N.Y. Comp. Codes R. & Regs. tit. 9 § 4002.1

Current through Register Vol. 46, No. 45, November 2, 2024

Section 4002.1 - Occupational licenses

(a) No person shall participate in the affairs of any association or corporation licensed or franchised by the commission or franchise oversight board to conduct thoroughbred race meetings at which pari-mutuel betting is permitted as director, agent, or employee of such track, unless such person shall have received an occupational license from the commission.

(b) No person shall participate in or at any thoroughbred race meet as a managing owner, racing owner, trainer, assistant trainer, jockey, apprentice jockey, jockey agent, veterinarian, veterinary technician, farrier, stable employee, track supplier, equipment supplier, salesman, or agent or be the holder or operator of any concession, or perform any service, including without limitation the conduct of negotiations on behalf of any person or persons who engage in any racing activities or perform any services in connection with the conduct of any thoroughbred race meet, or engage in any occupation or employment at any thoroughbred race meet unless such person shall have received an occupational license from the commission, with the following exceptions:

(1) public officers and public employees engaged in the performance of their official duties; and

(2) persons exempted by the commission from the occupational license requirement.

(c) Every such license shall provide that the license shall comply with this Subchapter and that violation thereof may be punished by suspension or revocation of such license. Such licenses shall be issued only to natural persons.

(d) It shall be the responsibility of each track to prevent any person not holding an occupational license from doing or performing any act or acts at its track.

(e) An application for an occupational license shall be made upon a form supplied by the commission and shall be executed in the manner prescribed by the commission. The commission may issue instructions as to the preparation and execution of applications for occupational licenses, which instructions may be a part of or separate from the application form. Failure to comply with any such instructions shall be grounds for denial, suspension or revocation of an occupational license. When so instructed by the commission, the applicant shall file with the application fingerprints and photographs in requisite number. The fingerprints so obtained shall be transmitted by the commission to the New York State Identification and Intelligence System, the Federal Bureau of Investigation Identification Division, and any other government agency of any state or country selected by the commission, for the purpose of establishing identity and previous criminal record, if any, of the applicant.

(f) Should a licensee lose a license or should a license in some manner be destroyed, such licensee may apply for a duplicate license by filing an affidavit on a form supplied by the commission and the payment of a fee of $5.

(g) Each applicant for an occupational license shall pay an annual license fee at the time of the filing of the application. In addition to the statutory license fees for owners, trainers, assistant trainers, jockeys, jockey agents, and stable employees set forth in Racing, Pari-Mutuel Wagering and Breeding Law section 220(1), license fees are:

(1) farrier, track management, veterinary technician-$20;

(2) mutuel-$10;

(3) cleaning and food service workers, exercise rider, authorized agent-$5; and

(4) all others-$10.

Such fees shall be multiplied by two for two-year terms and by three for three-year terms.

(h) It shall be the responsibility of the trainer to determine that every person employed by the trainer's at a track and every assistant trainer, groom, clerk, assistant or other person working regularly in the trainer's stable at a track is licensed by the commission. It shall be the responsibility of the trainer to refuse to represent any participant at a licensed track under circumstances in which the trainer, by the exercise or reasonable discretion, has reason to believe that said participant has not been licensed by the commission and to report said circumstances to the track steward.

(i) No unlicensed person shall enter or be present in the stable area, paddock, racing strip, infield, or mutuel area of a track without permission from the commission and each track shall use all practicable measures to enforce the above restrictions.

(j) Upon the commission's request, an applicant for an occupational license or a licensee shall furnish to the commission records or information pertaining to such person's service in the Armed Forces, treatment for any physical or mental condition, including confinement in any institution, past or present financial condition, past or present employment and any other information or records that may be deemed necessary by the commission. Failure to furnish such records and information if available, and if not available to cooperate with and assist the commission in obtaining such records and information, shall be grounds for denial, suspension, or revocation or fine by the commission.

(k) Before the commission issues or reinstates an occupational license, it may require as a condition for issuing or reinstating such license, that the person involved produce proof:

(1) that if such person is to be employed, that such person's proposed employer intends to so employ such person upon issuance or reinstatement of the license; or

(2) that if such person is to be otherwise engaged in thoroughbred racing that such person is able, financially or otherwise, to so participate upon licensing.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4002.1

Amended New York State Register February 10, 2021/Volume XLIII, Issue 06, eff. 2/10/2021