Chapter Game 5

Game 5.14   Oral presentation by applicant.

Game 5.15   Delay in completion of race track facility.

Game 5.16   Contracts with a licensee; approval by division.

Game 5.17   Transfers of licenses.

Game 5.18   Acceptance and payment of license fee.

Game 5.19   Validity of application information.

Game 5.20   Enforcement of rules.

Game 5.21   Construction, expansion, reduction, alteration, or modification of proposed or existing facility.

Game 5.22   Bond requirements for licensing.

Ch. Game 5 Note Note: Chapter RACE 5 was renumbered chapter WGC 5 and corrections made under s. 13.93 (2m) (b) 1. and 6., Stats., Register, March, 1995, No. 471.

Ch. Game 5 Note Note: Chapter WGC 5 was renumbered chapter Game 5 under s. 13.93 (2m) (b) 1., Stats., and corrections made under s. 13.93 (2m) (b) 6. and 7., Stats., Register November 2003 No. 575.

Game 5.01 Game 5.01 Authority. Sections 562.02 (1) (a) and 562.05 (2), Stats., authorize the division to adopt rules relating to the issuance of and qualifications for a license to conduct racing and on-track pari-mutuel wagering activities.

Game 5.01 History History: Cr. Register, May, 1990, No. 413, eff. 6-1-90.

Game 5.02 Game 5.02 Purposes. The purposes of this chapter are as follows:

Game 5.02(1) (1) To ensure that the public health, welfare and safety is protected in relation to racing.

Game 5.02(2) (2) To establish application and licensure criteria for the issuance of licenses to conduct activities relating to racing and pari-mutuel wagering.

Game 5.02(3) (3) To ensure that the process for the issuance of licenses for activities relating to racing and pari-mutuel wagering is fair and equitable.

Game 5.02 History History: Cr. Register, May, 1990, No. 413, eff. 6-1-90.

Game 5.03 Game 5.03 Time for filing and approval of applications for license.

Game 5.03(1) (1) Any person or entity wishing to own and operate a race track at which pari-mutuel wagering is conducted under s. 562.05 (1) (a), Stats., which person or entity has not previously been licensed, shall file an application as set forth in s. Game 5.04 with the division. The division may, in its discretion, determine that no applications for license pursuant to s. 562.05 (1) (a), Stats., will be accepted for any given period.

Game 5.03(2) (2) Any person or entity wishing to sponsor or manage any race on which pari-mutuel wagering is conducted and which is not located at a fair under s. 562.05 (1) (b), Stats., which person or entity has not previously been licensed, shall file an application as set forth in s. Game 5.04 with the division. The division may, in its discretion, determine that no applications for license pursuant to s. 562.05 (1) (b), Stats., will be accepted for any given period.

Game 5.03(3) (3) Promptly after an application has been filed, the administrator shall deliver the application to the division for review. After review and investigation of each application by the division and after each applicant has had the opportunity to make an oral presentation as provided in s. Game 5.14, the division shall, within 150 days of filing, make a final determination and ruling on each application.

Game 5.03 History History: Cr. Register, May, 1990, No. 413, eff. 6-1-90; corrections made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1995, No. 471; CR 03-070: am. (1) and (2) Register November 2003 No. 575, eff. 12-1-03.

Game 5.04 Game 5.04 Application form and affidavit.

Game 5.04(1) (1) An applicant for a license under s. 562.05 (1) (a) or (b), Stats., shall file with the division an affidavit and application and any exhibits, in the form and manner prescribed by the division and on forms furnished by the division.

Game 5.04 Note Note: Applications and related forms are available at the division’s office, P.O. Box 8979, Madison, WI 53708-8979, or by calling 608/270-2555.

Game 5.04(2) (2) The applicant shall use best efforts, to provide all information required to be disclosed in the application. In the event an applicant is unable, despite best efforts, to provide the information required, the applicant shall fully explain and document to the satisfaction of the division, its inability to provide the information.

Game 5.04(3) (3) The applicant shall provide only information relevant to disclosures requested by the division.

Game 5.04(4) (4) Upon request of the division or its agents, the applicant shall provide copies of any documents used in the preparation of its application.

Game 5.04 History History: Cr. Register, May, 1990, No. 413, eff. 6-1-90; CR 03-070: am. (1) Register November 2003 No. 570, eff. 12-1-03.

Game 5.05 Game 5.05 Application submission. An applicant for a license under s. 562.05 (1) (a) and (b), Stats., shall submit to the division’s office not later than the time and date specified in the application:

Game 5.05(1) (1) All documents which are part of its application as a single assemblage and sequentially numbered, including exhibits, with each exhibit properly identified.

Game 5.05(2) (2) In the event an applicant for the ownership and operation of a race track under s. 562.05 (1) (a), Stats., at a particular location is not also an applicant for a license under s. 562.05 (1) (b), Stats., for the same location, the applicant shall file as part of its application under s. 562.05 (1) (a), Stats., a true and correct copy of any agreements for the sponsorship and management of races to be conducted at such location with a person who is licensed or is an applicant for a license under s. 562.05 (1) (b), Stats., for that location.

Game 5.05(3) (3) In the event an applicant for the sponsorship and management of any race under s. 562.05 (1) (b), Stats., at a particular location is not also an applicant for a license under s. 562.05 (1) (a), Stats., for the same location, the applicant shall file as part of its application under s. 562.05 (1) (b), Stats., a true and correct copy of any agreements for the sponsorship and management of any race with a person who is licensed or is an applicant for a license under s. 562.05 (1) (a), Stats., for that location.

Game 5.05(4) (4) A letter of transmittal to the division executed with original signature, and 10 copies of the application.

Game 5.05(5) (5) A cashiers or certified check payable to the division as a non-refundable application fee in the following amounts:

Game 5.05 History History: Cr. Register, May, 1990, No. 413, eff. 6-1-90; correction in (intro.) made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1995, No. 471; CR 03-070: am. (intro.) and (4) Register November 2003 No. 575, eff. 12-1-03.

Game 5.06 Game 5.06 Ownership and operation licensing criteria. The division may issue a license under s. 562.05 (1) (a), Stats., if the division determines that the applicant meets all of the requirements under ch. 562, Stats., and that on the basis of all the facts before it:

Game 5.06(1) (1) The applicant is qualified and financially able to operate a race track.

Game 5.06(2) (2) At least 51% of the ownership interest in the applicant is held by one or more persons or entities who are residents of this state.

Game 5.06(3) (3) The race track will be operated in accordance with all applicable laws and rules.

Game 5.06(4) (4) The appropriate governing body has approved the race track location as required by s. 562.05 (3r), Stats.

Game 5.06(5) (5) The issuance of a license will not adversely affect the public health, safety and welfare.

Game 5.06(6) (6) In making the required determinations before licensure under s. 562.05 (1) (a), Stats., the division shall consider the following criteria and any other indices which it considers important or relevant to its determination of whether an applicant is qualified to hold a license under s. 562.05 (1) (a), Stats., as long as the same indices are considered with regard to all applicants, including without limitation the following:

Game 5.06(6)(a) (a) The integrity of the applicant, its partners, administrators, officers, policymakers, managers, owners, directly or indirectly, of any equity security or other ownership interest in the applicant, including:

Game 5.06(6)(a)1. 1. Criminal record.

Game 5.06(6)(a)2. 2. Whether a party to litigation over business practices, disciplinary actions over a business license or permit or refusal to renew a license or permit, proceedings in which unfair labor practices, discrimination, or government regulation of pari-mutuel wagering was an issue or bankruptcy proceedings.

Game 5.06(6)(a)3. 3. Failure to satisfy judgments, orders or decrees.

Game 5.06(6)(a)4. 4. Delinquency in filing of tax reports or remitting taxes.

Game 5.06(6)(b) (b) The quality of physical improvements and equipment proposed or existing in the applicants facility, including:

Game 5.06(6)(b)1. 1. Race track or tracks.

Game 5.06(6)(b)2. 2. Kennels and kennel compound.

Game 5.06(6)(b)3. 3. Stables and stable area.

Game 5.06(6)(b)4. 4. Detention barn.

Game 5.06(6)(b)5. 5. Paddock.

Game 5.06(6)(b)6. 6. Jockeys’ and drivers’ quarters.

Game 5.06(6)(b)7. 7. Grandstand.

Game 5.06(6)(b)8. 8. Totalisator equipment.

Game 5.06(6)(b)9. 9. Parking.

Game 5.06(6)(b)10. 10. Access by road and public transportation.

Game 5.06(6)(b)11. 11. Perimeter fence.

Game 5.06(6)(b)12. 12. Other security improvements and equipment.

Game 5.06(6)(b)13. 13. Starting, timing, photo finish, photo-patrol or video equipment.

Game 5.06(6)(b)14. 14. Division work areas.

Game 5.06(6)(b)15. 15. Concessions areas.

Game 5.06(6)(b)16. 16. Pari-mutuel management areas.

Game 5.06(6)(c) (c) The schedule for completion of facility.

Game 5.06(6)(d) (d) The financial ability of the applicant to develop, own, and operate a pari-mutuel facility successfully, including:

Game 5.06(6)(d)1. 1. Ownership and control structure.

Game 5.06(6)(d)2. 2. Amounts and reliability of development costs.

Game 5.06(6)(d)3. 3. Certainty of site acquisition or lease.

Game 5.06(6)(d)4. 4. Current financial condition.

Game 5.06(6)(d)5. 5. Sources of equity and debt funds, amounts, terms and conditions, and certainty of commitment.

Game 5.06(6)(d)6. 6. Provisions for cost overruns, non-receipt of expected equity or debt funds, failure to achieve projected revenues or other financial adversity.

Game 5.06(6)(d)7. 7. Feasibility of financial plan.

Game 5.06(6)(e) (e) The status of governmental actions required by the applicant’s facility, including:

Game 5.06(6)(e)1. 1. Necessary road improvements.

Game 5.06(6)(e)2. 2. Necessary public utility improvements.

Game 5.06(6)(e)3. 3. Required governmental approvals for development, ownership and operation of the facility.

Game 5.06(6)(e)4. 4. Acceptance of any required environmental assessment and preparation of any required environmental impact statement.

Game 5.06(6)(f) (f) The management ability of the applicant, including:

Game 5.06(6)(f)1. 1. Qualifications of managers, consultants, and other contractors to develop, own, or operate a pari-mutuel facility.

Game 5.06(6)(f)2. 2. Security plan.

Game 5.06(6)(f)3. 3. Plans for human and animal health and safety.

Game 5.06(6)(f)4. 4. Marketing promotion and advertising plans.

Game 5.06(6)(f)5. 5. Concession plan.

Game 5.06(6)(f)6. 6. Personnel training plan.

Game 5.06(6)(f)7. 7. Equal employment and affirmative action plans.