1 Colo. Code Regs. § 208-1, ch. 3

Current through Register Vol. 47, No. 22, November 25, 2024

Chapter 3 - OCCUPATIONAL LICENSEES

100WHO MAY/MUST OBTAIN A LICENSE

3.100 - Deleted effective July 11, 1998.

3.102 - A person shall not participate in pari-mutuel racing under the jurisdiction of the Commission without a valid license issued by the Division. The following occupational (license) categories shall apply: Business; Key; Support; and Registration.

The Commission/Division shall establish appropriate sub-categories within each occupational (license) category to reflect the nature of the activity to be performed.

Persons required to be licensed shall submit a completed application on forms furnished by the Commission/Division prior to commencement of activities permitted by such license.

3.103 - New meet or renewal meet applications must be accompanied by an audited financial statement completed by an independent certified accountant.

3.104 - A licensed parent or legal guardian may employ their child to work within or around the kennel/stable area. The child employed must be licensed and if the child is younger than fourteen (14) years of age, the parent or legal guardian will be held responsible for the proper conduct of that child. A child who is fourteen (14) years of age or older, licensed and has the written approval of their parent or legal guardian may be employed by a person other than their parent or legal guardian.

3.105 - In connection with Section 44-32-202(3)(h), C.R.S., the Division Director shall establish and adjust, if necessary, source market fees, fees for race meets and other licenses issued. The total receipts from all licenses issued shall generate sufficient revenue to meet the total costs of the Division.

200PROCEDURE FOR OBTAINING A LICENSE

3.200 - Any applicant for licensure may be required by the Division to demonstrate knowledge, qualifications and proficiency related to the license for which application is made through an examination approved and administered by the Division or its designee.

3.202 - Application forms shall be completed under the penalty of perjury. The application forms may include questions concerning the following:

:1 - Personal background information;

:2 - Financial information;

:3 - Participation in legal or illegal activities in Colorado or other jurisdictions, including foreign countries;

:4 - Criminal record information;

:5 - Information concerning all pecuniary and equity interests in the applicant; and

:6 - Other information as required.

3.204 - The application forms shall be accompanied and supplemented by such documents and information as may be specified or required. Failure to supply the information requested within five (5) days after the request has been made by the Division constitutes grounds for delaying consideration of the application.

3.206 - An applicant for initial licensure, and a renewal applicant on a cycle of every other renewal thereafter, in the categories of business, key or support shall be fingerprinted. Applicants shall also be fingerprinted if for any reason they have been asked by the Division to submit a new application. These reasons may include, but are not limited to, someone reapplying after more than one (1) year has elapsed since the expiration of the most recent license, if someone has been denied or revoked by an action of the Commission or Division, or when additional information may be needed to proceed with a background investigation.

3.208 - (Modified Effective date May 15, 2015) Any applicant for a license may be required to establish age by the presentation of a certified birth certificate. The applicant shall also be required to establish proof of lawful presence.

3.210 - All application forms supplied by the Division shall include a waiver of any right of confidentiality and a provision which allows the information contained in the application to be accessible to law enforcement agents of this or any other state or the government of the United States.

3.212 - The Commission shall establish and post the fees to be charged for the various licenses. All persons shall pay the required fees as part of the requirements for qualification for licensure. Such fees are non-refundable.

300DENIAL, SUSPENSION, RESTRICTION OF LICENSE

3.300 - All licensed persons are held responsible for the safekeeping of their license. A license shall not be transferable and a licensed person shall not allow another to use their license for the purpose of transferring any of the privileges pertaining to it.

3.302 - (Modified Effective date May 15, 2017) It is the Commission's and Division's policy to recognize and uphold the rulings of other racing jurisdictions or breed registries which are recognized as official registries by the Commission. Pursuant to § 44-32-507(1)(l), based upon the evidence of a ruling from another jurisdiction, the Commission, the Board of Stewards or a hearing officer shall suspend the license of a Licensee until proof can be furnished that such suspension has been lifted or expired in the other jurisdiction. No additional penalties may be assessed under this rule. Also, the Commission and Division reserve the right to deny the application for a license of any person licensed in another racing jurisdiction.

3.304 - The Commission or Division Director may deny a license to any person who demonstrates untrustworthiness or incompetency in the performance of the duties required of the applicant. The Commission or Division may require and procure any proof deemed necessary with reference to the truthfulness, honesty and competence of any applicant.

3.306 - A person required to be licensed in Colorado must have the license validated for the current meet before being granted the privileges of the racetrack or simulcast facility. To obtain validation the person must have an animal at the racetrack or show proof of gainful employment at the racetrack or simulcast facility and must complete a validation form. The Commission may require that validation forms for certain license types are accompanied by additional documentation. Falsification of the validation form shall constitute grounds for discipline.

3.308 - The Division may issue a temporary license or registration for a period not to exceed ninety (90) days, which badge is conditioned upon the Division's investigation and determination on whether to grant or deny an application for licensure. Issuance of a license badge does not constitute approval for licensure. Written notification of either approval or denial will be sent to the applicant within ninety (90) days of application at the address provided to the Division. Until such time as the application has been approved or denied, the applicant is operating under a temporary license. Any temporary license issued by the Division shall expire immediately upon determination by the Division on the license or registration application, or within ninety (90) days of application, whichever occurs first. During the time that any temporary license is valid, the holder of such temporary license shall be required to comply with all laws and rules. License applicants who do not want to accept the conditions of a temporary license badge issued pursuant to this rule may request in writing to wait until the Division has completed its investigation and approved the applicant for licensure. A license or registration not issued within ninety (90) days shall require a new application to be filed on a form provided by the Division. This rule will take effect upon the effective date of House Bill 98-1017 becoming law.

3.310 - Dual licenses will not be issued, if, in the opinion of the Division or the Commission, there is a conflict of interest in holding more than one (1) license.

400DUTIES, OBLIGATIONS, PROHIBITED PRACTICES

3.400 - It is the duty of each licensee to promptly advise in writing the Division of any change in their current mailing address.

3.402 - (Modified Effective date May 15, 2016) Any person mounted on a horse or stable pony on association grounds, must wear a properly secured safety helmet at all times. Additionally, all members of the starting gate crew and Association Valets must adhere to this regulation at all times while performing their duties or handling a horse. For the purpose of this regulation, a member of the starting gate crew means any person licensed as an assistant starter or any person who handles a horse at the starting gate. The helmet must comply with one of the following minimum safety standards:

(a) American Society for Testing and Materials (ASTM E 1163);

(b) UK Standards (EN-1384: 2017; or PAS-015; VGI 01.040); or,

(c) Australian/New Zealand Standards (AS/NZ 3838 or ARB HS 2012); or Snell Equestrian Standard E2016.

Any person mounted on a horse or stable pony on the association grounds must wear a safety vest at all times. Additionally, all members of the starting gate crew and Association Valets must also adhere to this regulation at all times while performing their duties or handling a horse. For the purpose of this regulation, a member of the starting gate crew means any person licensed as an assistant starter or any person who handles a horse at the starting gate. The safety vest must comply with one of the following minimum standards:

(a) British Equestrian Trade Association (BETA):2000 Level 1;

(b) Euro Norm (EN) 13158:2000 Level 1;

(c) American Society for Testing and Materials (ASTM) F2681-08 or F1937;

(d) Shoe and Allied Trade Research Association (SATRA) Jockey Vest Document M6 Issue 3; or,

(e) Australian Racing Board (ARB) Standard 1.1998.

And all jockeys shall wear a safety vest of the type approved by the Commission, when they are performing their duties on a horse racetrack.

A safety helmet or a safety vest shall not be altered in any manner nor shall the product marking be removed or defaced.

The Commission adopts as part of Rule 3.402 of the Colorado Racing Commission Rules certain industry standards referred to in this Rule 3.402. Such industry standards are published by the American Society for Testing and Materials, British Equestrian Trade Association, Shoe and Allied Trade Research Association (SATRA), or Australian Racing Board (ARB) Standard. These industry standards were promulgated pursuant to the bodies, boards or committees or subcommittees with body protection expertise. This rule incorporates these industry standards as they existed on March 15, 2010. This rule does not include amendments to or later editions of the incorporated industry standards.

Certified copies of the complete text of the material incorporated are maintained at the Colorado Department of Revenue Division of Racings Events, 1881 Pierce Street, Room 108, Lakewood, Colorado 80214-1494, and may be inspected by contacting the Rule Coordinator at that address during normal business hours. The incorporated material may also be examined at any state publications depository library. Certified copies shall be provided at cost upon request.

3.404 - Each licensee, in accepting a license, does consent to search. Each employee of an association, in accepting employment and each vendor who is permitted to sell and distribute merchandise about the racetrack or simulcast facility does also consent to search.

3.406 - Each supervisor, owner and/or trainer shall be held responsible for the licensing of every employee under their supervision and shall make every effort to ensure that any of their employees who are discharged surrender their license(s).

3.408 - All licenses shall be issued subject to the provisions of these Rules and the Law.

3.410 - Any licensee is obligated to accept these Rules and the Law on all questions to which they are related.

3.412 - All licensees shall report any criminal actions, rule violations or other suspicious acts involving pari-mutuel wagering by any person immediately to the Division or Division Representative and cooperate in subsequent investigations.

3.414 - All licenses remain the property of the Commission and Division, and shall be returned upon demand of the Commission, Division, or its designee.

3.416 - Every licensee is charged with being financially responsible for services, supplies, or other such obligations that are directly related to the licensee's race-related activities at an approved Colorado racetrack. If the Division receives sufficient proof of financial irresponsibility concerning race-related matters, it shall take appropriate action within its authority, including fines, suspension of a licensee's license, or recommending the Commission revoke a licensee's license.

1. A financial responsibility complaint against a licensee shall be in writing, signed by the complainant and accompanied by documentation of the services, supplies or fees alleged to be due.

2. The Division shall notify the licensee and the complainant of the time and place when the financial responsibility complaint shall be heard. The complainant must appear at the hearing in order to prosecute the complaint.

3. The complainant shall bear the burden to prove the validity of the licensee's alleged obligations and the degree to which the obligations have not been satisfied.

4. The Division shall consider either 1) a certified judgment from a court of competent jurisdiction or 2) non-sufficient checks or checks written against a closed account, written to the division, racing association, or other licensee as a presumption of the validity of an alleged debt.

5. This rule does not obligate the Division or the Commission to collect debts owned by licensees.

3.418 - (Modified Effective date May 15, 2015) All licensed persons desiring to be in a restricted area of any racetrack or simulcast facility shall be required to hold and properly display a current validated license badge issued by the Division at all times while the licensee is in a restricted area. To obtain a license a person may be photographed and fingerprinted. Failure of a licensee to properly display such a license badge may constitute grounds for discipline.

Proper display of the license badge depends on the restricted area:

(1) on private, public, or stable areas, proper display of a license badge shall mean the badge shall be readily available and displayed upon demand by any Division representative or association official; and

(2) in all other restricted areas, proper display of a license badge shall consist of wearing the badge at or above the waist, with the photo of the licensee readily visible to any observer.

The licensee shall not alter, obscure, damage, or deface the badge, including the photographic image of the licensee, and any information contained or represented thereon, in any way.

3.419 - All motor vehicles entering the restricted area at a racetrack must be registered with the Division and must display the Division-issued proof of registration in the upper left corner of the vehicle's windshield. The owner-licensee of any motor vehicle not displaying the Division-issued proof of registration may be subject to administrative action.

3.420 - All visitors must obtain a visitor identification badge from a Division or association representative prior to entering a restricted or secure area of the racetrack or simulcast facility except as set forth in CRCR 3.422 and unless otherwise authorized by the Division or Commission. The visitor identification badge must be visibly displayed as described in rule 3.418 at all times while the visitor is in a restricted or secure area. All visitor identification badges shall be returned to the issuing agency upon exiting the premises or upon demand by the Division.

3.422 - All persons upon the premises of a private or public racetrack stable area must have in their possession a current validated license or be accompanied by a current licensee who shall be responsible.

3.424 - No licensed mutuel department employee or security employee shall willfully wager during working hours. No association general partner, officer, director, or racing official shall wager on any live race conducted at their facility, or on any race where they may have access to wagering information not available to the public.

3.425 - Wagering by those who maintain care and custody of a racing animal, including jockeys and jockey agents is prohibited except as set forth herein. Care and custody of a racing animal shall mean any person having contact with a racing animal seventy-two (72) hours prior to racing for the purpose of preparing, conditioning, treating or medicating the animal for that event.

1. Any person having immediate care and custody of more than one (1) animal entered in a particular race, or in a particular race in which the licensee has an animal entered and the animal has been scratched for any reason, shall not wager either directly or indirectly on that race.

2. Any person may wager on a race in which no animal in his/her immediate care is entered in that race unless excluded from wagering by law or regulation.

3. Any person having immediate care and custody of one (1) animal entered in a particular race may wager either directly or indirectly on that race only under the following conditions:

a. Straight pools- if that person uses his/her own animal and the amount wagered on any other animal does not exceed the amount wagered on his/her own animal;

b. Multiple pools- if the person having care and custody includes his/her animal in their bet, or if in key wagers, wheels and partial wheels, uses his/her animal in a selected key position; or

c. Box wagers- the person having care and custody is allowed to use his/her animal in a box wager in any multiple pool where the number of animals boxed does not exceed the number of positions in the wager.

4. Any licensee found to be in violation of this rule or any part of this rule shall be fined, in addition to those sanctions imposed by these rules, an amount equal to any amount won by the licensee.

3.426 - An owner, trainer, racing official, or other association employee shall not accept directly or indirectly, any bribe, gift, reward, favor or gratuity in any form which is intended to or might influence the results of a race.

3.428 - Any licensed person whose conduct while on the premises of any racetrack or simulcast facility interferes with the orderly and proper conduct of a meet shall be subject to disciplinary action. Such prohibited conduct shall include but not be limited to bookmaking, acting as a runner for a bookmaker, touting, pickpocketing, altering pari-mutuel tickets or offering to cash altered pari-mutuel tickets, attempting to enter into any restricted area of a racetrack or simulcast facility, being intoxicated by the use of alcohol or drugs, or possession of a narcotic or drug which violates state or federal laws. In addition, disciplinary action may be taken against a person who violates guidelines set forth by the Division for misuse of personal medication, candy, food, drink and tobacco in restricted areas in the paddock building during a racing performance or acting in a disorderly manner. Such conduct includes, but is not limited to, using abusive language, speech or conduct that is discourteous, abusive, profane, obscene or threatening towards another, making unreasonable noise, fighting, striking or threatening to strike another person, discharging or displaying a firearm, treatment that affects the safety and welfare of an animal as determined by a veterinarian. A licensee who violates the above shall also be subject to immediate summary ejection.

3.430 - A licensee shall not obstruct or interfere with or use abusive insulting language to any Commission or Division representative, racing official or assistant or medical personnel while in the discharge of their duties. Abusive insulting language shall be construed to be language which tends to incite others to unlawful conduct or making unreasonable noise.

3.432 - At horse racetracks, a licensee shall not engage in any conduct which would present a fire or safety hazard or which would constitute a traffic infraction at any racetrack Pursuant to this rule, the Division may from time to time issue and post guidelines for licensees concerning traffic and fire and safety hazards at each individual racetrack.

3.434 - A licensee shall not possess any firearm about the racetrack or simulcast facility unless all of the following conditions have been met:

:1 - The firearm must be a lawful possession of the licensee;

:2 - There must be justification that the possession of a firearm is necessary in the performance of legitimate duties by the person who shall possess a firearm;

:3 - A licensee shall obtain written approval from both the Division and the association's general manager before possessing a firearm.

3.435 - (Added Effective date May 15, 2017) No Licensee while on grounds under the jurisdiction of the Colorado Racing Commission shall:

a) Engage in the illegal sale or distribution of alcohol or a controlled substance;

b) Possess, without a valid prescription, a controlled substance or the means of introducing said substance into the body; or,

c) Possess or consume any alcoholic beverages in a secured or restricted area.

Licensees found in violation of this rule shall be subject to administrative action including fines and suspension.

3.436 - No Division employee, licensee or association employee shall be under the influence of drugs or alcohol while performing the duties or as required by the license. If, in the opinion of the Commission, the Division, Board of Stewards, paramedic or medical personnel, the licensee's ability is impaired by drugs or alcohol, then said licensee may be subject to immediate ejection. Any licensee so ejected may be subject to further disciplinary action by the Board of Stewards or a hearing officer.

3.437 - (Modified Effective date May 15, 2017) The Division may conduct random testing, as well as testing based on reasonable suspicion or probable cause. Other qualified or certified persons designated by the Division may conduct testing for the use of alcohol or controlled substances when reasonable suspicion or probable cause exists. The Commission shall determine by policy the testing procedures and the license categories to be included in testing as permitted by law. Said policies and procedures shall be made available to all licensees. Any Licensee who refuses to submit to an alcohol or drug (controlled substance) test shall be presumed to have tested positive.

No licensee while in a restricted or secured area or who, by licensure status, has accessed, will access, or may access a restricted or secured area during the reasonable course of the day shall:

(a) Have present within their system any controlled substance or alcohol while on horseback or when performing their duties.

A positive screening test or refusal to test is prima facie evidence that a violation of this rule has occurred. Licensees who test positive for alcohol or a prohibited substance shall immediately be suspended as set forth within this rule for the corresponding substance and offense. A Licensee who has been suspended in accordance with this rule may elect to have a split sample sent to the Division's confirmatory laboratory at Licensee's expense. Licensee may also request a hearing before the Board by written request. Licensee requests for hearing shall set forth the reason for appeal to the Board for review. However, Licensee shall remain suspended until such hearing is held.

If the confirmatory analysis indicates that the sample is negative for prohibited substances, Licensee shall be immediately reinstated and may return to work. If the confirmatory sample analysis detects the presence of any substance that is intended to dilute or mask the presence of another substance, Licensee may be subject to additional administrative action including fines and suspension.

Any Licensee who is required to provide a negative sample prior to return to work shall be tested at Licensee's expense. If the confirmatory analysis indicates that a prohibited substance was present in the sample, Licensee may be charged with an additional violation of this rule. If the result of the test indicates the presence of a substance which is intended to dilute or mask the presence of another substance, Licensee shall be subject to additional administrative action including fines and suspension.

Penalty Schedule

The timing of all offenses is determined on a rolling 365-day schedule.

For the presence of controlled substances or refusal to provide a sample for testing:

- First Offense: Licensee shall be suspended for fourteen (14) days and shall be required to provide a negative urine sample on the day licensee returns to work.

- Second Offense: Licensee shall be suspended for thirty (30) days. Licensee shall be required to provide a negative urine sample and proof of enrollment in a Commission-approved drug rehabilitation program on the day licensee returns to work.

- Third Offense: Licensee shall be suspended for the remainder of the race meet, plus sixty (60) days. Licensee shall be required to provide a negative urine sample and supply proof of completion of a Commission-approved drug rehabilitation program on the day Licensee returns to work.

For the presence of alcohol or refusal to test:

- First Offense: Licensee shall be suspended for forty-eight (48) hours and shall be required to pass a breathalyzer test on the day Licensee returns to work.

- Second Offense: Licensee shall be suspended for five (5) days. Licensee shall be required to pass a breathalyzer test and provide proof of enrollment in a Commission-approved alcohol abuse/rehabilitation program on the day Licensee returns to work.

- Third Offense: Licensee shall be suspended until Licensee provides the Division with documentation that Licensee has satisfactorily completed a Commission-approved alcohol abuse/rehabilitation program. Licensee shall be required to pass a breathalyzer test before returning to work.

For the presence of both prohibited substances and alcohol, the suspension period shall be equal to the longer period between the two categories for the offense.

Presence of multiple prohibited substances and/or alcohol in a test sample shall be treated as a single offense.

The Division shall develop procedures for the collection and splitting of samples, and securing the chain of custody. The procedures shall address situations when there is an insufficient quantity of a sample for splitting and when the licensee desires to waive a split sample.

3.438 - (Modified Effective date May 15, 2015) It is considered contrary to these Rules for any licensed owner, trainer or assistant trainer to utilize any training track or facilities, unless the training track or facilities have been licensed and approved by the Commission. The training track or facilities will be inspected periodically by Division representatives for the purpose of observing the training and practices used. If it is determined that practices and methods used at training tracks are contrary to good training practices in conformity with requirements as set forth from time to time by the Commission, the Commission may disallow the use of the facilities by licensed owners, trainers, or assistant trainers.

3.440 - Pony persons and outriders are prohibited from holding conversations with the public enroute to the starting gate.

3.442 - Smoking while parading to the post is prohibited.

3.444 - An Assistant starter shall not accept any compensation for services rendered as an assistant starter other than the salary paid by the association. An assistant starter shall not wager or accept a wager on any race while serving as an assistant starter.

3.446 - A licensee shall not serve as an assistant starter who has any pecuniary interest in any horse racing at the meet without the express consent of the starter and the stewards.

500OWNERS/TRAINERS

3.500 - (Modified Effective date May 15, 2013) Owner(s) and trainer(s) must obtain a license prior to race time designated for the race in which the animal(s) is entered. There shall be no minimum age requirement for a horse owner license, so long as the parent or guardian of a minor under the age of sixteen (16) is licensed by the division as the authorized agent for the minor owner. An owner may be granted an extended period of time by the Division to obtain a license.

3.501 - [Repealed 26 CR 5]

3.502 - (Modified Effective date May 15, 2016) No transfer of a horse to a new trainer shall be made unless the appropriate Division-approved form has been submitted and approved by the board of stewards.

3.504 - An applicant who is under eighteen (18) years of age shall not be granted a trainer or assistant trainer license without special permission from the division.

3.506 - (Modified Effective date May 15, 2016) An applicant for the occupations of trainer or assistant trainer, if not so previously licensed, or if previously licensed and said license has been expired for more than three years, shall be given an examination, oral or written, by a Division Representative, who will administer a test to determine the applicant's qualifications. This will include a practical component given by the Stewards, and/or a Division Representative.

(1) Eligibility for applicants for license as a trainer:

(A) Shall be at least 18 years of age, and;

(B) Shall, in the case of not being previously licensed, be qualified, as determined by the Stewards or other Commission designee, by reason of at least 2 years of experience as a licensed assistant trainer, or comparable experience in racing or other equine disciplines, or college-level education in equine science and/or horsemanship.

(C) Shall be required to pass a written examination, oral interviews with the Stewards and regulatory Veterinarian; and demonstrate practical skills.

(2) A trainer licensed and in good standing in another jurisdiction, having been issued within a period as determined by the Commission, may be accepted if evidence of experience and qualifications are provided. Evidence of qualifications shall require passing one or more of the following:

(A) A written examination;

(B) A demonstration of practical skills; and

(C) An interview with the Stewards.

(3) An applicant may submit a request to the Stewards due to disability or other factors affecting the applicant's ability to effectively complete the trainer's test (such as illiteracy or language barriers), reasonable accommodations may be made for the applicant including, but not limited to oral administration of the examination, use of a pre-approved translator, and aid from pre-approved assistant where deemed appropriate by the Stewards administering the examination.

(4) In order to maintain a current license, trainers must complete at least four (4) hours per calendar year of continuing education courses approved by the Commission or the ARCI. However, the Commission may waive this requirement if no continuing education course is available that meets the approval of the Commission.

3.508 - (Deleted Effective date May 15, 2014)

3.510 - (Modified Effective date May 15, 2014) A trainer of horses shall file with the Division, at the beginning of each race meet, a current roster of all employees having independent access to their stable. It shall be the responsibility of the trainer to amend or update the rosters filed with the Division when an employee is discharged, or a new employee is hired, or any other personnel changes within the stable within seventy-two (72) hours. A copy of the stable roster must be posted in the tack room.

3.512 - A trainer shall not knowingly allow in their stable/kennel an animal owned, in whole or in part, by a disqualified person.

3.514 - The trainer is solely responsible for a horse's sex printed on the foal certificate. A trainer shall call to the attention of the stewards a mistake in the printing of a horse's sex in the daily program.

3.516 If a horse has been de-nerved or de-innervated ("nerved"), whether by surgical procedure, chemical means or by any other cause of dysfunction or death of nerve tissue, it is the responsibility of the trainer to see that it is properly recorded on the foal certificate that the horse has been nerved. A list of nerved horses shall be posted in the racing office and the trainer of a nerved horse shall promptly call to the attention of the Board of Stewards the name of any nerved horse whose name does not appear on the list.

3.518 - A trainer shall not move a horse from the block of stall(s) assigned to the trainer or remove a horse from the racetrack without written permission from the association.

3.520 - A trainer who is also licensed as an owner and is actively participating at a meet must train any horse(s) in which he/she owns an interest and may not assign the training of such a horse(s) to another trainer at a meet without the permission of the stewards.

3.521 - (Added Effective date May 15, 2017) A licensed trainer shall not engage in the practice of program training. A program trainer is a trainer who on behalf of an ineligible trainer or undisclosed person:

a) Enters into an agreement for the sole purpose of completing an entry form for a race;

b) Pays an entry fee on behalf of an ineligible trainer or an undisclosed person;

c) Receives a financial or beneficial interest for the sole purpose of being listed as the trainer on the official race program;

d) Obtains official works within the State of Colorado on behalf of an ineligible trainer or undisclosed person;

e) Is attempting to assume the appearance of being the trainer of a horse that he/she does not have in his/her care, custody or control; or

f) Is attempting to assume the appearance of being the trainer of a horse that is under the control of and/or trained by the ineligible trainer or undisclosed person.

An individual who is found in violation of any subsection of this rule shall be fined and suspended to the fullest extent of the Board's power under CRCR #6.120. For any subsequent violation, the licensee shall be fined and suspended to the fullest extent of the Board's power and the matter shall be sent before the Colorado Racing Commission for further review.

3.522 - (Modified Effective date May 15, 2016) A trainer who is absent from his/her stable or the grounds where his/her horses are racing, and whose horses are entered or are to be entered, shall provide a licensed assistant trainer to assume the training duties for the horses which are entered or are to be entered or running. The trainer and the assistant trainer shall sign in the presence of the Board a form provided by the Division acknowledging that both the trainer and the assistant trainer may be held liable for the condition of the horses at all times. The program shall carry the name of the trainer and the assistant trainer.

3.524 - (Modified Effective date May 15, 2016) An absentee trainer shall have a licensed assistant trainer conducting business for them. A trainer who has no assistant trainer and is absent from his/her stable or the grounds where his/her horses are racing for more than five consecutive days or on a day in which the trainer has a horse in a race, and whose horses are entered or are to be entered, shall assign a licensed trainer to assume complete responsibility for the horses being entered or running. Such licensed trainer shall sign in the presence of the Board a form furnished by the Racing Commission accepting complete responsibility for the horses being entered or running, including the training and conditioning of the horses.

600JOCKEYS/APPRENTICE JOCKEYS/JOCKEY AGENTS

3.600 - Any person under the age of sixteen (16) shall not be issued a jockey or apprentice jockey license. Any person who has not yet reached the age of eighteen (18) shall not be issued a jockey or apprentice jockey license without the written consent of the applicant's parents or legal guardian.

3.601 - All jockeys who intend to ride at a recognized race meet shall be required to show written documentation of a complete physical examination by a licensed physician affirming fitness to participate as a jockey and must include a baseline concussion test. This examination must have taken place within a thirty (30) day period prior to the start of the meet at which the rider intends to participate. The board may waive the thirty (30) day requirement for riders that can provide written proof of a physical and baseline concussion test within one year that meets the requirements of this rule.

3.602 - (Modified Effective date May 15, 2018) An applicant for a jockey or apprentice jockey license shall show competence by prior licensing whereby the applicant shall demonstrate their riding ability, which may include participation in up to five races witnessed by the Stewards and a Division Representative, with the consideration of the recommendations from the starter, the head outrider, and the designated representatives of the jockeys and the horsemen at the track.

The demonstration of riding ability is defined at a minimum of:

(a) Breaking a horse in company from the starting gate;

(b) Working a horse in company around the turn and down the stretch;

(c) Switching the riding crop from one hand to the other while maintaining control of the horse; and

(d) Aiding a horse to switch leads.

3.604 - A jockey shall not have ownership or financial interest in any horse racing at a meet where the jockey is riding (excluding breeder's awards).

3.606 - (Modified Effective date May 15, 2017) For the purposes of this rule, "designated race" shall mean any stakes race or associated trial in any state as designated by the stewards. A jockey suspended for ten (10) calendar days or less for a riding violation unless otherwise specified in the ruling may continue to exercise horses during training hours and may fulfill riding engagements in designated races, as designated by the Stewards at the beginning of the race meeting.

Prior to the commencement of a meeting, a listing of designated races by the Stewards shall be submitted to the Commission. A copy of such races shall be posted in the Jockeys' Room, and any other such place deemed appropriate by the Stewards. The stewards may elevate a race to designated race status after the commencement of the meet and shall submit it to the Commission and update the listing as above.

The official rulings where designated races are permitted shall be stated in the initial ruling.

A jockey who is serving a suspension of ten (10) calendar days or less may ride in designated races during the suspension under the following conditions:

1. the race has been specified as a designated race by the Stewards officiating at the meeting; and

2. the jockey is named no later than the time set for the close of entries for the designated race.

When a jockey rides in any designated race(s) the board of stewards which originally imposed the suspension will designate the day to serve the additional suspension.

3.608 - Only thoroughbred or arabian races at meets which are recorded in the Daily Racing Form or a similar publication approved by the stewards shall be considered in determining eligibility for an apprentice jockey license.

3.610 - A rider who has been previously licensed as a jockey and ridden thoroughbred races shall not be eligible to be licensed as an apprentice jockey.

3.612 - The Commission and Division shall recognize all apprentice certificates and apprentice allowance extensions granted or approved by members of the Association of Racing Commissioners International, Inc. Certificates must accompany an application for an apprentice license.

3.614 - Original apprentice jockey certificates shall be executed by all parties in triplicate and one (1) copy shall be filed with the Division. Any amendments to an original certificate must accompany the original certificate and be filed with the Division when applying for an apprentice jockey's license.

3.616 - (Modified Effective date May 15, 2013) A licensed apprentice jockey may be eligible to claim the following allowances in overnight races except handicaps or unless the conditions of a race state otherwise:

1: Five (5) pounds beginning with the first mount and for one full year from the date of the fifth winning mount.

2: If after riding one (1) full year from the date of the fifth winning mount, the apprentice jockey has failed to ride a total of forty (40) winners from the date of the first winning mount, the apprentice jockey may continue to ride with a five (5) pound weight allowance for one more year from the date of the fifth winning mount or until such jockey has ridden a total of forty (40) winners, whichever comes first.

3: Apprentice allowances may be waived with the stewards' permission at the time of entry by the trainer or the trainer's designee.

3.618 - Under exceptional circumstances, i.e., an inability of an apprentice jockey to ride because of military service, personal injury, restricted racing or other valid reasons during an apprenticeship term, an extension of the term of the contract and/or allowances may be granted as follows:

:1 - In order to qualify for an extension of an apprentice allowance an apprentice jockey must have been rendered unable to ride for a period of not less than fourteen (14) consecutive days after the date of such jockey's fifth winning mount during the period the apprentice was entitled to an apprentice allowance.

:2 - A request for an extension must be acted upon by the proper authority in the jurisdiction where the original contract or certificate was issued.

3.620 - In the event that an apprentice jockey completes any condition of the apprenticeship or becomes a jockey prior to fulfilling all previously contracted engagements, the owners or trainers of horses which are affected shall be given the opportunity to substitute another apprentice jockey who can fulfill the original weight allowance conditions of the engagement. An apprentice jockey who loses the apprentice allowance for any reason shall obtain a jockey's license before being permitted to ride again.

3.622 - Any race not recorded in the Daily Racing Form Monthly Chart or a similar publication approved by the stewards shall not be considered in determining an apprentice jockey's right to an apprentice allowance.

3.624 - The stewards shall have the authority to deny an apprentice jockey permission to ride any horse.

3.626 - (Modified Effective date May 15, 2017) Each jockey is entitled to have one jockey agent for each breed. All engagements to ride shall be made by the jockey or the agent.

3.628 - When a jockey dismisses a jockey agent, the jockey shall immediately notify the stewards in writing.

3.630 - A jockey shall not have a valet other than those provided by the association. An assessment may be collected by the association and valets may be paid through the horsemen's bookkeeper.

3.632 - A jockey mounted on any horse during a race shall not willfully pull the reins or do anything that has the effect of diminishing the chance of the horse winning any race whether the action on the part of the jockey is of the jockey's own accord or by instructions from the owner or trainer of a horse, or as a result of conspiracy with any other person.

3.634 - Jockeys shall not converse with the public while fulfilling riding engagements during a racing program.

3.636 - A jockey shall not wager or accept a wager on any race in which the jockey is riding. An owner or trainer of the horse a jockey is riding may make a wager in the jockey's behalf on that horse only.

3.638 - (Deleted date May 15, 2015)

3.640 - (Deleted date May 15, 2015)

3.642 - A jockey's fee shall be considered earned when the jockey is weighed out by the clerk of scales. The fee shall not be considered earned if any jockey, of their own free will, take themselves off of their mount, where injury to the horse or jockey is not involved. Any conditions or considerations not covered by these Rules shall be at the discretion of the stewards.

3.644 - All jockey fees shall be deposited in advance of the races for that day.

3.646 - Jockeys involved in a dead heat shall share equally the sum of the fees which would have been due them collectively had there been no dead heat.

3.648 - An application for a jockey agent license shall bear the signature of the jockeys the agent will represent.

3.650 - A jockey agent may not represent more than one jockey and one apprentice at any one time without approval of the stewards. A jockey agent shall not assist anyone other than the agent's principal.

3.652 - (Modified Effective date May 15, 2015) When each day's races are drawn, jockeys or their agents are required to be at the draw to determine first and second calls in each race.

3.654 - Conflicting claims for the engagements of a jockey shall be decided by the stewards.

3.656 - A jockey agent shall not be named by another as a person authorized to enter a horse into a race. If a jockey agent is permitted to enter a horse, the jockey agent, the entry clerk, the trainer and/or owner may all be subject to administrative action.

700CORPORATIONS/PARTNERSHIPS & STABLE NAMES

3.700 - A corporate license shall be issued to a corporate officer in the corporate name. Any other officers or directors of a licensed corporation wishing to have access to a restricted area must be properly licensed.

3.702 - Any transfer of stock or change in the officers or directors shall be reported promptly in writing to the Division.

3.704 - All corporations having any interest in an animal shall file with the Division at the time of filing applications for an owner's license, a statement in duplicate setting forth the names and addresses of all officers, directors, and stockholders of the corporation, together with the amount of the respective holdings of each stockholder and a statement as to whether or not the stock is paid in full, and including the designation of an authorized agent, or agents of the corporation. The statement shall be signed by the president of the corporation, attested to by its secretary and the corporate seal attached. The statement shall also contain an affidavit signed under oath by the president and secretary of the corporation that no officer, director or shareholder of the corporation is at that time under suspension by the Commission or disqualified to be licensed as an owner of any animals by the Commission.

3.706 - All statements of sales and contingencies, or arrangements, by partnerships or corporations, shall declare to whom winnings are payable, in whose name the animal shall run, and with whom rests the power of entry, of declaration of forfeit, or scratch, and a copy of this information shall be transmitted to the Division.

3.708 - (Modified Effective date May 15, 2014) Each member of a partnership must be individually licensed as an owner. A member of a partnership must file with the Board and the Racing Secretary written consent of the other partners before transferring any share of ownership.

For Racing Clubs, Minor Business (Principal) License will be required. The Principal Owner is the founding member of the racing club and has to be licensed and fingerprinted. The Principal Owner must also register and update all Participant Owners who own less than 10% shares of ownership. Any person or business that holds 10% or more share in the Racing Club, must have an Owners License. Those with less than 10% share shall have current registration. The Racing Club Principal must list all Racing Club Members, and their addresses, and their financial interest in the Partnership (Pursuant to 3.712), and provide such information to the Division upon application for the Principal Licensure. The members of the Racing Club are jointly and severally liable for the acts of the Racing Club.

3.710 - All partners shall be liable for all expenses, including engagements, fees, and forfeits incurred while the partnership exists.

3.712 - (Modified Effective date May 15, 2015) All partnerships must be registered with the Division and the name and address of every person having any interest in a horse, the relative proportions of their interest and the terms of any sales with contingencies or arrangements must be signed by all parties or by their authorized agent and be filed with the racing secretary, a copy of which shall be transmitted immediately before the opening of a meet to the Division office. In case of emergency, authority to sign declarations of partnership may be given to the racing secretary by telephone promptly confirmed in writing.

3.714 - (Modified Effective date May 15, 2015) An owner wishing to race under a stable name may do so by registering such name with the Division.

3.716 A trainer, who is also a licensed owner or part owner, may use a stable name as owner or part owner. However, a trainer may not be licensed as a trainer other than in the trainer's legal name.

3.718 - (Modified Effective date May 15, 2015) In applying to race under a stable name, the applicant must disclose the identity or identities behind a stable name.

3.720 If a partnership is involved in the identity behind a stable name, each of the partners must be licensed as an owner and must be in compliance with the rules covering partnerships.

3.722 If a corporation is involved in the identity behind a stable name, compliance with the rules covering corporations must be made.

3.724 Changes in identities involved in a stable name must be reported immediately to the Division.

3.726 A licensed owner who has registered under a stable name may at any time abandon it after written notice to the Division.

3.728 A stable name may be changed at any time by registering for a new stable name.

3.730 A licensed owner cannot register as a stable name one which is the real name of any other owner of horses racing or one which is the real or stable name of any prominent person not owning horses or one which is registered by any other owner.

3.732 A stable name shall be plainly distinguishable from that of another stable name.

3.734 - The Division reserves the privilege of refusing to register a stable/kennel name.

800OTHER LICENSEES

3.800 - Any changes in the powers delegated by the owner or racing corporation to the authorized agent or revocation of the authorized agent's appointment must be in writing, notarized and filed with the Commission and/or the Board, the racing secretary, and for horses the horsemen's bookkeeper.

3.802 - (Modified Effective date May 15, 2013) Any owner over the age of sixteen (16) may and every racing corporation must appoint an authorized agent. A parent or guardian of every owner under the age of sixteen (16) must be licensed by the division as an authorized agent for the minor owner. Each authorized agent must obtain a license. The authority of an authorized agent for any owner over the age of sixteen (16) and every racing corporation shall be valid only for the calendar year in which the affidavit appointing the authorized agent was issued. The authority of a parent or guardian as authorized agent for any owner under the age of sixteen (16) shall be valid for one (1) calendar year only from date of application for licensure.

3.804 - (Modified Effective date May 15, 2013) The affidavit for an authorized agent's appointment for any owner over the age of sixteen (16) and every racing corporation must clearly set forth the powers of the agent under a notarized owner's signature. If the owner is under the age of sixteen (16), an affidavit setting forth the powers of the agent is not required but a form assuming full financial responsibility for the debts incurred for the training and racing of the horse owned by the minor must be signed by the parent or guardian who is seeking licensure as the minor owner's authorized agent and submitted to the division with the parent or guardian's application.

3.806(Deleted effective date 4/14/24)

3.808(Deleted effective date 4/14/24)

3.809 - Off-track Stabling Locations and Training Tracks at which horses are stabled in connection with a licensed race meet must be under the care and custody of a licensed owner or trainer. This also includes training tracks that are used for developing and bringing a horse to racing fitness and/or authorized by the Division to submit official published workouts. Such Training Tracks must be licensed by the Division.

1. Any person A) who is employed to assist or contracted to assist in the care, custody, or training of a horse at an Off-track Stabling Location or at a Training Track, or B) who is otherwise in attendance at an Off-track Stabling Location or a Training Track, shall be licensable and in good standing under relevant provisions of Colorado Law, Colorado Racing Commission Rules, and Racing Commission Policies.

3.810 - All kennel operators must file with the Division and the Association, at the beginning of each race meet, a roster naming the trainer, assistant trainer, authorized agent and other employees or persons having independent access to their kennel. If a change is made for the trainer's position, the kennel operator shall file a new roster with the Division and the association within seventy-two (72) hours. It shall be the responsibility of the trainer to update within seventy-two (72) hours the filed rosters of any other personnel changes within the kennel.

3.812 - Pony persons and outriders are required to present a neat and clean appearance and conduct themselves in an orderly manner.

3.814 - All persons obtaining a tip sheet concession at the racetrack or simulcast facility must be approved and licensed by the Commission.

1 CCR 208-1, ch. 3

38 CR 06, March 25, 2015, effective 5/15/2015

39 CR 07, April 10, 2016, effective 5/15/2016

40 CR 06, March 25, 2017, effective 5/15/2017

41 CR 07, April 10, 2018, effective 5/15/2018

42 CR 06, March 25, 2019, effective 5/15/2019

42 CR 07, April 10, 2019, effective 5/15/2019

43 CR 05, March 10, 2020, effective 5/15/2020

44 CR 07, April 10, 2021, effective 5/15/2021

45 CR 10, May 25, 2022, effective 6/15/2022

46 CR 03, February 10, 2023, effective 6/14/2023

46 CR 10, May 25, 2023, effective 6/14/2023

47 CR 06, March 25, 2024, effective 4/14/2024