811 KAR 2:020. Licensing procedures.

811 KAR 2:020. Licensing procedures.

RELATES TO: KRS 230.210-230.217

STATUTORY AUTHORITY: KRS 230.225-230.360

NECESSITY, FUNCTION, AND CONFORMITY: To regulate conditions under which quarter horse, appaloosa and Arabian racing shall be conducted in Kentucky. The function of this administrative regulation is to outline the licensing procedures and requirements.

Section 1. License Required. (1) A person, legal entity, or association shall not conduct any Arabian, quarter horse or appaloosa race for any stakes, purse, or reward in the commonwealth without first securing a license therefor from the commission.

(2) A person shall not participate in Arabian, quarter horse or appaloosa racing in the commonwealth as a horse owner, trainer, jockey, agent, stable employee, racing official, association employee, or employee of a person or concern contracting with the association to provide a service or commodity and which employment requires their presence on association grounds during a race meeting, or veterinarian, farrier, horse dentist, or supplier of food, tack, medication, or horse feed, without first securing a license from the commission.

Section 2. Conditions Precedent to Issuance of License. (1) Arabian, quarter horse and appaloosa racing and participation therein in the commonwealth are privileges, not rights, granted only by the commission by license subject to the conditions precedent established in this section.

(2) Acceptance of a license shall be construed as consent and agreement to the following conditions precedent by the licensee and failure to comply with these conditions shall be grounds for immediate voidance or revocation of such license:

(a) Representations made or with license application are complete and correct.

(b) Licensee shall abide by all rulings, and decisions of the stewards and all decisions by the stewards shall remain in force unless reversed or modified only by the commission upon proper appeal.

1. 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 and 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.

2. Excepted rulings and decisions by the stewards shall be final with no right of review by the commission or courts.

(3)(a) Licensee shall consent to a reasonable search of his property in his possession by the commission or its representatives, the property being restricted to that on association grounds and including tack rooms, living or sleeping quarters, motor vehicles, trunks, boxes, and containers of any sort.

(b) Licensee shall consent to seizure of any object which may be evidence indicating a rule violation. Licensee shall cooperate in every way with the commission or its representatives during the conduct of an investigation, to include responding correctly under oath to the best of his knowledge all questions asked by the commission or its representatives pertaining to racing matters.

(4)(a) A licensed trainer shall be responsible for the condition of horses in his charge and shall be held to a high standard of care in taking all precautions as are reasonable and necessary to safeguard the horses from tampering.

(b) Upon a finding of a positive for a prohibited medication, drug, or substance, in a saliva, urine, or blood specimen taken from a horse, the trainer of the horse shall have the burden of proof showing freedom from negligence in the exercise of a high degree of care in safeguarding such horse from tampering.

Section 3. Standards for Granting Licenses and Racing Dates to Associations. The commission may issue a license to any association which applies for a licensee to conduct an Arabian, quarter horse or appaloosa race meeting on days as the commission may deem appropriate.

Section 4. Grounds for Refusal, Suspension, or Revocation of a License. The commission in its discretion may refuse to issue a license to an applicant, or may suspend or revoke a license issued, or order disciplinary measures, on the following grounds:

(1) Denial of a license to an applicant, or suspension or revocation of a license in another racing jurisdiction; the commission may require reinstatement in the original racing jurisdiction where the applicant was denied a license or where his license was suspended or revoked;

(2) Conviction of a crime or violation of any narcotic administrative regulation;

(3) Falsification, misrepresentation, or omission of required information in license application to the commission; failure to disclose to the commission complete ownership or beneficial interest in a horse entered to be raced; misrepresentation or attempted misrepresentation in connection with the sale of a horse or other matter pertaining to racing or registration of Arabians, quarter horses or appaloosas.

(4) Failure to comply with any order or ruling of the commission, stewards, or racing official pertaining to a racing matter;

(5) Ownership of any interest in, or participation by any manner in, any bookmaking, pool-selling, touting, bet solicitation, or illegal enterprise, or association with any person so engaged in these activities;

(6) Person less than sixteen (16) years of age;

(7) Person unqualified by experience or competence to perform the activity permitted by license as determined by standard examinations prescribed by the stewards;

(8) Intoxication, use of profanity, fighting or any conduct of a disorderly nature, on association grounds;

(9) Employment or harboring of unlicensed persons required by these rules to be licensed;

(10) Discontinuance of or ineligibility for activity for which license was issued;

(11) Possession on association grounds, without written permission therefor from the commission or stewards, of:

(a) Firearms;

(b) Battery, or buzzer, or electrical device; or

(12) Possession on association grounds by a person other than a licensed veterinarian of:

(a) Hypodermic needle, or hypodermic syringe, or other device which could be used to administer any substance to a horse;

(b) Narcotics, or medication, or drug, or substance which could be used to alter the speed of a horse in a race.

(13) Use of profane, abusive, or insulting language to or interference with a commissioner, member of the commission staff, or racing official, while persons are in the discharge of their duties;

(14) Cruelty to a horse or neglect of a horse entrusted to a licensee's care;

(15) Offering, promising, giving, accepting, or soliciting a bribe in any form, directly or indirectly, to or by a person having any connection with the outcome of a race, or failure to report knowledge of same immediately to the stewards;

(16) Causing, or attempting to cause, or participation in any way in any attempt to cause the prearrangement of a race result, or failure to report knowledge of same immediately to the stewards;

(17) Entering, or aiding and abetting the entering of, a horse ineligible or unqualified for the race entered;

(18) Drug addiction, bad moral character, intemperate habits, bad reputation for honesty, truth and veracity, or involvement in a subject of public notice as involved in any activity which, in the opinion of the commission, would be inconsistent with the best interests of racing by reflection on the honesty and integrity of the sport of racing; or association with persons so characterized; or

(19) Violation of any administrative regulation of the commission, or aiding or abetting any person in the violation of any administrative regulation.

Section 5. License Applications for Associations. Persons or legal entities desiring to conduct Arabian, quarter horse or appaloosa racing in the commonwealth shall apply to the commission for association license. The application shall be made in writing on application forms prescribed by the commission and filed at the commission general office on or before September 1 of the year preceding the calendar year in which the license is to be in force. The application shall contain:

(1) Name and location of track. Initial applications shall be accompanied by such physical information as the commission may require;

(2) Names and addresses of all officers, directors, stockholders, and other persons owning or controlling a beneficial interest in the association with a degree of ownership or type of interest shown;

(3) Names and addresses of persons capable of exercising any control over affairs of the association as trustee or guardian or lessor, or mortgagee, or fiduciary;

(4) Corporations, partnerships, or other legal entities which own or control a beneficial interest in the association directly, or through other corporations or legal entities, shall similarly file with the application lists showing the names and addresses of all officers, directors, stockholders, and other persons owning or controlling a beneficial interest in such legal entities with a degree of ownership or type of interest pertaining to such ownership or control. Applications shall not be acted upon by the commission until the commission is satisfied a full disclosure has been made;

(5) Days and hours on which racing is requested to be conducted;

(6) Names of racing officials and persons responsible for track security and fire protection;

(7) Proposed purse schedule, showing minimum purse, average daily distribution, added money for each stake, if any;

(8) An operating report on forms prescribed by the commission if applicant is currently licensed;

(9) Other information as the commission may from time to time require to ascertain the fitness of the applicant to conduct Arabian, quarter horse and appaloosa racing; and

(10)(a) Based on the daily mutuel handle, all associations and tracks shall pay a daily licensing fee to the Kentucky Quarter Horse, Appaloosa and Arabian Commission as follows:

From	But Less Than	Daily Licensing Fee
$0	$75,000	$100
75,000	150,000	150
150,000	200,000	200
over 200,000		300

(b) In the event that the commission allows two (2) racing programs on one (1) day, a separate daily fee for each racing program shall be paid.

(c) As used in this section the term "daily mutuel" shall mean the total gross amount of money bet or wagered by the track's patrons.

Section 6. License Application for Participants in Racing. (1)(a) A person other than an association required to be licensed by Section 1 and desiring to participate in Arabian, quarter horse and appaloosa racing in the Commonwealth shall apply to the commission for a license.

(b) The application shall be made in writing on application forms prescribed by the commission and filed at the commission general office or with the commission license administrator at the association on or after January 2 of the calendar year in which the license is to be in force, but not later than twenty-four (24) hours after applicant has arrived on association grounds.

(2) Applications from persons not previously licensed in Kentucky shall include the names of two (2) reputable persons who will attest to the good reputation of the applicant and to the capability and general fitness of the applicant to perform the activity permitted by the license.

(3) Applications from persons whose age is not readily ascertainable by the licensing committee shall be accompanied by an attested copy of a birth certificate or work permit showing applicant is sixteen (16) years or older.

(4)(a) Applications from persons, corporations, partnerships, lessors, or other legal entities involving more than one (1) individual person desiring to race horses in the commonwealth shall, in addition to designating the person or persons to represent the entire ownership of such horses, be accompanied by documents which fully disclose the identity and degree and type of ownership held by all individual persons who own or control a present or reversionary interest in such horses.

(b) Applications shall not be acted upon by the commission until the commission is satisfied a full disclosure has been made.

(5)(a) Applications from persons desiring to treat, or prescribe for, or attend any horse on association grounds as a practicing veterinarian, shall be accompanied by evidence that such person is currently licensed as a veterinarian by the Commonwealth of Kentucky.

(b) An accredited practicing veterinarian not licensed by the commission or the commonwealth, however, may with permission of the stewards in an emergency be called in as a consultant, or to serve as a veterinarian for one (1) horse on a temporary basis, and shall not thereby be considered as participating in racing in this state.

(6) Applications from persons desiring to treat, or prescribe for, or attend any horse on association grounds as a dental technician shall be accompanied by the name of a licensed veterinarian who will attest to the technical competence of the applicant and under whose sponsorship and direction such applicant will work on association grounds.

(7) Applications from persons not previously licensed in the capacity of farrier shall not be forwarded with recommendations to the commission by the licensing committee until the applicant has successfully completed a standard examination by an experienced farrier known to the stewards so as to provide the licensing committee a reasonable basis for recommendation as to the technical proficiency of the applicant for a farrier's license.

(8) The following annual fees shall accompany the application and shall not be refundable:

(a) Thirty-five (35) dollars - Owner license;

(b) Thirty-five (35) dollars - Trainer, jockey, or forty-five (45) dollars - jockey's agent license;

(c) Thirty-five (35) dollars - Veterinarian, dental technician, assistant trainer, farrier, or apprentice farrier license;

(d) Five (5) dollars - Stable employee license (foreman, authorized agent, exercise boy, groom, hotwalker, watchman, or pony boy);

(e) Twenty-five (25) dollars - Stable area supplier license (suppliers of horse feed, tack, medication, or food vendors);

(f) Thirty-five (35) dollars - Racing department employee license, steward, racing secretary, assistant racing secretary, director of racing, starter and assistant starter, paddock judge, patrol judge, placing judge, timer, association veterinarian, testing laboratory employee, horse identifier;

(g) Twenty (20) dollars - Mutuel department employee license, manager, calculator sheet writer, supervisor, ticket checker, ticket seller, ticket cashier, messenger, runner, outbook clerk, program clerk, porter, information and change clerk, boardman, ticket room and money room clerk, assistant, totalizator employee;

(h) Ten (10) dollars - Occupational license, admission department manager and employees; concessions manager and employees; parking manager and employees; association security department including police chief, detectives, policemen, watchmen, fire, ambulance drivers and attendants; track superintendent, groundsmen, mechanics, carpenters; maintenance department manager and employees; valet, jockey room custodian, clerk of the scales, entry clerk, photo finish operator, film patrol or video tape operator and projectionist, flagman, or outrider; all other persons employed by the association or employed by a person or concern contracting with the association to provide a service or commodity and which employment requires their presence on association grounds during a race meeting.

Section 7. Licensing Committee. (1) The commission may appoint a licensing committee including the commission secretary and commission steward or their designated representative.

(2) The licensing committee shall review all applications for all licenses, and forward all the applications to the commission with recommendations, subject to security checks, for final action.

(3) The licensing committee may issue to a license applicant a temporary permit to participate in the activity for which a license application was made pending administrative processing and final action on the license application by the commission.

Section 8. Term of License. Licenses issued by the commission for participation in Arabian, quarter horse and appaloosa racing shall be valid from the date of issuance through the calendar year shown on the license at all race meetings conducted by associations in the commonwealth during calendar year, unless sooner suspended, revoked, or voided. The validity of a license does not preclude or infringe upon the common law right of associations to eject or exclude any persons, licensed or unlicensed, from association grounds.

Section 9. Possession of License Required. Persons required to be licensed by these administrative regulations shall not participate in any activity required to be licensed on association grounds during a race meeting without having been issued a valid license therefor and having same in his possession. All licenses specified under Section 7(9)(b) to (i) of this administrative regulation shall include a color photograph of the licensee.

Section 10. Applicability of Rules and Rulings to Household. Administrative regulations pertaining to, and rulings against, licensees shall apply in like force to the spouse and members of the immediate family or households of the licensee, unless there is a showing on the part of an affected spouse, or affected member of the immediate family or household of the licensee, and the stewards in their discretion so find, that the continuation of participation in racing by such affected person will in no way circumvent the intent of the rule, or effect of the ruling, by permitting a person under the control or direction of the licensee to serve in essence as a substitute for a suspended licensee, or person ineligible to participate in a particular activity.

Section 11. Notice for Discontinuance of Employment. (1) Licensed associations, racing officials, owners, trainers, jockeys, agents, farriers, stable employees, and all other licensees who have accepted with advance notice the conditions under which a race meeting is planned to be conducted, shall before terminating employment, engagements, or activities, notify the commission and respective interested persons or associations of their intention at least fifteen (15) days before their termination.

(2) The commission shall upon notice to parties in interest conduct a hearing on the matter.

(3) If the commission finds that the cause of termination is unreasonable, unlawful, or contrary to these administrative regulations, the commission shall so advise all parties in interest and shall take appropriate action against offending parties.

(4) If the commission finds that the cause of termination is reasonable, lawful, and not contrary to these administrative regulations, the commission shall so advise all parties in interest and shall use its best efforts to settle the dispute. (Recodified from 812 KAR 1:020, 6-10-1987; Am. 19 Ky.R. 1162; 2057; eff. 2-19-93.)