated or attempted to perpetrate a fraud or misrepresentation in connection with the racing or breeding of a horse or pari-mutuel wagering;
(k) The licensee or applicant has caused, attempted to cause, or participated in any way in an attempt to cause the pre-arrangement of a race result, or has failed to report knowledge of this kind of activity immediately to the stewards;
(l) The licensee or applicant has demonstrated financial irresponsibility as described by Section 11 of this administrative regulation;
(m) The licensee or applicant has knowingly failed to disclose to the commission complete ownership or beneficial interest in a horse entered to be raced;
(n) The licensee or applicant has misrepresented or attempted to misrepresent facts in connection with the sale of a horse or other matter pertaining to racing or registration of a thoroughbred;
(o) The licensee or applicant has offered, promised, given, accepted, or solicited a bribe in any form, directly or indirectly, to or by a person having any connection with the outcome of a race, or failed to report conduct of this nature immediately to the stewards;
(p) The licensee or applicant has abandoned, mistreated, abused, neglected, or engaged in an act of cruelty to a horse;
(q) The licensee or applicant has engaged in conduct that is against the best interest of horse racing, or compromises the integrity of operations at a track, training facility, or satellite facility;
(r) The licensee or applicant has knowingly entered, or aided and abetted the entry, of a horse ineligible or unqualified for the race entered;
(s) The licensee or applicant has possessed on association grounds, without written permission from the commission or the chief state steward any appliance or device, other than an ordinary whip, which could be
used to alter the speed of a horse in a race or workout;
(t) The licensee or applicant has violated any of the alcohol or substance abuse provisions in KRS Chapter 230 or 810 KAR 1:060;
(u) The licensee or applicant has failed to comply with a written order or ruling of the commission, the stewards, or the judges pertaining to a racing matter or investigation;
(v) The licensee or applicant has failed to answer truthfully questions asked by the commission or its representatives pertaining to a racing matter;
(w) The licensee or applicant has failed to return to an association any purse money, trophies, or awards paid in error or ordered redistributed by the commission;
(x) The licensee or applicant has participated in or engaged in any conduct of a disorderly nature on association grounds which includes, but is not limited to:
1. Failure to obey the stewards’ or other officials orders that are expressly authorized by the administrative regulations of the commission;
2. Failure to race when programmed unless excused by the stewards;
5. Offensive and profane language;
6. Smoking on the track in colors during actual racing hours;
7. Warming up a horse prior to racing without colors; and
8. Disturbing the peace;
(y) The licensee or applicant has used profane, abusive, or insulting language to or interfered with a commission member, employee or agent, or racing official, while these persons are in the course of discharging their duties;
(z) The licensee or applicant is unqualified to perform the duties for which the license is issued;
(aa) The licensee or applicant has discontinued or is ineligible for the activity for which the license is to be issued, or for which a previous or existing license was issued;
(bb) The licensee or applicant has made a material misrepresentation in the process of registering, nominating, entering, or racing a horse as Kentucky owned, Kentucky bred, or Kentucky sired;
(cc) The licensee or applicant has failed to pay a required fee or fine, or has otherwise failed to comply with Kentucky statutes or administrative regulations;
(dd) The licensee or applicant has failed to comply with a written directive or ruling of the commission or the chief state racing steward;
(ee) The licensee or applicant has failed to advise the commission of changes in the application information as required by Section 16 of this administrative regulation;
(ff) The licensee or applicant has failed to comply with the temporary license requirements of Section 17 of this administrative regulation;
(gg) The licensee or applicant has violated the photo identification badge requirements of Section 20 of this administrative regulation;
(hh) The licensee or applicant has knowingly aided or abetted any person in violation of any statute or administrative regulation pertaining to horse racing;
(ii) The licensee or applicant has hired an unlicensed person required by KRS 230.300, 230.310, or this administrative regulation to be licensed;
(jj) The licensee or applicant, being a person other than a licensed veterinarian, has possessed on association grounds:
2. A medication, stimulant, sedative, depressant, local anesthetic, or any other foreign substance prohibited by a statute or administrative regulation of the commission; or
(kk) The licensee or applicant has manufactured, attempted to manufacture, or possessed a false license photo identification badge.
(2) A license suspension, revocation, or denial shall be reported in writing to the applicant by the chief steward, and to the ARCI by the Division of Licensing, to ensure that other racing jurisdictions shall be advised of the license suspension, revocation, or denial.
(3) A licensee or applicant may appeal the suspension, revocation, or denial in accordance with KRS 230.320 and Chapter 13B.
Section. 15. Reciprocity. If the license of a person is denied, suspended, or revoked, or if a person is ruled off, excluded, or ejected from a racetrack in Kentucky or in another jurisdiction, the commission may require reinstatement at that track before a license is granted by the commission.
Section. 16. Changes in Application Information. (1) The licensee or applicant shall report changes in any information required for licensing in writing to the commission.
(2) Any change in information required for licensing shall be submitted in writing upon the "Change in Application Information Form", KHRC 25-03 (01/10), signed by the licensee, and filed at the commission central office, within thirty (30) days of the change, unless it is information listed in subsection (3) of this section.
(3) The licensee shall report changes in information in writing within 72 hours of the occurrence for these items:
(a) Criminal charges;
(b) Criminal convictions;
(c) License denials and license suspensions of ten (10) days or more;
(d) License revocations or fines of $500 or more in other jurisdictions;
(e) Racing related disciplinary charges pending in other jurisdictions; and
(f) Withdrawal, with or without prejudice, of a license application by the licensee in any jurisdiction.
Section 17. Temporary Licenses. (1)(a) Only an owner is eligible for a temporary license.
(b) A horse in a trainer's care shall not start in a race unless the owner has a current license or has an application for a temporary license, "Temporary Owner’s License Application", (KHRC 25-02 (01/10)), on file with the commission.
(c) A licensed trainer may apply for a temporary license on behalf of an owner for whom the licensed trainer trains.
(d) The commission may refuse the license if the applicant fails to supply a name, Social Security number, and mailing address for a temporary license.
(e) A temporary license shall be valid for no more than thirty (30) days from the date of issuance and shall automatically lapse after the 30th day pending completion of all licensing procedures.
(f) Upon expiration of the thirty (30) day temporary license, the owner's license shall be suspended or the owner's horses shall be ineligible to race in Kentucky pending completion of all licensing procedures.
(g) Completion of all owner licensing procedures shall extend the owner's license to the end of the calendar year.
(h) If a temporary license expires prior to the completion of all owner licensing procedures, the applicant shall pay an additional licensing fee.
(2) An owner shall not be eligible to be issued more than one (1) temporary license in any calendar year.
(3) A temporary license shall not be valid for claiming.
Section 18. Eligibility for Multiple Licenses. More than one (1) license to participate in horse racing may be granted to a person except if prohibited by Section 19 of this administrative regulation due to a potential conflict of interest.
Section 19. Conflict of Interest. (1) The license review committee and the chief state steward or designees shall deny or refuse to process the license of a person, and the commission or the chief state steward shall revoke or suspend a licensee, who is determined to have a conflict of interest. A conflict of interest may exist if a spouse, immediate family member, or other person in a similar relationship to the licensee or applicant holds a license which the license review committee or chief state steward finds to be a conflict of interest with the licensee’s or applicant’s. A finding of a conflict of interest may be appealed to the commission pursuant to KRS 230.320 and KRS Chapter 13B.
(2) A racing official who is an owner of either the sire or dam of a horse entered to race shall not act as an official during that race.
(3) A person who is licensed as an owner or trainer, or has any financial interest in a horse entered in a race, shall not participate in that race as any of the following:
(a) Racing official;
(b) Assistant starter;
(c) Practicing veterinarian for any horse other than the owner’s;
(d) Veterinary technician, veterinary technologist, veterinary assistant, or equine therapist for any horse other than the owner’s;
(e) Officer or managing employee;
(f) Track maintenance supervisor or employee;
(h) Race track security employee;
(j) Photo finish operator;
(k) Horsemen's bookkeeper;
(l) Racing chemist;
(m) Testing laboratory employee;
(o) Apprentice jockey; or
(p) Jockey agent.
(4) More than one (1) license to participate in racing may be granted to a person except if prohibited by this administrative regulation due to a potential conflict of interest.
Section 20. License Photo Identification Badges. (1)(a) If a licensee desires access to restricted areas of a racing association grounds, then the licensee shall carry on his or her person at all times within the restricted area his or her assigned commission license (photo identification badge).
(b) A photo identification badge is available to a licensee upon presentation of appropriate, valid photo identification by the licensee to commission personnel at commission licensing offices.
(2) A person shall present an appropriate license to enter a restricted area.
(3) The stewards or racing association may require visible display of a license in a restricted area.
(4) A license may only be used by the person to whom it is issued, and a licensee shall not allow another person to use his or her badge for any purpose.
(5) Licensee credentials (photo identification badges) are the property of the commission and shall be surrendered to the executive director, the stewards, the commission director of enforcement, or director of licensing, or designee, upon request.
Section 21. Duties of Licensees. (1) A licensee shall be knowledgeable of this administrative regulation and, by acceptance of the license, agrees to abide by this administrative regulation.
(2) A licensee shall report to track security or the stewards any knowledge the licensee has that a violation of this administrative regulation has occurred or may occur.
(3) A licensee shall abide by all rulings and decisions of the stewards and the commission, and all decisions by the stewards and the commission shall remain in force unless reversed or modified by the commission or a court of competent jurisdiction upon proper appeal pursuant to KRS 230.330.
(4) Rulings and decisions of the stewards may be appealed to the commission, except those made by the stewards as to:
(a) Findings of fact as occurred during an incident to the running of a race; and
(b) A determination of the extent of disqualification of horses in a race for fouls committed during the race.
(5) A licensee shall cooperate fully with all investigations and inquiries made by commission representatives or association security, or both.
(6) A licensee shall obey instructions from commission representatives or association security, or both.
(7) All licensees shall immediately report to the commission any known or suspected irregularities, any violation of the administrative regulations of the commission, or any wrongdoings by any person, and shall cooperate in any subsequent investigation.
Section 22. Common Law Rights of Associations. The validity of a license does not preclude or infringe on the common law rights of associations to eject or exclude persons, licensed or unlicensed, from association grounds.
Section 23. Incorporation by Reference. (1) The following material is incorporated by reference:
(a) "Licensing Application", (KHRC 25-01 (7/10));
(b) "Temporary Owner’s License Application", (KHRC 25-02 (1/10));
(c) "Change in Application Information Form", (KHRC 25-03 (1/10)); and
(d) "Veterinarian Approval Form", (KHRC 25-04 (4/10)).
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Horse Racing Commission, 4063 Iron Works Parkway, Building B, Lexington, Kentucky 40511, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available at www.khrc.ky.gov. (18 Ky.R. 3285; Am. 19 Ky.R. 401; eff. 8-1-92; 1155; 2053; eff. 2-19-93; 21 Ky.R. 2292; eff. 4-21-95; 28 Ky.R. 1229; 1650; eff. 1-14-2002; 36 Ky.R. 2244; 37 Ky.R.363; eff. 9-03-2010.)