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The Oregon Administrative Rules contain OARs filed through June 15, 2014
 
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RACING COMMISSION

 

DIVISION 120

LICENSING PROCEDURES  

462-120-0010

Who Must Be Licensed

ORS 462.020 states: Licensing required for race meets, persons participating in race meets and public training tracks; licensees to observe rules and orders.

(1) No person shall hold any race meet without having first obtained and having in full force and effect a license therefore issued by the commission.

(2) No trainer, jockey, apprentice jockey, horse owner, exercise rider, agent, authorized agent, jockey's agent, stable foreman, groom, valet, veterinarian, horseshoer, steward, stable watchman, starter, timer or other person acting as a participant or official at any race meet, including all employees of the pari-mutuel department, owners and mutuel managers of off-track establishments, employees of multi-jurisdictional simulcasting and interactive wagering totalizator hubs, who work within the State of Oregon, shall participate in race meets without having first obtained and having in full force and effect a license issued by the commission, pursuant to such rules as the commission shall make. The commission by rule may require other employees of a race meet licensee who are engaged in or performing duties at the race course to obtain a license issued by the commission prior to engaging or performing such duties. The commission by rule may also require persons, including corporations, who are not employees of a race meet licensee, but who are authorized to do business at the race course, to obtain a license issued by the commission prior to conducting such business.

(3) No person shall operate a public training track without having first obtained and having in full force and effect a license issued by the commission.

(4) The commission may require each licensee to be fingerprinted and photographed as part of the licensing procedure.

(5) Each person holding a license under this chapter shall comply with all rules and orders of the commission.

(6) Notwithstanding the requirements of subsection (2) of this section, the commission, upon receipt of a written application for a license on forms provided by the commission, may in its sound discretion issue a temporary license valid for a period not to exceed 10 days pending final approval or disapproval of the written application for a license.

Stat. Auth.: ORS 462.250
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2002, f. 3-29-02, cert. ef. 4-1-02; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10

462-120-0020

Search; Warrant/Warrantless

(1) Any person who applies for or is issued a license by the commission and any person who enters a restricted area is deemed to have given consent to a warrantless search by commission investigators or stewards of the person's personal property (including clothing worn and items carried by the person), the person's vehicle and any premises which the person occupies while the person or the property is in any place under the jurisdiction of the commission, subject to the following:

(a) The investigators or stewards may search during times that the race meet is licensed to conduct racing and for 30 days prior to the beginning and 30 days after the end of the race meet.

(b) The investigators or stewards may search when they have a reasonable suspicion that the person possesses stolen property, a prohibited or injectable drug or medication, controlled substance, unauthorized hypodermic instrument, needle or syringe, unauthorized mechanical or electrical devices, unauthorized equipment, contraband (including illegal gambling paraphernalia), weapon or other evidence of a violation of racing statute or administrative rules.

(c) Notwithstanding the provisions of subsection (b), the investigators may perform a periodic inspection of the jockey room, including the assigned space of any jockey. The investigators may also periodically use a metal detector to inspect each jockey for contraband prior to leaving the jockey area for the saddling paddock. These inspections may be conducted without prior notice.

(d) If the subject of the search is not an applicant for a license or licensed by the commission, the search may be conducted only if the person was given oral or written notice of this rule upon entering the restricted area, or if the person is a trespasser onto the restricted area.

(e) If the search concerns the person or the property of a licensee who is represented by an association pertaining to racing and recognized by the Oregon Racing Commission, the person will be informed that they have the right to have an association representative to witness the search, if one is available at that time or within 15 minutes of the time that the search is requested by the investigator or steward. If the licensee is not informed of the right, it will not invalidate the search. If the representative is not immediately available, the subject of the search must be under the observation of the investigator or steward until the representative arrives or fails to arrive in the prescribed time.

(f) Failure of any person to consent to a search in accordance with this rule will subject the person to appropriate discipline, including, if the person is a licensee, suspension and ruling-off by the stewards, and possible revocation by the commission, or will subject the person to ejection and/or exclusion from places under the jurisdiction of the commission if an applicant or other unlicensed person. All persons to be searched shall be advised that failure to permit a search may result in revocation of their license (if a licensee) or exclusion from restricted premises (if not licensed).

(g) Nothing in this rule prohibits the application for and the execution of an administrative or criminal search warrant if appropriate under the circumstances.

(2) Any person in custody or control of any materials described in subsection (1)(b) of this rule shall immediately surrender those materials to an investigator upon request. Every race meet licensee and all officials and employees thereof shall give every possible aid and assistance to any department, bureau, division, officer, agent, inspector, or other person connected with the United States government or with the State of Oregon or other political subdivision who may be investigating or prosecuting any person suspected of possessing any drug, narcotic, stimulant, depressant, or local anesthetic, hypodermic syringes, hypodermic needles, or any electrical, mechanical, or other device which, in the opinion of the stewards, is of such character as could affect the racing condition of a horse in a race. Upon the specific request of the individual being searched, a split sample of any suspected prohibited drug or medication, or controlled substance, or other material suspected of containing any of them shall be obtained unless there is insufficient specimen for a split sample. Any materials surrendered to an investigator pursuant to this rule will be returned, subject to amounts needed for analysis, if it is later found that the material was lawfully possessed.

Stat. Auth.: ORS 462.250
Stats. Implemented: ORS 462.450
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 5-2002, f. 12-6-02, cert. ef. 1-1-03; RC 1-2004, f. & cert. ef. 3-3-04; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10

462-120-0030

Minimum Work Age

(1) Minimum Work Age Requirements. No person under 15 years of age shall be employed on a racecourse during a licensed race meet. However, a licensed parent or legal guardian may be permitted to employ his or her child around the stable area if the child is 14 years of age or older and licensed for the category.

(2) Any applicant for a license or any licensee under the age of 18 must show evidence of active participation in a certified education program within the last five months, have a high school diploma or have a plan acceptable to the stewards.

(3) Exercise riders and pony riders must be at least 15 years of age.

(4) Jockeys and apprentice jockeys must be at least 16 years of age.

(5) Assistant trainers must be at least 17 years of age.

(6) Trainers and racing officials must be at least 18 years of age.

Stat. Auth.: ORS 462.250
Stats. Implemented: ORS 462.250
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2009, f. 8-24-09, cert. ef. 10-1-09; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10

462-120-0040

Types of Licenses

(1) Every person, in order to obtain and maintain his/her qualifications for any license held by him/her, shall attest to the knowledge of the rules and statutes, including all amendments.

(2) Licenses are personal in nature and expire upon the death of the licensee, and therefore are void and without effect as a pre-requisite for the entry of a horse.

(3)(a) When the decedent was the sole owner the only mechanism by which the horse(s) may be entered or run before the property rights in those horses have been fully and completely transferred through legacy, intestate succession or authorized sale, is as follows: upon presentation of letter of administration or letters testamentary issued by a court of competent jurisdiction, or small estate affidavit, the person named in the letter or affidavit shall be licensed as an authorized agent of the estate of the decedent and allowed to enter the horse(s) formerly owned by the decedent, subject to any limitations imposed by the court.

(b) When the decedent was the owner in part, the Board of Stewards may allow the horse(s) to be entered and raced by the survivors provided any decedent’s share of monies earned are held pending legal transfer through legacy, intestate succession or authorized sale. In order for this to be considered, the Board of Stewards must be presented with a letter of administration or letters testamentary issued by a court of competent jurisdiction, or small estate affidavit, the person named in the letter or affidavit shall be licensed as an authorized agent of the estate of the decedent and allowed to enter the horse(s) formerly owned by the decedent, subject to any limitations imposed by the court.

(4) Each person described below must have a valid license issued by the commission before participating in or beginning employment at a licensed race meet:

(a) A race meet license is required of any person or corporation who conducts pari-mutuel racing.

(b) A horse owner’s license is required of every person who is shown as an owner or lessee on the horse’s registration papers or foal certificate, of every person who has a right to receive any share of a purse of a horse racing in Oregon, of any lessor of any horse racing in Oregon if that person receives any share of the purses won by the leased horse(s), and of every person who owns or operates a stable which races horses in a licensed race meet in Oregon, and any person who has a right to receive any part of a stable owner’s share of a purse of a horse racing in Oregon. However, a licensed employee of a stable may receive, as part of the employee’s compensation, a percentage of the stable’s earnings without having a horse owner’s license and without being shown on the registration papers.

(A) The trainer representing an owner may file a temporary license application on behalf of the owner by signing the application and paying the applicable license fees. The temporary license shall be terminated if the applicant’s fingerprints, completed application(s), and such other documentation as may be required for license are not submitted to the Commission within 30 days following the date of issuance of the license. In the event of termination of a temporary license, the occupational license fee shall be forfeited. Termination of a temporary license is without prejudice to the applicant unless the Commission finds that the applicant has made a material misrepresentation or false statement to the Commission to obtain a license privilege. No more than one temporary license shall be issued to an applicant without that applicant first submitting to the Commission such fingerprints and completed applications as required under this article.

(B) The stable owner must disclose the employees’ percentage to the commission in writing prior to any payment to the employees. A spouse of an owner does not need to be licensed unless the spouse’s name appears on the horse’s registration papers or foal certificate. No person is eligible for a horse owner’s license unless the person has an officially documented ownership interest in a racehorse unless otherwise approved by the stewards.

(c) An owner's license/prospective owner's license with valid claim certificate is required of any person wishing to claim a horse if they do not have an eligible race horse with its registration papers on file in the race office.

(d) A stable/assumed name owner’s license is required if the name appears as an owner on the registration papers of any animal racing in Oregon.

(e) A trainer’s license is required of persons employed by a racing animal owner or stable to condition and care for racing animals racing in Oregon.

(f) An assistant trainer’s license is required of persons who assist trainers.

(g) Applicants for a horse trainer’s license or assistant horse trainer’s license may be required to pass a written examination given by the board of stewards and a commission veterinarian to demonstrate they have the knowledge and ability to handle the duties of their position. Any person who has not been licensed as trainer or assistant trainer in Oregon may be required to submit to a practical exam given by a commission representative and/or a representative of the recognized horsemen’s association for the breed with which the applicant wishes to work. The stewards shall consider any recommendation received from the commission representative or the horsemen’s association representative. Applicants for a trainer’s license must have held a license in a backside license category for a period of at least two years and must have the recommendation of at least 3 trainers currently licensed by the commission prior to being granted a trainer’s license. Applicants for an assistant trainer’s license must have been licensed in a backside license category for a period of at least one year prior to being granted an assistant trainer's license.

(h) A jockey license or apprentice jockey license is required of any person who rides a horse in a race. However, when there is doubt as to a jockey’s experience or ability, the stewards may require an applicant for a jockey license or apprentice jockey license to demonstrate the ability to control a horse and to ride in two or more races before a license is issued. Also, the starter may require applicants to satisfactorily demonstrate their ability to control horses out of the gate. Notwithstanding OAR 462-120-0060 the temporary license may be for a period longer than 10 days in order for the stewards to evaluate the applicant’s skill. All jockeys must pass physical examinations once a year. A physical examination must include but is not limited to a vision test and urine and/or blood tests. The stewards may require that any jockey be reexamined and may refuse to allow any jockey to ride until he/she successfully completes such examination. A physical card or physician’s release will be seen as initial proof of such examination; however, the stewards may require additional information on the examination.

(i) An exercise rider license is required of any persons, other than licensed jockeys or apprentice jockeys, who exercise or work out horses. The stewards may require evidence of competency.

(A) Except as otherwise provided under this rule, an applicant for a provisional exercise rider license shall provide evidence that an Oregon licensed trainer employs him or her by submitting a notarized Provisional Exercise Rider Agreement. The notary acknowledgement is not necessary if the Agreement is signed before a Commission employee. The form shall be available at Commission licensing offices at live race meetings, and at Commission headquarters offices.

(B) A licensed provisional exercise rider shall:

(i) Not enter the track without the permission of the outrider and, unless the outrider states otherwise, shall be accompanied by the mounted trainer/ employer or the trainer's assistant trainer while on the track.

(ii) While on the track wear a helmet cover and vest cover of a distinctive color as determined by the outrider.

(C) A provisional exercise rider may apply for license as exercise rider 60 calendar days after the date of issue of his or her provisional exercise rider license.

(i) At the time of application for license as exercise rider, the provisional exercise rider shall submit a recommendation card that has been signed by the outrider, the starter and a steward. The recommendation card is available at Commission licensing offices at live race meetings, and Commission headquarter offices. By signing the recommendation card the outrider, the starter and the steward certify that the applicant has:

(a) Been observed riding one or more horses on the racetrack to the extent necessary for the outrider and starter to determine if the applicant has demonstrated an ability to safely navigate and respond to track conditions and knowledge of starting gate procedures.

(b) Complete and pass a written examination prescribed by the Commission and administered by its agents. A score of 80 percent shall constitute a passing grade on the written examination.

(D) An applicant who fails to adequately demonstrate horsemanship or who fails the written examination may reapply for a license as exercise rider after a period of at least 90 days.

(j) A pony rider license is required of any person who, while on horseback, leads horses to and from the stable area and paddock, or from the paddock to the starting gate. The stewards may require evidence of competency.

(k) A horseshoer license is required of any person who performs the usual services of a horseshoer on a racecourse. Farriers who have not been previously licensed by the commission must submit an application accompanied by the written recommendation of three trainers who are licensed by the commission, recommendation of the track plater or have a certificate of completion from an approved Farrier school. The recommendations must include a statement that the trainer knows the farrier to be qualified to be licensed as a farrier. All farriers not previously licensed by any racing jurisdiction may be subject to examination as directed by the stewards, prior to licensing.

(l) A groom’s license is required of any person not licensed as an assistant trainer who works for a trainer. A groom, upon discontinued employment by a trainer, must surrender their license to security or commission licensing personnel within 10 days, to be returned when employed during the license period. A groom’s license is not a freelance license.

(m) A public training track owner's license is required of every person who owns or manages a public training track.

(n) A veterinarian license is required of any veterinarian licensed by the Oregon Veterinary Medical Examining Board who performs veterinary services on a racecourse. A current copy of that license must be on file with the commission licensing office.

(o) A valet/assistant starter license is required of any person who assists or attends jockeys in the jockey room or saddling paddock, or assists the starter at the starting gate.

(p) Each owner, officer, director, all employees of the race meet licensee employed at a racecourse and its contractees must be licensed by the Oregon Racing Commission except:

(A) Contractees who perform most of their principal functions away from the racecourse such as certified accountants, attorneys, insurance brokers, advertising agents and other similar contractors.

(B) Other contractors or individuals designated by the commission.

(q) A vendor’s license is required of any person, other than a veterinarian licensed by the Oregon Racing Commission, who solicits the sale of goods or services (used to feed, care for, or equip racing animals) to racing animal owners, stable owners or trainers on a racecourse.

(r) An authorized agent’s license is required of authorized agents.

(A) A licensed owner may register an authorized agent by filing an application to register an authorized agent with the commission and by paying the fee set by the commission. No person shall be registered as an authorized agent who is ineligible for a license. An authorized agent may act for the registering owner as set forth in the application form. No authorized agent may sign on behalf of any owner the certificate of registration for any racing animal in the absence of a valid power of attorney authorizing such signature.

(B) No authorized agent may perform any duties until such person is licensed and has filed with the commission a current written instrument signed by the principal before a notary public or before an employee of the commission. The instrument must clearly set forth the powers given to the authorized agent. Any power to collect money from the race meet licensee must be expressly stated in the written instrument. Upon licensing, each authorized agent must file a copy of the written instrument with the paymaster of purses.

(C) Any changes in the powers delegated by the principal to the authorized agent must be made in writing, witnessed, and filed with the commission and the paymaster of purses.

(D) Unless due to expiration of the license or term agreement set forth in the written instrument, any revocation by the principal of the authorized agent's authority must be made in writing, witnessed, and filed with the commission and the paymaster of purses.

(s) A jockey agent’s license is required of any person who makes engagements for or manages a jockey.

(t) A racing official license is required of anyone performing the duties of any racing official position.

(A) Racing officials shall be listed by name and racing official position on the race meet licensee application and approved by the commission. After the initial approval of race officials, any change in the position held by a racing official from one category to another must be approved by the stewards or commission.

(B) A racing official may work as an assistant starter or valet without obtaining additional licenses, provided it doesn’t interfere with the official duties of the racing official. However, assistant starters and valets must be licensed as a racing official to perform the functions of a racing official.

(5) Working members of the media who are not employed by a race meet licensee do not need to be licensed in order to enter restricted areas. However, they must display a current valid “press” badge at all times when in a restricted area. Prior approval must be obtained from the stewards or office of the race meet licensee during non-race time, and they must be escorted by a race meet licensee representative while in the restricted area.

Stat. Auth.: ORS 462.250
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 5-2002, f. 12-6-02, cert. ef. 1-1-03; RC 2-2004, f. & cert. ef. 4-8-04; RC 2-2008, f. & cert. ef. 9-30-08; RC 2-2009, f. 8-24-09, cert. ef. 10-1-09; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10; RC 2-2011, f. 9-23-11, cert. ef. 10-1-11

462-120-0050

License Application Procedures; Requirements for Corporations and Partnerships; Stable/Assumed Name

(1) License applications shall be made on forms furnished by the commission. An application is not complete until the application form has been filled out completely and signed by the applicant, the proper fee has been paid, and the applicant has submitted all documentation and information reasonably requested by the board of stewards or the commission. An oral interview may be required in a particular case. All licensees are required to maintain current information regarding themselves on file with the Oregon Racing Commission, including but not limited to their current address, telephone number and any information regarding rulings, arrests or convictions. The commission will send all forms of written communications, including notices, to the address the licensee has on file with the commission. Every person making application for a license to hold a race meet shall file the application with the Oregon Racing Commission in accordance with ORS 462.050. All applications, which will be due thirty days prior to the scheduled commission meeting at which the application is to be presented, should include: (a) The applicant's legal name;

(A) If the applicant is a corporation, the names, addresses, dates of birth of its shareholders, directors and officers; if a shareholder is a corporation the date of incorporation, the place of incorporation and the names, addresses, and dates of birth of its designated representative, directors and officers must be provided; and

(B) If the applicant is a partnership the names, addresses, dates of birth of the partners; if a partner is a corporation the date of incorporation, the place of incorporation and the names, addresses, and dates of birth of its designated representative must be provided.

(C) If the shareholder of a corporate licensee, or a partner of a partnership licensee, is a corporation, the designated representative of that corporation shall provide to the commission the names, addresses and birth dates of that corporation’s shareholders promptly upon request by the stewards or the executive director of the commission.

(b) The names of the race tracks the applicant, or its agent, has contracts with that allow the applicant to provide the simulcast signals and pari-mutuel wagering on the product at the time the application is made;

(c) Financial information from the applicant that demonstrates whether the applicant has the financial resources to operate the race meet;

(d) A detailed budget showing anticipated revenue, expenditures and cash flows by month, from the race meet’s operation during the license period;

(e) The number of days that the applicant is planning to offer live racing during the fiscal year in which they are seeking to be licensed;

(f) A list of all race meet personnel containing the name, position and job location;

(g) A chart illustrating the organizational structure, including reporting lines;

(h) A list of all host contracts for exporting of signal on file at the time of application;

(i) A check representing $100 per racing day payable to the Oregon Racing Commission;

(j) Documentation supporting current Public liability insurance;

(k) Documentation supporting current Jockey Insurance;

(l) Documentation supporting a current Bond that shows the Oregon Racing Commission as beneficiary equal to the amount of all moneys that escheat under 462.110(2);

(m) Documentation that the applicant and/or parent company are registered to do business in the state of Oregon;

(n) As part of the application for licensure as a race meet, the applicant shall submit a detailed plan of operations in a format and containing such information as required by the commission. At a minimum, the operating plan shall address the following issues:

(A) The manner in which the proposed simulcasting and wagering system will operate;

(B) The take-out rates for wagering during the licensing period;

(C) Programs for responsible wagering;

(D) Physical security controls for the Tote Room;

(E) An agreement between the Oregon Horsemen’s Benevolent Protective Association (OHBPA) and the state commercial race meet licensee as defined in ORS 462.062, a copy of which has been submitted to the commission;

(F) A complete listing of all names, operators and addresses of Off-track Betting (OTB) locations; and

(G) Narrative acknowledging tax liabilities as set forth in Chapter 462.

(2) The application must show the true name of the applicant, and must also disclose any other name used by the applicant during the past 10 years. An application for an owner’s license must identify the true names of all other persons who have any ownership interest, leasehold interest, or other investment in any of the applicant’s racing animal(s) which will be racing in Oregon. All applicants should be aware that Oregon law prohibits any person from conducting business in Oregon under an assumed name or under any name other than the real and true name of each person conducting the business or having an interest therein, unless the assumed name is registered with the Office of the Secretary of State. Refer to ORS 648.010(1).

(3) Licensing fees. The application fee for licensure or for the renewal of licensure shall be $20 per year for the first category, with a sum not to exceed an additional $10 per year for any and all additional categories. In no case shall the total fees paid exceed $30 per year, regardless of the number of categories held. The period of licensure shall be three years in duration, with any subsequent additional licenses to expire on the same date as the original license. The fees that accompany license applications are non-refundable.

(4) Dual licenses may be denied if, in the opinion of the stewards or commission, there is a conflict of interest in holding more than one license.

(a) When an applicant applies for a license in more than one occupation, the stewards or the commission shall consider whether the holding of such multiple licensing creates a conflict of interest (such as, but not limited to, a sudden change in ownership to immediate family members or a change in ownership without adequate consideration). If such appearance is created, the multiple license may be denied.

(b) The following dual licenses shall be prohibited:

(A) A person licensed as a jockey shall not be licensed in any other capacity unless approved by the board of stewards.

(B) A person licensed as an owner shall not be licensed as a jockey agent or racing official.

(C) A person licensed as a race track owner or operator or as a racing official shall not be licensed in another capacity during the race meeting which the person owns or operates or at which that person is serving as a racing official unless approved by the board of stewards or as provided in OAR 462-140-0050(6).

(D) Any veterinarian licensed by the Oregon Racing Commission to practice veterinary medicine on a racecourse shall be prohibited from concurrently holding any other license at any location under the jurisdiction of the commission unless otherwise approved by the board of stewards.

(c) A holder of a groom’s license may be a hot walker. A trainer or an assistant trainer may also perform the duties of a groom or hot walker. An owner may also groom or hot walk only the horse(s) he/she owns. However, except for those license categories specifically mentioned herein, no licensee shall act in any capacity other than that for which he/she is licensed. Thus, for example:

(A) A pony person may not exercise horses if not licensed as an exercise rider.

(B) A groom may not perform the duties of a trainer if not licensed as a trainer.

(C) A trainer may not pony or exercise a horse if not licensed as a pony person or an exercise person. (D) An outrider may not perform duties of a pony person except as needed in the performance of their duties as an outrider.

(5) All corporations, limited partnerships, partnerships and other entities (except natural persons) which apply for licenses shall attach to the application as applicable:

(a) A document, signed by the president and secretary of the corporation, listing the true name and address of all officers, directors, shareholders, general partners, limited partners, and other persons having a legal or beneficial interest in the horse, stable or other business sought to be licensed, and identifying the nature and amount of each person’s interest; and

(b) For corporations, a copy of the certificate of incorporation, an affidavit signed by the president indicating whether any officer, director, or stockholder has been ruled off, denied a license, or is under suspension by any official body of any racing jurisdiction, and a written agreement to notify the commission within 30 days after there has been a change in any officer, director, or stockholder; or

(c) For partnerships, a copy of the written partnership agreement, an affidavit signed by a general partner indicating whether any partner has been ruled off, denied a license, or is under suspension by any official body of any racing jurisdiction, and a written agreement to notify the commission within 30 days after there has been a change in any partner. Persons who do not have a written partnership agreement may not be licensed under the partnership name; instead, each person must be individually licensed under his/her own name; and

(d) For claiming purposes, all corporations must have an authorized agent, who may be a corporate officer, and all partnerships and licensed stables must either designate an authorized agent to sign claim forms (who may be one of the partners) or else all partners must sign the claim form.

(6) All licensees, in accepting a license, or any person introducing an animal onto the confines of any racecourse, or licensed training track, are considered to have granted permission to Oregon Racing Commission veterinarians, investigators, and members of the board of stewards, to enter upon those premises for the purpose of inspection to determine if those premises are suitable for the housing of animals, and to determine the health, safety and physical conditions of any animals contained therein.

Stat. Auth.: ORS 462.270(3)
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2001, f. 3-19-01, cert. ef. 4-1-01; RC 5-2002, f. 12-6-02, cert. ef. 1-1-03; RC 2-2008, f. & cert. ef. 9-30-08; RC 2-2009, f. 8-24-09, cert. ef. 10-1-09; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10; RC 2-2012, f. 5-29-12, cert. ef. 6-1-12

462-120-0055

State and Nationwide Criminal Records Checks; Fitness Determinations

(1) The purpose of these rules is to provide for the reasonable screening of applicants and licensees in order to determine if they have a history of criminal behavior such that they are not fit to be granted or renewed a license that is issued by the commission.

(2) Fingerprints may be required of applicants on a case-by-case basis in order to complete a national criminal background investigation. In the case of a corporation or partnership, fingerprints may be required from the authorized agent and any other individual shareholder or owner the commission or its designated representative may deem appropriate.

(a) These fingerprints will be provided on prescribed forms made available to the commission. Fingerprints may be obtained by designated commission staff, a law enforcement office, or at a private service acceptable by the commission. The commission will submit fingerprints to the Oregon Department of State Police to conduct a national criminal records check. Any original fingerprint cards will subsequently be destroyed by the Oregon Department of State Police. All background checks shall be requested to include available state and national data, unless obtaining one or the other is an acceptable alternative. The costs of the criminal record check, including a nationwide fingerprint-based criminal records check, shall be the responsibility of the commission.

(b) The board of stewards on behalf of the commission shall determine whether an applicant or licensee is fit to be granted a license based on criminal records background check, racing license history, financial records, any false statements made by the applicant or licensee regarding his/her background, any refusal to submit or consent to a criminal records check including fingerprint identification, and any other pertinent information obtained as part of an investigation. If a licensee is determined to be unfit, the applicant may not be granted a license. The applicant may be granted the ability to conduct business in his occupational category on a temporary basis until such time as the background investigation is complete.

(c) In order to conduct the Oregon and national criminal records check and fitness determination, the commission may require additional information from the licensee or applicant as necessary, such as but not limited to, proof of identity; residential history; names used while living at each residence; or additional criminal, judicial or other background information.

(d) The commission may consider any conviction of any violation of the law for which the court could impose a punishment. When making a fitness determination based on criminal record, the commission shall consider:

(A) The nature of the crime;

(B) The facts that support the conviction or pending indictment or that indicate the making of the false statement;

(C) The relevancy, if any, of the crime or the false statement to the specific requirements of the applicant’s or licensee’s present or proposed license; and

(D) Intervening circumstances relevant to the responsibilities and circumstances of the license, intervening circumstances include but are not limited to:

(i) The passage of time since the commission of the crime;

(ii) The age of the applicant or licensee at the time of the crime;

(iii) The likelihood of a repetition of offenses or of the commission of another crime;

(iv) The subsequent commission of another relevant crime;

(v) Whether the conviction was set aside and the legal effect of setting aside the conviction.

(E) If the applicant discontinues the application process or fails to cooperate with the criminal records check process, the application is considered incomplete.

Stat. Auth.: ORS 462.270(3)
Stats. Implemented: ORS 462.020
Hist.: RC 2-2008, f. & cert. ef. 9-30-08

462-120-0060

Temporary Licenses

(1) Upon receipt of a completed application, the commission may issue a temporary license. The temporary license must be in the licensee’s possession at all times while on a racecourse. A temporary license, except a temporary owner’s license issued under OAR 462-120-0040(4)(b)(i), is valid for 10 days unless it is replaced by a regular license or until the applicant is served with a ruling denying licensure, whichever occurs first. Another temporary license may be issued and is valid for an additional 10 days unless it is replaced by a regular license or until the applicant is served with a ruling denying licensure.

(2) Upon receipt of a completed application, the commission may issue a Special Event License to any person employed by, or acting under the direct supervision of, a licensed advanced deposit wagering company located in the State of Oregon. The Special Event License shall automatically expire 1 year from the date of issuance without notice. Employment under this Special Event License shall not exceed 90 work days during the period of licensure. The fee for this license shall be $20.00.

Stat. Auth.: ORS 462.270(3)
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2008, f. & cert. ef. 9-30-08; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10; RC 2-2013(Temp), f. & cert. ef. 9-20-13 thru 3-19-14; RC 1-2014, f. & cert. ef. 2-13-14

462-120-0070

Stable Names

(1) The commission will not license a stable name if the Association of Racing Commissioners International (ARCI) registry shows that someone else has already registered that stable name or a name which is so similar that it could mislead the public, if the stable name is the real name of any horse owner, or the stable name is determined by the stewards to be detrimental to the best interests of racing.

(2) No owner may race under a stable name unless the stable is licensed by the commission. A person may own or have an interest in horses which race out of different stables so long as all ownership interests are disclosed in writing to the commission and the race office. A person may not use his or her real name if the person has a licensed stable name and wholly owns the horses in the stable.

(3) When applying for a stable name license, the applicant must disclose the identities of all persons having an interest in the stable.

(4) In order to change the name of a stable, without changing the ownership interest of the stable, a person must apply for a new stable name license.

(5) If a partnership with a written agreement is involved in the ownership of a stable, the partnership agreement must be in compliance with the rules covering partnerships.

(6) If a corporation is involved in the ownership of a stable, the corporation must be in compliance with the rules covering corporations.

(7) The stable name shall be carried on the official program.

(8) No individual participating as a trainer or assistant trainer at a race meet may have any interest in a stable or stable name at the same race meet except that for which he or she is the trainer or assistant trainer except with permission of the stewards (such as difference in breeds).

(9) The commission may refuse to license any stable whose name is misleading to the public or unbecoming to the sport.

Stat. Auth.: ORS 462.250
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2008, f. & cert. ef. 9-30-08; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10

462-120-0090

Assumed Names

(1) The commission will not license an assumed name if the Association of Racing Commissioners International (ARCI) registry shows that someone else has already registered that name or a name which is so similar that it could mislead the public, if the name is the real name of any racing animal owner, or the name is determined by the stewards to be detrimental to the best interests of racing.

(2) No owner may race under an assumed name unless the name is licensed by the commission. A person may own or have an interest in racing animals which race out of different stables so long as all ownership interests are disclosed in writing to the commission and the race office. A person may not use his or her real name if the person has a licensed stable/assumed name and wholly owns the horses in the stable.

(3) When applying for an assumed name license, the applicant must disclose the identities of all persons having an interest in the assumed name.

(4) In order to change the assumed name, without changing the ownership interest of the name, a person must apply for a new assumed name license.

(5) If a partnership with a written agreement is involved in the ownership of an assumed name the rules covering partnerships must be complied with.

(6) If a corporation is involved in the ownership of an assumed name, the rules covering corporations must be complied with.

(7) The assumed name shall be carried on the official program.

(8) No individual participating as a trainer or assistant trainer at a horse race meet may have any interest in a stable or assumed name at the same race meet except that for which he or she is the trainer or assistant trainer except with permission of the stewards (such as difference in breeds).

Stat. Auth.: ORS 462.250
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2008, f. & cert. ef. 9-30-08; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10

462-120-0100

Renewals; Reapplications; Duplicates

(1) Reapplication.

(a) Any person who, for reasons specific to that license category, has had a license application denied by the commission or stewards must wait at least six months before reapplying for that category of license unless otherwise specified in the order.

(b) If a license is denied due to failure of a written or oral exam, the stewards may consider a period of less than six months before the applicant can reapply for a license. In no case shall the applicant be eligible to reapply within 30 days from the date the application was denied.

(c) Any person who has had a license application denied by the commission or stewards for reasons not specific to a particular license category (such as criminal background, license falsification, or financial irresponsibility) shall not be eligible to apply for a license in any category for a period of at least six months unless otherwise specified in the order.

(2) Duplicates. If a license is lost or destroyed, a replacement fee of $10 may be required for a duplicate license.

Stat. Auth.: ORS 462.270(3)
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 5-2002, f. 12-6-02, cert. ef. 1-1-03; RC 2-2008, f. & cert. ef. 9-30-08; RC 2-2009, f. 8-24-09, cert. ef. 10-1-09; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10; RC 2-2012, f. 5-29-12, cert. ef. 6-1-12

462-120-0110

When License Valid; Restricted Areas; Use and Display of License

(1) When License May Be Used. Licensees shall use their license to enter a restricted area only when necessary to perform duties as a participant in a race meet. Any licensee who is employed by or is an authorized agent for a racing animal owner, stable owner, trainer or race meet licensee, shall promptly surrender their license to the commission upon termination of their employment or agent relationship. The commission shall keep the license until the license expires or until the licensee is again employed as a participant in a race meet.

(2) Restricted Area, Unauthorized Area. No one may enter a restricted area without a displayed current license issued by the commission, except commission members or employees, media representatives, and guests displaying a guest pass duly issued by the commission. No person (including licensee) may enter an unauthorized area without a proper credential or license or permission of the stewards. Guests must be accompanied by security personnel, a commission employee or representative, or a representative of the race meet licensee. For stable area only: Owners, trainers, association officials, racing officials, and commission personnel may register guests at the entrance to the stable. Any other licensee wishing to register guests at the entrance must meet the criteria of a guest pass system developed by the race meet licensee and approved by the executive director of the commission. The licensed participant is responsible for the actions of the guest and must accompany the guest around the area.

(3) Possession and Display of License. Licensees who enter a racecourse must carry their license with them at all times and must show the license to any racing official upon request. Licensees who enter any restricted area shall at all times have displayed on their person, with photo visible, their commission license. All guests in a restricted area shall display their guest pass at all times. Guests are not permitted to perform work functions.

(4) Protection of License. Licensees must take all reasonable precautions to safeguard their license, to prevent the license from being lost, misplaced or stolen. No licensee shall allow any other person to use the licensee’s license for any purpose whatsoever. Licenses are not transferable.

(5) Possession of a license does not guarantee the right of the license holder to employment at or participation in a race meet or to be within the enclosure. A licensee must have a business purpose to be within any restricted area on a racecourse.

Stat. Auth.: ORS 462.270(3)
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2008, f. & cert. ef. 9-30-08; RC 2-2009, f. 8-24-09, cert. ef. 10-1-09; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10

462-120-0120

Additional Grounds for Refusing a License

In addition to the specific licensing criteria listed in ORS 462.075:

(l) An application by a corporation may be denied if any officer, director, or stockholder could be denied a license.

(2) An application by a partnership may be denied if any general or limited partner could be denied a license.

(3) The commission may refuse to license or may suspend the license of anyone who accumulates unpaid obligations, or defaults in obligations, or otherwise displays financial irresponsibility in connection with the feeding, care, maintenance, training, equipment, and racing of racing animals. Financial irresponsibility as used in this rule means the debtor obligation has been reduced to judgment and remains unsatisfied, or the licensee does not dispute the obligations and the obligations remain unpaid.

(4) A license application may be denied for any reason which could constitute grounds for suspension or revocation. A license may be suspended and/or revoked if it is determined, through means of a due process, that the applicant could have been refused a license if the true facts were known at the time the license was issued or commits an act subsequent to being licensed that would disqualify the licensee from holding that license.

(5) A licensee of the Oregon Racing Commission must report any criminal charges (either misdemeanor or felony) against the licensee to any staff member of the Oregon Racing Commission as soon as possible after the event occurs; but no later than 72-hours after the charges are filed. Failure to comply may result in an immediate license suspension and further disciplinary action as determined appropriate by the Commission Stewards.

Stat. Auth.: ORS 462.270(3)
Stats. Implemented: ORS 462.020
Hist.: RC 3-2000, f. 3-27-00, cert. ef. 5-1-00; RC 2-2008, f. & cert. ef. 9-30-08; RC 1-2010, f. 9-23-10, cert. ef. 10-1-10; RC 3-2011, f. & cert. ef. 10-3-11

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