Subchapter B. LICENSES
Sec.
185.11. License required to conduct harness race meets with pari-mutuel wagering.
185.12. Location of plant.
185.13. Filing of information concerning stock transfers.
185.14. Number of racing days.
185.15. Application for license.
185.16. Issuance of license.
185.17. Knowledge of rules.
185.18. Stock certificates.
185.19. Accounting system.
185.20. Financial reports.
185.21. Reports.
185.22. Filing of agreements and approval of contracts.
185.23. Night racing.
185.24. Admission of minors.
185.25. Passes.
185.26. Telephones.
185.27. Employes of an association.
185.28. Concessionaires.
185.29. Occupational and participation licenses.
185.30. Information.
185.31. Prohibition of interest by public officers, public employes, party officers in pari-mutuel racing activities.
185.32. Refusal to issue, suspension and revocation of association license.
185.33. Refusal to issue, suspension and revocation of occupational or participation licenses.
185.34. Temporary license.
185.35. Horses prohibited from racing in overnight events.
185.36. Fines and penalties.§ 185.11. License required to conduct harness race meets with pari-mutuel wagering.
No association organized pursuant to the State Harness Racing Act shall conduct any harness horse race meet with pari-mutuel wagering except on obtaining a license from the Commission.
§ 185.12. Location of plant.
No association shall conduct any harness horse race meet except at the location designated in the license awarded by the Commission provided, however, that this restriction shall not apply to any association whose plant or the usefulness thereof or of any material part thereof be totally destroyed or so substantially damaged as to render it unfit for continued operation in which case, the Commission may in its discretion permit the association to conduct its meetings at another suitable location in the same county or in any other county in which a plant may be located pending the rebuilding or restoration of the plant so destroyed or damaged.
§ 185.13. Filing of information concerning stock transfers.
Where in every case provided for under section 4 of the State Harness Racing Law (15 P. S. § 2604) duplicate affidavits are filed with an association relating to the issue or transfer of stock, the association shall within 10 days after receipt of such affidavits file one of each of the duplicate affidavits received by it with the Commission. If the Commission determines that it is inconsistent with the public interest, convenience, or necessity, or with the best interest of racing generally, that any person, association or corporation continue to be a stockholder of record or the beneficial owner of any interest in stock standing in the name of another, the Commission shall order each such stockholder or beneficial owner to dispose of his stock or interest therein within a period of time specified by the Commission.
§ 185.14. Number of racing days.
No association shall be licensed to conduct harness horse racing with pari-mutuel wagering for more than 62 days in any calendar year. The Commission shall approve the dates and hours during which the association may conduct such racing. Where a race program is cancelled under § 185.256 (relating to number of races) before racing day shall not be computed as within the 62 days limitation.
§ 185.15. Application for license.
Applications for licenses and applications for renewal of licenses to conduct harness horse race meetings with pari-mutuel wagering shall be made annually to the Commission on forms provided by the Commission and at a time not later than a date designated by the Commission.
§ 185.16. Issuance of license.
Upon receipt of an application satisfactory in form and substance to the Commission, the Commission shall grant its license for a term of days during the current year during which the applicant may conduct harness horse racing with pari-mutuel wagering. Such license shall specify the place where and the hours of the day or night during which racing and pari-mutuel wagering shall be held. The term of the license shall end not later than the 15th day of November next succeeding the granting thereof. In issuing a license, the Commission will among other things, give consideration to the number of licenses granted; the character, experience and general fitness of the officers, directors, members or stockholders, persons having a beneficial ownership therein; the corporation, if any, owning stock in or which shares in the profits or participates in the management of the affairs of the applicant, or which leases to such applicant the plant where it shall operate; the financial responsibility of the applicant; plant facilities; location of plant; equipment to be used in the plant; the personnel to be employed by applicant; policy plans; the public interest, convenience or necessity and the best interests of racing generally. The Commission will furthermore give consideration to all of the answers made by the applicant to questions contained in the application, the substance of which is incorporated in this chapter by reference thereto and to all oral interviews conducted with the applicant.
§ 185.17. Knowledge of rules.
All associations are required, with their officers and employes to be responsible for the conduct of their meetings and to make certain that all officers and employes are thoroughly familiar with the provisions of the pertinent law and the rules and regulations of the Commission and the Department of Revenue.
§ 185.18. Stock certificates.
Each certificate of stock issued by any association, firm or corporation participating in the management of any association, and all other corporations licensed by the Commission shall have noted on the face of such stock certificate that the person whose name is indicated as the owner of the shares of stock represented by such certificate is the sole and absolute owner thereof and that he is not holding the shares of stock or any portion of the shares of stock represented by said certificate in trust for any person, partnership, firm or corporation whatsoever who or which is prohibited by this act from owning such shares of stock. If any of the shares of stock represented by a certificate of stock are held subject to the terms of either an inter vivos or testamentary trust for the benefit of any person who could lawfully own such stock in his own name such fact shall be so noted on the face of the certificate and a copy of the instrument which created the trust shall be attached thereto. A duplicate copy of the instrument which created the trust shall be filed by the licensee with the Commission. Every certificate of stock of any licensee as defined in this chapter must also bear the legend plainly and prominently imprinted on the face of the certificate: ‘‘This certificate of stock is transferable subject to the provisions of the Harness Racing Law and the Rules and Regulations promulgated thereunder.’’
§ 185.19. Accounting system.
All associations must adopt the uniform system of accounts which is furnished to such associations by the Department of Revenue.
§ 185.20. Financial reports.
(a) The association must maintain separate general ledgers and books of original entries for each calendar or fiscal year. The following financial reports must be submitted to the Commission at the close of each racing meet of the association and at the close of the fiscal year of the association:
(1) Statement of Assets and Liabilities.
(2) Statement of Profit and Loss and Surplus.
(b) Interim reports must be submitted to the Commission and must include all operations for the current period up to and including the last day of the meet. These interim reports must be filed with the Commission within 30 days after the close of the meeting.
(c) Annual reports are to include all operations for the calendar or fiscal year of the association and must be filed with the Commission within 75 days after the end of the calendar or fiscal year.
(d) All reports must be verified under oath by:
(1) At least two of the principal officers of the association.
(2) By persons preparing the reports.
(3) Separate records of each bank reconciliation must be maintained by the association in a manner which will clearly indicate all reconciling items between the balance per the bank statement and the balance per the books of the association at the date of reconciliation.
§ 185.21. Reports.
All associations are required to submit to the Commission the following:
(1) Copies of weekly payrolls of all personnel employed at the track during the race meeting, including the state license number, if any, address and title of each employe.
(2) Copies of all written contracts and agreements and a summary of all verbal contracts and agreements.
(3) List of stockholders annually, or as the Commission may require.
(4) List of officers and directors and compensation paid to each or as the Commission may require. The Commission shall be notified forthwith of any change in the officers, stockholders and directors of an association.
Cross References This section cited in 58 Pa. Code § 185.22 (relating to filing of agreements and approval of contracts).
§ 185.22. Filing of agreements and approval of contracts.
In addition to the reports required under § 185.21 (relating to reports), every association shall promptly, after entering into any lease agreement concerning any concession or any agreement regarding labor management, hiring of officers, employes, contractors or any such other contract, agreement or arrangements as the Commission may from time to time prescribe, file with the Commission a true and correct copy or an accurate summary, if oral, thereof. No contract may be entered into by any association with any third persons, including individuals, partnerships, corporations, profit or nonprofit unincorporated associations, or any combination of the above, without approval of the contract by the Commission. In the event approval of the contract is not obtained by the association prior to its execution, the contract shall contain a provision which states that the contract will not be operative unless approved by the Commission.
§ 185.23. Night racing.
At all meets held at night, the post time of the last heat or race shall be not later than 11:55 p. m. prevailing time. At that hour, regardless of the completion of the program, the Presiding Judge shall cause the machines or other devices used for wagering to be locked. Associations shall provide a lock control in the Judges stand for that purpose. No racing shall be authorized or permitted on a Sunday.
§ 185.24. Admission of minors.
Minors under 21 years of age shall not be admitted to the track. Any minor legally employed by any association, concessionaire or other person duly licensed by the Commission shall be admitted to the track for the sole purpose of performing his duties as an employe. A minor, accompanying a parent or natural guardian who is also a licensee and whose employment requires him to be present in the stable or paddock area, shall be admitted to the stable or paddock area with such licensee. In no event shall such minor be permitted to wager upon any race nor shall such miner be permitted to be in the area of the track other than that area in which his duties are to be performed. All associations licensed by the Commission shall be responsible for establishing the administrative and security procedures necessary to enforce the provisions of this subchapter at the tracks operated by them. Every licensee employing any minor shall be required to establish procedures necessary to assure compliance with the provisions of this subchapter by any minor employed by such licensee.
§ 185.25. Passes.
An association shall not issue free passes, cards or badges except to officers and employes of the association; members, officers and employes of the Commission; members of Harness Racing Commissions of other states and foreign countries; officers and directors of The United States Trotting Association; public officers engaged in the performance of their duties; persons actually employed and accredited by the press to attend such meetings; owners, stable managers, trainers, drivers, concessionaires and other persons whose actual duties require their presence at the track. A list of all persons to whom free passes, cards or badges are issued shall be filed with the Commission.
§ 185.26. Telephones.
All public telephones on the grounds of an association shall be padlocked with the opening of the pari-mutuel windows for the sale of daily double tickets. Each association shall provide ample telephone facilities upon the plant grounds. No public telephone calls shall be made or received after the public telephones are closed until after the last race of the program has been completed except by officials of the Commission and officials of the Department of Revenue in pursuance of their duties at the track or by special permission of the Executive Secretary of the Commission or Presiding Judge, in which case such calls shall be made in the presence of a racing official or an official of the association.
§ 185.27. Employes of an association.
At least 85% of the persons, exclusive of racing officials, employed each day in the operation of a track conducting pari-mutuel wagering shall be citizens of the United States of America and residents of the Commonwealth of Pennsyl- vania for at least 2 years immediately prior to the commencement of their employment at the track and every employe shall be required to execute and submit to the association by which he is employed, a duly verified affidavit setting forth his qualifications pursuant to this section.
§ 185.28. Concessionaires.
Any person, firm, association or group who holds any concession, right or privilege to perform any service or sell any article at any association track must submit to the Commission a copy of each report, advice or other document which that person, firm, association or group furnishes or is required to furnish to the association in order to substantiate any commission, rentals, service fees and similar financial or other arrangements between the parties.
(b) Any person, firm, association or group operating a concession, performing any service or selling any article at more than one association track must submit separate reports of his operation at each track.
(1) Financial statements. Financial statements shall be submitted as follows:
(i) At the end of each meet such person, firm, association or group shall prepare and send to the Commission a record of its operations at the track in the form of a Profit and Loss Statement. Such report shall show the gross revenues derived from the meeting, as well as all expenses paid or accrued during the same period. Income and expense items must be shown in detail in such reports; must be verified by at least two of the principal officers of the firm, association or group, if an association or group, and by one or more owners or proprietors thereof if not an association or group. Such report must be filed with the Commission within 30 days after the end of each individual meet.
(ii) Within 75 days after the end of its calendar or fiscal year all such persons, firm, association or group, shall submit to the Commission, verified financial statements, including a Balance Sheet and a Statement of Profit and Loss, showing the combined operations for that year and the results of such operations for each specific harness racing meet at which he, they, or it conducted business during the year.
(2) Reports. Such person, firm, association or group, if requested, must submit to the Commission the following:
(i) Copies of weekly payrolls of all personnel employed at the track during its race meeting, including address and title of each employe.
(ii) Copy of all written contracts and agreements and a summary of all verbal contracts and agreements.
(iii) List of stockholders annually or as the Commission may require.
(iv) List of officers and directors and compensation paid to each annually, or as the Commission may require.
(v) Upon the sale or transfer of a stock of a concessionaire at a licensed harness racing track, evidence of the sale or transfer shall be transmitted to the Commission by affidavit verifying the transfer or sale.
§ 185.29. Occupational and participation licenses.
(a) A person may not participate in the affairs of an association as director, officer, agent or employe of the association without first receiving a license from the Commission.
(b) A person may not participate in a harness horse race meet as a racing official, owner, driver, trainer, assistant trainer, groom or be the holder of a concession or be an employe of a concessionaire unless the person has first received a license from the Commission.
(c) An association shall prevent a person not holding an occupational or participation license from doing or performing an act at the track maintained by the association and it shall be the responsibility of the association to exclude undesirable persons if directed by the Commission.
(d) An occupational or participation license shall be for the period of 1 year from April first of the year in which the same is issued; provided, however, that the Commission may, pending final determination of a question, issue a temporary license upon the terms and conditions it deems necessary and desirable.
(e) An application for an occupational or participation license shall be made upon a form supplied by the Commission and shall be executed in the manner prescribed by the Commission. The Commission may issue written instructions as to the preparation and execution of applications for the licenses which instructions may be a part of or separate from the application form. Failure to comply with the instructions are grounds for denial, suspension or revocation of the license.
(f) Each applicant for an owner’s, trainer’s, driver’s or veterinarian’s license or a combination thereof, shall pay to the Commission an annual license fee of $5. Applicants for other occupational or participation licenses shall pay to the Commission an annual license fee of $1. The fee shall be paid at the time of the filing of the application. An application for a license shall be accepted by the Commission unless accompanied by the necessary fee.
(g) If a licensee loses a license or if the license is destroyed, the licensee may apply for a duplicate license by filing an affidavit on a form supplied by the Commission and the payment of a fee of $1.
Cross References This section cited in 58 Pa. Code § 189.41 (relating to facility requirements).
§ 185.30. Information.
Every association shall furnish to the Commission initially and immediately upon any change with regard thereto, the name, address and experience of the following employes:
(1) General manager.
(2) Pari-mutuel manager.
(3) Race secretary.
(4) Program director.
(5) Clerk of the course.
(6) Track superintendent.
(7) Publicity director.
(8) Race announcer.
(9) Concession manager.
(10) Admission manager.
(11) Parking superintendent.
(12) Stable superintendent.
§ 185.31. Prohibition of interest by public officers, public employes, party officers in pari-mutuel racing activities.
(a) As used in this section, the following terms have the following meanings:
(1) Public officer—A person elected to a public office of the Commonwealth or a political subdivision thereof.
(2) Public employe—A person employed by the Commonwealth or a political subdivision thereof.
(3) Party officer—The following members or officers of a political party:
(i) A member of a National committee.
(ii) A chairman, vice-chairman, secretary, treasurer or counsel of a State committee or member of the executive committee of a State committee.
(iii) A county chairman, vice-chairman, counsel, secretary or treasurer of a county committee.
(iv) A city chairman, vice-chairman, counsel, secretary or treasurer of a city committee.
(b) A public officer, public employe or party officer as defined in subsection (a) may not:
(1) Hold any license from the Commission.
(2) Own or hold directly or indirectly any proprietary interest, stock or obligation of any firm, association or corporation of one of the following:
(i) which is licensed by such Commission to conduct pari-mutuel racing.
(ii) which is licensed to conduct its occupation, trade or business at race tracks at which pari-mutuel race meets are conducted.
(iii) which owns or leases to any licensed association or corporation a race track at which pari-mutuel racing is conducted.
(iv) which participates in the management of any licensee conducting pari-mutuel racing.
(3) Hold any office or employment with any firm, association or corporation specified in paragraph (2), except that the prohibition set forth in this paragraph shall not apply to any public employe of a political subdivision (other than a police officer or paid employe of a police department, sheriff’s office, district attorney’s office or other law enforcement agency) whose compensation is less than $6000 per annum; provided, however, that such employment of employes of a political subdivision may be prohibited by ordinance, resolution or local law adopted by the local legislative body or other governing board of such political subdivison.
(4) Sell, or be a member of a firm or own ten per centum or more of the stock of any corporation which sells any goods or services to any firm, association or corporation specified in paragraph (2).
(c) Any public officer, public employe or party officer who owns or holds directly or indirectly any proprietary interest, stock or obligation prohibited by this section shall not be in violation of this section if such interest or obligation is disposed of by September 15, 1964.
Cross References This section cited in 58 Pa. Code § 185.32 (relating to refusal to issue, suspension and revocation of association license); and 58 Pa. Code § 185.33 (relating to refusal to issue, suspension and revocation of occupational or participation license).
§ 185.32. Refusal to issue, suspension and revocation of association license.
The Commission may refuse to grant a license may suspend or revoke a license of an association if it shall determine that:
(1) The association has failed to abide by or enforce the provisions of the law or the rules and regulations of the Commission or the Department of Revenue.
(2) Any officer, director, member or stockholder of such association or of any corporation which owns stock in or shares in the profits or participates in the management of the affairs of the association, or which leases to such association the track where it shall operate:
(i) Has been convicted of a crime involving moral turpitude.
(ii) Has engaged in bookmaking or other forms of illegal gambling.
(iii) Has been found guilty of any fraud or misrepresentation in connection with racing or breeding.
(iv) Has been guilty of a violation or attempt to violate any law, rule or regulation of any racing jurisdiction, for which suspension from racing might be imposed in such jurisdiction.
(v) Has violated any rule, regulation or order of the Commission.
(3) The experience, character or general fitness of any officer, director or stockholder of any association is such that the participation of such person in harness racing or related activity would be inconsistent with the public interest, convenience or necessity or with the best interest of racing generally.
(4) The association falsified answers or makes misrepresentations to the Commission in its application for license or in any other document required to be filed by the association under the law or the provisions of this part.
(5) The association has failed to properly maintain its track and plant in good condition or has failed to make adequate provisions for rehabilitation and capital improvements to its track and plant.
(6) The association has issued or caused to be issued false or misleading advertisement.
(7) The association or its officers or directors shall knowingly or carelessly permit on its grounds or within the enclosure of its race track, lotteries, pool selling, touting or bookmaking or any other kind of gambling in violation of law.
(8) The association has aided or knowingly permitted or conspired to permit any public officer, public employe or party officer as defined in § 185.31 (relating to prohibition of interest by public officers, public employes, party officers in pari-mutuel racing activities) to acquire or retain any stock interest in or hold any office or employment with such association.
Cross References This section cited in 58 Pa. Code § 185.34 (relating to temporary license).
§ 185.33. Refusal to issue, suspension and revocation of occupational or participation license.
The Commission may refuse to grant a license, may suspend or revoke a license of any occupational or participation licensee including racing officials if it shall determine:
(1) That the experience, character and general fitness of the applicant or licensee are such that the participation of such person in harness horse race meets will be inconsistent with the public interest, convenience and necessity, and with the best interest of racing generally.
(2) That the applicant or licensee:
(i) Has been convicted of a crime involving moral turpitude.
(ii) Has engaged in bookmaking or other form of illegal gambling.
(iii) Has been found guilty of any fraud in connection with racing or breeding.
(iv) Has been guilty of any violation or attempt to violate any law, rule or regulation of any racing jurisdiction for which suspension from racing might be imposed in such jurisdiction.
(v) Has violated or failed to follow any rule, regulation or order of the Commission.
(vi) Has falsified answers or makes misrepresentations to the Commission in their application for a license.
(vii) Is incompetent.
(viii) In the case of racing officials, consumption of alcoholic beverages within 4 hours prior to the time they are required to perform their duties as such officials.
(3) That said applicant or licensee has aided or knowingly permitted or conspired to permit any public officer, public employe or party officer as defined in § 185.31 (relating to prohibition of interest by public officers, public employes, and party officers in pari-mutuel racing activities) to acquire or retain any stock interest in or hold any office or employment with such applicant or licensee.
Cross References This section cited in 58 Pa. Code § 185.34 (relating to temporary license).
§ 185.34. Temporary license.
Pending final determination of any question under § § 185.32 and 185.33 (relating to refusal to issue, suspension and revocation of association license; and refusal to issue, suspension and revocation of occupational or participation license), the Commission may issue a temporary license upon such terms and conditions as it may deem necessary, desirable or proper to effectuate the provisions of the law.
§ 185.35. Horses prohibited from racing in overnight events.
No employe or officer engaged in the active management of an association or a member of his immediate family shall race or permit or cause to be raced any horse in which he has any either direct or indirect, at any meeting conducted by that association except in early closing events, stakes or futurities.
§ 185.36. Fines and penalties.
The Commission may impose fines upon any association or upon any person participating in any way in any harness horse race meet at which pari-mutuel wagering is conducted other than as a patron and whether licensed or not by the Commission for a violation of any provision of the law or the provisions of this part. Such fine shall not exceed five thousand ($5,000) dollars for each violation.
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