Game 5.07(4)(f)1.1. Qualifications of managers, consultants and other contractors to manage pari-mutuel racing. Game 5.07(4)(g)(g) Whether applicant is also a licensee or applicant for a license under s. 562.05 (1) (a), Stats., for the facility at which the applicant seeks a license under s. 562.05 (1) (b), Stats., and if not, whether the applicant has a valid agreement for the sponsorship and management of races with another person who is licensed or an applicant for a license under s. 562.05 (1) (a), Stats., for such facility. Game 5.07(4)(h)(h) For purposes of determining whether any applicant is attempting to circumvent the prohibition against holding more than one license issued under s. 562.05 (1) (b), Stats.,: Game 5.07(4)(h)1.1. Whether the applicant or any of the applicant’s officers or directors, or holders of 5% or more of the ownership interest in the applicant is also an applicant for a license under s. 562.05 (1) (b), Stats., for any other location in this state. Game 5.07(4)(h)2.2. Whether any entity in which the applicant or any of the applicant’s officers or directors, or holders of 5% or more of the ownership interest in the applicant, has an ownership interest of more than 5%, is also an applicant for a license under s. 562.05 (1) (b), Stats., for any other location in this state. Game 5.07(4)(h)3.3. Whether any entity which is a parent corporation of any holder of 5% or more of the ownership interest in the applicant, is also an applicant for a license under s. 562.05 (1) (b), Stats., for any other location in this state. Game 5.07(4)(i)(i) Efforts to promote, develop and improve the racing industry in Wisconsin and educate the public with respect to pari-mutuel wagering. Game 5.07(4)(j)4.4. Any other indices related to economic impact which the division considers important or relevant to its determination and which are not inconsistent with s. 562.05 (2m) and (3wmr), Stats., as long as the same indices are considered with regard to all applicants. Game 5.07(4)(k)(k) Extent of public support or opposition to racing and pari-mutuel wagering at the location sought to be licensed. Game 5.07(4)(L)2.2. Minimum and optimum number of racing days sought by the applicant. Game 5.07(4)(L)3.3. Any other indices relating to competitive effect which the division considers important or relevant to its determination and which are not inconsistent with s. 562.05 (2m) and (3wmr), Stats., as long as the same indices are considered with regard to all applicants. Game 5.07(4)(m)(m) The division may consider any other information which the division considers important or relevant to a proper determination by the division. Game 5.07 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.08Game 5.08 Assignment of race meetings. In determining the assignment of race meetings to licensees under s. 562.05 (1) (b), Stats., the division shall consider factors relating to the economic and practical feasibility of conducting race meetings at various tracks. Factors to be considered shall include, without limitation: Game 5.08(1)(1) The types and dates of race meets being held, both within and outside this state. Game 5.08(2)(2) The effects that various types of pari-mutuel racing have on one another. Game 5.08(3)(3) The quality of racing provided at various tracks. Game 5.08(6)(6) Whether the licensee has complied with all applicable laws and rules relating to racing. Game 5.08(7)(7) Whether the assignment will maximize revenues to the state. Game 5.08(8)(8) Whether the assignment will adversely affect the public health, welfare and safety. Game 5.08 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90; CR 03-070: am. (1), cr. (11) Register November 2003 No. 575, eff. 12-1-03. Game 5.09Game 5.09 Personal information and authorization for release. In an application for a license under s. 562.05 (1) (a) or (b), Stats., the applicant shall include the following with respect to each individual required to be identified in the application form, or otherwise required to be identified in the application form, or otherwise required to be identified by this chapter or s. 562.05 (5), Stats., as an applicant, partner, director, officer, or owner, directly or indirectly, of 5% of any equity security or other ownership interest in the applicant and such other individuals as shall be required by the division: Game 5.09(1)(1) Full name, business and residence addresses and telephone numbers, all previous residential addresses for the preceding 20 years or if less than 20 years at the current residence address, date of birth, place of birth, and 2 references. Game 5.09(2)(2) An authorization for release of personal information, in the form prescribed by the division, signed by the individual and providing that such individual: Game 5.09(2)(a)(a) Authorizes a review by and full disclosure to any agent of the division or Wisconsin department of justice, division of criminal investigation of all records concerning the individual, relating to the information provided in the application form, whether the records are public, non-public, private or confidential. Game 5.09(2)(b)(b) Recognizes the information reviewed or disclosed may be used by the state of Wisconsin, its employees, the division staff and agents of the division, to determine the signer’s qualifications for a license under s. 562.05 (1) (a) or (b), Stats. Game 5.09(2)(c)(c) Releases authorized providers and users of the information from any liability under state or federal data privacy laws. Game 5.09 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90; CR 03-070: am. (1) and (2) (a) Register November 2003 No. 575, eff. 12-1-03. Game 5.10Game 5.10 Clarification of license application requirements. The administrator or administrator’s designee shall clarify license application requirements upon the written request of an applicant or potential applicant. The administrator may consult counsel, staff or members of the division, but shall respond to clarification requests promptly upon the receipt of the request, either orally or in writing. Interpretations of application requirements by any other person shall not be binding on the division. Game 5.11Game 5.11 Changes in license applications. Game 5.11(1)(1) An applicant shall furnish written notification to the division of any material change in the information originally submitted in its application. This notification shall be made within 5 days following the event of such change and provide details to the degree of specificity required in the application. Game 5.11(2)(2) Notwithstanding an applicant’s timely notification of a material change in the information submitted in its application, the division may refuse to consider any substantive amendment to an application after the initial submission of the application, provided, however, that nothing shall prevent the division from considering amendments to an application which are made by the applicant under s. 562.05 (5) (b) 4., Stats. Game 5.11 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.12Game 5.12 Additional information. The division may require any additional information it considers necessary or relevant from any applicant to clarify, support, or otherwise explain information contained in the applicant’s application under s. 562.05 (1) (a) or (b), Stats., for the purpose of ruling on a license application. Game 5.12 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.13Game 5.13 Investigation fee for licenses. An applicant for a license under s. 562.05 (1) (a) or (b), Stats., shall submit to the division, at the time of application, a certified check or bank draft payable to the order of the division in the amount of $10,000 to cover the costs of the investigation mandated by s. 562.05 (7) (a), Stats. If costs of the investigation exceed $10,000, the applicant shall remit the amount of the difference by certified check or bank draft within 10 days after receipt of an invoice from the division. An individual or other entity which is simultaneously applying for licenses under both s. 562.05 (1) (a) and (b), Stats., for the same location, shall submit one $15,000 investigation fee. If costs of the investigation exceed $15,000, the applicant shall remit the amount of the difference by certified check or bank draft within 10 days after receipt of an invoice from the division. Game 5.13 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.14Game 5.14 Oral presentation by applicant. The division shall provide the applicant for a license under s. 562.05 (1) (a) or (b), Stats., an opportunity to make an oral presentation of its application to the division prior to the division ruling on the application. The presentation shall be made by an applicant, under oath, at a session of the division. The presentation shall be limited to the information contained in the applicant’s application. The division is not required to afford an applicant more than one opportunity to make an oral presentation on the same application prior to a division determination, provided, however, the division may require an applicant to appear before the division to clarify or otherwise respond to questions concerning the application as a condition to the issuance of a license. Game 5.14 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.15Game 5.15 Delay in completion of race track facility. Failure of a licensee under s. 562.05 (1) (a), Stats., to begin the types of racing authorized under the license as specified by the division under s. 562.05 (3wt), Stats., shall be cause for the license to be void as provided in s. 562.05 (3wt), Stats. The division may re-specify a later date for the commencement of the types of racing authorized and determine that the license shall not be void if the licensee proves that any delay arose out of causes beyond the control and without the fault of negligence of the licensee, its contractors and subcontractors. Such causes may include, but are not restricted to, acts of God or enemies of the United States, acts of government in either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, and unusually severe weather, but in every case the delay shall be beyond the control and without fault or negligence of the licensee, its contractors and subcontractors. If the cause of delay is the default of a contractor or subcontractor and if the licensee proves to the satisfaction of the division that the default arose out of causes beyond the control of the licensee, its contractors and subcontractors, the license shall not be void unless the supplies or services to be furnished by the contractor or subcontractor were obtainable from other sources in sufficient time to permit the licensee to meet the completion date. Game 5.15 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.16Game 5.16 Contracts with a licensee; approval by division. Game 5.16(1)(1) Any contract in excess of $10,000 per year for the provision of goods and services, including but not limited to concession contracts, entered into by any licensee under s. 562.05 (1), Stats., shall be subject to the approval of the division. The division shall determine whether the contract may affect the integrity of pari-mutuel racing. Until approved by the division, the contract is not valid or binding on any licensee under s. 562.05 (1), Stats. The division shall, within 45 days after submission of a contract to the division, approve or disapprove the contract and if not acted upon by the division within 45 days after submission, the contract shall be considered approved by the division, unless additional information regarding the contract is requested by the division and action is taken within 30 days of the date of receipt of the additional information. In making a determination that a contract may affect the integrity of racing, the division may consider such factors as it considers relevant including without limitation: Game 5.16(1)(b)(b) The extent to which the contractor will be on the premises of the licensee. Game 5.16(1)(c)(c) The relationship of the contract to the general security of a facility including opportunity for contact between the contractor and race animals, occupational licensees, or patrons. Game 5.16(1)(d)(d) Opportunity for the contractor to influence the management and conduct of pari-mutuel racing. Game 5.16(1)(e)(e) Contact with admission, pari-mutuel or concession money. Game 5.16(1)(f)(f) Whether the division has reason to believe that the contractor is incompetent, financially irresponsible, or not of good character. Game 5.16(2)(2) Any contract for $10,000 per year or less for the provision of goods and services, including but not limited to concession contracts, entered into by any licensee under s. 562.05 (1), Stats., shall be filed with the division. Game 5.16(3)(3) A licensee under s. 562.05 (1), Stats., for a particular location may not receive services from another person or entity at such location, if the performance of the services by that person or entity requires a license under s. 562.05 (1), Stats., unless that person or entity is licensed to provide those services at that particular location. Game 5.16(4)(4) In the event any licensee under s. 562.05 (1), Stats., takes actions or otherwise receive goods and services pursuant to any contract which has not been approved or filed as provided in sub. (1) or (2), or which is not permitted as provided in sub. (3), the division may suspend or revoke the license held by the licensee. Game 5.16 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90; CR 03-070: am. (1) (intro.) and (2) Register November 2003 No. 575, eff. 12-1-03. Game 5.17Game 5.17 Transfers of licenses. A license issued under s. 562.05 (1) (a) or (b), Stats., is for the benefit of the licensee only, and is applicable only to the location for which the license is issued. The license may not be sold or otherwise transferred and shall terminate upon a substantial change of ownership of the licensee, unless the division has granted prior written approval of the substantial change. The sale, pledge, encumbrance or other transfer of 5% or more of the equity securities or other ownership interest of a partnership, association or corporation holding a license under s. 562.05 (1) (a) or (b), Stats., shall be considered a substantial change of ownership. Any request for approval of a substantial change in ownership shall contain, where applicable, the same information about the proposed transferee as is required to be furnished under s. Game 5.04. Upon receipt of all information required by the division with regard to a proposed substantial change in ownership, the division shall, within 60 days, make a determination whether to authorize and approve the substantial change in ownership of a licensee. Game 5.17 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90; correction made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1995, No. 471. Game 5.18Game 5.18 Acceptance and payment of license fee. When the division approves an application for license under s. 562.05 (1) (a) or (b), Stats., or renewal of a license and notifies the applicant of its approval, setting forth the effective date of the license, the dates by which each type of racing shall commence and, if applicable, the number and dates of race performances authorized, the applicant shall, within 10 days after the receipt of the division’s notice of approval, file a written acceptance with the division and make payment of the required license fee. The fee shall be payable to the division by certified check or bank draft in the amount required as follows: Game 5.18(1)(1) A non-refundable fee of $300,000 for an initial 5 year license issued for any location under s. 562.05 (1) (a), Stats., as provided in s. 562.05 (3wr), Stats., payable $100,000 upon the filing of written acceptance of the license and $50,000 on or before January 10 of each of the 4 calendar years thereafter commencing on January 10 of the calendar year immediately following the year in which the license under s. 562.05 (1) (a), Stats., is first issued. Game 5.18(2)(2) An annual non-refundable fee of $50,000 for a license issued for any location under s. 562.05 (1) (a), Stats., as provided in s. 562.05 (3wr), Stats., payable upon the filing of written acceptance of the license for each race year following the initial 5 year license period. Game 5.18(3)(3) An annual non-refundable fee equal to $125 times the number of race performances authorized in a license issued under s. 562.05 (1) (b), Stats., payable upon the filing of written acceptance of the license. Game 5.18(4)(4) Failure to comply with the 10 day period for license acceptance and submission of appropriate license fees or to otherwise make payment of license fees when due, shall cause the application for license to be considered withdrawn and of no effect or the license to be suspended or revoked. Game 5.18 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.19Game 5.19 Validity of application information. False or misleading information, omission of required information, or substantial deviation from representations in the application for license under s. 562.05 (1) (a) or (b), Stats., is cause for denial, revocation or suspension of a license or imposition of a fine as provided in s. 562.13, Stats. Game 5.19 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.20Game 5.20 Enforcement of rules. Each licensee under s. 562.05 (1) (a) and (b), Stats., has a duty to comply with the rules of the division at all times and acknowledge that the rules are a condition under which the licenses are granted. Game 5.20 HistoryHistory: Cr. Register, May, 1990, No. 413, eff. 6-1-90. Game 5.21Game 5.21 Construction, expansion, reduction, alteration, or modification of proposed or existing facility. No licensee under s. 562.05 (1) (a) or (b), Stats., may construct, expand, reduce, alter, or otherwise modify an existing or proposed race track facility after a license has been issued under s. 562.05 (1) (a) or (b), Stats., for that facility, which would result in an increase or decrease of $10,000 per year or more in the development costs of the facility as proposed at the time the license was granted or which would cost in excess of $10,000 per year at an existing facility, without the prior approval of the division. If a licensee fails to obtain the required approval, the division may revoke or suspend the licensee’s license and impose a fine under s. 562.13, Stats. Game 5.22Game 5.22 Bond requirements for licensing.
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