Conn. Agencies Regs. § 12-574-A9 – Occupational licenses

(a) Officials and participants must be licensed. Associations conducting thoroughbred meetings shall not permit any official, owner, trainer, jockey, jockey apprentice, stable employee, tarrier, agent, valet, veterinarian, association employee whose job requires his presence at the association grounds at any time, concession employee, and any assistants thereto, to operate on its premises unless said person has received a license from the commission and has been photographed and fingerprinted by the commission. No license shall be delivered to the applicant unless evidence is presented to the commission that the applicant will participate in a thoroughbred racing meeting in Connecticut during the period of his license. Application for a license shall be made on forms supplied by the commission and all questions contained therein shall be answered. Licenses shall be issued to natural persons only. Every license granted shall provide that the licensee shall comply with the rules and regulations and that violation thereof may be punished by fine, suspension or revocation of license.
(b) Badges.
1. (1) The commission shall supply each licensee with a badge, at the expense of the association licensed to conduct a meeting, showing the license number, name, department and photograph and any other information which the commission, in its discretion, shall require. Badges are only to be worn by the licensee and are nontransferable. The commission shall determine, in its discretion, which licensees are to wear the badges on their person, and which licensees may carry the badge on their person.
2. (2) A non-transferable badge may be issued by an association to persons, other than patrons, who are not required to be licensed but who must enter the grounds of the association for reasons connected with the conduct of a meeting. A list of such persons and their specific duties must be filed with and approved by the commission. This badge shall expire on the last day of the meet in which it was issued.
3. (3) A non-transferable temporary badge may be issued by an association, upon approval of the director of security. These badges must be surrendered by the bearer on leaving the premises, the day of issue. Users of such badges must sign a register prior to entering the grounds. Frequent use by the same person of a temporary badge is prohibited.
(c) Contractual concessionaires. All contractual concessionaires must obtain a license from the commission and pay the fee required by the act, if any, and must submit such data and information to the commission as the commission in its discretion may require. Said license must be taken out for each association at which the concessionaire plans to operate.
(d) Qualifications for license. If the commission shall find that the financial responsibility, experience, character and general fitness of the applicant are such that the participation of such person will be consistent with the public interest, convenience or necessity and with the best interests of thoroughbred racing generally, in conformity with the purposes of the act, it shall thereupon grant a license. If the commission shall find that the applicant fails to meet any of said conditions, it shall not grant such license and it shall notify the applicant of the denial.
(e) Suspension, revocations. If the commission shall find that the financial responsibility, character and general fitness of the licensee are such that the continued participation of such person will not be consistent with the public interest, convenience or necessity, and with the best interests of thoroughbred racing generally, in conformity with the purposes of the act, it shall thereupon revoke, or suspend said license.
(f) Honor suspensions by other authorities. The commission shall honor any suspension or ruling off by any other racing jurisdiction in this country or elsewhere.
(g) Unlicensed activity forbidden. No person requiring a license from the commission shall carry on any activity whatsoever upon the premises of an association unless and until he has been so duly licensed, except that any such person with the consent of the commission steward may so act pending action on his application duly filed and with the exceptions specified in rule (b) (1) of section 12-574-A22 and rule (b) of section 12-674-A23. Any person who employs anyone in contravention of these regulations may be fined or suspended.
(h) Surrender of license. All licenses shall be the property of the commission. All licenses which are terminated by the commission and all licenses held by persons whose positions have been terminated or who have voluntarily retired or quit shall be surrendered to the commission within twenty-four (24) hours of said termination.
(i) Examination of licenses. All persons who have been issued a license by the commission must keep such license in his possession subject to the examination by the commission or its duly authorized representatives, or officials of the association at any time they may deem necessary or proper.
(j) Responsibility of employer on discharge of employee. When an owner or trainer discharges a licensed employee, or when such employee voluntarily leaves the employ of an owner or trainer, the said owner or trainer shall immediately notify the commission steward of such discharge or resignation. The failure to so notify the commission steward shall subject the owner or trainer to a fine or suspension or both.
(k) Corporations, partnerships.
1. (1) (A) No license as an owner shall lie granted to the lessee or lessees of any corporation, syndicate or partnership unless such corporation, syndicate or partnership shall have no more than ten (10) stockholders or members, as the case may be, each of whom shall be the registered and beneficial owner of stock or membership III such corporation, syndicate or partnership; and every such stockholder or member is required to be licensed as an owner. The commission, by unanimous vote of its members, may waive this rule with respect to any one horse owned by any said corporation, syndicate or partnership, to enable it to participate in a meeting.
  1. (B) For the purposes of this rule, the stockholders or members who bear to each other tile relationship of husband and wife, parent and child, grandparent and grandchild, sister and brother shall be regarded collectively as one stockholder or member, as the case may be.
2. (2) The stockholders or members of any corporation, syndicate or partnership which leases horses for racing purposes in the state of Connecticut shall make and file with the commission as and when requested by it, a report or reports under oath containing such information as the commission may specify; and upon refusal or failure to file any such report or reports the commission may refuse a license to any lessee or lessees of such corporation, syndicate or partnership or may revoke any such license which it may have granted.
3. (3) Any transfer of stock of such corporation or change in the officers or directors shall be reported in writing to the commission steward at the track within forty-eight (48) hours of such change. The commission steward shall immediately transmit such information to the commission.
  (l) Procedure for revocation. No license shall be revoked unless such revocation is at a meeting of the commission on notice to the licensee who shall be entitled to a hearing in respect to such revocation. The hearing may be conducted by the commission or a sub-committee of four commissioners who shall report their findings to the commission.
(m) Certain disqualifications. No person shall be eligible for an owner's or trainer's license if, during the term of such license, he would practice as Tarrier or veterinarian with horses racing under the jurisdiction of the commission; provided, however, that a duly licensed owner may personally shoe a horse owned by him upon applying for and receiving a certificate of fitness therefor from the commission.
(n) Unauthorized use of credentials. No licensee shall permit any other person or persons to use his badge or credentials for entering into any part of the track. Any licensee who violates this rule is liable to suspension or a fine of not exceeding $200.00 or both, and if he continues to violate the rule, he may be ruled off or otherwise punished, as the commission may decide.
(o) Duration of license. No license shall be granted for a longer period than one year, and every such license shall expire on the 31st day of December of the year of the date of its approval.
(p) Authorized agents.
1. (1) An owner may appoint an authorized agent by filing an appointment form with the commission provided the agent files an application for a license to act as authorized agent and pays the prevailing fee. Such appointment must first be approved by the commission before such agency becomes effective.
2. (2) An authorized agent may appoint a sub-agent, who must be licensed as an authorized agent, only when the appointment form authorizes him to so act.
(q) Payment of fines. Any person who pays a fine imposed on another may be fined or suspended.
(r) New riders. A license to ride shall not be granted to a person who has never ridden in a race. Persons who have never ridden in a race may be allowed by the stewards to ride twice before applying for a license pursuant to rule (a) of section 12-574-A36 of these rules.
(s) Probationary permit. Probationary permits may be issued by the commission to jockeys, apprentices and exercise boys who have been disciplined. During the period of the aforementioned probationary permit, it may be revoked by the commission upon the recommendation of the stewards. After one year, said probationer shall be eligible for a regular license in his proper classification.