Title 9 Part 4403

A condition precedent to the exercise of authority by any corporation is strict compliance with each rule, regulation, decision, directive, or order of the commission. The commission may suspend or revoke in whole or in part the operating authority of a corporation.

Each corporation shall file with the commission a verified petition that shall set forth:

Each corporation shall submit detailed information concerning the structure, administration and staff arrangements of the corporation, including proposed rates of compensation for its personnel and position descriptions therefor.

The commission may require at any time such additional information data or documents as may be deemed necessary in order to properly consider and evaluate such plan. The plan shall not be deemed to be complete for consideration by the commission until all of the commission's requirements have been complied with. The commission shall have the statutory period of time from determining such plan to be complete in which to issue an order approving the plan finally or conditionally, approving it with modifications or denying approval.

The plan of operation of a corporation shall set forth specifically or by reference to another document, which shall be appended thereto, the provisions for job security for employees at regional race tracks made and accepted by the employer and the employees involved individually or through their collective bargaining representatives. Such agreements shall cover race tracks affected by off-track betting conducted by the regional corporation, as prescribed by law, and the different classifications of track employees there employed; provided, however, for the purposes of this section, the New York City, Suffolk, Nassau, mid-Hudson and Catskill regions shall constitute a single combined region, and all job security agreements for corporations in this single combined region relating to tracks and their employees located within such single combined region shall be jointly negotiated by the regional corporations existing at the time of such negotiations, and each regional corporation thereafter created within such single combined region shall, at the time of its creation, be deemed a party to previously negotiated existing agreements by other regional corporations and employees in such single combined region, and such existing agreements shall be deemed a part of its proposed plan of operation. All such provisions for job security as concern track employees shall be approved by the commission and when approved shall be deemed a part of the plan of operation of the corporation.

The plan of operation shall include a written description and a blueprint or diagram of the locations in branch offices of all equipment capable of the transmission of information, whether mechanical, electrical, manual or electronic.

The plan of operation shall include any agreement for a radio broadcast or for a television broadcast of any racing program or of any part thereof, or of any other event at a track within or without this State. Each such contract shall include a provision that the contract shall not be effective unless such contract is approved by the commission.

The plan of operation shall include the names of each director and officer of the corporation, together with a report of the professional character, qualifications, fitness and reputation of each such person. In the event of any vacancy, the corporation shall notify the commission that it will submit the name of a person to fill the vacancy. The corporation shall forward such name together with the aforementioned report as to such person's character to the commission.

The commission may approve a plan of operation finally or conditionally and may provide in such order of approval any limitations or conditions upon the authority of the corporation to operate and conduct off-track betting. Should the commission grant temporary authority, such authority shall be for such limited period of time as may be set forth in its order. The commission may reconsider its action in respect of the approval or disapproval of a plan of operation at any time.

A plan of operation may be amended from time to time at the request of the corporation or the commission. Amendments proposed by the corporation shall be submitted in writing to the commission, and the commission shall approve or disapprove of such proposed amendment within 30 days of such proposed amendment’s having been submitted. No prepared amendment shall be effective unless the same shall have been approved by the commission and ordered by the commission incorporated in the plan of operation. The commission may at any time propose amendments to a plan of operation. A corporation may request a hearing concerning the rejection by the commission of an amendment proposed by such corporation or the proposal of an amendment by the commission by filing a request therefor with the commission, in writing, within five days of receipt of notification of the commission’s action to which the corporation takes exception.

Each board of directors has an affirmative duty to report to the commission any change or intended change of any fact or proposal that is part of its plan of operation as submitted to the commission, or of any change that is material to the operation of the corporation. All such changes in the plan of operation shall be of no effect until the same shall have been approved by the commission in the same manner as an amendment to a plan of operation.

A corporation may propose rules and regulations with respect to the implementation of such corporation’s plan of operation. Such rules and regulations shall not become effective without the prior approval of the commission.

Except as otherwise provided in the rules or by statute, information concerning races conducted at any pari-mutuel track in New York shall not be transmitted from any such track unless approved by the commission. Furthermore, information concerning races conducted at any track outside New York State shall not be transmitted to an off-track betting facility in New York State 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, jockey changes, post positions, scratches, race results, and payoff prices.

Pursuant to section 905 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.