Lot 8000

CHAPTER Lot 8000 LIVE AND SIMULCAST RACING

REVISION NOTE:

Pursuant to 1982, 42:141, effective 6-29-82, the powers, rights, duties, and responsibilities of the State Racing Commission and the State Greyhound Racing Commission were transferred to the Pari-Mutuel Commission.

Pursuant to 2008, 25:1, effective 7-11-08, the Pari-Mutuel Commission was renamed the Racing and Charitable Gaming Commission. The Racing and Charitable Gaming Commission was subsequently abolished pursuant to 2015, 276:121, effective 7-1-15, which amended RSA 284:6-a. Pursuant to 2015, 276:137, I, all the functions, positions, powers, duties, and responsibilities of the Racing and Charitable Gaming Commission were transferred to the Lottery Commission. Pursuant to 2015, 276:137, II, all existing rules of the Racing and Charitable Gaming Commission were similarly transferred to the Lottery Commission.

Document #12543, effective 6-1-18, adopted and filed by the Lottery Commission, repealed the various rule provisions which were still effective in the following chapters formerly adopted by the Pari-Mutuel Commission:

Pari 300 titled “Racetrack Licensing”

Pari 500 titled “Administrative Rules Applicable to All Licensees”

Pari 600 titled “Rules of Harness Racing

Pari 700 titled “Use of Prohibited Substances and Practices in Horse Racing”

Most of the provisions of Chapter Pari 800 titled “Greyhound Racing” had expired 1-11-11 prior to the abolition of the Racing and Charitable Gaming Commission. The remaining provisions in Pari 800 had been repealed by the Lottery Commission by adopting and filing Document #12175, effective 5-18-17.

Simultaneously with the adoption and filing of Document #12543, the Lottery Commission adopted and filed Chapter Lot 8000 titled “Live and Simulcast Racing” in Document #12544, effective 6-1-18. Document #12544 replaces all prior filings for rules in the former Chapters Pari 300, 500, 600, 700, and 800. Prior filings affecting these chapters include the following documents:

Pari 300

Document #9170, effective 6-4-08, adopted a new Chapter Pari 300 titled “Racetrack Licensing”. Chapter Pari 300 had formerly addressed, and been titled, the “Rules of Thoroughbred Horse Racing”.

The filings prior to Document #9170 affecting the former Chapter Pari 300 titled “Rules of Thoroughbred Horse Racing” (numbered Ra 300 until Document #5779) included the following documents:

#2646, eff 3-21-84* #3012, eff 8-3-85, EMERGENCY

#2724, eff 8-23-84, EMERGENCY #3107, eff 8-27-85

#2844, eff 9-6-84, EMERGENCY #3111, eff 9-4-85, EMERGENCY

#2871, eff 10-2-84 #3189, eff 1-24-86

#2932, eff 12-27-84 #4051, eff 5-9-86*

#3001, eff 4-11-85, EMERGENCY #5779, eff 2-1-94**

#3011, eff 8-3-85, EMERGENCY #7706, eff 6-7-02, EMERGENCY***

*The rules in Pari 300 contained in Document #2646 which had not been amended, repealed, or superseded by later documents expired on 3-21-90. The remaining rules in Chapter Pari 300 contained in later documents through Document #4051 had all expired by 5-9-92.

**Document #5779, eff 2-1-94, adopted all of Chapter Pari 300, which expired 2-1-00.

***Document #7706, eff 6-7-02, had adopted as an emergency rule only one section of the Pari 300 rules, numbered Pari 324.01 entitled “Trainer of Thoroughbred Racing Horse As Absolute Insurer.” It expired on 12-4-02.

Document #10462, effective 11-19-13, which amended Pari 303.01 titled “Application Procedures for a Racetrack License”, was the only filing subsequent to Document #9170 that affected rules in Pari 300 before Chapter Pari 300 was repealed by Document #12543, effective 6-1-18.

Pari 500

Document #7820, effective 1-11-03, adopted a new Chapter Pari 500 titled “Administrative Rules Applicable to All Licensees” and adopted and moved the existing Chapter Pari 500 titled “Rules of Greyhound Racing” to Pari 800 titled “Greyhound Racing.”

Document #8933, effective 7-11-07, and Document #9248, effective 8-29-08, were the only filings affecting rules in the new Pari 500 subsequent to Document #7820 and which were still effective until repealed by Document #12543, effective 6-1-18.

Pari 600

Document #8605, effective 4-12-06, adopted Pari 600 titled “Rules of Harness Racing.”

Document #9230, effective 10-1-08, and Document #9248, effective 8-29-08, were the only filings affecting rules in Pari 600 subsequent to Document #8605 and which were effective until repealed by Document #12543, effective 6-1-18.

Pari 700

Document #8066, effective 3-26-04, adopted Pari 700 titled “Use of Prohibited Substances and Practices in Horse Racing”.

Document #8551, effective 1-26-06, Document #9006, effective 10-12-07, and Document #9248, effective 8-29-08, were the only filings affecting rules in Pari 700 subsequent to Document #8066. The rules in Pari 700 in Document #9006 and Document #9248 were effective until repealed by Document #12543, effective 6-1-18.

Pari 800

The prior filings for the rules in Chapter Pari 500 on greyhound racing (numbered Ra 500 until Document #3191) included the following documents:

#2225, eff 12-27-82 #3087, eff 8-9-85

#2554, eff 12-22-83, EMERGENCY #3089, eff 8-16-85, EMERGENCY

#2648, eff 3-21-84 #3188, eff 1-24-86

#2697, eff 5-2-84 #3190, eff 1-24-86

#2843, eff 9-6-84, EMERGENCY #3191, eff 1-24-86

#2934, eff 12-27-84 #3192, eff 1-24-86

#3065, eff 7-19-85, EMERGENCY

The rules contained in Document #2934 which were not amended, superseded, or repealed by later documents had expired on 12-27-90.

Document #5498, effective 11-4-92, adopted Chapter Pari 500 on greyhound racing, which had all expired by 1-24-92.

Document #7820, effective 1-11-03, subsequently adopted a new Chapter Pari 500 titled “Administrative Rules Applicable to All Licensees” and adopted and moved the previous Chapter Pari 500 titled “Rules of Greyhound Racing” to Pari 800 titled “Greyhound Racing.”

Document #9230, effective 10-1-08, and Document #9248, effective 8-29-08 were the only filings affecting rules in Pari 800 subsequent to Document #7820. The rules in Pari 800 filed in Document #9230 and Document #9248 were effective until repealed by Document #12175, effective 5-18-17.

PART Lot 8001 PURPOSE

Lot 8001.01 Purpose. The purpose of this chapter is to establish the application procedures, qualifications, and duties of individuals, organizations, associations or corporations seeking to obtain:

(a) A racetrack license required by RSA 284:12-a to hold live horse races or simulcast horse and dog races for harness or running horses;

(b) An occupational license required by RSA 284:19 to engage in activities relative to the conduct and operation of running or harness races at racetracks;

(d) Registration as a stable name as required when entering horses under a stable name.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8001.02 Scope. The rules in this chapter shall apply to all individuals, organizations, associations, or corporations whose involvement in racing activities conducted in the State of New Hampshire require licensure in accordance with RSA 284.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

PART Lot 8002 DEFINITIONS

Lot 8002.01 “Applicant” means a person, association, or corporation applying for a license to hold a horse race or simulcast horse or dog races in accordance with RSA 284:15.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.02 “Board of judges” means a group of at least 3 judges appointed by the commission to interpret and enforce the rules and RSA 284, and decide all questions of racing not specifically covered by the rule.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.03 "Commission'' means the New Hampshire lottery commission established pursuant to RSA 284:21-a, or its designated staff having authority to perform administrative and clerical functions for the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.04 "Course" means the prescribed ground over which horses race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.05 “Driver” means the individual who rides or drives a horse as a professional in a race. In thoroughbred racing, the driver is known as a jockey.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.06 “Executive officer” means an individual, including but not limited to the president, chief executive officer, chairman of the board, partner who is actively involved in management, trustee, or other officer of an organization, who is authorized to submit an application on behalf of the applicant, enter into agreements on the organization’s behalf, or otherwise bind the organization.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.07 “Horse identifier” means the race official responsible for inspecting and properly identifying of each horse in the paddock, and reporting of irregularities prior to a race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.08 “Judge” means an official responsible for enforcing the rules of racing. Judge also includes the term “stewards”.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.09 “Licensee” means an individual, organization or association holding a valid license issued by the commission to conduct live horse racing and pari-mutuel wagering pursuant to RSA 284:15.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.10 “Meet” means the total of all live races conducted, or proposed to be conducted, by a licensee during the period of validity of a license issued by the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.11 “Mutuel manager” means the individual responsible for overseeing the wagering operation at the track or off-track-betting.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.12 "Paddock" means the building and associated enclosure where the animals entered in a race are held before the beginning of the race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.13 “Paddock judge” means the race official responsible for oversees all activities in the paddock and saddling area, and for calling the horses to the paddock before the race to make sure they leave to go to the track at the appropriate time.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.14 “Party to the application” means:

(a) For a sole proprietorship, the sole proprietor;

(b) For a partnership, the applicant and all partners including general, limited and silent partners;

(1) Executive officers;

(2) Directors;

(2) Stockholders of record;

(3) Individuals or organizations holding the beneficial interest in any stock, including beneficiaries of a trust, or having a right to proceeds or other benefits that arise from the property, excluding individuals or organizations holding a lien against such property;

(4) Subscribers to any stock of the corporation; and

(5) Individuals or organizations who voted on any of the voting stock at the last stockholder’s meeting prior to submitting the application; or

(d) For any other organization, the applicant and all owners, executive officers, members of the governing board, and any other individual or organization holding any membership, financial, or ownership interest in the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.15 “Patrol judge” means the race official who observes progress of race from various vantage points around the track, and looks for any incidents that occur during the running of the race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.16 “Presiding judge” means the race official responsible for interpreting racing regulations and ordering any appropriate action in order to ensure a fair race and to protect the best interests of racing.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.17 “Race announcer” means the race official responsible for relaying information to the fans by calling the races and announcing any changes throughout the race day.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.18 “Race charter” means the race official responsible for providing an accurate description of how each race is run. These descriptions include the final running time with splits and the location of each horse at certain points throughout the race, and are used to handicap the race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.19 “Racing premises” means all real property utilized by a licensee in the conduct of its racing meet, including the course, grandstand, concession stands, offices, areas for the housing and management of animals, employee housing facilities, if any, and parking lots.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.20 “Racing program” means the set of races held at a specified racing premises on a given day.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.21 “Racing secretary” means the race official primarily responsible for planning and arranging racing schedules, assigning handicapped weights to horses, and maintaining complete records of all races.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.22 "Restricted area" means that part of the racing premises to which access is limited in accordance with these rules.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.23 “Simulcast” means “simulcast” as defined in RSA 284:22-a, I(b), namely “a licensee’s receipt of the transmission of races conducted at a racetrack other than the licensee’s racetrack and which races are exhibited simultaneously at the licensee’s racetrack by television or other means of electronic reproduction with the conduct of such races at the point of origin and on which races the licensee sells pari-mutual pools.”

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.24 “Starter” means the race official having complete jurisdiction over the starting gate and the starting of each horse to ensure that each participant has an equal opportunity to a fair start.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.25 “Trainer” means an individual responsible for, and the proper care, health, training condition, safety, and protection of horses in his or her charge.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8002.26 “Trainer of record” means the person registered and identified as trainer of such horse used for the purpose of racing in the records of the lottery commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

PART Lot 8003 RACETRACK LICENSES

Lot 8003.01 Applying for a Racetrack License.

(a) Pursuant to RSA 284:12-a, no person, association, or corporation shall hold or simulcast a harness or running horse race or simulcast a dog race without possessing a valid license issued in accordance with this chapter.

(b) In accordance with RSA 284:22-a, to be eligible for a racetrack license the location of the facility where the live or simulcast races are to take place shall have:

(1) Held live running or harness horse racing in 2008; or

(2) Held live dog racing in 2008, and been licensed by the commission in 2010 to simulcast horse and dog races.

(c) Each applicant for a racetrack license pursuant to RSA 284:15 shall submit the following to the commission at least 120 days prior to the first scheduled live or simulcast race during the year for which the license has been requested:

(1) Fully executed “Application for Racetrack License” form (3/2018), and all required exhibits and attachments, as applicable, including:

a. “Attachment A-Sole Proprietorship Information” (3/2018);

b. “Attachment B-Corporation Information” (3/2018);

c. “Attachment C-Partnership Information’ (3/2018);

d. ‘Attachment D-Trust Information’ (3/2018);

e. ‘Attachment E-Limited Liability or Other Type of Applicant Information’ (3/2018);

f. A “Multi-Jurisdictional Personal History Disclosure Form” (as accessed and printed on March 2, 2018), available as noted in Appendix B, for each party to the application;

g. For each party to the application:

1. A copy of a credit report issued no more than 3 months prior to the application;

2. A copy of the signed and filed personal tax returns from the prior 3 tax years, including supporting schedules;

3. A signed and notarized criminal record release authorization form; and

4. One set of fingerprints on a form FD-258, FBI Fingerprint Card;

h. For sole proprietor applicants, 2 letters of personal reference attesting to the good character of the applicant;

i. For corporation applicants:

1. A copy of the articles of incorporation and current bylaws;

2. A copy of the corporation’s registration to do business in New Hampshire;

3. A certified copy of the corporation’s certificate of good standing from the secretary of state; and

4. For each party to the application, a list of each organization and the organization’s ownership interest or stock percentage; and

5. Copies of the corporate tax returns for the organization from the prior 3 tax years, including supporting schedules;

j. Financial statements compiled, reviewed, or audited by a certified public accountant for the time period specified in g.2 and i.5. above, as applicable;

k. For newly established racetracks, the financial projections;

l. An itemized profit and loss statement signed by a certified public accountant for the fiscal year immediately preceding the date of the application as to all occupation and other income producing activities of the applicant;

m. A certified copy of a written approval for licensure from each municipality in which the racing premises is located;

n. Documentation affording the applicant the use of the racing premises, as follows:

1. If the applicant has sole ownership of the premises, a signed statement by the applicant certifying that he or she has sole ownership of the premises and the number of years of said ownership;

2. If the applicant does not owned the premises, a copy of any leases or other agreements authorizing the applicant use of the premises; or

3. If the applicant does not solely own or lease the premises, a copy of any documents evidencing the means by which the applicant has been or will be afforded the use of the racing premises;

o. Copies of any written contracts, or a statement of the substance of any oral agreements including the name of the party or parties with whom made, relative to the present or future ownership, control or operation of the track, including agreements relative to:

1. The purchase or options to purchase the premises involved;

2. The control of the racetrack, its equipment and its entire operation;

3. Ownership, management, use or control of the racetrack or any concessions or any right or interest therein financial or otherwise; and

4. Any obligations to be performed by the applicant;

p. A copy of any document establishing the existence of any rights of way associated with the premises;

q. A copy of all polices of insurance, as well as a copy of the declaration sheets relating thereto;

r. For newly established racetracks, a plot plan showing the entire premises with all current and proposed buildings, and information regarding accessibility by highways, and other means of transportation, and the population density and the distance of principal cities within a 50-mile radius of the premises;

s. A copy of the tax map(s) from the munitipality(ies) in which the premises is located depicting the location of the entire racing premises;

t. For each concessionaire that is currently under contract, has been under contract within the past 5 years, or who intends to be under contract with the applicant, a statement setting forth the following:

1. Complete details of any beneficial interest the applicant has with the concessionaire;

2. The total gross receipts received by each concessionaire for the past 5 calendar years from race meetings conducted by the applicant, and the amount paid to the applicant; and

3. If the amount paid to the applicant is not based on gross receipts, an explanation of the bases of these payments; and

u. Except for sole proprietorships, a copy of the vote, resolution or other authorization granted to allow the application, including exhibits and statements made therein, to be submitted on behalf of the organization;

(2) A written statement, sworn to before a notary public or justice of the peace, confirming the submission of the statement required by RSA 284:15-b to the office of the attorney general;

(3) A non-refundable investigation fee of $10,000, pursuant to RSA 284:12-a, II; and

(4) A bond of a reasonable sum as set by the commission and conditioned upon the applicant:

a. Faithfully making the payments described in RSA 284:18;

b. Keeping books and records, and making reports, as required by RSA 284; and

c. Conducting racing in conformity with the requirements of RSA 284 and the rules promulgated thereunder.

(d) In accordance with RSA 284:18, a reasonable sum for the bond required by (c)(4) above shall not exceed $300,000 and be based on the licensee’s average monthly obligations due to the state including unclaimed ticket money and vouchers, and breakage and wagering revenues, as well as compensation due to commission employees per RSA 284:20-d. Annual payments of unclaimed ticket money and vouchers shall be averaged over a 12-month period for the purposes of this calculation.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8003.02 Approval and Denial Criteria.

(a) The commission shall request a review of the application by the NH department of justice, office of the attorney general within 30 days of the date that a completed application is received by the commission.

(b) Within 30 days of receipt of the opinion of the office of the attorney general, the commission shall approve the application and issue a license when:

(1) The applicant is eligible for licensure under RSA 284:22-a and Lot 8003.01(b) above;

(2) The application, including exhibits, is found to be complete and accurate;

(3) All applicable fees have been paid, and bonds have been posted in accordance with Lot 8003.01(c)(3)-(4) above; and

(4) The office of the attorney general recommends licensure for the applicant;

(c) Within 30 days of receipt of the opinion of the office of the attorney general, the commission shall deny the application when:

(1) The applicant is not eligible for licensure under RSA 284:22-a and Lot 8003.01(b) above;

(2) The application, including exhibits, is found to be incomplete or inaccurate;

(3) All applicable fees have not been paid, and bonds have not been posted as required by Lot 8003.01(c)(3)-(4) above; or

(4) The office of the attorney general does not recommend licensure for the applicant;

(d) If the commission denies an application, the commission’s written notification shall specify the reason(s) for the denial, and the applicant’s right to request an adjudicative hearing to challenge the decision.

(e) If the applicant wishes to request an appeal of the decision, such a request shall be filed with the commission within 30 days of the date of the denial notice.

(f) The commission shall provide all notices, and conduct all hearings in accordance with the requirements set forth in RSA 541-A, Lot 200, and this part, as applicable.

(g) If an applicant requests a hearing pursuant to (e) above and the denial is overturned, the commission shall issue a license without any additional investigation fee.

(h) In accordance with RSA 284:16, any license issued shall not be transferable or assignable.

(i) If at any time during the term of a license, the information provided by a licensee in the application form, supplemental application form, or supporting materials becomes inaccurate, the licensee shall within 30 days of the time that the information becomes inaccurate submit a written correction to the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8003.03 Expiration or Cessation of a Racetrack License. A racetrack license issued pursuant to this chapter shall expire or no longer be valid on the earlier of:

(1) December 31 of the year for which the license was issued;

(2) Pursuant to RSA 284:16-a, if the licensee is a corporation, a change in either legal or equitable ownership of 50 percent or more of the voting stock of the corporation from the ownership that existed at the time that a license was initially granted to the applicant; or

(3) If the licensee is an organization other than a corporation, a change in either legal or equitable ownership of 50 percent or more of the organization from the ownership that existed at the time that a license was initially granted to the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8003.04 Revocation and Suspension of a Racetrack License.

(a) Pursuant to RSA 284:16 and RSA 284:16-a, the commission shall revoke any license for good cause, such as:

(1) Failure to comply with the conditions of the license or this chapter;

(2) Failure to take corrective action following the suspension of a license;

(3) An inability or unwillingness to comply with RSA 284 or this chapter, as demonstrated by a pattern of violations;

(4) Failure to comply with the requirements set forth in this chapter or any commission order to submit records, bank statements, or any other paraphernalia associated with the operation of racetrack;

(5) Providing false information to the commission, including willfully and knowingly making false statements or makes false entries in any books or records with respect to any transaction connected with the holding, operating, and conducting of any race event;

(6) Failure to remit any license fees or other amounts due to the state;

(7) Hindering or obstructing an authorized representative of the commission in the performance of official duties, such as refusing to access to the premises, or failing to produce any books, records, or documents for review;

(8) Failing to pay any administrative, civil, or criminal penalties owed to the commission;

(9) Manipulating the outcome of any race or otherwise interfering with the orderly conduct of a race meeting;

(10) Participating in illegal activities including illegal gambling, or permitting illegal gambling in the premises;

(11) Operating without a valid racetrack license in any state or commonwealth in the United States; or

(12) Any conduct, action, or failure to act that is:

a. Of a nature, quality or extent to effect or potentially effect the integrity of a race, or racing event;

b. A knowing, willful, or intentional violation;

c. A violation that is chronic or part of a continuing pattern or practice of the licensee;

d. An indication of a recalcitrant violator or one that has engaged in a pattern of neglect or disregard with respect to applicable regulatory requirements;

e. An act that enabled the violator to benefit economically from the noncompliance; or

f. Intended to hinder the ability of the commission to determine compliance with any other applicable local, state or federal regulations, information requests, order or other requirements.

(b) When a license is revoked, the commission shall notify the licensee in writing of:

(1) The reason for revocation;

(2) The date that the revocation will be final unless a hearing is requested pursuant to (c) below;

(3) The licensee’s right to request an adjudicative hearing to show compliance with all lawful requirements for the retention of the license, and that such a request shall be filed within 15 days of the date of the notice; and

(4) In the case of a notice of suspension, notification that if the deficiencies are not corrected within the specified time, the license shall be deemed revoked.

(c) The licensee shall have 15 days from the date of the notice pursuant to (b) above to request a hearing pursuant to Lot 200.

(d) If a license has been revoked, the commission shall not grant a request for reinstatement or renew a license until:

(1) The passage of the amount of time specified in the revocation order;

(2) The licensee submits a new application in accordance with this chapter;

(3) The licensee demonstrates that the cause for revocation no longer exist; and

(4) The licensee demonstrates that any corrective actions that were ordered by the commission have been fully implemented.

(e) The commission shall proceed to suspend a license if the commission determines that one or more reasons to revoke as license, as described in (a) above, exist, but:

(1) The licensee did not act with intent to deceive; and

(2) The deficiency(ies) can be corrected to conform to applicable requirements.

(f) The minimum period for suspension shall be that amount of time necessary for the licensee to take corrective action ordered by the commission and return to compliance.

(g) The commission shall reinstate a suspended license when:

(1) The licensee submits to the commission a written request for the license to be reinstated with documentation demonstrating that all of the corrective actions ordered by the commission have been taken; and

(2) The commission determines that all corrective actions have, in fact, been taken and the licensee has returned to compliance.

(h) A suspension shall have no effect upon the expiration of a license.

(i) If, after receiving a request for renewal of a license, the commission has information that indicates that a reason, as set forth in (c) above, exists to refuse to renew the license, the commission shall inform the licensee of the information and offer an opportunity for the licensee to respond to the information prior to a decision being made on the application for renewal.

(j) The commission shall not issue a license until such time as the reason(s) for the refusal to renew have been corrected.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8003.05 Simulcasting.

(a) Any racetrack licensed in accordance with this part may accept interstate off-track wagers on live races conducted at other tracks, and presented by simulcast at the licensee‘s premises.

(b) For the purposes of this part, an interstate off-track wager means a legal wager placed or accepted in one state with respect to the outcome of a horserace taking place in another State and includes pari-mutuel wagers, where lawful in each State involved, placed or transmitted by an individual in one state via telephone or other electronic media and accepted by an off-track betting system in the same or another state, as well as the combination of any pari-mutuel wagering pools.

(c) All simulcasts shall comply with the provisions of the Interstate Horseracing Act of 1978, 15 U.S.C. 57, or other applicable federal law.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

PART Lot 8004 OCCUPATIONAL LICENSES

Lot 8004.01 Occupational Licenses Required.

(a) In accordance with RSA 284:19, all individuals, organizations, associations, or corporations whose activities affect the conduct or operation of a running or harness horse races shall obtain an occupational license from the commission prior to carrying out their duties.

(b) Occupations that require an occupational license per (a) above shall include, but not be limited to:

(1) Owners, drivers, trainers, all combinations thereof, and assistant trainers;

(2) Announcers;

(3) Director of racing;

(4) Racing secretaries, assistant racing secretaries, and clerks to the racing secretary;

(5) Horseman’s bookkeeper;

(6) Clerk of the course;

(7) Judges, including patrol judges, paddock judges and judge assistants;

(8) Racing official trainee;

(9) Race charter;

(10) Horse identifier;

(11) Race starter, starting gate driver, and official timer;

(12) Photo finish operators and video equipment operators;

(13) Equine dentists and blacksmiths;

(14) Stable employees;

(15) Veterinarian and veterinary assistant;

(16) Admissions managers and admissions employees;

(17) Mutuel managers and mutuel department employee;

(18) Director of maintenance, maintenance employee and course maintenance employee;

(19) Chief of security and security personnel;

(20) Totalisator company, totalisator company managers and employees of a tolalisator company who will be present on the racing premises; and

(21) Racing vendors and their employees who will be present on the racing premises.

(c) Individuals, organizations, associations, or corporations seeking to obtain an occupational license for any of the positions set forth in (b) above shall complete and submit the following to the office of the commission located at the racing premises at least 120 days prior to engaging in any activities for which the license is required:

(1) Except as allowed by (d) below, an “Occupational License Application” form (3/2018), including the following supporting materials:

a. A written recommendations from a majority of the board of judges; and

b. If the applicant is a corporation, partnership or other association:

1. A certificate of good standing from the New Hampshire secretary of state; and

2. A copy of the applicant’s registration to do business in the state of New Hampshire, if any such registration is required by law to be filed with the secretary of state;

(2) A supplemental application form and supporting materials specific to the occupational license being sought, as follow:

a. Owners, drivers, trainers, or any combination thereof, shall submit:

1. A “Supplemental Application Form A” (3/2018);

2. Letters of recommendation from 2 individuals who are not related to the applicant, whom the applicant has known for at least 2 years;

3. If applying as a train or a drive, a letter of recommendation from the owner(s) or stable(s) for whom the applicant will train or drive horses;

4. If applying as an owner, a credit report issued by a major credit reporting company, which demonstrate the applicant’s ability to pay all bills incurred within the State of New Hampshire relative to the care and maintenance of horses owned by the applicant;

5. If the applicant is a corporation, partnership or other association, a certificate of good standing and a copy of the applicant’s registration with the secretary of state to do business in New Hampshire; and

6. If applying as a driver and are under the age of 18, written permission from at least one parent or legal guardian;

b. Announcers, directors of racing, racing secretaries, assistant racing secretaries, clerks of racing secretaries, horseman’s bookkeepers, clerks of course, patrol judges, paddock judges, paddock judge assistants, racing official trainees, race charters, horse identifiers, race starters, starting gate drivers, official timers, photo finish operators, video equipment operators, blacksmiths, equine dentists, stable employees, other racetrack employees not otherwise specified in (b) above, and racing vendor employees shall submit:

1. A “Supplemental Application Form B” (3/2018);

2. A signed letter of recommendation from a current or former occupational licensee;

3. If applying as a stable employee and are under the age of 18, written permission from at least one parent or legal guardian;

4. If applying as a starting gate driver, a copy of their driver’s license;

5. If applying as a blacksmith, equine dentist or stable employee, letters of recommendation from 2 individuals who are not related to the applicant, whom the applicant has known for at least 2 years;

6. If applying as an announcer, race charter, horse identifier, judge, paddock judge or paddock judge assistant, either:

(i) A copy of a signed letter or other signed writing from an optometrist, ophthalmologist or other licensed medical professional, specifying the applicant’s corrected and uncorrected vision and indicating that the applicant has at least 20/40 vision in both eyes, or vision that is corrected to 20/40 in both eyes; or

(ii) A signed statement from a commission judge employed by the commission stating that the applicant is able to read 40-point type from a distance of 20 feet with both eyes, and specifying whether to do so it is necessary for the applicant to wear corrective lenses; and

7. If applying as a judge:

(i) A photocopy of a certificate attesting to accreditation by the ARCI, a letter from the ARCI, specifying the type of accreditation received and the date thereof or a photocopy of the applicant’s USTA judges’ license; and

(ii) A written statement from a licensee under RSA 284:15 that the licensee has agreed to employ the applicant;

c. Veterinarians shall submit:

1. A “Supplemental Application Form C” (3/2018); and

2. A copy of the applicant’s veterinarian license

d. Admission managers, admission employees, mutuel managers, mutuel department employees, directors of maintenance, maintenance employees, course maintenance employees, and veterinary assistants shall submit:

1. A “Supplemental Application Form D” (3/2018); and

2. If applying as an admissions or maintenance employee, and are under the ages of 18, written permission from at least one parent or legal guardian;

e. Chiefs of security and security personnel shall submit:

1. A “Supplemental Application Form E” (3/2018); and

2. Either:

(i) A copy of degree awarded in the field of criminal justice or related field; or

(ii) A document detailing the applicants work history in law enforcement or security, which shall include the name of employer, the title of job held by the applicant, and the employment dates;

f. Totalisator companies shall submit:

1. A “Supplemental Application Form F” (3/2018); and

2. A copy of each written, executed contract between the applicant and a licensee under RSA 284 to act as a totalizator company at the licensee’s racing premises;

g. Totalisator company managers and employees of a tolalisator company who will be present on the racing premises shall submit:

1. A “Supplemental Application Form G” (3/2018); and

2. A signed letter from an occupationally licensed totalizator company stating that the applicant is employed by the company or that it is the company’s intent to hire the applicant if licensure is granted; and

h. Racing vendors and vendor employees shall submit:

1. A “Supplemental Application Form H” (3/2018);

2. A copy of the written, executed contract between the applicant and at least one stable, or between the applicant and a licensee under RSA 284:15, to sell goods or services at the racing premises where the stable will operate or which is operated by the licensee under RSA 284:15;

3. A copy of the written list of the goods or services that the applicant will offer for sale that was provided to the licensee under RSA 284:15 at whose racing premises the vendor will operate; and

4. A copy of the written statement provided to the licensee under RSA 284:15 relative to the locations on the racing premises where goods or services will be offered for sale;

(3) An attestation certifying that the applicant is qualified and able to perform the duties of the position being applied for, as set forth in this part;

(4) An executed criminal records release relative to the applicant, including each party to the application; and

(5) Payment of the applicable occupational licensing fee as specified in Lot Table 8005.1 below:

Table 8005.1 Occupational License Fees

Occupational License:	Fees for all but NH Agricultural Fair	Fees for NH Agricultural Fairs
Owner-trainer-driver	$90.00	$45.00
Owner-trainer	$60.00	$30.00
Owner-driver	$60.00	$30.00
Driver-trainer	$60.00	$30.00
Owner	$40.00	$20.00
Driver	$40.00	$20.00
Trainer	$40.00	$20.00
Assistant trainer	$25.00	$12.50
Equine dentist	$30.00	$15.00
Blacksmith	$30.00	$15.00
Veterinarian	$40.00	$20.00
Veterinary assistant	$25.00	$12.50
Stable employee	$10.00	$ 5.00
Judge	$30.00	$15.00
Racing secretary	$50.00	$25.00
Assistant racing secretary	$35.00	$17.50
Clerk to the racing secretary	$20.00	$10.00
Director of racing	$50.00	$25.00
Clerk of the course	$30.00	$15.00
Horsemen’s bookkeeper	$30.00	$15.00
Race starter	$30.00	$15.00
Starting gate driver	$30.00	$15.00
Announcer	$30.00	$15.00
Race charter	$30.00	$15.00
Paddock judge	$30.00	$15.00
Paddock judge assistant	$25.00	$12.50
Horse identifier	$30.00	$15.00
Patrol judge	$30.00	$15.00
Racing official trainee	$20.00	$10.00
Photo finish operator	$30.00	$15.00
Video equipment operator	$30.00	$15.00
Timer	$30.00	$15.00
Mutuel manager	$40.00	$20.00
Mutuel department employee	$20.00	$10.00
Chief of security	$40.00	$20.00
Security personnel	$20.00	$10.00
Admissions manager	$40.00	$20.00
Admissions employee	$10.00	$ 5.00
Director of maintenance	$40.00	$20.00
Maintenance employee	$10.00	$ 5.00
Course maintenance employee	$10.00	$ 5.00
Horse racing vendors	$40.00	$20.00
Horse racing vendor employee	$10.00	$5.00
Totalisator company	$250.00	$125.00
Totalisator company manager	$40.00	$20.00
Employee of the totalisator company	$20.00	$10.00
Employee of a licensee not otherwise specified	$20.00	$10.00

(d) Letters of recommendation required by (c)(2)a.2. and (c)(2)b.2. above shall:

(1) Identify the applicant and the name and job title of the signer of the letter;

(2) If applicable, identify the stable, and include a statement that the signer is duly authorized to speak on behalf of the stable in regard to matters relating to licensing and employment;

(3) Include a statement attesting that the signer is familiar with the qualifications for occupational licensure of the type for which the applicant is applying;

(4) Describe the nature and extent of the signer’s knowledge of the applicant;

(5) State that the owner/stable will engage the applicant to train/drive horses and identifies the racing premises where the horses will race;

(6) Describe why the applicant is suitable for the type of occupational license requested; and

(7) Recommend the applicant for licensure.

(e) In lieu of submitting the “Occupational License Application” form (3/2018) required by (c)(1) above, an owner may submit an “RCI Multi-Jurisdiction Licensing program” form (revised 2/13/18), available as noted in Appendix B.

(f) If the commission, for the purpose of determining the applicant's qualifications to be licensed, requires any information or documents in addition to the materials submitted by the applicant under (c) above, the commission shall:

(1) Notify the applicant in writing within 60 days of the date that the application is on file with the commission; and

(2) Specify the information or documents which the applicant is required to submit.

(g) The applicant shall submit any additional information or documents requested by the commission in accordance with (f) above within 60 days of receipt of the request.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.02 Judges’ Recommendations.

(a) No applicant shall be issued a license without a recommendation from either a majority of the board of judges, or a commission judge employed by the commission.

(b) An applicant shall either submit his or her application directly to the judge(s) or to the commission who will forward the documents to the appropriate judge(s).

(c) The designated judge(s) shall review the application materials submitted by an applicant, and if it is determined that a recommendation is warranted, shall indicate such recommendation by either placing their signature(s) in the designate area of the application, or by submitting a separate, written document setting forth the judge’s recommendation.

(d) Following its review, the board of judges or the commission judge employed by the commission shall forward all application materials to the commission for processing.

(e) Recommendations of the board of judges or of the commission judge employed by the commission shall be made within 10 days of the date that the application is on file with the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.03 Approval and Denial of an Occupational License.

(a) The commission shall approve or deny an application in writing within 60 days of the date the application is received.

(b) The commission shall approve an application and issue the applicable occupation license when:

(1) The application, including all exhibits and attachments, is found to be complete and accurate;

(2) All fees have been paid, in accordance with Lot 8005.01(c)(5), as applicable;

(3) The applicant, and every party to the application has not been convicted of violating any state or federal law relative to gambling within a period of 10 years from the date of application, as prohibited by RSA 284:19-a; and

(4) The applicant meets the qualifications for the type of occupational license, as specified in this part, for which the application is made.

(1) The application, including exhibits and attachments, is found to be incomplete or inaccurate;

(2) All fees have not been paid in accordance with Lot 8005.01(c)(5);

(3) The applicant, or any party to the application has been convicted of violating a state or federal law relative to gambling within a period of 10 years from the date of application, as prohibited by RSA 284:19-a;

(4) The applicant has made a material false statement in the application or in any document that is submitted as part of the application process; or

(5) The applicant does not otherwise meet the qualifications for the type of occupational license, as specified in this part, for which the application is made.

(e) If the applicant wishes to request an appeal of the decision, such a request shall be filed with the commission within 30 days of the date of the denial notice.

(f) The commission shall provide all notices and conduct all hearings in accordance with the requirements set forth in RSA 541-A, Lot 200, and this part, as applicable.

(g) If an applicant requests a hearing pursuant to (e) above and the denial is overturned, the commission shall issue a license without any additional license fee.

(h) If at any time during the term of a license, the information provided by a licensee in the application form, supplemental application form or supporting materials becomes inaccurate, the licensee shall within 30 days of the time that the information becomes inaccurate submit a written correction to the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.04 Expiration of an Occupational License. An occupational license issued under this section shall expire:

(1) On December 31 of the year for which the license is issued;

(2) Upon revocation of the license by the commission as specified in RSA 284:16;

(3) If the license is held by a corporation, partnership, or other form of association, upon a change in either legal or equitable ownership of 50 percent or more of the association from the ownership that existed at the time that a license was initially granted to the applicant; or

(4) If a qualification for a license is that a third party agree to employ an applicant, upon termination of that employment or upon failure of the person or entity that has agreed to employ the applicant to do so within 10 days of the issuance of the license.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.05 Qualifications for Occupational Licenses.

(a) Each applicant for an occupational license listed in Lot 8005.01(a) shall:

(1) Be able to perform those duties of the position for which the person is applying as are set forth in this part;

(2) Except as otherwise allowed by this part, be at least 18 years of age;

(3) Except in the case of applicants for the position of judge, be recommended to the commission for the occupational license by:

a. A majority of a board of judges noted; or

b. A commission judge employed by the commission.

(b) An applicant for an occupational license listed in Lot 8005.01(a) shall not:

(1) Have been convicted of or pleaded guilty to a felony as an adult in any jurisdiction within the past 10 years, which has not been annulled;

(2) Have been convicted of or pleaded guilty to violation of any law relative to gaming or gambling or any law relating to cruelty to animals within the past 10 years, which has not been annulled;

(3) Have been convicted of or pleaded guilty to any misdemeanor involving a controlled substance as an adult in any jurisdiction within the past 2 years, which has not been annulled;

(4) Be subject to the revocation or suspension of a current license relating to pari-mutuel wagering, greyhound racing or horse racing in this or any other jurisdiction;

(5) Have voluntarily surrendered a license relating to pari-mutuel wagering, greyhound racing, or horse racing issued in this or any other jurisdiction while a proceeding is pending against the applicant for alleged misconduct;

(6) Be subject to exclusion from any premises at which horse racing, greyhound racing, or pari-mutuel wagering is held;

(7) Be subject to a determination that the applicant is ineligible to engage in the racing or training of any horse or greyhound, or to engage in pari-mutuel wagering, as the result of misconduct in this or any other jurisdiction; or

(8) Have ever owned, operated, or been associated in any way with any illegal gambling enterprise.

(c) If the applicant is a corporation, partnership, or other form of association, (b) above shall also apply to its officers, directors, owners, and trustees.

(d) Applicants under the age of 18 years shall:

(1) Not perform the job functions prohibited by any state or federal laws relating to the employment of minors; and

(2) Meet the requirements of RSA 276-A.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.06 Qualifications for an Owner. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as an owner shall:

(a) Be a member of the USTA;

(b) Be recommended for the occupational license by 2 persons whom the applicant has known for at least 2 years and who are not relatives; and

(c) Have the financial ability to care for and maintain the horses he or she owns or trains, as demonstrated by a history of meeting such financial obligations without the accumulation of unpaid bills, defaulted payments, or dishonored or refused payments made by check or draft.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.07 Qualifications for a Trainer or Assistant Trainer.

(a) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a trainer shall:

(1) Be a member of the USTA;

(2) Be recommended for the occupational license by 2 persons whom the applicant has known for at least 2 years and who are not relatives;

(3) For a trainer or driver-trainer, have at least 3 months of experience as an assistant trainer; and

(4) Be recommended for occupational licensure by at least one owner or stable for whom the applicant will train horses.

(b) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as an assistant trainer shall:

(1) Be at least 16 years of age;

(2) If the applicant is below the age of 18 years, have written permission from at least one parent or legal guardian to serve as an assistant trainer; and

(3) Be recommended for the occupational license by a trainer or assistant trainer licensed by the commission who has agreed to supervise the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.08 Qualifications for a Driver. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a harness racing driver shall:

(a) Be a member of the USTA;

(b) Be recommended for the occupational license by 2 persons whom the applicant has known for at least 2 years and who are not relatives;

(d) Be at least 16 years of age; and

(e) If the applicant is below the age of 18 years, have written permission from at least one parent or legal guardian to serve as an assistant trainer.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.09 Qualifications for Horse Veterinarian or Veterinarian Assistant.

(a) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a horse veterinarian or veterinarian assistant shall:

(1) Be currently licensed to practice veterinary medicine in New Hampshire; and

(2) Not currently be subject to suspension or revocation of any license to practice veterinary medicine in this or any other jurisdiction.

(b) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a veterinarian assistant shall be recommended for the occupational license by a veterinarian or veterinarian assistant licensed by the commission who has agreed to supervise the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.10 Qualifications for Racing Secretary. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a racing secretary shall:

(a) Be a member of USTA;

(b) Have completed on-the-job training under the supervision of a currently or formerly licensed racing secretary; and

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.11 Qualifications for Assistant Racing Secretary or Clerk to the Racing Secretary. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a assistant racing secretary or a clerk to the racing secretary shall:

(a) Be a member of USTA; and

(b) Be recommended by for the occupational license by a licensed racing secretary who agrees to supervise the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.12 Qualifications for Racing Official Trainee. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a racing official trainee shall:

(a) Be a member of USTA; and

(b) Be recommended for the occupational license by a licensed racing official who agrees to supervise the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.13 Qualifications for Director of Racing, Horseman’s Bookkeeper, Clerk of the Course, Photo Finish Operator, Video Equipment Operator, or Timer. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a director of racing, horseman’s bookkeeper, clerk of the course, photo finish operator, video equipment operator, or timer shall:

(a) Be a member of the USTA;

(b) Have completed on-the-job training under the supervision of a person currently or formerly licensed in the occupational category in which the applicant seeks licensure; and

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.14 Qualifications for Race Starter. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a race starter shall:

(a) Be a member of the USTA;

(b) Have completed on-the-job training under the supervision of a person currently or formerly licensed in the occupational category in which the applicant is seeking licensure; and

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.15 Qualifications for Starting Gate Driver. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a starting gate driver shall:

(a) Be a member of the USTA;

(b) Have a valid New Hampshire driver’s license; and

(c) Be recommended for the occupational license by an occupationally licensed racing starter who has agreed to supervise the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.16 Qualifications for Announcer, Race Charter, Horse Identifier, Paddock Judge, or Paddock Judge Assistant. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a horse racing announcer, race charter, horse identifier, paddock judge, or paddock judge assistant shall:

(a) Be a member of the USTA;

(b) Have completed on-the-job training under the supervision of a person currently or formerly licensed in the occupational category in which the applicant seeks licensure;

(d) Have vision which is at least 20/40 in both eyes, or vision that is corrected to 20/40 in both eyes.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.17 Qualifications for Patrol Judge. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a patrol judge shall:

(a) Be a member of the USTA;

(b) Be recommended for the occupational license by a person, corporation or association licensed under RSA 284:15; and

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.18 Qualifications for Horse Stable Employee. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a horse stable employee shall:

(a) Be at least 16 years of age;

(b) If the applicant is below the age of 18 years, have written permission from at least one parent or legal guardian to serve as an assistant trainer; and

(c) Be recommended for the occupational license by a trainer or assistant trainer licensed by the commission who has agreed to supervise the applicant.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.19 Qualifications for Mutuel Manager, Mutuel Department Employee, Admissions Manager, or Admission Employee.

(a) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a mutuel manager, mutuel department employee, admissions manager, or admission employee shall:

(1) Be recommended for the occupational license by a person, corporation, or association licensed under RSA 284:15; and

(2) Possess basic skills in mathematics so as to enable the person to make change and balance accounts.

(b) In addition to the requirements in (a) above, an applicant for an occupational license as an admission employee shall:

(1) Be at least 16 years of age;

(2) If the applicant is below the age of 18 years, have written permission from at least one parent or legal guardian to serve as an assistant trainer.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.20 Qualifications for Chief of Security and Security Personnel. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for a license as chief of security or security personnel shall:

(a) Be recommended for the occupational license by a person, corporation or association licensed under RSA 284:15;

(b) Hold a valid New Hampshire security guard license under RSA 106-F; and

(c) If applying for chief of security, hold at least an associate’s degree in a field related to criminal justice or have at least 5 years of experience in law enforcement or security.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.21 Qualifications for Director of Maintenance, Maintenance Employee, Course Maintenance Employee, or Other Horse Racing Employee.

(a) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as director of maintenance, maintenance employee, course maintenance employee, or other racing employee not otherwise specified shall be recommended for the occupational license by a person, corporation, or association licensed under RSA 284:15.

(b) In addition to the requirements set forth in (a) above, an applicant for an occupational license as a maintenance employee, course maintenance employee, and other horse racing employees shall:

(1) Be at least 16 years of age;

(2) If the applicant is below the age of 18 years, have written permission from at least one parent or legal guardian to serve as an assistant trainer.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.22 Qualifications for a Totalisator Company. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a totalisator company shall:

(a) Be recommended for the occupational license by a person, corporation or association licensed under RSA 284:15;

(b) Possess, and submit to the commission, a written, executed contract between the applicant and a licensee under RSA 284:15, to act as a totalisator company at a racing premises;

(c) Possess and agree to utilize equipment which is capable of providing a written printout of all transactions relative to pari-mutuel wagering on horse races that take place at the racing premises;

(d) Be incorporated, formed, or registered with the secretary of state to do business in the state of New Hampshire;

(e) Agree to provide the commission within 48 hours of a request by the commission, a record of any transaction or all transactions specified by the commission; and

(f) Comply with the technical standards set forth in the Association of Racing Commissioners International’s (ARCI) “Pari-mutuel Wagering Totalisator Requirements and Operating Environment” (Version 1.01, July 2012), available as noted in Appendix B;

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.23 Qualifications for Totalisator Company Manager or Employee of a Totalisator Company. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a totalizator company manager or employee of a totalisator company shall:

(a) Be recommended for the occupational license by a person, corporation or association licensed under RSA 284:15; and

(b) Be recommended for the occupational license by a totalisator company that:

(1) Possesses a contract with a licensee under RSA 284:15; and

(2) Intends to hire or continue the employment of the employee at the racing premises that is subject to the contract noted in (b)(1) above.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.24 Qualifications for Horse Racing Vendor. In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a horse racing vendor shall:

(a) Be recommended for the occupational license by a person, corporation or association licensed under RSA 284:15;

(b) Possess, and submit to the commission, a written, executed contract between the applicant and at least one stable, or between the applicant and a licensee under RSA 284:15, to sell goods or services at the racing premises where the stable will operate or which is operated by the licensee under RSA 284:15;

(c) Possess, and submit to the commission and the licensee under RSA 284:15 at whose racing premises the vendor will operate, a written list of the goods or services that the applicant will offer for sale; and

(d) Possess, and submit to the commission and the licensee, a written statement of the precise location on the racing premises where goods or services will be offered for sale.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.25 Qualifications for Judge.

(a) In addition to the qualifications set forth in Lot 8004.05 above, an applicant for an occupational license as a judge shall:

(1) Have completed on-the-job training under the supervision of a currently or formerly licensed judge;

(2) Be accredited by the Association of Racing Commissioners International (ARCI);

(3) Have vision which is at least 20/40 in both eyes, or vision that is corrected to 20/40 in both eyes; and

(4) Be endorsed as a judge by a licensee under RSA 284:15 who has agreed to employ the applicant.

(b) In the case of the inability of any horse judge to perform his or her functions, a temporary judge shall be appointed by the remaining members of the board of judges in place of that judge.

(1) One day;

(2) A period specified by the appointing judges; or

(3) A period specified by the commission.

(d) A temporary judge shall hold an occupational license as a:

(1) Judge;

(2) Racing secretary;

(3) Assistant racing secretary;

(4) Clerk to the racing secretary;

(5) Director of racing;

(6) Clerk of the course;

(7) Horseman’s bookkeeper;

(8) Race starter;

(9) Starting gate driver;

(10) Announcer;

(11) Race charter;

(12) Paddock judge;

(13) Paddock judge assistant;

(14) Horse identifier;

(15) Patrol judge;

(16) Racing official trainee;

(17) Photo finish operator; or

(18) Timer.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.26 Waiver of Occupational Licensing Qualification Rules.

(a) An occupational licensee or applicant for an occupational license may request a waiver of any rule relating to the qualifications for an occupational license by submitting the following to the commission:

(1) A written request describing:

a. The specific reference to the rule(s) by number for which a waiver is being sought; and

b. An explanation of how:

1. The purpose of the qualification sought to be waived would be achieved if the waiver is granted; and

2. Granting the waiver would not negatively impact the ability of the licensee to act according to the requirements of law or adversely affect the running of any race;

(2) Written communications supporting the request from the following:

a. A licensee under RSA 284:15; and

b. A majority of a board of judges.

(b) The commission shall grant a waiver under (a) above relative to the qualifications for occupational licensure if it determines that:

(1) The purpose of the qualification sought to be waived would be achieved even if the waiver is granted;

(2) The waiver would not, if an applicant were hired by a licensee under RSA 284:15, impact upon the ability of that licensee to act according the requirements of law or be likely to adversely affect the running of any race;

(3) The waiver does not relate to rules relating to the ownership of, operation of, or association with, an illegal gambling enterprise or to violations of federal or state gaming or gambling laws;

(4) The waiver does not relate to any age requirement;

(5) The request for waiver is supported in writing by a licensee under RSA 284:15 and a majority of a board of judges; and

(6) The waiver would not conflict with the provisions of RSA 284 or other applicable statutory law.

(c) The commission shall deny a waiver of a rule relating to qualifications for occupational licensure if it determines that:

(1) The purpose of the qualification sought to be waived would not be achieved if the waiver is granted;

(2) The waiver would impact upon the ability of that licensee to act according to the requirements of law or be likely to adversely affect the running of any race;

(3) The waiver relates to rules relating to the ownership of, operation of, or association with, an illegal gambling enterprise or to violations of federal or state gaming or gambling laws; and

(4) The waiver relates to any age requirement;

(5) The request for waiver is not supported in writing by a licensee under RSA 284:15 and a majority of a board of judges; or

(6) The waiver would conflict with the provisions of RSA 284 or other applicable statutory law.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8004.27 Revocation and Suspension of an Occupational License.

(a) Pursuant to RSA 284:16 and RSA 284:16-a, the commission shall revoke any license for good cause, including:

(1) Failure to comply with the conditions of the license or this chapter;

(2) Failure to take corrective action following the suspension of a license;

(3) An inability or unwillingness to comply with RSA 284 or this chapter, as demonstrated by a pattern of violations;

(4) Failure to comply with the requirements set for in this chapter or any commission order;

(6) Failure to remit any license fees or other amounts due to the state;

(8) Failing to pay any administrative, civil, or criminal penalties owed to the commission;

(9) Participating in illegal activities including illegal gambling, or permitting illegal gambling in the premises;

(10) Operating without a valid racetrack license in any state or commonwealth in the United States; or

(11) Any conduct, action, or failure to act that is:

a. Of a nature, quality or extent to effect or potentially effect:

1. The integrity of a race, or racing event; or

2. The public health, welfare, and safety within New Hampshire;

b. A knowing, willful, or intentional violation;

c. A violation that is chronic or part of a continuing pattern or practice of the licensee;

d. An indication of a recalcitrant violator or one that has engaged in a pattern of neglect or disregard with respect to applicable regulatory requirements;

e. An act that enabled the violator to benefit economically from the noncompliance; or

f. Intended to hinder the ability of the commission to determine compliance with any other applicable local, state or federal regulations, information requests, order or other requirements.

(b) When a license is revoked, the commission shall notify the licensee in writing of:

(1) The reason for revocation;

(2) The date that the revocation will be final unless a hearing is requested pursuant to (c) below.

(4) In the case of a notice of suspension, notification that if the deficiencies are not corrected within the specified time, the license shall be deemed revoked.

(c) The licensee shall have 15 days from the date of the notice pursuant to (b) above to request a hearing pursuant to Lot 200.

(d) If a license has been revoked, the commission shall not grant a request for reinstatement or renew a license until:

(1) The passage of the amount of time specified in the revocation order;

(2) The licensee submits a new application in accordance with this chapter;

(3) The licensee demonstrates that the cause for revocation no longer exist; and

(4) The licensee demonstrates that any corrective actions that were ordered by the commission have been fully implemented.

(e) The commission shall proceed to suspend a license if the commission determines that one or more reasons to revoke a license, as described in (a) above, exist, but:

(1) The licensee did not act with intent to deceive; and

(2) The deficiency(ies) can be corrected to conform to applicable requirements.

(f) The minimum period for suspension shall be that amount of time necessary for the licensee to take corrective action ordered by the commission and return to compliance.

(g) The commission shall reinstate a suspended license when:

(2) The commission determines that all corrective actions have, in fact, been taken and the licensee has returned to compliance.

(h) A suspension shall have no effect upon the expiration of a license.

(j) The commission shall not issue a license until such time as the reason(s) for the refusal to renew have been corrected.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

PART Lot 8005 PARTNERSHIP REGISTRATION

Lot 8005.01 Duties of Partnerships as Horse Owners.

(a) The following shall be required when multiple individuals own a horse as a partnership:

(1) Each individual partner shall be licensed as an owner pursuant to Lot 8004 above; and

(2) The partnership shall be registered pursuant to this part.

(b) Any change in the ownership of a horse shall be promptly reported to the racing secretary.

(c) If an owner is suspended from the racing premises, every horse wholly or partly owned by that owner shall be ineligible to be entered or to start a race for the duration of the owner's suspension.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8005.02 Application Process for Registering a Partnership.

(a) When multiple individuals own a horse as a partnership, the partnership shall register with the commission by submitting the following to the office of the commission located at any racing premises:

(1) A fully executed “Partnership Registration Application” form (3/2018); and

(2) Payment of a $40 annual license fee.

(b) If the commission, for the purpose of determining the applicant's qualifications to be registered, requires any information or documents additional to the materials submitted by the applicant under (a) above, the commission shall:

(1) Notify the applicant in writing within 60 days of the date that the application is on file with the commission; and

(2) Specify the information or documents which the applicant is required to submit.

(c) The applicant shall submit any additional information or documents requested by the commission in accordance with (b) above within 60 days of receipt of the request.

(d) The commission shall approve or deny the application in writing within 60 days of the date that the application is on file with the commission or the date that additional information is received by the commission from the applicant.

(e) An application shall be considered to be on file with the commission on the first date that the commission has received:

(1) A fully completed application form; and

(2) Proof that the applicant's check has been deposited and cleared.

(f) The commission shall approve the application if the applicant has:

(1) Complied with the application process set forth in this part; and

(2) Met the qualifications specified in Lot 8005.01(a) above.

(g) The commission shall deny an application if the applicant has:

(1) Not complied with the application process set forth in this part; or

(2) Not met the qualifications specified in Lot 8005.01(a) above.

(h) The partnership license shall be valid through December 31 of the year for which the license is issued.

(i) If the commission denies the application:

(1) The commission’s written notification pursuant to (f) above shall specify the reason(s) for denial; and

(2) The applicant may request a hearing to appeal the denial within 30 days from the date of the commission’s written notification of the denial.

(j) If at any time during the term of a license the information provided by a licensee in the application form, supplemental application form or supporting materials becomes inaccurate, the licensee shall within 30 days of the time that the information becomes inaccurate submit a written correction to the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

PART Lot 8006 REGISTRATION OF STABLE NAMES

Lot 8006.01 General Requirements for Stable Names.

(a) A licensed owner entering horses to race under a stable name shall submit an application to register the stable name with the commission.

(b) A stable name shall comply with the following:

(1) The stable name shall be plainly distinguishable from that of any other duly registered stable name;

(2) A person shall not register as his or her stable name one that has been registered by any other person with any association conducting a recognized meeting;

(3) A stable name that has already been registered shall not be registered by another owner.

(4) No person shall register more than one stable name at the same time;

(5) No person shall use the real name of any owner of racehorses nor one which is the real or assumed name of any prominent person not owning race horses;

(6) No stable name registration shall be used for advertising purposes; and

(7) A trainer, who is a licensed owner or part owner, may use a stable name as owner or part owner. However, no trainer shall be licensed as a trainer other than in his or her legal name.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8006.02 Application Process for Registering a Stable Name.

(a) Each person who wishes to register a stable name shall submit the following to the office of the commission located at any racing premises:

(1) A fully executed “Stable Name Application” form (3/2018); and

(2) Payment of a $40.00 annual license fee.

(1) Notify the applicant in writing within 60 days of the date that the application is on file with the commission; and

(2) Specify the information or documents which the applicant is required to submit.

(c) The applicant shall submit any additional information or documents requested by the commission in accordance with (b) above within 60 days of receiving such a request.

(e) An application shall be considered to be on file with the commission on the first date that the commission has received:

(1) A fully completed application form; and

(2) Proof that the applicant's check has been deposited and cleared.

(f) The commission shall approve the application if the applicant has:

(1) Complied with the application process set forth in this part; and

(2) Met the qualifications specified in Lot 8006.01(b) above.

(g) The stable name license shall be valid through December 31 of the year for which the license is issued.

(h) The commission shall deny an application if the applicant has:

(1) Not complied with the application process set forth in this part; or

(2) Not met the qualifications specified in Lot 8006.01(b) above.

(i) If the commission denies the application:

(1) The commission’s written notification shall specify the reason(s) for denial; and

(2) The applicant may request a hearing to appeal the denial within 30 days from the date of the commission’s written notification of the denial.

(j) If at any time during the term of a license, the information provided by a licensee in the application form, supplemental application form or supporting materials becomes inaccurate, the licensee shall within 30 days of the time that the information becomes inaccurate submit a written correction to the commission.

(k) Any person who has registered under a stable name may at any time cancel it after he or she has given written notice to the commission.

(l) A stable name may be changed at any time by registering a new stable name and by paying the required fee.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

PART Lot 8007 DUTIES OF LICENSEES

Lot 8007.01 Purpose. The purpose of this part is to set forth requirements for conducting live and simulcast racing activities in the State of New Hampshire.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.02 Scope.

(a) This part shall apply to all racing activities taking place in the state of New Hampshire.

(b) The Association of Racing Commissioners International (ARCI) Model Rules of Racing (version 8.2, December 2017), available as noted in Appendix B, shall apply to the extent that this chapter does not address a practice or procedure addressed in the model rules and as allowed by RSA 284.

(c) When this part addresses a specific procedure, it shall control that procedure, and the model rule shall not apply even if the rules contained in this chapter conflicts with, is narrower than, or is broader than these model rules.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.03 General Obligations of Licensees.

(a) Licensees, racing officials, and employees other than racing officials shall abide by the rules of the commission.

(b) Licensees shall comply with all federal, state, and municipal laws and cooperate with law enforcement agencies to ensure the integrity of racing.

(c) Licensees shall maintain under the supervision of a certified public accountant an accounting system in accordance with generally accepted accounting procedures.

(d) Licensees shall promptly post commission notices in places that can be easily viewed by patrons and others authorized to be on the racing premises.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.04 Reports Required.

(a) The licensee shall submit the following information to the commission on a daily basis;

(1) The amount of money wagered in each pari-mutuel pool; and

(2) The pari-mutuel tax payable to the commission for each race performance.

(b) Per RSA 284:32-a, the licensee shall submit an annual report to the commission, which:

(1) Has been audited by a public accountant or certified public accountant licensed to practice in the state of New Hampshire in accordance with RSA 309-A; and

(2) Includes a minimum of the following:

a. A balance sheet;

b. An income statement;

c. A statement of changes in retained earnings;

d. A statement of changes in financial position;

e. The applicable notes to those financial statements for the prior year’s operations of the person, association, or corporation,

f. The number of admissions;

g. The amount of pari-mutuel pools sales;

h. The amount of pari-mutuel taxes paid; and

i. The names of the officers, directors, administrative officials, pari-mutuel officials, and racing officials.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.05 Purse Payments.

(a) Licensees shall maintain records adequate to substantiate all purse payments.

(b) Purse payments shall be issued and available not later than 4:00 P.M. on the 4^th day following the end of the week in which they were earned unless withheld if so ordered by the judges, stewards, the commission, or the commission's designee pending an investigation into a claim of irregularity in the conduct or running of a race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.06 Facilities and Equipment.

(a) Licensees shall ensure that the public areas of the premises:

(1) Are designed and maintained for the comfort and safety of the patrons; and

(2) Are accessible to all persons with disabilities as required by federal law.

(b) Licensees shall provide and maintain restroom facilities in compliance with local ordinances.

(d) Licensees shall maintain the cleanliness of all facilities.

(e) During live races licensees shall provide:

(1) A first aid room;

(2) The services of at least one:

a. Physician,

b. Registered nurse, or nurse practitioner; or

c. Emergency medical technician licensed at least at the basic level, affiliated with a licensed EMS unit and acting in conformance with Saf-C 5900; and

(3) First aid equipment and supplies needed by the registered nurse or emergency medical technician.

(f) Licensees shall provide the office space, office equipment, and office supplies requested for their use by racing officials and commission personnel.

(g) Licensees shall keep and operate the parking lot in a clean and uncluttered manner.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.07 Activities on Racing Premises. The owner(s) of the racing premises shall not allow other activities, such as musical performances, to take place on the premises if such activities will, or are likely to:

(a) Injure the animals;

(b) Produce lights or noises sufficient to distract the animals from running; or

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.08 Audio, Visual, and Recording Equipment. Licensees shall provide and maintain in good working order:

(a) An internal communication system to ensure communication among:

(1) The judges’ or stewards’ stand;

(2) The racing office;

(3) The tote room;

(4) The paddock; and

(5) The vicinity of the starting box or gate;

(b) A public address system capable of transmitting announcements to the patrons and to the paddock;

(d) A color videotape system to record each race from start to finish;

(e) Monitors in the judges’ or stewards’ stand, as applicable, which display the images being transmitted during the running of the race and immediately afterwards for the purposes of reviewing the race; and

(f) Closed circuit television throughout the facilities for the benefit of the patrons.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.09 Display and Preservation of Images.

(a) Licensees shall promptly post in an area accessible to the patrons a photo image of each finish for win, place, show, and any other order of finish needed to satisfy pari-mutuel requirements.

(b) Licensees shall preserve for at least 6 months after the last day of the racing meet:

(1) A video recording of each race; and

(2) The photo image of the finish of each race.

(1) A copy of a video recording of each race; and

(2) The photo image of the finish of each race.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.10 Lighting.

(a) Licensees shall provide and maintain in good working order lighting for:

(1) The racecourse;

(2) The patron facilities;

(3) The proper operation of the videotape; and

(4) The proper operation of the photo finish device.

(b) Licensees shall maintain an auxiliary lighting system to serve in an emergency.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.11 Security.

(a) The following areas shall be restricted areas:

(1) The paddock area;

(2) The stable;

(3) The test area;

(4) The course;

(5) The money room;

(6) The pari-mutuel sales area;

(7) The computer room;

(8) All food concession areas;

(9) All food preparation areas;

(10) All security stations; and

(11) The areas on the roof which accommodate the judges, chart writer, lure operator, timer, photo finish operator, and video equipment operator.

(b) Licensees shall allow access to restricted areas only by persons displaying:

(1) A badge issued by a licensee pursuant to Lot 8007.12 or issued by the commission; or

(2) A visitor's pass issued pursuant to Lot 8007.13.

(d) Licensees shall provide security personnel in numbers sufficient to maintain security on the racing premises.

(e) Licensees shall provide continuous security service in the stable area, as applicable, during all times that animals are housed there.

(f) Licensees shall provide a list of their security personnel including for each individual the following information:

(1) Name;

(2) Qualifications;

(3) Duties;

(4) Duty station; and

(5) Area supervised.

(g) No later than 24 hours after an incident occurs which has received the attention of security personnel, the licensee's chief of security shall deliver to the commission's executive director or other commission designee a written incident report including:

(1) The name of each individual involved in the incident;

(2) The circumstances of the incident;

(3) Any recommended charges against each individual involved; and

(4) The final outcome.

(h) Licensees shall maintain incident reports made pursuant to (f) above for 3 years after the date of the incident for inspection by the commission.

Source. (See Revision Note at chapter heading for Lot 8000) #12544, eff 6-1-18

Lot 8007.12 Identification Badges.

(a) Licensees shall issue badges to identify the following persons whose duties require their presence in a restricted area:

(1) Employees of the licensee;

(2) Independent contractors to the licensee; and

(3) Individuals holding occupational licenses pursuant to RSA 284:19 or RSA 284:18-a.

(b) The identification badges issued pursuant to (a) above shall consist of a tamper-proof badge laminated both front and back and showing:

(1) The name of the licensee;