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09.10.06.00.htm 09.10.06.00. Title 09 MARYLAND DEPARTMENT OF LABOR Subtitle 10 RACING COMMISSION Chapter 06 New Racetrack License Authority: Business Regulation Article, §11-210, Annotated Code of Maryland
09.10.06.01.htm 09.10.06.01. 01 Purpose.. The purpose of this chapter is to set forth the procedures to be followed in the application for, and the issuance of, a new racetrack license.
09.10.06.02.htm 09.10.06.02. 02 Application Fee.. A. An applicant for a new racetrack license shall pay an application fee of $30,000 upon the filing of the application.B. Except as provided in Regulation .05F(2) of this chapter, the application fee is nonrefundable..
09.10.06.03.htm 09.10.06.03. 03 Application Period.. A. When the Commission intends to consider the issuance of a license for a new racetrack, the Commission shall advertise in the Maryland Register an application period, not to exceed 60 days, during which the Commission shall accept application documents.B. The Commission shall specify the type, and general geographic area, of the racetrack for which it will consider applications.C. The advertisement shall be published at least 30 days before the first d
09.10.06.04.htm 09.10.06.04. 04 Document Submission.. Documents required to be submitted to the Commission under this chapter shall consist of an original and ten copies.
09.10.06.05.htm 09.10.06.05. 05 Application Procedure.. A. The application procedure consists of the following two phases:. 1) Phase I, which requires the submittal of the items specified in Regulation .06 of this chapter; and2) Phase II, which requires the submittal of all of the other information required by this chapter.. B. Upon the certification of one or more applications as required under Regulation .08 of this chapter, the Commission shall conduct a hearing in accordance with State Governm
09.10.06.06.htm 09.10.06.06. 06 Phase I Documents and Information.. The following documents and information, sworn before a notary public as to the truth and validity by the applicant or, if the applicant is not an individual, by the chief executive officer of the applicant, shall be submitted to the Commission in Phase I:A. A completed application form obtained from the Commission which shall provide for:. 1) The name of the applicant;. 2) The address of the principal office of the applicant in Maryland;.
09.10.06.07.htm 09.10.06.07. 07 Format.. A. The application documents shall be in printed or typewritten form on 81/2 by 11 inch paper.. B. Architectural drawings shall be submitted on 11 by 17 inch paper, folded to 81/2 by 11 inches.. C. The regulation and section of the regulation that requires the submission of a document shall be noted at the top of each page of the document.D. Photographs shall be supplied of any three-dimensional exhibits..
09.10.06.08.htm 09.10.06.08. 08 Review of Application for Completeness.. A. Not later than the 30th day after the last day of an application period, the Executive Director of the Commission shall review each application submitted to determine whether the application contains all the information required under Regulation .06 of this chapter.B. If the Executive Director determines that the required information has not been submitted, the Executive Director shall notify the applicant in wri
09.10.06.09.htm 09.10.06.09. 09 Changes in Application.. A. If information submitted by an applicant as part of a racetrack application changes or becomes inaccurate before the Commission acts on the application, the applicant shall immediately notify the Executive Director in writing of the change or inaccuracy.B. After a racetrack application has been filed by an applicant, the applicant may not amend the app1) To address a deficiency in accordance with a notice sent under Regulation .08 of this chapter;.
09.10.06.10.htm 09.10.06.10. 10 Personal and Background Information.. A. Except as otherwise provided by this regulation, the application documents shall include the information under §B of this regulation, for an individual who is:1) The applicant;. 2) A director, officer, or key management individual with the applicant;. 3) A partner of the applicant; or. 4) An owner of an interest in the applicant of 2 percent or more.. B. An individual listed under §A of this regulation shall furnish the following:.
09.10.06.11.htm 09.10.06.11. 11 Information for Background Investigation.. A. An individual required to provide information under Regulation .10 of this chapter shall also submit a set of the individual's fingerprints and complete a background form supplied by the Commission which includes a statement disclosing whether the individual has ever been:1) Arrested;. 2) Convicted of, pled nolo contendere to, or received probation before judgement for, a felony or misdemeanor, other than a misdemeanor traffic offens
09.10.06.12.htm 09.10.06.12. 12 Consent for Investigation.. An individual required to provide personal and background information under Regulation .10 of this chapter shall provide a statement that irrevocably gives consent to the Commission and persons authorized by the Commission to:A. Verify all information provided in the application documents; and. B. Conduct a background investigation of the individual..
09.10.06.13.htm 09.10.06.13. 13 Organizational Documents.. A. If the applicant is a corporation, the application documents shall include a:. 1) Statement of when the corporation was organized;. 2) Copy of the articles of incorporation and bylaws of the corporation;. 3) Statement and documentation of whether the corporation has been reorganized or reincorporated during the 5-year period preceding the date on which the application documents are submitted to the Commission; and4) Statement and document
09.10.06.14.htm 09.10.06.14. 14 Owners.. A. If the applicant is an unincorporated business association, the application documents shall identify:1) Each person who exercises voting rights in the applicant; and. 2) Each person who directly or indirectly owns 2 percent or more of the business association.. B. If the applicant is authorized to issue capital stock, the applicant shall state, for each class of stock authorized, the:1) Total number of shares;. 2) Par value, if any;. 4) Current rate of dividend; and.
09.10.06.15.htm 09.10.06.15. 15 Directors, Officers, and Partners.. A. If the applicant is not an individual, the application documents shall include a list of the individuals who are serving, or who are designated to serve, during the first year after the date the application documents are submitted to the Commission, either as a director, officer, partner, or an individual having key management responsibility.B. For each individual listed under §A of this regulation, the applicant shall provide:.
09.10.06.16.htm 09.10.06.16. 16 Controlling Entity.. The application documents shall:. A. State whether another entity has a beneficial ownership in the applicant, as defined in Business Regulation Article, §11-301, Annotated Code of Maryland;B. Describe the:. 1) Nature of the beneficial ownership, and. 2) Extent of control exercised by the beneficial owner; and. C. Include information and documents required under Regulations .10 -15 of this chapter as to each beneficial owner.
09.10.06.17.htm 09.10.06.17. 17 Lease of Racetrack by Applicant.. A. If an applicant for a license to operate a new racetrack intends to lease the racetrack facility from another person, the application documents shall include the information required by Regulation .10 of this chapter as it pertains to the lessor.B. The application documents shall include a copy of the lease agreement and every other agreement or contract between the lessor and lessee.C. The Commission may not grant a license to a per
09.10.06.18.htm 09.10.06.18. 18 Outside Interests.. A. The application documents shall state whether the applicant, a director, officer, or partner of the applicant, or an owner of an interest in the applicant of 2 percent or more:1) Has ever held an ownership interest in a licensee of the Commission; or. 2) Is currently engaged in the business of racing in another state and the nature and extent of thatB. The applicant shall describe the nature of participation stated under §A of this regulation..
09.10.06.19.htm 09.10.06.19. 19 Location of Racetrack.. The application documents shall include:. A. The name of the county and, if applicable, the municipality in which the racetrack is to be located;B. The legal description of the racetrack site;. C. The name and address of each person who has held title to the real property during the 5-year period preceding the date on which the application documents are filed;D. The name and address of each person who holds a mortgage or other securi
09.10.06.20.htm 09.10.06.20. 20 Zoning and Government Improvements.. A. The application documents shall:. 1) Describe the applicable zoning designation for the racetrack site;. 2) List any local zoning or special use permits, including liquor sales permits, that the applicant must obtain for the racetrack site;3) Describe, for the permits listed under §A(2) of this regulation:. a) The procedure by which the applicant shall obtain the permits,. b) Conditions, if any, likely to be placed on the permits, and.
09.10.06.21.htm 09.10.06.21. 21 Defects.. The application documents shall state whether the racetrack site:. A. Has any geological or structural defects and include a description of the engineering, design, and construction plans to remedy the defect; andB. Is located in a floodplain and include a description of the flood history of the site..
09.10.06.22.htm 09.10.06.22. 22 Access and Transportation.. A. The application documents shall include a traffic flow study prepared by a traffic engineer containing a:1) Statement, in miles, of the distance of the racetrack site from the center of the nearest population center;2) Description and map of the roadway access to the racetrack site;. 3) Photograph of each roadway that will be used to access the site;. 4) Description of the transportation facilities that serve the population center; and.
09.10.06.23.htm 09.10.06.23. 23 Architect's Plan.. A. The application documents shall include:. 1) Layout drawings of the proposed:. a) Racing strip,. b) Facilities and equipment,. c) Facilities for horses and personnel, and. d) Customer facilities; and. 2) A description of the experience of the architect who designed the proposed facility including a statement of the number of racetracks the architect has visited and designed.B. The drawings required under §A(1) of this regulation shall be:. 1) To scale; and.
09.10.06.24.htm 09.10.06.24. 24 Racetrack Dimensions.. A. The application documents shall state the dimensions and specifications of each racetrack to be provided on association grounds, including the:1) Total length;. 2) Width;. 3) Banking, with a description of the method of transition into and out of turns;. 4) Radius of each turn and the length of each stretch and chute;. 5) Type of inside and outside rail;. 6) Composition and depth of the base, subsurface, and cushion of the racetrack with a schematic draw
09.10.06.25.htm 09.10.06.25. 25 Public Areas.. A. The application documents shall state the specifications for areas of the racetrack facility to which the public will have access and include a description of the configuration and location of the:1) Grandstand;. 2) Total number of seats, designating the indoor and outdoor seats and the reserved and nonreserved seats;3) Television monitors available for viewing by patrons;. 4) Pari-mutuel facility;. 5) Concession areas;. 6) Restrooms;. 7) Drinking fountains;.
09.10.06.26.htm 09.10.06.26. 26 Parking Facilities.. The application documents shall state the specifications for parking facilities for the racetrack, including a description of the:A. Access to the parking facilities from each roadway adjacent to the racetrack site;. B. Location and number of spaces for each type of parking available, including public, Commission employee, individual licensee, and handicapped parking;C. Road surface to be used in the parking facilities; and.
09.10.06.27.htm 09.10.06.27. 27 Facilities for Horses and Personnel.. A. The application documents shall describe the:. 1) Facilities for stabling horses;. 2) Facilities for obtaining specimens for testing horses and humans for drugs;. 3) Prerace holding area and paddock;. 4) Facilities for owners, trainers, and other racetrack personnel;. 5) Facilities for a racetrack chaplain;. 6) Lounge area, educational facilities, and other recreational facilities for racetrack personnel;.
09.10.06.28.htm 09.10.06.28. 28 Utilities and Easements.. A. The application documents shall describe the location of utilities throughout the racetrack site, including:1) Whether electrical service is overhead or underground;. 2) The location, depth, and size of water and sewer lines; and. 3) Availability of a backup generator or other source of energy.. B. The application documents shall state the name of each owner of an easement across the racetrack site and describe the nature of the easement.
09.10.06.29.htm 09.10.06.29. 29 Fiscal Information.. A. The application documents shall include audited financial statements of the applicant for each of the 3 fiscal years preceding the date the application documents are submitted, including a:1) Balance sheet; and. 2) Profit and loss statement.. B. If the applicant has been organized for less than 3 years, the application documents shall include audited financial statements for each fiscal year that the applicant has been organized.C. Information submitted
09.10.06.30.htm 09.10.06.30. 30 Loans.. A. The application documents shall state each loan made by the applicant in an amount that exceeds 1 percent of the applicant's net income for the year in which the loan was made.B. The disclosure for each loan listed under §A of this regulation shall include:. 1) The name and address of the borrower;. 2) The amount of the loan;. 3) The terms of the loan; and. 4) A copy of each document executed with respect to the loan..
09.10.06.31.htm 09.10.06.31. 31 Debt.. A. The application documents shall describe any lien that encumbers 1 percent or more of the applicant's assets or 1 percent or more of the assets of a person with an ownership interest in the applicant of 25 percent or more.B. The disclosure for each lien listed under §A of this document shall include:. 1) The name and address of the lender or secured party;. 2) The amount of the indebtedness;. 3) The terms of the lien; and.
09.10.06.32.htm 09.10.06.32. 32 Budgets.. A. The application documents shall describe the costs of construction or improvement of the racetrack facilities.B. The disclosure required under §A of this regulation shall state whether each item is a fixed cost or a projection, and shall include the costs of:1) Architectural and engineering services;. 2) Land acquisition;. 3) Site development;. 4) Facility construction;. 5) Equipment acquisition;. 6) Capitalized interest;.
09.10.06.33.htm 09.10.06.33. 33 Funding.. A. The application documents shall state the source of funds for the construction or operation of the racetrack.B. If a source of funds listed under §A of this regulation is an equity contribution, the applicant shall disclose the:1) Amount of contribution;. 2) Terms of any commitment from that source; and. 3) If the contribution is other than cash or cash equivalent, the basis for valuing the noncash contribution.C. If a source of funds listed under §A of this re
09.10.06.34.htm 09.10.06.34. 34 Financial Forecasts.. A. Based upon the experiences of one or more operating racetracks, the application documents shall include a financial forecast regarding the operation of the proposed racetrack and pari-mutuel wagering for each of the first 5 years after a license is granted and operations are started.B. The financial forecasts required under §A of this regulation shall include:. 1) Forecasts of revenues, expenses, changes in capital accounts, and cash flows;.
09.10.06.35.htm 09.10.06.35. 35 Race Meetings.. A. The application documents shall describe the type of race meetings the applicant plans to conduct each year, including the number of:1) Live race meetings and the number of live race days per week; and. 2) Simulcast race meetings and the number of simulcast race days per week.. B. For each race meeting described under §A of this regulation, the documents shall indicate the time of day the races will be conducted, and the approximate number of races p
09.10.06.36.htm 09.10.06.36. 36 Management.. A. The application documents shall include a list of the individuals who will be responsible for the operation of the racetrack.B. For each individual listed under §A of this regulation, the documents shall:. 1) Include a set of the individual's fingerprints;. 2) Include the information required of an individual under Regulations .10―12 of this chapter; and. 3) State the individual's experience and qualifications in:.
09.10.06.37.htm 09.10.06.37. 37 Concessions.. A. The application documents shall describe the applicant's plan for concessions, including food, beverages, and promotional products.B. If the applicant intends to contract with a person or a concessions company to provide the concessions, the application documents shall include:1) A copy of the written contract; and. 2) All the information required by Regulation .36 of this chapter as it pertains to the concessions company and its management personnel.
09.10.06.38.htm 09.10.06.38. 38 Pari-Mutuel Operations.. The application documents shall describe the applicant's pari-mutuel facilities and operations, including a description of the totalisator equipment proposed to be used.
09.10.06.39.htm 09.10.06.39. 39 Operations Contracts.. A. If an association submits a written contract under Regulation .36, .37 or .38 of this chapter, the application documents shall include, for each party to the contract:1) Audited financial statements and an auditor's report; or. 2) Unaudited financial statements and a report by an independent certified public accountant.. B. The application documents shall include a financial statement required by this regulation for each of the 3 years precedin
09.10.06.40.htm 09.10.06.40. 40 Out-of-State Distributions.. The application documents shall state the amount of money that will be paid by the association, during each of the first 5 years of operation, to entities located outside Maryland as:A. Payments of profit or other distributions to investors residing outside Maryland;. B. Interest on debt with lenders located outside Maryland;. C. Payment for supplies purchased from, or services rendered by, entities based outside Maryland other than the management co
09.10.06.41.htm 09.10.06.41. 41 Racing Equipment.. The application documents shall describe the equipment to be used in conducting races, including the starting gate, the timing of the races, photo finish, and videotape equipment.
09.10.06.42.htm 09.10.06.42. 42 Purse Structure.. The application documents shall state the percentage of the takeout from the handle that will be allocated to purses.
09.10.06.43.htm 09.10.06.43. 43 First Aid and Safety Monitoring.. The application documents shall:. A. Describe the first-aid facilities and personnel to be available at the racetrack, including the level of training of the personnel;B. State the travel time to the hospital nearest the racetrack and the average response time at that hospital; andC. Describe in detail the applicant's plans for monitoring the safety of the racing animals, patrons, and racetrack personnel.
09.10.06.44.htm 09.10.06.44. 44 Security Documents.. The application documents shall include plans that provide for the safety and security of the patrons, the racing animals, and the racetrack personnel.
09.10.06.45.htm 09.10.06.45. 45 Local Emergency Services.. The safety and security plans under Regulation .44 of this chapter shall describe the:. A. Local emergency services available to the racetrack, including fire fighting, law enforcement, and medical emergency services;B. Security equipment for the racetrack facilities, such as fences, locks, alarms, and monitoring equipment, including the:1) Perimeter,. 2) Stables,. 3) Paddock,. 4) Cash room and the vault,. 5) Mutuel ticket windows,. 6) Tote room,.
09.10.06.46.htm 09.10.06.46. 46 Security Personnel.. The safety and security plans under Regulation .44 of this chapter shall:. A. Describe the security personnel at the racetrack;. B. State whether the personnel will be employed by the association or by an independent contractor;. C. Describe the organization and qualifications of the contractor, if the personnel are employed by an independent contractor;D. State the number of individuals to be employed and the area of the racetrack at which each will serve;
09.10.06.47.htm 09.10.06.47. 47 Fire Safety and Emergency Procedures.. The safety and security plans shall describe:. A. The fire safety and emergency procedures for the racetrack, including procedures for:. 1) Protecting or evacuating the patrons and controlling traffic in an emergency, such as a natural disaster,2) Inspecting the facilities for fire hazards,. 3) Restricting smoking in areas where smoking would create a fire hazard, and.
09.10.06.48.htm 09.10.06.48. 48 Minority Participation.. Any contract between the applicant and another party shall contain a provision for minority participation.
09.10.06.49.htm 09.10.06.49. 49 Reasonable Diligence Required.. A. If the Commission determines that an association is failing to exercise reasonable diligence in preparing a new racetrack to begin racing on the date approved by the Commission, the Commission may revoke its approval of the applicant and reopen the application process.B. If the Commission takes action against an association under §A of this regulation, that association may not participate in the application process that is reopened.
09.10.06.50.htm 09.10.06.50. 50 Hearing.. A. Before approving or denying a license, the Commission shall conduct a hearing on the application in accordance with State Government Article, Title 10, Annotated Code of Maryland.B. The burden of proof shall be on the applicant to show that the applicant complies with the regulations of the Commission regarding eligibility and qualifications for a license to operate a racetrack.
09.10.06.51.htm 09.10.06.51. 51 Denial of License.. A. The Commission may deny a license if the Commission:. 1) Does not approve of the information submitted in Phase I or II of the application procedure;. 2) Determines that:. a) There has not been compliance with the time schedule submitted by the applicant under Regulation .06 of this chapter;b) Construction was not completed in accordance with the plans approved by the Commission;. c) The operational plans of the applicant were not ready to be implemented;.
09.10.06.9999.htm 09.10.06.9999. Administrative History Effective date: December 13, 1999 (26:25 Md. R. 1897).
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