3 Del. Admin. Code § 1001-5.0

Current through Register Vol. 28, No. 5, November 1, 2024

Section 1001-5.0 - Licensees

5.1 License to Conduct Racing for Stake, Purse or Reward: No person shall hold or conduct any meeting within Delaware at which horse racing is permitted for any stake, purse or reward, unless such person is licensed by the Commission.

5.2 Application; Rejection; Award of Dates and Maximum Racing Days:

5.2.1 Any person desiring to conduct a racing meet within Delaware during any calendar year shall apply to the Commission for a license to do so. The application shall be filed with the Secretary of the Commission on or before a day to be fixed by the Commission. The application shall specify the days on which racing is desired to be conducted or held and shall be in such form and supply such data and information, including a blueprint of the track and specifications of its surface and blueprints and specifications of buildings and grandstand on the land of the applicant where the meeting is to be conducted, as the Commission prescribes. The blueprints and specifications shall be subject to the approval of the Commission, which, at the expense of the applicant, may order such engineering examination thereof as the Commission deems necessary. The erection and construction of the track, grandstand and buildings of any applicant for a license to conduct racing in Delaware shall be subject to the inspection of the Commission which, at the expense of the applicant, may employ such inspectors as it considers necessary for that purpose.

5.2.2 No license shall be issued by the Commission for flat racing in New Castle or Sussex Counties on a track less than one mile in circumference or in Kent County on a track less than five-eighths of a mile or for steeplechase racing in the infield of a track less than one mile in circumference. The Commission may reject any application for a license for any cause which it deems sufficient and the action of the Commission shall be final.

5.2.3 With respect to horse racing in New Castle and Sussex Counties, the Commission shall, upon application to it, and on or before the first Tuesday in February of each year, award dates for racing within those respective counties for the current year. The dates so awarded for racing to be conducted in any one county shall not exceed 340 days in the aggregate in which racing will be conducted in either such counties, and the decision of the Commission on the award of dates shall be final provided, however, that the Commission may award additional dates, beyond any limits prescribed elsewhere, for racing days limited exclusively to the receiving and accepting of wagers or bets on electronically televised simulcasts of horse races. Dates awarded in any one county shall be used by the licensee in that county for racing in that county only.

5.2.4 No more than two racing meets shall be held in any one county in any one year.

5.2.5 The Commission may meet subsequent to the first Tuesday of February of each year and award dates for racing within the limits provided in Rules 5.2.3 and 5.2.4 on an application submitted to it, provided the days so awarded in no way conflict with any provision of Chapter 101 of Title 3 of the Delaware Code.

5.2.6 With respect to horse racing in Kent County, the Commission shall, on or before the 15th day of January of each year, award all dates for horse racing in Kent County within the current year, but the dates so awarded shall not exceed 55 days in the aggregate. The decision of the Commission on the award of all dates shall be final.

5.2.7 No more than two horse racing meetings shall be held in Kent County in any one year.

5.2.8 The Commission may meet subsequent to the 15th day of January of each year and award dates for horse racing within the limits provided in Rules 5.2.6 and 5.2.7 on an application submitted to it, provided that the days so awarded in no way conflict with any provision of Chapter 101 of Title 3 of the Delaware Code.

5.2.9 No license to conduct horse racing in Kent County shall be granted except to a Delaware private stock corporation managed by not less than five directors and having an office in Delaware only, as required by statute.

5.3 Application Fee and License Fee:

5.3.1 Any person, upon applying to the Commission for a license to conduct a racing meet within New Castle or Sussex Counties during any calendar year shall, at the time of making the application, pay to the Secretary of Finance of Delaware a fee of $3,000.00 or $500.00 if to conduct a racing meet in Kent County.

5.3.2 Any person who is granted a license by the Commission to conduct a racing meet within New Castle and Sussex Counties during any calendar year, shall, at the time the license is granted, pay to the Secretary of Finance of Delaware an additional fee of $2,000.00 or $250.00 if to conduct a racing meet in Kent County.

5.4 Issuance:

5.4.1 Upon the award of days to any applicant, the Commission shall issue a license for the holding of the meet or meets during the days awarded to the applicant.

5.4.2 The license shall be subject to all rights, regulations and conditions from time to time prescribed by the Commission.

5.5 Suspension or Revocation Appeal:

5.5.1 Any license issued by the Commission shall be subject to suspension or revocation by the Commission for any cause whatsoever which the Commission may deem sufficient.

5.5.2 If any license is suspended or revoked, the Commission shall state publicly its reasons for so doing and cause an entry of the reasons to be made on the minute book of the Commission, and its action shall be final.

5.5.3 The propriety of the action taken by the Commission shall be subject to review, upon questions of law only, by the Superior Court of the county within which the license was granted. The action of the Commission shall stand unless and until reversed by the Court.

5.6 Inspection of Racing Premises Prior to Use:

5.6.1 No less than five days prior to the opening of any meet authorized by the Commission, the Commission, at the expense of the Licensee for the meet, shall cause to be made an inspection of the track, grandstand and buildings where the meet is to be held and, unless the track, grandstand and buildings are found to be safe for animals and persons or are rendered safe therefore prior to the opening of the meet, the license for the meet shall be withdrawn.

5.7 Rules, Regulations and Special Powers of Commission:

5.7.1 The Commission may make rules governing, restricting or regulating the rate or charge of a Licensee for admission, or for the performance of any service, or the sale of any article on the premises of a Licensee.

5.7.2 All proposed extensions, additions or improvements to the buildings, stables or improvements on tracks or property owned or leased by a Licensee under these Rules, shall be subject to the approval of the Commission.

5.7.3 The Commission may compel the production of any and all books, memoranda or documents showing the receipts and disbursements of any person licensed under the provisions of these Rules to conduct racing meets.

5.7.4 The Commission may at any time require the removal of any employee or official employed by any Licensee hereunder.

5.7.5 The Commission may require that the books, records, and financial or other statements of any Licensee shall be kept in such form or in such manner as the Commission prescribes. The Commission may visit, investigate and place expert accountants and such other persons as it deems necessary in the offices, tracks or places of business of any such Licensee, for the purpose of satisfying itself that the Commission's rules and regulations are strictly complied with. The salaries and expenses of such expert accountants or other persons shall be paid by the Licensee to whom they are assigned.

5.7.6 The Commission may issue, under the hand of its Chairman and the seal of the Commission, subpoenas for the attendance of witnesses and the production of books, papers and documents, before the Commission, and may administer oaths or affirmations to the witnesses whenever in the judgment of the Commission it may be necessary for the effectual discharge of its duties.

5.7.7 If any person refuses to obey any subpoena, or to testify, or to produce any books, papers and documents, then any Commissioner may apply to the Superior Court of the county in which he or the Commission may be sitting and, thereupon, the Court shall issue its subpoena requiring the person to appear and to testify, or to produce any books, papers or documents.

5.7.8 Whoever fails to obey or refuses to obey a subpoena of the Superior Court shall be guilty of contempt of court and shall be punished accordingly.

5.7.9 False swearing on the part of any witness shall be deemed perjury and shall be punished as such.

5.8 Licensee's Annual Financial Statement: Every Licensee shall file with the Commission not later than four months after the close of its fiscal year a statement, duly certified by an independent public accountant, of its receipts from all sources whatsoever during such fiscal year and all expenses and disbursements, itemized in the manner and form directed by the Commission, showing the net revenue from all sources derived by the Licensee during the fiscal year covered by such statement.

5.9 Corporate Licensee-Identity of Individual Owners: Every Licensee other than an individual shall keep the Commission informed at all times of the identity, address, and occupation of every individual who has any ownership interest or other financial interest whatever in Licensee and its subsidiaries, parent corporations, affiliates, or any other related entity of any sort.

5.10 Individual Licensee-Identity of Associates: Every individual Licensee shall keep the Commission informed at all times of the identity, address and occupation of every other individual:

(1) with whom he is associated in any business; or

(2) with whom he has any understanding or arrangement by which such other individual has any interest in the license he holds from the Commission to conduct racing in Delaware.

5.11 Maintenance of grounds, facilities and uniform track: Each Licensee shall at all times maintain its grounds and facilities so as to be neat and clean, painted and in good repair. Licensee also shall have adequate and proper implements to maintain a uniform track, weather conditions permitting.

5.12 Result Boards, Totalizators Required: Except for good cause, each Licensee shall provide and maintain mechanically operated totalizators and electronic boards showing odds, results and other race information located in plain view of patrons.

5.13 Starting Gate: Each Licensee shall provide and maintain a working starting gate on every day horses are permitted by it to use said gate for schooling. Each Licensee shall have in attendance one or more men qualified to keep said starting gates in good working order whenever said gates are in use and each Licensee shall provide for periodic inspections of said gates.

5.14 Stabling:

5.14.1 Each Licensee shall be responsible for providing and maintaining its barns and stalls in good repair. Each barn and each stall shall be numbered in such fashion as will permit ready ascertainment of location and identification, and adequate drainage therefore shall be maintained.

5.14.2 Upon removing his horses from Licensee's barns and stalls, each Trainer shall be responsible for leaving the stalls used by him and his employees for horses under his care in a state of proper repair and in a clean and sanitary condition, subject to reasonable wear and tear. To the extent he neglects or fails to do so, he may be charged by Licensee for any expenses occasioned thereby.

5.15 Stands for Officials: Each Licensee shall provide and maintain stands commanding an uninterrupted view of appropriate sectors of the racing strip for Racing Officials, such stands and location thereof to be approved by the Commission.

5.16 Distance Pole Markings: Each Licensee shall cause quarter, eighth and sixteenth poles to be painted in appropriate distinguishing colors.

5.17 Facilities for Stable Employees: Each Licensee shall provide and maintain in good repair adequate living quarters and conveniently located sanitary facilities such as showers, toilets and wash basins for stable employees. No person is authorized to sleep in any stall.

5.18 Facilities for Jockeys: Each Licensee shall provide and maintain adequate facilities for Jockeys scheduled to ride each day, such facilities to include accommodations for the repose of Jockeys on racing days, showers, toilets, wash basins, mirrors and other accommodations as reasonably requested by the Clerk of Scales.

5.19 Sanitary Facilities for Patrons: Each Licensee shall, on every racing day, provide adequate and sanitary toilets and wash rooms, and furnish free drinking water for patrons and persons having business at Licensee's premises.

5.20 Photo-finish Cameras: Each Licensee shall provide and maintain at the finish line two photo-finish cameras for photographing the finish of races. The photo-finish photographer shall promptly furnish to the Stewards and Placing Judges prints of all finishes as may be requested by them. He also shall promptly furnish to the Licensee such number of prints as it may request for public display or otherwise.

5.21 Patrol Films or Video Tapes:

5.21.1 Each Licensee shall at all times during a race meeting provide and maintain personnel and equipment necessary to produce adequate motion pictures or video tapes, and record with same each race from start to finish.

5.21.1.1 Projection or viewing equipment shall be adequate to permit simultaneous showing of head-on and side-angle views of the running of each race.

5.21.1.2 Such films or video tapes shall be available to the Commission and Stewards for a reasonable time. Upon order of the Stewards, any such visual record of a race involving any question, dispute or controversy shall be filed with the Commission.

5.22 Ambulance Each Licensee shall provide and maintain at least one ambulance for humans and at least one ambulance for horses during times horses are permitted to exercise or race.

5.23 First Aid Room: Each Licensee shall equip and maintain adequate first-aid facilities with not less than two beds.

5.24 Track Kitchen: During a race meeting, each Licensee shall provide eating facilities within the stable area, maintained in a clean and sanitary manner.

5.25 Communication System: Each Licensee shall install and maintain, in good working service, communication systems between the Stewards' stand and Patrol Judge, Placing Judges, pari-mutuel department, starting gate, public address announcer and Clerk of the Scales.

5.26 Fire Prevention:

5.26.1 Each Licensee shall maintain a program for fire prevention and fire suppression and a fire-fighting unit of trained personnel equipped with high-expansion foam fire extinguishers and other equipment as may be recommended by the local fire inspection authority. Each Licensee shall prohibit:

5.26.1.1 Smoking in stalls, under shed rows and in feed rooms;

5.26.1.2 Open fires, oil or gas lamps in stable areas; and

5.26.1.3 Locking of stalls occupied by horses.

5.27 Communications from Licensee's Premises:

No person shall transmit or disseminate wagering information in violation of 18 U.S.C.A. § 1084 or 11Del.C. § 1411, as now constituted or as hereafter amended.

Revised 1/6/92

5.28 Licensee's Police: During a racing meet each Licensee shall provide and maintain, or arrange for, competent police and watchman services, night and day, in and about its grounds.

5.29 Security: Each Licensee shall cause to be excluded from its grounds all persons designated by order of the Commission or Stewards to be excluded. This Rule shall not derogate from Licensee's absolute right on its own volition to exclude persons as provided in the next Rule.

5.30 Ejection or Exclusion from Licensee's Grounds; Fingerprints:

5.30.1 Licensee may eject or exclude any person from its grounds, or any part thereof, solely of its own volition and without any reason or excuse given therefore, provided that such ejection or exclusion is not based upon sex, race, creed, color, or national origin.

5.30.2 Any person who enters Licensee's grounds must, if Licensee requests, submit to having his or her fingerprints and photograph taken, for which Licensee may charge a reasonable fee to defray its costs therefore.

5.31 Outriders: Each Licensee shall employ at least two Outriders to escort starters to the post and to assist in returning all horses to the unsaddling area. Each Licensee shall insure that Outriders are neat and clean in appearance and shall wear traditional apparel. Outriders shall be required to be present on the racing strip, mounted, and ready to assist in the control of any unruly horse or to recapture any loose horse at all times that horses are on the racing strip for racing.

5.32 Commission's Veterinarian:

5.32.1 The Commission will employ a graduate Veterinarian, licensed in Delaware, experienced in equine medicine and practice who, aided by such Assistant Veterinarians possessing like qualifications, shall be responsible for inspecting all horses entered and advising upon their racing soundness. Such Veterinarian also shall maintain and post in the Racing Secretary's office a Veterinarian's list of horses ineligible to race because of sickness or unsoundness. Additionally, he shall supervise the following: control of communicable equine diseases; insect control; sanitary conditions in the stable area; and cruel and inhumane treatment of horses, etc.

5.32.2 The Commission's Veterinarian shall be attendant on the Stewards and the Racing Secretary at scratch time each day, shall examine such horses as such Racing Officials may request, and shall make reports to such Racing Officials as promptly as possible;

5.32.3 The Commission's Veterinarian also shall be responsible for inspecting every horse entered on the day of the race for which such horse is entered. Such inspection shall be for physical fitness, general condition and for any noticeable unsoundness or peculiarities that may affect the racing condition of the horse, or be considered for the scratch of a horse on a muddy or sloppy track. Such pre-race examinations shall be recorded on a Health Record for every starter at the race meeting.

5.32.4 The Commission's Veterinarian shall be present in the paddock for saddling, shall accompany each field to the starting post, and shall observe all horses after the finish of each race. If, in his opinion, a horse suffers an injury while in the paddock, during the post parade, or at the starting gate, which shall render such horse unfit to race, he shall recommend to the Stewards that the horse be excused and placed on the Veterinarian's List. All horses requested to be scratched for physical reasons after scratch time shall be inspected by the Commission's Veterinarian who shall report the condition of such horses to the Stewards.

5.32.5 No Commission's Veterinarian during his employment shall be permitted to engage in private veterinary practice involving Thoroughbreds, nor be employed by or receive any compensation directly or indirectly from any licensed Owner or Trainer, nor sell or buy, for himself or another, any Thoroughbred, nor place any wager in any manner on any race run at Licensee's premises, nor sell any drug supplies, nor sell horse insurance, nor be licensed to participate in racing in any other capacity.

5.33 Horse Identifier: Each Licensee shall employ one or more persons to be charged with the responsibility of proper identification of all horses entered to be raced. A Horse Identifier may accompany the Commission's Veterinarian on the pre-race examination of all starters. Every starter shall be examined in the paddock by a Horse Identifier for sex, age, color, markings and lip tattoo, for comparison with its registration certificate. Photographs may be used as an aid in identification. If a Horse Identifier has any doubt as to the identity of a horse entered to be raced, the Horse Identifier shall so notify the Paddock Judge and the Stewards.

5.34 Valets: Each Licensee shall employ a sufficient number of persons as Valets to attend each individual rider on a day's racing program. Such Valets shall be under the immediate supervision and control of the Clerk of Scales. No rider shall employ a Valet or be attended by any person other than the Valet assigned to him by the Clerk of Scales. Valets shall be responsible for the care and cleaning of his assigned rider's apparel and equipment, shall insure his rider has the proper equipment and colors for each race, shall present the proper equipment and attend the saddling of his rider's mount, and shall attend the weighing out of his rider. No Valet or other Jockey room attendant may place a wager for himself or another, directly or indirectly, on races run while he is serving as a Valet. Each Licensee shall provide uniform attire for Valets who shall wear same at all times while performing their duties within public view.

5.35 Horsemen's Bookkeeper:

5.35.1 Each Licensee shall maintain a separate bank account from which payments of all money owing to horsemen in regard to purses, stakes, rewards, claims and deposits shall be made. Withdrawals from this account shall at all times be subject to audit by the Commission.

5.35.2 All portions of purse money shall be made available to earners thereof forty-eight (48) hours after the result of the race in which such money was earned has been declared official, contingent upon receipt from the Official Chemists of the results of their testing of samples taken, except, however, when the Stewards shall order money withheld until final adjudication of a dispute determining which persons are entitled to such money in dispute.

5.36 Thoroughbred Racing Protective Bureau: The Commission approves and commends the work of the Thoroughbred Racing Protective Bureau to safeguard Thoroughbred racing in the United States from illegal and improper influences and authorizes any Licensee under these Rules to utilize its services and facilities and to rely upon its investigations, reports and advice respecting security matters without incurring any liability to any person or entity for doing so.

3 Del. Admin. Code § 1001-5.0

4 DE Reg. 179 (7/1/00)