Title 9 Part 4101

All harness racing corporations or associations formed pursuant to the laws of the State of New York desiring to conduct a race meeting with pari-mutuel wagering thereon must obtain a license annually from the commission. All licenses shall be deemed conditioned upon compliance with the laws of the State of New York, the rules and regulations of the commission, payment of fees and taxes required by statute, payment of fees required for the operation of the commission laboratory for chemical analysis of samples, and the proper installation, operation and maintenance of equipment and devices for the conducting, timing and monitoring of races that the commission shall prescribe as necessary or desirable in the public interest.

Application for license to conduct a harness race meeting with pari-mutuel wagering shall be made annually to the commission under oath of one officer of the applicant corporation or association and on forms provided by the commission.

Upon receipt of application satisfactory in form and content to the commission, the commission shall grant its license for a term of days during the current year during which the applicant may conduct harness racing with pari-mutuel wagering. Such license shall specify the place where and the hours of the day or night during which racing and pari-mutuel wagering shall be held.

Licensed harness racing corporations or associations conducting harness racing with pari-mutuel wagering are required, with their officers and employees, to be responsible for the conduct of their meetings and to make certain that all officers and executive employees are thoroughly familiar with provisions of the Racing, Pari-Mutuel Wagering and Breeding Law and the rules and regulations of the commission.

Neither a certificate of incorporation under section 302 of the Racing, Pari-Mutuel Wagering and Breeding Law, nor a certificate of amendment, shall be filed with the Secretary of State without the approval of the commission or the commission’s predecessor endorsed on or annexed to it.

In determining whether or not to grant a pari-mutuel track license to a racing association or corporation and/or assign racing dates to a licensed racing association or corporation, the commission may consider if there exists a written agreement between the racing association or corporation and its representative horsemen's association governing the terms and conditions of racing and the commission may require such an agreement to be in existence, unless the commission finds that the absence of the agreement is for good cause due to factors beyond the control of the racing association or corporation or the representative horsemen's association.

All associations and corporations licensed under the Racing, Pari-Mutuel Wagering and Breeding Law to conduct harness race meetings at which pari-mutuel betting is permitted must adopt the uniform system of accounts that has been furnished such licensees by the commission.

The licensee must maintain separate general ledgers and books of original entries for each calendar or fiscal year.

All associations and corporations licensed by the commission are required to submit to the commission the following:

Except as otherwise provided in the rules or by statute, information concerning races conducted at all pari-mutuel harness tracks in New York shall not be transmitted from any such track unless approved by the commission. The term racing information shall be deemed to include live, delayed or simulated descriptions of a race whether by audio or video transmission, the odds resulting from any betting registered before a race and other types of information, including but not limited to entries, program numbers, driver changes, post positions, scratches, race results and pay-off prices.

Pursuant to section 907 of the Racing, Pari-Mutuel Wagering and Breeding Law, New York wagers may be combined with wagers made in other states or foreign countries if proposed pursuant to a written plan describing the method of operation under each of the criteria set forth under such law and evidence of compliance with each of the requirements of such law is furnished by the applicant. Such application shall be approved by the commission if the commission is satisfied that the statutory criteria have been met and that such operation is consistent with the public interest and the best interests of racing generally.

Any person who, or firm, association or corporation that, holds any concession, right or privilege to perform any service or sell any article at any track at which pari-mutuel harness racing meets are conducted must submit to the commission a copy of each report, advice or other document that such person, firm, association or corporation furnishes or is required to furnish to the licensed harness racing association or corporation in order to substantiate any commissions, rentals, service fees and similar financial or other arrangements between the parties. Any person, firm, association or corporation operating a concession, performing any service or selling any article at more than one licensed harness racing track must submit separate reports of such operation at each track.

At the end of each meet such person, firm, association or corporation shall prepare and send to the commission a record of such firm, association or corporation’s operations at the track in the form of a profit and loss statement. Such report shall show the gross revenues derived from the meeting as well as all expenses paid or accrued during the same period. Income and expense items must be shown in detail. Such report must be verified by at least two of the principal officers of the firm, association or corporation, if an association or corporation, and by one or more owners or proprietors thereof if not an association or corporation. Such report must be filed with the commission within 30 days after the end of each individual meet. Such person, firm, association or corporation shall submit to the commission verified financial statement including (a) a balance sheet and (b) a statement of profit and loss showing the combined operations for that year and the results of such operations for each specific harness racing meet at which he, she, they or it conducted business during the year. These reports must be filed with the commission within 75 days after the end of the calendar or fiscal year of such person, firm, association or corporation. The end of the calendar or fiscal year reports must be verified as required under section 4101.10(c)(1) and (2) of this Part.

Any person who, or firm, association or corporation that holds any concession, right or privilege to perform any service or sell any article at any track at which pari-mutuel racing meets are conducted in the State of New York must submit to the commission the following:

Each licensed harness racing association or corporation issuing stock must imprint upon the face of each certificate of stock plainly and prominently the following:

“This certificate of stock is transferable only subject to the provisions of section 303 of Racing, Pari-Mutuel Wagering and Breeding Law.”

Occupational licenses.

Copies of the commission rules and regulations are available at the commission office at each licensed harness race track and the commission’s principal office.

Admission charges for each class of accommodation must be approved by the commission. The minimum charge shall not be less than 50 cents exclusive of taxes; provided, however, that the charge for admission of members of the Armed Forces of the United States in uniform and minors under 18 years of age may be one half of the amount fixed for such admissions generally under authority of this section whether or not such one half of the amount fixed is less than the minimum amount prescribed in this section. Every admission to a track shall be a paid admission, except as provided in section 4101.27 of this Part.

No track licensee shall issue any pass, card or badge entitling any person to free admission to its such licensee’s track except in accordance with section 324 of the Racing, Pari-Mutuel Wagering and Breeding Law.

No telephone shall be installed in the stable area or elsewhere upon its grounds except with the permission of the licensed harness track.

Each night's racing program shall be scheduled to be completed prior to midnight. On Saturday night no race shall be called on the track that cannot within reasonable expectation be completed before midnight and in no event may betting be conducted after 11:57 p.m. on said night and the presiding judge shall cause the machines or other devices used for wagering to be locked by such time.

The receipt by the commission for filing of any document, contract, agreements or writings required to be filed with the commission pursuant to law or the rules and regulations of this commission, shall not constitute an approval by the commission of the contents of such documents, contracts, agreements or writings.

Every owner, driver or trainer who employs or hires any person or persons required by the laws of the State of New York to be covered by workers' compensation must file a certificate of insurance with the commission on a form satisfactory to the chairman of the Workers' Compensation Board. No license or permit will be issued to participate in harness racing unless the commission has a certificate of insurance on file.

Minors under 16 years of age shall not be admitted to the public area of a harness track where pari-mutuel betting is conducted unless accompanied by a parent or guardian. Minors 16 years of age or older may be admitted at all meetings whenever held. Nevertheless any track in its own discretion may bar the admission of minors under 18 years of age at all times or prescribe the conditions under which such minors may be admitted, consistent with this section.

No person who is under 18 years of age shall be eligible to be licensed as an owner or trainer.

Each track licensee shall employ and have present an emergency medical technician in a designated place in the public area of the track for first aid and emergency needs during all times that the general public is admitted to the track. Each track licensee shall also be equipped with an ambulance certified by the New York State Department of Health and an attendant during racing including qualifying races. Nothing in this section shall relieve any track licensee of the duty to comply with Part 18 of Title 10 of the New York Codes, Rules and Regulations mandating emergency health care requirements at public functions.

Commission license cards and slips, track parking stickers and track admission badges or passes are nontransferable and the use thereof by anyone other than the person to whom such is issued shall constitute a violation of this section by the person transferring and the user thereof.

Corporations or associations licensed to conduct pari-mutuel racing shall at all times during races furnish and maintain at their tracks the necessary cameras and equipment, as approved and directed by the commission, to produce videotape recordings or motion pictures of every race from start to finish. The videotape recordings, films or digital images shall be retained by the respective corporations or associations for a period of not less than 18 months, and shall at all times be available to the commission.

Disputes between a regional corporation and a track with respect to the purposes or objectives set forth in section 518 of the Racing, Pari-Mutuel Wagering and Breeding Law shall be submitted in writing to the commission for determination. The commission may make the commission’s determination based on the submissions or may hold a hearing on the matter. The commission's determination shall be final. Failure to comply with the commission's determination by any party shall subject the responsible person or persons to disciplinary action.

Each harness racing association or corporation that maintains a website on the Internet, shall post on such association’s home page a message designed to assist compulsive gamblers. Such posting shall include, but not be limited to a notice of the availability of one or more organizations approved by the Commissioner of Mental Health, pursuant to the provisions of section 7.09(g) of the Mental Hygiene Law, which offer assistance in dealing with problem of compulsive gambling.